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The Primary Low Grade Ovarian Endometrioid Stromal Sarcoma – A rare entity in Gynecologic Surgical Pathology – A case report

DOI: 10.31038/IGOJ.2018124

Summary

Rare case of primitive stromal endometrioid sarcoma of the ovary in a 57-year-old woman was presented. Lesion of 17 cm x 16 cm x 9 cm size located in the right ovary. At the uterine level are some foci of adenomyosis. Epidemiology and histogenesis of these neoplasms and their immunophenotypic profile are discussed.

Case Report: A woman of the 50s has been suffering from abdominal pain and intestinal transit disorders for several months. An abdominal ultrasound shows the presence of a mass at the right half of the abdomen. At the intervention, there is a mass in correspondence of the right ovary. The patient undergoes bilateral hystero-salpingo-oophorectomy.

Macroscopic: The surgical sample of the right ovary consists of a mass of 17x16x9 centimeters. The sectioned surface presents cystic areas with citrine liquid content alternating with areas of solid tan yellow appearance. The left ovary and the uterus do not show significant macroscopic alterations

Material and Methods: Several fragments are taken in various areas of the right ovarian tumor mass. Fragments are taken from the left ovary, fallopian tubes, cervix, and the body of the uterus. The material was fixed in formalin and in paraffin embedded. The sections were colored with H & E and subjected to a panel of antibodies for immunohistochemistry. (Table 1)

Microscopic: The normal structure of the ovary was no longer recognizable. Wide bands of fibrous tissue reminiscent of ovarian fibroma, delimit irregular areas in shape and size. In the context of these areas, it is present. a massive proliferation of roundish, small mononuclear cells (Figure 1a).The elements are aggregated in a diffuse manner, usually compact, sometimes with aspects of a honeycomb (Figure 1b). The proliferation winds between the fibrous bands with tongue-like extensions (Figure 1 c, d).

There is also an abundant vascular component of the arteriolar type reminiscent of the spiral arterioles of the endometrial stroma (Figure 2 a, b, c, d).The results of the immunohistochemical investigations are shown in (Table 2)

Table 1.

CKAE1-AE3

Monoclonal 1: 50 DAKO

VIM

Monoclonal 1: 50 DAKO

EMA

Monoclonal 1: 50 DAKO

CD10

Monoclonal 1: 50 DAKO

PGR

Monoclonal 1: 50 DAKO

ER

Monoclonal 1: 40 DAKO

SMA

Monoclonal 1: 50 DAKO

DESM

Monoclonal 1: 50 DAKO

INIB

Monoclonal 1: 50 DAKO

WT1

Monoclonal 1: 50 DAKO

Cyclin D1

Monoclonal 1: 50 DAKO

PAX8

Monoclonal 1: 50 Biocare

CD117

Polyclonal 1: 400 DAKO

P53

Monoclonal 1: 50 DAKO

Ki67

Monoclonal 1: 75 DAKO

IGOJ 2018-110-MFiloTicoItaly_F1

Figure 1. (a) Massive proliferation of roundish, small mononuclear cells, (b) Sometimes with aspects of a honeycomb, (c, d) The proliferation winds between the fibrous bands with tongue-like extensions

Table 2.

KAE1-AE3

VIM

EMA

CD10

PGR

ER

SMA

DESM

INIB

WT1

CYCLD1

PAX8

CD117

P53

KI67

+–

Fig.5b

+

Fig.5a

+

Fg.3a

+

Fig.3b

+

Fig.3c

+–

Fig.3d, 4a,b

–+a

Fig.5c

+–

Fig.4c,d

>10%

Fig.5d

a =in the fibrous bands

IGOJ 2018-110-MFiloTicoItaly_F2

Figure 2. (a), (b), (c), (d) Abundant vascular component of the arteriolar type reminiscent of the spiral arterioles of the endometrial stroma

The morphological pattern and immunohistochemical profile favor the diagnosis endometrioid stromal sarcoma low grade of the ovary. The absence of a similar lesion at the uterine level or elsewhere allows the term primary to be added to the diagnosis.

Discussion

Ovarian neoplasms presenting the morphological characters of the endometrial stroma has been reported since the 1960s [1], and later in the early 80s [2]. Only in 1984, in a series of 23 cases studied by Scully et al. did the term Endometrioid Stromal Sarcoma of the ovary (ESS) appeared in the literature. Under this term in the article, are included both lesions with exclusively ovarian localization, but also those associated with a similar synchronous or metachronous uterine lesion [3]. In this publication, the morphological characters of the lesions are defined as completely superimposable to those of the uterine counterpart. The largest primitive ESS series of the ovary report the study of 27 cases and to our knowledge, represents, to date, the most detailed study on the subject [4].

The WHO 2003 classification of Ovarian Tumors poses these neoplasms between the Surface Epithelial- Stromal tumors and precisely among Endometrioid tumors giving them the following definition: “Endometrioid stromal sarcoma (ESS) is a monophasic sarcomatous tumour characterized by a diffuse proliferation of neoplastic cells similar to stromal cells of the proliferative endometrium. At its periphery, the tumour exhibits a typical infiltrative growth pattern.”[5]. The WHO 2014 classification includes these neoplasms between Mesenchymal Tumors, giving the following definition: “A Mesenchymal Tumour identical to low-grade uterine endometrial stromal sarcoma” [6].

In terms of nosographic precision, the definition of 2003 seems to us more appropriate as the endometrial stroma is a Mullerian derivative which, in turn, originates from the celomatic mesoderm and not from the mesenchyme which, as is known, is that part of the mesoderm from which originate the connective tissues, bone, cartilage, blood vessels, and lymphatics and not the organs of the urogenital system. In a series of 20 primary extrauterine ESS we can see how the case series is distributed on all the organs of the celomatic area: ovaries, salpinges, pelvic cavity and abdominal wall [7].The same area of distribution of endometriosis. An association with endometriosis has been reported in about 50% of cases. But for this, a mandatory interrelationship between the two phenomena cannot be inferred [1, 2, 7,] [8–11].

The extensive and detailed description of the morphologic pattern of these lesions reported in the aforementioned publication [4] can be summarized as follows: The most frequent pattern is that of a widespread proliferation of small roundish elements with scant cytoplasm, closely packed. The proliferation is often intersected by a band of fibrous tissue reminiscent of the ovarian fibroma; Sex cord differentiation is present in about 25% of cases. Smooth muscle differentiation is present in about 20% of cases. The characteristic tongue-like infiltration and intravascular penetration are rarely seen in ovarian localization. Small vessels with the spiral arterioles characters of the proliferative phase, with an often dilated lumen and curvilinear trend (low-grade fibromixosarcoma-like), are disseminated in the proliferation.

The recommended Immunohistochemical panel is comparable to that adopted for similar uterine neoplasms :

CD10

SMA

DESM

hCALDESM

PGR

ER

VIM

Wt1

AR

CALP

βCAT

KAE1-AE3

+

+

–or+

+

+

+

+or–

+or–

+or–

–or+

[12] From the biomolecular point of view, there are two subsets of ESS, JAZF1-SUZ12 or equivalent genetic rearrangements and another characterized by YWHAE-FAM22 genetic fusion histologically of higher grade and clinically more aggressive. This second subset expresses consistently Cyclin D1, with coexistent negativity for CD10 and PGR [13]. A wide range of primitive and secondary ovarian lesions (fibroma, thecoma, fibrosarcoma, mesodermal adenosarcoma, metastatic Gist) should be placed in differential diagnosis of these lesions, which in addition to being particularly rare, may contain aspects related to other entities (sex cord, thecoma ) of the neoplastic ovary pathology.

A recent survey of 14 patients yielded the following results. The average age of patients is around 49 years with a median of 51. Nine (64%) was classifiable as low-grade and 5 (36%) as high- grade. After a 65 months F.U., all low-grade Pts were alive. 33% of them had developed a relapse. Of high-grade Pts was alive without recurrence only 1 Pt, the other 4 develops relapses and two died due to the progress of the disease [14]. The case observed by us can rightly be numbered in the rare case of this neoplasm that according to a recent review of the literature amounts to, to date, less than 100 [14].

In fact, the morphological parameters are respected both as regards the cellular morphology and its organization (Figures1a-b), the tongue-like character of the infiltration (Figures 1c-d), the vascular component with the characteristic appearance of the spiral arterioles (Figures 2a-b-c-d), and the fibrous component with the aspects of the ovarian fibroma (Figure.1c). Immunohistochemistry showed diffuse and intense positivity for Vimentin (Figure 5a), CD10 (Figure 3a),, PGR (Figure 3b), ER (Figure 3c), Focal and sporadic for CK(5b), positive SMA on the level of the muscular tunics of the vessels, even just sketched out ( Figures 3d,4a-b), WT1 is weakly positive in scattered elements while exhibiting strong positivity in the muscular tunics of the spiral arterioles (Figures (4c.d). Scattered elements from fibroblastic morphology exhibit positivity for INIBIN in the context of the fibrous bands (Figure.5c) The Ki67 proliferation index stands at values below 10% (Fig.5d). The morphologic pattern and the immunohistochemical profile suggest considering this case as a low grade.

IGOJ 2018-110-MFiloTicoItaly_F3

Figure 3. a) CD10, b) PGR, c) ER, d) SMACT

IGOJ 2018-110-MFiloTicoItaly_F4

Figure 4. a) SMACT, b) SMACT (arteriole), (c, d) WT1 (arteriole)

IGOJ 2018-110-MFiloTicoItaly_F5

Figure 5. a) Vim, b) Keratin AE1-AE3, c) INIBIN, d) KI67

References

  1. Koller, Rygh (1960) A case of stromal endometriosis originating from ovarian endometriosis. Aciu Obstei Gynecol Scund 39: 178–183.
  2. Silverberg SG, Fernandez FN (1981) Endolymphatic stromal myosis of the ovary: a report of three cases and literature review. Gynecol Oncol 12: 129–138. [crossref]
  3. Young RH, Prat J, Scully RE (1984) Endometrioid Stromal Sarcomas of the Ovary A Clinicopathologic Analysis of 23 Cases. Cancer 53: 1143–1155. [crossref]
  4. Oliva E, Egger JR, Young RH (2014) Primary Endometrioid Stromal Sarcoma of the Ovary A Clinicopathologic Study of 27 Cases With Morphologic and Behavioral Features Similar to Those of UterineLow-grade Endometrial Stromal Sarcoma. Am J Surg Pathol 38: 305–315.[crossref]
  5. WHO (2003) Classification of Tumours – Pathology & Genetics-Tumours ofbthebreast and Femalegenital Organs- IARC Press, Lyon
  6. WHO (2014) Classification of Tumours – Pathology & Genetics Tumours of the breast and Female genital Organs- IARC Press, Lyon
  7. Chang KL, Crabtree GS, Lim-Tan SK, Kempson RL, Hendrickson MR (1993) Primary extrauterine endometrial stromal neoplasms: a clinicopathologic study of 20 cases and a review of the literature. Int J Gynecol Pathol 12: 282–296. [crossref]
  8. Baiocchi G, Kavanagh JJ, Wharton JT (1990) Endometrioid stromal sarcomas arising from ovarian and extraovarian endometriosis: report of two cases and review of the literature. Gynecol Oncol 36: 147–151. [crossref]
  9. Lan C, Huang X, Lin S, Cai M, Liu J (2012) Endometrial Stromal Sarcoma Arising from Endometriosis: A Clinicopathological Study and Literature Review. Gynecol Obstet Invest 74: 288–297. crossref]
  10. Usta TA, Sonmez SE, Oztarhan A, Karacan T (2014) Endometrial stromal sarcoma in the abdominal wall arising from scar endometriosis. J Obstet Gynaecol 34: 541–542. [crossref]
  11. Ju A Back, Myeong Gyune Choi, U Chul Ju, Woo Dae Kang, Seok Mo Kim (2016) A case of advanced stage endometrial stromal sarcoma of the ovary arising from endometriosis. Obstet Gynecol Sci 59: 323–327.
  12. Prichard J, Kaspar H.G (2015) Handbook of Practical Immunohistochemistry: Frequently Asked Questions (positions in Kindle 20288–20289). Kindle Ed, Springer New York.
  13. Lee CH, Ali RH, Rouzbahman M, Marino-Enriquez A, Zhu M, et al. (2012) Cyclin D1 as a diagnostic immunomarker for endometrial stromal sarcoma with YWHAE-FAM22 rearrangement. Am J Surg Pathol 36: 1562–1570. [crossref]
  14. Xie W, Bi X, Cao D, Yang J, Shen K, et al. (2017) Primary endometrioid stromal sarcomas of the ovary: a clinicopathological study of 14 cases with a review of the literature. Oncotarget 8: 63345–63352. [crossref]

Psychoanalytic Understanding of Repeated In-Vitro Fertilization Trials, Failures, and Repetition Compulsion

DOI: 10.31038/IGOJ.2018123

Case Report

Recent advances in reproductive technology and the increased use of techniques based upon it have created a need for psychoanalytic thinking and understanding of the psychological implications of in-vitro fertilization (IVF) and other similar procedures. The recent and rapid advances in medical technologies confront us with the mandate to understand their complex impact on women and their children. As a physician and psychoanalyst, I became aware of my patients’ trouble accepting their infertility after drawn out, continued attempts to have their own children. The acceptance of their failure in conceiving is more of a challenge for some patients than others, although there can never be a final acceptance. The denial of their failure as a couple to conceive can become a long process with unfinished mourning throughout their life cycle.

The two cases in this paper in particular illustrate how infertility traumata were re-experienced. The unconscious self-induced traumatization resulted from the compulsion to repeat an earlier repressed trauma. Freud inferred the existence of motivation beyond the pleasure principle. In 1919 he postulated “the principle of Repetition Compulsion the unconscious mind, based upon instinctual activity and probably inherent in the very nature of the instincts a principle powerful enough to overrule the pleasure-principle.” Building on his 1914 article Recollecting, Repeating and Working Through, Freud highlighted how the “patient cannot remember the whole of what is repressed in him, and is obliged to repeat the repressed material as a contemporary experience instead of…remembering it as something belonging to the past: a compulsion to repeat.”

Those individuals who can better accept their infertility without significant psychological complication resort to other methods of becoming parents to fulfill their life-long expectation. Some may take an alternative step and adopt someone else’s child. Some infertile individuals whose infertility is related to their advanced age use alternative procedures such as In-Vitro Fertilization (IVF). In today’s world, many women want to establish themselves in their careers and choose to postpone reproductive goals until later. When they face reproductive failure, they become extremely anxious, especially when the biological clock is ticking away faster and faster. The narcissistic injury is deep and debases their belief system about self- representation and their body image. Women are affected profoundly by infertility failure. They carry with them the identification linkage with their primary pre-oedipal maternal object, wanting to become a parent. We see clinically girls who play mother roles in fantasy. Once a woman’s pregnancy wishes are frustrated, the denial of an infertile self-image could potentially lead to crisis. The way in which these women react to the trauma of their infertility will determine a number of factors, including how they choose to use a donor egg, donor sperm, or surrogate mother. The character of their traumatic experience also depends upon the process of deciding who will donate their egg, their sperm, or their womb. Though the reasoning varies among theories, experts agree that the ability to become a mother is essential to believing that one is viable as a woman. Freud [1] made passing reference to the subject of human reproduction and pregnancy. The primacy of sexuality in human life for Freud is reflected in his belief that the wish for a child in the woman represents the symbolic substitution for the missing penis; a wish for reparation and completion.

Helene Deutsch [2] questioned the reparative function of the woman procreative life. She made it clear that the woman’s urge to become pregnant and bear a child represents the essentially feminine quality of receptiveness, a bio-physiological concept, the bedrock of femininity.

Benedek and Bibring et al. [3,4] , pioneers in the study of women’s reproductive drive, saw pregnancy as a developmental crisis, and subsequent writers seem to accept this view [5].

In severely traumatized women the wish to be pregnant is not necessarily connected to the wish for a child, as seen by Pines [6]. Pregnancy, instead, is simply seen as an effort to repair the narcissistic injury of early life.

Pines elaborated on mother-daughter relationship as the locus of psychic conflict in women who abort habitually. Pre-oedipal dynamics were discussed and identified by Lester & Notman [5,7] as causing anxieties during the early stages of pregnancy.

In her paper “Infertility in the Age of Technology” [8] Zallusky highlighted the effect of infertility on analytic process. She elaborates on the permeability of the boundaries between analyst and patient and between fantasy and action in psychoanalytic work with women who are infertile and resort to Assisted Reproductive Technology (ART). The immense stress of infertility can trigger regressions to earlier stages of psychological development. Intense feelings of envy and shame felt currently, conflict with their roots in childhood, bringing about a disturbance to the person’s sense of self-identity. As Freud stated, the ego “is first and foremost a body ego” [9]. The earliest way in which we know ourselves is through our body. Kite (2009) emphasized the importance of keeping the emotional reality of the patient in view in a panel on “Current Perspective on Infertility,” in which the motivations for childbearing were discussed in relation to ART.

The entry of a third person-the doctor-into the sexual relationship, as if into the primal scene, is another theme in some of the literature. Also in the context of surrogate mothers and/or sperm donation, Ehrensaft [10] described the feelings and fantasies of parents in relation to having another, outside party involved in conception. She described a stirring up of fantasies of a ménage a trois. She observed that the egg donation or the surrogate could stir up fantasies of the other. Thinking of the sperm as sperm may be defensive against thinking of the sperm as coming from another whole person. Ehrensaft also pointed out the importance of telling children about their origins. Coming to terms with infertility or mourning can manifest as a problem not only for women, but also for both partners as well as primarily for men.

In-Vitro Fertilization

In-vitro fertilization means “fertilization under glass,” ie: in a test tube. IVF is a technique for removing eggs from a woman, fertilizing them outside her body, and placing the fertilized egg, or embryo, directly into the uterus. All IVF procedures have four steps: ovarian stimulation, egg retrieval, fertilization, and embryo transfer.

Overcoming infertility was unimaginable just a generation or two ago. Since then, scientists have devised a way to remove the sperms and eggs and combine them. Eggs are fertilized, and then frozen for future use; sperm strength can be boosted; and even women who lack ovaries may find themselves pregnant. These procedures arouse much curiosity within the general public and within the broad community of infertility and mental health experts.

The first “test tube baby,” was born in 1978. Louise Brown was the first child to be conceived by in-vitro fertilization and was delivered after a full-term pregnancy. In the few years since, IVF has become an important element in the vocabulary of infertility. It has become the cutting edge of modern reproductive treatment and research. In-vitro fertilization requires intact fecundity, normal production of ova. Today, a number of women in mid- to late thirties and early forties, in spite of their intense desire to conceive, remain infertile. Fecundity is intact in many of these subjects, and advances in reproductive technology makes it possible to overcome infertility in some of these cases. New ground continues to be broken as research continues.

Regardless of the cause of infertility, the treatment that leads to the highest pregnancy rate per cycle is in-vitro fertilization. Since its inception in 1978, there has been a remarkable increase in the numbers of IVF cycles worldwide. Approximately one in fifty births in Sweden, one in sixty births in Australia, and one in 80–100 births in the United States now result from IVF. In 2003, more than 100,000 IVF cycles were reported from 399 clinics in the United States, resulting in the birth of more than 48,000 babies. IVF is now the treatment that leads to the highest pregnancy rate per cycle (New England Journal of Medicine, 2007).

Egg donation was introduced in the 1980s, increasing the possibility of pregnancy and child bearing to many women. Many of the women receiving these donations were older and had delayed child bearing for reasons such as establishing careers, personal conflict, and ambivalent feeling about becoming mothers. These women, and those who had illnesses the treatment of which affected their fertility, were then able to have children. Still, egg donation brought up a great deal of controversy. In addition to ethical dilemma, egg donation presents issues such as parental identity confusion and compromised sense of social group belongingness. I have encountered many clinical examples of this but expounding upon them would be beyond the scope of this paper.

The use of surrogates-women who carry a pregnancy for another individual or couple – generates further possibilities for women unable to conceive. The baby can have the genetic identity of the couple -that is, the ovum can be obtained from the woman in the couple and be fertilized by the man’s sperm and then implanted in the woman who has agreed to be the surrogate – or the surrogate can supply the ovum and the sperm can be the husband’s or come from a donor. This has made having a genetically related baby possible for gay couples, as well for women who for some reason, such as repeated pregnancy loss, cannot carry a baby to term but have viable ova. It is possible to freeze sperm, eggs, or embryos for later use.

Implanting more than one embryo increases the likelihood of having a viable pregnancy. It also increases the likelihood of multiple births, which carries greater risks. The decision to reduce one or more embryos in the lieu of multiple implantations is a difficult one. In this article, I do not focus on the traumatic effect of infertility. Instead I discuss the use of multiple IVF trials despite repeated failures. One of the cases I discuss, for example, presents a serious narcissistic injury and disappointment at the discovery of infertility, which in turn affected the decision and the process of assisted reproductive technology. The delay in decision-making created medical risks during this woman’s pregnancies. She insisted on going through a second pregnancy using her own uterus to carry a fetus that came from the union of her husband’s sperm and an egg donor, her niece.

Unexplained Infertility

No matter how sophisticated the technique used to combat infertility, there are cases in which a woman remains infertile. Some causes of infertility remain beyond our understanding, even in these days of enlightened biological technology and modern-day high-tech reproductive procedures. These as-yet unsolved mysteries are very frustrating to those trying to understand why some people can conceive and others cannot. Unexplained infertility is a “diagnosis of exclusion.” This means that all other known diagnoses must be eliminated before the infertility can fairly be called “unexplained.” Making claims about the causality of infertility and the concept of psychogenic infertility is not a useful argument for us as psychoanalysts. Conscious and unconscious hostility toward a defective male sibling [11], and a woman’s unconscious repudiated femininity or motherhood can be important dynamics. However, there are couples who are able to conceive naturally in spite of similar dynamics. We need to be careful not to confuse the correlational data with causality.

In recent years, infertility treatment has undergone a genuine revolution, which has raised the possibilities for empirical treatment. Today’s infertility treatment is referred to as “assisted reproductive technology;” most simply stated, ART represents the joining of a hormonal therapy with a form of artificial insemination. ART is most commonly represented by intra-uterine insemination, IVF, and IVF’s variations.

Case #1: Jean

Jean, a married forty-eight year old woman, came to see me for analysis after a hiatus in her psychotherapy. During her previous years of treatment with me when she was in her early forties, she saw me twice a week. She worked in a demanding professional field and did not know why she could not conceive. She decided to wait and try natural methods to get pregnant. She made many attempts over a long period of time to conceive without any success. Jean’s professional life was a trying and challenging one and kept her very occupied to the point that she lost track of passing years. She did take pride in her work and wanted to appear to her colleagues as “perfect” and “flawless.”

Jean’s inability to conceive was very difficult for her to accept, since she thought nothing was physically wrong with her. Male factors for infertility were ruled out. It meant to her that she was defective. Jean’s husband, who was in a similar professional field, was very supportive of her; and he was willing to adopt or even be childless if Jean chose not to have any children. Jean was shame ridden about being defective and not being able to have children as her mother did. She felt intense envy toward her mother and especially her sister who was five years her senior and had one son. Her envy of pregnant women was very intense, making her angry when she encountered pregnant women. Jean came from a deprived background both emotionally and financially. She had memories of not having food and going hungry to school. She was not sure if she was conceived out of wedlock. She believed her sister was so conceived, and in her fantasy she thought her father never married her mother.

Jean’s brother was born when she was eight years old. She remembers her parents were overjoyed because they finally had a son after so many years. Jean devalued her mother for her emotional detachment, but would also show guilty feelings for her rage toward her mother. In her day-to-day interactions, Jean lacked emotional responsiveness. She tried hard to be friendly with her colleagues, as long as they praised her at work. She had many superficial friendships, but she could not go beyond the surface level in relationships. At the beginning of our work, this patient had immediate realistic concerns about dying before she could fulfill her dream of becoming a mother. Her resistance to becoming fully involved in the transference was expressed in the form of overvaluing her job, dealing with life and death issues, and considering her analysis “just talking,” a process in which “not much important action was happening.”

Jean related that no matter how much insight she would gain through our work, she still needed to take action by hurrying to have children from her own eggs before it was too late. She wanted her gynecologist to give her strong fertility medication like Lupron and other infertility medications to make her fertile. She went through multiple IVF procedures during this period. Each time they harvested her eggs, she would come in and boast about how many of her own eggs they were able to harvest. She turned a blind eye to the factual comments that several experts made to her about her age factor, which made her eggs unsuitable for IVF. She knew that the probability of getting a viable embryo out of her ovum was very low. She vehemently defended her decision and said, “I just do not want to borrow another woman’s eggs.”

“Borrowing” another woman’s eggs would mean that Jean was inferior to egg donors. After her husband suggested that perhaps they could consider an anonymous donor, though, she assented. Yet she waffled. If she could only find an anonymous donor from another country, perhaps she would follow through. In the end, Jean turned away from making the decision.

At this stage of our work, she was obsessed with going through many cycles of IVFs without showing much interest in exploring the meaning of her desperate actions. Only after many failures in conceiving did Jean begin to wonder why she could not get pregnant. She thought she was either being punished or she was just flawed. Her almost total absence of fantasy material toward me gradually gave way to being intensively curious about my personal life after she inadvertently learned that I had a daughter. Having found out through a friend who attended a fund-raising event where I was participating with my daughter, Jean imagined that I must be an attentive mother myself and not like her own mother who was aloof and detached. She would use technical terms to show me that she was psychologically minded and a well-read, intellectual woman. However, she would mispronounce or misuse words and quickly apologize to me for not having used the word accurately.

Jean would come to her sessions punctually, and she would get anxious when I took a break for a holiday or professional travel. She worried that I would never come back and that some disaster would separate us forever.

Gradually, the intense fear of her rage and somatic complaints gave way to uncovering the meaning of her dread over anything emotionally valuable in her life. She had intense envy of me as her analyst, and in fantasy wanted to exchange my rich and fulfilling life as a mother for her own barren existence.

In one of our sessions, after complaining that she had spent so many years of life in analysis without much change in her grief over being flawed (she still believed she was flawed), she agreed with my comment that I, too, must have failed her not to have given her the wisdom of my knowledge and experience; like her mother I, too, have given birth to a barren analytic child who was infertile. She acknowledged that although she agreed with much of what I said, she still had not given up on going through yet another IVF trial at her age. She was sure I could be not happy with her inability to conceive and that I would interpret it as if we both had failed.

Jean’s conflict around unconscious envy of me emerged as an expression of hatred and distrust of her mother. Her sense of competitiveness also emerged as she wished to have a sense of triumph instead of missed opportunities. Her denial of reality regarding her advanced age for a successful IVF outcome continued to take the center stage of our analytic work. Jean continued to seek the creation of a baby from her own eggs fertilized by her husband’s sperm. After seven trials without any success, she regretted putting herself through such vigorous procedures for a woman her age. She became more interested in the meaning of her loss. Finally she had to face it and go through the grief stage. She realized that she could no longer hold on to her dream.

At the end Jean realized that she could neither have a genetically related child, nor could she accept another woman’s egg. After all, she could not picture herself as a nurturing mother, and she concluded that it may be for the best not to become a mother. She could not be like her own fertile mother and had to accept the reality of growing old. Finally, she was able to face her ambivalence. Jean could learn to be more nurturing to the vulnerable part of herself.

At this point, the memory of her brother’s birth came up and her rivalry with him became a central theme in our work. The following is an example of how Jean characterized her envy:

Patient: I have all these mean thoughts and I feel really bad.

Analyst: Carrying the mean thoughts makes you feel guilt.

P: It is very harmful to be occupied with them.

A: In our last hour you mentioned how hard it was to deal with jealousy at your brother’s birth.

P: Yes, Mom was mad at me for being jealous of my brother. I am never good enough. Other people have talents and value, not me. There is this other part of me that is irrational and unkind.

There was always a feeling about my chance of getting pregnant with IVFs. How many attempts I made to give birth was like pushing a pickle through a straw. How many mean thoughts I would have! I am trying to make sense of these feelings. I am flawed, but I want to be saintly and have power to make these women lose their babies or relinquish them when they are born. I have those mean, evil thoughts. I am torn again all the time.

It ran through my mind that if I had special power, the technology would have worked for me. I would have gotten pregnant by now. Technology is amazing and works for others, but not me. There is a zinger in that. I did not want to have a flawed child, so maybe it was for the best that I did not get pregnant.

After many years of attempts, Jean was in a place to make a decision to adopt a one-year-old girl from China. This was a reasonable compromise for her after so many years of struggling with her desire to have her own biological child. Our analytical work had helped her to work through her early mother-daughter and Oedipal conflicts.

Case#2: Fran

Fran was a forty-eight year-old lawyer who came to see me because of depressive symptoms and romantic disinterest in her husband. She was hurt and angry because her husband became emotionally involved with a woman at his work. She thought her husband had become detached because she was putting all of her effort into using reproductive technology to get pregnant.

Before her current marriage, she had been briefly married to a man who was very critical of her weight even though she was a woman of normal weight. They divorced after one year. She remarried at age forty after four years of a long-distance relationship with the man who became her husband. Her husband is an architect whom she met while she attended law school. Their sexual attraction and their individual interests in sexual activity diminished over time until it became non-existent.

Fran was interested in having children and tried without success to get pregnant in the earlier years of her marriage. She and her husband went through a reproductive/fertility work up and did intra-uterine insemination without success. In the same year, it was discovered that her uterus had three large myoma. She underwent a myomectomy and then tried to get pregnant naturally. After many months without success, she went through six IVF procedures. Each time, Fran repeated the cycle of overstimulation of the ovaries, harvesting the eggs, in-vitro fertilization, and freezing of the viable embryos. She would become very hopeful and when the transfer failed, she would come to her sessions, crying in silence and going through another cycle of unfinished grief work. Fran then quickly bounced back and wanted to try IVF again. Her denial about the loss of her youth, wanting to remain a young fertile woman forever, was unshakable, and her sense of omnipotence governed her fantasy.

Fran came from a family of eight children. Her father was a professor and her mother a nurse. After the first three children became school age, her mother decided to have a second set of five children. Fran is the eldest of the second set. Fran’s father was overcritical and was frequently away traveling. Her mother was nurturing to the younger children, but the older ones were neglected. Fran had to take care of her younger siblings and did not have much private time for herself. She grew angrier each time her mother got pregnant. Her mother’s fertility was the topic of Fran’s conversations with her friends and in her therapy. Fran’s conflict about motherhood was significant during the early years of her marriage. There were psychological as well as physical factors in her infertility that interfered with her becoming pregnant. She dis-identified with her mother who was “fruitful and multiplied.”

As time progressed, Fran became aware of time’s passage and questioned her childlessness. She became anxious and rushed to remedy her infertility by choosing to become a mother despite her inability to conceive naturally. Fran was influenced by unconscious psychological factors. Her unconscious repudiation of her femininity played an important role in her difficulty conceiving.

During her psychoanalytic treatment, Fran’s developmental achievement of greater autonomy helped her “own” her femininity more fully. This enabled her to see herself more as a mature woman who needed to embark on the motherhood phase of her life despite her advanced years.

Fran and her husband tried to get pregnant for over ten years. She was almost fifty when she went through her first IVF. Her doctor said the chance of success was very slim, but she wanted to go through with it anyway. When it failed, she became depressed and had to deal with the loss of a dream to have a child with her own egg. She was struggling with her own sense of omnipotence – with issues of creating life – in an ambivalent way, destroying life via denial of the reality of her advanced age. Through our analytic work, she gradually became aware of her intense repetition compulsion, accepting the reality of her aging ovum and ushering her body into the menopause phase of life. With reluctance, Fran considered going through a search for an egg donor. She decided to ask her niece to become her donor. Her niece was a young woman in her early twenties. Her niece agreed to go through the procedure for Fran with Fran’s husband’s sperm.

The IVF was successful and the healthy fetus was implanted in Fran’s uterus. The clinic kept three more embryos for possible future pregnancies. Fran’s pregnancy was normal and her delivery uneventful. When her baby girl was born, Fran brought her to show me in my office. The girl had faint resemblance to her mother and Fran admitted that she looked like her niece more than her. She was thankful that her daughter was physically healthy.

This case shows a happy ending in certain respects and yet, there are many unanswered question about Fran’s family dynamics. What will happen when the child asks where she came from? When the little girl became a school-aged child, Fran was not ready to disclose the reality of her origin. She is working in treatment to understand the underlying meaning of her decision of keeping it secret despite the fact that the rest of her family knows the child’s origins.

Discussion

The two cases I described have a few psychological factors in common. Both women started rather late in their reproductive years to get pregnant. Their denials of their advanced age factor motivated both women to resort to repeated IVF trials without success. Both women had trouble accepting their infertility and insisted on having their own biological children. Jean felt deficient and deprived. She felt it was her right to have a baby. She was envious of her mother, sister, and sister–in-law’s abilities to have their own children, and she wondered why not her. Jean was told her eggs may be defective, and her doctor advised her to use an egg donor. She was in despair and felt envious of her mother who did not have to go through a fertility work up. Jean attributed her difficulty conceiving to her mother’s belief that she could not carry a baby because of her delicate body frame. After all, her mother’s prophesy must have come true. At last Jean faced her infertility while she was going through her analytical work with me. With Fran, once her pregnancy wishes were frustrated, the denial of her infertile self-image pushed her to a potential crisis level. Her repetition compulsion is related to her unconscious envy of her mother who was “fruitful and multiplied,” having eight children, unlike her. After multiple trials, Fran accepted that the only way she could become pregnant was through a donor egg. She has not fully thought through the pros and cons of selecting a family member as her egg donor.

Both patients’ narcissistic injuries were deep, and this debased their belief system about their self-representations and their body images. They carry with them the identificatory linkage with their primary pre-oedipal maternal object, wanting to become parents. As we see clinically, girls play mother roles in fantasy. In reality once their wishes are unfulfilled, the desire to get a different result than the one they face reaches a critical level. These conflicts propel them to try repeatedly to master the traumatic impact of their infertility.

Both cases suffered from the trauma of having to go through reproductive technology. Jean took an alternative step and adopted a child, while Fran got pregnant with a donor egg. Freud introduced the concept of repetition compulsion in Remembering, Repeating and Working-Through and Beyond the Pleasure Principle [12,13]. These essays marked a major turning point in Freud’s theoretical approach. Previously, he had attributed most human behavior to the sexual instinct (libido). He went “beyond” the simple pleasure principle, developing his theory of drives with the addition of death drive (referred to “Thanatos”).

Freud examined the relationship between repetition compulsion and the pleasure principle. Although compulsive behaviors evidently satisfied some sort of drive, they were a source of direct un-pleasure. Somehow, “no lesson has been learnt from the old experience of these activities having led only to un-pleasure. In spite of that, they are repeated, under pressure of a compulsion.” Freud concluded that the human psyche includes a compulsion to repeat that is independent of the pleasure principle.

In my clinical experiences working with a small group of women who have tried using IVF multiple times without any success, I saw clear evidence that unconsciously they resort to repeating a self-induced traumatic event. A compulsion to repeat was evident in my analytical work with women who went through multiple IVFs without a successful outcome.

One of the important factors in Jean’s case – repeating the use of procedure – illustrated her attempt to repair her early childhood neglect and abandonment. What is particular in Jean’s case is her nonchalant attitude about the doctor’s repeated warnings against using her aged eggs. Her denial was persistent, yet through our work she could finally face the reality of her infertility. Jean’s fertility process required her to be away from her analysis for a prolonged period. Though on one level this was a matter of time, on another it was psychological; the reason she needed to be away was as a defense against intimacy with her analyst. One might think of her transference as a particular form of unconscious communication as appears in the projective identification process. She was abandoning me to fulfill her very important procreative goal– leaving a pre-oedipal mother.

Fran’s case showed her significant conflict throughout her marriage. Aside from the physical factors that prolonged her attempts to get pregnant, she also had unconsciously dis-identified with her mother for fear of repeating her mother’s fruitfulness in procreation. Freud’s repetition compulsion concept applies to these two cases in which the clinical phenomenon manifests with repetitive quality. However, analysis helped these two patients immensely with their aggressive conflicts as well as with the uncovering of their past trauma.

Freud cited four empirical observations as the basis for his theories and speculations: first, dreams occur in the traumatic neuroses in which patients repeat a traumatic situation. Second, there is a tendency on patients’ part to repeat painful experiences from the past during their analyses. Third, the fate neuroses were an important notion. And fourth, certain types of children’s play supports the concept of repetition.

In Moore and Fine’s Psychoanalytic Terms and Concepts (1990), the meaning of the term “repetition compulsion” was extended to include drives for mastery as well as other adaptational and maturational processes. In Freud’s speculations in Beyond the Pleasure Principle (1922), the repetition compulsion is presented as an explanatory concept, inextricably tied to the death instinct. It functions as a regulatory principle, primitive in its origin and mechanisms, biologically based, and capable of overriding the pleasure/un-pleasure principle. Kubie [14] stated that analysts after Freud have offered such diverse interpretations of the concept “as to render it almost meaningless” (p. 390).

Some contemporary authors believe that Freud’s early concept of repetition compulsion is non-dynamic, negativistic and fatalistic; Lawrence B. Inderbitzin MD and Steven Levy, MD [15] (Psychoanalytic Quarterly. 67: 32–53 Repetition Compulsion Revisited: Implication for Technique).

There are many references to the repetition compulsion in psychoanalytic and psychiatric literature; I will list a selection that refers to the origin of the concept of compulsion to repeat and where it belongs in psychic structure.

Inderbitzin and Levy (1998) believe that one has to pay close attention to a more meaningful dynamic formulation, which includes a consideration of the intense frustration and ensuing aggression that trauma generates, and the opportunities for aggression provided by “re-experiencing trauma.” Trauma appears to take on an instinct-like role that really belongs to the aggression created by the trauma. The re-experiences of trauma contain hidden aggressive aims and gratifications (often based on identification with the aggressor), including punishment of perpetrators by inducing guilt, demand for reparation, expression of entitlement, exploitation of others, magical “control” of helplessness, and purposeful self-defeat (self-directed aggression).

A woman’s failure to conceive may be related to the traumatic and unsatisfactory relationship to her mother. The re-experience of trauma by repeated use of Assisted Reproductive Technology such as IVF, contains masked aggression, which is turned against self or others. The aggression may take the form of a demand for reparation and a magical solution to her age-induced infertility. Two clinical illustrations show how infertility traumata were re-experienced as a new version of an earlier trauma with self-induced traumatization through a compulsion to repeat.

References

  1. Freud S (1940) An outline of psychoanalysis. S.E 23.
  2. Deutsch H (1945) The Psychology of women. Grune and Stratton, Vol II, New York.
  3. Benedek T (1952) Psychosocial Functions in Women. Ronald Press, New York.
  4. Bibring G ET (1961) A study of psychological process in pregnancy and of the earliest mother and child relationship. Psychoanl Study Child 16: 9–72.
  5. Notman M, Lester EP (1988) Pregnnacy: theoretical considerations. Psychoanl Inq 8: 139–160.
  6. Pines D (1982) Relevance of early development to pregnancy and abortion. Int J Psychoanal 61: 311–331.
  7. Lester EP, Notman M (1986) Pregnancy, developmental crisis and object relations: Psychoanalytic considerations. Int J Psychoanal 62: 357–366.
  8. Zalusky S (2000) Infertility in the age of technology. J Am Psychoanal Assoc 48: 1541–1562. [crossref]
  9. Freud S (1923) The Ego and the Id. S E 19; 12–66.
  10. Ehrensaft D (2008) When baby makes three or four or more, Psychanal. Study Child 63: 3–23.
  11. Allison GH (1997) Motherhood, motherliness, and psychogenic infertility. Psychoanalytic Quarterly 66: 1–17.
  12. Freud S (1914) Remembering, repeating and working-through. (Further recommendations on the technique of psycho-analysis II.) S E 12.
  13. Freud S (1920) Beyond the pleasure principle. SE 18.
  14. Kubie LS (1939) A critical analysis of the concept of a repetition compulsion. Int J Psycho-Anal 20: 390–402.
  15. Inderbitzin L B, Levy S (1998) Repetition Compulsion revisited: Implication for Technique, Psychoanalytic quarterly 67: 32–53.

Studies on the Evaluation of Preservative Efficacy of 2-Pyrrolidone for Oral Paediatric Formulations

DOI: 10.31038/JPPR.2018114

Abstract

Pharmaceutical oral dosage forms intended to children have to be administered under liquid dosage forms. These oral liquid formulations contained into multidose containers require the addition of antimicrobial agents to avoid the growth of microorganisms. Moreover, the oral administration of poorly water soluble drugs requires the use of excipients (organic solvent, cyclodextrins, surfactants, polymers) able to improve their water solubility. 2-pyrrolidone (Soluphor® P) a co-solvent usually used to dissolve drugs for the manufacture of parenteral dosage forms and suggested also for other administration routes, showed antimicrobial activity. To study the extent of its preservative efficacy, we determined the minimum inhibitory concentration (MIC) and the minimum bactericidal concentration (MBC) first, for bacteria (Staphylococcus aureus, Pseudomonas aeruginosa, Escherichia coli, Enterococcus faecalis, Staphylococcus epidermidis, Staphylococcus capitis) and for bacterial spores (Bacillus cereus, Bacillus sphaericus, Bacillus subtilis), then for yeast and mould (Candida albicans, Aspergillus niger). The results showed that 2-pyrrolidone has a bactericidal and fungistatic efficacy. Challenge tests were realized on oral aqueous paediatric formulations of vitamin D3 containing 2-pyrrolidone as a co-solvent and all known micro-organisms in such formulations were studied. The preservative efficacy of 2-pyrrolidone was observed at a dosage level of 75 mg/mL.

Keywords

preservative efficacy, antimicrobial, bactericidal, sporistatic, paediatric dosage forms, 2-pyrrolidone, challenge test, micellar solution, Vitamin E TPGS®.

1. Introduction

Beside the issues of immaturity of enzymes or reduced organ functions, encountered by the neonates and infants, which may determine the pharmacokinetics of the administered drugs, children [1] show difficulties in swallowing solid dosageforms for oral use. Fot this reason, for this patient group, small sized particulates or liquid dosage forms are preferred to classic tablets or capsules [2]. The main problems occurring using liquids are (i) the palatability of the solution [3,4], especially when the taste sensation differs interindividually, (ii) the poor water solubility of many drugs, (iii) the shelf stability of the final liquid dosage forms, often prone to degradation reactions (oxidation, reduction, epimerization, hydrolysis, …) and (iv) the microbiological safety of the product, namely its protection from microbial contaminations occurring from consumer use [5] Amongst the different techniques used to increase the water-solubility of drugs [6], the ones using co-solvents and surfactants are the easiest to use industrially. Unfortunately, for the formulations and developments of paediatric medicines [7,8] the use of co-solvents (e.g. ethanol, glycerol) is not recommended at high levels due to their neurological and laxative effects. Furthermore, the addition of surfactants into multidose dosage forms, necessitating the need of preservatives, can lead to the formation of complex of molecules with these compounds and also to a decrease of their activity [9–11]. Amongst solubilising excipients used in oral and injectable formulations, 2-pyrrolidone is a pharmaceutical FDA-approved solvent found in many marketed forms of poorly soluble drugs. Nevertheless, even if 2-pyrrolidone is recommended by suppliers to be used to construct oral dosage forms, only few studies have been conducted on this excipient. Beside the well-known solubilizing property on this excipient, we found also an antibacterial activity. To validate this new concept in the paediatric field, we used an antirachitic lipophilic model drug such as vitamin D3 and its antioxidizing agent, propyl gallate and sodium fluoride as hydrophilic drug. To prove the extent of this new antimicrobial activity, we determined the minimum inhibitory concentration (MIC) and the minimum bactericidal concentration (MBC) first for gram-positive bacteria (Enterococcus faecalis, Staphylococcus aureus, Staphylococcus epidermidis, Staphylococcus capitis) gram-negative bacteria (Pseudomonas aeruginosa, Escherichia coli) spore-forming gram-positive rods (Bacillus cereus, Bacillus sphaericus, Bacillus subtilis) and then for yeast (Candida albicans) and fungus (Aspergillus niger). Then challenge tests were realized according to European Pharmacopeia 9.0 (EP) criteria on oral aqueous paediatric formulations containing 2-pyrrolidone as a co-solvent of vitamin D3. The results presented below suggest that 2-pyrrolidone could find very interesting applications as a potent excipient with antimicrobial activity into liquid dosage forms.

2. Methods and Materials

2.1. Solubility determinations

The phase-solubility method developed by Higuchi and Connors [12] was used to determine the solubility for vitamin D3 (cholecalciferol, Fluka, Saint Quentin Fallavier, France). Sample vials were prepared in triplicate by adding an excess amount of vitamin D3 to vials containing either 100 g of 2-pyrrolidone aqueous solutions at various concentrations (w/w: 1, 5, 10, 20, 30, 40, 50%); or 100 g of 2-pyrrolidone aqueous solutions at 40% (w/w) containing also 1.50 or 3.0% (w/w) of d-α-tocopheryl polyethylene glycol 1000 succinate (Vitamin E TPGS® NF Grade, Eastman, Anglesey, United Kingdom). The precipitates were removed through 0.45-µm TEFE syringe filters (Millipore, Molsheim, France). The vials were then closed withTEFE-lined rubber-stoppers and were rotated at 40 rpm using an end-over-end mechanical rotator (Vankel, VK 750D) at 25°C for 30 minutes. The drug solubility in aqueous solutions at various 2-pyrrolidone/Vitamin E TPGS® ratio was determined using a high performance liquid chromatography (HPLC) assay as stated below.

2.2. Preparation of micellar solutions

The micellar solutions were prepared according to a standard method employing a room temperature homogeneization [13]. The three tested compositions of micellar solutions are presented in
(Table 1). Briefly, d-α-tocopheryl polyethylene glycol 1000 succinate and 2-pyrrolidone were heated at 40°C and then the mixture was cooled at 20°C. The vitamin D3 and propyl gallate (Fluka, Saint Quentin Fallavier, France) were dissolved and homogeneized into this solution. This solution was added and homogenized with an aqueous solution constituted of a mixture of sodium fluoride, saccharin sodium, aroma of red fruits without vanillin and liquid maltitol (Lycasin® 80/55-sirup, Roquette, Lestrem, France).

Table 1. Compositions of the micellar solutions.

Compounds

Composition (g)

Formulation A

Formulation B

Formulation C

Vitamin D3

0.0080

0.0080

Sodium fluoride

0.2200

0.2200

0.2200

Propyl gallate

0.0200

0.200

Vitmain E TPGS®

1.5000

1.5000

Saccharin sodium

0.5000

0.5000

0.5000

Aroma without vanillin

0.4000

0.4000

0.4000

2-pyrrolidone

40.00

40.00

40.00

Lycasin® 80/55-sirup

40.00

40.00

40.00

Purified water

QSP 100.00

QSP 100.00

QSP 100.00

2.3. Granulometry analyses

The average size and distribution of surfactant micelles were determined by light scattering (DLS) using a Zeta Sizer Nano Zs (Malvern) with a He-Ne laser light (λ= 633 nm) and a detection angle of 90°. The viscosities of the micellar solutions were comprised between 0.65 and 0.90 cP.

The measurements were carried out at 25°C. The final sample of micellar solution was diluted in water (MilliQ) to bring the concentration to 0.1mL/1mL. Measurements were made in conventional cuvettes, eliminating the possibility of sample cross-contamination. The intensity average diameter was computed from the intensity autocorrelation data using the cumulate analysis method. Micelle size measurements were performed 5 times for each sample.

2.4. Quantitations of vitamin D3 and sodium fluoride

2.4.1. Quantitation of vitamin D3

2.4.1.1. Equipment

Vitamin D3 was quantified by HPLC. The chromatographic system consisted of a model LC-126 programmable pump, a model LC-507 automatic injector, and a model LC-166 variable wavelength UV – Vis detector. All items were purchased from Beckman System Gold (Villepinte, France). HPLC analysis was carried out at a temperature of 20 ± 2°C using a Macherey-Nagel C8 5 μm (125 x 4.0 mm I.D.) reversed-phase column with spherical particles having pores diameter of 10 nm. Chromatographic data were analysed by Karat Software Version 32.0.

2.4.1.2. Chromatographic conditions

The mobile phase consisted of 100 volumes of a 0.11% (v/v) solution of phosphoric acid (Merck, Darmstadt, Germany) and 900 volumes of acetonitrile (Sigma-Aldrich, Saint Quentin Fallavier, France). The flow rate was 1.4 ml/min and detection wavelength was set at 268 nm. Aliquot of 20 µl were injected onto reversed-phase Lichrospher C8 column. All the solvents used in chromatography were of HPLC grade and deionized water used for the preparations of the micellar solutions and for HPLC was obtained from a synergy UV water purification system (Millipore, Molsheim, France). All other chemicals were of analytical reagent grade and used as received.

2.4.1.3. Preparation of standard solutions

Vitamin D3 (≥99.0%) was used for preparing standard solutions in Methanol. The concentrations of these solutions were approximately 8.0 mg per 100 mL; they were stored at +4°C in the dark. Serial dilutions for the analytical HPLC were made in methanol/water (70/30, v/v) to obtain concentrations ranging from 11.50 to 26.83 µg/mL. All procedures were performed in a darkened container. In addition, glassware used in this assay was rinsed with acetone before use. The samples of vitamin D3 in 2-pyrrolidone (solubility determinations) and in micellar solutions (see below) were diluted with a mixture of methanol/water (70/30, v/v) before to be analysed.

2.4.1.4. Method validation

The method was validated for parameters such as linearity, precision, accuracy, and stability following the analytical validation guidelines defined by Caporal et al. and Chaminade et al. [14–17] three different blank samples were processed and injected into the HPLC system to investigate whether the components of the micellar solutions interfere with analytes. Three calibration curves were constructed according to section 2.4.1.3 and analyzed on 3 consecutive days.

The accuracy and precision were evaluated using samples at five concentration levels. Three replicate samples at each concentration were analyzed in a sequence to evaluate within-day variation. For evaluation of the between-day variation, three replicate samples at each concentration were analyzed on 3 different days. The accuracy was expressed by [(mean observed concentration)/(spiked concentration)] × 100% and the precision by relative standard deviation. The recoveries of vitamin D3 were evaluated by comparing the mean peak area of samples to the mean peak area of pure standards of equivalent concentrations.

2.4.2. Quantitation of sodium fluoride

2.4.2.1. Equipment

An ion analyzer (CyberScan ion 510 Meter, Eutech Instruments, Nijkerk, Netherlands) was used to measure the fluoride concentrations using a fluoride ion-specific combination electrode (Fischer Bioblock Scientific, Illkirch, France). The instrument was calibrated to measure fluoride concentrations between 0.02 ppm and 10 ppm.

2.4.2.2. Preparation of standard solutions and method validation

The fluoride concentrations in micellar solutions were determined after dilution. A set of fluoride standard solutions (ranging between 0.025 and 3.200 μg F/mL) was prepared, using serial dilutions from 100 μg F/mL NaF stock solution (Fischer Bioblock Scientific, Illkirch, France). The multivoltage potentials were converted to μg F /g using a standard curve with a coefficient correlation of r ≥0.99. The mean repeatability of the readings, based on duplicate samples, was 92.3%. The total amount of fluoride (mg) in the micellar preparations was calculated from the amount of fluoride in the sample and the total volume of the sample after homogeneization.

2.5. Determination of the minimum inhibitory concentration (MIC) and of the minimum bactericidal concentration (MBC) of 2-pyrrolidone

2.5.1. Bacterial, yeast and mould strains culture conditions

Bacterial strains Pseudomonas aeruginosa (ATCC 9027), Staphylococcus aureus (ATCC 6538), Escherichia coli (ATCC 8739); yeast strain Candida albicans (ATCC 10231) and mould strain Aspergillus niger (ATCC 16404) all recommended by the EP have been used. Furthermore, wild bacterial strains such as Enterococcus faecalis, Staphylococcus epidermidis, Staphylococcus capitis provided from our laboratory and spores from Bacillus subtilis, Bacillus cereus and Bacillus sphaericus have been also tested. Before use, the bacteria were kept frozen at -80°C in brain-heart infusion broth (bioMérieux, Marcy l’Etoile, France) supplemented with 20% glycerol.

Bacterial cultures were grown on trypticase soy agar (TSA) (bioMérieux, Marcy l’Etoile, France) at 37°C. Yeast and mould cultures were grown on Sabouraud agar medium (SAB) (bioMérieux, Marcy l’Etoile, France) at 30°C. The inoculum was prepared by suspending overnight cultures at 37°C in Mueller-Hinton (bioMérieux, Marcy l’Etoile, France) broth and adjusting to an OD620 of 0.15–0.16 corresponding to 1–3×108 colony-forming units (CFU)/mL. C. albicans (ATCC 10231) (6.7×107 CFU/tablet) and A. niger (ATCC 16404) (5.4×106 CFU/tablet) were provided by AES laboratoire (Combourg, France). MIC for C. albicans and A. niger has been realised in Sabouraud medium broth (bioMérieux, Marcy l’Etoile, France).

B. sphaericus and B. cereus spores were isolated from growth culture on specific medium (meat extract 2.4g; peptone 2.4g; NaCl 1.2g; MnSO4.4 H2O 0.03g; KH2PO4 0.25g; agar 13g; water 1000 mL) while B. subtilis spores (106 spores/tablet) was purchased from AES laboratoire, Combourg, France. Briefly, B. sphaericus and B. cereus spores were obtained after 48h culture at 37°C on a slant of specific medium. Specific medium was flooded with 2 mL of sterile water and shaked 15 s. The water was transferred in a sterile tube and heated 15 min at 80°C. Serial 10-1 dilutions of the spore solutions were enumerated by the plating method on TSA medium. MIC determination has been done in Mueller-Hinton broth (bioMérieux, Marcy l’Etoile, France).

2.5.2. Preparation of the samples

The experiments for the determinations of MIC and MBC have been carried out under aseptic conditions and precautions have been taken against microbial contamination. Nevertheless, experimental conditions were such that they do not affect any micro-organisms which were to be revealed in the test. The working conditions in which the tests were performed were monitored regularly by appropriate sampling of the working area and by carrying out appropriate controls (such as those indicated in those indicated in the appropriate European Community Diretives and associated guidance documents on GMP).

2-pyrrolidone and water were sterilized by filtration (0.45 μm pore size filters, Dutscher, Brumath, France) before use. First of all, a solution containing 800 mg/mL was prepared by adding 2.75 mL of deionized water to 7.25 mL of 2-pyrrolidone.

In a first step, a series of test tubes containing different concentrations in descending order of 2-pyrrolidone into Mueller-Hinton broth were inoculated with a same amount of bacteria or spores (106 CFU/ml) or into Sabouraud broth for yeast and mould strains. A broth not containing antimicrobial agent was inoculated as a control for organism viability. After 18-24 h of incubation at 37°C, the test tube of the highest concentration in which no microbial growth was observed gives the MIC value (mg/mL). In a second step, 100 μl of samples were taken from each test tube in which no growth was observed. Serial 10-1 dilutions of the samples were enumerated by the plating method on Mueller-Hinton agar or Sabouraud agar. After 24h of incubation at 37°C, or 48h at 30°C for C. albicans and A. niger the numbers of surviving micro-organisms were counted and were compared to the standard ranges (106 CFU/mL). MBC value (mg/mL) corresponds to the concentration of the sample tube in which surviving micro-organisms were equivalent to 0.01%. The ratio MBC/MIC allows determining the antibacterial activity as follows:

MBC/MIC < or = 4 characterize a bactericidal, fungistatic or sporicidal activity

MBC/MIC > 4 characterizes a bacteriostatic, fungistatic or sporostatic activity.

2.6. Test for efficacy of antimicrobial preservation

The official EP Test for the efficacy of antimicrobial preservation is usually applied to preserved oral liquid formulations. Challenge testing was performed using micro-organisms selected from those listed in section 5.1.3. of the EP (S. aureus (ATCC 6538)), P. aeruginosa (ATCC 9027), E. coli (ATCC 8739), C. albicans (ATCC 10231), and A. niger (ATCC 16404)). Containers of the product to be examined were inoculated with a suspension of one of the test organism to give an inoculum at 106 CFU/g.

Briefly, after micro-organism inoculation, the inoculated product (30g) was maintained at 20°C-25°C in the dark. One g aliquots of the inoculated product were removed at 0, 14 and 28 days. To each was added 9mL of a neutralizing solution (Polysorbate 80, 30g; lecithin, 3g; histidine monohydrochloride, 1g; sodium chloride, 4.4g; potassium phosphate dibasic, 3.6g; sodium phosphate dibasic, 7.2g; water,
1000 mL). After being allowed to neutralize for 0.3 h at room temperature, broths were diluted until 10-5 into the neutralizing solution and filtered through 0.45 μm filters 47 mm (Millipore, Molsheim, France). Each membrane filter was rinsed five times with 10 mL of the neutralizing solution. Finally, each membrane was plated on an appropriate agar plate. Bacterial plates were incubated at 30°C for 24h, while yeast and moulds plates were incubated 48 h at 30°C and the CFUs were counted. The control preparations were similarly sampled at 0 h to determine the viable counts of the cultures used and to confirm the ability of the unpreserved formulation to support the viability and/or the microbial growth and also the effectiveness of the neutralizing medium for the inoculum recovery.

3. Results and discussion

3.1. Solubility of vitamin D3 and its formulation

The vitamin D3 solubility in water in the presence of 2-pyrrolidone at various concentration is shown in (Figure 1). In addition, the solubility enhancement of the drug in the presence of Vitamin E TPGS® is also shown. Vitamin D3 has a solubility ranging from 0.01 μg/mL in pure water to 77 μg/mL in aqueous olutions containing 40% [w/w] of 2-pyrrolidone and 1.5 % [w/w] of Vitamin E TPGS®. The use of other excipients in the 2-pyrrolidone and Vitamin E TPGS® formulations resulted in only a slight solubility hancement (data not shown).

JPPR 2018-103-ThierryFVandammeFrance_F1

Figure 1. Solubility of vitamin D3 in various media: water, water + 2-pyrrolidone and water + 2-pyrrolidone + vitamin E-TPGS®

These results suggest that the selection of an adequate mixture of a co-solvent/surfactant can lead to a suitable formulation of a poorly soluble neutral drug candidate such as vitamin D3. As depicted on the Figure 1, the addition of Vitamin E TPGS® in the 2-pyrrolidone formulation was not efficient to improve the water solubility of vitamin D3. Nevertheless, previously, we observed that this excipient could improve the water solubility of propyl gallate, the antioxydizing agent, which is poorly soluble in a 2-pyrrolidone aqueous solution (data not shown). Therefore, in this case, the concomitant use of an excipient and a co-solvent was justified by the solubilities and the physicochemical natures of the drug, vitamin D3 and its antioxydizing agent, propyl gallate, used in the formulation (see formulation B and C below).

3.2. Granulometry analyses

DLS method has been extensively used for particle size analysis in the submicrometer range. It covers the size range of about 1 nm to 1 μm. We applied DLS method to calculate the size distribution of the surfactant micelles formed in aqueous solution with Vitamin E TPGS® micelle for three formulations (A, B, C) are presented in (Table 2). The average size for the formulations A, B and C was respectively 6.02 ± 0.4 (by number) and 11.54 nm (by intensity); 7.69 ± 0.4 (by number) and 13.20 nm (by intensity); 6.54 ± 0.4 (by number) and 13.70 nm (by intensity).

Table 2. Average size of Vitamin E TPGS micelles in formulations at 25°C.

Sample

Size distribution intensity (nm)a

Size distribution by Volume (nm)a

Size distribution by Number (nm)a

Formulation A

11.54±0.5

7.97±0.3

6.02±0.4

Formulation B

13.20±0.7

8.20±0.4

7.69±0.4

Formulation C

13.70±0.9

9.18±0.3

6.54±0.4

aMean of 5 values ± SD

(Figure 2) shows the typical graphs for granulometry analyses for formulation B (formulation C shows a similar graph). This graph shows the size distribution by intensity of micelles formed with 1.5% [w/w] Vitamin E TPGS® in the final formulation.

As shown in Figure 2, by intensity, there is a wide distribution size for the micelles, ranging from 1.05 nm to 13.2 nm. However, micelles of dimension up to 13 nm constitute 94.8% of the total micelle population, with the maximum number of micelles observed at a diameter of 0.866 nm.

3.3. Method validation

3.3.1. Vitamin D3

Analytical separation of vitamin D3 from the excipients present in the formulations is exemplified in (Figure 3). This figure shows the method specificity as none of the added excipients interfered with vitamin D3 which retention time was 4.9 min. Calibration curves were derived from injections at 5 concentrations of vitamin D3 (11.85, 15.80, 19.75, 23.70 and 27.65 μg/mL). The following regression equation was obtained: [vitamin D3]mg/mL= 35884 (peak area)UA + 14265 with r2= 0.999 for vitamin D3. All calibration curves were found to have a good linear regression fit (r2>0.99) within the test range. The limit of detection and quantitation were respectively 0.36 ng/mL and 1.20 ng/mL for vitamin D3. The corresponding relative standard deviation (RSD) was less than 5% for this drug. The limit of detection was calculated on the basis of 3σ and the limit of the quantitation on the basis of 10σ, according to Miller JC and Miller JN [18].

The experiment reproducibility was assayed by performing six replicate injections of a standard mixture of vitamin D3 at 19.16 μg/ml, leading to calculated peak areas in the range of 0.32% and 0.93% (expressed as coefficient of variation).

3.3.2. Sodium fluoride

Using an ion analyzer, quantitation of sodium fluoride was performed. The calibration linearity was obtained over the test range of 12.0–28.2 μg/mL with coefficients of correlation being over 0.999. The mean repeatability of duplicated samples was 92.3%. For the reproducibility, three groups of six replicate injections of a standard mixture containing 19.3 or 19.8 or 19.9 ppm of sodium fluoride resulted in reproducibility of readings expressed as coefficient of variation comprised between 0.29% and 0.62 %.

3.4. Microbiological properties of 2-pyrrolidone

The observed MICs and MBCs values obtained for 2-pyrrolidone varied from one micro-organism to the other (Table 3) respectively in the range of 20 mg/L to 75 mg/L and of 75 mg/L to 200 mg/L. For MIC, the most sensitive strains were respectively S. capitis, A. niger and E. coli while Bacillus spores were the most resistant organism with MIC around 50–75 mg/L. On the other hand, the lowest MBC values were obtained for P. aeruginosa and E. coli, gram negative bacteria, while the others strains displayed higher values around 200 mg/L. 2-pyrrolidone was a bactericidal compound against gram negative bacteria and S. aureus, but was a bacteriostatic or a fungistatic compound for all the others strains tested.

JPPR 2018-103-ThierryFVandammeFrance_F2

Figure 2. Statistics graph of size distribution (by intensity) of the micelles contained into the final formulation after 5 measurements.

JPPR 2018-103-ThierryFVandammeFrance_F3

Figure 3. RP-HPLC chromatogram of a standard mixture containing Vitamin D3 (Rt= 4.9 min).

Table 3. MICs and MBCs values (mg/mL) of 2-pyrrolidone for different micro-organisms strains.

Strains

MIC

MBC

MIC/MBC

Activity

E. coli

30-50-30

75-75

< 4

bactericidal

S. aureus

40-50-50

100-200

< 4

bactericidal

P. aeruginosa

50-30

75-50

< 4

bactericidal

E. faecalis

50-50

200-200

< 4

bactericidal

S. epidermidis

40-40

200-200

> 4

bacteriostatic

S. capitis

20-20

75-100

> 4

bactericidal

B. cereus spores

50-75-75

>200->200->200

> 4

sporostatic

B. sphaericus spores

50-50-75

>200->200->200

> 4

sporostatic

B. subtilis spores

75-75-75

>200->200->200

> 4

sporostatic

C. albicans

40-40-30

200-200-200

> 4

fungistatic

A. niger

40-30-30

>200->200->200

> 4

fungistatic

In addition to bacterial strains described in the EP, we have also used different bacterial species which can be found in oral pharmaceutical preparations.

Coagulase-negative staphylococci such as S. epidermidis and S. capitis belong to the microflora of human skin and mucous membranes; they are easily dispersed by skin scales. They are considered opportunistic pathogens and, in immunocompetent adults, are mostly associated with endocarditis, osteomyelitis, surgical site and foreign body infections [19]. S. epidermidis is one of the major causes of nosocomial infections, especially nosocomial bacteraemia. It expresses several virulence factors including those involved in the ability to adhere to and accumulate as a biofilm on a variety of surfaces, including prosthetic devices and transcutaneous catheters [20]. Enterococcus species are natural members of the human and warmblood animal intestinal flora. E. faecalis is the dominant species found in human feces [21]. Furthermore, enterococci are frequently isolated in soil, plants, vegetables, and in various foods. Because of their high concentrations in feces and their long survival period in the environment, enterococci have been proposed as water fecal contamination indicators [22]. Bacillus species are capable of undergoing sporulation, producing a dormant endospore. These spores are resistant to environmental stresses, including heat, desiccation, toxic chemicals, and extremes of ionic strength. Bacterial spores are the last organisms to remain viable during sterilization processes and environmental extremes that readily kill vegetative bacteria. For that reason, they are employed as biological indicators for monitoring the effectiveness of sterilization processes, such as vaporized hydrogen peroxide treatments [23] autoclaving, and UV irradiation [24].

3.5. Efficacy of antimicrobial preservation

EP (9th Edition, 2017. 5.1.3. Efficacy of antimicrobial preservation 577-579 and 2.6.13. Microbial examination of non-sterile products: test for specified micro-organisms) gives official quantitative methods for testing the efficacy of antimicrobial preservation in oral preparations. EP requires a log 3 reduction at 14 days in the case of bacteria and a log 1 reduction in the case of fungal count. At 28 days, EP requires that there is “no increase” in bacterial and fungal counts compared to the 14 days count.

Colony counting is not a precision method and for this reason, the criteria are given in integer logarithmic reduction values, a half log reduction value was taken to specify the requirement of “no increase”.

The EP criteria for evaluation of antimicrobial activity for oral preparations are given in terms of log reduction in the number of viable micro-organisms against the value obtained for the inoculum, and are summarised in (Table 4).

Table 4. The logarithmic reduction of bacterial cell number for 3 formulations evaluated by the official EP “test for the efficacy of antimicrobial preservation”.

Log reduction

14 days

28 days

Expected

Obtained

Expected

Obtained

Formulations

 

A

B

C

A

B

C

Strains

S.aureus

3

5.57

5.7

5.32

3

5.2

5.13

6.43

P.aeruginosa

3

5.43

5.76

6.06

3

5.28

>5.00

6.65

E. coli

3

5.56

5.91

4.56

3

4.96

>5.00

6.08

S.albicans

1

5.73

3.96

>5.00

1

>5.00

5.71

>5.00

A.niger

1

>5.00

1.76

2.44

1

5.74

4.83

3.29

B.cereus

N.C.

<1.00

<1.00

<1.00

N.C.

<1.00

<1.00

1.96

B.sphaericus

N.C.

<1.00

<1.00

<1.00

N.C.

<1.00

<1.00

<1.00

B.subtilis

N.C.

<1.00

<1.00

<1.00

N.C.

<1.00

<1.00

-2

N.C.: no criterion

According to the EP criteria for S. aureus, P. aeruginosa, E. coli, C. albicans and A. niger, 2-pyrrolidone preserved all 3 different oral preparations as well as 14 days and 28 days of microbial contaminations. The highest preservative effect was obtained with the formulation A. In this case, all the micro-organisms tested, even yeast and mould, showed a high logarithmic reduction, around log 5. Formulations B and C had a similar effect against bacterial strains tested, but were less effective against yeast and mould strains specially at 14 days.

The main difference between the 3 formulations is the presence of propyl gallate in the formula B and C. It is well known that propyl gallate, have antioxidant properties [25]. The lower efficiency of the antimicrobial activity of 2-pyrrolidone against fungus in formula B and C could be due to by the presence of propyl gallate which reduces the oxidative stress against lipid cellular membranes.

There is no criterion for bacterial spore reduction in the EP. No spore number reduction was detected within 14 days and 28 days for B. cereus spores with the formulation C in which we observed around a log 2 reduction. Such as for EP bacterial criteria at 28 days, there was “no increase” in spore count compared to the 14 days count, excluded for B. subtilis spores. In this case, a bacterial growth around log 2 was observed after 28 days contact.

Some other antimicrobial preservative compounds are used in pharmaceutical products. Parabens, especially propyl paraben, and p-hydroxybenzoic acid (pHBA) are the most frequently employed in cosmetic and pharmaceutical preparations [26]. Due to their wide antibacterial properties, low toxicity and chemical stability they have been used in food, drugs, and cosmetic for over 50 years. Parabens are antimicrobially effective in a dosage of 0.1 to 0.2%. Concentrations of use vary from product to product but seldom exceeds 1%. The main drawback is their unsatisfactory action against gram-negative bacteria, especially Pseudomonas genus which are capable of metabolising parabens as sources of nutrient materials [27]. Furthermore it has been shown that Enterobacter cloacae and nterobacter gergoviae produced an esterase involved in the hydrolysis of parabens [28]. In the same way, Van Dyk et al. [29] described that the treatment of E. coli with pHBA acid, induced an over expression of an efflux system involved in pHBA resistance. While Ramos-Gonzalez et al. [30] showed that the mechanism of pHBA tolerance in Pseudomonas putida DOT-T1E was due to an increase of the cell membrane rigidity. On the other side, it has been shown more recently, that parabens had an endocrine activity and had implications for potential risk to human health [31]. For these reasons, 2-pyrolidone could be used as new and safer antimicrobial preservative compound. The main drawbacks of this excipient is its higher MCI and MCB values compared to pHBA MCI, which is approximately 30-40 times more efficient [32]. But, unlike parabens, 2-pyrrolidone has bactericidal activity against gram negative bacteria. Moreover, 2-pyrrolidone is a cyclic amide which lacks mutagenic or genotoxic activity and its oral LD50 is very high in rats with values greater than 5000 mg/(Kg-body weight) in rats being reported [33,34].

For dissolving drugs, 2-pyrrolidone can be used in high concentrations in oral preparation (400 mg/mL). This concentration is greatly higher than the MICs measured against all micro-organims tested. For that reason we propose to use 2-pyrrolidone as the sole preservative agent in oral paediatric formulations in the absence of other preservative compound such as parabens or pHBA.

4. Conclusion

The concomitant use of 2-pyrrolidone and vitamin E TPGS® was beneficial to enhance aqueous solubility of vitamin D3 and propyl gallate, the antioxydizing agent. By comparison with conventional antimicrobial agents commonly used for oral formulations, MIC and MBC of 2-pyrrolidone were determined to be high, necessitating large amounts of this compound to provide antimicrobial efficacy for the formulation of a liquid oral drug delivery system. Therefore, the use of 2-pyrrolidone could be justified only in formulations of oral liquid drug delivery containing surfactants and it should not be used for liquid oral solutions or suspensions for which common antimicrobial agents are more suitable. To conclude, for formulations containing surfactants, 2-pyrrolidone can be promisingly considered, especially in the field of oral paediatric formulations.

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An NT5E Gene Polymorphism Associates with Low Bone Mineral Density in Chronic Kidney Disease Patients

DOI: 10.31038/JCRM.2018125

Abstract

Arterial calcification is an independent predictor of all-cause and cardiovascular mortality in end-stage renal disease. CD73, a GPI-linked plasma membrane ecto-enzyme encoded by NT5E gene, is involved in vascular calcification inhibition. Mutations in NT5E gene are linked to premature onset of arterial and distal joint calcification in families, possibly due to the downstream effects of CD73 on tissue-non-specific-alkaline-phosphatase (TNAP), an important enzyme in the calcification process. We hypothesised that common single nucleotide polymorphisms (SNPs) in NT5E gene may contribute to the risk of calcifcation in patients with chronic kidney disease (CKD), and explored rs4373339C>T, rs2229523A>G, rs10944128A>G SNPs role on bone mineral density (BMD) and aortic pulse wave velocity (aPWV), the markers of calcification. 302 CKD patients from LACKABO study with calcification markers, haemodynamic and genetic data were studied. The mean age of the CKD cohort was 57.8 ± 15.6 years. rs2229523 SNP showed allele specific differences in BMD, a marker of vascular bone axis; and AA genotype was associated with lower levels of BMD at initial (93.9 versus 125.7 mg/cm3, p = 0.0182) and follow-up (80.4 versus 109.4 mg/cm3, p = 0.0126) screening. These relationships held after adjustments for known confounders of the calcification process. Similar relationship was observed for aPWV with rs2229523 AA genotype. We demonstrated for the first time a non-synonymous variant modulates BMD. These findings offer new insights into the bone-vascular axis in CKD, identifying a novel role for CD73 of potential clinical importance, but further studies are needed to expound the biology driving these observations.

Keywords

NT5E gene, polymorphisms, bone mineral density, aortic pulse wave velocity, and chronic kidney disease

Introduction

Arterial calcification is a strong and independent predictor of all-cause and cardiovascular mortality in end-stage renal disease (ESRD) [1], and is associated with bone loss, fractures, and arterial stiffening [2–4]. Within chronic kidney disease (CKD), vascular calcification is an aggregate of both intimal (atherosclerotic) and medial calcification [5], with a high prevalence of risk factors for both in this population [6]. Previously, this phenomenon was believed to result from the passive precipitation of calcium-phosphorus product in plasma. Over the past two decades, however, experimental studies suggest that it is actually an active, tightly-regulated, cell-mediated process, resembling bone and/or cartilage formation, which can be modulated by both activators and inhibitors [7, 8]. Genetic studies suggest that certain endogenous inhibitors are essential for the normal suppression of this process in arteries and soft tissues [7] and that a deficiency in any of these inhibitors is sufficient to unleash calcification.

Pyrophosphate (PPi) is one of the most important of these inhibitors, produced in almost all extracellular matrices [9] and shown to inhibit calcification through direct physiochemical inhibition of hydroxyapatite formation in vitro [10]. Deficiency in PPi caused by inherited mutations in the ENPPI gene, which encodes the PPi-generating enzyme, ectonucleotide-pyrophosphatase-phosphodiesterase (ENPPI), result in rare calcification disorders like generalised arterial calcification of infancy (GACI, OMIM: 20800) [11], and the ENPP1 genotype has been shown to associate with higher coronary artery calcification score in patients with ESRD [12]. Mutations in NT5E gene, which encodes CD73, have also been implicated in pyrophosphate regulation and associate with extensive lower extremity arterial calcification and small joint capsule calcification in some families (arterial calcification due to CD73 deficiency (ACDC) or calcification of joints and arteries (CALJA), OMIM: 211800) [11, 13–17]. Pyrophosphate regulation is believed to play a particularly important role in the development of vascular calcification in CKD, as suggested by the negative association between plasma PPi levels and quantity of vascular calcification in ESRD [18]. Therefore, genes associated with pyrophosphate deficiency, would be ideal candidates to explore further. Though mutations in NT5E gene have been implicated in conditions like ACDC or CALJA, the most common single nucleotide polymorphisms (SNPs) in this gene have not been investigated in the general CKD population.

The NT5E gene (NM_002526.3) is located on chromosome 6q14-q21, and encodes a 574 amino-acid glycosylphosphatidylinositol (GPI)-linked plasma membrane ecto-enzyme known as CD73. CD73 binds extracellular AMP and converts it to adenosine and inorganic phosphate [19] and is expressed widely in different tissues [20]. Within the vasculature, it is expressed in endothelial cells, vascular smooth muscle cells and fibroblasts [20], as well as in circulating lymphocytes [21]. CD73 indirectly inhibits calcification through its effects on tissue-non-specific alkaline phosphatase (TNAP) expression, with a resultant reduction in PPi hydrolysis [12]. Adenosine, released through CD73 activity, is thought to be the relevant mediator here, through its inhibitory effects on TNAP expression [13]. The relationship between ENPP1 and CD73 in PPi regulation is well described by Rutsch et al. [22].

We hypothesised that the common polymorphisms in NT5E gene contribute to the development of calcification and associate with related indices such as bone loss and arterial stiffness. We therefore explored the relationship of polymorphic variation in NT5E with calcification (coronary artery, CAC, and aortic, AC, scores), bone mineral density (BMD), and aortic stiffness (aPWV) in pre-dialysis CKD patients. Three tagging SNPs (tagSNPs) selected from two large linkage disequilibrium (LD) blocks due to their high r2 values of >0.8, covering 37kb region were genotyped. Of the three SNPs, two were intronic (rs4373339 C>T, rs10944128 A>C) and one was a non-synonymous coding SNP (rs2229523 A>G) (see Figure 1).

JCRM2018-110-Yasmin UK_F1

Figure 1. Schematic representation of NT5E gene with exons, introns, LD blocks and genotyped tagSNPs.

Material and Methods

Patients

Pre-dialysis CKD patients (stage 2–5) enrolled in The London Arterial Calcification, Kidney and Bone Outcomes (LACKABO) study, a single-centre prospective study aimed to assess the natural history of vascular calcification were studied [23]. Men were included if their serum creatinine was greater than or equal to 150 μmol/l and women were included if their serum creatinine was greater than or equal to130 μmol/l. All participants were 18 years or older. Patients were excluded if on renal replacement therapy. 302 patients were originally recruited into this study at baseline. However, arterial calcification scores and genetic data were available for only 229 and 279 participants, respectively, unless otherwise stated in the tables. Therefore, the primary phenotype-genotype analysis was performed on these participants, hence the number of subjects differed for each analysis.

After a mean of 49 months, participants were invited again to have follow-up scans and just over 50% of patients attended. The study complied with the Declaration of Helsinki, ethical approval was obtained from the Local Research Ethics Commitees and written informed consent provided by all study participants.

Demographic and clinical characteristics

Demographic data including age, gender, height and weight were recorded and BMI calculated at study entry (baseline). Past and present medical history, prescribed medications and cardiovascular risk factors were also noted. Majority of the patients were Caucasians (72.5%) and others included were Asians (12.3%), Black (9.5%), Chinese (1.7%) and of mixed ethnicity (4%).

Arterial calcification phenotype measurements

Coronary artery calcification (CAC) and aortic calcification (AC)

Coronary artery and aortic calcification was measured using Electron Beam Computed Tomography (EBCT). Briefly, the scanning was performed at the Royal Brompton Hospital, London using a C-150 scanner (GE-Imatron) with a 100 msec scanning time and a single slice of 3mm for the section between the carina to the level of the diaphragm. 36 to 40 slices were obtained during a single-breathhold. Patients were exposed to an overall radiation dose (0.9 msv), which is equivalent to approximately one third of the annual exposure from background radiation. CAC and AC scores were determined from the computed pixels of calcification. A pixel was defined as having a minimal density of 130 Hounsefield units (HU) and a surface area of >0.51mm2. Calcification was defined as a plaque of at least 3 contiguous pixels of calcification. Calcification scores were recorded in both the aorta and in individual coronary arteries including the left circumflex, left main stem, left anterior descending, and right coronary artery. The total coronary calcification score was determined by averaging the four individual arterial scores and this value was used for subsequent analysis.

There are no agreed cut-off values for EBCT calcification score categories. We therefore, used the 5 numerical categories used by Shaw et al [24]. and adapted it by applying a descriptive term to each category (ranging from low to very high), based on category interpretations from a recent systematic review [25]: 0–10 (low); 10.1–100 (moderate); 101–400 (moderately high); 400–1000 (high); >1000 (very high).

Bone mineral density (BMD)

BMD was assessed in 238 patients from individual EBCT scans described above, which were performed to assess aortic calcification. The average of 3 lumbar vertebrae on each EBCT scan was used to calculate BMD and used in the subsequent analysis.

Blood pressure (BP) and aortic pulse wave velocity (aPWV)

All measurements were obtained in a quiet temperature-controlled room. Peripheral blood pressure and heart rate were recorded from the brachial artery of the non-dominant arm using validated oscillometric technique (HEM-705CP; Omron Corporation). aPWV, defined as the speed of pulse waves travelling along the length of an artery, was determined from sequential readings of ECG-gated carotid and femoral artery waveforms using SphygmoCor system [26]. All measurements were made in duplicate and average values were used for analysis.

Biochemical markers

Blood samples were obtained to measure vascular calcification-related biomarkers including blood lipids, glucose, serum creatinine, urea, calcium, phosphate. Estimated glomerular filtration rate (eGFR) was calculated from serum creatinine using the Modification of Diet in Renal Disease method [27].

Genetic analysis

Genomic DNA (gDNA) was isolated using standard method and stored at -80oC for genetic analysis. Allelic discrimination was performed using AB17500 Taqman system and Taqman SNP genotyping assays (Applied Biosystems). Briefly, each assay contains two fluorescent-labelled probes corresponding to the alleles harboured by the SNP of interest. The probes carry reporter fluorescent dyes that are cleaved and released into solution during PCR by Taq polymerase when the corresponding DNA is being replicated. The colour of the released dye identifies the genotype; this is detected when the assay is analysed using the accompanying Taqman software (version 2.0.4).

For genotyping, 1ng of gDNA was mixed with 2x Taqman Universal Master Mix, No AmpErase UNG, labelled probe (FAM and VIC dye-labelled) and MQ H2O to a total volume of 15 µL for each sample. This mixture was dispensed into a standard MicroAMPTM Optical 96-Well Reaction Plate, and amplified using Taqman real-time PCR system. Postive and negative standards were also included on each plate. The PCR conditions consisted of a pre-PCR read at 60oC (1min), a holding stage at 95oC (10min), followed by 46 PCR cycles (15 secs at 95 oC, 1min at 60 oC for each cycle) and a final post-PCR read at 60oC (1min). Allelic discrimination was carried out by detecting allele specific fluorescence and data was analysed off-line with the sequence detectionsoftware. If the genotype clusters were unambiguous, manual calling was performed or the sample was re-genotyped for that SNP. As small amounts of DNA was available in some patients, the company recommended reaction mixture concentrations were adjusted for all assays and all samples. These concentrations have been standardised and used in our previous genetic studies (>95% success rate).

Statistical analysis

Data were analysed using SPSS (version 25.0) and GraphPad Prism (version 5.0) software. All variables were checked for normal distribution and skewed variables were transformed before further analysis. Normally distributed data are presented as means ± standard deviation (SD), skewed data as median and inter-quartile range (IQR) and as geometric means, and categorical data as percentages. Oneway analysis of variance (ANOVA) was used to investigate the genotype differences in phenotype(s), and Welch’s t-tests compared average BMD and aPWV differences between the two homozygous allele carriers. And since rs2229523 SNP showed a dose dependent pattern of inheritance on BMD, SNP association was tested assuming a standard additive model using a regression analysis that adjusted for known factors that influence the calcification process (age, gender, MAP, eGFR). Paired t-tests were performed to see changes in BMD and aPWV after 49 months. A p-value of <0.05 was considered significant, in all statistical tests.

Results

Demographic, clinical and calcification-related characteristics at baseline

Demographic and baseline clinical characteristics of the LACKABO study participants are given in Table 1. The mean age was 57.8 years (age range: 19–91) and the eGFR average was 40.4 ml/min, consistent with pre-dialysis stage 3 CKD. As expected, 80% of these patients were hypertensive, 20% had diabetes and 8% had a past incident of myocardial infarction. About half of these CKD patients were also on cardiovascular drugs; hence the lipid profile and blood pressures were in the normal range (Tables 1–2).

Table 1. Clinical and demographic characteristics in 302 subjects.

Parameters

Mean ± SD

Demographics

Age (years)

57.8 ± 15.6

Gender (M/F)

221/81

Height (m)

1.71 ± 0.1

Weight (kg)

81.1 ± 18.8

BMI (kg/m2)

27.6 ± 5.5

Renal parameters

eGFR (mL/min)

39.2 (25.8–50.9)

Calcium (nM)

2.27 ± 0.2

Phosphate (nM)

1.3 ± 0.8

CV Risk Factors

Current smokers (%)

13.2

Hypertension (%)

80.1

Diabetes (%)

20.2

Previous myocardial infarction (%)

7.6

Total cholesterol (mmol/l)

4.7 ± 1.15

HDL cholesterol (mmol/l)

1.5 ± 0.5

LDL cholesterol (mmmol/l)

2.4 ± 1.0

Triglyceride (mmol/l)

2.5 ± 6.98

Blood glucose (mmol/l)

5.7 ± 2.8

NTProBNP (pmol/l)

74.5 ± 361

C-reactive protein (mg/L)

1.57 (0.72–3.61)

CVD medications (%)

 ACE Inhibitor

 Aspirin

 α-Blocker

 α2-Blocker

 β-Blocker

 Ca2+ Channel Antagonists

 Diuretics

 Nitrates

 Statins

 Warfarin

47.4

37.7

19.2

39.7

30.8

34.1

52.6

 5.3

53.0

 4.0

BMI = body mass index; eGFR = estimated glomerular filtration rate;
CVD = cardiovascular disease; BP = blood pressure; HDL = high density lipoprotein;
LDL = low density lipoprotein.
† = median with interquartile range.

Table 2. Vascular calcification and other related measures.

Parameters

Mean ± SD

Arterial Calcification Scores (n = 229)

Coronary Calcification Grade (%)

 Low (0–10)

 Moderate (10.1–100)

 Moderately high (100.1–400)

 High (400.1–1000)

 Very High (>1000)

40

18.3

18.8

10.8

12.1

Total Coronary Calcification Score (baseline, n = 240)

46.6 (0.0–344.4)

Aortic calcification score (baseline, n = 241)

52.7 (6.2–397.1)

Blood Pressure and Arterial Stiffness (n = 302)

Peripheral systolic BP (mmHg)

132.7 ± 18.9

Peripheral diastolic BP (mmHg)

79.1 ± 11.4

Peripheral pulse pressure (mmHg)

53.6 ± 16.7

Mean arterial pressure (mmHg)

97.0 ± 12.0

Heart rate (bpm)

68.8 ± 12.9

aPWV (m/s; baseline, n = 217)

9.06 ± 3.0

aPWV (m/s; follow up, n = 88)

8.24 ± 3.8

Vascular-Bone Axis Marker (n = 238)

Bone mineral density (mg/cm3; baseline, n = 238)

120.8 (96.4–152)

Bone mineral density (mg/cm3; follow up, n = 159)

103.2 (79–137.2)

BP = blood pressure; aPWV = aortic pulse wave velocity.
† = median with interquartile range.

The results for arterial calcification and other related markers are presented in Table 2. Approximately 12% of patients were in the highest score category of >1000, and median score for the population was 46.6 (IQR: 0.0–344.3). Exclusion of those with a calcification score of 0 (n = 74), resulted in a median calcification score of 169.5 (IQR: 42.9–681.8).

Genotype and allele frequencies

Two hundred and seventy nine patients had DNA available, and all samples were successfully genotyped for rs2229523 and rs4373339 SNPs, but for rs10944128 only 236 samples were genotyped due to DNA depletion. Hardy-Weinberg equilibrium was satisfied for rs2229523 and rs4373339 SNPs, but not for rs10944128 SNP. This could be due to the difficulty in calling the genotypes accurately or the assay failure for this SNP. The minor allele frequencies were similar when compared to CEU HapMap data (0.28 versus 0.30 for rs2229523, 0.17 versus 0.13 for rs4373339, and 0.45 versus 0.39 for rs10944128 respectively).

Association of NT5E SNPs with BMD and aPWV, but not with arterial calcification indices

One way ANOVA demonstrated whether patient genotypes differed for BMD and aPWV (Table 3), whilst Welch’s t-test examined differences in the phenotype between the two homozygous allele carriers (Figure 2). Only rs2229523 SNP, showed a significant association and an allele dose trend with BMD. Patients with AA genotype demonstrated significantly lower BMD values than patients with GG genotypes (93.9 versus 125.7 mg/cm3, p = 0.0182) at baseline screening (Figure 2). A similar trend was also noted in patients screened after 49 months (80.4 versus 109.4 mg/cm3, p = 0.0126). In regression models adjusted for age, gender, mean arterial pressure and eGFR, rs2229523 AA genotype was also associated with a lower BMD. As seen in Table 4, the AA genotype remained significantly and independently associated with BMD in patients screened at baseline and during follow-up. These findings held true when data were analysed excluding non-Europeans and patients on CVD drugs.

JCRM2018-110-Yasmin UK_F2

Figure 2. Average bone mineral density according to rs2229523 genotypes, A) Baseline and B) Follow-up.

Table 3. Genotype differences in BMD and aPWV at baseline and follow-up.

BMD (mg/cm3)*

aPWV (m/s)*

Baseline

Mean ± SD (n)

Follow-up

Mean ± SD (n)

Baseline

Mean ± SD (n)

Follow-up

Mean ± SD (n)

rs2229523 A>G

AA

93.9 ± 1.7 (24)

80.4 ± 1.6 (19)

7.84 ± 1.3 (21)

7.19 ± 1.5 (11)

AG

112.7 ± 1.4 (76)

103.4 ± 1.5 (50)

8.69 ± 1.4 (70)

7.67 ± 1.7 (26)

GG

125.7 ± 1.5 (118)

109.4 ± 1.5 (77)

8.63 ± 1.4 (109)

7.28 ± 1.5 (42)

**p =

0.0182

0.0126

0.350

0.901

rs10944128 A>G

AA

114.7 ± 1.5 (69)

99.9 ± 1.6 (45)

8.64 ± 1.4 (58)

6.94 ± 1.5 (23)

AC

123.7 ± 1.4 (50)

102.0 ± 1.5 (31)

9.01 ± 1.4 (45)

7.25 ± 1.5 (22)

CC

114.1 ± 1.6 (67)

104.5 ± 1.5 (45)

8.54 ± 1.4 (61)

8.14 ± 1.6 (24)

p =

0.462

0.880

0.708

0.464

rs4373339 C>T

CC

116.3 ± 1.5 (150)

99.0 ± 1.5 (96)

8.69 ± 1.4 (137)

7.38 ± 1.6 (52)

CT

121.3 ± 1.4 (9)

112.4 ± 1.6 (7)

7.92 ± 1.5 (9)

6.33 ± 1.3 (4)

TT

117.9 ± 1.5 (57)

110.3 ± 1.6 (42)

8.33 ± 1.4 (54)

7.60 ± 1.5 (23)

p =

0.921

0.384

0.628

0.564

* Geometric means and SD
** Welch’s t-test comparing two homozygous allele carriers.

Table 4. Stepwise regression results showing an independent association of rs2229523 SNP with log transformed BMD.

Dependent variable: LgBMD

Beta value

t-value

Significance level (P = )

R 2 Change

Baseline model

Age

–0.450

–7.444

 <0.001

0.218

rs2229523 SNP

–0.163

–2.699

 0.0075

0.025

Gender

0.121

1.991

0.048

0.014

 R square = 0.257; F = 23.608; P<0.001

Follow-up model

Age

–0.548

–7.984

 <0.001

0.312

rs2229523 SNP

-0.167

–2.432

 0.0163

0.028

 R square = 0.340; F = 36.268; P<0.001

Excluded variables in baseline model were: mean arterial pressure, eGFR.
Excluded variables in follow-up model were: gender, mean arterial pressure, eGFR.

Genotype differences were found with aPWV for rs2229523 SNP (Table 3); aPWV is reduced in patients carrying the rs2229523 AA genotype compared with the GG genotype. This non-significant trend was observed at both visits (baseline: 7.84 versus 8.63 m/s, p=0.350; follow-up: 7.19 versus 7.28 m/s, p=0.901).

No association was found between the SNPs and the arterial calcification indices (CAC, AC) in this CKD group.

Changes in BMD and aPWV at 49 months

Follow up data was available for just over 50% of the participants who returned for a scan. After a mean of 49 months, the vascular bone axis marker (BMD) reduced significantly (113.9 versus 103 mg/cm3;
p = 0.0002; Figure 3), whilst the aPWV reduced to a much lesser extent (8.55 versus 7.89 m/s; p = 0.057, data not shown).

JCRM2018-110-Yasmin UK_F3

Figure 3. Average bone mineral density values at baseline and follow up.

Associations between age and calcification phenotypes

As expected, age associated significantly with BMD, PWV, CAC and AC (r = –0.46, r = 0.49, 0.60, 0.51; p = 0.001 respectively, data not shown), and when this relationship was explored further by examining just CAC in men and women according to decades of age, the average CAC score increased with each decade in both men and women (Table 5); the lowest mean values were observed in the younger patients and highest values in older patients.

Table 5. Coronary artery calcification score in CKD patients by age and gender.

Age Groups

(n)

Men

 (Mean ± SEM)

Women

(Mean ± SEM)

<40 years (31)

4.5±3.0

0.13±0.1

41–50 years (34)

89.3±59.3

77.5±51.4

51–60 years (47)

425±194

54.6±18.7

61–70 years (53)

762±196

75.8±26.3

>71 years (74)

875±138

213±130

SEM = standard error of mean.

BMD also associated inversely with AC (r = –0.30, p = 0.001, data not shown) and aPWV (r = –0.16, p = 0.032, data not shown), which suggests that low BMD and increasing arterial calcification have common features [28]. The positive correlation between calcification scores and stiffness (aortic: 0.40, p = 0.001; coronary artery: 0.22, p = 0.015, data not shown), demonstrates the associated changes in the vessel wall of CKD patients [29].

Discussion

This study sought to determine the influence of common SNPs in the NT5E gene on calcification phenotypes (BMD, aPWV) in pre-dialysis CKD patients. For the first time, we identified a significant independent association between a single NT5E gene polymorphism (rs2229523 SNP) and BMD, a marker of the vascular-bone axis. Independent of risk factors like age, gender, mean arterial pressure and eGFR, we found that rs2229523 AA genotype associated with lower BMD. This relationship was found in patients screened both at baseline and after 49 months of follow up. The rs2229523 AA genotype also showed reduced aortic stiffness (aPWV). However, no independent SNP associations were observed with aPWV or with coronary artery or aortic calcification (CAC, AC).

Significant association between rs2229523 SNP and BMD

The finding that an NT5E rs2229523 SNP is associated with BMD suggests a role for CD73 in bone formation. This is supported by the finding of osteopenia, reduced osteoblastic markers and impaired osteroblastic differentiation in CD73 knockout mice [30]. In the same study, induced overexpression of CD73 was associated with increased osteoblastic differentiation, and increased expression of osteocalcin and bone sialoprotein, the effects of which were reversed by an A2B receptor antagonist [30]. These findings suggest that the effects of CD73 on bone metabolism are mediated by CD73-derived adenosine signalling. The role of CD73 in bone metabolism is further supported by another study where CD73 expression is regulated by the Wnt-b-catenin signalling pathway, a known critical pathway in both bone metabolism and osteogenic vascular calcification [31]. In addition, the inducible HIF-1 alpha transcription factor, which regulates many factors involved in bone regeneration and development, also regulates CD73 expression [32].

The regression analysis findings suggest that rs2229523 AA genotype predicts a lower BMD after adjustments of confounding factors like age, gender, mean arterial pressure and eGFR. The exact mechanisms behind the the lower BMD and reduced aPWV observed in patients with AA genotype are currently unclear and outside the scope of this study, but merits further investigation. The SNP in question is a non-synonymous coding SNP which results in a change in amino-acid from threonine to alanine at position 376. It is believed that this results in an alternative shorter isoform of the protein. The clinical implication of this isoform change is not known, but this is the first study linking this SNP to BMD. As rs2229523 is a tagSNP, the observed relationship may relate to this amino-acid change or may, alternatively, relate to another SNP within the same LD block.

None of the SNPs in this study, associated with BMD or bone mineral content in published genome wide association studies (GWAS) [33,34], and this could be explained by the populations or phenotypes studied or the genechips used. But the present finding of an association between BMD and rs2229523 SNP, and its role in the regulation of vascular calcification is not surprising given the known reciprocal and parallel relationship between arterial and skeletal mineralisation. A significant inverse assocation between vascular calcification and BMD has been demonstrated in non-CKD populations [35] as well as in dialysis [2] and pre-dialysis CKD populations [29], a finding replicated in our study. This relationship appears to be particularly strong in CKD, which provides an ideal milieu for both arterial calcification and osteopenia due to synergism between hyperphosphataemia, hyperparathyroidism, and the treatments associated with CKD [29,36]. Pre-clinical studies showed that inflammatory markers such as lipids and cytokines appear to accelerate vascular calcification while they promote bone loss [38]. Similarly, osteogenic agents, like PTH and BMP-7, promote skeletal mineralisation but suppress this process in arteries [36]. The mechanism linking arterial calcification to bone loss is unknown and the temporal nature of events has not been established. One theory is that both share a common aetiology and use common factors [38]. CD73 provides a link between the two conditions; its osteogenic role in bone in parallel with its anti-inflammatory role in the vasculature would result in bone loss and calcification in the event of deficiency, consistent with the reciprocal relationship observed between the two conditions.

Significant associations found between arterial calcification phenotypes, but not between calcification phenotypes and NT5E SNPs

We replicated previous positive associatons between age, arterial calcification (aortic and coronary artery) and arterial stiffness (aPWV) [29, 37, 38]. However, we did not find these phenotypes to associate with any of the NT5E SNPs. There are several possible explanations for the lack of associations between the SNPs and arterial calcification. First, the inability to measure medial calcification independent of intimal calcification may have prevented detection of an association. Histopathological evidence from specimens derived from arterial calcification due to deficiency of CD73 (ACDC) patients suggest, that the calcification process resulting from CD73 deficiency is confined to the arterial media [20]; therefore, medial calcification is the relevant phenotype. As current instruments do not have the capability of distinguishing between medial and intimal calcification [39], the measured phenotype in this study was actually an aggregate of both intimal and medial calcification, diluting the relevant phenotype.

Second, the lack of an assocation might be due to measurement of central artery rather than peripheral artery calcification. It is important to note that the ACDC phentotype is characterised by heavy calcification specifically in the large lower limb peripheral arteries, with relative sparing of the coronary and aortic arteries [20,13]. Therefore, a CD73-related protein family member, such as CD39, or its related isoforms, may compensate for CD73 deficiency in other vascular beds [40]. Given this, it is not surprising that NT5E SNPs were not associated with coronary or aortic calcfication in this study.

Third, it is possible that the relationship between NT5E mutations and calcification observed in ACDC [12] is non-causal. The proposed mechanism linking CD73 deficiency to arterial calcification is based upon in vitro experiments in skin fibroblasts [12], which may differ signficantly from vascular endothelial cells. Furthermore, the vascular calcification phenotype has not been recapitulated in in vivo mice studies, where CD73 deletion has been found to be associated with multi-organ fulminant vascular leakage rather than calcification [41].

Fourth, it may be that NT5E genetic variation does cause calcification but it does not do so by affecting the essential pyrophosphate pathway, instead it affects non-essential pathways. For example, the calcification phenotype produced by NT5E mutations is more likely to be explained by the anti-inflammatory role of CD73 rather than its indirect effects on pyrophosphate hydrolysis [42]. A polymorphism in an anti-inflammatory pathway is less likely to be of clinical significance due to the upregulation of alternative anti-inflammatory pathways in CKD.

Lastly, 27% of patients had an arterial calcification score of 0, which resulted in reduced power, and the SNPs investigated do not represent the whole gene, so it is possible that relevant variations reside in the other unexplored regions. Therefore, the relationship between NT5E genetic variation and arterial calcificaiton merits further investigation and replication in other independent CKD population.

Conclusion

For the first time, we have shown that rs2229523, a non-synonymous coding SNP resulting in an amino-acid change (threonine to alanine), and AA genotype is associated with lower BMD in patients with CKD seen before and after 49 months . Further work is necessary to evaluate the identified associations in other CKD cohorts. Functional studies are also required to elucidate the biological mechanisms underlying the observed relationship between NT5E rs2229523 SNP and BMD. The role of adenosine, adenosine regulators and adenosine receptor agonists as potential therapeutic agents in relation to vascular calcification and osteopenia also warrants extensive further exploration. Overall, this study offers new insights into the bone-vascular axis in chronic kidney disease, identifying a novel role for CD73 of potential clinical importance.

Acknowledgements We thank all the individuals who participated in the LACKABO study. The LACKABO study participants were recruited by a grant from the Kidney Research (Grant No. VC1/2002), and the genotyping costs were supported by the Addenbrooke’s Charitable Trust (Ref No. 23/08(B) (F). We also thank Dr Michael Rubens for performing scans, Dr Sharon Barrett and Dr Melanie Chan with pulse wave analysis measurements.

Conflict of interest The authors declare no conflict of interest.

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The Failure to Provide an Effective Veterinary Service to Sheep in Australia

DOI: 10.31038/IJVB.2018233

Introduction

Sheep have been the pre-eminent livestock species in Australia and wool production has been the country’s greatest contribution to the world’s economy, so why is it that there isn’t an effective veterinary service to sheep in place there?

Sheep are not native to Australia and were originally imported; 44 sheep were among the animals transported from Great Britain to the penal colony established on the east coast of Terra Australis in January 1788 http://firstfleetfelowshp.org.au.

The following brief account of the history of wool in Australia is taken from “The Australian Merino” which began;

The Australian Merino…comprised one of the greatest creative expressions of domestic animal species by and for mankind…one of the greatest contributions to the world economy [1].

These original sheep were for human provisions and consisted of fat-tailed native sheep from the Cape of Good Hope, but the primary source of sheep for the first three or four decades of Australia’s history were from Bengal, the closest British colony to Australia. The Macarthur family were the first wool sheep breeders in the new colony of New South Wales (NSW) and in 1807 Australian wool first appeared in the English customs returns and in 1811, Samuel Marsden dispatched the first significant shipment of between 4,000 and 5,000 pounds of Australian wool to England.

Wool production followed the development of the colony, beginning in NSW and Van Diemen’s Land (Tasmania) and extended as new grasslands were discovered. Legal settlement was followed by illicit occupation into the Port Phillip region (Victoria) with sheep coming from both NSW and Tasmania and from there they travelled west into South Australia (SA) and north into the New England district of NSW on into Queensland (Qld). The “Squatting era” occurred between the 1830s and 1840s and a “Squatter” was an illegal Occupier of crown land beyond the prescribed limits of settlement. By the late 1840s, the authorities recognized the economic good derived form this activity and issued licences for their sheep runs and tenure. The 1850s saw an influx of immigrants, including miners drawn to Australia by the discovery of gold, and thereafter, the colonies passed “Selection Acts” which provided for the sale of land at auction, forcing squatters to bid against others for the land they had previously controlled by leasehold.

From this time onward, sheep spread throughout the whole continent, including the harsh areas that became known as pastoral regions. Sheep studs were located in the more favourable regions, but commercial flocks were found everywhere and by Federation in 1901, most areas had been settled. During the latter part of the 19th century, Australia rose to become the premier supplier of wool to the world and during the 20th century that position was consolidated. However, the wool industry collapsed during the latter part of the 20th century;

In 2006, Fifteen years after the collapse of the Australian Wool Corporation’s Reserve Price Scheme, Australia’s Merino studs were selling one-third the number of rams of 1990, over half Australia’s professional woolgrowers had ceased growing wool as their main enterprise; the wool fibre’s global market share has continued a steady decline since 1991 [2].

Veterinary Literature Review

The veterinary art has been known since antiquity, but the modern era is considered to have begun in the 18th century with the establishment of university education for veterinarians [3].

Since that time veterinary schools were established everywhere, including Australia, for in 1888, William Tyson Kendall established the Melbourne Veterinary College in conjunction with his private practice in Melbourne [4].

In 1909, this college was absorbed into the veterinary school established at the University of Melbourne. The University of Sydney established a school in 1910; the University of Queensland in 1936 and in 1974, Murdoch established one in Perth [5–8].

During the first half of the 20th century, government veterinarians dominated the profession, whereas practitioners, especially those in rural practice, struggled to survive [9, 10]. At the time of World War II, there was even talk about nationalisation of the profession [11, 7]. In 1951, an article on research of sheep disease during the first half of the 20th century was published which demonstrated that most of the significant sheep diseases had been researched about 40 governments, academic and industry veterinarians [12].

In 1958, articles appeared on rural veterinary services highlighting the different roles of the state service and private practice [13] and at the Annual General Meeting (AGM) of the Australian Veterinary Association (AVA) that year, three practitioners spoke on the subject of organising and developing a practice in sheep districts [14]. From Young in NSW, the first speaker said;

I would say that it is impossible to make a living as a practitioner in a sheep district where, few, if any, studs exist and where there are no other sources of income…in any such practice small animals are the bread and butter of the practitioner.

This speaker thought the future was “precarious” and blamed the government free-service and suggested nationalisation of the veterinary profession [14, 15]. The second speaker spoke of his experience during three-years developing a practice in the New England region of NSW and he began with;

In a practice specialising in sheep work, the majority of cases concern animals other than sheep.

As a result, he changed the method for charging sheep work from the traditional fee-for service to an annual contract. When he did this, the sheep work increased from 12% to 24%.

Encouraged, he proposed that three factors were necessary for the conduct of a veterinary practice with sheep: firstly, the industry must be “stable” and “prosperous”; secondly the wool-grower “must be well educated, intelligent and progressive”; and, thirdly, the veterinarian must be able “to render useful service” [16].

From Skipton, in Victoria, the third speaker began;

Practice in a sheep district obviously involves certain difficulties not met with in most dairying districts, and establishment of a practice in any one district, based principally upon the sheep of that district, is unlikely.

And concluded;

The first rule in practice in a sheep district should be to place little reliance on sheep work…A practice in a sheep district cannot be established without a large amount of cattle work or a good small animal practice or the sale of sheep medicines [17].

In 1959, after listening to what rural practitioners had to say about the difficulties of providing a service to livestock producers, an academic veterinary stated; This is a serious situation that cannot wait indefinitely to be remedied. Have we been fiddling while our farm market of veterinary service has been burning down? [18].

Sixty years ago, Gordon reported that Australia’s veterinary profession was not providing a service to the farming community and warned that the opportunity to do so may have already been lost. The next practitioner to venture into sheep practice did so in 1964, described his experience with what he termed the “Whole Farm Approach”. After a research career, he spent a short time developing a consulting service in the New England region of NSW, before accepting an academic post. He emphasised the need to examine both animal and farm productivity.

In 1971, when Australia had 100 thousand wool-growers and 180 million sheep, the veterinarian employed by the farmer’s co-operative, Gazcos, provided his thoughts on the future of the sheep industry and implications for the veterinary profession [19] stating;

Most of the veterinary work associated with the sheep industry had been carried out by Government veterinarians either in health services or research…practitioners have possibly contributed least of all.

And concluded;

I doubt if we can afford to have duplication which now exists in the rural areas between Government veterinarians and practitioners…This is controversial but it is a problem we have to face [19] (Cole 1971–72).

In 1978, a practitioner spoke at the AGM of the AVA on his experience with a Preventive Medicine/ Animal Production Sheep Consultancy Service in the south-west of Western Australia [20]. In this, and later publications [21, 22] (he outlined the research conducted, results achieved and the subsequent failure of the service and demonstrated that the problem providing an effective veterinary service to Wool-growers and sheep-breeders was not due to the service provided, but because the latter did not want to pay for such a service.

Since then, apart from a tribute to Professor Blood [23] and a Post Graduate Foundation Proceedings [24, 25], little has been documented regarding the servicing of sheep by practitioners in Australia.

In 2002, the Australian Government examined the status of the veterinary profession and its services in an enquiry titled “Review of Rural Veterinary Services” [26]. The Review provided a sombre assessment of veterinary services to economic livestock; its assessment of services was accurate, but its recommendations proved ineffective.

In 2007, it was reported that no more than 12% of Australia’s veterinary effort was devoted to farm animals; in other words, only one in eight of Australia’s veterinarians attended livestock [27].

Current research

In 2015, the author began a post-doctoral thesis to examine the impact of the Frawley Review on Australia’s veterinarians. Three areas raised in the review, namely, rural veterinary services, animal quarantine and education, were the subject of the research [28].

Method

A national on-line survey of Australia’s veterinary services was undertaken, whilst, one-on-one, oral history interviews were conducted with quarantine personnel and Deans and Heads, both past and present, of Australia’s veterinary schools.

A 40-question, on-line survey was designed and each of Australia’s veterinary boards was contacted to seek co-operation in the study. Seven of the eight boards agreed to participate and the survey was posted in February 2016 and closed in June of that year.

Results of the survey

The number of registered veterinarians in Australia at 30 June 2016 for the seven participating veterinary boards was 9,076 and 555 responses were received to the survey (personal communication, Australasian Veterinary Boards Council).

The mean age of all respondents was 45 years. The mean age for female respondents was 40 years, which was significantly younger than for males which was 53 years.

Table 1. Respondent Demographics

Criteria

Number

 Percentages (95% Cl)

Gender:

 Female

 Male

 Total

Place of birth:

 Australia

 Overseas

 Total

Background:

 Rural

 Urban

 Total

 356

 199

 555

 405

 146

 551

 209

 342

 551

 64.1 (60.0, 68.1)

 35.9 (31.8, 40.0)

 73.5 (69.6, 77.1)

 26.5 (22.9, 30.3)

 37.9 (33.9, 42.1)

 62.1 (57.9, 66.1)

Sixty-four percent of respondents were female, 74% were born in Australia and 62% grew up in an urban environment.

Table 2. Employment at graduation and at time of survey

Employment

At Graduation

At Survey

 n

%

(95% Cl)

 n

%

(95%CI)

Practice

Government

Teaching / research

Other

Total

463

32

23

11

87.5

6.0

4.3

2.1

(84.4, 90.2)

(4.2, 8.4)

(2.8, 6.4)

(1.0, 3.7)

529

364

 52

 48

 68

532

68.4

9.8

9.0

12.8

(64.3, 72.4)

(7.4, 12.6)

(6.7, 11.8)

(10.1, 15.9)

Eighty-eight percent of respondents stated that they entered practice at graduation, but at the time of the survey 68% were employed there; 6% entered government service, but at the time of the survey 10% were employedthere; 4% entered research and teaching, but now 9% were employed there; 2% were initially classified as “Other or Sundry”, whilst now 13% were employed there. Nine percent of respondents reported that they worked “on-farm”.

Table 3. Rural and Urban employment at graduation and at time of survey

Where service provided

At graduation

At Survey

 n

%

(95% Cl)

 n

%

(95% Cl)

Rural

Urban

Total

289

241

530

54.5

45.5

(50.2, 58.8)

(41.2, 49.8)

147

372

519

28.3

71.7

(24.5, 32.4)

(67.6, 75.5)

Fifty-five percent of respondents initially worked in the country, whilst at the time of the survey 28% were employed there. Significantly more males commenced work in rural practice than did females, however, at the time of the survey there was no significant difference between the sexes. Eighty-one per cent of males and 84% of females who worked in rural practice at the time of the survey, began their career there.

Table 4. Comparison of full-time vs part-time and continuous vs discontinuous

Options

Number

Percentage

(95% Cl)

Full-time employment

Part-time employment

Total

Continuous employment

Discontinuous employment

Total

 319

 229

 549

428

121

549

58.2

41.8

78.0

22.0

(54.9, 62.4)

(37.6, 46.0)

(74.3, 81.4)

(18.6, 25.7)

Fifty-eight per cent of respondents worked full-time during their careers and the proportion of males was similar to that of females. Seventy-eight per cent of respondents worked continuously at their veterinary career; 86% of males worked continuously, which was significantly higher than that of females at 73%.

Table 5. Satisfaction with various aspects of veterinary science

Satisfaction

Education

Position

Income

Status

n

%

n

%

n

%

n

%

Completely

Mostly

Generally

Not satisfied

Total

112

269

119

 34

 534

21.0

50.4

22.2

6.4

 97

235

116

 87

535

18.4

43.9

21.7

16.3

50

102

162

219

533

9.4

19.1

30.4

41.1

95

182

157

101

535

17.8

34.0

29.3

18.9

Six percent of respondents were dissatisfied with their education, 16% with their work as a veterinarian, 41% with their income, and 18% with their social status.

Table 6. Occupational hazards and their consequences

Options

 Numbers

Percentages

(95% Cl)

Occupational illness/injuries:

 Yes

 No

 Total

Results:

 Impaired capacity

 Cause retirement

 No incapacity

 Total

289

243

532

 84

 43

 198

 289

54.3

45.7

16.6

14.9

 68.5

(50.0, 58.6)

(41.4,50.0)

(12.5, 21.4)

(11.0, 19.5)

(62.8, 73.8)

Fifty-four percent suffered a work-related Injury or Illness during their career and of those, 17% reported that it impaired their capacity to perform their duty and 15% reported that as a result they were leaving veterinary service.

Table 7. Changes since the Frawley Review

Options

Numbers

Percentages

(95% Cl)

Increase livestock caseload:

 Yes

 No

 Total

Increase livestock income:

 Yes

 No

 Total

Supply problem:

Demand problem:

 Total

Want cheap service:

 Yes

 No

 Total

Treat female vets different:

 Yes

 No

 No opinion

 Total

 60

 393

 453

 56

 398

 454

 88

 364

 452

 363

 92

 455

 310

 43

 127

 480

13.2

 86.8

12.3

 87.7

 19.5

 80.5

 79.8

 20.2

 64.6

 9.0

 26.5

(10.3, 16.7)

(83.3, 89.7)

(9.5, 15.7)

(84.3, 90.5)

(15.9, 23.4)

(76.6, 84.1)

(75.8, 83.4)

(16.6, 24.2)

(60.1, 68.7)

(6.6, 11.9)

(22.6, 30.6)

Since the release of the Frawley Review in 2003, 87% and 88% respectively reported that there had been no increase in caseload or income derived from livestock and 80% of respondents reported that the problem with rural veterinary service was that farmers did not utilise the service, whilst the balance considered the problem to be the service offered.

That is, it was a demand problem not a supply problem. Eighty percent of respondents reported that farmers shop around for the cheapest veterinary service and 65% reported that farmers treated female veterinarians differently than their male colleagues.

Discussion

In this survey, 6% of registered veterinarians responded, so bias is possible and the results may not accurately reflect the views of the whole Australian veterinary population. Further, as the mean age of respondents was 45 years, it is likely that the responding cohort was generally older and represented presumably more experienced graduates than non-respondents.

The mean age of female respondents (40 years) was significantly younger than for males (53 years). This was not surprising given the change in the gender distribution of veterinary students and graduates that have occurred over the past 20 to 30 years [26–28].

In this survey, two-thirds of respondents had an urban background and it is likely this is partly responsible for their preference to work in urban environs in practices predominantly servicing companion animals. The limited attraction of rural service and the change in location from rural to urban environments by veterinarians as they age has been highlighted in the work of Heath.

At the time of graduation, significantly more male survey respondents entered rural service than females, but at the time of the survey there was no significant difference in the proportion of males and females who had remained in rurally based practices. In contrast, and not surprisingly, very few respondents who began their career in urban service, ventured into rural service later in their careers.

At graduation the majority of respondents (88%) entered private practice with the balance distributed between government service, academia, industry and this is consistent with the findings of others [27, 21]

At the time of the survey, 68% of the respondents were in private practice and those who have changed had primarily moved into the “other” categories. This work may be less stressful than private practice and perhaps more interesting, as practice can become routine.

At the time of the survey, slightly more than half (58%) of the respondents worked full-time and approximately three-quarters of these had worked continuously as a veterinarian since graduating. This contrasts with earlier eras where most graduates worked as veterinarians all of their working life [29, 13, 21].

In this sample, less than 10% of respondents performed veterinary work on-farm, which is in marked contrast to much of the 20th century, when many government veterinary officers and private practitioners functioned on-farm [13, 21].

Dissatisfaction with various aspects of veterinary life was canvassed in the survey and 6% were dissatisfied with undergraduate education, 16% with work as a veterinarian, 41% with the income they received, and 21% with the status achieved as veterinarians. In an earlier study, dissatisfaction with various aspects of their life as students and then as veterinarians, were recorded for WA veterinarians [21]. These results need sober reflection, as they indicate a relatively high level of dissatisfaction with life, income and status as a veterinarian in Australia.

More than half of the survey respondents suffered an injury or illness during their career as veterinarians, with 17% of these stating it affected their capacity to function and 15% stating that it would lead to their leaving the occupation of a veterinarian. In a previous study of WA veterinarians, 50% incurred a major physical injury or disease during their career and of these 59% stated that it had impaired their performance as a veterinarian and 20% considered leaving practice as a result [21].

The Frawley Review was commissioned for a number of reasons, one being because Australia’s animal health system was being directed towards companion animals instead of production animals and another being that both government veterinary services and rural practices were unlikely to be sustained [26]. Frawley concluded that this would only be reversed if the earning opportunities for rural practice were improved and a better balance in teaching of all animal species could be achieved. There needed to be a significant increase in demand for private practice services by livestock producers and, to stimulate demand, Frawley made recommendations which they considered could be helpful. However, unless there was a significant increase in the demand for rural veterinary services, the situation would not improve.

As relatively few livestock producers utilised veterinary practitioners on a regular basis, from the 1970s most rural practices turned to servicing companion animals to remain viable [26, 27]. This survey supports those observations.

The survey respondents reported that since the Frawley Review there had been no increase in either case-load or income from economic livestock. This does not apply to those few rural practices in Australia that provide speciality services for livestock.

The results of the survey, together with those from the oral history interviews were analysed in the thesis and alternatives were discussed. This research led to the questioning of the currently models being used in veterinary science; the models may have outlived their usefulness and for there to be a future for veterinarians in Australia, new models may need to be created.

Conclusion

Why is it that during the 130-year (1888 to 2018) history of educating veterinarians in Australia, they have failed to provide a service which wool-growers valued? Is it because veterinarians did not provide the right service or because wool-growers do not want to pay for veterinary services? Is it a supply problem or a demand problem?

My analysis is that both are to blame – veterinarians do not provide a service wool-grower’s value and wool-growers don’t want to pay for a service which they consider they are entitled to! The collapse of Australia’s wool industry has been described;

In the mid twentieth century the Australian wool-growing industry was the greatest wool economy the world had ever seen. It was the backbone of the nation’s economy for 120 years, being the nations largest export earner and wealth-builder for all but a decade of that period…Then, in a little over two decades at the end of the twentieth century, the wool industry self-destructed [30].

This collapse has been accompanied by further contraction of veterinary services to sheep and other livestock producers. Frawley was a watershed moment for Australia’s veterinary profession, but, unfortunately, that opportunity was not acted upon by this country’s veterinary profession [31–35]. Perhaps we are too late, for today veterinarians are little interested in providing a service to economic livestock and Australia has turned its back on agriculture in its search of a new identity.

References

  1. Massy C (2007a) Introduction. In: The Australian Merino: The Story of a Nation. Random House Australia P/L, Sydney: xvii.
  2. Massy C (2007b) Wool growing and Merino Breeding after 1950. In: The Australian Merino: The Story of a Nation. Random House Australia P/L, Sydney: 1054.
  3. Gunn RMC (1927) Veterinary education. Australian Veterinary Journal 2: 44–47.
  4. Albiston HE (1951) Veterinary Education in Victoria. Australian Veterinary Journal 27: 253–257.
  5. Anon (1925a) The Veterinary Schools of Australia. I. The Sydney University Veterinary School. Australian Veterinary Journal 1: 40–41.
  6. Anon (1925b). The Veterinary Schools of Australia. II. The Melbourne University Veterinary School. Australian veterinary journal 1: 75–77.
  7. Anon (1941) Nationalization of the Veterinary Profession. Australian Veterinary Journal 17: 2–3.
  8. Clarke WT and Grandage J (2005). Early history of the Murdoch Veterinary School. Australian Veterinary History Record 43: 10–24.
  9. Stewart JD (1913). Presidential Address. Australian Association for the Advancement of Science: 14th Meeting. Melbourne. XIV: 695–702.
  10. Albiston HE (1947) Rural Veterinary Service. Australian Veterinary Journal 22: 78.
  11. Bull LB (1938) Possible Developments in the Organisation of Veterinary Services: A National Veterinary Service in Australia. Australian Veterinary Journal 14: 222–226.
  12. Bull LB (1951). The Study of Etiology and Control of Sheep Diseases in Australia during the first half Century, 1900–1950. Australian Veterinary Journal 36: 237–245.
  13. Needham NA (1958) Establishment and Maintenance of Veterinary Services in Rural Areas. Australian Veterinary Journal 34: 51–53.
  14. Webster W (1958) Veterinary Practice in Rural Areas. Australian Veterinary Journal 34: 48–50.
  15. Cole AR (1958) Organisation of veterinary practice in sheep district. Australian Veterinary Journal 34: 423–427.
  16. Osborne HG (1958) The development of a veterinary practice in a sheep district. Australian Veterinary Journal 34: 428–431.
  17. Taylor PF (1958). The organization of veterinary practice in a sheep district. Australian Veterinary Journal 34: 432–435.
  18. Gordon HMcL (1959) Veterinary education. Australian Veterinary Journal 35: 64.
  19. Cole V (1971-2) The future of the sheep industry. Implications for the veterinary profession. Victorian Veterinary Proceedings 1971–72
  20. Maxwell JAL (1978) A Preventive Medicine – Animal Production service in Western Australia. Proceedings 55th Annual Conference of the Australian Veterinary Association. Sydney 55: 72–73.
  21. Maxwell JAL (2008) A short history of rural veterinary practice in Western Australia: 1964 to 2007. Australian Veterinary History Record 52: 13–24.
  22. Maxwell JAL (2009) Rural veterinary practice in Western Australia: 1964 to 2007. Murdoch University Veterinary Faculty. PhD Thesis 1–233.
  23. Hughes KL (1985) Editor. Proceedings of Internationals Conference on Veterinary Preventive Medicine and Animal Production. Melbourne, Australian Veterinary Journal.
  24. Bell KJ (1988) The future direction for private veterinary service to the sheep industry. Proceedings 110: Sheep Health & Production, Sydney. Post Graduate Committee in Veterinary science, University of Sydney. 110: 135–145.
  25. Abbott KA (1988) Financial Analysis on Farms. Proceedings 110: Sheep Health & Production, Sydney. Post Graduate Committee in Veterinary Science, University of Sydney.110: 249–278.
  26. Frawley PT (2003) Review of Rural Veterinary Services. Department of Agriculture, Fisheries & Forestry. Commonwealth of Australia 1–109.
  27. Heath T (2007) Where have all the planners gone? Aust Vet J 85: 435–436. [crossref]
  28. Maxwell JAL (2018). Australia’s Veterinarians and the Frawley Review of 2002. Murdoch University Veterinary Faculty. DVetMedSc Thesis: 1–218.
  29. Niederer SL (1958) The Establishment and Maintenance of a Rural Veterinary practice. Australian Veterinary Journal 34: 54–56.
  30. Massy C (2011) Introduction. In: Breaking the Sheep’s Back. The shocking and true story of the decline and fall of the Australian wool industry. University of Queensland Press, St Lucia, p xxi.
  31. Hall RA (1963) Government and private Practitioner Veterinary Service in New South Wales. Australian Veterinary Journal 39: 105–107
  32. Johnstone IL (1966) An example of whole farm consultation in Australia. N Z Vet J 14: 155–160. [crossref]
  33. Maxwell JAL, Costa ND, Layman LL and Robertson ID (2007) Rural veterinary services in Western Australia: Part B. Rural Practice. Australian Veterinary Journal 86: 74–80.
  34. Meldrum GK (1963) Government and Private Practitioner Veterinary Services in Tasmania. Australian Veterinary Journal 39: 327–329.
  35. Smith WS (1963) Government and Private Practice Veterinary service in South Australia. Australian Veterinary journal 39: 102–104.

Novel Case of 9p- Deletion in a Patient with Cardiac Pathology and a Review of the Literature

DOI: 10.31038/JCRM.2018124

Abstract

Our case focuses on a patient with a rare mutation, 9pter-9p22.2 interstitial deletion, associated with unique presentation and specific cardiac abnormalities which have not previously been associated with this condition. The subject was a term male infant born with an omphalocele which had been diagnosed prenatally. Upon delivery he was noted to have craniofacial and limb abnormalities, and found to be persistently hypoglycemic, requiring a significantly elevated glucose infusion rate. On echocardiogram an aortic coarctation was identified. He underwent cardiac repair, but ultimately developed severe pulmonary hypertension complicated by multiple episodes of cardiopulmonary arrest. To our knowledge there are only 26 previously identified patients with similar copy number variants on this region reprinted in the literature or identified in the Decipher database. This case report is not only able to help build knowledge which can be used to predict phenotypes, but it can also shed light on some of the more devastating characteristics possible with this condition. While this subject did have two of the most common symptoms involved, craniofacial and musculoskeletal, he also had cardiovascular abnormalities, which had only been identified in one other patient with 9pter-9p22.2 interstitial deletion. It was also a goal of this report to identify similarities and differences between 9pter-9p22.2 interstitial deletion with the much more well-known disease, 9p minus syndrome. Of patients with 9p minus, craniofacial and musculoskeletal abnormalities are very common. Patients also frequently have visceral defects, intellectual disabilities, hypoglycemia, genital defects, and a small incidence of cardiovascular defects. More subjects are needed for further evaluation, but it appears that 9pter-9p22.2 interstitial deletion may be much more similar to the larger 9p minus syndrome than previously appreciated.

Introduction/Background

Current advancements in pediatric critical care as well as the evolution of human genomic investigations have revealed a wide range of clinical pathologies warranting further classification and, in-turn, clinical correlations by providers. The DECIPHER database has focused on cataloguing specific mutations with correlated phenotypes to better characterize genetic abnormalities [1].

9p deletion syndrome is a pathologic genetic copy number variant initially identified in 1973 by Alfi and colleagues [2]. Since this time, more than 100 cases of 9p minus have been reported worldwide. The syndrome represents a heterogeneous condition, characterized upon initial presentation with craniofacial abnormalities (including trigonocephaly, midface hypoplasia, upslanting palpebral fissures, anteverted nostrils, depressed nasal bridge, long philtrum, and hypertelorism), short neck, increased inter-nipple distance, positional limb defects, nonketotic hypoglycemia, external genitalia anomalies, and cardiac abnormalities [3]. Follow up and longitudinal assessments demonstrate neurocognitive difficulties including low IQ (mean of 49), global developmental delays, hypotonia, and behavioral problems [4]. Visceral abnormalities including inguinal or umbilical hernias and omphaloceles have also been reported [5,6]. Swinkels et al. previously observed approximately 15% of patients with 9p- syndrome had an omphalocele [7].

More specifically, 9pter-9p22.2 interstitial deletion, is a micro-deletion syndrome which has demonstrated an emerging clinical significance and has currently been diagnosed in 26 patients across the globe. As shown in Table 1, these patients share many phenotypic similarities to 9pminus, but 9pter-9p22.2 interstitial deletion is subtyped with an even stronger association with craniofacial deformities and developmental delays [8].

With the apparent rise in the frequency of 9pminus diagnosis and concomitant presentations of the 9pter-9p22.2 interstitial deletion subtype, our report serves to catalogue and summarize the available data to provide initial diagnosing providers and follow up clinicians with a more robust clinical picture to best manage these complex patients.

Table 1. Phenotypic abnormalities in known patients with 9pter-9p22.2 interstitial deletion [8].

Phenotypic Abnormality

Number with abnormality (N = 26)

% with abnormality

Head, ears, eyes, nose, throat

10

38.5

Developmental

10

38.5

Musculoskeletal

6

23.1

Endocrine

3

11.5

Neurologic

2

7.7

Skin

3

11.5

Cardiovascular

1

3.8

Gastrointestinal

1

3.8

Genitourinary

1

3.8

Pulmonology

0

0.0

Fetal

1

3.8

Other

0

0.0

Unknown

10

38.5

Clinical Report

The subject of concern was a term male singleton born to a 25 year old G3P1 mother with insignificant past medical history. The pregnancy management involved a multi-disciplinary approach including maternal fetal medicine, neonatology, pediatric cardiology, and genetics due to concern for omphalocele with hepatic effect appreciated on prenatal anatomy ultrasound.

The child was delivered via scheduled cesarean section and received routine newborn resuscitation from the intensive care team with the use of a bowel bag. The initial transition period was complicated by hypoglycemia requiring a glucose intravenous infusion bolus in addition to an escalation of the glucose infusion rate to a maximum 9.9 mg/kg/min at 24 hours of life.

The patient’s remarkable findings on physical exam consisted of: frontal bossing with prominent metopic ridge, up-slanting palpebral fissures, posteriorly rotated ears; heart sounds auscultated with continuous machine-like murmur; 3 cm omphalocele; wide-spaced nipples; sandal gap deformity, talipes equinovares of the left foot.

Given the patient’s constellation of clinical signs and symptoms, the neonatal team proceeded down the diagnostic pathway for Beckwith Wiedemann syndrome by obtaining an echocardiogram. The study revealed biventricular hypertrophy with normal function, a hypoplastic transverse arch with coarctation, and a PFO with left to right shunting. Following intubation in preparation for transfer, the patient was started on Prostaglandin 0.05mcg/kg/min. Prior to transfer, and due to the presumptive clinical diagnosis of Beckwith Wiedemann, blood was obtained for genetic analysis. This investigation later revealed the etiology of the child’s defects was 9pter-9p22.2 interstitial deletion.

After transfer to a higher level of care, the child underwent aortic arch repair. Preoperative echocardiogram demonstrated moderate to severe hypoplasia of the transverse and distal arch, multiple ventricular septal defects (perimembranous and muscular) with occasional bi-directional shunting, a stable atrial septal defect, as well as a bicuspid aortic valve. He ultimately required multiple surgeries including the previously stated aortic arch repair, hemidiaphragm plication, tracheostomy, gastrostomy-tube with Nissen fundoplication, and omphalocele repair. He spent several weeks in intensive care units during which multiple desaturation and code events occurred. Ultimately, at 5 months of life, palliative measures were put in place and shortly after the child died.

Discussion

The purpose of this report was to present the current knowledge known on 9pter-9p22.2 interstitial deletion, expand the available literature concerning the more well recognized 9p minus syndrome, and compare 9p minus syndrome to 9pter-9p22.2 interstitial deletion. This will ideally enable providers to better identify this subtype, as well as formulate appropriate treatment, surveillance, and prognostic plans.

The available cases of 9pter-9p22.2 interstitial deletion revealed craniofacial abnormalities (38.5%), developmental delays (38.5%) and musculoskeletal abnormalities (23%) as the most common features typically identified. While our subject exhibited craniofacial and musculoskeletal abnormalities, he also demonstrated a less well recognized condition: congenital cardiac abnormalities. Prior to this report only one patient had been identified with cardiac dysfunction. While it is unclear specifically what cardiac abnormalities the previous patient had, our patient had significant cardiovascular compromise, including aortic coarctation, aortic hypoplasia, an atrial septal defect, ventricular septal defects and a bicuspid aortic valve. Due to such a small sample size, each additional patient with a specific feature, such as cardiac abnormalities has the potential to change the current associated risk related to that feature. Ultimately, subjects with the more common craniofacial and musculoskeletal abnormalities may warrant baseline echocardiograms and chest radiographs to evaluate for congenital cardiac defects. This may facilitate early recognition of deadly, congenital defects and hasten transfer, management and therapy at the appropriate facility.

Conclusion

Ideally, this report will aid clinicians in identifying and managing patients with 9pter-9p22.2 interstitial deletion. It is a significant copy number variant which, while sometimes fairly benign, has the potential to be devastating, and potentially fatal. Patients with confirmed or suspected 9pter-9p22.2 interstitial deletion would likely benefit from cardiovascular screening as well as potential transfer to a pediatric heart center.

Conflicts of Interest and Source of Funding:  Salary support was provided for Drs. Koslow, Reeves, Anchan, and Rohena by the United States Department of Defense. The authors have no conflicts of interest.

Disclaimer: This work was prepared as part of the official duties of Drs. Koslow, Reeves, Anchan, and Rohena who are employed by the United States Army and Air Force. The views expressed in this article are those of the authors and do not reflect the official policy or position of the United States Army, Air Force, Department of Defense, or the United States Government. Title 17 U.S.C. 105 provides that “Copyright protection under this title is not available for any work of the United States Government.” Title 17 U.S.C. 101 defines a United States Government work as a work prepared by a military service member or employee of the United States Government as part of that person’s official duties.

This study makes use of data generated by the DECIPHER community. A full list of centres who contributed to the generation of the data is available from hhttp: //decipher.sanger.ac.uk and via email from decipher@sanger.ac.uk. Funding for the project was provided by Wellcome.

Authors contributions:

Elizabeth Koslow conceptualized the study, interpreted the data analysis, drafted the manuscript, and approved the final manuscript.

Patrick Reeves conceptualized the study, interpreted the data analysis, drafted the manuscript, and approved the final manuscript.

Joshua Anchan contributed to study design, developed the data analysis plan, interpreted the data, and revised the manuscript.

Luis Rohena contributed to study design, interpreted the data, and revised the manuscript.

All authors approved the final version of the manuscript.

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Improvement in Bone Density with Calcitriol Substitution for Cholecalciferol in Refractory Osteoporosis induced by Prednisone

DOI: 10.31038/EDMJ.2018233

Summary

Low BMD in subjects receiving chronic prednisone therapy is attributed to osteoporosis. This study demonstrates that osteomalacia induced by lowering of biologically active vitamin D by prednisone induced inhibition of hepatic 25 hydroxyase may also be a major contributing factor.

Abstract

Introduction/ Purpose: Decline in BMD following prednisone therapy is attributed to osteoporosis. However, osteomalacia due to low 125 OH Vitamin D and resulting hyperparathyroidism may also be contributors. Therefore, administration of 125 OH vitamin D3, Calcitriol on BMD was examined in subjects receiving chronic prednisone therapy and low BMD (T< 2.5) refractory to therapy with bisphosphanate, calcium and vitamin D3, Cholecalciferol.

Methods: 21 subjects, ages 45–56 years receiving prednisone ≥3 years with declining BMD despite therapy with Cholecalciferol, CaCO3 and bisphosphanate were divided into 2 groups. Both groups continued Calcium and bisphosphanate. 10 subjects (group 1) received increased dose of Cholecalciferol, 2000 units daily while in 11 subjects (group 2), it was substituted by Calcitriol. Comprehensive metabolic panels (CMP) including serum calcium and alkaline phosphatase as well as 25 OH Vit D and 125 OH Vit D levels were determined every 6 months. BMD was determined at yearly interval.

Results: CMP including calcium and phosphorus remained normal in both groups while alkaline phosphatase declined in group 2 alone. Serum 25 OH Vit D levels were subnormal (<20 pg/ml) in both groups and normalized (53 ±6 pg/ml) only in group 2. BMD continued to decline in group1 while improving (p<0.01) in group 2; BMD being significantly greater than group 1 (p<0.01).

Conclusion: In subjects receiving chronic prednisone therapy, low BMD is induced by multiple mechanisms: osteomalacia caused by decreased 125 OH Vit D and osteoporosis caused by matrix collagen breakdown, hypogonadism and secondary hyperparathyroidism. Role of osteomalacia is confirmed by rising BMD on substituting active 125 OH vitamin D3, Calcitriol for inactive vitamin D3, Cholecalciferol.

Key Words

Prednisone, Osteoporosis, Osteomalacia, Low 125 OH Vitamin D, Hyperparathyroidism

Introduction

Occurrence of a significant decline in bone mineral density (BMD) following chronic therapy with immunosuppressive agents including prednisone in subjects undergoing organ transplant is well established [1–4]. Many organizations have recommended repeatedly over last several years, use of therapeutic agents in conjunction with life style modification including appropriate weight bearing exercises as tolerated by individual subject as well as adequate daily intake of vitamin D, mostly cholecalciferol 1200 units and elemental calcium, 1200 – 1500 mg in order to prevent or improve decline in bone mineral density [5–10]. Unfortunately though, the progress in implementation of these guidelines regarding preventive and therapeutic strategies has been apparently slow and less than adequate for unclear reasons [11–20].

The decline in BMD is mainly attributed to osteoporosis secondary to bone resorption [21–25]. However, several other factors may contribute to pathogenesis. Central hypogonadism caused by suppression of hypothalamic pituitary gonadal axis by prednisone may be a contributing factor [26, 27]. Alternatively, osteomalacia caused by low circulating biologically active 125 OH vitamin D induced via inhibition of hepatic hydroxylase by Prednisone may be another major pathophysiologic contributor [28–30]. Therefore, we examined impact of administration of biologically active 125 OH vitamin D3 (Calcitriol) on BMD in subjects receiving prednisone and lack of significant (3%) improvement in low BMD (T < 2.5) despite persistent therapy with biologically inert vitamin D3 Cholecalciferol, calcium and Risedronate (Proctor and Gamble Pharmaceuticals, USA) continuously over prior 3 years.

Subjects and Methods

21 adult subjects, 17 women and 4 men with ages 45–56 years while receiving prednisone ≥10 mg daily continuously for ≥3 years were referred to Endocrinology clinic at an academic Medical Center for further assessment and management for lack of improvement in low bone mineral density assessed at 2 consecutive years despite being concurrently administered daily vitamin D3 (Cholecalciferol) 1200 units, Calcium carbonate (elemental calcium, 1200- 1500 mg) and Risedronate 5 mg. All subjects had received organ transplants, e.g. Liver, kidney or heart prior to administration of prednisone along with other immunosuppressive agents, cyclosporine and methylphenidate. All women had ceased to have menstrual cycles at the time of enrollment. Subjects being treated for chronic disorders e.g. hypertension, dyslipidemia, diabetes mellitus, coronary artery disease, hypothyroidism etc were included if stable while receiving medications in the same daily dose for duration of at least 6 months prior to entry into the study. Exclusion criteria included hospitalization for surgery, myocardial infarction, stroke and uncontrolled diabetes mellitus during 6 months prior to entry into the study. Subjects manifesting elevated liver enzymes > 2x normal, decreased effective glomerular filtration rate < 50 ml / hour and disorders of calcium metabolism and inability to sign informed consent were excluded as well.

The subjects were divided into 2 groups. In 10 subjects, 8 women and 2 men (group 1), vitamin D3 Cholecalciferol was increased to 2000 units daily while in group 2 consisting of 11 subjects, 9 women and 2 men, Cholecalciferol was substituted by 125 OH vitamin D3 Calcitriol (Rocaltrol, Validus Pharmaceuticals, Parsippany, New Jersey, USA) 0.5 mcg daily . All subjects in both groups continued Calcium and Risedronate ( Actonel, Warner Chilcott (US), LLC Rockaway, NJ 07866, USA) in the same daily doses. Subjects also continued to receive immunosuppressive drugs and other previously prescribed medications for management of other disorders in the same daily dose. Hormone replacement therapy in post menopausal women and testosterone administration in men were continued with the same formulations and the same daily dose as well. Comprehensive metabolic panels (CMP) including serum calcium, phosphorus and alkaline phosphatase as well as 25 OH Vit D and 125 OH Vit D levels were determined by local laboratory in all subjects prior to grouping and at every 6 months until the end of the period of observation. BMD was determined by DEXA using the same equipment (Hologic ) at yearly interval. The subjects were followed every 3 months to ensure adherence and compliance with therapeutic recommendations as well as for adverse events.

Results

In all participants, comprehensive metabolic panels including serum urea nitrogen, creatinine, liver enzymes, electrolytes, calcium and phosphorus concentrations were all normal prior to the entry into study and remained without significant changes at 2 years. However, serum alkaline phosphatase levels were normal prior to entry and remained unaltered in all subjects in group 1 whereas they were elevated in 8 out of 11 subjects in group 2 but declined significantly in all subjects individually as well as a group. Serum 25 OH Vit D (< 20 ng/ml) were subnormal at entry into the study prior to increasing the daily dose of Cholecalciferol in group 1 and prior to change over to Calcitriol in group 2 and remained unaltered in both groups at the end of observation period of 2 years. In contrast, 125 OH Vit D levels were subnormal (< 25 pg/ml) in both groups prior to entry into study and remained subnormal in group 1 (Table1). Moreover, in subjects belonging to group 2, 125 OH Vit D concentrations normalized by 6 months and remained within normal range at 2 years (Table 1). BMD (T score) continued to decline in group1 (Table 2) whereas in group 2, BMD improved significantly from baseline within a year and the improvement was progressive till the end of the study period at 2 years (Table2). Thus, BMD in group 2 was significantly greater at both year 1 and year 2 in comparison to group 1 (p < 0.01).

Table 1. 25 Hydroxy (OH) Vitamin D and 125 OH vitamin D in subjects increasing Cholecalciferol daily dose (Group1) and changing to Calcitriol (Group 2)

Time in years

-2

-1

0

1

2

25 OH Vit D Group 1

20 ± 3

19 ± 4

22 ± 5

20 ± 4

24 ± 5

25 OH Vit D Group 2

21 ± 3

22 ± 5

21 ± 4

22 ± 5

23 ± 5

125 OH Vit D Group 1

18 ± 2

19 ± 3

18 ± 3

21 ± 4

21 ± 5

125 OH Vit D Group 2

18 ± 3

19 ± 4

19 ± 5

48 ± 7*†

53 ± 6*†

* p < 0.01 vs Group 1
† p < 0.001 VS 0 TIME IN Group 2

Table 2. Bone Mineral density (BMD) in subjects increasing Cholecalciferol daily dose (Group1) and changing to Calcitriol (Group 2)

Time in Years

-2

-1

0

1

2

BMD Group 1

-2.8 ± 0.2

-3.0 ± 0.3

-2.9 ± 0.3

-3.1 ± 0.3

-3.3 ± 0.1

BMD Group 2

-2.9 ± 0.3

-3.0 ± 0.4

-3.1 ± 0.3

-2.6 ± 0.2*†

-2.3 ± 0.1*†

* p<0.05 vs Time 0
† p<0.01 vs Group 1

Discussion

The decline in BMD in subjects receiving immunosuppressive therapy including prednisone may be attributed to multiple factors [21–30]. Enhanced catabolism of matrix collagen induced by prednisone apparently plays a major pathophysiologic role in osteoporosis as evident by increased bone resorption [21–26]. Alternatively, central hypogonadism caused by suppression of hypothalamic pituitary-gonadal axis by prednisone is also a contributing factor [27–30]. Moreover, osteomalacia due to decline in circulating biologically active 125 OH Vitamin D secondary to lowered 25 OH Vitamin D due to inhibition of hepatic 25 hydroxylase induced by prednisone may facilitate the decline in BMD [31–35]. Finally, secondary hyperparathyroidism in response to decreased active vitamin D may also promote the decline in BMD [21–26,31–35].

This study demonstrates that BMD continued to decline in subjects in group 1 despite increasing the daily dose of vitamin D3, Cholecalciferol while continuing other therapeutic strategy including drugs. This data is consistent with several previous clinical trials using same therapeutic strategies including either drugs inhibiting bone resorption or anabolic agents and vitamin D3, Cholecalciferol or its derivative, alfacalcifedol [31,32,34–39]. In contrast, supplementation with calcitriol following substitution for Cholecalciferol improved bone mineral density markedly in our study (Table 2). Lack of improvement or even stability of BMD may be attributed to impaired generation of 25 OH vitamin D from Cholecalciferol due to inhibition of hepatic 25 hydroxylase by prednisone resulting in persistent lowering of biologically active 125 OH vitamin D concentration (Table1). Alternatively, a marked rise in biologically active125 OH vitamin D levels on administration of Calcitriol instead of cholecalciferol (Table1) may have contributed to improvement in BMD via promotion of bone mineralization and inhibition of bone resorption induced by normalization of PTH. Thus, the decline or lack of stabilization or improvement in BMD in subjects receiving prednisone is a consequence of osteomalacia and secondary hyperparathyroidism in conjunction with bone resorption caused by matrix protein catabolism and hypogonadism as described previously. In the final analysis, it is apparent that decline in BMD induced by prednisone is multi factorial and is induced by osteomalacia due to lack of adequate biologically active 125 OH Vitamin D and concurrently increased bone resorption secondary to matrix collagen breakdown induced by prednisone itself as well as exacerbation by secondary hyperparathyroidism and hypogonadism. Moreover, appropriate therapy consisting of Calcitriol and adequate calcium supplementation as well as sex hormones and antiresorptive or anabolic agents based on pathophysiology alone is likely to maintain preservation or promote improvement in BMD in subjects receiving chronic prednisone administration. Therefore, we recommend that guidelines for management of glucocorticoid induced bone disease include calcitriol for vitamin D supplementation as an integral part of a total protocol including all therapeutic modalities.

Acknowledgements: The data was presented in part at Endocrine Society’s 96th Annual Meeting and Expo, June, 2014

Conflict of Interest: The author Udaya M Kabadi declares that he has no conflict of interest and no disclosures.

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  44. Chen Y, Wan JX, Jiang DW, Fu BB, Cui J, Li GF, Chen CM.Efficacy of calcitriol in treating glucocorticoidinduced osteoporosis in patients with nephrotic syndrome: an open-label, randomized controlled study. Clin Nephrol. 2015 Nov; 84(5): 262–9. doi: 10.5414/CN108473.

Dichloroacetate (DCA) as an Oncology Chemotherapeutic Agent – What’s all the Hype and is it Warranted?

DOI: 10.31038/CST.2018341

Abstract

Cancer remains as one of the most challenging diseases to treat. However, this era has commenced with the introduction of novel drug treatments that are safer, and less toxic. The efficacy of a novel metabolic therapy, dichloroacetate sodium (DCA) was investigated.

27 solid-tumors were studied; 3 of 27 exhibited high or intermediate sensitivity to DCA as a single agent; 7 of 27 exhibited high or intermediate sensitivity to DCA in combination with chemotherapeutic agent(s). 9 of 27 exhibited no sensitivity to DCA as a single agent or in combination.

Clinical outcomes further validated the in vitro data.

Our findings indicate a potential role for DCA in oncology therapeutics in a wide range of cancer types. However, the diversity of the tumor responses among organ-specific cancer types underscores the necessity to conduct clinical studies on an individual basis rather than with a “one-size-fits-all” approach. The relative clinical safety, well- characterized pharmacodynamic profile, low side effects, and low cost of DCA further makes it an ideal candidate for development as an effective anticancer agent. Ideally, randomized controlled clinical trials should be designed to further correlate and validate this preliminary pilot study in the oncology setting and to fully appreciate the impact of DCA on cancer recurrence, response rates and survival rates.

Key Words

DCA, mitochondria, solid-tumors, oncology, chemotherapy, Warburg Effect

Introduction

Cytotoxic chemotherapeutic treatment regimens tend to be deleterious and toxic to cancer patients. Furthermore, these treatments often come with significant trade-offs: treatment may have to be halted because of cumulative toxicity; treatment may produce long-term complications; or the drug(s) that kill the cancer may permanently damage healthy organs [1] , or worse. Thus, today many clinicians are changing their clinical practices by opting for targeted and/or ancillary drug treatments that kill the tumor cell populations while sparing healthy cells, thus affording the patient a valuable quality-of-life.

It is known that greater than 70% of all cancer types rely on aerobic glycolysis for energy production, which is an inefficient means of generating ATP, a feature that becomes an advantageous biomarker. Aerobic glycolysis is a result of malfunctioning/hyperpolarized mitochondria. Cancer cells generally express increased aerobic glycolysis in the cytosol (Warburg Effect/lactic acid fermentation) [2] rather than oxidative phosphorylation (normal cells) for energy production,[3] thus producing excessive lactate and therefore inducing a low pH microenvironment [4].

In 2007, Drs. Archer and Michelakis from the University of Alberta, Canada, [5] decreed the use of Dichloroacetate (DCA) as a general use metabolic chemotherapeutic agent that could reverse this mitochondrial hyperpolarized state thus inducing cancer cells to undergo apoptosis.

The ability of DCA to decrease lactate production has been used for more than 30 years in the treatment of lactic acidosis in inherited mitochondrial diseases in humans [6] Lactic acidosis is a physiological condition characterized by low pH in the body tissues and blood accompanied by the buildup of lactate [7]. The condition typically occurs when cells become hypoxic thus impairing cellular respiration leading to the lower pH levels (acidosis). Simultaneously, cells are forced to metabolize glucose anaerobically, which leads to lactate formation. Therefore, elevated lactate is indicative of tissue hypoxia, hypoperfusion, manifesting in possible tissue damage [8]. The characteristics of mitochondrial diseases in humans are virtually identical to tumorigenesis, complete with the inefficient bioenergetic mitochondria. This property has led to trials of DCA for the treatment in humans presenting with a variety of cancers [9].

The generic drug sodium dichloroacetate (DCA) is an orally bioavailable small molecule that, by inhibiting pyruvate dehydrogenase kinase (PDK), increases the flux of pyruvate into the mitochondria, promoting glucose oxidation. This reverses the suppressed mitochondrial apoptosis in cancer cells and results in suppression of tumor growth in vitro and in vivo [6]. Thus, it would be reasonable to propose that cells with mitochondrial defects, or cells in a high glycolytic and hypoxic environment would likely be more sensitive to glycolytic inhibition by DCA. Therefore, a prospective study of the efficacy of DCA as a potential chemotherapeutic agent was conducted.

Materials and Methods

A variety of fresh solid tumor specimens (27) were procured from patients of a private clinic, Medicor Cancer Centres Inc. (Toronto, Ontario, Canada) The tumor specimens were either obtained from biopsies of superficial metastases, superficial lymph nodes infiltrated with metastases, or at the time of major cancer surgery. The tumor specimens were accredited by the attending pathologist to be comprised of tumor tissue. Patients were provided with a written informed consent to perform the CS/CR (chemosensitivity / chemoresistance) assay. The live tumor samples obtained were then mechanically disaggregated to obtain single-cell heterogenates (SCH). The SCH were then incubated at 360C / 5% CO2 for 48 hours in a humidified chamber to allow for equilibration. Following incubation, the SCH were washed, counted, and a small aliquot stained with trypan blue, to assess initial viability. Twenty thousand cells were added per analysis tube. The chemotherapeutic agents (obtained from Sigma-Aldrich; Selleck Chemical, and McKesson) were added at peak plasma concentrations (Cmax), plus/minus DCA (at peak plasma concentration/Cmax), and incubated at 360C / 5% CO2 for 72 hours in a humidified chamber. After 72 hours, the SCH were washed and tagged with green fluorescein LIVE/DEAD® Fixable Stains for Flow Cytometry (Molecular Probes). The reactive dye can permeate the compromised membranes of dead cells and react with free amines on the interior and exterior of the cell, whereas only membrane-exterior free amines of viable cells are available to react with the dye, resulting in intense or dim staining, respectively. SCH in vitro chemotherapy response was determined using a Becton Dickinson FACScan flow cytometer* and SCH analyzed for percentage of live versus dead cell populations against a live non-drug control. A dead cell control was also used consisting of SCH placed at 560C for 1 hour.

 *All specimens were high grade / metastatic tumors unless noted; no tumor was naïve; no tumor was a primary 10,000 events were counted for each SCH aliquot.

Results:

CST 2018-116_F1

CST 2018-116_F2

CST 2018-116_F3

Figure 1. Histograms/Graphs

Unless Noted: DCA inhibited the conventional therapeutic drug; or no synergy was noted with the conventional therapeutic drug; or if synergy was LDS; or inhibition of both agents when combined. This is noted by the Dark Colored Histograms.

Red Colored Histograms (X); Synergy (HDS) when conventional chemotherapeutic drug was combined with DCA

Blue Colored Histograms (X); Synergy (IDS) when conventional chemotherapeutic drug was combined with DCA

Note: 1) In our assay if percent kill was not > 33%, treatment was designated as LDS (Low Drug Sensitivity) and as such was not considered an efficacious treatment option; 34%-65% kill was designated as IDS (Intermediate Drug Sensitivity) a partial response may be obtained; > 66% kill was designated as HDS (High Drug Sensitivity) and a favorable response could be expected.

2) Definitions: Permissive: drug as a single agent is non-effective unless in combination with another agent; Additive: in combination the drugs produce a total effect the same as the sum of the individual effects; Synergy: in combination the drugs produce a total effect that enhance or magnify the sum of the individual effects; Inhibition: in combination the drugs produce a total effect that inhibits the sum of the efficacy of the effective drug(s).

Table 1. SAMPLE CLINICAL RESULTS: Previously Un-Published and Unrelated to Figure 1 Data

Total-27 solid-Tumors Sensitivity to DCA

Single Agent

Efficacy

Combination

Efficacy

11%

HDS

15%

HDS

15%

IDS

22%

IDS

33%

LDS/NONE

33%

LDS/NONE

11/27 Breast solid-Tumors Sensitivity to DCA

Single Agent

Efficacy

Combination

Efficacy

24%

HDS

15%

HDS

6%

IDS

24%

IDS

33%

LDS/NONE

33%

LDS/NONE

4/27 Colon solid-Tumors Sensitivity to DCA

Single Agent

Efficacy

Combination

Efficacy

0%

HDS

25%

HDS

25%

IDS

50%

IDS

0%

LDS/NONE

0%

LDS/NONE

  1. 32 year old male, leg melanoma, treated with wide excision and inguinal node dissection, local recurrence and progressive inguinal lymphadenopathy post-op while receiving natural therapy only, CT proven complete response to oral DCA therapy for over 3 yearswith no concurrent conventional therapies.
  2. 63 year old female, non-Hodgkins lymphoma treated with standard chemotherapy, marrow injury from chemo (stopped), progression while off treatment, CT-proven stable disease for 2 years while taking oral DCA and no concurrent conventional therapy.
  3. 80 year old male with transitional cell bladder carcinoma, recurrent disease after multiple resections and BCG, cystoscopy- proven tumour shrinkage with short course of oral DCA (6 weeks), re-treated after 1 year, delayed radical cystectomy for 4 years.
  4. 31 year old female with frontotemporal grade 3 astrocytoma transformed to glioblastoma, treated with debulking surgery followed by chemoradiation. Patient received DCA for 3 months following chemoradiation, with no concurrent chemotherapy, and no subsequent conventional therapy. Initial MRI appeared to show rapid progression with patient remaining asymptomatic. MRI deemed to reflect pseudoprogression. Patient had a complete response and remains alive and well 6 years post-treatment.
  5. 67 year old female with recurrent transitional cell bladder carcinoma following multiple TURBT procedures and intravesical chemotherapy. Treated with oral DCA 26mg/kg/day for 6 weeks on a cycle of 2 weeks on and 1 week off. DCA stopped due to neuropathy. Disappearance of recurrent solitary bladder tumour by pelvic ultrasound, confirmed by cystoscopy and repeated negative urine cytology reports. Patient remained clear at 6 months post-DCA therapy. Started low dose naltrexone combined with purified honokiol (magnolia extract) for recurrence prevention. Remains clear of bladder cancer 3 years following therapy.

Results/Discussion

Early carcinogenesis occurs in a hypoxic microenvironment and thus the transformed cells initially rely on aerobic glycolysis for energy production [4]. However, this early metabolic adaptation appears to also offer a proliferative advantage, suppressing apoptosis. Furthermore, the byproducts of glycolysis (i.e. lactate and acidosis) contribute to the breakdown of the extracellular matrix, facilitate cell mobility, and increase the metastatic potential [11]. Moreover, even though the tumors eventually become vascularized and O2 levels increase, the glycolytic phenotype persists, resulting in the ‘‘paradox’’ of glycolysis during aerobic conditions, the Warburg effect [2].

Aerobic glycolysis is a common metabolic alteration of tumor cells that results in overt lactic acid production, adapting the cells to tumor microenvironments and is necessary for their survival. Although lactate production results in less ATP per molecule of glucose, it has been shown that increased glycolysis and decreased oxidative phosphorylation may serve to increase the rate of ATP production without producing reactive oxygen species [2]. Indeed tumor cells do not suffer from ATP deficiency; in fact they generate more energy than normal cells, by increasing the level of glycolysis several-fold to support their enhanced growth and proliferation.12 It has also been shown that the Warburg effect is also involved in the avoidance of apoptosis [2]. Alternatively and paradoxically, the Warburg effect might serve to increase the biomass to provide nucleotides and lipid material necessary for rapidly dividing cells [13]. This theory is supported by the fact that signaling pathways such as AKT/mTOR, are known to play a role in biomass production, which also control aspects of the Warburg effect [13].

Moreover, it is well established that solid tumors tend to have a more acidic microenvironment than normal tissues [2]. Intracellular acidic water holds very little oxygen while an alkaline water micromilieu can hold large amounts of oxygen. It follows, then, that the more acidic the tumor cells, the less intracellular oxygen will be available. Thus this acidic phenotype would further support enhanced proliferation and hence tumorigenesis [15]. Indeed, it has been reported that due to this acidic milieu, an unusual reprogramming phenomenon will be the fate of some somatic cells. They can be drastically altered through changes and committed to a specific lineage and thus converted into a pluripotent state (capable of differentiating into nearly all cell types) when exposed to an environmental stress, in this case short exposure to low pH. This reprogramming process does not need nuclear manipulation or the introduction of transcription factors, thought to be necessary to induce pluripotency. This research group calls the phenomenon “stimulus-triggered acquisition of pluripotency” (STAP) [16].

Further support for tumors utilizing this bioenergetic inefficient, non-mitochondrial means of generating ATP has been shown by tumor cells exclusive expression of the embryonic M2 isoform of pyruvate kinase M2 which is necessary for aerobic glycolysis [14]. This unique phenotype provides a selective growth advantage for tumor cells in vivo and is associated with suppression of mitochondrial function and thus resistance to apoptosis, a further hallmark that characterizes cancer.

The Parra-Bonilla group demonstrate that pulmonary artery microvessel endothelial cells preferentially utilize glycolysis to generate ATP (Warburg effect), which may be necessary to sustain their growth and other rapidly growing untransformed cells [17]. Others have also demonstrated that AKT (Protein Kinase B, a serine/threonine-specific protein kinase that plays a key role in multiple cellular processes such as glucose metabolism, apoptosis, cell proliferation, transcription and cell migration). is activated by latent Kaposi’s sarcoma-associated herpes virus (KSHV) infection of endothelial cells [18,19]. KSHV infection of endothelial cells also activates hypoxia-induced factors HIF -1 and HIF-2 [19]. Further, AKT and HIFs have been shown to play prominent roles in the Warburg effect. During latent infection of endothelial cells, KSHV induces aerobic glycolysis and lactic acid production while decreasing oxygen consumption, leading to endothelial cell activation and thus angiogenesis promotion via the hypoxic milieu [20].

Lactic acidosis is characterized by tissue lactate levels of >5 mmol/L concurrently with serum levels of pH <7.35. [21]. Researchers at the University of Regensburg, Germany [22] show that intratumoral concentrations of lactic acid vary by tumor type as well as from tumor burden. They collected serum of 160 patients suffering from different malignancies and determined that patients with high tumor burden indeed present with a significant increase in serum lactate levels. Furthermore, since a characteristic feature of the tumor environment is local acidosis, they investigate the direct effect of lactic acid on T-cell proliferation, showing lactic acid inhibits T-cell proliferation as well as an intracellular increase concentration of lactic acid in the T-cell itself of10–20 mmol/L [22].

Taken in totality, it appears that virtually all cells associated with the tumor microenvironment play prominent roles in the Warburg effect.

But, Michelakis et al, demonstrate that this metabolic-electrical remodeling is an adaptive response and thus reversible. Since cancer cells are relatively deficient in Kv channels, [5,11] one could reverse the suppression of PDC (pyruvate dehydrogenase complex) activity, and thus increase apoptosis. The metabolic and the apoptotic pathways converge in the mitochondria and thus not independent from each other and therefore the glycolytic phenotype is associated with a state of apoptosis resistance [23].

Many glycolytic enzymes have been recognized to also regulate apoptosis, and several oncoproteins also induce the expression of glycolytic enzymes [24]. For example, AKT, which stimulates glycolysis and induces resistance to apoptosis, activates hexokinase, an enzyme catalyzing the first and irreversible step in glycolysis [25]. Via its downstream mediator glycogen synthase kinase 3 (GSK3), AKT induces the translocation of hexokinase to the mitochondrial membrane where it binds to the voltage-dependent anion channel (VDAC), suppressing apoptosis [25]. Inhibition of GSK3 in cancer cells causes unbinding of hexokinase from VDAC, induces apoptosis, and increases sensitivity to chemotherapyv [26].

DCA enters the cancer cell switching cancer promoting/inhibiting genes on or off including mtDNA. However, it appears that DCA requires an ectopic membrane transporter protein called SLC5A8 to enter the cancer cells. SLC5A8 mediates acetate transport in a Na+-coupled manner, with the affinity of dichloroacetate for the transporter ~45-fold higher than that of Na+, (dichloroaceate/ Na+ stoichiometry for the transport process is 2: 1.) [27]. When it does so, it restores mitochondrial function by reversing the ionic remodeling of hyperpolarized mitochondria, thus restoring apoptosis, allowing cancer cells to commit “suicide” which results in tumor shrinkage. Indeed, it has been shown that DCA does have broad spectrum anticancer properties with minimal toxicity in animal models, and has efficacy in humans including the treatment of glioblastoma (by virtue of its ability to cross the blood-brain barrier). DCA causes depolarization of mitochondria in GBM tissue but not in healthy brain tissue, as this tissue possesses ectopic expression of the SLC5A8 transporter [28].

Several studies have shown that DCA induces apoptosis, in a variety of cancer cell lines and as the mitochondria-K+ channel axis is suppressed in cancer and its normalization promotes apoptosis and inhibits cancer growth [29–31]. However, a recent investigation was not able to confirm these findings [32]. In correlation with our pilot studies we also observed that even though DCA was able to induce mitochondrial depolarization (Figure 2), we observed highly variable induction of apoptosis or necrosis when DCA was used as a single agent, or even as a chemosensitizer (Figure 1). Nonetheless, long and continuous in vivo exposure may be required as demonstrated by Bradford and Khan [33] and/or DCA may cause cell growth inhibition without causing apoptosis [34] and hence account for minimal in vitro results noted in the third decade (apoptosis) and thus account for the clinical ‘stable disease’ case noted above(as well as other unpublished cases observed at Medicor Cancer Centres)

Reversal of the glycolytic phenotype by dichloroacetate inhibits metastatic breast cancer cell growth in vitro and in vivo [35]. This would not be detected by the ChemoFit assay. We show that DCA selectively targets cells with defects in the mitochondrial and could demonstrate apoptosis or necrosis when DCA was combined with conventional chemotherapies thus acting as a chemosensitizer inducing synergistic effects on various tumor types. Moreover, Stockwin et al [32] demonstrate that a very high concentration of the compound (≥25 mM) was required to induce apoptosis, wherein our studies incorporated peak plasma concentrations as well as exposure time of the SCH to DCA was 72 hours and not beyond. A limiting factor in the study is the use of “fresh” tumor cells (not cell lines) and thus the inability to use cultures for extended periods of time, which would be required to measure growth inhibition.

CST 2018-116_F4

Figure 2. “X” scale – logarithm – fluorescence intensity spanning four decades (a 10,000-fold range)

“Y” scale – logarithm – cell Number

EXAMPLE-When live tumor cells are run through the flow cytometer without any drugs added, the histogram exhibits a peak in the 100–102 as noted in “A” the “ghost” peak; whereas if DCA is added to the aliquot of live tumor cells, the peak becomes very narrow, less ‘choppy’, and falls square in the middle of the 2 decades, as noted in “B” the “solid” peak– indicating reversing of the hyperpolarized mitochondria – the cell populations are “healthier?” [Unpublished Data]

A 1982 and a 1988 paper by Chen, et al. show that rhodamine 123 accumulates by various cancers and normal cells. The rhodamine 123 molecule, carries a net positive charge, and as such is accumulated and retained in areas of the cell that are more negatively charged in greater amounts and for longer periods of time than in less negatively charged areas [34–35]. Thus, retention of Rh123 in the mitochondria of many carcinomas suggests that the mitochondria in such cells are hyperpolarized. Due to this biochemical property, Chen points to two types of cancer that do not retain Rh123, sarcoma and oat cell lung cancer (SCLC). The 1988 paper also mentions as exceptions “large cell carcinomas of the lung” and “poorly differentiated carcinoma of the colon.” This is not definitive since there is certainly much variation among all types of cancer cells, but in light of the data contained in the Chen papers, and given the importance of the normalization of mitochondrial membrane potential to the apoptosis-inducing mechanism described by Michelakis, [36] it seems reasonable to assume that sarcomas, and small cell lung cancers are unlikely to respond to DCA and perhaps partially explain the results of our current study. However, in clinical practice of using DCA for over 7 years, Khan has observed both sarcoma and small cell lung cancers respond well (unpublished data), again highlighting the variability of individual tumor behaviors and the need to individualize therapy. Although neurotoxicity is a known and rather common side-effect and was indeed noted in the patients, it was reversible upon withdrawal of the drug or when treated with natural neuroregenerative medicinessuch as lipoic acid and B vitamins

Many of the patients who supplied tumours listed in Fig 1 could not be followed to determine if the in vivo responses matched the in vitro results noted above. The reasons were:

  1. the patient’s condition changed, and they were unable to take chemotherapy,
  2. the patient’s oncologist refused to prescribe the assay-guided therapy,
  3. the patient was lost to follow-up.

Since DCA had been used for years to treat rare metabolic disorders and was known to be relatively safe, [6] the potential existed for rapid translation of these findings to clinical use in the oncology setting. However, our pilot studies using DCA to restore normal generation of ATP and therefore reverse the resistant apoptosis phenotype, show that most of the tumors did not respond to DCA as a single agent or in combination with conventional agents. 3 of 10 breast cancer subtypes had intermediate or high sensitivity to DCA as a single agent, DCA also exhibited high efficacy when combined with various chemotherapeutic agents in the same 3 breast tumors. We noted 1 of 4 colon cancer subtypes had intermediate sensitivity to DCA as a single agent, and the only bile duct cancer tested had high sensitivity to DCA as a single agent.

Actually our data indicates that DCA inhibited the sensitivity of many of the conventional agents used including those used on breast and brain tissue that we hypothesized would be effective as noted above by other research groups. It should also be noted that although we analyzed “fresh” tumor tissue and any components associated with the micromilieu, many research groups tested DCA on human cells cultured outside the body and found that it killed lung, breast and brain cancer cells, but not healthy cells [29–32]. The issue of using fresh tissue versus cells lines; cells in cultures always present with concern and relevance. Cell lines are homogeneous rather than representing the heterogenic milieu of a specific patient’s tumor mass. As such, results for a given therapeutic agent(s) may not represent the individual‘s specific response and actually may reflect false positive or false negative effects. Further, allowing cells to proliferate in vitro does not represent the original tumor mass and thus not reflect in vivo response dynamics.

As mentioned, not all of the tumors responded to DCA as a single agent or in combination with conventional agents. There are several possible explanations for this. It is possible that the resistant tumors do not express the membrane transporter protein SLC5A8. It is known to be silenced in many tumors and not ectopic, which has been shown to be required for DCA entry into the cancer cells [28]. The tumor specimens analyzed were high grade / metastatic tumors and hence had prior exposure, if not multiple exposures, to drugs and radiation prior to analyses. It is also possible that the tumors had developed cross resistance to DCA as a result of prior treatment with multiple cytotoxic agents. It has also been shown that when the tumor bulk has not been effectively eradicated, the risk of recurrence and metastasis is high, [37] hence, the efficacy of DCA may be higher when it is administered in patients with low tumor burden. Thus, as mentioned above, most of our patient population was of high tumor burden explaining our subdued results. Another conjecture is that certain tumors may be able to utilize alternate fuels to generate ATP when glycolysis is shut down by DCA (e.g. ketone bodies or free fatty acids). Moreover, a limitation of the assay is based on altered cell membrane permeability but the initial site of cellular damage caused by some toxic agents is intracellular. Therefore, cells may be irreversibly damaged and committed to die, while the plasma membrane is still intact. Thus this assay could underestimate cell death. Despite this fact, these types of assays are widely used, accepted and correlate with clinical outcomes [38]. Finally, if DCA is cytostatic (growth inhibition without apoptosis) as shown by Blackburn’s group, [36] instead of cytolytic/cytotoxic, a cell death assay will not detect this influence [37, 39, 40].

Conclusion

Despite the challenges that remain in treating cancer, this era has commenced with the introduction of novel drug treatments that are safer, and less toxic. Thus, many clinicians are changing their clinical practices by opting for these “gentler” “targeted” treatments that kill the tumor cells and leave normal cells unaffected. Furthermore, it appears that with the advent of targeted therapies, and the prediction that individualizing therapy is now an appropriate method for treating cancer, many physicians are now realizing the value of CS/CR testing, and advocating its use to guide them in choosing a chemotherapeutic regimen. Microscopic histological “sameness” does not equate to tumor genetic, epigenetic and phenotypic “sameness”. Indeed, the characteristics and behavior of specific cancer types differs widely from individual-to-individual [12]. However, It can be deduced that since tumor evolution is likely to be non-linear, and substantial genetic heterogeneity is expected in tumor cell populations, this heterogeneity will be reflected epigenetically and hence may be treated in-vivo by in-vitro guidance assays. This forms the basis of individualized/personalized medicine, in which one takes the diagnostic information from a person’s own cancer to develop a highly individualized treatment for a given cancer patient, rather than relying on the challenge of empiric “one-size-fits-all” treatment modalities [10].

Since DCA had been used for years to treat rare metabolic disorders and was known to be relatively safe, [6] our data demonstrates the potential for rapid translation into clinical practice. It becomes central to develop new agents that effectively kill the cancer cells and overcome drug resistance associated with hypoxia and mitochondrial respiratory defects. Furthermore, these agents should favor cytolysis rather than cytostatic effects, so that tumor cell populations are actually killed and not merely “dazed”, if one is to achieve totally eradication of the tumor. However, if the anticancer agent is cytostatic, long-term use may still yield acceptable clinical outcomes and augmented survival rates keeping the patient in a chronic “stable” state.

Simultaneously, controlled clinical trials of DCA must be conducted to thoroughly delineate the value of DCA in cancer treatment. It is apparent that empirically-selected chemotherapy has tremendous room for improvement, since the published response rates are low in many types of cancers especially if metastaticb [39] The identification and stratification of patients to predict DCA benefit and response can easily be performed in vitro, prior to in vivo administration [40]. Toxicity is the main reason for the high failure rate (40–50%) [39] (and acquired resistance), of chemotherapeutic interventions thus, predicting how the individual oncology patient will respond to DCA (and other agents) and differentiating between direct and indirect effects [40] may be challenging but is certainly not insurmountable. Personalized treatment remains the current endeavor as improperly treated cancer takes a huge toll on our healthcare system and, more importantly, on the lives of patients and their families. Improving response rates and survival must be a priority. Thus, the initiation of new focused clinical trials containing strong correlative science components on a range of cancer patients becomes fundamental.

Abbreviations

IDC=invasive ductal carcinoma,

NSCLC= non-small cell lung cancer,

*chlor-Chlorambucil;

ix-Ixempra;

lap-Lapatinib;

lom-Lomustine;

TMZ-Temozolomide;

eto-Etoposide;

met-Metformin;

riba-Ribvirin;

rapa-Rapammune;

tam-Tamoxifen;

cis-Cisplatin;

tar-Tarceva;

MTX-Methotrexate;

dox-Doxorubicin;

tax-Taxol;

fem-Femara;

chlor-Chloroquine;

FU-Fluorouracil;

mito-Mitomycin;

vin-vinblastine;

carbo-Carboplatin;

gem-Gemcitabine;

nav-Navelbine;

iri-Irinotecan;

oxi-Oxilaplatin;

HD-High Drug Concentration = 10X Peak Plasma Concentration;

LD = Low Drug Concentration = 50% Peak Plasma Concentration

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Analysis of Clinical Features and Risk Factors of Death in Patients Admitted to Hospital with Acute Mushroom Poisoning: A Retrospective Analysis of 315 Cases

DOI: 10.31038/JCRM.2018123

Abstract

Aim: To review the clinical features and identify mortality risk factors of patients admitted to hospital for acute mushroom poisoning (AMP) .

Methods: We retrospectively analyzed a database of 315 patients who underwent acute mushroom poisoning between September 2003 and December 2017 at our hospital. The patients were divided into the survival group (n = 272) and death group (n = 43) based on the prognosis. Multivariate logistic regression was used to evaluate the risk factors associated with death.

Results: Overall, 315 cases were enrolled into the statistical analysis. The average age of them was 40.66 ± 20.86 years and there were 193 (61.27%) male. Patients with latency of 6–24 hours had a higher rate of composition (54.60%) and mortality (11.75%) . Liver was the most commonly involved organ (152/523, 29.06%) and patients with liver damage had the highest mortality (40/315,12.70%) . There was significant relationship between the number of organs involvement and mortality rate. Three or more organs damage could obviously increase mortality rate (P﹤0.05) . Compared with survival group, patients in death group had higher levels of alanine aminotransferase (ALT) , total bilirubin direct (TBIL) , direct bilirubin (DBIL) , prothrombin time (PT) , activated partial thrombin time (APTT) , creatine kinase MB (CK-MB) , myoglobin (Mb) , lactate dehydrogenase (LDH) and lower levels of albumin (ALB) and sodium (Na+) (P < 0.05) . ALT ≥ 200U/L, PT ≥ 20s and ALB≤30g/L were identified as independent risk factors of the death in AMP (P < 0.05) .

Conclusion: We found that the number of organs involvement, ALT ≥ 200U/L, PT ≥ 20s and ALB≤30g/L were significantly associated with mortality. Clinicians should be aware the dynamic changes in the above factors so that they can be detected early and treated as soon as possible.

Key words

acute mushroom poisoning; survival group; death group; clinical features; risk factors; multiple organ dysfunction syndrome; retrospective analysis

Introduction

Poisonous mushroom has many types, colors, sizes and morphologies. It is difficult to visually distinguish it from edible mushrooms. Therefore, AMP is a common phenomenon. Some poisonous mushrooms are rich in toxins, which are heat stable and not inactivated by cooking .The chemical structure of toxins is similar to the herbicides diquat and paraquat, they can lead to nausea, vomiting, abdominal pain, diarrhea and it can even make the disease progress rapidly and cause multiple organ dysfunction syndrome (MODS) to death [1,2]. Amanita poisoning has long been a worldwide problem, because it accounts for about 90% of fatality[3]. The lethal dose of α-amanitin is very low, only 0.1mg / kg, and some mushroom can contain up to 15 mg. That’s one of the reasons why the mortality of α-amanitin is high and it’s known as the most poisonous toxins [4,5]. It had been reported that there were 50 to 100 deaths in Western European countries each year, and it was relatively rare in the United States, but there were also approximately 100 deaths in five years [6,7]. In China, the mortality of AMP is still high even as high as 21.2% and there are no special antidotes [8,9]. Although the disease has a high mortality rate, at present, most articles on AMP are case reports or series, and limited data exist on the clinical characteristics and possible mortality risk factors of patients admitted to hospital for AMP. To better identify the disease clinical features that are related to the fatal outcome of AMP patients admitted to hospital , we collected clinical data of 315 AMP patients admitted to our hospital from September 2003 to December 2017 and analyzed the clinical features and risk factors of the death, based on data from the initial admission.

Materials and Methods

Participant enrollment and inclusion/exclusion criteria

The patients who were diagnosed as AMP in our hospital between September 2003 and December 2017 were enrolled in the retrospective study. All these patients were included in the study according to the following inclusion: (1) . They had a clear history of eating wild poisonous mushrooms and duration did not exceed three days. (2). Co-fed persons had different symptoms of poisoning, while others had not. (3) . They all had relevant laboratory abnormalities. (4) .Clinical datas were complete and successfully received follow-up for at least six months. The patients with history of related diseases including drugs of abuse, viral hepatitis, glomerulonephritis or other which could lead to liver, kidney and other organs damage were excluded from this study. This study strictly followed the ethical principles of human medical research in the Declaration of Helsinki and was approved by the hospital ethics committee and obtained the informed consent of all patients or their relatives.

Diagnostic criterias for organs involvement

The diagnostic criterias for organs involvement were as follows: (1). Elevated alanine aminotransferase ( ≥ 200 U/L) six-fold greater than the upper limit of normal concentration (5~35 U/L) , and/or the presence of total bilirubindirect ( ≥ 35umol/L) (normal range:0~27 umol/L), both of them were defined as liver damage. (2) Increased prothrombin time ( ≥ 20s) (normal range:0~14 s) and/or activated partial thrombin time ( ≥ 40s) (normal range:20~40 s) was considered to be coagulation abnormalities. (3). Elevated creatine kinase MB ( ≥ 5ug/ml) (normal range: 0.01–4.94 ng/ml) was defined as heart involvement. (4) . Increased creatinine ( ≥ 160umol/L) double than the normal concentration (normal range:45–84 umol/L) was considered to be kidney involvement. (5). The presence of relevant symptoms and/or signs (delirium, coma, twitch and irritability) was defined as damage to nervous system. (6). The appearance of abdominal signs and increased serum amelase ( ≥ 300 U/L) three-fold greater than the upper limit of normal concentration (28–100 U/L) , and/or videography showed pancreatitis, both of them were defined as pancreas damage.

Collection of clinical information

The data we collected including gender, age, duration of hospitalization, latency period, laboratory indicators (including blood routine indexes, liver function indexes, renal function indexes, coagulation function indexes, myocardial injury markers, electrolytes indexes) and prognosis.

Statistical analysis

All statistical analyses were performed using SPSS version 22.0 for Windows (SPSS Corp, Chicago, IL, USA) . Kolmogorov-Smirnov test was used to test the normality of measurement data. Normal distribution data were expressed as the mean ± standard deviation (SD) . Inter-group comparisons of continuous variables were performed by a 2-sample t-test or t’ test when the variance was uneven. While non-normal distribution of measurement data were described using median and interquartile range (IQR) values and rank sum test was used to compare the difference between the two groups. Frequencies and percentage were used to indicate categorical variables, and inter-group comparisons were performed by Chi-square test. To identify independent factors associated with death, explanatory items were selected using univariate analysis, followed by multivariate logistic regression. We considered p values less than 0.05 as statistically significant.

Result

1. Baseline clinical features of all patients with acute mushroom poisoning

During the study period, a total number of 315 patients were enrolled, including 272 (86.35%) survival cases and 43 (13.65%) death cases. Among all the patients, 193 (61.27%) were male. The mean age was 40.66 ± 20.86 (range, 1- 92) years. Table I shows the clinical baseline datas of all patients. The mean value of first recorded laboratory indexes were as follows: ALT 111.50 (26.1, 1087.40) U/L, TBIL 19.70 (11.70, 38.70) umol/L, ALB 44.90 ± 7.39 g/L, PT 14.20 (12.70,19.40) seconds, APTT 35.00 (30.20,45.00) seconds, CK-MB 1.54 (0.52,3.71) ng/m, LDH 340.20 (211.40,875.80) U/L and Na+ 136.31 ± 5.93 mmol/L.

Poisonous mushroom’ colors are varied. For the specific shapes of them, such as wearing “hat”, waist “skirt”, wearing “shoes”, patients could not describe clearly. The intake amount was not equal, ranging from 20–500g. Regional distribution was significantly different, mostly in Sichuan, Yunnan and Guizhou province. Most patients were collective disease, while a small number of them was single.

2. Multiple organ involvement of all the patients

Liver (152 / 523, 29.06%) was the most affected organs, followed by heart (134 / 523, 25.62%) and coagulation system (107 / 523, 20.46%) (Figure. 1A) . The patients with liver damage had the highest mortality (40 / 315, 12.70%) , then followed by coagulation disorders (35 / 315, 11.11% ) and heart damage (34/315, 10.79%) , respectively (Figure. 1B) . In addition, the more affected organs or systems, the higher mortality rate (0.00%, 5.36%, 7.69%, 21.95%,47.37%, 53.85%). The mortality of patients with four organs damage was higher than those who had three organs damage (47.37% vs. 21.95%; P < 0.05), and the latter is higher than that of patients with two organs damage (21.95% vs. 7.69%; P < 0.05) (Figure.1C) .

3. Comparisons of clinical factors and outcomes in acute mushroom poisoning

Late onset (latent period was 6–24 hours) (86.05% vs. 49.63% ) was more common in death group and a total of 37 (11.75%) patients became dead. According to data analysis, patients in death group had higher levels of ALT (P < 0.001) , TBIL (P = 0.002) , DBIL (P < 0.001), PT (P < 0.001) , APTT (P < 0.001) , CK-MB (P < 0.001) , Mb (P < 0.001) , LDH (P < 0.001) and lower levels of ALB (P = 0.001) and Na+ (P < 0.001) . Table I summarizes the patients’clinical data and outcomes of AMP.

4. Risk assessment of clinical features associated with the death of acute mushroom poisoning patients

Univariate logistic regression indicated that whether or not to adjust related confounding factors (age, gender and latency) ,WBC ≥ 12×109/L,ALT ≥ 200 U/L, TBIL ≥ 35umol/l, DBIL ≥ 20umol/l, ALB≤30g/L, PT ≥ 20s, APTT ≥ 40 s , CK-MB ≥ 5 μg/L, MB ≥ 140 μg/L, LDH ≥ 500 U/L and Na+≤135 mmol/L were signifcantly associated with death in AMP (Table II) . The above indicators were all included in the multivariate regression analysis, results showed that only ALT ≥ 200 U/L (OR = 4.50, 95%CI:1.01–20.10, P = 0.049) , PT ≥ 20s (OR = 6.14, 95%CI:1.61–23.41, P = 0.008) and ALB≤30g/L (OR = 5.78, 95%CI:1.05–31.98, P = 0.044) were identified as independent risk factors for death. Among them PT ≥ 20s had the highest lethal risk and increased the risk of death by 5.14 times.

JCRM 2018-108_F1

Figure 1. (A) Composition ratio of organ damage in patients with acute mushroom poisoning. They were 29.06%, 25.62%, 20.46%, 15.68%, 7.07%, 2.49%, respectively.

(B) The comparison of organ damage in patients with different prognosis.

(C) Relationship between organ damage and mortality rate. The number of organs damage from one to four, mortality rates were 0.00%, 5.36%, 7.69%, 21.95%, 47.37%. *P < 0.05 was considered statistically significant.

Table I. The clinical baseline datas of 315 patients with acute mushroom poisoning

Parameters

Total (n = 315)

Survival (n = 272)

Death (n = 43)

P value

Male , n (%)

193 (61.27%)

163 (59.93%)

30 (69.77%)

0.218

Age , years

40.66 ± 20.86

40.46 ± 20.16

41.95 ± 25.04

0.710

Latent period, n (%)

 < 0.001

 < 6 hours

125 (39.68%)

120 (44.12%)

5 (11.63%)

6–24 hours

172 (54.60%)

135 (49.63%)

37 (86.05%)

>24 hours

18 (5.71%)

17 (6.25%)

1 (2.33%)

White blood cell (×109/L)

11.56 ± 5.77

11.03 ± 5.24

14.81 ± 7.43

0.002

Red blood cell (×1012/L)

4.81 ± 0.79

4.78 ± 0.79

5.04 ± 0.69

0.043

Alanine transaminas (U/L)

111.50 (26.1,1087.40)

67.20 (23.60,796.98)

1383.00 (342.10,2691.50)

 < 0.001

Total bilirubin (umol/L)

19.70 (11.70,38.70)

17.35 (10.98,32.78)

48.20 (22.50,75.10)

0.002

Direct bilirubin (umol/L)

7.0 (3.9,21.00)

6.20 (3.70,13.18)

36.00 (14.10,56.70)

 < 0.001

Albumin (g/L)

44.90 ± 7.39

45.10 ± 22.56

40.82 ± 7.98

0.001

Prothrombin time (s)

14.20 (12.70,19.40)

13.85 (12.50,17.00)

28.20 (17.40,67.80)

 < 0.001

Activated partial thrombin time (s)

35.00 (30.20,45.00)

34.20 (29.13,39.78)

57.30 (41.00,76.30)

 < 0.001

Creatine kinase-MB (ng/ml)

1.54 (0.52,3.71)

1.24 (0.45,3.02)

3.71 (1.48,15.32)

 < 0.001

Myoglobin (ng/ml)

69.22 (39.44,181.36)

62.83 (37.99,157.30)

163.00 (77.22,982.09)

 < 0.001

Lactate dehydrogenase (U/L)

340.20 (211.40,875.80)

289.15 (203.25,609.63)

1083.70 (492.60,2987.80)

 < 0.001

Sodium (mmol/L)

136.31 ± 5.93

136.88 ± 5.58

132.76 ± 6.85

 < 0.001

Table II. The risk factors of death in acute mushroom poisoning analyzed by univariate logistic regression

Parameters

Occurrence rate No. (%)

Unadjusted

Pa value

Adjusted

Pb value

Survival (n = 272)

Death (n = 43)

OR [95% CI]

OR [95% CI]

Age ≥ 16years

221 (81.25%)

32 (74.42%)

0.67 (0.32–1.42)

0.295

Male (n/%)

193 (61.27%)

163 (59.93%)

0.65 (0.32–1.30)

0.218

Latent period ≥ 6h

152 (55.88%)

38 (88.37%)

6.00 (2.29–15.71)

 < 0.001

White blood cell ≥ 12×109/L

84 (30.88%)

25 (58.13%)

3.11 (1.61–6.00)

 < 0.001

2.88 (1.46–5.70)

0.002

Red blood celll ≥ 5×1012/L)

109 (40.07%)

26 (60.46%)

2.29 (1.19–4.42)

0.012

2.03 (0.99–4.16)

0.054

Alanine transaminas ≥ 200U/L

103 (37.86%)

40 (93.02%)

21.88 (6.60–72.53)

 < 0.001

11.65 (3.95–34.35)

 < 0.001

Total bilirubin ≥ 35umol/L

62 (22.79%)

29 (67.44%)

7.02 (3.49–11.10)

 < 0.001

5.26 (2.57–10.80)

 < 0.001

Direct bilirubin ≥ 20umol/L

66 (24.26%)

33 (76.74%)

10.30 (4.82–22.02)

 < 0.001

6.17 (2.98–12.78)

 < 0.001

Albumin≤30g/L

7 (2.57%)

5 (11.62%)

4.98 (1.51–16.49)

0.004

5.18 (1.46–18.43)

0.011

Prothrombin time ≥ 20s

43 (15.80%)

29 (67.44%)

11.03 (5.39–22.58)

 < 0.001

15.81 (6.80–36.73)

 < 0.001

Activated partial thrombin time ≥ 40s

38 (13.97%)

29 (67.44%)

12.76 (6.18–26.31)

 < 0.001

9.07 (4.04–20.37)

 < 0.001

Creatine kinase-MB ≥ 5ng/ml

37 (13.60%)

20 (46.51%)

5.52 (2.76–11.04)

 < 0.001

4.26 (2.05–8.84)

 < 0.001

Myoglobin ≥ 140ng/ml

73 (26.83%)

23 (53.48%)

3.14 (1.63–6.04)

 < 0.001

2.14 (1.08–4.23)

0.029

Lactate dehydrogenase ≥ 500U/L

78 (28.67%)

32 (74.41%)

7.24 (3.47–15.07)

 < 0.001

5.60 (2.64–11.88)

 < 0.001

Sodium≤135mmol/L)

74 (27.20%)

26 (60.46%)

4.09 (2.10–7.97)

 < 0.001

3.17 (1.59–6.34)

0.001

Abbreviatoins: OR, odds ratio; CI, confidence interval;

a Univariate analyses (Continuity correction χ2 test) were performed to evaluate the risk factors associated with death. Unadjustment of age, gender and latent period, P < 0.05 is considered statistically significant.

b Adjustment of age, gender and latent period, P < 0.05 is considered statistically significant.

Table III. The independent risk factors of death in acute mushroom poisoning analyzed by multivariate logistic regression

B

S.E.

Wald

Exp (B)

95% C.I

P value

Latent period ≥ 6h

.95

.56

2.81

2.57

.85

7.78

0.094

White blood cell ≥ 12×109/L

.83

.47

3.13

2.28

.92

5.69

0.077

Alanine transaminas ≥ 200U/L

1.50

.76

3.88

4.50

1.01

20.10

0.049

Total bilirubin ≥ 35umol/L

-.11

.85

.02

.90

.17

4.76

0.901

Direct bilirubin ≥ 20umol/L

.26

.91

.08

1.30

.22

7.72

0.777

Albumin≤30g/L

1.76

.87

4.04

5.78

1.05

31.98

0.044

Prothrombin time ≥ 20s

1.82

.68

7.08

6.14

1.61

23.41

0.008

Activated partial thrombin time ≥ 40s

-.26

.74

.13

.77

.18

3.29

0.723

Creatine kinase-MB ≥ 5ng/ml

-.35

.61

.33

.70

.21

2.32

0.564

Myoglobin ≥ 140ng/ml

.41

.54

.58

1.51

.53

4.31

0.447

Lactate dehydrogenase ≥ 500U/L

.19

.54

.13

1.21

.42

3.48

0.724

Sodium≤135mmol/L)

.49

.43

1.28

1.63

.70

3.80

0.259

Discussion

Mushrooms are widely distributed in the world, their species are more than 5000, of which 50 to 100 species had been identified as toxic species, including more than 30 species could cause human death [10]. Mushroom poisoning mortality is up to 21.2% and this study described a mortality of 13.7%, indicating that it has become one of the most important causes of death [11]. The prognosis of patients with AMP was very different, and may be influenced by many factors, such as the types of poisonous mushrooms, toxin dose, clinical phenotype, laboratory indexes, medical treatment and hemodialysis and so on [12,13]. Yilmaz et al.[14] also suggested that white poison umbrella intake dose was closely related to the severity of the disease. Basing on the clinical characteristics of patients admitted to hospital for AMP, we mainly analyze the risk factors of death, to lay the foundation for guiding clinical treatment.

Different structures of poisonous mushrooms contain different concentrations of toxins, they can accumulate in different organs, making it difficult to detect in blood or urine [14,15], so, we can’t accurately analyze poisonous mushrooms’ species and toxins in our study. According to previous study, Cevik ea tl.[16] reported that age was closely related to the mortality of mushroom poisoning and they thought organ function of the elderly gradually depletes, so that it was difficult to tolerate toxins to death. Schmutz et al. [17] found that children who were younger than 6 years old were more prone to poisoning, but they did not specifically analyze the relationship between age and mortality. In our study, there were no significant differences in age between the two groups. The reason may be that we only compared the differences between children and adults and did not divide them more specifically. In terms of gender, Yardan et al. suggested that there were more women in the poisoning case than men, but some author described that males were more susceptible to toxins [7,18,19]. We also revealed that the ratio of male to female was 1.34: 1, however, gender differences have no effect on prognosis in AMP.

The clinical classification of mushroom poisoning varies greatly at home and abroad, and clinical types may overlap, there is still much controversy over the existence of hybrids. So far, there is no definitive guideline or consensus to define their classification accurately. Diza ea tl.[20] divided it into three types: early onset ( < 6 hours) , late onset (6 ~ 24 hours) and delayed onset (> 24 hours) . As already reported, latent period was crucial for the prognosis, but it was not a specific predictor [21,22]. In general, early-onset has the highest survival rate , but late-onset has the highest mortality rate, it can easily lead to liver and kidney failure [22,23]. At the present study, we inferred that late onset had the highest incidence and mortality, based on it, we conducted univariate logistic regression analysis, showing that the incubation period which was greater than or equal to 6 hours was indeed one of the risk factors for toadstool poisoning to death. Clinicians should pay attention to such patients early and adequately.

Liver is the most important organ in patients with AMP, accounting for 29.06% in all organ or system involvement, this finding is consistent with previous literature [24]. The mortality of liver failure is relatively high, it was 12.70% in this study, however, past literature reported that it was as high as 50% to 90% [25]. The reason may be that difference in evaluation criteria of liver damage can leads to difference in mortality, and widespread use of blood purification may effectively reduce mortality, but, so far, the most effective method to rescue liver failure is still liver transplantation [26]. Heart damage is also common, death group had high level of CK-MB, but it was within the normal range and logistic regression analysis showed that it had no effect on prognosis. The possible reason is that the effect of poisonous mushrooms on the cardiovascular system was mainly reflected in the abnormal electrocardiogram and blood pressure, as Ali [27] said. So the markers of myocardial injury are often normal and not a risk factor for death.

In our study, most patients have more than two organs or systems damage. Therefore, we hypothesized that there was a link between the number of organs damage and mortality rate. Finally, the results confirmed that the number of organs damage from one to four, the mortality were 5.36%, 7.69%, 21.95%, 47.37%. A small number of patients have five or six organs damage, so the mortality has not been counted. Three or more organs damage could obviously increase mortality rate, thus, early assessment of organ damage by clinicians has a positive effect on guiding clinical outcomes.

For the analysis of risk factors of experimental indicators, first of all, we compared the level of each index of two groups and select the index of difference statistically, excluding some of the error caused by unpredictable factors and selecting an appropriate range for logistic regression analysis, respectively. Because ALT mainly exists in the cytoplasm of hepatocytes and can be more sensitive to the damage of liver function and combined with changes in coagulation parameters, we found that when the ALT was less than 200 U / L, the changes of PT and APTT were not obvious. While it was more than 200 U / L, the changes of all of them were almost the same. Therefore, ALT ≥ 200 U / L for prognosis of AMP patients have a very important guiding significance. In our study, ALT in death group was significantly higher than survival group, 143 (45.40%) patients had the ALT of more than 200 U / L, including 103 (37.86%) cases in survival group and 40 (93.02%) cases in death group. The multivariate logistic regression analysis showed ALT ≥ 200 U / L was the independent risk factors of the death in AMP. However, Bita et al. [28] suggested that even though ALT increased to more than 10 times of normal limits, it played no role in prognosis. The hepatotoxicity mechanism may be that metabolite of toxins, not the toxins, can binds to hepatocyte DNA-dependent RNA polymerase II and terminates intracellular protein synthesis, ultimately leading to cell death and releasing ALT [29,30,31]. Therefore, in order to prevent the occurrence of the risk factors of death, we can start from the mechanism to study the treatment.

Liver is a major site for the synthesis of many clotting factors in the human body and hepatic damage can be associated with irreversible coagulation abnormalities [32]. In our study, 107 (33.97%) patients had coagulation disorders, with prolonged PT and APTT, which was consistent with the conclusion that Trabulus et al. and Bita et al. proposed [28,33]. But not the same, they thought that both of them were closely related to death, however, we only confirmed that PT ≥ 20s was independently associated with death in AMP. Also, liver plays an important role in the synthesis of albumin. Ahishali ea tl.[34] found that toxins inhibit protein synthesis and cause hepatocyte necrosis, even lead to death. Our present study showed that albumin level in death group (40.82 ± 7.98g/L) was lower than control group (45.10 ± 22.56g/L) and it was an independent risk factor to death. As to the reason of low albumin, on the one hand, liver function may be severely damaged; On the other hand, gastrointestinal inflammation is more likely to cause intestinal congestion it and poor diet, resulting in malnutrition. For prevention, patients with AMP must not only be hepatopro tective but also need to strengthen nutritional support treatment.

Limitation

Some limitations of our study should be discussed. Firstly, as a retrospective study, we need to extract information from medical records and some necessary data are not noted precisely, prone to selection bias. Secondly, poisonous mushrooms samples are difficult to collect and preserve and there’s a lack of mushroom toxicology appraisal agencies. Therefore, we cannot analyze the influence of mushrooms type and prognosis. Thirdly, another challenging issue is difficulty in accurate determination of organs toxicity, so, in this study, self-defining analysis of the damage of various organs is conducted, which may also be one of the reasons leading to differences between the research conclusions and the past. Finally, our study is only a single center retrospective study , large-scale prospective studies can be carried out in the future to compare the prognosis of patients with high-risk and non-high-risk, so that the correlation between risk factors and clinical prognosis can be confirmed more accurately.

Conclusion

In summary, ALT ≥ 200U/L, PT ≥ 20s and ALB≤30g/L are independent risk factors for the death, this implies that clinicians should carefully monitor these indexes for the development of AMP. Three organs damage could significantly increase mortality rate, especially liver. With the increase of liver damage, it may lead to coagulation and protein synthesis disorders. Therefore, hepatotoxic mushroom poisoning should be regarded as a medical emergency. However, the avoidance of re-exposure are sufficient treatment recommendations for mushroom poisoning.

Conflict of interest: The authors declare that there is no potential conflicts of interest.

Acknowledgments: We would like to thank the personnel of medical records department and in particular the department of nephrology, emergency, hemotology and infections for their kind cooperation.

Refernces

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  2. James H. Diaz, MD, DrPH. Amatoxin-Containing Mushroom Poisonings: Species,Toxidromes, Treatments, and Outcomes. Wilderness Environ Med. 2018; 29 (1): 111–118.
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Study of the Bond at the Zirconia / Feldspathic Ceramic Interface

DOI: 10.31038/JDMR.2018112

Abstract

The growing aesthetic demands of patients have led to the development of different types of all-ceramic crowns. Y-TZP zirconia-based restorations with feldspathic ceramic guarantee more satisfaction in terms of mimicry and biocompatibility than the metal-ceramic crowns. However, the bond at the zirconia and veneered porcelain interface seems to be the weakest link in this type of restoration. Indeed, numerous cases of interfacial decohesion of the cosmetic ceramic have been reported. For this purpose, numerous scientific studies have been carried out to further explore and accurately describe the characteristics of the interface at these two ceramics in order to strengthen the bond of bilayered ceramics.

Keywords

Y-TZP Zirconia, Veneered Porcelain, Interface, Bond Strength, Decohesion

1. Introduction

The objective of fixed dental prosthesis has always been to restore the morphology and occlusal function of the teeth to give the patient satisfactory chewing by integrating the prosthetic element seamlessly.

The metal-ceramic crown meets these mechanical and aesthetic requirements is still considered to be the gold standard in fixed prosthesis. However, the importance of aesthetics is growing rapidly in today’s society, and the metal-ceramic system, although clinically reliable in the long term, gives less satisfaction in terms of mimicry and biocompatibility. “The restoration of the natural appearance of a smile cannot be designed without the use of all-ceramic systems.” (John MacLean, 1975)

Nowadays, the development of new ceramic which is more resistant and offers excellent light transmission has made it possible to extend to all the clinical situations the application of all-ceramic crown to all clinical situations. The alliance of professional skills and innovations in biomaterials brought Y-TZP zirconia-based infrastructures (Yttrium Tetragonal Zirconia Polycrystal) forward in the early 1990s. Given its mechanical properties, Y-TZP zirconia can now expand the indications of this all-ceramic system to multi-prosthetic processes. In response to today’s growing demands of biocompatibility and aesthetics, Y-TZP zirconia infrastructures appear as a prosthetic solution that should not be overlooked.

However, the problem durability of ceramo-ceramic restorations arises. Indeed, many cases of cosmetic ceramics fracture along the interface with the Y-TZP zirconia-based infrastructure have been reported [1]. This clinical observation was the subject of many scientific studies aiming to explore the existing link between the Y-TZP zirconia-based infrastructure and the veneered ceramic.

The aim of this article is the synthesis of scientific data acquired through experimental research, in regards to both the origin and propagation mode of the various cracks in the ceramic, as well as the strength of the bond at the zirconia / feldspathic ceramic interface, and the factors influencing it.

2. Characteristics of the Interface

The long term success of the ceramo-ceramic crowns consisting of veneering ceramic to zirconia is a critical issue. Indeed, the zirconia-based restorations constitute a high percentage of cosmetic ceramics fracture. As a matter of fact, the rate of fracture in vivo of laminating ceramics is 15% after 24 months, 25% after 31 months, whereas it is only 2.9% after 36 months for metal-ceramic restorations [2]. The location of the interface as an original defect was reported, suggesting that the link between the veneering ceramic and the zirconia-based infrastructure is the weakest link in this type of restoration [3].

2.1 The Different Modes of Interaction Occurring between the Structural Ceramic and the Cosmetic Ceramic

Existing studies have focused on some critical clinical perspective issues regarding the quality of the connection at the level of the interface of zirconia and the veneered ceramic.

It was shown that the combination of structural analysis techniques such as Raman confocal microscopy (Figure1) and the recently introduced FIB / SEM (Figure 2, 3) analysis in microscopy ensured a better understanding of the relationship between the two similar but physically incomparable ceramic materials. Indeed, feldspathic ceramic has a biphasic structure: vitreous and crystalline, while zirconia is a polycrystalline ceramic.

JDMR2018-102-NASRElie-Revised_F1

Figure 1. Confocal Raman microscopic analysis of the zirconia / feldspathic ceramic interface. (Durand et al, 2012)

JDMR2018-102-NASRElie-Revised_F2

Figure 2. Microstructural analysis FIB / SEM of the zirconia and the veneered ceramic interface. (Mainjot et al, 2013)

JDMR2018-102-NASRElie-Revised_F3

Figure 3. The FIB / SEM analysis of the interdiffusion zone, shows the presence of zirconia crystals (white arrows) within the feldspathic ceramic. (Mainjot et al, 2013)

Microscopic observations revealed three different structural layers. However, the presence of an intermediate layer of 50 μm thickness in the cosmetic ceramic in contact with zirconia, has defined a process of interdiffusion (i.e. mutual diffusion). Thus, this transition layer is characterized by the presence of zirconia particles (certified by the EDS), up to 20 μm in size in the glass matrix.

2.1.1 Chemical Interaction

Existing literature gives little evidence as to the presence of a chemical bond between the zirconia-based infrastructure and veneered feldspathic ceramic. No scientific evidence of a chemical bond between the two materials has been put forward.

The adhesion between the structural and cosmetic ceramic depends on the basic material. In the case of a glass-infiltrated ceramic infrastructure (e.g. InCeram Spinell, InCeram Alumina, InCeram Zirconia), a chemical bond is established by diffusion of the glass into the cosmetic ceramic during sintering.

Polycrystalline ceramics have low vitreous mass (1%), which calls into question the presence of a chemical bond between zirconia and the veneered ceramic.

2.1.2 Mechanical Interaction

The absence of tangible evidence indicating the presence of a chemical bond between the zirconia-based infrastructure and veneered feldspathic ceramic, suggests that it is the mechanical link that plays the major role in the integration of the two materials together.

The mechanical phenomena are very well documented and widely accepted by the scientific community. Accordingly, they can be broken down into two principles.

2.1.2.1 The Compressive Stresses

The development of compressive stresses by the cosmetic ceramic on the infrastructure is mechanically favorable, since direction of these stresses opposes the propagation of cracks from inter-facial defects and compensates for the tension stresses at the surface of the zirconia. These compressive stresses arise from the difference in the coefficients of thermal expansion between two ceramics.

The coefficient of thermal expansion is a characteristic of the dimensional changes of a sample of material that depends on the variation in temperature. It is given by the following relation: L = α . L0 . ∆T

With: – L: Length variation of the sample (m)

– α: Coefficient of thermal expansion (K-1 or oC-1)

– L0: Initial length of the sample (m)<

T: Temperature variation (K or oC)

The higher the value of the coefficient of thermal expansion, the more the material will tend to expand during sintering, and shrink upon cooling. This explains the importance of having similar coefficients of thermal expansion between the structural ceramic and the cosmetic ceramic in order to avoid expansion cracks.

Ideally, the two coefficients of thermal expansion should be identical with a slightly lower coefficient of thermal expansion for the cosmetic ceramic compared to the structural ceramic, so as not to generate a crack in the veneered ceramic during its cooling. Indeed, the fragile cosmetic ceramic is mechanically more resistant when it is compressed compared to when it is in a state of tension. Mastering the thermal properties of different ceramics is essential to ensure a sustainable, durable restoration. In order to increase the bond strength between the zirconia framework and the veneered ceramic, the coefficient of thermal expansion of the cosmetic ceramic should be slightly less than the coefficient of thermal expansion of the infrastructure. Thus, the compressive stresses created reinforce the bond between the two ceramics.

2.1.2.2 Micromechanical Retention

It corresponds to the “entanglement rate” of the feldspathic ceramic in the infrastructure. This mechanical locking between the two materials is due to surface irregularities of the zirconia that are present prior to the veneering procedure.

This micromechanical adhesion will be dependent on the surface roughness of the infrastructure due to the milling, polishing, and sandblasting procedures, as well as the ability of the cosmetic ceramic to lodge in these rough edges (size grains, wettability).

The preparation of the surfaces of the infrastructure must provide sufficient roughness to increase the surface area in contact with the provided mass of the cosmetic ceramic. However, excessive roughness leads to deep grooves that reduce grip and weaken the bond strength.

2.2 Experimental Values of the Bond Strength

In order to study the bond strength at the zirconia and the veneered ceramic interface, Ozkurt et al. [2] selected four types of zirconia-based ceramics: Zirkonzahn, Cercon, Lava, and DC-Zircon. For each zirconia system, 30 disk samples were veneered with IPS e.max Ceram, Vita VM9, and a coating ceramic recommended by the manufacturer. (Tabel 1) A SBS (Shear Bond Strength) test was performed, and a fracture surface analysis was also conducted to determine failure modes, categorized as follows:

  • Cohesive fracture : Rupture within the cosmetic ceramic.
  • Adhesive fracture : Rupture at the interface.
  • Combined fracture : Combination of the two aforementioned fracture modes.

Table 1. Average bond strength (MPa) and fracture mode (%) for different combinations of zirconia-based and veneered ceramics. (Ozkurt et al, 2010)

Zirconia Infrastructure Ceramic

Feldspathic

Bond Strength

Failure Mode

Cosmetic Ceramic

(MPa)

(%)

Zirkonzahn

Ice Keramik®

24,46

50% adhesive

50% combined

IPS e.max Ceram®

26,04

50% adhesive

50% combined

Vita VM9®

26,52

100% combined

Cercon

Cercon Ceram®

20,19

80% adhesive

20% combined

IPS e.max Ceram®

24,17

50% adhesive

50% combined

Vita VM9®

21,67

100% combined

Lava

Lava Ceram®

27,11

30% adhesive

70% combined

IPS e.max Ceram®

23,05

60% adhesive

40% combined

Vita VM9®

18,66

50% adhesive

50% combined

DC-Zirkon

Triceram®

40,49

50% adhesive

50% combined

IPS e.max Ceram®

21,38

50% adhesive

50% combined

Vita VM9®

31,51

100% combined

3. The Fracture

The use of innovative materials, such as Y-TZP zirconia for ceramo-ceramic reconstructions, constitutes a breakthrough in the field of prosthetics. Its harmonious color and biological integration with the surrounding tissue perfectly match the current trends in aesthetics and biocompatibility.

However, the long term success of this type of restoration is still a major concern. Different fracture lines can be observed in these ceramo-ceramic crowns that break abruptly without prior plastic deformation. Moreover, the fracture occurs by propagation of a crack from an initial defect.

In this sense, various clinical studies were conducted to understand the possible failure mechanisms. In fact, the study of the origin and path of the fracture line is of great importance to determine the factors allowing or limiting the propagation of the crack along the zirconia and veneered ceramic interface.

3.1 Origin of the Fracture

Descriptive fractography is an effective imaging tool applied in dentistry to clinical failure analyses of ceramic restorations [4].

The analysis of the fractured surface at the level of defective ceramic crowns contributes to determine the direction of propagation of the crack, and trace the origin of the fracture [5].

3.1.1 Occlusal

One of the emerging causes of fracture in all-ceramic dental restorations is the generation of micro-cracks due to occlusal contacts and wear. This occlusal load falls under the bi-axial type; during a masticatory cycle the compression is always followed by a lateral sliding movement (Figure 4). These forces trigger a series of conical cracks in the cosmetic ceramic [6]. According to a study by Aboushelib et al. [7] the majority of porcelain zirconia single unit restorations fracture by initiation and propagation of conical cracks from the occlusal surface to the interface.

JDMR2018-102-NASRElie-Revised_F4

Figure 4. Schematic representation of the forces involved during occlusal contact in a masticatory cycle. (Kim et al, 2007)

3.1.2 Interface

The fracture can also arise at the level of the zirconia and ceramic lamination interface. This type of failure is related to the low adhesive strength between the two ceramics used as well as the presence of localized tensile stresses at the interface level. These constraints which have a significant effect on the weakening of the bond are due to the incompatibility of the coefficients of thermal expansion between the two materials.

Aboushelib et al. [7] analyzed clinically fractured zirconia layered ceramics restorations; out of 19 examined unit crowns, 6 exhibited an interfacial decohesion (Figure 5).

JDMR2018-102-NASRElie-Revised_F5

Figure 5. The SEM analysis of the zirconia and the veneered ceramic interface shows an interfacial decohesion. (Aboushelib et al, 2009)

3.1.3 Bridge Connections

Generally, bridge connections are weak spots and favor the concentration of constraints. Indeed, the connections are subject to constraints of tension and bending.

According to a study from Toskanak et al. [4], in the case of an Y-TZP zirconia-based infrastructure of a three-unit bridge veneered with a feldspathic ceramic, the fracture takes place in four of the five samples at the connection level, more specifically on the gingival side (Figure 6).

3.2  The Crack Propagation

A crack originates at a point of major stress concentration. It spreads when it receives the energy necessary for its elongation. However, the propagation of the crack is mainly dependent on the composition of the ceramic, the shape, the size, and the orientation of the grain, but is also affected by the rate of residual stresses in the material [8].

JDMR2018-102-NASRElie-Revised_F6

Figure 6. The 3D numerical modeling is used to simulate the fracture initiation sites of an Y-TZP bridge. (Kou et al, 2011)

3.2.1 The Hertzian Cone Cracks

These cracks progress very quickly, at relatively low charges (<100N), but generally do not broadcast very far inside the sample. They initially develop in the form of a superficial ring then spread unstably and stop taking the form of a cone. They are able to maintain stability without causing a fracture.

3.2.2 The Internal Cone Cracks

These cracks appear only after repetitive loads. They spread quickly and deeply in the direction of the zirconia / feldspathic ceramic interface, which can cause the mass fracture of the restoration.

3.2.3 The Radial Cracks

These cracks are formed at high and continuous loads (200 to 600N). They originate from a pre-existing defect at the inner surface of the cosmetic ceramic, when the tensile stress exceeds the flexural strength of the material.

This type of crack has been identified as the main mode of failure in all-ceramic crowns [9].

4. The Required Criteria to Achieve a Better Ceramo-Ceramic Connection

Thanks to various scientific researches, light was shed on the multiple variables affecting the ceramo-ceramic bond strength. In fact, understanding the characteristics of the interface between zirconia and the veneered ceramic made it possible to adjust the various parameters, thus leading to the design of a sustainable restoration.

4.1 Surface Treatment

In what follows, we will describe the procedures commonly used in the surface treatment of zirconia before the veneering procedure.

4.1.1 Sandblasting

Nowadays, it is commonly accepted that sandblasting with alumina oxide at 50 μm with a pressure of 2 bar causes a significant increase in the mechanical properties of zirconia by allowing the formation of a compressive layer on the surface.

The impact of sand on the surface of zirconia induces residual stresses that promote the conversion of tetragonal particles into monoclinic particles. This phase transformation is accompanied by a volume increase of 3 to 5% of the monoclinic crystals inducing the formation of a compressive surface layer.

However, the surface defects introduced by sandblasting (Figure 7) must be less deep than the thickness of the compressive layer to obtain an increase in the fracture resistance.

JDMR2018-102-NASRElie-Revised_F7

Figure 7. Observation under an electron microscope, the surface of the zirconia before (A) and after (B) sandblastinging with alumina oxide at 50 μm. (Hjerppe et al, 2016)

Fischer et al. [10] studied the effect of sandblasting of zirconia on bond strength with feldspathic ceramic. By observing the fracture mode of the specimens, they deduced that the crack propagates towards the interface, but against the compressive layer, the latter changes direction and diffuses parallel to the interface in the thickness of the cosmetic ceramics.

The sandblasting technique, which is widely used in the dental prosthesis laboratory, proves to be advantageous in terms of mechanical strength resistance of the zirconia-based infrastructure.

4.1.2 Application of a Liner

The “liner” corresponds to a specific layer composed of feldspathic ceramic enriched with selenium (Se), used initially to mask the color of the zirconia, which is too white, by generating a colored background [11].

However, its application on zirconia infrastructure before veneering is not recommended [12] since its use decreases the ceramo-ceramic adhesion force [13, 14].

4.2 The Cooling Speed

Zirconia is a bad thermal conductor, and this is an important factor to take into consideration to correct the sintering mechanisms of the cosmetic ceramic.

Tan et al. [3] have shown that the mechanical properties of a veneered zirconia framework restoration are doubled by the use of slow heating and cooling regimes.

However, it is the cooling speed that greatly influences the ceramo-ceramic bond strength. Indeed, during cooling after sintering, the surface of the cosmetic ceramic cools quickly while the cosmetic interface progressively cools. This “gradient solidification” entails the incorporation of numerous residual thermal stresses between the infrastructure and veneered ceramic.

According to Rues et al. and Guazzato et al. [15, 16] fast cooling results in compressive residual stresses while slow cooling results in the formation of extensive residual stresses.

The presence of compressive stresses increases the bond strength of zirconia and veneered ceramic, but also promotes the probability of chipping of the cosmetic ceramic. On the other hand, extensive stresses decrease the ceramo-ceramic bond strength, but prevent cosmetic chips [15].

Therefore, the residual thermal stresses must be controlled in order to strengthen the ceramo-ceramic adhesion without risking to weaken the veneered ceramic.

Currently, the slow heating and cooling regimes are widely adopted by dental technicians.

5. Conclusion

The growing demand for aesthetic restorations that replicate natural looks and the increasing concerns about the metal restorations have been the driving force behind the development of new materials and techniques in the field of the fixed dental prosthesis.

Nowadays, all-ceramic crowns are gaining well-deserved ground. Indeed, the Y-TZP zirconia-based infrastructure veneered with a feldspathic ceramic meets the rational requirements of the patient in search for aesthetics, biocompatibility and function.

However, clinical studies report an increased incidence and severity of fractures in this type of restoration. The fractographic analysis makes it possible to determine the failure modes, the origins of rupture and the propagation of cracks at the level of these ceramo-ceramic crowns.

The various types of failures found such as cohesive fracture or “chipping” at the level of cosmetic ceramics and interfacial decohesion are complex and depend on the internal factors (compositions, properties) and external factors (masticatory forces applied) to the materials.

The bond at the zirconia and veneered ceramic interface has proven to be a real challenge. Below are the criteria that must be adapted to obtain a viable restoration, able to withstand intraoral conditions:

  • Sandblasting with alumina oxide at 50 μm with a pressure of 2 bar on the surface of the zirconia.
  • Controlled cooling regimes during the different sintering phases.
  • Similar coefficients of thermal expansion with a coefficient of expansion slightly lower for the ceramic overlay compared to that of the structural ceramic.

Thus, in order to overcome the problems of bilayer structures, monolithic crowns made from polychromatic zirconia, characterized by a fine and homogeneous structure, and shaped using CAD / CAM procedures have been placed on the market. The latter are promising in terms of aesthetics and mechanics. In the meantime, only clinical and in vitro studies will provide the data needed to the universal consent to their use in the near future.

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