Blue Book 2019 2

Australasian
Anaesthesia
2019
R. RILEY
Australasian
Anaesthesia
2019
Invited papers and selected
continuing education lectures
Editor:
Richard Riley
Department of Anaesthesia and Pain Medicine
Royal Perth Hospital
Pharmacology and Anaesthesiology Unit
School of Medicine and Pharmacology
University of Western Australia
Contents
AIRWAY 1
The Vortex Approach to airway management 3
Nicholas Chrimes
Managing airway trauma: Applying logic and structure to the anaesthetic decision-making process 13
Adam Rehak
Unanticipated difficult airway events: A systematic analysis of the current evidence and mapping
of the issues involved using a Bowtie diagram 25
Yasmin Endlich, Martin Culwick
Flexible bougies, introducers and bronchoscopes – Key adjuvants in the Age of Videolaryngoscopes 35
John Cormack, Wallace Grimmett, David Shan
BREATHING/VENTILATION 47
Hyperbaric medicine 49
Bridget Devaney
CIRCULATION 59
Perioperative management of heart transplantation 61
Sean Edwards, Sara Jane Allen
Preventing vascular damage during central venous catheter insertion via the internal jugular vein 75
Jennifer Bath, Andrew Deacon, Alister Jones
Keep calm and know sepsis 89
Linden Martyr, Samuel Cook, Siva Senthuran
Midodrine and its potential role in postoperative hypotension 101
Verna M Aykanat, Ian O Fleming, Tomás B Corcoran
COAGULATION/BLOOD 113
It’s about bloody time! The massive transfusion protocol in trauma 115
Sinéad O’Keeffe, Ray Paramalingam, Christine Grobler
Differentiation of preoperative anaemia 127
Hafiza Misran, Hamish Mace, Shane Gangatharan, Kylie Symons
REGIONAL 137
An update on the management of patients with rib fractures 139
Andrew Lumley, Sean Chan, Andrew Deacon
Parallel processing pathways for regional anaesthesia: An introduction to block rooms 151
ISBN 978-0-9945075-6-3 Brigid Brown, Tim Donaldson
Copyright © 2019 by the Australian and Ultrasound-guided erector spinae plane block 157
New Zealand College of Anaesthetists. Alex Grosso, Gilberto Arenas, Kate Drummond, Sam Whitehouse
All rights reserved. None of the contents of
this publication may be reproduced, stored
in a retrieval system or transmitted in any
form, by any means without the prior written
permission of the publisher.
Please note that any views or opinions
expressed in this publication are solely those
of the author and do not necessarily represent
those of ANZCA.
PAIN 167
The “opioid crisis” 169
Stephan A Schug
Opioid harm reduction strategies – stemming the tide 175
Michael H Toon
The changing face of complex regional pain syndrome treatment 183
Marc Russo, Peter Georgius, Danielle Santarelli
BRAIN/NEURO 193
Postoperative delirium 195
Faculty and Regional Editors
Kate O’Hare, Silke Brinkmann, Dale Currigan
Professor Thomas Bruessel
The psychedelic renaissance: Ethnopharmacology, neuroscience and clinical efficacy 203
Australian Capital Territory
John Akers
High hopes for dope: What role does medicinal cannabis play in current clinical practice? 219 Dr Brenda Cassidy
Nilru Vitharana, Jane Standen Faculty of Pain Medicine
Anaesthetic implications of restless legs syndrome: A review 227
Nicole Somi, Elizabeth Merenda, Thomas Bruessel
Associate Professor Alicia Dennis
Victoria
LIVER/METABOLIC/IMMUNE SYSTEM 237 Dr Thomas Fernandez
Obesity and anaesthesia 239 New Zealand
Peter Baumgartner
Dr Adrian Langley
Euglycaemic diabetic ketoacidosis associated with sodium-glucose cotransporter-2 inhibitors:
Queensland
New drugs bring new problems 251
Venkatesan Thiruvenkatarajan, Emily Jane Meyer, Nagesh Nanjappa, John Currie, Dr Priya Nair
Roelof M Van Wijk, David Jesudason
College of Intensive Care Medicine
Anaesthesia and immune modulation 265
Michelle Roets, Melinda Dean, Jaisil EJ Punnasseril, Kerstin Wyssusek, Associate Professor Richard Riley
Andre van Zundert, David Sturgess Western Australia
OB/GYN 277 Dr Sharon Tivey

New South Wales
Role of simulation in obstetric anaesthesia training 279
Rebecca A Szabo, Kara Allen, Olivia J Millay Dr Gerald Toh
South Australia
ASSESSMENT 287
Dr Maurice Vialle
Prehabilitation 289
Tasmania
Diyana Ishak, Prabir Patel
Reifying race in medicine 299
Alan McLintic
EDUCATION 311
Human factors in anaesthesia: Beyond non-technical skills 313
Stuart Marshall
Feasibility of an open access collaborative anaesthesia knowledge base 319
Ryan Juniper, Agnieszka Ganska
MANAGEMENT 325
A resilience engineering approach to out-of-hours healthcare: The SAFE initiative 327
Tim Bowles, Deepan Krishnasivam, Katherine Birkett
Preface
Welcome to the 2019 edition of Australasian Anaesthesia.
This edition has a variety of “hot” topics that I hope you find interesting and relevant to your practice. This
is despite several colleagues suggesting to me that the golden age of anaesthesia is over. They argue that
the drugs are so good now, the technology is superb and the techniques so well developed that research
funding has largely moved away from anaesthesia to other specialties, such as oncology and immunology. The
implication is that return on investment in anaesthesia-related pharmaceuticals or equipment is possibly lower
than other fields and that we should not expect to witness monumental discoveries in anaesthesia as all the
innovation has been largely achieved. Certainly, I feel privileged to have seen the introduction of remifentanil,
isoflurane, then followed by sevoflurane and desflurane; the adoption of capnography, oximetry and processed
EEG; and the transition from simple mechanical anaesthesia machines to complex, computerised anaesthesia
delivery units with integrated monitoring that rival ICU systems. Further, airway management has broadened its
armamentarium with the advent of the laryngeal mask airway, videolaryngoscopy and fibreoptic bronchoscopy.
Similarly, ultrasound has been adopted by anaesthetists to enhance the practice of regional anaesthesia,
vascular access and even airway management and to aid perioperative diagnosis of various crises. And we
should not forget the pioneering work of anaesthetists in the hybrid field of simulation in healthcare. Simulation-
based learning has contributed to the education of anaesthetists, and all their colleagues in acute-care
medicine, and to assist in understanding how we work and, finally, to enhance patient safety.
So if I have learned one thing about those who practice anaesthesia it is that they are innovative. Although
one age is over, there will be another. There will be better and safer drugs, newer technologies to remove
some of the guesswork and enhance decision-making in our practice, and additional strategies to make the
perioperative process lower risk. And this will be taking place while facing demands of patients with greater
age, body mass index and number of comorbidities; and hospital managers who strive to contain hospital
budgets.
This is my last edition as editor and I wish to thank the authors, the faculty and regional editors and ANZCA’s
Liane Reynolds, Frankie Rowsell and Vanessa Hille for their work and support in producing this edition. Please
take the opportunity to thank our authors personally when you can and also consider writing yourself for the next
edition. Finally, please continue to give us feedback. This is your publication and we would like to make it better.
Associate Professor Richard Riley
Editor, Australasian Anaesthesia 2019
[email protected]
Airway
The Vortex Approach to airway management
Nicholas Chrimes
Managing airway trauma: Applying logic and

structure to the anaesthetic decision-making
process
Adam Rehak
Unanticipated difficult airway events:

A systematic analysis of the current evidence
and mapping of the issues involved using
a Bowtie diagram
Yasmin Endlich, Martin Culwick
Flexible bougies, introducers and

bronchoscopes – Key adjuvants in the Age
of Videolaryngoscopes
John Cormack, Wallace Grimmett, David Shan
The Vortex Approach to airway management 3
The Vortex Approach to airway management

Nicholas Chrimes BSc MBBS(Hons) FANZCA
Monash Medical Centre, Melbourne, Australia.
Dr Nicholas Chrimes is a consultant anaesthesiologist, simulation instructor and the creator of the Vortex
Approach.
INTRODUCTION
While technical competence and adequate planning are crucial to effective airway management, it is well
recognised that even well-prepared airway clinicians can sometimes fail to perform basic interventions
under stress1.
The major airway guidelines are valuable resources that can be referred to prior to the occurrence of an airway
crisis, to lay a foundation of knowledge on which subsequent airway management decisions can be based
(“foundation tools”). They are not, however, usually presented in a format that makes their content readily
accessible in real-time to teams of potentially highly stressed clinicians nor are they intended to be referred to
during the process of managing a challenging airway2. In addition, difficult airway guidelines typically provide
guidance predominantly directed at anaesthetists and largely restricted to the circumstance where the primary
plan for airway management is endotracheal intubation2-4.
In contrast, the Vortex Approach5 is based around a “high acuity implementation tool”, designed to be used
during the high-stakes, time-critical situation of an evolving airway emergency. It is intended to help clinical
teams perform under pressure by providing a simple, consistent template that can be taught to all clinicians
involved in advanced airway management, irrespective of critical care discipline and whether they are from
a medical, nursing or paramedical background. It is also able to be used in any context in which an airway
management takes place, regardless of whether the primary intended airway is an endotracheal tube (ETT), a
supraglottic airway (SGA) or even a face mask (FM).
The Vortex Implementation Tool
The Vortex Implementation Tool (Figure 1) is based on the premise that there are only three upper airway
“lifelines” (“non-surgical” techniques) by which alveolar oxygen delivery can be established and confirmed:
FM, SGA and ETT. Completion of a best effort at any of the three upper airway lifelines without being able to
confirm adequate alveolar oxygen delivery mandates abandoning further attempts at that lifeline and focusing
instead on optimising one of the remaining alternatives. On the circular Vortex graphic this is represented by
spiral inward movement. Completion of best efforts at all three lifelines without restoring alveolar oxygen delivery
culminates in spiral movement to the central zone of the tool, representing the need to initiate CICO Rescue
(emergency front-of-neck airway). Conversely, confirmation of adequate alveolar oxygen delivery using any
of the three lifelines, results in outward movement into the circumferential “Green Zone” (see page 6), which
provides time to consider and prepare for subsequent airway management options before further instrumenting
the airway. The Green Zone is also depicted in the centre of the tool to remind clinicians that, when all three
lifelines have been unsuccessful, CICO Rescue can also restore adequate alveolar oxygen delivery and provide
these same opportunities.
In contrast to a linear algorithm, the concentric arrangement of the three lifelines on the circular Vortex graphic
reflects that airway management can be initiated using any lifeline and, if this is unsuccessful, attempts at the
same or alternate lifelines can be implemented in whatever sequence is judged most appropriate in the clinical
circumstances. This flexibility in the sequence in which attempts at different lifelines are undertaken, better
represents real-world airway management practice than the more rigid sequential progression through upper
airway techniques depicted by an algorithm and allows the Vortex to be applied to any context in which airway
management occurs.
4 Australasian Anaesthesia 2019 – Airway The Vortex Approach to airway management 5
Figure 1. Vortex. • Time: repeated airway instrumentation consumes time and if unsuccessful may prolong the time to enter
the Green Zone relative to exploring alternative options. This potentially increases the duration and severity
of hypoxaemia to which a patient is exposed. Even in patients with adequate SpO2, delays to entering the
Green Zone consume safe apnoea time and potentially increase the risk of a patient subsequently being
exposed to critical hypoxaemia.
Except in the unusual circumstance where an attempt at a given lifeline is considered futile, at least
one attempt at each lifeline is usually indicated prior to initiating CICO Rescue. Although desirable, it is
not usually feasible to implement all optimisations required to maximise success at a given lifeline and
achieve a best effort on this first attempt. Additional factors which might improve the chances of entering
the Green Zone may only be identified after initial airway manipulations have taken place. In addition,
while some optimisations can be superimposed in an incremental fashion during a given attempt (for
example, application of external laryngeal manipulation) others represent alternatives (for example, use of a
hyperangulated rather than a Macintosh blade videolaryngoscope) that necessitate an additional attempt.
As a consequence, achieving a best effort at a given lifeline typically occurs in a cumulative fashion over a
number of attempts, each incorporating additional optimisations that have not previously been implemented.
To address the potential for trauma and delays with repeated instrumentation, the Vortex limits the maximum
number of attempts to achieve a best effort at each lifeline to three but emphasises using the minimum
number of attempts possible.
To assist with the process of efficiently achieving a best effort over the minimum number of attempts, the
Vortex implementation tool (Figure 1) includes a list of five categories of optimisation that apply equally to
each of the three lifelines and provide a prompt to consider specific interventions relevant to achieving a
best effort at a particular lifeline. Categorising optimisations in this manner is intended to help the entire
team to track which interventions have been implemented by the airway operator and to offer suggestions
in a structured way.
It is not expected that all the optimisation interventions in a given category are exhaustively implemented
The Vortex Approach for a particular lifeline, as this would be both time consuming and inappropriate in most circumstances.
Instead the optimisation headings serve to encourage the clinical team to consider all of the options, with
The Vortex Implementation Tool is the core of the broader “Vortex Approach” which provides an extended array the airway operator only implementing those thought to be beneficial in a particular context. This structured
of resources6 to facilitate all phases of advanced airway care including airway assessment, development of an approach to considering optimisation strategies maximises the opportunities for achieving timely entry to
airway strategy and efficient performance of airway interventions in both the routine and emergency setting. The the Green Zone by ensuring that the process of achieving a best effort is:
focus of the Vortex Approach is on providing “implementation tools” designed to be simple enough for real-time
use during the process of airway management. This includes a suite of resources designed to facilitate both 1. Efficient: by minimising both the time and number of attempts needed to implement all strategies considered
the preparation and intervention phases of advanced airway care. These adjunctive tools work in an integrated to be useful.
fashion with the primary Vortex tool using the same concepts and language to maximise opportunities to 2. Rigorous: by minimising the likelihood that potentially helpful interventions are overlooked.
establish alveolar oxygen delivery by: 3. Finite: by outlining a set of optimisations that define an endpoint to optimisation of a given lifeline. This
• Facilitating effective planning for airway management. promotes team recognition that a best effort at a given lifeline has been completed and, if adequate alveolar
• Facilitating efficient best efforts at each of the three upper airway lifelines. oxygen delivery has not been achieved, provides them with permission to move on to an alternate technique.
• Encouraging appropriate decision making when adequate alveolar oxygen delivery is achieved via any lifeline. The goal is to maximise opportunities to enter into the Green Zone in the shortest possible time and with
• Promoting early priming for CICO Rescue as an airway crisis evolves. minimum instrumentation of the airway. This makes optimal use of the safe apnoea time and minimises the risk
that the patient will be exposed to critical hypoxaemia.
• Facilitating rapid recognition of the need for CICO Rescue.
• Facilitating ready access to appropriate airway equipment. The specific interventions required to achieve a best effort and the number of attempts over which these are
employed is thus a context dependent decision, to be made by the airway operator within the confines of the
principles set out by the Vortex Approach. In a given set of circumstances this decision will be influenced by the
BEST EFFORT AT UPPER AIRWAY LIFELINES clinical situation and the difficulties being encountered as well as the skill set of, and resources available to, the
The term “best effort” refers to the circumstance in which all reasonable interventions to facilitate success team managing the airway.
at entering the Green Zone via a given lifeline have been implemented. Whether or not a given intervention Attempts
constitutes a “reasonable” contribution towards achieving a best effort represents a balance between its
In order to meaningfully limit the number of attempts at a lifeline it is necessary to precisely define what is meant
likelihood for success and its potential for harm in a given clinical situation.
by an “attempt”. The definition used by the Vortex Approach for an attempt at each lifeline is as follows:
The likelihood of success of an intervention is influenced by: • ETT: the insertion and removal of a laryngoscope from the airway.
• The intervention: its intrinsic efficacy for addressing a particular problem. • SGA: the insertion and removal of a supraglottic airway from the airway.
• The problem: the specific challenges impeding entry to the Green Zone in a given patient. • FMV the application and removal of a face mask to the patient’s face.
• The clinician: experience and skill set in implementing the intervention.
It is not necessary that all attempts in pursuit of a best effort at one lifeline must be completed before initiating
Repeated interventions to optimise success at a lifeline may contribute to harm by two mechanisms: the first attempt at an alternate lifeline. Best efforts at multiple different lifelines may be proceeding in parallel,
• Trauma: repeated airway instrumentation may produce trauma that potentially compromises the ability to with sequential attempts alternating between optimising different lifelines. This reflects normal clinical practice
enter the Green Zone by alternative means. Airway instrumentation may also produce trauma resulting in as well as being the most efficient way to achieve entry into the Green Zone7.
patient morbidity beyond airway compromise.
Declaration Identifying the Green Zone

Declaration that alveolar oxygen delivery cannot be achieved by a given technique is a key step in encouraging the The essential question to be answered to identify whether the Green Zone has been entered is: Can adequate
team to commit to alternate strategies. Most of the major difficult airway algorithms emphasise the need to make alveolar oxygen delivery be confirmed?
declarations of “failure” at each of ETT, SGA and FM2-4 in order to facilitate team situation awareness of the need
• Confirmation: real-time confirmation of alveolar oxygen delivery should typically be achieved by ensuring the
to progress to other techniques. Linking such a declaration to the notion of “failure”, however, with the implications
presence of ETCO2 (when the patient is being ventilated with oxygen) though a rising pulse oximetry (SpO2)
this may carry for the competence of the airway operator, may have the potential to become a psychological barrier
reading also establishes this.
to such a declaration being made. Use of the term “best effort” rather than “failure” serves to convey the futility
of further attempts at the relevant lifeline while emphasising that the clinician has maximised the opportunities • Adequacy: the adequacy of alveolar oxygen delivery is not defined numerically but is instead assessed by
available to them according to anatomical, situational and clinician factors at the time. The expectation is that there asking "Is the patient likely to suffer harm from hypoxaemia if exposed to this level of SpO2 for the next 15
are less barriers to a clinician to declaring a best effort at intubation than to declaring failure. minutes?". The absolute SpO2 value satisfying this criterion will vary according to the context.
If following a best effort at any lifeline alveolar oxygen delivery has not been restored, then alternate strategies Entry into the Green Zone is therefore not synonymous with obtaining a normal SpO2 measurement. Normal
must be exclusively pursued, including CICO Rescue when best efforts at all upper airway lifelines have been SpO2 may be maintained by preoxygenation stores despite an obstructed airway and absent alveolar oxygen
exhausted. delivery. As such there is an ongoing urgency to address the situation before the safe apnoea time is exhausted.
Conversely following severe desaturation, obtaining an ETCO2 trace accompanied by recovery of the SpO2
from 40% back to only 85% would clearly confirm the occurrence of alveolar oxygen delivery. Irrespective of
THE GREEN ZONE
the exact value of the SpO2 reading, provided it is considered “adequate” in context, confirmed alveolar oxygen
Entry into the Green Zone via any lifeline removes the imminent threat of critical hypoxia and places the patient delivery always represents entry into the Green Zone.
in a position of relative safety. The declaration “we’re in the Green Zone” prompts recognition of the opportunity
Any time adequate alveolar oxygen delivery cannot be confirmed, the patient is instead described as being
this presents to optimise physiology, strategise further airway management and mobilise resources (Figure 2).
“in the Vortex”. This provides a clear conceptual dichotomy by which all patients must either be “in the Green
Figure 2. Green Zone. Zone” or “in the Vortex” at any time. After each attempt to establish or optimise one of the airway lifelines,
clinicians are encouraged to verbally declare whether they are in the Vortex or the Green Zone. Such a
declaration clearly conveys to the team the answer to a critical question in relation to decision making during
airway management: If something is not changed, will the patient inevitably become critically hypoxaemic? By
highlighting whether the patient remains at risk of imminent critical hypoxaemia, the declaration of whether or
not the patient is in the Green Zone facilitates team situation awareness of the urgency and priorities of airway
management at any given point in time in a way that may be obscured when focusing solely on the adequacy of
saturations or “oxygenation”.
Opportunities of the Green Zone
1. Optimise:
Optimisation of patient physiology consists of maximising the oxygen saturation of the blood, extending the safe
apnoea time and stabilising haemodynamics:
• Optimising the blood oxygen saturation minimises the immediate threat of harm from tissue hypoxia.
• Optimising the safe apnoea time minimises the future threat of harm from tissue hypoxia in the event that
alveolar oxygen delivery is subsequently interrupted.
• Optimisation of haemodynamics may previously have been overlooked while trying to restore the airway,
leading to compromise of oxygen delivery to the tissues.
2. Strategise:
Initial strategic options in the Green Zone can be discussed under three broad headings:
• Maintain: maintain the lifeline by which the Green Zone was achieved and use it to either proceed with the
indication for which airway management was initiated or withdrawn (“wake” the patient), using the current
lifeline as a bridge to provide time for the patient to regain the ability to maintain their own airway.
• Convert: an attempt can be made to convert the current lifeline, without leaving the Green Zone, to a more
appropriate alternative that satisfies other secondary goals of airway management. This can either occur via
one of the upper airway lifelines (for example, converting a supraglottic airway to an endotracheal tube using
an Aintree catheter) or via some form of front-of-neck airway under more controlled circumstances.
• Replace: this option involves a deliberate decision to abandon the lifeline that provided entry to the Green
Zone, interrupting alveolar oxygen delivery, with the expectation that it can be restored using an alternate
lifeline.
Categorising strategic options in this manner provides a simple format that decreases the likelihood that key
alternatives are overlooked.
NAP 4 emphasised that clinicians should develop a strategy rather than a plan for airway management1. A
strategy can be defined as an integrated series of plans, each a contingency for failure of the preceding one,
concluding with the trigger for initiation of CICO Rescue. Thus, even when the plan is to remain in the Green a best effort. When the oxygen saturations are critically low it might be reasonable to have only one attempt
Zone (“maintain” or “convert” options), consideration should always be given to the possibility that the ability at each lifeline before declaring a best effort, even though this means leaving some potential optimisation
to achieve alveolar oxygen delivery is inadvertently lost. This should include developing plans to complete best interventions untried. This is because the incremental benefit of repeated attempts to optimise a lifeline that has
efforts at any remaining lifelines and an appropriate level of priming (see below) to perform CICO Rescue. Thus, already failed is typically low relative to untried alternative lifelines. Thus the time expended on such low yield
it is not sufficient to simply plan the next step in airway management while in the Green Zone. In developing a interventions cannot be justified when the patient is already critically hypoxaemic and alternatives (including
strategy the question that must repeatedly be asked is: What is the plan if that plan fails? CICO Rescue) with a substantially higher likelihood of success remain.
3. Mobilise: Priming for CICO Rescue
Having developed a strategy, the time provided by restoration of alveolar oxygen delivery can be used to The term “priming” was introduced by the Vortex Approach to refer to an escalation in readiness to perform
assemble the resources necessary to facilitate the safe management of the patient. Resources include CICO Rescue that occurs prior to recognition of a CICO situation. This includes activities that occur during an
personnel, equipment and the potential to change the location in which airway management is taking place. evolving airway crisis in parallel with attempts to enter the Green Zone via one of the upper airway lifelines, not
just preparatory activities that take place in the more static setting before the initiation of airway management.
• Personnel: this may include seeking the assistance of an experienced anaesthetist, an ENT surgeon, Priming is crucial to ensure that airway management teams are poised to perform CICO Rescue, ideally with
additional medical/nursing staff or even consulting with a remote colleague via phone. zero latency, when CICO is declared and minimise the exposure of patients to hypoxaemia.
• Equipment: any specialised equipment for both primary and contingency plans should be made immediately
available. Priming represents a departure from the way in which clinical teams have typically approached readiness for
CICO Rescue – which has been to wait until a CICO event is imminent or has already occurred before making
• Location: there may be circumstances in which it is desirable to transfer the patient to a more suitable any efforts towards getting ready to perform CICO Rescue.
environment such as the operating suite before proceeding with further airway management.
Transition to CICO Rescue
Entry into the Green Zone consistently provides the same opportunities. The scope of the options available to
exploit these opportunities and what constitutes an appropriate strategy, however, depends on the context. The Priming is a key component in the process of “transition” to CICO Rescue encouraged by the Australian and
context dependent considerations that might influence this are outlined in the lower half of the Green Zone tool. New Zealand College of Anaesthetists (ANZCA)9. ANZCA’s transition concept emphasies that the shift in
The Green Zone Tool thus prompts the team to consider the key considerations for planning in the Green Zone. focus from attempts to enter the Green Zone via the upper airway lifelines, to achieving this via CICO
The implications of each of these considerations on the decision making process should be apparent to airway Rescue, should be a process (occurring over a period of time) rather than a pivot (occurring at an instant
clinicians from their training and is beyond the scope of the content addressed by the Vortex Approach. in time).
The Vortex Approach describes transition as “the phase of care leading up to and including the potential
CICO RESCUE initiation of CICO Rescue”. Transition is therefore comprised of simultaneous priming for CICO Rescue in
parallel with ongoing attempts to enter the Green Zone via the upper airway lifelines (Figure 3). Transition
CICO Rescue is the term used by the Vortex Approach to describe emergency cannula or scalpel thus commences with the onset of priming and concludes either with entry into the Green Zone via an
cricothyroidotomy/tracheostomy procedures required during can’t intubate, can’t oxygenate (CICO) events. appropriate upper airway lifeline (typically) or the initiation of CICO Rescue (rarely).
Unlike many other terms applied to this procedure (emergency surgical airway, emergency front-of-neck
access, invasive airway access, infraglottic rescue, and so on) CICO Rescue satisfies the criteria required Figure 3. Transition.
of such a term8 in being simple, intuitive, precise, unintimidating (even reassuring) and inclusive of both
cannula/scalpel techniques performed on either the cricothyroid membrane or trachea. This enables it to
be readily distinguished from non-emergency techniques to access the airway via the anterior neck (for
example, surgical tracheostomy, percutaneous tracheostomy) which are inappropriate for the time critical
situation of a CICO event.
There is considerable variation in the way the CICO acronym is verbalised by clinicians. In addition to spelling
out C-I-C-O, phonetics range across Kick-Koh, See-Koh, Chee-Koh, Sic-Koh and Psy-Koh. To facilitate clear,
efficient communication during an airway crisis, the Vortex Approach encourages consistent pronunciation of
the CICO acronym as Ky-Koh.
Trigger for Initiating CICO Rescue
According to the Vortex Approach the trigger for initiating CICO Rescue is the inability to confirm adequate
alveolar oxygen delivery following best efforts at all three upper airway lifelines. Note that this trigger is
independent of the oxygen saturations since, even in the unusual situation where the oxygen saturations
remain high following best efforts at all three lifelines, the inability to confirm alveolar oxygen delivery means
that eventual desaturation is inevitable. Rather than being a deterrent to its performance, recognition of
the need for CICO Rescue while the oxygen saturations remain high should be viewed as advantageous
– providing increased time to perform this confronting procedure in a more controlled manner, thereby
increasing the chance of success. Conversely, a critically low oxygen saturation is not in itself a trigger
to initiate CICO Rescue if best efforts at all three lifelines have not yet been completed. While legitimate
opportunities to enter the Green Zone in a timely fashion via the familiar upper airway lifelines remain, these
should be given priority, as they are more likely to be successful than resorting to an unfamiliar and more CICO Status
traumatic technique. While the concept of transition is appealing, effective priming presents two main challenges:
Oxygen saturations are therefore not a relevant consideration in deciding the trigger for CICO Rescue – this 1. Trigger: The onset of an airway crisis is frequently insidious. Even during routine airway management, it is not
is always “the inability to confirm adequate alveolar oxygen delivery following best efforts at all three upper uncommon for optimisations to be required before entering the Green Zone. The gradual evolution of these
airway lifelines”. They are, however, a relevant consideration in making the context dependent decision of what routine issues into an airway emergency makes it difficult for clinical teams to identify and declare a clear
constitutes a best effort at each lifeline in a particular situation. This is because the oxygen saturations impact point of onset for a crisis and thus a trigger to initiate priming.
on how much time it is reasonable to invest in optimising each of the upper airway lifelines before declaring
2. Outcome: To be effective, priming must be initiated early in the management of the challenging airway. Given CONCEPTUAL IMPRINTING
that CICO events are so uncommon, it would be expected that in most cases the airway will subsequently
be successfully managed by one of the upper airway lifelines. Thus initiation of priming will not usually The circular graphic on the Vortex Implementation Tool is intended to represent looking down into a funnel, as
culminate in a declaration of CICO or the need for CICO Rescue. illustrated in the lateral three-dimensional image of the Vortex (Figure 5). This three-dimensional depiction of
the Vortex is not intended to be referred to during an airway crisis but is used during training to convey and
The above two issues have the potential to create a barrier to effective priming. While the absence of promote retention of additional concepts relating to airway management – a process described as “conceptual
occurrence of a CICO event represents an expected outcome of most episodes of priming rather than a “false imprinting”. The Vortex implementation tool is then able to evoke recall of these imprinted concepts without
alarm”, clinicians may be reluctant to initiate priming early, due to concerns about being seen to have panicked making specific reference to them, which allows it to maintain a simple, low content interface.
or overreacted. As such, a tool is required to facilitate implementation of the process of transition.
While the Vortex tool defines when performance of CICO Rescue is indicated, it does not in itself provide a Figure 5. Vortex Lateral.
clear trigger to initiate priming for CICO Rescue. To facilitate effective priming for CICO Rescue, the Vortex
Approach uses the CICO Status tool (Figure 4) as an adjunct. This tool helps to address the above issues by
linking specific pre-defined priming actions to objectively defined events in the management of the challenging
airway in a manner that is integrated with the Vortex model. Using a three-tiered ready-set-go system, the CICO
Status escalates with the declaration that a best effort at any lifeline has been completed without providing
entry to the Green Zone. Adopting a structured and standardised approach to priming shares the responsibility
for escalation with the team, removes the focus on the “anxiety” of an individual clinician and reduces the
barriers to timely escalation towards CICO Rescue.
Figure 4. CICO Status.
The narrowing of the funnel represents the decreased time and options available with spiral descent deeper
into the Vortex. The darker blue at the centre of the funnel evokes recognition of the potential for worsening
hypoxaemia and cyanosis if alveolar oxygen delivery is not restored. The sloping surface of the interior of the
funnel emphasises that this is an unstable situation and reinforces the need to keep moving forward with
attempts to efficiently establish alveolar oxygen delivery via one of the lifelines to avoid a deterioration in
tissue oxygenation. In contrast the horizontal surfaces which make up the surrounding Green Zone serve as a
reminder that whenever alveolar oxygen delivery is achieved the risk of imminent hypoxaemia has been arrested.
The patient is then in a situation of relative safety which provides time to pause and exploit the opportunity to
optimise physiology, strategise management and mobilise resources.
CRITICAL LANGUAGE
Critical language refers to standardised communication using specific terms or phrases that are clearly defined,
mutually understood and consistently used8. The Vortex Approach emphasises the use of critical language
As well as the mandatory escalations with completed best efforts at any lifeline, additional discretionary to facilitate team situation awareness during airway management. Such terminology is commonplace during
escalations of the CICO Status may be suggested by members of the team according to other recommended cardiac arrest where standardised phrases such as no output, shockable rhythm, stand clear, and so on are
criteria on the tool or their own clinical judgement. In an anticipated difficult airway, where there is perceived routinely used. In contrast, emergency airway management has not evolved an analogous lexicon, leading to
to be a high risk of needing to proceed rapidly to CICO Rescue, airway management may even begin with the duplication and ambiguity of many terms8, which has the potential to negatively impact on team performance.
CICO Status already at SET (the “double setup”). It is also appropriate to consider the need to escalate the This has necessitated the Vortex Approach coining idiosyncratic language such as best effort, Green Zone,
CICO Status in any circumstance where previously secured access to the Green Zone has the potential to CICO Status and CICO Rescue to address these deficits.
become compromised, such as during extubation of a high-risk airway.
The declaration of a completed best effort at any lifeline should therefore be accompanied by a request to CLINICAL INTEGRATION
escalate the CICO Status. If this is not made by the airway operator, other members of the team should feel The structured approach to considering optimisation strategies using the five categories of the Vortex for
empowered to insist on this. It is important to note, however, that the CICO Status should not reach GO each lifeline can be integrated into the clinical environment10. Labelling the emergency airway cart drawers
unless best efforts at all three lifelines have failed to provide entry into the Green Zone. Once the CICO Status to correspond to the different domains of the Vortex and arranging equipment inside them according to the
reaches SET it should plateau here until a declaration is made that best efforts at all three upper airway lifelines optimisation categories allows clinicians to use the equipment itself as a prompt to ensure efficient optimisation
has been unsuccessful. of the lifelines. In addition, graphics in the drawers can provide visual cues for non-equipment interventions. In
this way the airway cart itself becomes an extension of the cognitive tool.
12 Australasian Anaesthesia 2019 – Airway Managing airway trauma: Applying logic and structure to the anaesthetic decision-making process 13
SUMMARY Managing airway trauma: Applying logic and structure to the

The Vortex Cognitive Tool is the core element of a broader array of integrated airway resources that include anaesthetic decision-making process
critical language, equipment layout and adjunctive cognitive tools that comprise the Vortex Approach. The
Vortex Approach provides a simple, consistent template to prompt team recall and application of technical
Adam Rehak MBBS FANZCA
background material in real-time. Underpinning the effective use of the Vortex Approach is the need for team
training to ensure familiarity with the elements required for its successful application. It should not be viewed Consultant Anaesthetist, Department of Anaesthesia, Royal North Shore Hospital, NSW.
as an alternative to the major airway algorithms but as a complementary resource, designed to facilitate After completing vocational anaesthesia training at Monash Medical Centre, Melbourne and Guy’s & St Thomas’
implementation of the management recommendations outlined by these training tools and improve the hospitals in London, Dr Rehak took a combined clinical and simulation position at Royal North Shore Hospital
performance of clinical teams. in Sydney. His interests include simulation-based education, human factors in airway management and multi-
disciplinary team performance. He is a co-opted member of the Airway SIG executive, a member of the ANZCA
REFERENCES EMAC course subcommittee, and a director of the Safe Airway Society – a newly formed multidisciplinary
1. Cook TM, Woodall N, Frerk C. Fourth National Audit Project of the Royal College of Anaesthetists and the Difficult
trans-Tasman airway society.
Airway Society. Major complications of airway management in the United Kingdom, report and findings. [Internet]. Royal
College of Anaesthetists; 2011. Available from: https://www.rcoa.ac.uk/system/files/CSQ-NAP4-Full.pdf. Accessed 2018 INTRODUCTION
September 30.
2. Frerk C, Mitchell VS, McNarry AF, Mendonca C, Bhagrath R, Patel A, et al. Difficult Airway Society 2015 guidelines for Traumatic airway injuries (TAIs), like other “threatened airway” presentations, are rare. Despite accounting for
management of unanticipated difficult intubation in adults. Br J Anaesth. 2015 Dec;115(6):827-48. only 1% of all trauma presentations the mortality rate among these patients is estimated to be well over 20%1,2.
3. Law JA, Broemling N, Cooper RM, Drolet P, Duggan LV, Griesdale DE, et al. The difficult airway with recommendations for Exact mortality rates are difficult to gauge as a significant proportion of these patients die at the scene.
management - part 1 - difficult tracheal intubation encountered in an unconscious/induced patient. Can J Anaesth. 2013
Nov;60(11):1089-118. Existing guidelines on airway management are (mostly) designed for use in situations of unanticipated difficulty
4. Practice guidelines for management of the difficult airway: An updated report by the American Society of during routine airway management3,4, and are thus intended to be applied where anaesthesia has already been
Anesthesiologists task force on management of the difficult airway. Anesthesiology. 2013;118:251-70. induced. As such, they are not directly applicable to the situation of a patient presenting with a TAI. Moreover,
5. Chrimes N. The Vortex: A universal ‘high-acuity implementation tool’ for emergency airway management. Br J Anaesth. several authors have emphasised that adhering to these guidelines in the presence of a TAI may be unhelpful5
2016;117 Suppl 1:i20-i27. or even harmful6.
6. Chrimes N. The Vortex approach to airway management [Internet]. Available from: http://www.vortexapproach.org.
Accessed 2017 Februrary 3. There have been a large number of reviews focusing on airway trauma1,5-11. These articles comprehensively
7. Chrimes N, Marshall SD. Attempt xyz: Airway management at the opposite end of the alphabet. Anaesthesia. describe the incidence, aetiology, and common presentations of these injuries, and catalogue the diagnostic
2018;73(12):1464-8. investigations and management options available. With a few exceptions, however, these reviews either fail
8. Chrimes N, Cook TM. Critical airways, critical language. Br J Anaesth. 2017;118(5):649-54. to provide a framework to guide decision-making around airway management or focus specifically on the
9. Bradley W, Baker PA, Chapman GA, Greenland KB, Heard AMB, Heffernan D. Guidelines for the management of evolving decisions pertaining to surgical management. The few reviews that do provide a framework or algorithm for
airway obstruction: Transition to the can’t intubate, can’t oxygenate airway emergency. Background paper [Internet]. anaesthetic decision-making fail to address how extrinsic (non-patient) factors such as equipment available in
Australian and New Zealand College of Anaesthetists; 2017. Available from: http://www.anzca.edu.au/documents/
ps61bp-2017.pdf. Accessed 2018 September 11. the emergency department (ED) compared with that in the operating theatres (OT) and the distance from ED to
10. Chrimes N, Bradley WPL, Gatward JJ, Weatherall AD. Human factors and the ‘next generation’ airway trolley. Anaesthesia. OT impact choices around airway management.
2019;74(4):427-33.
This article attempts to provide a decision-support matrix for the management of TAIs that incorporates both
the intrinsic considerations such as patient and airway factors, and the extrinsic considerations such as the
situational factors described above and team factors. These factors are then applied in a sequential decision-
making process which addresses when and where the airway should be managed, the team composition, and
the primary and contingency airway management plans.
Components of the presented decision-support matrix are derived or borrowed from the Vortex Approach12.
[See “The Vortex Approach to airway management” by Nicholas Chrimes in this edition of Australasian
Anaesthesia]. Specifically, the table of considerations presented later is a modification of that presented in the
Green Zone planning tool, and the contingency plan options are presented as either those available “in the
vortex” or those available “in the green zone”.
TAIs are comprised of a heterogenous collection of injuries including maxillofacial trauma, blunt and penetrating
neck trauma, and inhalational injuries. Tracheobronchial injuries can also result from blunt chest trauma, but due
to low survival-to-hospital rates these won’t be addressed here. An overview of the presenting features of the
various types of TAIs is presented below.
Maxillofacial trauma
Maxillofacial trauma may involve the mandibular/maxillary structures or the mid-face region. These injuries
are characterised by copious bleeding which may threaten the airway via aspiration and hypoxia and may
complicate airway management. Patients often present sitting erect and spitting out blood in order to avoid
choking and asphyxia. Rarely mandibular condylar impaction can restrict mouth opening. Bilateral mandibular
fractures may cause the tongue to migrate posteriorly, obstructing the airway. These patients will also present
in an erect position. Mid-face fractures are associated with airway disruption along the nasopharynx and with
cervical spine injuries13.
Blunt neck trauma 3. How should the airway be managed?

These injuries are often part of a wider multi-trauma picture, such that urgent airway management may be 4. What is the plan if that plan fails?
required due to deterioration secondary to other injuries. The cricoid cartilage and cricothyroid membrane
In order to guide the key questions outlined above, a broad array of factors need to be considered. These are
are involved in 50% of blunt airway trauma where the airway is compromised. Thyrohyoid membrane, thyroid
outlined in Table 1.
cartilage and upper tracheal injuries accounting for the remainder14,15. Laryngo-tracheal disruption is a feature
in more than half of these patients and complete separation may occur, usually between the cricothyroid
membrane and the fourth tracheal ring. Patients with blunt neck trauma may present with cough, dyspnoea, Table 1. Key considerations in patients with TAIs.
aphonia, stridor, subcutaneous emphysema or haemoptysis but symptoms don’t correlate well with location of
injury or severity16,17. Airway obstruction can be secondary to oedema, haematoma, subcutaneous emphysema, Situation factors Urgency
tissue deformity from cartilage fracture, or a combination of these. Complexity
Penetrating injuries Environment/Location
Injuries include airway laceration and disruption, cartilage fracture and vocal cord damage, blood vessel Airway factors Stability
damage, pneumothorax and oesophageal perforation. They cause airway compromise through aspiration of O2 Saturation
blood, oedema, subcutaneous emphysema, haematoma, and pneumothorax. Large penetrating injuries may
Viable options
allow establishment of a definitive airway by direct placement through the wound. Cervical spine injuries are
frequently associated with gunshot wounds but less so with other causes of penetrating neck trauma18. Pathology
Airway burns Patient factors Aspiration risk

Thermal injury to the airway is typically seen in patients trapped in an enclosed space for a prolonged period. Feasibility of waking
The main concern is airway obstruction secondary to oedema. Swelling may be immediate or delayed and can Compliance
be exacerbated by fluid resuscitation. Inhalational injury is a significant cause of mortality in burns patients19.
Team factors Experience
Difficulty with airway management and specifically intubation increases with time20. Nasendoscopy has been
used to predict need for intubation, and can be used serially to assess increasing oedema21,22. Skillset
GOALS OF AIRWAY MANAGEMENT IN TAI Where and when should the airway be managed?
In patients presenting with a TAI the airway may be compromised or complicated by a broad range of The decision-making process begins with an airway triage to decide whether the option to move the patient
pathological processes. Despite this, the goals of airway management in all cases remains the same. out of the ED and into the operating theatre (OT) is realistic and safe. While the presenting state of the patient
will impact this decision-making, important situational factors will also come into play. Many of these factors
1. To identify which patients with TAIs need their airways secured.
will be specific to the facility within which that case is taking place and may even vary with time of the day
2. To place a cuffed tracheal tube into the lumen of the airway distal to the location of the injury while or day of the week. The importance of taking local circumstances such as the distance from the ED to the
avoiding hypoxia. OT was emphasised in the NAP4 report, where several cases where identified where a transfer between the
3. To avoid exacerbating a potential or actual airway disruption and/or migrating an endotracheal tube (ETT) two locations led to a prolonged period of hypoxia23. In smaller hospitals theatre staff may not be immediately
outside the airway. available after-hours or on weekends and the consequences of any delay required to have theatres ready to
4. To avoid creating or exacerbating subcutaneous emphysema. receive a patient with a TAI need to be carefully considered.
In 2016 Mercer and colleagues presented a systematic review of traumatic airway injury management
INTRODUCING A FRAMEWORK TO GUIDE DECISION-MAKING IN THE and suggested dividing patients into three groups: no time, some time, and adequate time to allow airway
MANAGEMENT OF TAIs assessment, investigation and intervention6. The advantage of this taxonomy is that it utilises the clinical
picture at presentation along with an understanding of the pathophysiology and its likely progression to help
With reference to the goals of airway management in the presence of a TAI, as described above, it is decide how urgently the airway needs to be managed. It does, however, fail to account for the aforementioned
understandable why awake airway management techniques such as flexible bronchoscopic intubation (FBI) situational factors. There is limited value in advocating a decision-support model that utilises a time-based
or performance of a front of neck airway (FONA) under local anaesthetic have been promoted by some as classification system if the included categories have different management implications across different
the “gold standard” for the management of patients with TAIs. In reality, performance of awake techniques, hospitals, days of the week or times of the day. In fairness to the authors, they were presenting an institution-
especially those involving specialised equipment and/or specific technical skills is only a realistic option specific protocol.
under certain circumstances. Hence, over-emphasis on an aspirational ideal is unhelpful. It may even promote
dangerous practices whereby clinicians ignore or avoid intuitively safer options in favour of pursuing techniques For the purposes of developing a transferable, universally applicable approach, an airway triage system is
inappropriate in the given context or attempt dangerous transfers of unstable patients to the operating theatres. proposed that accounts for both intrinsic and extrinsic factors impacting when and where the airway should be
managed. This is shown in Figure 1.
Prior to deciding how the airway is to be managed, it must first be determined when and where the airway can
and should be managed. Most, if not all patients presenting with a symptomatic TAI will arrive first to the ED. Figure 1. Airway triage categories.
There they will be assessed and managed by a multi-disciplinary team that, in Australia and New Zealand, will
(almost) always include an anaesthetist or anaesthetic trainee. The decision to stay in ED or move to theatre will
impact the options available for airway management. Another decision that should precede, and will ultimately CRACK ON
impact, the selection of how the airway is to be managed is that of who can and should be involved in the
management of the airway. Once a decision has been made on how the airway is to be managed, the final
aspect of management to be considered is what are the contingency plans in the event of failure. STAY & PLAY
They key questions to be addressed are:
1. Where and when should the airway be managed? HEAD FOR HOME
2. Who should be involved?
Triage category 1: “crack on” considered for CT scan. The decision to surgically explore or repair a TAI secondary to blunt laryngeal trauma is
Patients triaged to this category are those in extremis, where the risks of delaying airway management outweigh largely based on the criteria outlined in the Schaefer classification system25 or one of its many derivations14,26.
any advantages gained by waiting for additional personnel or equipment. These are patients obviously too These criteria include a combination of presenting signs and symptoms, nasendoscopy findings and features
unstable to undergo extensive airway assessment or investigation, let alone be transferred to the OT. It should on the CT scan. Essentially all symptomatic patients with severe oedema, significant mucosal disruption, vocal
be noted that the self-selecting nature of these injuries will dictate that relatively few patients will arrive at a cord immobility or displaced laryngeal fractures will require surgical intervention.
trauma department in this state as a direct result of their TAI – most will have either died at the scene or have Who should be involved with airway management?
had their airways managed in-transit1.
Pausing to consider who should be involved prior to commencing airway management in the presence of a TAI
is about ensuring both that personnel with the correct skillset and experience are in attendance, and also that
Table 2. Absolute and conditional indications for immediate airway management. roles are clearly allocated and defined. The most senior anaesthetic help available should be deployed for these
cases along with a surgeon with tracheostomy and/or cricothyroidotomy skills.
Absolute indications for immediate Indications for immediate airway
airway management management when associated with In the “crack on” group of patients, the ability to get additional senior help and an ear, nose and throat (ENT)
actual or expected deterioration surgeon or similar, may be restricted to presentations where the presence of airway pathology is recognised
and communicated at the time of trauma team activation.
Severe hypoxia Stridor
Taking time to consider who should be involved is likely to infer the greatest benefit in the patients falling within
Airway obstruction from blood or secretions Respiratory distress
the “stay and play” triage category. NAP4 identified several cases with poor outcomes involving non-urgent
Decreased conscious state Subcutaneous emphysema but complex airway injuries or pathology where the airway was managed in the ED by anaesthetic trainees
Profound shock Expanding neck haematoma while senior help had been available23. In situations where time is available but the patient is considered too
unstable for transfer to the OT, the presence of a senior anaesthetist and an ENT surgeon should be requested.
Cardiac arrest Inability to lie flat Consideration should also be given to having a capable anaesthetic nurse or technician from OT attend the ED.
Patients in the “head for home” category will be managed in the OT, and the process of explicitly considering
It is hard to identify a definitive list of signs or symptoms which indicate a patient should be triaged to the “crack who should be involved can be used to overcome the complacency that can arise with the familiarity of the
on” category. Some, such those listed in the left hand column of Table 1 are incontrovertible. Others, such as environment and the relative stability of these patients. The anaesthetist should ensure that all team members
those listed in the right hand column of table need to be interpreted within the context of the presentation. It can are present in OT at the outset of airway management, and that all roles are allocated including a “hands-off”
logically be argued that the presence of one or more from the list in the right hand column of the table, without team leader.
evidence of progression, may not necessitate immediate airway management. For example, if a patient with a
How should the airway be managed?
TAI is recorded as having stridor and a respiratory rate of 32 at the scene of the accident, and then arrives in
the ED with her clinical state unchanged, the potential benefits of waiting for additional resources may outweigh There is no consensus on how TAIs should be managed and in many cases authors appear determined to
the risk of the airway deteriorating further. This example highlights the fact that the process of differentiating identify and advocate a single best way to manage all presentations, rather than considering the pertinent
patients within the “crack on” category from those in the “stay and play” category requires consideration of both factors in a structured way to guide decision-making. This is particularly evident with laryngotracheal trauma,
the significance of the presenting sign or symptom and the rate of progression of the underlying pathology. where historically awake tracheostomy was advocated by many for all patients requiring definitive airway
management26,27. Others advocated rapid sequence induction with direct laryngoscopy despite the risk of
Triage category 2: “stay and play” exacerbating a tracheal tear14. More recently some have proposed awake FBI as the method of choice24 while
Patients triaged to this category are those where the risks of transferring the patient are deemed to outweigh others suggest any of the aforementioned techniques may have place in the management of TAIs6,9,10. The
the advantages inferred by being in the OT environment. These patients are, however, stable enough to permit impracticality of a “one size fits all” approach has already been explained. Instead a method for deciding which
delaying definitive airway management in order to maximise the likelihood of success. This may involve gathering options are feasible and appropriate in different circumstances should be employed.
of personnel and equipment, and performing limited investigations of the airway. Transfer for CT scan is unlikely
to be feasible in this cohort of patients but nasendoscopy along with radiographs and ultrasound of the neck In the Vortex Approach patients are considered to be in one of two states based on whether alveolar oxygen
are quick to perform and are likely to influence decision-making. In some centres, patients with major airway delivery is occurring: either “in the vortex” or “in the green zone”12. A Green Zone (GZ) tool is provided to guide
injuries excluded on nasendoscopy are managed conservatively, despite the presence of voice changes and/or decision-making in the circumstance where alveolar oxygen delivery has been restored. This tool is discussed
subcutaneous emphysema8,24. later in this paper.
In the presence of a TAI, a patient would be triaged to the “stay and play” category if displaying signs and The situation of the threatened airway lends itself to a modified version of this model. Any patient presenting
symptoms suggestive of major airway injury but without evidence of the rapid progression or deterioration that with a threatened airway such as a TAI who is able to maintain their own airway would be considered to be “in
would demand immediate definitive airway management. Specifically, these are patients with stridor, dyspnoea, the green zone”. Assuming that the patient requires definitive airway management, a primary airway plan that
subcutaneous emphysema, neck swelling or intolerance of the supine position. addresses the goals of airway management in the presence of a TAI would be selected from within following
three broad categories:
Other injuries may prevent a patient with an otherwise stable TAI from being transferred to the OT. Examples 1. AWAKE – securing the airway awake – patient remains within the green zone.
are major haemorrhage or head injury in a multi-trauma patient, and smoke inhalation in burns patients. The
signs and symptoms associated with TAIs have been noted to have poor predictive value16,17, and as such the 2. SV – securing the airway asleep but with maintenance of spontaneous ventilation – patient remains within
pathophysiology or mechanism of the injury and/or the impact of patient specific-factors may suggest the need the green zone.
to “stay and play”. For example, the underlying airway oedema in patients with symptomatic inhalational thermal 3. RSI – securing the airway asleep and apnoeic with rapid sequence induction – patient enters into the vortex.
injuries is likely to rapidly progress20. As mentioned, factors such as distance to theatres, availability of theatres
In other, non-trauma, presentations of threatened airways the use of “holding measures” such as continuous
or theatre staff, and equipment available in the ED need also be considered when deciding whether to transfer
positive airway pressure, high-flow nasal oxygen and heliox (helium-oxygen mixture) have been advocated28. While
or not5,9.
these may intuitively seem worthy of consideration in TAIs where stridor and obstruction feature prominently, the
Triage category 3: “head for home” possibility that these may exacerbate surgical emphysema should mandate careful patient selection.
This category comprises those patients with TAIs who require definitive airway management but are stable
enough to permit transfer to the OT prior to airway being secured. As with those in the “stay and play” category,
these patients should undergo a comprehensive airway assessment including nasendoscopy, chest and
neck radiographs and possibly neck ultrasound. Unlike the “stay and play” patients, these patients should be
Primary plan options in patients in the “crack-on” triage category In situations such as severe maxillofacial injury or a penetrating injury to the pharynx or hypopharynx, blood
In the patients that have been triaged to the “crack on” category the time-limitations render awake and will be a prominent feature but subglottic structures are likely to be intact. In such cases, awake VL or awake
spontaneous ventilation techniques impractical. In these situations the primary airway plan will constitute a surgical airway are the primary plan options with the highest likelihood of success. The skillset and experience
modified RSI with or without manual in-line stabilisation. Recognising that blind passage of an ETT during RSI of the team should be used to guide which is selected.
can exacerbate airway disruptions and lead to migration of the ETT outside the trachea14, measures to mitigate In confused or combative patients in this triage category the choice of a SV or RSI technique will be guided by
this risk should be employed. Mercer and colleagues recommend a modification of RSI whereby the concurrent the estimated risk of aspiration (blood or stomach contents) and the anticipated ability of the patient to maintain
use of videolaryngoscopy (VL) and an flexible bronchoscope (FB) allows negotiation of any airway disruption a patent airway while anaesthetised.
under direct vision6. The steps involved with this technique are explained in Table 2.
The pharmacological options for inducing anaesthesia while maintaining spontaneous ventilation are limited in
Table 2. Steps involved in an FB-assisted RSI. the ED. The use of ketamine is advocated by some authors for this situation7 and has been used extensively
to gain control in combative patients prior to RSI30. Topicalisation is not required for performance of FBI after
induction with ketamine. This technique should, therefore, be considered in the minority of EDs where these
devices are available, or where a disposable scope has been mobilised from OT early in the process.
If an RSI technique is utilised, the same modications and precautions described earlier should be adopted.
A summary of the options for the primary airway plan in patients in the stay and play category is presented in
Figure 2.
Figure 2. Primary plan options in patients in the “stay and play” triage category.
Step 1 Step 2 Step 3

Following induction of anaesthesia, The second anaesthetist advances The primary anaesthetist rotates
the primary anaesthetist proceeds the FB into the trachea identifying the ETT so that the leading edge
to place the bevel of the ETT at the the location of, and passing beyond, of the bevel is furthest from the
introitus of the trachea, at the vocal any tracheal tear. tracheal tear. The ETT is then gently
cords. The second anaesthetist is advanced to a depth where the cuff
poised with the FB. is well beyond any identified tear.
FB, flexible bronchoscope. VL, videolarngoscope. FONA, front of neck airway.

It should be noted that FBs are not immediately available in the emergency departments of most Australian and SV, spontaneous ventilation. RSI, rapid sequence induction.
New Zealand hospitals. The FB-assisted RSI described above will only be possible in the few hospitals where
these are stocked in ED or where a portable FB is mobilised to the ED at the time of the trauma team activation.
In the absence of an FB, a smaller than usual ETT should be utilised. Cricoid pressure should be avoided in the
presence of a laryngeal injury, as should high flow nasal oxygen delivery which generates a degree of positive Primary plan options in TAI patients in the “head for home” triage category
airway pressure. Simple apnoeic oxygenation delivered at 10-15 litres per minute via standard nasal cannulae Options from all three of the management categories; awake, SV, and RSI are available to the anaesthetist. The
can significantly prolong time to desaturation29 and should be utilised in these patients. same considerations as those described above for patients in the “stay and play” triage category apply to these
Regardless of the exact technique used to perform an RSI in these situations, a second clinician should have patients. Additionally, information from a CT scan may determine the need for a surgical procedure that itself
the equipment ready for, and be poised to perform, an emergency front of neck airway (eFONA); the only viable requires specific airway management such as a tubeless field across the larynx.
contingency plan in this situation. This has been described as a “double set-up”7. As with patients in the “stay and play” triage category, compliance will again be the factor having the greatest
Occasionally with patients in the “crack on” triage category it will be determined that the extent and severity of impact on choice of anaesthetic technique for the primary airway plan. Among cooperative patients the choice
the airway and facial pathology equate to a very low probability of success with direct or video laryngoscopy of awake FONA, awake FBI or awake VL will largely be determined by airway factors, with equipment availability
during RSI. In these cases immediate eFONA following induction may constitute the primary plan with the and team skillset less likely to play a role than with the cohort of patients in the “stay and play” triage category.
highest likelihood of success. The availability of target-controlled infusion pumps for the delivery of remifentanil in the OT environment is likely
to enhance performance of awake techniques31.
Primary plan options for TAI patients in the “stay and play” triage category
The small group of combative patients that do make it to theatre, and those that refuse an awake technique,
In these patients where some time is available, but management necessarily must occur in the ED, options from
will require either an SV or RSI technique. Aspiration risk and likelihood of the airway remaining patent
within each of the Awake, SV and RSI categories become viable. The patient factor having the greatest impact
after induction will again determine this choice. A small proportion of patients may be appropriate for rigid
on choice of technique in these patients is compliance. An awake technique is only tenable in situations where
laryngoscopy and bronchoscopy, but concurrent cervical spine injury is common in TAIs, and would be
a patient is cooperative, while an SV or RSI techniques will be required in a non-compliant patient.
contraindication to these.
In a compliant patient where a surgeon is available, and factors such as blood in the airway or a lack of
The utility of SV techniques using volatile inhalational agents in threatened airway presentations has been
equipment or skills make awake FBI less viable, awake FONA should be the technique of choice. The location
questioned28 and was associated with frequent failure in cases reported in NAP432. An SV technique utilising
of the injury will determine whether cricothyroidotomy or tracheostomy is indicated. It should again be
intravenous anaesthesia has theoretical advantages28 and target-controlled infusions of propofol have been
emphasised that neither FBs nor the equipment used for topicalisation are commonly available in Australian and
successfully used to maintain SV in patients requiring airway surgery for subglottic stenosis33. The primary plan
New Zealand EDs. Awake FBI will rarely be a viable option for patients in this triage category and should only
options in the “stay and play” patient cohort are summarised in Figure 3.
be considered where time and/or availability permits its use and the pathology strongly indicates the need for
this technique.
Figure 3. Primary plan options in patients in the “head for home” triage category. PUTTING IT ALL TOGETHER
A composite decision-support tool for management of patients presenting with a “threatened airway” is
presented in Appendix 1. A high-resolution version is available for download via www.sim.scssc.edu.au/
threatened-airway-tool. The tool prompts consideration of the key patient, airway, situational and team factors
that impact decision-making. It then guides clinicians through the process of answering the four key questions
explained above. The tool is designed to provide appropriate guidance for not only patients presenting with
TAIs, but also other pathologies found within the heterogenous group of patients that present with imminent
airway obstruction: infection, haematoma, tumour and foreign body.
Like all cognitive aids, the “Threatened airway planning tool” requires prior knowledge of its content and an
understanding of the concepts and techniques included in the tool. It is designed to both support the decision-
making of the individual anaesthetist and promote effective team performance. Clinical performance is likely to
be optimised by rehearsal with immersive simulation which utilises the same tools, resources and personnel that
FB, flexible bronchoscope. VL, videolarngoscope. FONA, front of neck airway.
SV, spontaneous ventilation. RSI, rapid sequence induction. will be available in the clinical setting.
The tool is relatively complex and information-dense. As such, it is likely to be of most use in situations where
some time is available – patients presenting in the “Stay and play” or “Head for home” triage categories. It is
incumbent on the individual practitioners and teams managing emergent patients to have a clear idea of how
What is the plan if that plan fails?
patients presenting in-extremis – those in the “crack on” triage category, should be managed without needing
One of the themes that emerged from NAP4 was the frequency with which airway management was embarked to refer to a cognitive aid.
upon with only a primary airway plan rather than a strategy comprising both a primary plan and contingency
plans to be enacted in the event of the primary plan failing32. Even the existence of a viable airway strategy is of
limited value unless it is shared with members of the team such that a shared understanding of the steps within
CONCLUSION
the strategy exists. TAIs, and other presentations involving “threatened airways” are rare events requiring complex anaesthetic
decision-making to optimise outcomes and avoid potential complications. The impact of extrinsic factors such
A useful way to ensure that likely contingencies and the appropriate responses to these are considered is to
as location, distance to theatre, and team skillset on the available options are often ignored but in fact need to
always ask “What is the plan if that plan fails?” A second, and equally important component to contingency
be integrated into the decision-making process. Hopefully the step-wise approach outlined here, along with
planning in the setting of TAIs, is to also ask the question “What is the plan if the airway is lost now?” This is
the accompanying decision-support matrix in the Threatened Airway Planning Tool provide a logical, structured
particularly pertinent in patients triaged to the “stay and play” and “head for home” categories, where a delay
approach to these challenging situations.
to permit optimisation of the environment or a transfer to OT is planned. There are numerous case reports of
patients with initially stable TAIs deteriorating suddenly necessitating immediate airway management34-36.
ACKNOWLEDGEMENT
The options available as contingency plans are usefully delineated by the Vortex Approach37. If alveolar
oxygen delivery is not occurring due to airway obstruction or the patient becoming apnoeic, the only options I would like to acknowledge Nicholas Chrimes for allowing incorporation of the Green Zone Tool from The
available are the three upper airway lifelines of facemask ventilation (FMV), supraglottic airway rescue (SGA) Vortex Approach in the Threatened Airway Planning Tool.
and intubation (ETT), or the last resort of eFONA. If alveolar oxygen delivery is still possible, or is restored via
one of the three upper airway lifelines then the options are to either i) maintain oxygenation with the current
airway and wake the patient or proceed with surgery, ii) convert the current airway while maintaining alveolar
oxygen delivery, or iii) abandon the current airway and move to another modality to achieve definitive airway
management. The Vortex Approach cognitive tools designed to prompt recall of these options are presented in
the chapter “The Vortex Approach to airway management” by Nicholas Chrimes in this edition of Australasian
Anaesthesia.
It must be emphasised that the cognitive tools are prompting recall of ALL of the options available, and it is the
responsibility of the team to decide which options should be considered as viable and appropriate contingency
plans. Clearly some of these options are unlikely to be successful and in fact may make further attempts at
securing the airway more difficult. For example, positive pressure ventilation via FMV or LMA is likely to cause
or exacerbate subcutaneous emphysema in the presence of an airway disruption. Similarly, performance of
eFONA at the cricothyroid membrane may be at or above the level of the injury and therefore unlikely to achieve
the goals of airway management in the presence of a TAI.
In some circumstances FMV or LMA may appropriately be incorporated into contingency planning for
management of patients with TAIs, but at best these are likely to buy time for the performance of FONA. For
this reason the approach being advocated here for all symptomatic TAIs involves immediate mobilisation
of personnel and equipment for FONA and an escalation of preparedness such that the procedure can be
immediately performed in the event of sudden deterioration or the failure of the primary plan. This is the “double
set-up” described earlier, which is analogous to a CICO status of “set” using the Vortex Approach38.
Where the decision to perform FONA is made while alveolar oxygen delivery is still possible a more precise
FONA approach may be adopted. If oxygen delivery has failed, however, akin to a “can’t intubate, can’t oxygenate”
(CICO) situation, a technique that can secure the airway within minutes must employed – eFONA. This distinction
needs to be clearly communicated to, and understood by, the team member allocated to this task.
Appendix 1. A composite decision support tool for management of the threatened airway. REFERENCES
1. Kummer C, Netto FS, Rizoli S, Yee D. A review of traumatic airway injuries: potential implications for airway assessment
and management. Injury. 2007;38(1):27-33.
2. Bhojani RA, Rosenbaum DH, Dikmen E, et al. Contemporary assessment of laryngotracheal trauma. J Thorac Cardiovasc
Surg. 2005;130(2):426-32.
3. Frerk C, Mitchell VS, McNarry AF, et al. Difficult Airway Society 2015 guidelines for management of unanticipated difficult
intubation in adults. Br J Anaesth. 2015;115(6):827-48.
4. Law JA, Broemling N, Cooper RM, et al. The difficult airway with recommendations for management – part 1 – difficult
tracheal intubation encountered in an unconscious/induced patient. Can J Anaesth. 2013;60(11):1089-118.
5. Verdonck P, de Schoutheete JC, Monsieurs KG, Van Laer C, Vander Poorten V, Vanderveken O. Penetrating and blunt
trauma to the neck: clinical presentation, assessment and emergency management. B-ENT. 2016;Suppl 26(2):69-85.
6. Mercer SJ, Jones CP, Bridge M, Clitheroe E, Morton B, Groom P. Systematic review of the anaesthetic management of
non-iatrogenic acute adult airway trauma. Br J Anaesth. 2016;117 Suppl 1:i49-i59.
7. Kovacs G, Sowers N. Airway Management in Trauma. Emerg Med Clin North Am. 2018;36(1):61-84.
8. Bell RB, Verschueren DS, Dierks EJ. Management of laryngeal trauma. Oral Maxillofac Surg Clin North Am.
2008;20(3):415-30.
9. Jain U, McCunn M, Smith CE, Pittet JF. Management of the Traumatized Airway. Anesthesiology. 2016;124(1):199-206.
10. Pierre EJ, McNeer RR, Shamir MY. Early management of the traumatized airway. Anesthesiol Clin. 2007;25(1):1-11, vii.
11. Schaefer SD. Management of acute blunt and penetrating external laryngeal trauma. Laryngoscope. 2014;124(1):233-44.
12. Chrimes N. The Vortex Approach to airway management. [Internet] Available from: http://vortexapproach.org. Accessed
August 2019.
13. DeAngelis AF, Barrowman RA, Harrod R, Nastri AL. Review article: Maxillofacial emergencies: Maxillofacial trauma. Emerg
Med Australas. 2014;26(6):530-7.
14. Gussack GS, Jurkovich GJ, Luterman A. Laryngotracheal trauma: a protocol approach to a rare injury. Laryngoscope.
1986;96(6):660-5.
15. Francis S, Gaspard DJ, Rogers N, Stain SC. Diagnosis and management of laryngotracheal trauma. J Natl Med Assoc.
2002;94(1):21-4.
16. Valerio P, Ivan M, Francisco R, et al. Survival after traumatic complete laryngotracheal transection. Am J Emerg Med.
2008;26(7):837.e833-4.
17. Lee WT, Eliashar R, Eliachar I. Acute external laryngotracheal trauma: diagnosis and management. Ear Nose Throat J.
2006;85(3):179-84.
18. Madsen AS, Laing GL, Bruce JL, Oosthuizen GV, Clarke DL. An audit of penetrating neck injuries in a South African
trauma service. Injury. 2016;47(1):64-9.
19. Madnani DD, Steele NP, de Vries E. Factors that predict the need for intubation in patients with smoke inhalation injury.
Ear Nose Throat J. 2006;85(4):278-80.
20. Esnault P, Prunet B, Cotte J, et al. Tracheal intubation difficulties in the setting of face and neck burns: myth or reality? Am
J Emerg Med. 2014;32(10):1174-8.
21. Miller K, Chang A. Acute inhalation injury. Emerg Med Clin North Am. 2003;21(2):533-57.
22. Amani H, Lozano DD, Blome-Eberwein S. Brother, have you got a light? Assessing the need for intubation in patients
sustaining burn injury secondary to home oxygen therapy. J Burn Care Res. 2012;33(6):e280-5.
23. Cook TM, Woodall N, Harper J, Benger J. Major complications of airway management in the UK: results of the Fourth
National Audit Project of the Royal College of Anaesthetists and the Difficult Airway Society. Part 2: intensive care and
emergency departments. Br J Anaesth. 2011;106(5):632-42.
24. Kim JP, Cho SJ, Son HY, Park JJ, Woo SH. Analysis of clinical feature and management of laryngeal fracture: recent 22
case review. Yonsei Med J. 2012;53(5):992-8.
25. Schaefer SD. Primary management of laryngeal trauma. Ann Otol Rhinol Laryngol. 1982;91(4 Pt 1):399-402.
26. Verschueren DS, Bell RB, Bagheri SC, Dierks EJ, Potter BE. Management of laryngo-tracheal injuries associated with
craniomaxillofacial trauma. J Oral Maxillofac Surg. 2006;64(2):203-14.
27. Schaefer SD. The acute management of external laryngeal trauma. A 27-year experience. Arch Otolaryngol Head Neck
Surg. 1992;118(6):598-604.
28. Lynch JC, Crawley SM. Management of airway obstruction. BJA Education. 2018;18(2):46-51.
29. Weingart SD, Levitan RM. Preoxygenation and prevention of desaturation during emergency airway management. Ann
Emerg Med. 2012;59(3):165-75.e1.
30. Weingart SD, Trueger NS, Wong N, Scofi J, Singh N, Rudolph SS. Delayed sequence intubation: a prospective
observational study. Ann Emerg Med. 2015;65(4):349-55.
31. Puchner W, Obwegeser J, Puhringer FK. Use of remifentanil for awake fiberoptic intubation in a morbidly obese patient
with severe inflammation of the neck. Acta Anaesthesiol Scand. 2002;46(4):473-76.
32. Cook TM, Woodall N, Frerk C. Major complications of airway management in the UK: results of the Fourth National
Audit Project of the Royal College of Anaesthetists and the Difficult Airway Society. Part 1: anaesthesia. Br J Anaesth.
2011;106(5):617-31.
33. Booth AW, Vidhani K, Lee PK, Thomsett CM. SponTaneous Respiration using IntraVEnous anaesthesia and Hi-flow
nasal oxygen (STRIVE Hi) maintains oxygenation and airway patency during management of the obstructed airway: an
observational study. Br J Anaesth. 2017;118(3):444-51.
34. Keogh IJ, Rowley H, Russell J. Critical airway compromise caused by neck haematoma. Clin Otolaryngol Allied Sci.
2002;27(4):244-5.
24 Australasian Anaesthesia 2019 – Airway Unanticipated difficult airway events: A systematic analysis of the current evidence and mapping of the issues involved using a Bowtie diagram 25
35. Irwin E, Lonnee H. Management of near fatal blunt laryngeal trauma. Acta Anaesthesiol Scand. 2006;50(6):766-7.
36. Paik JH, Choi JS, Han SB, Jung HM, Kim JH. Complete cervical tracheal transection caused by blunt neck trauma: case
Unanticipated difficult airway events: A systematic analysis of
report. Ulus Travma Acil Cerrahi Derg. 2014;20(6):459-62. the current evidence and mapping of the issues involved using a
37. Chrimes N. The Vortex: a universal 'high-acuity implementation tool' for emergency airway management. Br J Anaesth.
2016;117 Suppl 1:i20-i27. Bowtie diagram
38. Chrimes N. The Vortex Approach CICO Status. [Internet] Available from: http://vortexapproach.org/cico#cicostatus.
Accessed August 2019. Yasmin Endlich Dr. med. Univ. (Austria), FANZCA
Royal Adelaide Hospital; Women’s and Children’s Hospital, Adelaide; Adelaide Anaesthetic Services.
Dr Endlich started her anaesthetic training in Vienna, before moving to Adelaide in 2009. She is the Chair of the
Airway Special Interest Group and the Deputy Chair of the Overseas Aid Committee. She has a keen interest in
airway incident reporting and has been involved in nation-wide airway audit projects.
Martin Culwick MB BS, FANZCA

Honorary Senior Specialist, The Royal Brisbane and Women’s Hospital, Queensland, Australia.
Dr Culwick is the Medical Director of the Australian and New Zealand Tripartite Anaesthetic Data Committee
and has interests in patient safety.
INTRODUCTION
Unexpected difficult airways are challenging to study. In the first place they are relatively rare1 and because
of the different causes, clinical set-ups, protocols in place, various levels of preparation by the anaesthetist
and different degrees of skill levels, they are extremely hard to analyse and also somewhat difficult to prevent.
Although this article will include methods to predict and prevent a difficult airway event, one of the main focus
points will be adequate planning in all cases, not just the expected difficult airways.
The principles of data quality were defined by Wang and Strong and it was defined that “high-quality data
should be intrinsically good, contextually appropriate for the task, clearly represented, and accessible to the
data consumer”2. With regard to the intrinsic quality of the data, the highest level of evidence in medicine is
believed to be well-conducted and large randomised controlled trials (RCTs) or a meta-analysis of multiple
RCTs. However, serious difficult airway events are relatively rare, vary in severity and, during management,
seconds count. This makes standardisation and randomisation impossible. Even if this were possible, it would
not be ethical to randomise to a single strategy for management. The best level of evidence is therefore case
series, case reports and case based audits. The following studies will be used for this review.
The Australian Incident Monitoring Studies (AIMS)3-5, the National Audit Project 4 (NAP 4) which was
conducted in the UK1 and the Danish Anaesthesia Database6 have all provided valuable data regarding airway
management of patients undergoing anaesthesia. None of these studies were randomised double-blinded trials,
which traditionally are considered the gold standard in scientific evidence-based clinical studies.
While there is a large amount of airway data and recommendations available, there is some difficulty
summarising the data into a format that is easy to understand, that is consistent and available at the point of
care. Therefore, current data sources such as journal articles and long reports do not meet the data quality
requirements of easy accessibility to the data consumer and are not clearly represented in terms of the ability to
use the information while working. Memorising this information is the current way in which we work and, in some
tasks, this is assisted by checklists and crisis management resources.
At this stage, there is no formal classification system which combines hazards, preventive factors, management,
and outcomes of airway incidents. A formal classification may aid in a higher level of comprehension and would
also aid in the reporting of incidents and consequently in analysing the data acquired. A standardised approach
is also important because memory recall is limited, especially while in a crisis. It has been suggested that a
visual display of data improves memory and aids the recall of effective strategies put in place7.
The Bowtie diagram is a risk assessment tool used in high-risk industries. It allows for a visual display of the
connection between hazards, preventive measures, management and outcomes of incidents. This article will
analyse current evidence and strategies developed for the management of the difficult airway scenario, and
then combine them into a Bowtie diagram. This will provide a new and innovative visual learning tool for risk
assessment and management of patients with unexpected difficult airways. This review will aim to collate airway
management data and guidelines into a simple mapping format and will display this data in a Bowtie diagram.
HISTORY AND DEVELOPMENT OF THE BOWTIE METHOD

The Bowtie method is a risk evaluation tool, which is used to analyse causal relationships. It was developed for
industries heavily reliant on safety such as aviation, emergency services and engineering. The method takes its
name from the visual shape of the risk-assessment diagram.
The exact origin of the Bowtie method is unclear. Its first published reference was in a hazard analysis course Figure 1 shows a generic Bowtie diagram for medical incidents in general. All the possible causal factors, which
presented by Imperial Chemical Industries, a firm connected to the University of Queensland, in 19797,8. are called “hazards” in Bowtie nomenclature are shown on the left-hand side and grouped into one of the five
categories shown with a green background. Various methods for prevention will be listed in the yellow section
Since then, the Bowtie method gained popularity throughout various industries, as it has proven to be a suitable
and if possible, barriers devised specific to each hazard. However, in medicine it is often not possible to place a
tool for providing an overview of risk management practices in any kind of scenario.
single barrier for each hazard and so the methods for prevention are often listed generically. One method might
Bowtie diagrams represent the “fusion” of a “fault” tree and an “event” tree9,10 linking the cause and effect of be, for instance, a checklist in many cases. The “top event” is shown in the middle of the diagram and if this
decision-making9. The fault tree highlights and offers potential to exhaustively analyse all interactions between point is reached then methods for management are considered which are shown to the right-hand side in blue.
forces within a complex decision. A simplified version of this method represents the left side of a Bowtie diagram. Finally, to the far right several final outcomes are shown with a dark grey background and may vary in the level
and the duration of the harm.
Event trees were further developed during nuclear reactor hazard studies in the 1970s11, which further
integrated the probability and frequency of potential adverse outcomes. A modified version of the event tree
method describes the right side of the Bowtie diagram, where the functionality of controls is assessed. AIRWAY FIRE AS AN EXAMPLE FOR SIMPLE BOWTIE MAPPING
These two methods have each been evaluated as separate tools in the assessment of patient safety12. Factors involved with airway fires
The combination of the fault tree method and event tree method created the Bowtie diagram13. Fires in the operating theatre are not common but still occur despite apparently adequate precautions to
prevent these. A search of the literature revealed that the first report of a fire associated with anaesthesia was
The Bowtie diagram was applied when considering medication safety in 200914 and was found to be an during a facial operation in 185018,19. In the latter case, the problem was more to do with the high flammability of
applicable and comprehensive method in determining the type and frequency of adverse effects. Additionally, ether rather than oxygen. This raises the important question about how fires start, how they are propagated and
it was reported that this technique of risk analysis simplified visualisation and understanding of interdisciplinary how they are managed.
goals, challenges and managements of risks in each medical subspecialty.
In the 19th century the major risk factor was fuel, which was frequently in the form of flammable agents used
Consequently, intensive care unit studies used Bowtie diagrams for prospective risk analysis on patient in anaesthesia. This was largely eliminated in the latter half of the 20th century with the development of non-
transportations and unplanned extubation scenarios. The analysis undertaken was reported as easy to flammable anaesthetic agents. Recently the major risk factor in anaesthesia has been high levels of oxygen,
perform as it provided clear visual insight and resulted in several recommendations and positive changes close to a source of ignition such as a diathermy tip19,20. Alcohol containing solutions are also an ongoing risk
to clinical practice7,15-17. factor especially with surgical preparation solutions19.
Mapping the factors into a Bowtie diagram
THE USE OF THE BOWTIE TO PRESENT THE DATA
For a fire to occur there are three basic requirements, which in simple terms are a source of fuel, a source of
A formal classification of the evidence will help to ensure that no items are omitted, and that the information is ignition (heating the fuel to flashpoint) and oxygen (or an oxidant)18 (see Figure 2). In addition, there may be
presented in a structured fashion. However, traditional methods of classification may not be compatible with patient factors, task factors, human factors or other factors that might have contributed to the occurrence of the
human memory recall especially in stressful circumstances. It is also believed that images may be recalled fire. Preventative measures include separation of the three components required for a fire to occur. In order to
better than text or at least might assist memory. It is well known that humans may be unable to recall a fact but extinguish the fire, one or more of the above components must be removed.
the assistance of a trigger, such as a word or an image, will allow the recall of a whole raft of information7.
Classifying the factors involved with airway fire during anaesthesia:
Therefore, after formally classifying the information relating to unplanned airway events, mapping these factors
into a diagram will assist with recall. A diagram that is ideally suited to this is the Bowtie diagram which has also Risk factors (hazards)
been proposed as a mapping tool for anaesthetic incident analysis7. It has the advantage of containing word • Fuel
triggers as well as being a structured image. • Oxygen or an oxidising agent
• Source of ignition
Figure 1. A generic Bowtie diagram.
Prevention
• Separation of fuel, oxygen and ignition sources
Management
• Put out the fire
• Cool any affected tissues
• Treat any burnt areas
• Long term follow-up
Outcomes
• No harm
• Minor effects
• Temporary harm
• Permanent harm
• Death
Figure 2. A simple Bowtie as an example for “airway fire”. Figure 3. Bowtie aspiration.
Risk factors aspiration (hazards)

The predisposing risk factors for aspiration are many and can be classified in patient factors, task factors, and
MAPPING COMPLEX AIRWAY EVENTS caregiver factors. Aspiration might occur, not only at induction of anaesthesia, but also during maintenance
(NAP4) and during emergence, with up to 20% of aspiration occurring after extubation3,27. More than 100 ml
The airway fires example is a simple one to path via a Bowtie diagram. It is possible to use this diagram in a residual gastric volume in the stomach is recognised to increase the risk for pulmonary aspiration. Individual risk
conceptual way to map complex airway events. factors for this to occur vary, but include inadequate fasting times, upper and lower gastrointestinal pathologies,
systemic diseases, recent trauma and opioid use. Caution and preventative measures are required in pregnant,
Oxygenation and ventilation after induction of anaesthesia are most commonly applied via facemask ventilation,
very sick and obese patients. Certain surgical techniques and emergency procedures have a higher incidence
laryngeal mask insertion and ventilation and, or endotracheal intubation. Each of these techniques also serves
of regurgitation and aspiration. Inadequate anaesthetic assessment and inexperience are factors that in turn
as a rescue technique, should one or the other method fail.
may lead to inadequate planning or choice of a suitable airway device.
The incidence of difficult facemask ventilation has been described as 0.5-1.5%21 and the incidence of
Figure 3 shows patient factors3,27, task factors and caregiver factors.
impossible facemask ventilation as 0.15%22. Failed laryngeal mask insertion has been reported as above 1%23
and the failed intubation occurs in around 1 in 1000 cases1,24. The feared “can’t intubate, can’t oxygenate” Prevention and risk reduction strategies
(CICO) scenario occurs in approximately 1:20,000 anaesthetic procedures1. A variety of guidelines has been developed and multiple strategies have been recommended to reduce the
More than 50% of anaesthesia-related deaths were found as a consequence of aspiration in NAP41 and 23% risk of aspiration28. Adequate preoperative fasting times, nasogastric aspiration and the use of prokinetic
of all cases reported to NAP 4 involved aspiration as either the primary or the secondary event. Patients who medications are techniques used to reduce gastric volume. Preoperative administration of antacids, H2
were not affected by mortality suffered significant morbidity and prolonged ICU stays with aspiration quoted as histamine antagonists or proton pump inhibitors will reduce gastric acidity and therefor might cause less
the commonest cause of brain damage (53% NAP 4)1. damage to the respiratory system in case of aspiration. Anaesthetic risk factors may be reduced with
appropriate intubation and extubation strategies. Neuromuscular monitoring confirming full reversal of the
neuromuscular blocking agent in combination with an awake extubation in the lateral position has been
BOWTIE DIAGRAM FOR ASPIRATION recommended as a safe extubation technique for patients at risk28.
Pulmonary aspiration has been quoted to affect 1:900 to 1:10,000 anaesthetics, depending on patient Prevention and risk reduction strategies are also outlined in Figure 3.
population and risk factors25. Prevention of aspiration remains a cornerstone of anaesthetic practice. NAP4
provided evidence that aspiration often occurred as a consequence of incomplete patient assessment and Management
failure to modify the anaesthetic technique1. The incidence of aspiration under anaesthesia has been shown to If aspiration occurs, then immediate management is directed to reduce further soiling of the lungs and to
be significantly higher in patients with higher ASA requiring emergency surgery25. maintain oxygenation. Subsequent management is directed to supportive treatment and organ support and
depends on the severity of the aspiration.
Immediate and subsequent management strategies are also outlined in Figure 3.
Outcome The AHRQ scale is a standardised scale describing the type and severity of the incidence, including the
Aspiration has been described as the single largest cause of death during anaesthesia and was accountable for duration of harm. Specific outcomes are varying depending on the type of incidence.
26% of all airway events and 50% of all airway deaths in NAP 41. The cause of death was hypoxia in all cases, Both scales can be included in the Bowtie diagram (Figures 1-4).
which often occurred days later in ICU. Half of the surviving patients enjoyed a quick recovery whereas the
other half required prolonged ICU stays, prolonged intubation and ventilation and suffered from ARDS. Figure 4. Bowtie failed intubation.
BOWTIE DIAGRAM FOR FAILED INTUBATION

The incidence of failed intubation has been described as 1 in 1000-2000 cases in the elective general
population. In the emergency settings the incidence is higher and has been quoted as 1:25024,29,30. Failed or
difficult intubation was the primary event in one third of all NAP4 reports1 and accounted for more than half of
tracheal intubation related cases. The majority of these cases happened in the operating theatre, with some
progressing to a “can’t intubate, can’t oxygenate” scenario.
Figure 4 outlines risk factors (hazards) for failed intubation.
Analyses of the Danish database6, NAP41 and the first 4000 incidents reported to AIMS5-6 have produced
important information in regard to risk factors for difficult or failed intubation1. ENT, head and neck abnormalities
and procedures have been identified as a cohort with a high-risk of failed intubation1. A patient who suffered from
a failed intubation in the past has been reported as having a 22-fold increase in the likelihood of failing again6.
It has been observed that 70% of anaesthetists planned and continued with a routine induction, even when
a difficult intubation was anticipated31. More than 60% of these cases progressed to a “can’t intubate, can’t
oxygenate” situation and outcome was commonly poor.
Procedures performed in remote or unfamiliar areas, where equipment and assistance availability are limited, are
at high risk of complications1.
Patient factors1,6,24, task factors1,6,24,31,32, caregiver factors1,4,5 and system factors1,6,24,31 are also outlined in Figure 4.
Prevention and risk reduction strategies
Major national airway societies have developed guidelines for the management of the difficult airway based on
scientific evidence, audits and expert opinions33-36. Emphasis is on prevention of airway incidents, preparation
for the unexpected difficult airway, team preparation and equipment availability before induction of any patient37.
Pre-oxygenation is considered a routine manoeuvre before any induction33-37. Regular staff trainings and
familiarisation with basic and advanced airway equipment are highly recommended33-36.
Multiple screening tests for predicting difficult intubation exist and application of these has become routine Final Outcome NAP 41
practice of an anaesthetic assessment1. When performed in isolation, the predictive value of these tests One hundred and thirty-three airway events were reported during anaesthesia in the course of NAP 4. The final
has been considered poor38 but predictability is thought to increase by combining multiple tests and outcome was death in 16 of these cases, of which 9 were caused by aspiration. Three patients suffered from
investigations6,38-45 including innovative techniques like nasendoscopy, virtual endoscopy and ultrasound permanent hypoxic brain damage, 6 patients made a partial recovery and 106 patients made a full recovery.
assessment46-48. Two patients passed away due to other causes. One hundred and three patients suffered moderate harm and 5
patients severe harm.
Appropriate equipment, skilled help and exit plans need to be immediately available before any anaesthetic
intervention33-36. The aim is to develop a strategy of airway management techniques with the goal to maintain WebAIRS airway data
oxygenation and subsequently restore ventilation in the anaesthetised patient. At the time of writing this article, there were 7205 incidents from 194 sites reported to the web-based
Prevention and risk reduction strategies for failed intubation are outlined in Figure 4. anaesthetic incidence reporting system (webAIRS) in Australia and New Zealand. The majority of these events
are related to airway and respiratory issues, accounting for more than thirty per cent of all incidents58.
Management of failed intubation
Practitioner’s performance is influenced by environmental, technical, system and human factors49,50. Cognitive CONCLUSION
performance deteriorates with stress and fixation error has been demonstrated as a common issue in the
management of failed intubation causing significant harm to the patient1,24,33,51,52. An abundance of data relating to difficult airway management is available. Unfortunately, the data is often not
displayed in a format that is easy to follow, practical to use or immediately accessible at the point of care. Most
Complex and rigid algorithms may not be cognitively accessible during times of stress. Cognitive aids are anaesthetists are familiar with current guidelines and recommendations, but it might be difficult to recall the
increasingly being used in crisis situations53-56. They do not compete with existing airway algorithms but are information in an acute crisis.
designed to complement and facilitate their implementation in real time53-56.
In its current form, the information is sequential and not necessarily in a logical sequence. In order to easily
The primary goal in a failed intubation situation is to restore and maintain oxygenation without causing further recall all the information that might be required to assess, prevent and manage an event, it is necessary to
harm to the patient. group the information into risk factors, principles for prevention, management (should prevention fail), and
Figure 4 outlines management strategies in case of a failed intubation. then the possible outcomes that might result. A Bowtie diagram has the potential to group and summarise the
important aspects of airway management and act as a memory jogger. It is also a living document that can be
Outcome revised as necessary, rather than being set in stone (or paper). It is suitable for display in a web page and could
Outcomes can be divided into generalised outcomes as per Agency for Healthcare Research and Quality be constructed in such a way as to provide links for more detail if required for each section.
(AHRQ)57 scale and specific outcomes.
ACKNOWLEDGEMENT 31. Peterson GN, Domino KB, Caplan RA, Posner KL, Lee LA, Cheney FW. Management of the difficult airway: a closed
claims analysis. Anesthesiology. 2005;103:33-9.  
Dr Keith B Greenland, Faculty Professor, Difficult Airway Society UK, for reading the manuscript and for his 32. Lundstrøm LH, Møller AM, Rosenstock C, Astrup G, Gätke MR, Wetterslev J, et al. Avoidance of neuromuscular blocking
expert opinion. agents may increase the risk of difficult tracheal intubation: a cohort study of 103 812 consecutive adult patients recorded
in the Danish Anaesthesia Database. Br J Anaesth. 2009; 103: 283-90.  
33. Apfelbaum JL, Hagberg CA, Caplan RA, et al. Practice guidelines for management of the difficult airway: an updated
REFERENCES report by the American Society of Anesthesiologists Task Force on Management of the Difficult Airway. Anesthesiology.
1. Cook TM, Woodall N, Frerk C. Major complications of airway management in the UK: results of the 4th National Audit 2013;118:291-307. 
Project of the Royal College of Anaesthetists and the Difficult Airway Society. Part 1 Anaesthesia. Br J Anaesth. 34. Frerk C, Mitchell VS, McNarry AF, et al. 2015 guidelines for management of unanticipated difficult intubation in adults. Br J
2011;106:617-31. Anaesth. 2015;115:827-48. 
2. Wang R, Strong D. (1996) Beyond accuracy: What data quality means to data consumers. J Management Information 35. Law JA, Broemling N, Cooper RM, et al. The difficult airway with recommendations for management—part 1—difficult
Systems. 1996;12:4,5-33. tracheal intubation encountered in an unconscious/induced patient. Can J Anesth. 2013;60:1089-118.
3. Kluger MT, Visvanathan T, Myburgh JA, Westhorpe RN. Crisis management during anaesthesia: regurgitation, vomiting, 36. Law JA, Broemling N, Cooper RM, et al. The difficult airway with recommendations for management—part 2—the
and aspiration. Qual Saf Health Care. 2005;14(3):e4. anticipated difficult airway. Can J Anesth. 2013;60:1119-38.
4. Paix AD, Williamson JA, Runciman WB. Crisis management during anaesthesia: difficult intubation. Qual Saf Health Care. 37. Marshall SD, Pandit JJ. Radical evolution: the 2015 guidelines for managing unanticipated difficult or failed tracheal
2005;14(3):e5. intubation. Anaesthesia. 2016;71:131-7.
5. Szekely SM, Runciman WB, Webb RK, Ludbrook GL. Crisis management during anaesthesia: desaturation. Qual Saf 38. Shiga T et al. Predicting difficult intubation in apparently normal patients: a metanalysis of bedside screening test
Health Care. 2005;14(3):e6. performance. Anesthesiology. 2005:429-37.
6. Lundstrøm LH, Møller AM, Rosenstock C, Astrup G, Gätke MR, Wetterslev J. A documented previous difficult tracheal 39. Lundstrøm LH, Møller AM, Rosenstock C, Astrup G, Wetterslev J. High body mass index is a weak predictor for difficult
intubation as a prognostic test for a subsequent difficult tracheal intubation in adults. Anaesthesia. 2009;64:1081-8. and failed tracheal intubation: a cohort study of 91,332 consecutive patients scheduled for direct laryngoscopy registered
7. Culwick MD, Merry AF, Clarke DM, Taraporewalla K, Gibbs NM. Bow-tie diagrams for risk management in anaesthesia. in the Danish Anesthesia Database. Anesthesiology. 2009;107:266-74.
Anaesthesia and Intensive Care. 2016;44(6):712-8. 40. Lundstrøm LH, Vester-Andersen M, Møller AM, Charuluxananan S, L’hermite J, Wetterslev J. Poor prognostic value of the
8. Imperial Chemical Industries Hazard Analysis Course, University of Queensland, 2009. modified Mallampati score: a meta-analysis involving 177 088 patients. Br J Anaesth. 2011;107:659-67.
9. Crawley F, Tyler B. Hazard identification methods. Rugby (UK): IChemE; 2003. 41. Lee A, Fan LTY, Gin T, Karmakar MK, Ngan Kee WD. A systematic review (meta-analysis) of the accuracy of the
Mallampati tests to predict the difficult airway. Anesth Analg. 2006;102:1867-78.
10. Mannan S. Lees’ loss prevention in the process industries. Volume 1: Hazard identification, assessment, and control. 4th
ed. Oxford (UK): Butterworth-Heinemann; 2012. 42. Yentis SM. Predicting difficult intubation – worthwhile exercise or pointless ritual? Anaesthesia. 2002;57(2):105-9.
11. Ericsson CA. Hazard analysis techniques for system safety. Brisbane: Wiley; 2005. 43. Khan ZH, Kashfi A, Ebrahimkhani E. A comparison of the upper lip bite test (a simple new technique) with modified
Mallampati classification in predicting difficulty in endotracheal intubation: a prospective blinded study. Anesth Analg.
12. Sollid SJ, Eidesen K, Aven T, Søreide E. Assessing the risk of percutaneous dilatational tracheostomy in ICUs using a
2003;96(2):595-9.
broad event-consequence-uncertainty perspective. Int J Risk Saf Med. 2010;22:115-29.
44. Khan ZH, et al. The diagnostic value of the upper lip bite test combined with sternomental distance, thyromental
13. Markowski AS, Kotynia A. “Bow-tie” model in layer of protection analysis. Process Saf Environ Prot. 2011;89:205-13.
distance, and interincisor distance for prediction of easy laryngoscopy and intubation: a prospective study. Anesth Analg.
14. Wierenga PC, Lie-A-Huen L, de Rooij SE, Klazinga NS, Guchelaar H-J, Smorenburg SM. Application of the bow-tie 2009;109(3):822-4.
model in medication safety risk analysis: consecutive experience in two hospitals in the Netherlands. Drug Safety. 2009;
45. Greenland KB. Airway assessment based on a three-column model of direct laryngoscopy. Anaesthesia and Intensive
32:663-73.
Care. 2010; 38:14-9.
15. Slobbe-Bijlsma ER van, Dongelmans DA, van der Sluijs AF. Use of the bow-tie method for a prospective risk analysis of
46. Osman and Sum. Role of upper airway ultrasound in airway management. Journal of Intensive Care. 2016;4:52.
in hospital transportation of intensive care patients. European Society of Intensive Care Medicine [Internet]. 2010;1251.
Available from: http://posterconsultation.esicm.org/ModuleConsultationPoster/posterDetail. aspx?intIdPoster=1450. 47. Rosenblatt W, et al. Preoperative Endoscopic Airway Examination (PEAE) provides superior airway information and may
Accessed Febuary 2016. reduce the use of unnecessary awake intubation. Anaesth Analg. 2011 Mar;112(3):602-7.
16. Kerckhoffs MC, Suijs AF van der, Dongelmans DA. Improving patient safety in the ICU using the bow-tie prospective 48. K El-Boghdadly et al. The effect of virtual endoscopy on diagnostic accuracy and airway management strategies in
risk analysis model. European Society of Intensive Care Medicine [Internet]. 2011;0871. Available from: http:// patients with head and neck pathology: a prospective cohort study. J Can Anesth. 2017;64:1101-10.
posterconsultation.esicm.org/ModuleConsultationPoster/posterDetail.aspx?intIdPoster=2680. Accessed February 2016. 49. Reason J. Human error: models and management. BMJ. 2000;320:768-70.
17. Culwick M. Web based anaesthetic incident reporting system (webAIRS): new methods to analyse and manage 50. Helmreich RL. On error management: lessons from aviation. BMJ. 2000;320:781-5.
critical incidents. [Internet]. Available from: http://www.anzca.edu.au/events/ANZCA%20annual%20scientific%20 51. Mort TC. Emergency tracheal intubation: complications associated with repeated laryngoscopic attempts. Anesth Analg.
meetings/2012-anzca-annual-scientific-meeting/asm%20abstract%20files/1_abstract_c24_professor-martin-culwick.pdf. 2004;99:607-13.
Accessed January 2016. 52. Connelly NR, Ghandour K, Robbins L, Dunn S, Gibson C. Management of unexpected difficult airway at a teaching
18. Caution in the use of ether and chloroform. Boston Medical Intelligencer. 1850;538. institution over a seven year period. J Clin Anesth. 2006;18:198-204.
19. MacDonald AG. A short history of fires and explosions caused by anaesthetic agents. Br J Anaesth. 1994;72:710-22. 53. Marshall S. The use of cognitive aids during emergencies in anesthesia: a review of the literature. Anesth Analg.
20. Lindford AJ, Tehrani H, Sassoon EM, and O’Neill TJ. Home oxygen therapy and cigarette smoking: A dangerous practice. 2013;117:1162-71.
Ann Burns Fire Disasters. 2006 Jun 30;19(2):99-100. 54. Marshall S, Mehra R. The effects of a displayed cognitive aid on non-technical skills in a simulated ‘can’t intubate, can’t
21. Kheterpal S, Han R, Tremper KK, et al. Incidence and predictors of difficult and impossible mask ventilation. oxygenate’ crisis. Anaesthesia. 2014;69:669-77.
Anesthesiology. 2006;105:885-91. 55. ANZCA PS61 BP Guidelines for the management of evolving airway obstruction: Transition to the can’t intubate can’t
22. Kheterpal S, Martin L, Shanks AM, Tremper KK. Prediction and outcomes of impossible mask ventilation: a review of oxygenate airway emergency background paper. [Internet]. Available from: http://www.anzca.edu.au/documents/report-
50,000 anesthetics. Anesthesiology. 2009;110:891-7. from-the-anzca-airway-management-working-gr.pdf (Accessed 2019 June 1).
23. Ramachandran SK, Mathis MR, Tremper KK, Shanks AM, Kheterpal S. Predictors and clinical outcomes from failed 56. Chrimes N: The Vortex: A universal “high-acuity implementation tool” for emergency airway management. Br J Anaesth.
Laryngeal Mask Airway UniqueTM: a study of 15,795 patients. Anesthesiology. 2012;116:1217-26. 2016;117:i20-7.
24. Cook TM, MacDougall-Davis SR. Complications and failure of airway management. Br J Anaesth. 2012;109(S1):i68-i85. 57. Agency for Healthcare Research and Quality (AHRQ) Common Formats. [Internet]. Available from: https://www.psoppc.
25. Warner MA, Warner ME, Weber JG. Clinical significance of pulmonary aspiration during the peri-operative period. org/psoppc_web/DLMS/downloadDocument?groupId=34&pageName=Search (Accessed 2019 July 29).
Anesthesiology. 1993;78:56-62. 58. Web Based Incident Reporting System (webAIRS) from the Australian and New Zealand Tripartite Anaesthetic Data
26. Kluger MT, Short TG. Aspiration during anaesthesia: a review of 133 cases from the Australian Anaesthetic Incident Committee (ANZTADC). [Internet]. Available from: https://www.anztadc.net/Publications/Dashboard.aspx (Accessed
Monitoring Study (AIMS). Anaesthesia. 1999;54:19-26. 2019 July 29).
27. Asai T. Who is at risk of pulmonary aspiration? Br J Anaesth. 2004;93:497-500.
28. Robinson M, Davidson A. Aspiration under anaesthesia: risk assessment and decision-making. Continuing Education in
Anaesthesia, Critical Care & Pain. 2014;14(4):171-5.
29. Hawthorne L, Wilson R, Lyons G, Dresner M. Failed intubation revisited: 17-yr experience in a teaching maternity unit. Br J
Anaesth. 1996 May;76(5):680-4.
30. Sakles JC, Laurin EG, Rantapaa AA, Panacek EA. Airway management in the emergency department: a one-year study of
610 tracheal intubations. Ann Emerg Med. 1998;31:325-32.
Australasian Anaesthesia 2019 – Airway Flexible bougies, introducers and bronchoscopes – Key adjuvants in the Age of Videolaryngoscopes 35
Flexible bougies, introducers and bronchoscopes – Key adjuvants

in the Age of Videolaryngoscopes
John Cormack MBBS, DA(UK), DIP RACOG, FANZCA
Specialist anaesthetist, Department of Anaesthesia and Acute Pain Medicine, St Vincent’s Hospital Melbourne,
Australia.
Dr John Cormack is a senior clinical lecturer at The University of Melbourne with an interest and publications
relating to management of the difficult airway. Decades of caring for head and neck cancer patients has
involved a journey from indirect laryngoscopy with a mirror and a spirit lamp, full circle to the modern version
which is gratefully embraced.
Wallace Grimmett MBBS, FANZCA

Specialist anaesthetist in private practice, Toowoomba.
Dr Wal Grimmett is a senior lecturer at the University of Queensland. An interest in airway management in
unusual scenarios has evolved from experience with rotary and fixed wing aeromedical evacuation, in civilian
and military service. He co-authored the airway section of the Military Anaesthetic Course for the ADF, while
serving with a US Naval Trauma Hospital in Afghanistan; receiving a letter of commendation from the USN for
airway management.
David Shan MBBS (Hons), BPharm

Registrar, Department of Anaesthesia and Acute Pain Medicine, St Vincent’s Hospital, Melbourne, Australia.
Dr David Shan is a junior anaesthesia registrar from The Alfred hospital in Melbourne, rotating through
St Vincent’s Hospital, with interests in medical education and airway management.
INTRODUCTION
Direct laryngoscopy (DirectLS), which is designed to align the airway for a relatively straight path to
endotracheal tube (ETT) placement, will allow many anaesthetists to blithely enjoy an almost perfect tracheal
intubation record even if a completely “direct” view of the larynx is not obtained. However, the patient who has
a difficult airway can present without warning, producing anxiety-provoking and potentially dangerous outcomes
due to the limitations of DirectLS.
Indirect laryngoscopy using a videolaryngoscope (VideoLS), a modified laryngoscope that is fitted with a video
camera to provide a view of the larynx, provides significant advantages over DirectLS. These have been well
described and include improved laryngeal visualisation for novices1 and for teaching, reduced number of failed
tracheal intubations especially in patients with difficult airways, reduced laryngeal /airway trauma and reduced
cervical spine movement2-4.
There are many VideoLS available. They can be divided into “channelled” or “non-channelled” devices; referring
to the ability to preload an endotracheal tube (ETT) within the device. They can also be divided broadly into the
Macintosh “style” non-hyperangulated blade devices, or hyperangulated (approximately 60°) blade devices.
Commonly used hyperangulated blade devices in Australasia include “GlideScope®”, “Karl Storz C-MAC®
(D-blade)” and “McGrathTM”. A more detailed review of types and preferences for use are found in previous
issues of Australasian Anaesthesia5,6.
Whereas successful tracheal intubation with experienced anaesthetists is often quicker with DirectLS7,
hyperangulated blade VideoLSs are recognised in teaching hospitals as ideal choices of VideoLS for supervised
anaesthesia training in tracheal intubation, allowing inexperienced operators to gain proficiency rapidly
compared to DirectLS8. The hyperangulated blade VideoLS is also recognised as the best VideoLS design
for achieving successful tracheal intubation when a patient with a truly difficult airway is encountered9,10.
Additionally, hyperangulated blade VideoLSs are being adopted as the tool of first choice for operators in the
ICU and the emergency department, where emergent airway scenarios lead to a high incidence of difficulty.
While the hyperangulated blade VideoLS is an excellent device for tracheal intubation, it still has not eliminated
all problems related to tracheal intubation.
This review will focus on descriptions of emerging techniques relating to the hyperangulated non-channelled
blade VideoLS. Specifically, it will address two important aspects related to the hyperangulated blade VideoLS.
36 Australasian Anaesthesia 2019 – Airway Flexible bougies, introducers and bronchoscopes – Key adjuvants in the Age of Videolaryngoscopes 37
1. The important clinical problem of the occurrence of anterior impingement of the ETT upon the tracheal stylet in a group of 80 patients and found the malleable stylet slightly superior in terms of speed and ease of
rings (tracheal impingement) in patients where the trachea forms an acute angle with the line of sight (the use24. Unfortunately, the study methodology, not being a cross-over design, did not eliminate a learning effect
so-called “anterior larynx”)11. This is a common, but not sole, cause of the “can see can’t intubate” problem that may have affected the result. The second clinical study compared the GlideRite® stylet with the Flex-It® and
when using a hyperangulated blade VideoLS. found the Flex-It® was superior in terms of time and ease of use, additionally consistently reducing symptoms
2. The evolving role of the hyperangulated blade VideoLS in patients with extremely difficult airways in which associated with minor trauma25. The third, a manikin study, looked at five different simulated situations ranging
an awake bronchoscopic tracheal intubation has traditionally been considered to be the gold standard for from normal to difficult. The main differences were found in the simulated pathological airway situations of
safety and efficacy. “swollen tongue” and “swollen pharynx”, where the Flex-It® stylet produced a higher rate of successful tracheal
intubation26.
In addressing these two issues, this review will outline key adult tracheal intubation studies which have been
published in large numbers since the hyperangulated blade VideoLS has attained widespread clinical use. The TruflexTM is a similar design metal articulating stylet with a preshaped curve and the ability to flex up to 60°.
It will not cover all of the extensive retrospective review, manikin study, correspondence opinion, and case A clinical study demonstrated a preference by experienced anaesthetists compared with the malleable Portex®
report literature in this area as each of these have significant limitations in terms of extrapolating lessons. stylet27.
Especially problematic among the large number of manikin or “bench” studies is a lack of transferability to Another flexible stylet that can be used with a hyperangulated blade VideoLS, the “Rapid Positioning Tracheal
the difficult or emergent tracheal intubation12, as well as editorial comment that has questioned the scientific intubation Stylet” RPiSTM (Airway Management Enterprises, LLC), has been developed but has only been tested
value of these studies and the commercial interests promoting them13. Unfortunately, it is extremely difficult to in a pilot study comparing it with the GlideRite® stylet. The advantage of this stylet is that it can flex and retroflex
design a prospective study comparing devices or techniques in actual clinical scenarios. This, combined with unlike the aforementioned models28. It is otherwise rigid apart from the tip and it is designed to protrude beyond
heterogeneity within and between studies, means that it has been difficult to make recommendations about the end of the ETT, allowing for a clearer field of vision as the stylet tip enters the glottis. The protruding tip
hyperangulated blade VideoLS, explaining a lack of didactic directives in difficult airway management protocols. however can be lost to vision as the tube approaches the glottis thus presenting the possibility of trauma.
Addressing this lack of direction, ANZCA has been proactive in this area with its policy document: PS56
Guidelines on Equipment to Manage a Difficult Airway During Anaesthesia14. The document dating back to PRACTICE POINT: Flexible stylets may become your first choice over a rigid or malleable stylet with
2012 includes hyperangulated blade VideoLS among a large number of possible devices for the management potentially an easier entry into the glottis, but can present the same potential problems of traumatic
of the difficult airway. While not dismissing the many other historically successful techniques available, the insertion and anterior tracheal wall impingement when using a hyperangulated blade VideoLS.
list of equipment can be bewildering for those without explicit expertise. It is likely that a future version of this Figure 1a. GlideRite® stylet. Figure 1b. Flex-It® directional stylet.
document will address a global trend to earlier recourse to the hyperangulated blade VideoLS and acknowledge Source: Verathon.com Source: Bomimed.com
a heuristic learning process within hospital anaesthetic departments confirming the enormous functionality of
these devices.
TRACHEAL IMPINGEMENT: THE PROBLEM AND SUGGESTIONS

The role of stylets
The stylet is a popular device to aid with the passage of the ETT, once the glottis has been viewed. Stylets may
be completely rigid, malleable or flexible and are inserted into the ETT to assist guiding the ETT towards the
glottis. A rigid stylet has a shape which cannot be altered by bending or shaping. A malleable stylet is able to be
pre-formed into a desired shape within an ETT. A flexible stylet has a mechanism enabling flexion of the shaft or
the tip of the stylet, controlling the angle at which the tip of the loaded ETT enters the trachea. The firm nature
of the stylet not only allows the ETT to be accurately directed, it can be used to displace or elevate supraglottic
structures. Unfortunately this may be partly responsible for tracheal intubation induced trauma including palatal
damage15,16 and subglottic injury16. All stylets are prone to the problem of the ETT impinging upon the anterior
tracheal wall after entering the trachea at an acute angle.
Figure 1c. TruFlexTM stylet. Figure 1d. TruFlexTM stylet inside an endotracheal tube.
The “GlideRite®” stylet (Verathon, Bothell, WA) (Figure 1a) is a rigid stylet preformed to mimic the curve of the Source: Truphatek.com Source: Truphatek.com
GlideScope® (Verathon, Bothell, WA). There have been studies comparing the GlideRite® with other malleable
stylets17,18. The stylets used in these studies have various tip to shaft angles; ranging from 60° to 90°19,20. “J”
and “Z” shaped stylets have also been described in communications21. Unfortunately, the particular angle of
stylet which demonstrates superiority over another may depend upon the setup of the manikin, the technique
of blade insertion, and the previous experience of the operator, a fact confirmed by a comparison review paper
elaborating upon the trials22. It may well be that each variation of stylet angle may suit a particular operator and
a homogeneous group of patients.
PRACTICE POINT: The GlideRite® stylet is a justifiably popular option when using the GlideScope®.
Other stylets are equally useful, with the exact curve dependent upon the hyperangulated blade
VideoLS chosen and past experience. Find a stylet variation which suits the patient position and the
hyperangulated blade VideoLS insertion style preferred by you.
A flexible stylet is an innovation which attempts to address the inherent variation of tube insertion angle required
to atraumatically enter the glottis, while still maintaining sufficient rigidity to direct the tube when using the
hyperangulated blade VideoLS. The Parker Flex-It® directional stylet (Figure 1b) (Parker Medical, Highlands
Ranch CO), the TruflexTM Articulating Stylet (Figure 1c) (Teleflex, Netanya Israel) and a surgical instrument:
“goldfinger”23 each provide the ability to flex the ETT to enter an anterior larynx but cannot retroflex if the tube
impinges on the tracheal wall (Figure 1d).
There have been several studies evaluating the Flex-It® stylet including two clinical studies. The first study
compared a preformed Rusch® malleable stylet (Teleflex Medical, Bannockburn IL) with the Flex-It® flexible
Bougies and flexible intubating introducers PRACTICE TIP: Consider the use of a flexible tip bougie (or bronchoscope) when there is limited
A bougie (or intubating introducer/catheter) is a thin, semi-rigid device that is placed in the trachea and oropharyngeal space (making the bulk of a styletted ETT problematic) or there are multiple angles to
used as a guide for the subsequent passage of the ETT, rail-roaded over it. Its smaller diameter and be negotiated, for example, pharyngeal or base of tongue tumours. A flexible tip bougie is helpful to
greater manoeuvrability compared with a styletted ETT make it especially useful in patients with a reduced eliminate the anterior tracheal wall impingement problem in the “can see can’t intubate scenario”.
oropharyngeal space. Unfortunately, unlike the plethora of studies looking at stylets, there are fewer comparative Figure 2a. D-Flect® bougie, seen here with Figure 2b. Flexible-tipped bougie.
studies for bougies. One manikin study with novice emergency trainees, comparing a malleable stylet curved the C-MAC® (D-blade), with a distal tip can Source: © Beth Croce, bioperspective.com
into a J-shape, with bougie curved to 60°, failed to find a significant difference in speed or ease of tracheal be flexed by an assistant pulling upon an
intubation in both easy and difficult airway scenarios29. Another manikin study with experienced anaesthetists internal wire mechanism.
using the hyperangulated VideoLS looking at six different tracheal intubation strategies with bougies and Courtesy of Dr Anton Booth
stylets, showed no practical difference in either standard or difficult tracheal intubation setups30. This study
demonstrates some common methodology problems: with six different tracheal intubation strategies, two
different manikin settings, multiple comparisons and an unblinded observer, a meaningful result was unlikely.
Another clinical study in routine cases showed a faster tracheal intubation time and less haemodynamic
changes with a standard bougie compared with a stylet angled to 60° using a CMAC® D-blade hyperangulated
blade VideoLS31.
With little direction from the literature, trying to make some practical sense of this is difficult. But we can be
guided by the same principles evolved from the stylet, particularly in the two clinical scenarios stated at the
start of this article: the patient with an acute angle created by the hyperangulated blade VideoLS which aligns
the ETT tip perpendicularly with the anterior tracheal wall, creating impingement or trauma, and the patient with
deforming pathology creating awkward angles challenging any tracheal intubation strategy.
A brief report in 2009 suggests the use of a flexible tipped bronchial blocker to act as a tube introducer,
overcoming these angulation and aforementioned space issues32. The authors had previously used a fibreoptic
bronchoscope in a similar fashion but suggested a simpler option should be developed. Since then several
articles have been published describing flexible tipped bougies including two devices conceived and developed
by Australian anaesthetists. The “D-Flect®” bougie (Specialist Airway Solutions, Brisbane, Queensland,
Australia) is similar to the widely used Frova® intubating introducer (Cook Medical, Bloomington, Indiana,
US) in dimensions, yet differs in that the distal tip can be flexed by an assistant pulling upon an internal
wire mechanism (Figure 2a). A study with experienced operators and a difficult airway manikin with a fixed
hyperangulated blade VideoLS view showed a significant improvement in time and insertion success with the
D-Flect® bougie compared with the Frova® intubating introducer33. The most recently developed “Flexible
tip bougie” (FTB) (Construct Medical, Melbourne, Victoria, Australia) has a fixed preformed curve with a soft
silicone tip which can be both flexed and extended via a slide mechanism incorporated into the shaft (Figure
Endotracheal tube types: Does correct ETT choice get the job done?
2b). This ability to extend may help overcome the tracheal impingement problem often leading to the “can see
but can’t intubate” scenario. There has also been a manikin study with the FTB demonstrating superiority in both Assuming correct placement of a bougie or a flexible bronchoscope, the final challenge in VideoLS tracheal
time to tracheal intubation and ease of tracheal intubation34. This study involved anaesthesia, intensive care and intubation is to avoid “tube hang-up” at the glottis. It is likely, but not proven, that this is more common with
emergency medicine fellows intubating a difficult airway manikin using a C-MAC® (D-Blade) and importantly the hyperangulated blade VideoLS than the direct laryngoscopy technique or the non-hyperangulated blade
included some observational data regarding ease of use. Important to note is that neither the “D-Flect®” nor the VideoLS. The Seldinger technique over a bronchoscope or introducer, has been associated with complications
FTB have an internal channel for supplementary oxygenation, unlike the Frova®, and the FTB cannot be bent and challenges, particularly anatomical obstructions and tissue trauma. At the supraglottic level the obstruction
into a more acute curve if desired. Nasal tracheal intubation using a “gum elastic bougie first” and GlideScope® is most commonly the arytenoid cartilages42, whereas at the subglottis level, the obstruction is usually the
technique has been described and found to be less traumatic, with less need to use Magill’s intubating forceps, anterior tracheal wall43.
than a “reinforced ETT first” nasal technique35. It should be noted that if the FTB is used with this technique, the Modifications to the ETT have been made over the years to overcome these obstructions. An example is the
slide mechanism may be partly or wholly within the nostril as the tip passes the glottis making further extension Parker Flex-Tip® (PFT) tracheal tube (Parker Medical, Eaglewood, Colorado, US) (Figure 3a). The PFT tube is
of the tip impossible. characterised by a flexible, hemispherical, posterior-facing bevel with a soft curved tip. This tip closely wraps
The flexible bronchoscope has a similar flexible tip utility with the additional benefits of vision beyond the vocal around introducers more than other tubes, decreasing the chance of anatomical obstruction. The PFT tube
cords and a channel for insufflation or suction. Descriptions of successful use of the flexible bronchoscope as a avoids the “step-up” that exists between the introducer device and ETT’s outer diameter, which can lead to
tube introducer in combination with hyperangulated blade VideoLS abound36-40 but invariably involve a second ETT impingement at the level of the laryngeal inlet or vocal cords. The PFT tube has been associated with
anaesthetist, which is undoubtedly the major drawback and definitely a deterrent to everyday use. Additionally, it decreased time to tracheal intubation, and has been favourably compared with standard ETTs in failed tracheal
is more costly to use and often harder to access and set up quickly if required. Most recently a well conducted intubation situations44. Similarly designed ETTs that wrap closely around an introducer are the LMA® FastrachTM
clinical trial compared GlideScope® tracheal intubation with a malleable stylet against GlideScope® tracheal ETT (Uxon, UK) (Figure 3b) and the BlockBuster® tube (Tuo Ren Medical Instrument Co Ltd, China) (Figure
intubation with a flexible bronchoscope acting as a flexible tipped tube introducer (without bronchoscopic 3c). Studies using the LMA Fastrach® ETT for bronchoscopic tracheal intubation found that the incidence of
vision)41. One hundred and sixty patients, predicted to have a difficult tracheal intubation by strict criteria, were resistance at the laryngeal inlet was reduced by about 40%45,46. The BlockBuster® ETT is a straight reinforced
randomised to either method, prior to induction of relaxant general anaesthetic. The findings were conclusive: tube with a long flexible tip, and a posterior facing bevel. A study comparing this to the standard ETT and the
improved first-attempt tracheal intubation success, decreased airway injury and decreased time to tracheal Mallinckrodt reinforced tube (Covidien, Ireland) demonstrated shorter tracheal intubation time and reduced
intubation when the bronchoscope was used like a flexible bougie. It is an impressive study despite the well- subglottic mucosal injury16.
recognised problem of a discrepancy between predicted and actual difficult tracheal intubation, and the failure Another variant is the Endotrol® tracheal tube (Medtronics, Minnesota, US) (Figure 3d). It is a single-lumen
to specify the exact curvature of the malleable stylet in that group. It is likely that the authors were unaware of ETT, and enables the operator to have directional tip control by pulling the ring loop. This feature allows it to
the FTB at the time of publication as they suggest encouraging the design of a flexible guide without optical negotiate the glottis without the use of an introducer device. In a study comparing the use of Endotrol® ETT with
fibres as a cheaper option with a similar utility. a standard ETT preloaded with a non-malleable stylet, the authors found that the Endotrol® tube was associated
with longer tracheal intubation times and a subjective increase in difficulty of use47.
PRACTICE TIP: When using a bougie or a bronchoscope with a hyperangulated blade VideoLS, consider Reverse camber loading of the ETT upon a stylet refers to inserting the stylet so that the curve is opposite
a tube where the tip lies in close contact to avoid hang-up. If extreme difficulty is predicted or that to the ETT curve. When the stylet is held at the glottis, the ETT will theoretically feed off the stylet, down
encountered make this tube selection a priority, either downsizing or choosing a “rounded end” variety. the trachea. A clinical study comparing several techniques, in 200 patients with a low risk of a difficult airway,
This is more important than any intrinsic flexion features of the tube itself. showed that reverse camber techniques, when using a hyperangulated blade VideoLS, did not improve time
to tracheal intubation19. A single case report suggested that a sharp rotation of the ETT preloaded with an
Figure 3a. Parker Flex-Tip® endotracheal tube. Figure 3b. LMA Fastrach®.
angulated stylet may align the ETT tip with the trachea when the passage is difficult due to an acute angle
Source: Parkermedical.com Source: lmaco.com
at the glottis50. This idea has not been followed up with any prospective studies, perhaps due to the evolution
of flexible devices and concerns over trauma to the larynx.
Several authors have suggested that obtaining the “best view” may not correlate with ease of tracheal
intubation. Most elegant of these explanations comes from Sorbello and Hodzovic who suggest that a shallower
insertion of the blade into the oropharynx; so that the tip of the hyperangulated blade VideoLS reaches the base
of tongue, instead of the vallecula, may lead to a better angle for ETT passage51. Other manoeuvres are aimed
to solve the reduced working space within the oropharynx, especially in those patients with reduced mouth
opening. One author suggests inserting the tube prior to the hyperangulated blade VideoLS52 and another
suggests inserting the hyperangulated blade VideoLS much further to the left side than usual, in cases where
access is limited53.
The use of these tricks may be employed when, despite optimum conditions, tracheal intubation fails. Second
and subsequent attempts at tracheal intubation should include modification of several factors which existed
during the first unsuccessful attempt.
PRACTICE TIP: Practice using the hyperangulated blade VideoLS regularly, even if not required.
The technique varies considerably from DirectLS and familiarity will make emergent use easier if
needed. Regular use of the hyperangulated blade VideoLS guarantees appropriate levels of
experience with “tricks”.
THE ROLE OF THE HYPERANGULATED BLADE VIDEOLS IN PATIENTS WITH

Figure 3c. BlockBuster® endotracheal tube. Figure 3d. Endotrol® endotracheal tub. EXTREMELY DIFFICULT AIRWAYS
Source: Touren.com Source: Medtronic.com
Airway challenges including extremes of anatomy, tumours, radiotherapy and oedema continue to feature
in morbidity and mortality data reports. The DirectLS and the awake bronchoscope remain excellent stand-
alone techniques for tracheal intubations in patients whose airways range from uncomplicated to challenging.
However, it is the area of difficult tracheal intubation where a hyperangulated blade VideoLS in combination
with innovative thinking will probably dominate. Multiple references show the benefits of utilising the flexibility of
a videobrochoscope to navigate the curves associated with a difficult tracheal intubation, while simultaneously
having the more proximal view provided by the hyperangulated blade VideoLS37,40,54. A case report featuring
the FTB being used with a hyperangulated blade VideoLS55, even highlights the technique of using the
hyperangulated blade VideoLS for awake airway assessment, prior to proceeding with relaxant general
anaesthesia. Further to this, with adequate topicalisation, experience is accumulating with these techniques in
awake patients, thus adding an even greater margin of safety. This evolving area of interest is well covered in a
previous edition of Australasian Anaesthesia56. Even with the “gold standard” awake bronchoscopic tracheal
intubation, the addition of the hyperangulated blade VideoLS offers several advantages compared with the
bronchoscope alone. It can temporarily restore space, improving ventilation and creating clearer vision with the
ensuing bronchoscope57. It can allow suctioning of blood and secretions under direct vision and allow direct
observation of the glottis as the bronchoscope passes the vocal cords to be followed by the railroaded ETT.
Some have attempted to compare the bronchoscope and the hyperangulated blade VideoLS head to head.
The authors consider it best to assess each clinical case on its merits and have them both available to be used
separately or together58,59.
PRACTICE TIP: An airway emergency is not the best time to try a new technique; explore the growing
utility of the hyperangulated blade VideoLS in combination with a bronchoscope or flexible bougie in
controlled circumstances. In a crisis enlist help early from a colleague. Two anaesthetist techniques are
proven to be advantageous and so too is having the video screen visible to all involved.
CONCLUSION
Physical manoeuvres: fine tuning the approach
Surprisingly, the head position may not be as critical when using the hyperangulated blade VideoLS compared The hyperangulated blade VideoLS allows an indirect approach to the larynx; we now can look around corners,
with DirectLS. A prospective trial by Mendonca et al found no difference between sniffing and neutral head allowing a clear view of the larynx in situations where this was impossible with DirectLS. This major advance has
positioning48. A previous multivariate regression analysis of prospective data from a large 1100 patient study not been matched, with some notable exceptions, by advances with our primary adjuncts; stylets, bougies
did find that a more neutral head position led to fewer difficult tracheal intubations. However, the study was not and introducers. Nor, perhaps more importantly, by alterations of our techniques. This review has highlighted
designed to test this outcome and the head position was not randomised49. techniques that can be used to overcome the clinical problem of tracheal impingement that can occur with the
hyperangulated blade videoLS, as well as the important emerging role that the hyperangulated blade videoLS
may play in the management of patients with extremely difficult airways.
It may be deduced from the evidence given that a hyperangulated blade VideoLS used with a flexible bougie, 25. Sheta SA, Abdelhalim AA, ElZoughari IA, AlZahrani TA, Al-Saeed AH. Parker Flex-It stylet is as effective as GlideRite Rigid
introducer or bronchoscope may provide the final common pathway to successful oral tracheal intubation in stylet for orotracheal intubation by GlideScope. Saudi Med J. 2015;36(12):1446-52.
nearly all patients. It is however still too early to mandate this in difficult airway algorithms. The hyperangulated 26. Reus E, Grundmann U, Liening K, Wrobel M. Parker Flex-It intubation stylet versus a 90-degree curved stylet during
intubation with the McGrath videolaryngoscope performed by novices: a manikin study with 5 airway scenarios. J Clin
blade VideoLS is an essential tool to improve tracheal intubation success in a variety of difficult situations.
Anesth. 2013;25(8):624-8.
To realise the advantages of this equipment, the anaesthetist must practice with it, with regular use being
27. Al-Qasmi A, Al-Alawi W, Malik AM, Khan RM, Kaul N. Assessment of Truflex articulating stylet versus conventional rigid
reasonable initially to gain familiarity. Only then will the full scope of this review’s recommendations for stylets, Portex stylet as an intubation guide with the D-blade of C-Mac videolaryngoscope during elective tracheal intubation:
bougies, introducers and adjuvant techniques become immediately apparent. study protocol for a randomized controlled trial. Trials. 2013;14:298.
28. Quek K, Jain A, Tong Q, Mah C. Abstract PR559: The Rapid Positioning Intubation Stylet Versus the Gliderite Stylet
Further reading
When Used with the GlideScope for Intubation in a simulated difficult airway – a pilot observational study. Anesth Analg.
Previous reviews of this subject have been found in the anaesthesia, emergency medicine and nursing 2016;123(3S_Suppl):278.
literature1,22,60 and some elements which have previously been touched upon will be reiterated. We also 29. Nielsen AA, Hope CB, Bair AE. GlideScope videolaryngoscopy in the simulated difficult airway: Bougie vs Standard
acknowledge previous VideoLS reviews in past editions of Australasian Anaesthesia which have made mention Stylet. West J Emerg Med. 2010;11(5):426-31.
of some of these reports5,6,56. 30. Batuwitage B, McDonald A, Nishikawa K, Lythgoe D, Mercer S, Charters P. Comparison between bougies and stylets for
simulated tracheal intubation with the C-MAC D-blade videolaryngoscope. Eur J Anaesthesiol. 2015;32(6):400-5.
Acknowledgements 31. Tosh P, Rajan S, Kumar L. Ease of Intubation with C-MAC Videolaryngoscope: Use of 60 degrees Angled Styletted
The authors would like to thank Associate Professor Alicia Dennis and Professor David A Scott for their helpful Endotracheal Tube versus Intubation over Bougie. Anesth Essays Res. 2018;12(1):194-8.
suggestions in refining this chapter. 32. Bezinover D, Desciak M, Vaida SJ, Pott L. Using a long semi-rigid catheter with a controllable tip to facilitate tracheal
intubation with a GlideScope. Can J Anaesth. 2009;56(10):775-6.
33. Booth AWG, Wyssusek KH, Lee PK, Pelecanos AM, Sturgess D, van Zundert AAJ. Evaluation of the D-Flect deflectable-
REFERENCES tip bougie in a manikin with a simulated difficult airway. Br J Anaesth. 2018;121(5):1180-2.
1. Agro FE, Doyle DJ, Vennari M. Use of GlideScope in adults: an overview. Minerva Anestesiol. 2015;81(3):342-51. 34. Brunckhorst TL, Grimmett W, Mun-San Kwan MM. Evaluation of a new bougie design for the difficult airway: a manikin
crossover trial. Anaesth Intensive Care. 2018;46(5):544-5.
2. Turkstra TP, Craen RA, Pelz DM, Gelb AW. Cervical spine motion: a fluoroscopic comparison during intubation with
lighted stylet, GlideScope, and Macintosh laryngoscope. Anesth Analg. 2005;101(3):910-5. 35. Pourfakhr P, Ahangari A, Etezadi F, Moharari RS, Ahmadi A, Saeedi N, et al. Comparison of nasal intubations by
GlideScope with and without a bougie guide in patients who underwent maxillofacial surgeries: Randomized Clinical Trial.
3. Kill C, Risse J, Wallot P, Seidl P, Steinfeldt T, Wulf H. Videolaryngoscopy with GlideScope reduces cervical spine
Anesth Analg. 2018;126(5):1641-5.
movement in patients with unsecured cervical spine. J Emerg Med. 2013;44(4):750-6.
36. Loh PS, Ng KWS. Combining GlideScope and fiber-optic for intubation in oral maxillofacial surgery. J Anaesthesiol Clin
4. Lewis SR, Butler AR, Parker J, Cook TM, Schofield-Robinson OJ, Smith AF. Videolaryngoscopy versus direct laryngoscopy
Pharmacol. 2017;33(2):254-5.
for adult patients requiring tracheal intubation: a Cochrane Systematic Review. Br J Anaesth. 2017;119(3):369-83.
37. Gu J, Xu K, Ning J, Yi B, Lu K. GlideScope-assisted fiberoptic bronchoscope intubation in a patient with severe
5. Bradley WP, Richardson I. Which videolaryngoscope do you choose. Australasian Anaesthesia. 2015:7-10.
rheumatoid arthritis. Acta Anaesthesiol Taiwan. 2014;52(2):85-7.
6. Westwood MS, English J. Videolaryngoscopes and the “Freemantle Score”. Australasian Anaesthesia 2013:13-21.
38. Jeyadoss J, Nanjappa N, Nemeth D. Awake intubation using Pentax AWS videolaryngoscope after failed fibreoptic
7. Lim TJ, Lim Y, Liu EH. Evaluation of ease of intubation with the GlideScope or Macintosh laryngoscope by anaesthetists in intubation in a morbidly obese patient with a massive thyroid tumour and tracheal compression. Anaesth Intensive Care.
simulated easy and difficult laryngoscopy. Anaesthesia. 2005;60(2):180-3. 2011;39(2):311-2.
8. Nouruzi-Sedeh P, Schumann M, Groeben H. Laryngoscopy via Macintosh blade versus GlideScope: success rate and 39. Matioc AA. Use of the Airtraq with a fibreoptic bronchoscope in a difficult intubation outside the operating room. Can J
time for endotracheal intubation in untrained medical personnel. Anesthesiology. 2009;110(1):32-7. Anaesth. 2008;55(8):561-2.
9. Kelly FE, Cook TM. Routine videolaryngoscopy is likely to improve skills needed to use a videolaryngoscope when 40. Xue FS, Li CW, Zhang GH, Li XY, Sun HT, Liu KP, et al. GlideScope-assisted awake fibreoptic intubation: initial
laryngoscopy is difficult. Br J Anaesth. 2017;119(4):842-3. experience in 13 patients. Anaesthesia. 2006;61(10):1014-5.
10. Russell TM, Hormis A, Rotherham NHSFT. Should the GlideScope video laryngoscope be used first line for all oral 41. Mazzinari G, Rovira L, Henao L, Ortega J, Casasempere A, Fernandez Y, et al. Effect of dynamic versus stylet-guided
intubations or only in those with a difficult airway? A review of current literature. J Perioper Pract. 2018;28(12):322-33. intubation on first-attempt success in difficult airways undergoing GlideScope laryngoscopy: A Randomized Controlled
11. Chou HC, Wu TL. Thyromental distance and anterior larynx: misconception and misnomer? Anesth Analg. Trial. Anesth Analg. 2019 Jun;128(6):1264-71.
2003;96(5):1526-7. 42. Marfin AG, Iqbal R, Mihm F, Popat MT, Scott SH, Pandit JJ. Determination of the site of tracheal tube impingement during
12. Ward PA, Irwin MG. Man vs. manikin revisited – the ethical boundaries of simulating difficult airways in patients. nasotracheal fibreoptic intubation. Anaesthesia. 2006;61(7):646-50.
Anaesthesia. 2016;71(12):1399-403. 43. Levitan RM, Heitz JW, Sweeney M, Cooper RM. The complexities of tracheal intubation with direct laryngoscopy and
13. McGrenaghan E, Smith AF. Airway management research: what problem are we trying to solve? Anaesthesia. 2018. alternative intubation devices. Ann Emerg Med. 2011;57(3):240-7.
14. ANZCA PS 56 Guidelines on equipment to manage a difficult airway during anaesthesia [Internet]. 2012. Available from: 44. Radesic BP, Winkelman C, Einsporn R, Kless J. Ease of intubation with the Parker Flex-Tip or a standard Mallinckrodt
http://www.anzca.edu.au/resources/professional-documents. endotracheal tube using a video laryngoscope (GlideScope). AANA J. 2012;80(5):363-72.
15. Cooper RM. Complications associated with the use of the GlideScope videolaryngoscope. Can J Anaesth. 45. Greer JR, Smith SP, Strang T. A comparison of tracheal tube tip designs on the passage of an endotracheal tube during
2007;54(1):54-7. oral fiberoptic intubation. Anesthesiology. 2001;94(5):729-31; discussion 5A.
16. Su K, Gao X, Xue FS, Ding GN, Zhang Y, Tian M. Difficult tracheal tube passage and subglottic airway injury during 46. Barker KF, Bolton P, Cole S, Coe PA. Ease of laryngeal passage during fibreoptic intubation: a comparison of three
intubation with the GlideScope videolaryngoscope: a randomised, controlled comparison of three tracheal tubes. endotracheal tubes. Acta anaesthesiologica Scandinavica. 2001;45(5):624-6.
Anaesthesia. 2017;72(4):504-11. 47. Cattano D, Artime C, Maddukuri V, Daily WH, Altamirano A, Normand KC, et al. Endotrol-tracheal tube assisted
17. Turkstra TP, Harle CC, Armstrong KP, Armstrong PM, Cherry RA, Hoogstra J, et al. The GlideScope-specific rigid stylet endotracheal intubation during video laryngoscopy. Internal and emergency medicine. 2012;7(1):59-63.
and standard malleable stylet are equally effective for GlideScope use. Can J Anaesth. 2007;54(11):891-6. 48. Mendonca C, Ungureanu N, Nowicka A, Kumar P. A randomised clinical trial comparing the ‘sniffing’ and neutral position
18. Sakles JC, Kalin L. The effect of stylet choice on the success rate of intubation using the GlideScope video laryngoscope using channelled (KingVision®) and non-channelled (C-MAC®) videolaryngoscopes. Anaesthesia. 2018;73(7):847-55.
in the emergency department. Acad Emerg Med. 2012;19(2):235-8. 49. Aziz MF, Bayman EO, Van Tienderen MM, Todd MM, STAGE Investigator Group, Brambrink AM. Predictors of
19. Jones PM, Turkstra TP, Armstrong KP, Armstrong PM, Cherry RA, Hoogstra J, et al. Effect of stylet angulation and difficult videolaryngoscopy with GlideScope or C-MAC® with D-blade: secondary analysis from a large comparative
endotracheal tube camber on time to intubation with the GlideScope. Can J Anaesth. 2007;54(1):21-7. videolaryngoscopy trial. Br J Anaesth. 2016;117(1):118-23.
20. Lee YC, Lee J, Son JD, Lee JY, Kim HC. Stylet angulation of 70 degrees reduces the time to intubation with the 50. Walls RM, Samuels-Kalow M, Perkins A. A new maneuver for endotracheal tube insertion during difficult GlideScope
GlideScope: A prospective randomised trial. J Int Med Res. 2018;46(4):1428-38. intubation. J Emerg Med. 2010;39(1):86-8.
21. Rotenberg FA, Chen RW, Aggarwal S. A “Z” shaped flexible stylet to facilitate GlideScope intubation. J Clin Anesth. 51. Sorbello M, Hodzovic I. Optimising GlideScope performance. Anaesthesia. 2017;72(8):1039-40.
2018;47:11. 52. Singh J, Singh M, Anand LK, Kapoor D. “Tube first or scope first”: a novel technique for endotracheal tube insertion during
22. Nemec D, Austin PN, Silvestro LS. Methods to Improve Success With the GlideScope Video Laryngoscope. AANA J. difficult GlideScope intubation with reduced mouth opening. J Clin Anesth. 2016;32:106-7.
2015;83(6):389-97. 53. Cho JE, Kil HK. A maneuver to facilitate endotracheal intubation using the GlideScope. Can J Anaesth. 2008;55(1):56-7.
23. Zeidan A, Al-Temyatt S. The use of Goldfinger to facilitate GlideScope tracheal intubation in a morbidly obese patient. 54. Gomez-Rios MA, Nieto Serradilla L. Combined use of an Airtraqoptical laryngoscope, Airtraq video camera, Airtraq
Anesth Analg. 2011;112(3):738-9. wireless monitor, and a fibreoptic bronchoscope after failed tracheal intubation. Can J Anaesth. 2011;58(4):411-2.
24. Turkstra TP, Jones PM, Ower KM, Gros ML. The Flex-It stylet is less effective than a malleable stylet for orotracheal 55. Bhanabhai LR, Cormack JR, Langley B. Use of a flexible-tipped “bougie” during videolaryngoscopic intubation in a patient
intubation using the GlideScope. Anesth Analg. 2009;109(6):1856-9. with a base of tongue tumor: A Case Report. A A Pract. 2019;13(3):91-2.
44 Australasian Anaesthesia 2019 – Airway
56. Moosajee V, Douglas S, Hodzovic I. Awake videolaryngoscopy. Australasian Anaesthesia. Melbourne: ANZCA; 2017:2-12.
57. Cormack JR, Ho ML. Combined use of C-MAC® videolaryngoscope and nasal videobronchoscope for critical airway
rescue and intubation. Anaesth Intensive Care. 2018;46(3):347-8.
58. Abdellatif AA, Ali MA. GlideScope videolaryngoscope versus flexible fiberoptic bronchoscope for awake intubation of
morbidly obese patient with predicted difficult intubation. Middle East J Anaesthesiol. 2014;22(4):385-92.
59. Rosenstock CV, Thogersen B, Afshari A, Christensen AL, Eriksen C, Gatke MR. Awake fiberoptic or awake video
laryngoscopic tracheal intubation in patients with anticipated difficult airway management: a randomized clinical trial.
Anesthesiology. 2012;116(6):1210-6.
60. Bacon ER, Phelan MP, Doyle DJ. Tips and troubleshooting for use of the GlideScope video laryngoscope for emergency
endotracheal intubation. Am J Emerg Med. 2015;33(9):1273-7.
Australasian Anaesthesia 2019 – Breathing/Ventilation
Breathing/
Ventilation
Hyperbaric medicine
Bridget Devaney
Australasian Anaesthesia 2019 – Breathing/Ventilation Hyperbaric medicine 49
Hyperbaric medicine
Bridget Devaney MBChB FACEM DipDHM
Hyperbaric Service, Department of Intensive Care and Hyperbaric Medicine, The Alfred, Melbourne, Victoria.
Adjunct Research Fellow, School of Public Health and Preventive Medicine, Department of
Epidemiology and Preventive Medicine, Monash University.
Dr Devaney is an Emergency Physician with a special interest and diploma in Diving and Hyperbaric Medicine.
INTRODUCTION
Hyperbaric medicine dates back to 1662, when British physician and clergyman Nathaniel Henshaw, theorising
that acute conditions would respond to elevated atmospheric pressures, and chronic conditions would
respond to reduced pressures, attempted to use alterations in atmospheric pressure to achieve therapeutic
outcomes1. Henshaw constructed a chamber (a sealed room in this case) which was manually compressed
and decompressed with a pair of large organ bellows2. It is unlikely that it reached pressures of any clinical
significance. At this time air had not been broken down into its constituents; compressed air was used without
the addition of oxygen.
It wasn’t until the industrial revolution, in the 1800s, that pressure-related diseases were first noticed. In 1839
a French mining engineer, M Tigres, designed an apparatus to use compressed air to push back underground
water from encroaching in coal mining operations, which allowed dry excavation3. This pneumatic caisson was
first put to the test in 1841, at Challones, and was deemed a success. A short note from Tigres at the time
reported that two workmen who had spent seven hours in compressed air then suffered joint pains (one in the
left arm, the other in the left shoulder and knees) approximately half an hour after exiting the apparatus4.
Caissons were subsequently used in bridge building, to build underwater piers and abutments to anchor
bridges, and workers on these were exposed to pressures as high as 3.7 atmospheres. In 1859 in the UK,
one of the early caissons was used to build a bridge at Saltash, and all 25 workers suffered DCS; two with
paraplegia, one with hemiplegia, and one coma.
In the USA, the Eads Bridge was completed in 1874 to span the Mississippi River, and was one of the next to
utilise a caisson, although this had not been the plan from the outset. Part way through construction, on a trip to
Europe, James Eads, a talented layman who had designed the bridge, witnessed caisson use and determined
it would be the best way to construct the mid river piers and east abutment. Caissons were then built and
were ready for use by October 1869. This was a significantly more ambitious undertaking than the European
bridges built with caissons prior to this time as the caissons were larger, the river beds deeper, and the rivers
more treacherous. Problems soon arose. The first men were sent to hospital in February 1870 after working at
23 metres. An early publication reported that the first effect of pressure on men was an “occasional muscular
paralysis” of the lower limbs, rarely accompanied by pain, which “usually passed in a day or two”5. On March
19 1870, however, a worker collapsed dead after a two-hour shift. Another man died the same day. Three days
later, 20 “bridge cases” were sent to the hospital; five of these died. A physician by the name of Jaminet was
employed in late March 1870, following 11 deaths, and was tasked with interrupting the epidemic. In total there
were 119 severe cases, and 14 deaths from decompression sickness (DCS) among workers on the Eads
Bridge6, which was finally complete in 1874.
The construction of the Brooklyn Bridge began in May 1870, and was completed in 1883. Lessons had been
learned from the tragedies of the Eads Bridge project. The use of caissons had been planned from the outset.
An onsite physician (Andrew Smith) was employed from the start. Jaminet and Smith (who coined the term
“Caisson Disease”) attempted to control rapid decompression, obtained standard decompression schedules,
negotiated for rest rooms and elevators to limit excessive post-exposure exertion. They reduced workers’
exposure by shortening shifts. They identified high-risk workers and excluded them from compressed air work.
On construction of the Brooklyn Bridge bedrock was reached at approximately 23 meters beneath the surface.
Two men died after working at 24 meters; one immediately after leaving the caisson, the other was found unwell
in the lock and died hours later. A third fatality occurred in a man who had worked at 25 metres who felt unwell
leaving the caisson and died when he reached the entrance of his boarding house. Work was discontinued that
day, and the decision was made to build it on a spit of sand rather than persisting with the dig into bedrock7.
The total number of cases of DCS among workers on the Brooklyn Bridge was 110, with only the three deaths.
50 Australasian Anaesthesia 2019 – Breathing/Ventilation Hyperbaric medicine 51
Later, incidents of decompression sickness began to emerge from the diving world, and finally, the aviation world8. A monoplace unit is a small chamber, designed for a single patient only. The technician remains outside of
the chamber. The entire pressurised chamber is flushed with oxygen, and with air for air-breaks. Alternatively,
In an article in 1879, French Surgeon Fontaine was the first to describe adjunctive uses of hyperbaric oxygen
a mask set up can also be used to deliver air or oxygen to the patient in the monoplace, in which case the
therapy. He built a mobile, operating room which could be pressured, where he demonstrated that pressurised
chamber itself is only pressurised with air. An example of a treatment table used at our institution is shown
patients were not as cyanotic after the use of nitrous oxide for induction of anaesthesia as compared to those
below.
anaesthetised at atmospheric pressure9.
In 1908, the issue of “safe decompression” was solved by Haldane and published in the Journal of Hygiene. Table 1. A typical treatment profile used at The Alfred, Melbourne.
He also suggested at that time that hyperbaric oxygen treatment (HBOT) might be useful in the treatment of
AH14
“the bends”10. AH14: 14:00
AH14-ICU: 4:40 40 min 5 40 min 14 min
In the post-WW1 period, the main area of hyperbaric medicine interest was in diving and diving related areas.
However, a number of somewhat questionable practitioners spruced its uses for a range of maladies. Attendant off O2
Pressurisation Rate 1 min before end Deco
In 1928 Professor of Anaesthesia, Dr Orville Cunningham, erected the “Steel Ball Hospital”, a compressed air, AH14: 10kPa/min
AH14-ICU: 30kPa/min
five-storey, 20-metre diameter hyperbaric chamber which could reach three atmospheres. He treated patients Deco Rate
with a wide variety of illnesses. His theory was that a cryptic anaerobic organism caused multiple human 10 kPa/min
diseases. He was censored by the American Medical Association in 1930 for lack of scientific evidence of 140kPa Deco
benefit, and his hospital was subsequently deconstructed for scrap metal during World War II11. In Amsterdam O2 Treatment time: 1hr 39min Air Attendant on O2
1 min before Deco
in the 1950s, Dutch surgeon and engineer Ite Boerema was looking for a way to prolong time of circulatory Oxygen
arrest for cardiac surgery. He used porcine studies to determine that life could be sustained with a haemoglobin
of 0.4% of normal, in animals breathing oxygen, pressurised to three atmospheres; levels that were not
compatible with life in normobaric conditions. In essence he determined that oxygen supply is possible without Figure 1. Photograph of a rectangular multiplace hyperbaric chamber (background) and control
blood cells. Subsequently there was a rapid increase in clinical and experimental studies, and many chambers panel (foreground). Supplied by Fink Engineering.
were built around the world, in which cardiac surgery was performed.
In 1962 the Harvard School of Public Health donated a hyperbaric chamber to Boston Children’s Hospital,
where a new approach of paediatric heart surgery was established. More than 120 infants with congenital heart
defects (who were too small to be put on an oxygenator for surgery) were operated on in the chamber. Cardiac
surgery was performed in the chamber until 1974, when innovations such as heart-lung bypass made it safe to
operate on infants in normal operating rooms.
HBOT has been used for many years, for a range of purposes, including many purposes for which the scientific
foundations were weak. In 1967 The Undersea and Hyperbaric Medicine Society (UHMS) was founded to
promote sharing of data and research between dive medicine communities, and later came to include the
clinical practice of Hyperbaric Medicine. The European Underwater and Baromedical Society (EUBS) was
founded in 1971, as was the South Pacific Underwater Medicine Society (SPUMS) in Australia, to facilitate
the study of and provide information on all aspects of underwater and hyperbaric medicine. In 1976 the UHMS
developed a committee to oversee the development of an evidence-guided list of indications for the use of
HBOT, and is also one of the primary sources of scientific information for diving and hyperbaric medicine
physiology worldwide.
Medicare funding for HBOT became available in 1984 in Australia, and has been guided by The Medical
Service Advisory Committee (MSAC) since 1998. Medicare has a list of indications for HBOT, approved for
funding, which are supported by evidence of their safety, clinical effectiveness and cost-effectiveness.
Accredited training in hyperbaric medicine is offered in many of the hyperbaric units around Australia. SPUMS
offers the Diploma in Diving and Hyperbaric Medicine (DipDHM) and since 2017 ANZCA has offered the
ANZCA Diploma of Advanced Diving and Hyperbaric Medicine (Dip Adv DHM). The training component of the
DHM diploma may be started prior to completion of specialist qualification (FANZCA, FACEM or FCICM), but
will only be awarded after completion.
THE PRESENT
Hyperbaric chambers
There are two main types of hyperbaric chambers. A multi-place unit is a larger chamber, capable of
accommodating multiple patients at one time, as well as an inside-nurse or attendant (see Figures 1 and
2). During pressurisation patients typically wear a soft silicone neck seal (or a chest seal for example in
tracheostomy patients), and once the chamber has reached the predetermined pressure a clear plastic hood
is connected, which has in and out-flow tubing to deliver 100% oxygen and remove expired gases. The patient
breathes 100% oxygen while at pressure, except during short intervals, called air-breaks, in which the oxygen
hood is removed. Air breaks are given to reduce the likelihood of oxygen toxicity (and to allow time for the
patient to use the bathroom/stretch their legs). At times a mask may be used to deliver oxygen to the patient
instead of a hood. With appropriate hyperbaric-rated equipment, it is also possible to treat ventilated critically ill
patients (such as those with necrotising soft tissue infections).
Figure 2. Photograph of the inside of a rectangular multiplace hyperbaric chamber showing the Charles’ Law explains the increase of temperature within the chamber during pressurisation and decrease
fire deluge system, communications apparatus, internal surveillance, entertainment, medical lock, during decompression. Typically, hyperbaric chambers now have air temperature control to control for these
gas supply ports, view port, environmental control systems. Supplied by Fink Engineering. changes.
Charles’ Law:
[p1v1]/T1 = [p2v2]/T2
B. Physiologic effects of Hyperbaric Oxygen Treatment:

Increased oxygen delivery plays a major role in the treatment of decompression injury, arterial gas emboli,
wound healing, acute crush injury, ischaemic grafts and flaps, arterial occlusions and in severe blood loss
anaemia. There is much overlap of the mechanisms within the following headings.
Wound healing
HBOT can enhance wound healing, and prevent amputations, when used as an adjunct therapy in certain types
of non-healing wounds13.
HBOT provides increased access of oxygen via plasma to damaged tissue to restore hypoxia within the wound.
Anti-infective effects and anti-inflammatory effects (which will be discussed in separate sections below)
contribute, as well as stimulation of angiogenesis, vasculogenesis and mobilisation of stem cells. These latter
effects are triggered by HBOT via mechanisms both within the wound itself, and via bone marrow mediated
mechanisms:
a. synthesis of growth factors within the wound itself enhance angiogenesis and increase vasculogenesis by
improving the recruitment and function of endothelial progenitor cells (EPCs). These growth factors include:
i. vascular endothelial growth factor (VEGF)-A which is synthesised by macrophages and is stimulated by
oxidants and by NO (which itself has been shown to be elevated by HBOT). VEGF-A is increased by
HBOT in experimental wounds14,15.
ii. other factors including basic fibroblast growth factor, transforming growth factor b1, angiopoietin-2 and
platelet-derived growth factor, which have also been shown to be increased by HBOT.
b. mobilisation of bone marrow EPCs which differentiate into vascular channels by a NO-dependent
A. The Physics of Hyperbaric Oxygen mechanism. This is supported by a study by Thom et al involving patients who received 20 hyperbaric
There are a variety of ways to describe pressure. Atmospheric pressure, as recorded at sea level, is the treatments for osteoradionecrosis (ORN) prophylaxis and were found to have a fivefold increase in
downward pressure exerted by the weight of the atmosphere above. This is referred to as 1 atmosphere (ATM). circulating endothelial progenitor cells16.
This is equivalent to a column of 33 feet (fsw) or 10 metres (msw) of sea water, or 760 millimeters of mercury Augmentation of free radical synthesis by HBOT is likely responsible for both these processes.
(mmHg). It is also equivalent to 1.47 psi, 1.01 bar, or 101.3 kilopascal (kPA). Of these, kilopascal is arguably the
most frequently used unit in hyperbaric practice. In summary, HBOT enhances the mobilisation of endothelial progenitor cells (EPCs) from bone marrow, which
exhibit better growth potential, and it enhances recruitment of progenitor cells to ischaemic and diabetic
Hyperbaric Oxygen Treatment (HBOT) is the delivery of oxygen at pressures greater than one atmosphere wounds, which then heal faster17.
absolute. Typical, frequently used treatment pressures range from 100 to 180kPA dependent on indication and
table used. This pressure refers to the pressure within the chamber, in addition to atmospheric pressure, that Hyperbaric oxygen-induced angiogenesis and fibroplasia also promotes healing in patients with delayed
is, 2-2.8 ATA absolute. With reference to diving, 100 kPA would be the equivalent of diving to approximately 10 radiation injury, which is useful as radiation damaged tissue does not spontaneously revascularise due to the
metres of sea water. The actual pressure the diver, or patient, is exposed to at 100kPA is 2 ATA; 1 ATA exerted by unique wounding pattern.
the atmosphere above sea level, and 1 ATA exerted by the 10 metres of sea water, or 100kPA of compressed air. Reduced volume of gas bubbles
The mechanics of hyperbaric oxygen are based on several basic physics principals. Decompression illness occurs as the result of dissolved nitrogen coming out of solution and forming
bubbles in the diver’s blood. When diving (that is, at increased ambient pressure), more nitrogen is absorbed
Henry’s Law states that “the amount of gas dissolved in a given type and volume of liquid is directly than at atmospheric pressure. On ascent, this nitrogen must come out of solution. If ascent is too rapid, if
proportional to the partial pressure of that gas in equilibrium with that liquid”. Increased pressure in the decompression is omitted, or when insufficient off-gassing of nitrogen occurs for another reason, then it comes
chamber therefore causes more oxygen to be dissolved into the plasma than would be seen at atmospheric out of solution and forms bubbles. These bubbles can affect joints, skin, spinal cord, lymphatics, brain, inner ear,
pressure. In a person breathing air at atmospheric pressure the arterial oxygen tension is approximately and other areas.
100mmHg, and that of venous blood is 55mmHg. By contrast, when breathing 100% O2 at three atmospheres,
arterial oxygen tension is approximately 2000mmHg, and venous oxygen tension is approximately 500mmHg. Arterial gas embolism (AGE) is a potentially catastrophic event which occurs when gas bubbles either enter
This is sufficient oxygenation to support tissue function without a contribution from haemoglobin. into or form within the arterial vasculature and occlude blood flow. They are classically the result of either a rapid
ascent from diving or of inadvertent injection of air into the vascular system during medical procedures. A rapid
Boyle’s Law states that as pressure increases, the volume of a bubble/airspace decreases. This is particularly ascent from diving, particularly without expiration of the expanding gas in the lungs, can lead to overexpansion
relevant to treatment of decompression illness (caused by nitrogen bubbles), and CAGE (cerebral arterial of the lung and pulmonary barotrauma. If there is rupture of the pulmonary vascular mucosa, gas can directly
gas emboli). It is also the crux of a relatively common complication of hyperbaric oxygen therapy; middle ear enter the pulmonary veins. Gas entrained into or formed within the venous system may also cause AGE. If
barotrauma, which occurs when the middle ear is unable to be adequately ventilated during pressurisation, the pressure in the right atrium exceeds the pressure in the left atrium, and a patent foramen ovale is present,
resulting in a reduction of volume of the air space, which can cause stretching and tearing of the structural then right-to-left flow occurs, and with it, shunting of gas bubbles. Approximately 30% of the population
elements of the tympanic membrane12.
Boyle’s Law:
p1v1 = p2v2
have a patent foramen ovale. Venous bubbles may also overwhelm the mechanisms in the lungs that normally • Carbon monoxide poisoning
prevent arterial gas emboli18,19. Animal studies suggest that either a large bolus of gas (20mL or more) or small • Clostridial myonecrosis (gas gangrene)
continuous amounts (11mL/min) introduced into the venous system may generate intra-arterial bubbles20.
• Compromised grafts and flaps
Iatrogenic AGE can occur during a range of procedures, across a range of medical specialties. Air may enter • Acute traumatic ischaemia
an extracorporeal-bypass circuit during cardiac surgery, or be incompletely removed from the heart after
• Decompression sickness
cardioplegic arrest. It may enter the cerebral circulation, particularly in upright neurosurgical procedures. It can
enter via ECMO or dialysis circuits, or via intravascular catheters. AGE can occur as the result of caesarian • Delayed radiation injuries (soft tissue and bony necrosis)
section, following gas insufflation during endoscopic and laparoscopic surgery, and during arthroscopy, • Sudden sensorineural hearing loss
arthroplasties, and spine surgery in prone patients. There are many other documented cases of air emboli • Intracranial abscess
across a wide range of specialties21.
• Necrotising soft tissue infections
HBOT directly reduces the size of these bubbles by raising the ambient pressure, and further shrinks the • Refractory osteomyelitis
bubble size by creating an enormous diffusion gradient for oxygen into and nitrogen out of the bubble. The
improvements in oxygen-carrying capacity of plasma and in the delivery of oxygen to tissues offsets the embolic • Severe anaemia
insult to the microvasculature. HBOT also reduces the post-injury inflammation commonly seen post air emboli. • Thermal burns
Peripheral vasoconstriction occurs as a result of decreased nitric oxide (which is effectively scavenged by b. Absolute contraindications
reactive oxygen species produced during hyperbaric hyperoxia) and this results in a reduction of blood flow,
i. Untreated pneumothorax: intrapleural air may double or triple in volume on decompression as normal
without compromising oxygen supply in this context. This allows capillaries to absorb extra fluid, leading to
atmospheric pressure is approached.
decreased oedema, which assists further by reducing the diffusion distances of oxygen to cells.
ii. Premature infants: due to susceptibility to retrolental fibroplasia, resulting in blindness
This effect is useful in the treatment of crush injury, compartment syndrome, thermal burns and threatened flaps
iii. Bleomycin: a chemotherapy agent used to treat a variety of tumours, which has been associated with
and grafts.
irreversible restrictive lung disease. Oxygen breathing, even several years after the use of bleomycin, can
Osmosis: Oxygen acts as an osmotic agent in its own right. Hypoxia results in cellular Na/K pump failure with cause severe interstitial pneumonitis leading to pulmonary fibrosis, and severe lung damage can occur.
a subsequent loss of intracellular fluid into third spaces. If even low levels of oxygen can be delivered then this iv. Disulfiram (Antabuse): blocks production of superoxide dismutase, a protective antioxidant which is the
can be prevented, stopping the worsening of oedema. The reduction in oedema and subsequent reduction in body’s major protection against oxygen toxicity
tissue pressure, allows the re-establishment of venous flow, thus breaking the triad.
v. Cisplatin: HBOT may increase the cytotoxic effect of the drug in tissues, ultimately impeding wound
Modulation of ischaemia-reperfusion injury with HBOT occurs by decreased production and increased healing
degradation of reactive oxygen species.
c. Relative contraindications
HBOT decreases pro-oxidant enzyme expression. Hypoxia-inducible factor-1 alpha (HIF-1 alpha), p53 and
i. Pregnancy
caspase-3 mediated apoptosis are down-regulated. A reduced inflammatory response has been demonstrated
by VEGF, COX2 and neutrophil counts in studies of ischaemic flaps in HBOT; that is, HBOT does not ii. Asthma
exacerbate ROS-mediated tissue injury. iii. Thoracic surgery
Neutrophil-endothelial interactions are transiently inhibited (while in the absence of ischaemia there is no iv. Emphysema with CO2 retention
observable effect on this interaction), and lipid peroxidation is reduced22. Animal studies have shown that a v. Upper respiratory tract infections
decreased neutrophil adherence to ischaemic venules is observed with elevated oxygen pressures (2.5 ATA). vi. History of middle ear surgery or disorders
HBOT increases antioxidant enzyme expression. Scavengers are produced to destroy oxygen radicals20, vii. History of seizures
reducing reperfusion injury. viii. Fevers
These effects are useful in the treatment of ischaemic wounds, CO poisoning, crush injury and compartment ix. Congenital spherocytosis
syndrome. x. Optic neuritis
Studies suggest that the maximal beneficial response to HBOT occurs during the ischaemic phase and may be
time-dependent. d. Complications of HBOT
i. Claustrophobia
Infection control: Antimicrobial effects of HBOT are useful in necrotising soft tissue infections, gas gangrene,
osteomyelitis, life or limb threatening infections. HBOT is directly toxic to anaerobic bacteria, but also exerts an ii. Hypoglycaemia
antibiotic effect on aerobic bacteria, by raising O2 tension in tissue, which increases the ability of leucocytes to iii. Middle ear barotrauma
kill bacteria. It has bacteriostatic and bactericidal effects on Clostridia, Escherichia coli and Pseudomonas23. iv. Sinus squeeze
Additionally, HBOT has a synergistic effect with at least some antibiotics, including linezolid, vancomycin, v. Oxygen toxicity seizure
teicoplanin, ciprofloxacin and imipenem, as well as aminoglycosides, cephalosporins, sulfonamides, and vi. Progressive myopia – typically reverses completely in days to weeks.
amphotericin13,24-27.
vii. Cumulative pulmonary oxygen toxicity
Clostridial alpha-toxin production is inhibited by HBOT in gas gangrene28. viii. Pulmonary barotrauma +/- air embolism
a. Current UHMS indications29 ix. Exacerbation of congestive heart failure in patients with severe disease, due to:
• Air or gas embolism a. Sinus bradycardia from stimulation of vagal activity and stimulation of a further measurable, non-
oxygen dependent bradycardia that is associated with hyperbaric pressures.
• Arterial insufficiencies b. Systemic vasoconstriction causing increased afterload.
– Central retinal artery occlusion
– Enhancement of healing in selected problem wounds x. Increased rate of maturation of cataracts with very long courses of HBOT.
THE FUTURE
There have been difficulties over the years in conducting large trials in hyperbaric medicine. Many contributing
factors, including unit size, small patient numbers within each clinical indication alongside difficulties in
creating sham treatments, are commonly reported. These challenges have, unfortunately, led to delays in the
progression of high-level research in the field.
In recent times, efforts within the field of Diving and Hyperbaric Medicine have increased towards defining
minimum patient quality and outcome datasets for both hyperbaric specific outcomes as well as linkage with
other disease-specific datasets. A regional registry throughout Scandinavia is actively collecting data. Registry
development in the USA and Australia and New Zealand is progressing well.
Areas of keen interest for future research include the effects of hyperbaric oxygen on necrotising soft tissue
infections, on ulcerative colitis and on the modulation of radiation treatment, with studies currently under way.
REFERENCES
1. Clarke D. History of Hyperbaric Therapy. In: Neuman TS, Thom SR, editors. Physiology and Medicine of Hyperbaric
Oxygen. Philadelphia, PA: Elselvier Health Sciences; 2008. p. 3-4.
2. Simpson A. Compressed air as a therapeutic agent in the treatment of consumption, asthma, chronic bronchitis and other
diseases. Sutherland and Knox;1857.
3. Jarcho S. Caisson disease and coal mining (Pol and Watelle, 1854). Am J Cardiol. 1968;22(6):863-6.
4. Triger M. Letter to Monsieur Arago. Comptes Rendus de l’Academie des Sciences. 1845;20:445-9.
5. Woodward CM. A History of the St Louis Bridge. St Louis: GI Jones and Company. 1881:238-62.
6. Butler WP. Caisson disease during the construction of the Eads and Brooklyn Bridges: A review. Undersea Hyperb Med.
2004;31(4):445-59.
7. Boycott AE, Damant GC, Haldane JS. The prevention of compressed-air illness. J Hyg (Lond). 1908;8(3):342-443.
8. Butler WP. Caisson disease during the construction of the Eads and Brooklyn Bridges: A review. Undersea Hyperb Med.
2004;31(4):445-58.
9. Kindwall E, Whelan H, editors. Hyperbaric Medicine Practice. Flagstaff: Best Publishing Company; 2004.
10. Lima MA, Farage L, Cury MC, Bahamad FJ. Update on middle ear barotrauma after hyperbaric oxygen therapy-insights on
pathophysiology. Int Arch Otorhinolaryngol. 2014;18(2):204-9.
11. Consensus Development Conference on Diabetic Foot Wound Care. 7-8 April 1999, Boston, Massachusetts. American
Diabetes Association. J Am Podiatr Med Assoc. 1999;89(9):475-83.
12. Schmetterer L, Findl O, Strenn K, Graselli U, Kastner J, Eichler HG, et al. Role of NO in the O2 and CO2 responsiveness
of cerebral and ocular circulation in humans. Am J Physiol. 1997;273(6):R2005-12.
13. Gottrup F, Dissemond J, Baines C, Frykberg R, Jensen PO, Kot J, et al. Use of oxygen therapies in wound healing. J
Wound Care. 2017;26(Sup5):S1-S43.
14. Thom SR, Bhopale VM, Velazquez OC, Goldstein LJ, Thom LH, Buerk DG. Stem cell mobilization by hyperbaric oxygen.
Am J Physiol Heart Circ Physiol. 2006;290(4):H1378-86.
15. Gallagher KA, Goldstein LJ, Thom SR, Velazquez OC. Hyperbaric oxygen and bone marrow-derived endothelial progenitor
cells in diabetic wound healing. Vascular. 2006;14(6):328-37.
16. Butler BD, Hills BA. The lung as a filter for microbubbles. J Appl Physiol Respir Environ Exerc Physiol. 1979;47(3):537-43.
17. Vik A, Brubakk AO, Hennessy TR, Jenssen BM, Ekker M, Slordahl SA. Venous air embolism in swine: transport of gas
bubbles through the pulmonary circulation. J Appl Physiol (1985). 1990;69(1):237-44.
18. Spencer MP, Oyama Y. Pulmonary capacity for dissipation of venous gas emboli. Aerosp Med. 1971;42(8):822-7.
19. Francis A, Baynosa R. Ischaemia-reperfusion injury and hyperbaric oxygen pathways: a review of cellular mechanisms.
Diving Hyperb Med. 2017;47(2):110-7.
20. Thom SR. Effects of hyperoxia on neutrophil adhesion. Undersea Hyperb Med. 2004;31(1):123-31.
21. Muth CM, Shank ES. Gas embolism. N Engl J Med. 2000;342(7):476-82.
22. Park MK, Muhvich KH, Myers RA, Marzella L. Hyperoxia prolongs the aminoglycoside-induced postantibiotic effect in
Pseudomonas aeruginosa. Antimicrob Agents Chemother. 1991;35(4):691-5.
23. Ferreira APP, Vide SS, Fernandes TDF, Coelho P, Camacho OF. Hyperbaric oxygen therapy as an adjuvant to source
control in necrotizing soft tissue infections. Undersea Hyperb Med. 2017;44(6):535-42.
24. Muhvich KH, Anderson LH, Criswell DW, Mehm WJ. Hyperbaric hyperoxia enhances the lethal effects of amphotericin B in
Leishmania braziliensis panamensis. Undersea Hyperb Med. 1993;20(4):321-8.
25. Marzella LVG. Effect of hyperbaric oxygen on activity of antibacterial agents. In: Oriani G. MA, Wattel F, editors. Handbook
on hyperbaric medicine. Milano: Springer; 1996.
26. Pakman LM. Inhibition of pseudomonas aeruginosa by hyperbaric oxygen. I. Sulfonamide activity enhancement and
reversal. Infect Immun. 1971;4(4):479-87.
27. Kaide CG, Khandelwal S. Hyperbaric oxygen: applications in infectious disease. Emerg Med Clin North Am.
2008;26(2):571-95, xi.
28. Holland JA, Hill GB, Wolfe WG, Osterhout S, Saltzman HA, Brown IW. Experimental and clinical experience with
hyperbaric oxygen in the treatment of clostridial myonecrosis. Surgery. 1975;77(1):75-85.
29. Undersea and Hyperbaric Medical Society. Hyperbaric oxygen therapy indications. 13th ed. Florida: Best Publishing
Company; 2014.
Circulation
Perioperative management of heart
transplantation
Sean Edwards, Sara Jane Allen
Preventing vascular damage during central

venous catheter insertion via the internal
jugular vein
Jennifer Bath, Andrew Deacon, Alister Jones
Keep calm and know sepsis

Linden Martyr, Samuel Cook, Siva Senthuran
Midodrine and its potential role in

postoperative hypotension
Verna M Aykanat, Ian O Fleming,
Tomás B Corcoran
Perioperative management of heart transplantation 61
Perioperative management of heart transplantation

Sean Edwards MBChB FRCA
Cardiothoracic Anaesthesia Fellow, Greenlane Department of Cardiothoracic and ORL Anaesthesia, and
Cardiothoracic and Vascular Intensive Care Unit, Auckland City Hospital, New Zealand.
Dr Sean Edwards graduated from the University of Liverpool and has subsequently trained in Aintree Hospital
Liverpool, Queensland Australia and the Peninsula Deanery in southwest England. He is currently undertaking a
one-year fellowship in cardiothoracic anaesthesia and intensive care at Auckland City Hospital.
Sara Jane Allen BHB, MBChB, FANZCA, FCICM

Consultant Anaesthetist and Intensivist, Greenlane Department of Cardiothoracic and ORL Anaesthesia, and
Cardiothoracic and Vascular Intensive Care Unit, Auckland City Hospital, Auckland, New Zealand.
Dr Allen works as an anaesthetist and intensivist at Auckland City Hospital, Auckland. Dr Allen’s interests
include transplant anaesthesia and perioperative care, extracorporeal membrane oxygenation (ECMO) and
mechanical support, echocardiography, and training and education. She has authored journal articles and
book chapters on various cardiothoracic topics including ECMO, perioperative care of heart transplants,
echocardiography for the mitral valve, echocardiography for mechanical support, anaemia, and gastrointestinal
complications following cardiac surgery. Dr Allen is a reviewer for the British Journal of Anaesthesia and the
Canadian Journal of Anaesthesia, as well as the New Zealand Medical Journal. She is an examiner for the
CICM and is the Supervisor of Training in her departments for ANZCA and CICM. Dr Allen regularly teaches
topics in echocardiography and cardiothoracic anaesthesia.
INTRODUCTION
The first heart transplant was performed more than 50 years ago, with the recipient surviving for 18
days1. Survival after heart transplantation was poor in the decade following due to a lack of effective
immunosuppression therapy, limited surgical experience, and opportunistic infections. The development of
endomyocardial biopsy in the 1970s2 and approval for the use of Cyclosporine3 in 1983 led to vastly improved
outcomes. In recent years, the use of ventricular assist devices to improve cardiac output and end organ
dysfunction while on the transplant waiting list, together with a deeper understanding of the immunological
processes leading to rejection, have improved the median survival of a heart transplant recipient to 12 years4.
In 2018, 129 heart transplants were performed in Australia and 20 in New Zealand5. The chances of
encountering a heart transplant recipient requiring non-cardiac surgery are increasing, given both improved
survival, and the cumulative total of more than 5000 cardiac transplants per year occurring worldwide6.
An understanding of the physiological differences following heart transplantation and how the transplant
process works is therefore important for all anaesthetists and intensivists. In this article we will discuss patient
demographics, perioperative management for the transplant itself and also the management of heart transplant
patients for non-cardiac surgery.
Table 1. Demographics of heart transplant recipients in Australasia 2016 in patients >18 years
of age5,6.
5121 transplants worldwide, Australasia = 149.

76% male, 24% female.
Mean time on “active waiting list” = 150 days (Range: 113-226 days)
58% New York Heart Association (NYHA) III, 11% NYHA IV.
8% on inotropic support.
43% with Ventricular assist device (VAD)
Mean age of recipient = 45 years, mean age of donor = 35 years.
62 Australasian Anaesthesia 2019 – Circulation Perioperative management of heart transplantation 63
PREOPERATIVE ASSESSMENT The timing of transplantation is important for maximal benefit, too early may unnecessarily use a scarce resource
and put patients through early risks and an arduous recovery process that they may not see maximal benefit from.
Patient characteristics If allowed to wait too long, end-organ dysfunction may develop and outcomes following the transplant are more
Patients presenting for heart transplant are a diverse group with a variety of underlying pathophysiological likely to be poor. As heart failure progresses to biventricular failure, pulmonary and hepatic congestion occurs
processes to be considered in the preoperative anaesthetic work-up (see Table 1 and Figure 1). Patients are together with cardiac cachexia and reduced renal perfusion and creatinine clearance. For these reasons much
generally referred via a cardiology specialist to the transplant service but acute cases may present via intensive energy has been placed into trying to establish who will benefit the most, and at what time, from a heart transplant.
care and be expedited onto the urgent list. A summary of the relative indications and contraindications for heart transplant can be seen in Table 2.
Priority status for heart transplant
Figure 1. Graphical representation showing proportion of patients in each disease group who
undergo transplant7. The Transplantation Society of Australia and New Zealand have guidelines for the urgency of transplantation
in order to prioritise those that need transplants first9. Patients expected to survive only days or weeks without
a transplant are placed onto the “urgent list” with the expectation that the patient will either die or receive a
transplant within two weeks. These tend to be patients on mechanical support or who have developed a life-
threatening complication whilst on mechanical support or inotropes.
Adjuvant therapies and devices
Aside from a routine anaesthetic assessment, it is important to identify the underlying pathology necessitating
transplant, together with therapy up until this point. Centrally administered inotrope infusions; typically
dopamine, milrinone or levosimendan may be used in the bridging phase to transplant and the doses and
duration of therapy should be noted. Pre-exposure to inotropes can result in blunted responses when required
intra-operatively10. A small subset of patients may also be established on intravenous pulmonary vasodilators
such as prostacyclin11.
Almost half of patients on the waiting list have been established on a ventricular assist device (VAD) prior to
transplant in Australasia. This has been one of the major changes in the transplant population demographic in
recent years5,12. VADs provide mechanical support to the heart by draining blood from the left ventricular apex,
passing it through the VAD pump creating blood flow which can be axial (propeller in a pipe) or centrifugal
(magnetised internal impeller) providing non-pulsatile blood flow to the aortic root. VADs are currently used as a
bridge to transplant in Australasia whereas in the United States they can be used as destination therapy.
VAD implantation may improve end organ perfusion and allow for improved conditioning of the patient prior
to a transplant becoming available, with increases in VO2 peak and 6-minute walk test being demonstrated13.
Table 2. Indications and contraindications for heart transplant . 8,9
The aim is to improve renal function, allow moderate exercise and to improve body weight while on the waiting
*Australasian guidelines are referenced here but are subject to constant expansion and review. list. The steady improvement in VAD technology is one factor contributing to improved survival of patients on
the transplant waiting list14 together with improved outcomes 1-year post transplant. VADs are not free from
Indications7 Contraindications9 complications including right ventricular failure, thrombosis, mechanical malfunction and driveline infections.
Clinical indications: Relative*
Patients with a VAD in situ should have the implantation documentation reviewed together with the current
• Severe functional limitation (NYHA III / IV) • Chronic kidney disease (CrCl<40ml/min) settings recorded. The fact that a sternotomy has already been performed confers an increased risk of bleeding
• Arrhythmias refractory to management or • Liver disease (Bilirubin >50mmol/l) and difficulty in establishing tissue planes for the surgeon. VADs are also associated with altered coagulation
recurrent, appropriate shocks • FEV1 <1 litre status due to anticoagulation medications to prevent device thrombosis and an acquired von Willebrand
• Refractory angina deficiency due to shear forces on plasma proteins as they pass though the pump.
• PASP >60mmHg (or PVR >4.0 woods units)
• Overall failure of medical +/- resynchronization post reversibility Worldwide a small proportion of patients (1.2%)15 present for urgent transplant after being placed onto veno-
therapy • Psychological issues; non-compliance, lack arterial (VA) extra-corporeal life support (ECMO). These tend to be patients for whom a VAD is not feasible due
of social support, learning difficulties (relative to logistical issues; often those with profound and rapid deterioration such as with acute myocarditis or those
Parameters: with pre-existing congenital heart disease for whom anatomical factors preclude the use of a VAD. This cohort
contraindications)
• VO2 peak <12ml/kg/min on VA ECMO support has an understandably higher early mortality in the first 6 months when compared to
• Severe LV systolic dysfunction Absolute* patients presenting via other avenues for transplantation15.
• HFSS (heart failure survival score) medium to • Uncontrolled diabetes (HbA1C >59mmol/mol) Psychological assessment
high risk secondary organ involvement or microvascular
complications When considering suitability for transplant, psychological assessment and evaluation is imperative. Patients
• Seattle heart failure survival model at 1 year following transplant undergo a taxing regime of immunosuppression therapy, clinic visits and medical
<80% • Raised BMI >30kg/m2 interventions with strict adherence being of paramount importance if rejection is to be avoided. Factors such
• Substance abuse (6 months abstinence from illicit as alcohol or substance abuse, absence of a stable social support network, depression, previous overdose
drugs, smoking and alcohol are required) attempts or suicidal intentions are all considered and have been associated with adverse outcomes and as such
• Active or recent malignancy (impacting post- may be contraindications to transplant16.
transplant survival) Right heart catheterisation
• Chronic infections – HIV, HBV/HCV with liver End stage left heart failure leads to chronically elevated left atrial pressures which in turn results in elevated
complications pulmonary vascular pressures and eventual biventricular failure. Secondary pathological alterations to the
• Active systemic infection pulmonary vasculature are thought to result from increased shear stress and hypoxia affecting the endothelial
wall lining the pulmonary vessels. This results in compensatory dilation and thickening of the pulmonary veins,
interstitial oedema due to endothelial cell dysfunction and alveolar haemorrhage. The net result from these Cardiopulmonary exercise testing
processes is increased pulmonary vascular resistance17. Cardiopulmonary exercise testing (CPET) is an objective investigation that may be used in the pre-operative
The presence of increased pulmonary vascular resistance is associated with worsened outcomes as the workup of patients being considered for heart transplantation. The two most commonly cited values for
transplanted heart is untrained to cope with a high right ventricular afterload18. It is vital to identify and treat decision-making are VO2 peak and the VE/VCO2 slope.
patients with pulmonary hypertension prior to listing for transplantation. The diagnosis and severity of pulmonary Patients with severe heart failure and preserved exercise capacity defined as peak VO2 > 14ml.kg-1.min-1 have
hypertension is assessed with right heart catheterisation (RHC)19. Measured and derived values from RHC are been shown to have equivocal 1 and 2 year outcomes compared with those who undergo transplant. This
summarised in Table 3. value helps guide the timing of transplant intervention23. The downside of using peak VO2 as the sole basis for
PVR is determined by pressure difference divided by blood flow (Poiseuille’s Law), and in this instance is the prognostication is that it may be limited by effort or symptoms which stop the test prematurely. VO2 peak is also
difference between mean pulmonary artery pressure (PAP) and mean left atrial pressure (LAP) divided by a “per kilogram” measurement and can underestimate performance in patients with increased body mass index
cardiac output (CO). LAP is derived from the pulmonary arterial wedge pressure (PAWP) – when a balloon is (BMI) and is negatively affected by beta-blocker therapy24. Australasian guidelines advise consideration of heart
wedged in the pulmonary artery, this forms a contiguous column of blood with the left atrium. The resulting PVR transplantation if peak VO2 is less than 12ml.kg-1.min-1 if receiving beta-blocker therapy9 with one American
is given in Wood Units (WU), a conversion factor of 80 is then applied to give a value in dynes.sec.cm-5 to allow study advising a cut-off of 14ml.kg-1.min-1 if not taking or unable to tolerate beta-blocker therapy25.
comparison between the common notation for systemic vascular resistance (SVR). Ventilatory efficiency as defined by CPET is the ability to increase minute ventilation (VE) in response to
increased CO2 production (VCO2) and is graphically represented by the VE/ VCO2 slope. This has been
shown to be the strongest CPET predictor of mortality in a longitudinal study looking at outcomes in patients
with severe heart failure24. In heart failure an excessive ventilatory compensation is generated in proportion to
the degree of ventilation/perfusion (V/Q) mismatch and an increased gradient of the VE/VCO2 slope is seen.
Ventilatory efficiency validity appears to be independent of beta-blocker therapy, sex, age and even VO2 peak in
predicting mortality26.
During the RHC procedure PAWP is taken as an average of 3 readings at the end of normal expiration which
coincides with functional residual capacity; the time when intra and extra thoracic pressure is equalised. This Table 4. Characteristics of the ideal donor29-31.
measurement is then used to derive PVR.
Gender match
Transpulmonary gradient (TPG) is calculated as the difference between MPAP and LAP (as estimated by Racial match
PAWP). This number is useful for diagnosing “out of proportion” pulmonary hypertension in patients with left
ventricular failure or mitral disease where the backstream MPAP is higher than would be expected for a given Absence of renal impairment (as defined by Blood Urea Nitrogen:
LAP and “pre-capillary” pulmonary hypertension coexists20. The gradient responds to changes in cardiac output Creatinine ratio >30)
but has proven a useful predictor of post-transplant survival with values of <11mmHg associated with improved Short ischaemic time (< 4 hours)
outcomes at 1 year and values of >15mmHg being of concern21. Young age of donor < 50 years
Patients with PVR >2.5 Woods units and a TPG >15mmHg are at a threefold risk of right heart failure and early Non-smoker
mortality following transplantation as the donor heart is unsuited to generating high right sided pressures. This
Low PVR in the donor
group should undergo a “vasoreactivity test”19. Pulmonary artery vasodilators are administered to assess for
reversibility of PVR during the RHC procedure and patients are then placed onto a pulmonary vasodilator trial Structurally normal heart without hypertrophy, valvular abnormalities or coronary
for 6-8 weeks prior to reassessment. The most studied drug is sodium nitroprusside (SNP) although milrinone, artery disease
nitric oxide, prostaglandins and sildenafil have all been employed. Successful reversibility is defined as values LVEF > 45%
of <2.5 WU and TPG <15mmHg with systolic blood pressure maintained above 85mmHg. If the pulmonary Body size match, ideally within 20-30% of the recipient’s body size.
hypertension is reversible then equivocal outcomes can be obtained once heart transplant takes place22.
Absence of underlying chronic infection (for example, HIV, hepatitis)
Table 3. Measured and derived values from a right heart catheterisation study. Papworth physiological criteria = MAP > 60mmHg, Cardiac index > 2.4L/min/
m2, CVP 4-12mmHg, SVR 800-1200 dynes.cm-5
Measured values Derived values
Cardiac output (CO) Cardiac index (CI) referenced to body surface area Ideal donor characteristics
• Obtained via thermodilution technique Transpulmonary pressure gradient (TPG) It is useful to consider what an “ideal” donor organ would be, acknowledging that many of these features will
• Averaged from 3 readings • MPAP – PAWP not be present in real-world donors and compromise is necessary. These characteristics are summarised in
• May be inaccurate if shunt is present Table 4. Supply and demand mismatch has led to expanded limits for these criteria in the international literature
Diastolic pressure gradient as donor hearts of sufficient quality for transplant are a scarce resource due to the decreasing incidence of
SvO2 • DPAP-PAWP stroke, brain trauma and other causes of brain death. Research is still required to fully elucidate exactly which
Pulmonary arterial pressure (PAP) donors should be considered unsuitable and which are “marginal”.
Pulmonary vascular resistance
• Systolic (PASP), diastolic (PADP) and mean The neurogenic storm during brainstem death may have important consequences for myocardial performance.
(MPAP) Prior to brain death, autonomic activation may lead to profound vasoconstriction, increased afterload,
redistribution of blood volume and arrhythmias27. In fact, 40% of brain-death donors have echocardiographic
Pulmonary arterial wedge pressure (PAWP) - evidence of impaired cardiac function28. Following the catecholamine storm a period of vasoplegia often
averaged over 3 readings at end expiration develops, with associated end-organ hypoperfusion that may further impair myocardial function.
Right atrial pressure (RAP) Ischaemic time
Right ventricular pressure (RVP) The ischaemic time refers to the time from when the heart is removed from the donor until the time at which
it has been reperfused in the recipient. This can be divided into the warm and cold ischaemic times. Warm
ischaemic time refers to aortic cross clamp application until cooling for storage added to the time taken from
rewarming the heart and then anastomosing it into the recipient. Cold ischaemic time refers to from when cold During surgery
cardioplegia solution is employed until warm reperfusion solution is administered prior to implantation. Heparinisation prior to cardiopulmonary bypass should be achieved in the usual manner. Be mindful that
The ideal “total” ischaemic time is under 4 hours although this can potentially be extended if the donor is of a patients with a VAD device in situ will have had a sternotomy already and this will increase the risk of bleeding.
young age. An ischaemic time of over 6 hours is an independent risk factor for poor outcome (although isolated Cardiopulmonary bypass (CPB) is generally achieved via right atrial cannulation and the PA catheter should be
cases in the paediatric population have shown good outcomes with ischaemic times exceeding 8 hours32). withdrawn prior to this stage. If a VAD is in situ then the outflow graft should be clamped and the device turned
Some centers utilise a “heart in a box” technology which allows for perfusion of the heart with warm, oxygenated off before cannulation of the aorta. Minimal surgical handling of the heart is essential before cannulation to avoid
and nutrient-enriched blood during transit to extend the time the heart remains functional once explanted. dislodging thrombus that may have formed due to chronically low cardiac output. Progressing with surgery to
This method was shown to be non-inferior to standard cold-storage techniques in the PROCEED-II trial with the point where cardiopulmonary bypass is about to commence may be prudent if the heart is in transit to the
perhaps future potential to transfer hearts over larger distances, increasing potential donor numbers in remote operating theatre to minimise ischaemic time. Optimal timing requires constant communication between the
locations33. retrieval and recipient teams and is usually managed by specific processes and a coordinator.
Bleeding is a common intraoperative complication and cross-matched blood should be immediately available
INTRAOPERATIVE MANAGEMENT with appropriate cytomegalovirus (CMV) compatibility according to the donor and recipient CMV status. Use of
tranexamic acid as routine antifibrinolytic therapy is employed at our institution together with cell salvage once
Pre-induction
weaned from CPB.
Most patients are receiving oral anticoagulants; either due to presence of a VAD or for prevention of myocardial
thrombus associated with low cardiac output. These agents require reversal immediately prior to starting Surgical technique varies but is usually a midline sternotomy followed by isolation of the great vessels including
surgery due to the risk of thrombus with prolonged interruption. Reversal is achieved according to local policies aorta, SVC, IVC and pulmonary artery, with cannulation of the SVC and IVC to facilitate venous drainage to the
generally with prothrombin complex concentrate and/or consideration of vitamin K and fresh frozen plasma. CPB circuit. Surgery can then proceed via one of three methods: biatrial, bicaval and total transplantation.
Continuation of pulmonary vasodilators is critical during the perioperative phase in patients with elevated PVR The bicaval technique is now the most commonly employed approach and involves resection of the entire right
to reduce the risk of right heart failure and facilitate weaning from CPB. Some patients may have a long term atrium leaving the SVC and IVC to be re-anastamosed to the donor right atrium. A cuff of left atrium is generally
central venous catheter in situ through which these medications or other inotropes are administered and it is left attached to the pulmonary veins allowing for reconstruction of the donor heart with the remnant of recipient
routine practice in our hospital to remove these during the transplant, siting all infusions and inotropes on newly left atrium35. This approach involves five suture lines and has been shown to improve perioperative mortality,
inserted central venous access lines, due to the risk of infection. reduce incidence of pacemaker dependence and improve valvular function36. Total transplantation involves
eight separate suture lines and is now rarely used, while the older biatrial technique has been associated with
Discussion with the transplant team to coordinate administration of immunosuppression medications in the bradycardia, SA node dysfunction and aortic valve dysfunction.
perioperative phase is essential. Patient factors such as weight and creatinine clearance can necessitate
adjustment of dosing. Immunosupression regimes differ regionally but usually include a steroid (for example, Separating from cardiopulmonary bypass
methylprednisolone) and an immunosuppressant (for example, mycophenolate, azathioprine or an anti-TNF When separating from cardiopulmonary bypass, the transoesophageal echocardiograph is essential and aside
alpha agent). Antibiotic prophylaxis reflects local susceptibilities as well as pathogens that may have been from the usual considerations, the following areas should be examined:
identified on bronchoscopy of the donor. 1. LV function, including regional wall motion abnormalities and septal motion.
Invasive monitoring including arterial line, central venous access, pulmonary artery (PA) catheter and urinary 2. RV function, focused on dilatation and free wall motion abnormalities.
catheter are used. Siting of arterial lines can be challenging in VAD patients and ultrasound assistance should 3. Anastamoses sites, for air.
be employed early. Central venous lines should be positioned on the left side where feasible; the right side
4. Air in the LV apex.
being reserved for future myocardial biopsy sampling. Some anaesthetists advocate siting central venous lines
with the patient awake under local anaesthetic infiltration, in order to titrate inotropes during the induction 5. Flow through pulmonary veins to assess for occlusion or stenosis as evidenced by turbulent flow, or
phase, although this is not universal practice. Most transplant recipients have an implantable cardiac defibrillator increased velocities.
(ICD) and this should be interrogated and reprogrammed immediately prior to surgery with anti-tachycardia and 6. Tricuspid valve, for tricuspid regurgitation, assessment of tricuspid regurgitation (TR) jet and tricuspid
defibrillation functions disabled, and a backup pacing mode set to optimise cardiac output. External defibrillator annular plane systolic excursion (TAPSE) as part of a comprehensive right heart assessment.
pads should be placed once the defibrillation function has been deactivated.
Weaning from bypass can be challenging. Donor factors such as ischaemic time, inotrope dependency
The goal of anaesthesia induction is to preserve biventricular performance as much as practicable. An approach and ejection fraction can result in poor graft performance. Recipient factors such as raised PVR, bleeding,
that uses judicious administration of induction agents while paying careful attention to maintenance of systemic prolonged CPB time and subsequent vasoplegia can all hamper weaning37.
vascular resistance (SVR), normoxaemia and normocarbia is recommended. Patients with end stage heart
failure have a fixed stroke volume that is highly preload dependent. A suggested approach would be midazolam Titration of inotropes should be considered according to the pharmacodynamic differences observed in
1-5mg (slowly titrated) followed by fentanyl 2-4ug/kg, propofol 0-1mg/kg and a non-depolarising muscle the transplanted heart (see Table 6). A balance needs to be achieved between filling the new heart, which
relaxant with fast onset to prevent hypoventilation and a rise in PaCO2. In haemodynamically-compromised is preload dependent, and avoiding over distention of the right ventricle, which will worsen right ventricular
patients etomidate may be preferred, although it is likely the dose and speed of administration is the most performance. The most common reason for early failure to wean from CPB is right ventricular failure and this is
relevant factor as all induction agents have been successfully described in the literature. Nitrous oxide should especially likely in the context of raised PVR in a naïve right ventricle. Optimising ventilation and reducing PVR
be avoided due to the risk of increasing PVR. with nitric oxide or phosphodiesterase inhibitor may help. Weaning from CPB may be impossible in some cases
and institution of VA-ECMO or placement of an intra-aortic balloon pump or VAD should then be considered. A
Transoesophageal echo should be sited34 and a decision made whether to place a PA catheter prior strategy for this should be discussed with the surgical and intensive care teams in advance of commencing the
to transplantation or to wait until after the donor heart is in situ. Cerebral oximetry using near infra-red transplant.
spectroscopy (NIRS) can be used to assess for regional tissue oxygen saturation variation in the brain as a
surrogate for brain perfusion. Processed electroencephalogram (EEG) is used at our institution to monitor Having separated from bypass, the PA catheter should then be refloated and calibrated to direct further
depth of anaesthesia and is continued during the period of cardiopulmonary bypass (CPB). inotrope and fluid management. The goal for the first 24 hours in the intensive care unit should be to protect
and optimise RV function. This is achieved by the pneumonic “protect RV”:
Timing of induction should coincide with a decision from the retrieval team that the donor heart is suitable for P = pH optimization, especially avoiding acidosis
transplant. An experienced team will then judge the likely time taken for recipient anaesthesia induction, siting of
lines and obtaining surgical access to coincide with organ arrival, thus minimising ischaemic time. R = Reduce PVR (milrinone, nitric oxide, sildenafil, epoprostenol)
O = Oxygenation, avoid hypoxia
T = Temperature, avoid hyper/hypothermia Other complications

E = Euvolaemia Ten per cent of patients require a permanent pacemaker (PPM) after transplant45. Ventricular arrhythmias
C = Central venous pressure (CVP) – watch for sudden rises suggestive of RV failure necessitating implantation of an ICD were required in 1.5% of transplant recipients in one retrospective study46.
Moderate to severe tricuspid regurgitation complicates 10-30% of post-operative courses and is associated
T = Tamponade – have a high suspicion and low threshold for treatment
with decreased transplant performance and need for further annuloplasty surgery.
R = Rate – pace at 80-100bpm
Nephrotoxicity secondary to calcineurin inhibitors (cyclosporine or tacrolimus) is commonly seen and more likely
V = Ventilation – normal PaCO2
if coexisting diabetes mellitus or pre-transplant renal impairment exists. The burden of regular angiograms can
cause contrast nephropathy which can also lead to renal impairment.
COMPLICATIONS
Improved survival post-heart transplant has resulted in increased duration of immunosuppression therapy
Primary graft dysfunction and subsequent increased incidence of malignancy. More than 10% of heart transplant recipients develop a
Primary graft dysfunction (PGD) is the major cause of death within 30 days following heart transplant surgery de novo malignancy in the first 1-5 years, an excess of 3-4 times that seen in the background population47.
and by definition begins within 24 hours of implantation occurring in 9-12% of cases38. Skin cancers of squamous and basal cell carcinoma types are seen with 100-fold increased incidence when
compared to controls. Squamous cell carcinoma has an increased propensity for metastasis when compared to
PGD is defined as low cardiac output state (cardiac index <2.0l/min/m2) occurring within 24 hours of surgery basal cell carcinoma and rigorous screening is required for early detection and treatment to occur. Other solid
with no other secondary cause being identified39. PGD is subdivided into RV (45%) biventricular (47%) or organ tumours are seen at a slightly increased rate48 although some studies show that incidence is now almost
LV (8%) failure and severity is graded according to inotrope dependence and need for mechanical support40. equivocal to the normal population as a result of modern immunosuppression regimes. Lymphoma is more
Primary graft dysfunction is thought to be multifactorial in nature with initial injury to the heart during the process common following heart transplant especially in younger recipients in the 18-35-year-old demographic with a
of brain death, subsequent ischaemia-reperfusion injury during transport and re-implantation together with prognosis of under 30% survival at 5 years49.
cytokine release and a systemic inflammatory response all playing a role.
Treatment options include intra-aortic balloon pump, insertion of VAD or VA ECMO. One study showed 89% HEART TRANSPLANT RECIPIENTS PRESENTING FOR NON-CARDIAC SURGERY
of patients successfully weaned from ECMO41 who required it post heart transplant and this is the therapy of
choice for primary graft dysfunction in our institution. Physiological differences
When heart transplant recipients present for non-cardiac surgery it is useful to consider the physiological
Secondary graft dysfunction changes that occur following transplantation, these are summarised in Table 5.
Secondary graft dysfunction is an umbrella term used when a cause for graft failure has been identified.
It includes hyperacute rejection, rejection due to pulmonary hypertension and graft failure due to surgical Surgical dissection of the parasympathetic supply to the heart via the vagus nerve as well as sympathetic
complications, for example, uncontrolled bleeding. Hyperacute rejection is a rare complication mediated by supply via the stellate ganglion occurs in the transplanted heart. At the sinoatrial (SA) node inflow and outflow
anti-donor antibodies seen in the recipient42 and carries a 70% mortality risk but the incidence has fallen with innervation is lost and the SA node reverts to a “default” rate of 90-100 beats per minute due to loss of the
ABO-compatibility testing, human leukocyte antigen (HLA) matching, gender and race matching and aggressive predominating parasympathetic tone seen in normal hearts. Atrial contraction is asynchronous and atrial filling
early immunosuppression therapies. is impaired, especially in the left atrium. Intrinsic means of increasing cardiac output become more important
following transplantation with the Frank-Starling relationship predominating in regard to increasing stroke
Cardiac allograft vasculopathy volume. The transplanted heart is said to be more “preload dependent” for this reason.
Cardiac allograft vasculopathy (CAV) is an accelerated form of intimal hyperplasia developing along the entire Loss of somatic innervation to the pericardium and myocardium means that the sensation of angina in
length of transplanted coronary vessels. It differs in its pathophysiology from typical atherosclerosis seen in the response to myocardial ischaemia is lost. Over the first few days following heart transplant myocardial stores
non-transplanted heart and is the leading cause of death at 1-3 years following cardiac transplant43. CAV is of catecholamines are depleted and so autonomic control is reduced. Alpha and beta receptors remain intact
progressive and affects arteries, arterioles, capillaries and occasionally veins of donated vessels only with any but respond only to systemic stimulation from circulating catecholamines in an attenuated manner, resulting
remnant recipient vessels being spared. Luminal hyperplasia initially occurs in the intima and then progresses to in blunted responses to exercise, pain and hypovolaemia50. Maximal heart rate, heart rate variability and
fibrosis of the media with flow limitation to distal myocardium. contractility are all reduced but coronary autoregulation remains intact51.
Development of CAV is multifactorial and still poorly understood. It involves an immune-mediated component, Re-innervation can occur slowly with sympathetic innervation occurring at 6-8 months and parasympathetic
with other non-immune factors such as hyperlipidaemia, insulin resistance and homocysteinaemia exaggerating innervation redeveloping to variable extent at 1-3 years post-transplant. Reinnervation is heterogenous, partial
progression. The clinical course can be unpredictable and may manifest as arrhythmias, congestive cardiac and unpredictable and tends to occur in the left ventricle first with the right ventricle later, if at all52.
failure or sudden cardiac death.
Arrhythmias can develop in the transplanted heart with conduction delays being most common. Despite
Diagnosis of CAV is challenging as heart transplant patients do not exhibit the classic clinical symptoms of native atrial tissue remaining in the transplanted heart the suture line at the transplanted left atrium means that
myocardial infarction due to denervation. Suspicion should be raised if new regional wall motion abnormalities conduction cannot occur but a double P-wave can sometimes be seen on ECG. Suture lines predispose to
(RWMAs) or diastolic dysfunction are identified on echocardiography or new arrhythmias, especially ventricular heart block and are more likely with a bi-atrial surgical technique. Ventricular arrhythmias are less commonly
in origin, develop. encountered and can be a marker of acute rejection or CAV and should prompt urgent investigation.
Intravenous ultrasonography (IVUS) is the gold standard investigation and looks at coronary artery wall structure
internally (as opposed to purely diameter with angiography) by utilising a specialised ultrasound probe. This Table 5. Physiological differences in the transplanted heart.
investigation is limited to larger coronary vessels and is both expensive and time consuming hence is only
available in specialist centers. IVUS should be employed if angiography yields no positive findings and clinical Physiological parameter Normal heart Transplanted heart
suspicion remains high for CAV44. Heart rate 60-70 90-100
Endomyocardial biopsies Heart rate response to exercise Increases Blunted, slower increase
Endomyocardial biopsies are performed regularly during the first-year post-transplant to assess for evidence of
Cardiac output during exercise Normal Reduced
graft rejection demonstrated as interstitial monocytic infiltrates within the myocardium or myocardial necrosis.
Biopsies are carried out as a day-case procedure under local anaesthetic normally via the right internal jugular Blood pressure Shows diurnal variation No variation seen
vein. Risks include tricuspid regurgitation due to leaflet damage or inadvertent biopsy of the tricuspid chordae Somatic innervation Present, angina in response to Absent
and pericardial effusion due to myocardial perforation. ischaemia
Physiological parameter Normal heart Transplanted heart Drug Effects in transplanted heart
Preload Reflex tachycardia in response to Unable to generate tachycardia Adenosine Exaggerated bradycardic effect
drop in preload Reliance on preload and slow Atropine No effect. Ineffective in bradycardic emergencies
rise in circulating catecholamines
to increase CO in response to Glycopyrollate Ineffective
hypotension Neostigmine Bradycardia may develop especially if >6 months post-transplant
Preload dependence Normal Increased Lignocaine Effective
Afterload Reflex tachycardia and increased No HR response to changes Beta-blockers Effective but caution as heart is reliant on circulating catecholamines to
stroke volume (Anrep effect) in in afterload, that is, decreased increase cardiac output
response to increased afterload SVR from GTN, SNP, neuraxial
Calcium channel blockers Effective but exhibit significant negative inotropy
blockade
Coronary autoregulation Normal Remains intact Other considerations
ANP production Not affected Not affected Besides physiological and pharmacological differences, heart transplant patients also have a plethora of other
issues to consider when presenting for non-cardiac procedures and surgery. An accurate medication history is
First degree heart block Not normally present Increased Incidence important as immunosuppression and steroids are routine therapies, together with anticoagulants, statins and
Double P-wave Not present Donor and recipient SA node antihypertensives.
Arrhythmias Not normally present Common, may be transient. Heart A full panel of bloods should be taken including liver function and renal function tests to assess for end-organ
blocks common. 25% develop AF/ impairment that may result from graft dysfunction or adverse medication effects. Recent echocardiogram
atrial flutter. results, ECG and an assessment of exercise capacity and cardiopulmonary reserve are required in the
Ventricular arrhythmias may be a pre-operative workup. Six-minute walk tests and CPET can be useful investigations to get objective data
sign of vasculopathy or rejection. for perioperative planning together with documentation of NYHA score and overall assessment of exercise
capacity.
Right bundle branch block Not normally present 5-10%
Details of when the transplant was performed, at which institution, and any complications in the subsequent
Bradyarrhythmias Not normally present 10% require PPM
months and years should be reviewed. It is important to obtain an accurate idea of cardiac performance and
Carotid sinus massage No effect whether graft rejection is present or has been an issue in the past.
Valsalva No effect Venous and arterial access can be difficult and the right internal jugular vein should be avoided where possible
to facilitate future myocardial biopsy sampling. Patients may be receiving anticoagulants and may have a
Pharmacological differences with the transplanted heart permanent pacemaker or ICD in situ which should be interrogated prior to any surgical procedure. In the
Pharmacological management of heart transplant recipients requires awareness of the different intraoperative period great care should be taken with aseptic technique given the immunosuppressed state of
pharmacodynamic effects that commonly used drugs will have. These key differences have been summarised the patient, particularly when siting central venous catheters and arterial lines. Fluids should be administered
in Table 6. Only drugs which act directly on the heart will be effective; those which act via indirect mechanisms judiciously during surgery bearing in mind that the transplanted heart is pre-load dependent and unable to
involving the autonomic nervous system will be ineffective unless reinnervation has occurred which can be increase ejection fraction or heart rate considerably in the event of a sudden loss of intravascular volume. If
variable. Direct-acting chronotropic agents are required to stimulate heart rate (for example, isoproterenol or there is any doubt as to the clinical condition of the patient then liaison with cardiology services and discussion
dobutamine) and the effects of adrenaline and noradrenaline can be variable depending on intrinsic stores or with a transplant center is advised.
catecholamines and degree of reinnervation. Cautious titration is the safest approach to avoid exaggerated
effects. CONCLUSION
Table 6. Pharmacological differences in the transplanted heart. With increasing frequency of heart transplantation, and improved survival rates following transplantation,
the number of patients with heart transplants is increasing. Improvements in immunosuppression, patient
Drug Effects in transplanted heart selection for transplant, optimisation with preoperative VAD implantation and postoperative care have
led to post-transplant survival in excess of 10 years for most patients. With increased survival comes the
Dopamine Similar response in transplanted heart increased likelihood of patients presenting for non-cardiac surgery and thus a sound knowledge of the heart
Noradrenaline Exaggerated effect due to increased adrenoreceptor density transplantation process and the physiological and pharmacological changes that occur afterward are important
to ensure a safe transit through the perioperative process.
Adrenaline Exaggerated effect due to increased adrenoreceptor density
Metaraminol Effective, no reflex bradycardia REFERENCES
Phenylephirine (direct Effective, no reflex bradycardia 1. Barnard CN. The operation. A human cardiac transplant: an interim report of a successful operation performed at Groote
vasoconstrictor) Schuur Hospital, Cape Town. S Afr Med J. 1967;41(48):1271-4.
Epherdrine Decreased effect (indirect mechanism) 2. Melvin KR, Mason JW. Endomyocardial biopsy: its history, techniques and current indications. Can Med Assoc J.
1982;126(12):1381-6.
Dobutamine Exaggerated effect 3. Colombo D, Ammirati E. Cyclosporine in transplantation – a history of converging timelines. J Biol Regul Homeost Agents.
2011;25(4):493-504.
Digoxin (mixed direct and indirect) Inotropic effect remains intact, conduction effects on AV node likely to
4. Wilhelm MJ. Long-term outcomes following heart transplantation: current perspective. J Thorac Dis. 2015;7(3):549-51.
be absent
5. Australia and New Zealand Cardiothoracic Organ Transplant Registry. [Internet].
Isoprenaline Effective Available from: http://anzcotr.org.au/v3custom/2017/anzcotr_2017.pdf
6. International society for heart and lung transplantation. [Internet]. Available from: https://ishltregistries.org
7. Alraies MC, Eckman P. Adult heart transplant: indications and outcomes. J Thorac Dis. 2014 Aug;6(8):1120-8. 39. Taylor DO, Stehlik J, Edwards LB, et al. Registry of the International Society for Heart and Lung Transplantation: twenty-
8. Baumwol J. “I Need Help” – A mneumonic to aid timely referral in advanced heart failure. J Heart Lung Transplant. sixth official adult heart transplant report—2009. J Heart Lung Transplant. 2009;28:1007-22.
2017;36(5):593-4. 40. Kobashigawa J, et al. Report from a consensus conference on primary graft dysfunction after cardiac transplantation.
9. The Transplantation Society of Australia and New Zealand (TSANZ). Clinical guidelines for organ transplantation from J Heart Lung Transplant. 2014;(33):327-40.
deceased donors. [Internet]. Sydney: TSANZ; 2016. Available from: www.tsanz.com.au. 41. Takeda K, et al. Improved outcomes from extracorporeal membrane oxygenation versus ventricular assist device temporary
10. Overgaard CB, Dzacik V. Inotropes and vasopressors: review of physiology and clinical use in cardiovascular disease. support of primary graft dysfunction in heart transplant. J Heart Lung Transplant. 2017;36(6)650-6.
Circulation. 2008;118:1047-56. 42. Kaczorowski DJ, Datta J, Kamoun M, Dries DL ,Woo J. Profound hyperacute cardiac allograft rejection rescue with
11. Pacher B, et al. Prostaglandin E1 – bridge to cardiac transplantation. Eur Heart J. 1997;18:318-29. biventricular mechanical circulatory support and plasmapheresis, intravenous immunoglobulin, and rituximab therapy.
12. Uriel N, et al. Impact of long term left ventricular assist device therapy on donor allocation in cardiac transplantation. J Cardiothorac Surg. 2013;(8):48-52.
J Heart Lung Transplant. 2013:32(2);188-95. 43. Wilhelm MJ. Long term outcome following heart transplantation: current perspective. J Thorac Dis. 2015;7(3):549-51.
13. Grosman-Rimon L, Lalonde SD, Sieh N, Pakosh M, Rao V, Oh P, et al. Exercise rehabilitation in ventricular assist device 44. Guddeti RR, Matsuo Y, Matsuzawa Y, Aoki T, Lerman L, Kushwaha SS, et al. Clinical implications of intracoronary imaging
recipients: a meta analysis of effects on physiological and clinical outcomes. Heart Fail Rev. 2019;24(1); in cardiac allograft vasculopathy. Circ Cardiovasc Imaging. 2015;8(1). pii:e002636.
55-67. 45. Mallidi HR, Bates M. Pacemaker use following heart transplantation. Ochsner J. 2017;(17):20-4.
14. Jaimin R, et al. Survival on the heart transplant waiting list: impact of continuous flow left ventiruclar assist device as bridge 46. Tsai VW, et al. The efficacy of implantable cardioverter-defibrillators in heart transplant recipients – results from a
to transplant. Ann Thorac Surg. 2014;98:830-4. multicenter registry. Circ Heart Fail. 2009;2(3):197-201.
15. Bermudez AC, McMullan DM. Extracorporeal life support in preoperative and postoperative heart transplant management. 47. Youn JC, et al. Temporal trends of de novo malignancy development after heart transplantation. J Am Coll Cardiol.
Ann Transl Med. 2017;5(20):398. 2018;71(1):40-9.
16. Cunha SS, Miyazaki MC, Villafanha DF, Santos Junior Rd, Domingos NA. Psychological assessment of patients 48. Mancini D, Rakita V. Malignancy post heart transplantation – no free lunch. J Am Coll Cardiol. 2018;71:50-2.
undergoing cardiac transplant in a teaching hospital (2004 to 2012). Rev Bras Cir Cardiovasc. 2014;29(3):350-4. 49. Higgins SR, et al. A multi-institutional study of malignancies after heart transplantation and a comparison with the general
17. Humbert M, Guignabert C, Bonnet S, et al. Pathology and pathobiology of pulmonary hypertension: state of the art and United States population. J Heart Lung Transplant. 2014;33(5):478-85.
research perspectives. Eur Respir J. 2019;53(1). pii:1801887. 50. Regitz V, Bossaller C, Strasser R, Schiiler S, Hetzer R, Fleck E. Myocardial catecholamine content after heart
18. Murali S, et al. Preoperative pulmonary hemodynamics and early mortality after orthotopic cardiac transplantation: The transplantation. Circulation. 1990;82:620-3.
Pittsburgh experience. Am Heart J. 1993;126:896-904. 51. Awad M, et al. Early denervation and later reinnervation of the heart following cardiac transplantation: a review. J Am Heart
19. Galie N, et al. 2015 ESC/ERS Guidelines for the diagnosis and treatment of pulmonary hypertension: The Joint Task Assoc. 2016;5(11).pii:e004070.
Force for the Diagnosis and Treatment of Pulmonary Hypertension of the European Society of Cardiology (ESC) and 52. Nytrøen K, Gullestad L. Exercise after heart transplantation: an overview. World J Transplant. 2013;3(4):78-90.
the European Respiratory Society (ERS): Endorsed by: Association for European Paediatric and Congenital Cardiology
(AEPC), International Society for Heart and Lung Transplantation (ISHLT). Eur Heart J. 2016;(37):67-119.
20. Gorlitzer M et al. Is the transpulmonary pressure gradient a predictor for mortality after orthotopic cardiac transplantation?
Transpl Int. 2005;18(4):390-5.
21. Chatterjee NA, Lewis DG. Characterisation of pulmonary hypertension in heart failure using the diastolic pressure
gradient: limitations of a solitary measurement. JACC Heart Fail. 2015;3(1):17-21.
22. Drakos SG, et al. Effect of reversible pulmonary hypertension on outcomes after heart transplantation. J Heart Lung
Transplant. 2007;26(4):319-23.
23. Mancini DM, Eisen H, Kussmaul W, Mull R, Edmunds LH, Wilson JR. Value of peak exercise oxygen consumption for
optimal timing of cardiac transplantation in ambulatory patients with heart failure. Circulation. 1991;83(3):778-86.
24. Ferreira AM, et al. Ventilatory efficiency and the selection of patients for heart transplantation. Circ Heart Fail. 2010;3:378-
86.
25. Peterson LR, Schechtman KB, Ewald GA, et al. Timing of cardiac transplantation in patients with heart failure receiving
betaadrenergic blockers. J Heart Lung Transplant. 2003;22:1141-8.
26. Francis DP, et al. Cardiopulmonary exercise testing for prognosis in chronic heart failure: continuous and independent
prognostic value from VE/VCO2slope and peak VO2. Eur Heart J. 2000;21(20):154-61.
27. McKeown DW, Bonser RS, Kellum JA. Management of the heartbeating brain-dead organ donor. Br J Anaesth.
2012;(108):96-107.
28. Dujardin KS, McCully RB, Wijdicks EF et al. Myocardial dysfunction associated with brain death: clinical,
echocardiographic, and pathologic features. J Heart Lung Transplant. 2001;(20):350-7.
29. Hsich EM. Matching the market for heart transplantation. Circ Heart Fail. 2016;9(4):e002679.
30. United Network for Organ Sharing (UNOS). Critical pathway for the organ donor. [Internet]. Richmond (VA): UNOS;
2002. Available from: https://unos.org/wp-content/uploads/unos/critical_pathway.pdf.
31. Weiss ES, et al. Development of a quantitative donor risk index to predict short-term mortality in orthotopic heart
transplantation. J Heart Lung Transplant. 2012;31:266-73.
32. Ford MA, et al. Association of graft ischemic time with survival after heart transplant among children in the United States.
J Heart Lung Transplant. 2011;30(11):1244-9.
33. Ardehali A, Esmailian F, Deng M, et al. Ex-vivo perfusion of donor hearts for human heart transplantation (PROCEED II): a
prospective, open-label, multicentre, randomised non-inferiority trial. Lancet. 2015;385:2577-84.
34. Cheitlin MD et al. ACC/AHA/ASE 2003 guideline update for the clinical application of echocardiography: summary
article a report of the American College of Cardiology/American Heart Association Task Force on practice guidelines
(ACC/AHA/ASE Committee to update the 1997 guidelines for the clinical application of echocardiography) Circulation.
2003;108:1146-62.
35. Cheng A, Slaughter MS. Heart Transplantation. J Thorac Dis. 2014;6(8):1105-9.
36. Davies RR et al. Standard versus bicaval techniques for orthotopic heart transplantation: An analysis of the United
Network for Organ Sharing database. J Thorac Cardiovasc Surg. 2010;140:700-8.
37. Ramakrishna H, Jaroszewski DE, Arabia FA. Adult cardiac transplantation: a review of perioperative management. Part I.
Ann Card Anaesth. 2009;12:71-8.
38. Segovia J, et al. RADIAL: A novel primary graft failure risk score in heart transplantation. J Heart Lung Transplant.
2011;(30)6:644-51.
74 Australasian Anaesthesia 2019 – Circulation Preventing vascular damage during central venous catheter insertion via the internal jugular vein 75
Preventing vascular damage during central venous catheter

insertion via the internal jugular vein
Jennifer Bath MBChB (Hons), BSc (Hons), FANZCA
Staff specialist anaesthetist, The Canberra Hospital, ACT.
Dr Jennifer Bath is a consultant anaesthetist at the Canberra Hospital, with special interests in difficult airway
management, perioperative medicine and medical education.
Andrew Deacon MBBS, FANZCA

Staff specialist cardiothoracic anaesthetist, The Canberra Hospital, ACT.
Dr Andrew Deacon is a consultant cardiothoracic anaesthetist at the Canberra Hospital, Canberra, Australia,
and a clinical lecturer at The Australian National University. He completed a fellowship in perioperative
echocardiography at the Civic Hospital, Ottawa, Canada, and a fellowship in thoracic anaesthesia at Toronto
General Hospital, Toronto, Canada.
Alister Jones MBBS, BSc (Med), FRACS

Consultant Vascular Surgeon, The Canberra Hospital, ACT.
Dr Alister Jones is a consultant vascular surgeon with significant experience in both open and endovascular
surgery. His special interests include peripheral arterial disease, complex aortic endografting, carotid surgery,
open and endovenous surgery and vascular access surgery.
INTRODUCTION
Central venous catheters (CVCs) are utilised widely in the critical care environment, however their utilisation
is not without risk. Significant morbidity and mortality can result from complications relating to their insertion,
creating a healthcare burden in patient quality of life, hospital days and cost. Internationally, closed claim
data suggest that the majority of mechanical complications associated with CVCs are vascular injuries, and
most often, preventable1-3. Relevant injuries include arterial injury, venous injury, and subsequent bleeding
and haematoma. Safe vascular access is integral to anaesthetic and critical care practice, and the diligent
application of evidence-based prevention measures aims to reduce future morbidity. Strategies to prevent,
recognise and manage vascular complications in reference to internal jugular vein (IJV) catheterisation will be
discussed.
ARTERIAL INJURY
Inadvertent arterial puncture with a small needle (18-gauge or smaller) occurs in 4.3-9.3% of landmark based
CVC placements in reported series4,5, and in 1.8% of placements using real-time ultrasound guidance6. In
the majority of cases these are easily recognisable secondary to pulsatile flow and the bright red colour of
oxygenated blood, however recognition may be difficult in infants, hypotensive or hypoxaemic patients, and in
time-pressured emergency situations. While a small needle puncture appears harmless in the majority of cases,
puncture of the carotid artery may cause stroke7; a local haematoma or false aneurysm may cause skin and
soft tissue pressure necrosis, upper airway compression or compression neuropathy; and if the needle also
traverses a vein, there is potential for arterio-venous fistula formation. Arterial dissection, thrombosis, embolus
and unintentional catheterisation may cause distal ischaemic damage, with particular relevance to the carotid
artery. Accidental arterial catheterisation has a reported incidence of 0.1-1%, and may result in haemorrhage,
pseudoaneurysm, stroke or death8.
VENOUS INJURY
While most emphasis is placed on preventing arterial injury during CVC placement, potentially life-threatening
injuries to the superior vena cava, mediastinal vessels and right atrium have been reported. Venous injury may
manifest as a localised haematoma, or as bleeding or extravasation into the mediastinum, pleura, peritoneum,
pericardium or other space. This may cause haemodynamic compromise, cardiac tamponade or haemothorax1,9.
The proposed mechanism for venous injury is that the guidewire becomes trapped against the wall of the vein,
and subsequent advancement of a dilator or catheter tears or perforates the vessel wall (Figure 1). Such linear
lacerations can lead to catastrophic haemorrhage. Whilst catheter placement in the right atrium has previously
been favoured due to lower rates of thrombosis, the risk of atrial perforation has changed recommendations
such that the atrial-caval junction is now a preferred target position10. Catheter placement in the right atrium Defining a competent practitioner in objective terms is, however, difficult. Competence is often determined
can also cause local myocardial irritation and supraventricular arrhythmias, which if unrecognised, can cause after performing a predetermined number of procedures, or after subjective assessment by a practitioner who
significant haemodynamic compromise. is deemed competent. Other more objective systems have been suggested, using global rating scales or
checklists15. As such, the 2012 task force15 recommend that clinical competence be determined by observation
Haematoma formation has been reported in up to 4.7% of all catheter placements11. While this is most often
during clinical practice using a global rating scale, rather than by the performance of a target number of
non life-threatening, the pleural space and mediastinum are potential spaces where hidden haemorrhage can
procedures. Notably, assessment of CVC insertion suits a checklist format, being a sequential and predictable
occur. Communication with the pleural cavity from a perforating vein (or artery) can lead to a rapidly developing,
process. Each component of the skill can be performed, observed and assessed, and the practitioner deemed
life-threatening haemothorax. Similarly placed small fluid collections can also be a source of infection, with
competent when they complete all components proficiently. An example of such a checklist is included in
potential abscess formation. Haemothorax should be considered as an important differential diagnosis if blood
Appendix 1.
cannot be aspirated from an attempted internal jugular or supraclavicular catheter.
Insertion attempts
Figure 1. Guidewire impingement upon the posterior wall of the vein, with subsequent damage The incidence of mechanical complications after three or more insertion attempts is reported as six-fold greater
to the vessel wall on advancement of a dilator or catheter. than after one attempt17. Seeking assistance if an operator is unable to insert a catheter after three attempts
seems prudent, with consideration of an alternative insertion site.
Site selection
Catheter insertion site should be based on clinical need, alongside practitioner judgement, experience and
skill18. Internal jugular and subclavian venous catheterisation carry similar risks of mechanical complications
(Table 1, from McGee et al12), however subclavian catheterisation is comparatively more likely to be complicated
by pneumothorax and haemothorax, whereas internal jugular catheterisation is more likely to be associated with
arterial puncture. Haematoma and arterial puncture are common during femoral venous catheterisation, yielding
a higher overall complication rate than both subclavian and internal jugular routes, however the rate of serious
mechanical complications is low for all three routes. Given that mechanical complications are most likely during
catheterisation at the femoral site, however, the internal jugular or subclavian venous route should be chosen
unless contraindicated12.
Table 1. Frequency of mechanical complications, according to the route of catheterisation.

Reproduced with permission from McGee12.
Frequency (%)
Complication
Internal jugular Subclavian Femoral
Arterial puncture 6.3-9.4 3.1-4.9 9.0-15.0
Haematoma <0.1-2.2 1.2-2.1 3.8-4.4
Haemothorax NA 0.4-0.6 NA
Pneumothorax <0.1-0.2 1.5-3.1 NA

PREVENTING VASCULAR COMPLICATIONS
Total 6.3-11.8 6.2-10.7 12.8-19.4
Factors associated with fewer mechanical complications include increased operator experience, considered site
selection, optimal patient positioning, fewer insertion attempts, ultrasound guidance and pressure monitoring.
Patient positioning
Operator experience
Where clinically appropriate and feasible, central venous access in the neck should be performed with the
As with most medical procedures, the level of experience of the proceduralist influences the risk of patient in the Trendelenburg position. Non-randomised studies indicate a greater diameter and cross sectional
complications12. A prospective cohort study using a landmark technique revealed that operators who had area of the IJV in this position compared to supine positioning18. Trendelenburg positioning additionally creates
previously inserted more than 50 CVCs were more likely to be successful at inserting subsequent CVCs, with positive venous pressures in the spontaneously breathing patient, thereby reducing the risk of air embolism.
fewer complications13. Recognition of the importance of adequate operator experience has prompted many Avoidance of greater than 45-degree head rotation is also recommended in order to minimise overlap of the IJV
hospitals to require that a certain number of successful CVC insertions be performed before an operator can with the closely related carotid artery19,20.
practice without supervision.
Guidance and verification of needle, wire and catheter placement
A guideline from the United Kingdom’s National Institute of Clinical Excellence (NICE) in 2002 recommended
that all those involved in placing CVCs using 2-dimensional (2D) ultrasound undertake appropriate training Verification of correct venous placement of a CVC may be considered as a two-step process, with confirmation
to achieve competence14, and in 2012 an international consensus task force was convened to provide of the introducer needle within the target vessel first, before subsequent confirmation of venous placement of
evidence-based recommendations for training and insertion of CVCs15. They concluded that safe insertion the introducer cannula or wire prior to dilation and catheterisation.
and management of central venous devices requires standardisation of education, simulation practice, and a. Needle insertion
supervised insertions. Education should include didactic or web-based teaching covering insertion procedures,
Methods to confirm needle placement within a vein include observation of blood flow from the needle, blood
infection prevention, complications, and the care and maintenance of devices, alongside laboratory model
gas analysis or use of real time ultrasound. The traditional method of observing the colour and pulsatility of
utilisation and simulation practice. Detailed competencies and assessment methods are outlined in the
blood from the needle hub is unreliable21. Measurement of blood gases to assess the degree of oxygenation is
Anaesthesia and Intensive Care Medicine Curricula from the Royal College of Anaesthetists, with formal training
limited by potential arteriovenous shunting, and the impractical delay required for a result. Real time ultrasound
in the form of courses, simulation labs and apprenticeship models16.
guidance is a practical, reliable alternative.
Real-time 2D ultrasound guidance is superior to landmark-guided techniques, and is recommended whenever Figure 2. Out-of-plane IJV needle insertion. Needle shaft is visualised in the vein, while the needle
equipment and experience are available, particularly for CVC insertion into the IJV22. Dynamic ultrasound tip has inadvertently advanced into the neighbouring carotid artery.
allows visualisation of the vein and assessment of compressibility (patency) and expansion of the vein in the
Trendelenberg position, the absence of which is a surrogate marker for central venous stenosis or occlusion.
Real-time ultrasound imaging additionally avoids blind seeker needle use, and allows the anatomical relations of
the IJV to be defined; local pathology to be identified; and aids guidance of needle movement. Meta-analyses
confirm superiority of ultrasound guidance to the landmark technique for first insertion attempt success
rate, access time, overall successful cannulation rate, and reduced complications (namely arterial puncture,
haematoma and haemothorax) with the IJV approach23,24. The pooled results of one meta-analysis indicated
a rate of arterial puncture with ultrasound use of 37/2009 (1.8%), compared to 196/2018 (9.7%) when
landmarks are used6. Randomised controlled trials additionally report fewer insertion attempts with real time
ultrasound for both the IJV and subclavian vein approach, ranging from 1-1.75 attempts with ultrasound to 1.9-
3.12 attempts using landmark techniques25-29. Puncture needle ultrasound visualisation may also be enhanced
by using an 18G micropuncture needle with an echogenic tip.
Two Cochrane analyses confirmed a benefit of using ultrasound for IJV CVCs, but not for femoral or subclavian
routes30,31. The advantage of ultrasound guidance for the subclavian approach is diminished by anatomical
interference from the clavicle, however the latter result may rather reflect a lack of adequate studies rather than
an inherent failure of ultrasound at other sites. As such, guidelines for safe vascular access from the Association
of Anaesthetists of Great Britain and Ireland recommend routine use of ultrasound for all routes of access,
and numerous national guidelines similarly recommend the use of ultrasound during CVC placement, including
those from NICE in the United Kingdom14, the American Society of Anesthesiologists18, and the American
Society of Echocardiography and the Society of Cardiovascular Anesthesiologists32.
b. Guidewire insertion
Techniques to confirm intravenous location of the guidewire (and introducer cannula) and avoid arterial
placement include blood gas analysis, ultrasound visualisation of the wire in the target vessel, pressure
monitoring, fluoroscopy, transoesophageal echocardiography, and chest radiography. Ultrasound guidance can be best utilised to identify the exact location of the relevant vein, enabling fewer and
more accurately directed needle punctures, expediting reliable venous cannulation. Complimentary use of
pressure monitoring can then be utilised to further minimise the risk of arterial catheterisation, by confirming
Ultrasound
venous wire placement prior to dilation of the vessel.
Blood gas analysis via an introducer cannula is limited as described previously, but may be considered in
conjunction with additional measures. While the value of ultrasound guidance is well established in the Pressure monitoring
literature, and should be adopted to check guidewire placement, it does not eliminate the risk of arterial Pressure measurement is a highly reliable method for distinguishing artery from vein, and can be used alone,
puncture. There are numerous reports of inadvertent large bore arterial catheterisation despite the use of or in combination with ultrasound guidance to confirm guidewire placement and thereby prevent subsequent
ultrasound guidance33-36. Reasons this may occur include: inadvertent arterial catheterisation37,5,4. Methods include column manometry, connection to a pressure
• Failure to visualise the needle tip with a short axis ultrasound view: whilst the shaft of a needle may be transducer via sterile tubing, or utilisation of a single use pressure transducer device. In a series of over 1700
imaged in the vein, the needle tip can unknowingly be in the adjacent artery. Accurate needle tip location is a CVC insertions, Ezaru et al37 and Jobes et al5 reported that without pressure monitoring, reliance upon colour
skill that requires multiple ultrasound views and considerable operator skill (Figure 2). or pulsatility would have resulted in an arterial catheterisation rate of 0.8%, with 14 arterial punctures identified
only by pressure monitoring. Similarly, Oliver et al4 correctly identified all arterial punctures using pressure
• Inadvertent migration of a needle into the artery during syringe manipulation or guidewire insertion. Use of a transduction in a series of 1172 CVC insertions (incidence of 9.3%), with no arterial catheterisations as a
non Luer lock syringe allows easier removal of the syringe from the needle compared to a Luer lock syringe, result.
minimising needle movement. While a guidewire-through-syringe option is available to further minimise
needle movement, the authors do not recommend this technique, as pulsatile flow from an arterial puncture Column manometry is a simple, inexpensive technique, whereby a length of sterile tubing is connected to
may be missed. the hub of the introducing needle or cannula and partially filled with blood (Figure 3). This can be achieved
• Veno-arterial guidewire placement: the guidewire may pass through the posterior wall of the vein into an either by holding the tubing below the level of the heart, or by aspiration. Use of a cannula minimises the risk
adjacent artery, which may not be appreciated on ultrasound imaging. This is particularly relevant for the of inadvertent needle movement when connecting the sterile tubing directly to the insertion needle, and is
subclavian and brachiocephalic arteries which lie deep to the clavicle, and may not be easily visualised with the technique of choice. The cannula can be inserted directly over the insertion needle (a modified Seldinger
ultrasound, and in the low internal jugular approach. technique), or over the guidewire (Seldinger technique), and the guidewire removed. After the tubing is partially
filled with blood, it is held vertically above the patient, and the blood/air interface will settle at the level of
hydrostatic pressure in the vessel cannulated. If the vessel is venous, the blood/air interface will fall indicating a
low pressure system. If the vessel is arterial, the blood will rise to the top of the tubing and overflow. If the level
does not change, the test is equivocal, and the sterile tubing can be handed to an assistant to connect to a
manometer for pressure measurement, waveform analysis and/or blood gas sampling.
We recommend that column manometry be the second step, after use of ultrasound, in confirming that the
guidewire (and introducer cannula) is in a venous location, prior to dilation of the vessel and subsequent
insertion of a large bore catheter.
Figure 3. Tube manometry to confirm venous pressure prior to dilation of vein. A sterile length of Similarly, where trained operators and availability allow, transoesophageal echocardiography is an alternative
tubing is connected to a cannula, partially filled with blood, held vertically above the patient, and technique that can be used to correctly identify the presence of a guidewire in the superior vena cava or right
the blood air interface allowed to settle. atrium in a mid-oesophageal bicaval view, with case reports indicating utility in this setting16.
PROPOSED OPTIMAL TECHNIQUE

In summary, the proposed optimal evidence based technique for IJV cannulation is as follows. The patient is
placed in the Trendelenburg position, with <45 degree head rotation, optimising IJV filling and reducing overlap
with the adjacent carotid artery. Real-time 2D ultrasound is then utilised to identify the anatomy of the target
vein and surrounding structures, and allow guidance of needle depth and angulation. By following the position
of the needle tip in short access at all times, the risk of arterial puncture is minimised. Upon venous cannulation,
the needle is immobilised at the skin with a pincer grip, bracing the medial aspect of the steadying hand on
the skin surface, allowing the guidewire to be advanced gently via a Seldinger technique, minimising the risk of
inadvertent needle advancement from the target vein. The introducing needle is then carefully removed, and real
time ultrasound utilised to verify the position of the guidewire within the target vessel. Alternatively, a cannula
over needle technique can be utilised in a modified Seldinger technique, whereby the cannula is advanced
directly over the inserting needle into the vein, and the guidewire subsequently inserted via the cannula. Prior
to dilation with an introducer, complementary use of pressure monitoring, through column manometry via
an introducer cannula, is utilised to confirm venous placement of the guidewire. Arterial blood gas sampling
may optionally be incorporated at this stage if desired. The guidewire is re-inserted, and the dilator advanced
cautiously over the guidewire with gentle rotation, ensuring free movement of the wire within the dilator at all
times. Risk of impingement of the guidewire on the posterior wall of the vein is thereby minimised. Insertion
of the CVC over the guidewire follows, and all lumens aspirated and flushed to identify an inadvertent CVC
insertion through the wall of a vein (where one or more orifices no longer reside in the target vessel). This video
illustrates this technique: https://www.youtube.com/watch?v=77hS_2Evwjs&t=1s.
Chest X-ray or fluoroscopy is then used to confirm the position of the distal CVC in order to minimise longer
term complications such as vessel wall erosion or atrial rupture. Real time ECG guidance may be incorporated,
however the need for specialised equipment limits the utility of this tool. Table 2, adapted from Ho et al39,
summarises this process.
Table 2. Insertion process for CVC. Adapted with permission from Ho et al39.
Step during CVC insertion Prevention strategy Rationale
Fluoroscopy and echocardiography Identification of target Position: Identify anatomical variations and
vessel • Trendelenberg. relative position of carotid artery.
Fluoroscopy can be utilised to identify the anatomical location of the entire course of a guidewire, offering an
• Avoid neck rotation >45 degrees.
advantage over ultrasound, which is limited to the vascular insertion point. Indeed, direct visualisation under
fluoroscopy is likely the optimal method to minimise the risk of vessel or atrial injury, observing the course of Use real-time 2D ultrasonography to
the guidewire and subsequent real time advancement of the CVC, with confirmation of tip position21. If a CVC identify anatomy of target vein and
rests against a vessel at an angle greater than 40 degrees, the risk of perforation increases38, and this can be surrounding structures.
ascertained via fluoroscopy or plain chest radiography. Given that the location of the wire is inferred indirectly
using knowledge of the different location and course of adjacent arteries and veins, however, errors may still Accessing the vein Real-time ultrasound imaging to follow Minimise risk of arterial puncture.
occur21, and evidence in the literature is insufficient to assess its efficacy in this setting16. Fluoroscopy may, needle tip during insertion, and guide Cannula will not perforate a vein if
however, prove useful to confirm line patency and position via digital subtraction angiography where uncertainty needle angulation and depth: accidentally moved.
exists. Limited availability and time pressures limits widespread utilisation of fluoroscopy in the critical care 1st line – cannula. Needle may be technically
environment at present. 2nd line – needle. less challenging to insert for
Careful attention to guidewire resistance during guidewire insertion is mandatory. Resistance to guidewire inexperienced operators.
advancement can result from: Guidewire insertion Use pincer grip to immobilise needle at Minimise inadvertent needle
• Wall dissection or “through and through” wall puncture. insertion site while bracing the medial movement and subsequent
• Retrograde advancement toward the brain. aspect of the steadying hand on the skin displacement from target vein.
surface.
• Central venous stenosis.
Advance guidewire gently, stop if
• Tracking of the wire into the subclavian or azygos veins.
resistance.
Abnormal wire placement increases the risk of venous injury with subsequent advancement of a CVC, and
the guidewire should be removed in such cases where resistance is encountered, or fluoroscopy utilised to
further clarify guidewire position. Additional strategies to avoid and identify entrapment of the guidewire are
encouraged. Ensuring that the guidewire can be moved back and forth freely during insertion of the dilator or
CVC is suggested. Rotation of the dilator during insertion to prevent impingement on the guidewire is also
recommended in order to minimise trauma to the posterior vessel wall.
Management will depend on patient, anaesthetic and surgical factors, including insertion site, catheter size,
Step during CVC insertion Prevention strategy Rationale
clinical setting, presence of arterial disease or thrombus, anticoagulation status and patient stability. Immediate
Two step verification of Ultrasound confirmation of venous Minimise risk of inadvertent removal of an accidental arterial catheter can result in uncontrolled haemorrhage, pseudoaneurysm and
venous location guidewire position at least 5-10cm distal through and through guidewire arteriovenous fistula formation, particularly in the anticoagulated patient21. The “pull and pressure” approach,
to insertion point. insertion into an adjacent artery. using direct pressure or a vascular closure device, may be reasonable in the event of femoral artery cannulation,
Column manometry: insert access Confirm venous wire placement as would occur following deliberate arterial cannulation for coronary angiography or similar interventional
cannula over guidewire, remove prior to vessel dilation. procedures. This approach is problematic for the carotid and subclavian arteries, where effective compression
guidewire, perform column manometry cannot be achieved safely. Studies demonstrate that leaving an arterial catheter in place, with prompt repair,
via sterile tubing, re-insert guidewire. carries less mortality and morbidity than catheter removal with pressure8,40. The trauma classification of the
zones of the neck, by Monson et al41, is utilised to guide surgical management (see Figure 4). This divides the
Consider blood gas analysis. neck into three anatomical regions: zone I extends from the base of the neck to 1cm above the clavicle, zone II
Transoesophageal echo or fluoroscopy is the segment from 1cm above the clavicle to the angle of the mandible, and zone III extends from the angle of
may be utilised where available. the mandible to the base of the skull. Injuries in zone I require a sternotomy or endovascular approach for repair,
whereas those in zone II may be repaired with direct pressure, open cutdown, or endovascular techniques.
Vessel dilation Anchor guidewire appropriately during Avoid inadvertent withdrawal of
introduction and removal of dilator. guidewire from vein into dilator
Figure 4. Monson’s classification of the neck. Zone I extends from the base of the neck to
Ensure free movement of guidewire and subsequent damage to
1cm above the clavicle, zone II is the segment from 1cm above the clavicle to the angle of the
during advancement of dilator. posterior wall of vein.
mandible, and zone III extends from the angle of the mandible to the base of the skull.
Rotate dilator during advancement. Avoid impingement of guidewire Illustration by J Bath.
on posterior wall of vein.
CVC placement check Check all lumens of CVC aspirate and Detect inadvertent CVC insertion
flush freely. through wall of vein (where one or
Chest X-ray or fluoroscopy. more orifices no longer reside in
target vessel).
Determine position of distal
CVC to minimise longer term
complications, for example, vessel
wall erosion, atrial rupture.
MANAGING ARTERIAL INJURY

Inadvertent arterial injury should be suspected in any case where there is:
• Excessive bleeding during insertion of the guidewire or introducer.
• Retrograde flow within catheter/infusion sets.
• Activation of high-pressure alarms on infusion pumps.
• Abnormal catheter passage on chest x-ray.
• Arterial waveform upon pressure transduction.
Needle puncture
Removal of a small 22- or 25-gauge needle from a carotid artery, with application of pressure to prevent
haemorrhagic complications, is a common management approach that is likely inconsequential in the majority Guilbert et al8 performed a literature review of 30 published cases of subclavian or carotid injury, and noted
of cases8. Many cases are likely underreported in both the patient’s medical record and in the literature. the pull and pressure technique to be associated with a high (47%) incidence of serious complications
Complications of this approach appear infrequent, with few reports of major morbidity. External compression such as major stroke and death, whereas open surgical or endovascular repair was not associated with
for 5 to 10 minutes, with clinical assessment of bleeding and haematoma, followed by appropriate imaging to any additional morbidity or mortality. Similarly, in their own series of 13 patients with cervicothoracic arterial
exclude significant complications is suggested. Postoperative embolic stroke has been described in patients injury, all 5 patients managed with the pull and pressure approach had major complications, in comparison
with significant carotid atherosclerotic disease whose carotid artery puncture under general anaesthesia was to no complications with open surgical (6 cases) or endovascular repair (2 cases). In an attempt to reduce
managed with removal and compression. Following a literature review and case series, Guilbert et al8 suggest further morbidity, Ho et al39 have modified the algorithm proposed by Guilbert for management of inadvertent
postponing elective surgery for certain patients, such as those with carotid atherosclorotic disease, more than cannulation of the carotid artery, as detailed below (Figure 5).
one arterial puncture, or in the presence of haematoma, with 24 hour neurological follow up.
Arterial catheterisation
While diligent use of ultrasound guidance and pressure monitoring should minimise the incidence of inadvertent
arterial catheterisation, knowledge of the appropriate management of such a complication is vital. Options
include:
• Removing the catheter and applying pressure (“pull and pressure”).
• Direct surgical repair.
• Endovascular repair.
Figure 5. Algorithm for the management of inadvertent catheterisation of the carotid artery. Figure 6. Open repair of a through-and-through injury of the internal jugular vein into
Reproduced with permission from Ho et al39. the carotid artery. Reproduced with patient consent.
MANAGING VENOUS INJURY

Given the variable severity of venous injuries, namely a small venous haematoma versus an expanding
haemothorax or cardiac tamponade, management will depend on clinical assessment and appropriate imaging
where required. A simple chest X-ray for all IJV CVCs is recommended to both assess CVC position, and
exclude acute life-threatening injuries such as massive haemothorax. Early consultation with vascular surgery to
guide management is advised.
Large arterial catheters (≥ 7F) should be left in place and their safe removal discussed urgently with a vascular
surgeon. If the site is easily accessible surgically, such as the carotid artery, direct exploration, removal of
the catheter and arterial repair are recommended (Figure 6). Conversely, if the site is not easily accessible
surgically, such as a subclavian arterial injury, endovascular repair is recommended42. Management options
in this scenario include stent placement, utilisation of a vascular closure device, tract embolisation or gradual
downsizing of catheters. Under no circumstances should prolonged arterial cannulation be tolerated, and
heparinisation should be considered in the event that immediate treatment is not possible.
Appendix 1. Central line insertion checklist REFERENCES

Hand hygiene  1. Domino KB, Bowdle TA, Posner KL, Spitellie PH, Lee LA, Cheney FW. Injuries and liability related to central vascular
catheters: a closed claim analysis. Anesthesiology. 2004;100:1411-8.
τ Operator and assistant cleanse hands 2. Cook T. Litigation related to central and peripheral venous access by anaesthetists: an analysis of claims against the NHS
in England 1995-2009. Anaesthesia. 2011;66:56-7.
Skin prep performed  3. Singleton RJ, Webb RK, Ludbrook GL, Fox MA. The Australian Incident Monitoring Study. Problems associated with
τ Chlorprep© (alcoholic chlorhexidine) 10.5mL adaptor used and prep allowed to vascular access: an analysis of 2000 incident reports. Anaesth Intensive Care.1993; 21: 664–9.
dry 4. Oliver WC Jr, Nuttal GA, Beynen FM, Raimundo HS, Abenstein JP, Arnold JJ. The incidence of artery puncture with central
venous cannulation using a modified technique for detection and prevention of arterial cannulation. J Cardiothoracic Vasc
Aseptic technique  Anesth. 1997;11:851-5.
Pre-procedure
τ Operator to perform surgical scrub 5. Jobes DR, Schwartz AJ, Greenhow DE. Safer jugular vein cannulation: recognition of arterial puncture and preferential use
of the external jugular route. Anesthesiology. 1983;59:353-5.
τ Operator wearing hat, mask, sterile gown, sterile gloves 6. Wu S, Ling Q, Cao L, Wang J, Xu M, et al. Real-time two-dimensional ultrasound guidance for central venous cannulation:
τ Sterile drape covering patient’s body A meta-analysis. Anesthesiology. 2013;118(02), 361-75.
7. Reuber M, Dunkley LA, Turton EP, Bell MD, Bamform JM. Stroke after jugular venous cannulation. Acta Neurol Scand.
τ Sterile cover for ultrasound probe 2002;105:235-9.
Ultrasound guidance for internal jugular vein insertions  8. Guilbert MC, Elkouri S, Bracco D, Corriveau MM, Beaudoin N, Dubois MJ, et al. Arterial trauma during central venous
catheter insertion: Case series, review, and proposed algorithm. J Vasc Surg. 2008;48(3):918-25.
Confirmation of venous placement of access needle or access cannula using a  9. Bodenham A. Reducing major procedural complications from central venous catheterisation. Anaesthesia. 2011;66:6-9.
minimum of 2 methods 10. Kornbau C, Lee KC, Hughes GD, Firstenberg MS. Central line complications. Int J Crit Illn Inj Sci. 2015;5(3):170-8.
τ Ultrasound confirmation of wire placement 11. Vats HS. Complications of catheters: tunneled and nontunneled. Adv Chronic Kidney Dis. 2012;19:1988-94.
τ Column manometry 12. McGee DC, Gould MK. Prevention of complications of central venous catheterisation. N Engl J Med. 2003;348:1123-33.
13. Sznajder JI, Zveibel FR, Bitterman H, Weiner P, Bursztein S. Central vein catheterisation: failure and complication rates by
τ Pressure transduction three percutaneous approaches. Arch Intern Med. 1986;146;259-61.
τ Blood gas 14. National Institute for Health and Care Excellence (NICE). Guidance on the use of ultrasound locating devices for placing
central venous catheters. Technology appraisal guidance (TA49). [Internet]. London (UK): NICE; 2002. Available from:
Guidewire removed  https://www.nice.org.uk/guidance/ta49/documents/final-appraisal-determination-ultrasound-locating-devices-for-placing-
Vessel dilation  central-venous-catheters. Accessed 14 March 2019.
15. Moureau N, Lamperti M, Kelly LJ, Dawson R, Elbarbary M, van Boxtel AJH, Pittiruti M. Evidence-based consensus on the
τ Free movement of guidewire within dilator during advancement insertion of central venous access devices: definition of minimal requirements for training. Br J Anaesth. 2013;110(3):347-56.
During procedure
Catheter secured and dressed with appropriate dressing  16. Bodenham A, Babu S, Bennett J, Binks R, Fee P, Fox B, et al. Association of Anaesthetists of Great Britain and Ireland:
Safe vascular access 2016. Anaesthesia. 2016;71(5):573-85.
τ All lumens of catheter aspirated and flushed 17. Mansfield PF, Hohn DC, Fornage BD, Gregurich MA, Ota DM. Complications and failures of subclavian vein
τ Flat stopcock catheter caps placed on all lumens catheterisation. N Engl J Med 1994;127:267-74.
τ Catheter sutured in place 18. Rupp SM, Apfelbaum JL, Blitt C, Caplan RA, Connis RT, Domino KB, et al. Practice guidelines for central venous
access: a report by the American Society of Anesthesiologists Task Force on central venous access. Anesthesiology.
τ Transparent bio-occlusive dressing applied with sterile technique 2012;116:539–73.
19. Merritt RL, Hachadorian ME, Michaels K, Zevallos E, Mhayamaguru KM, Closser Z, Derr C. The effect of head rotation on
Three step confirmation of catheter placement 
the relative vascular anatomy of the neck: Implications for central venous access. J Emerg Trauma Shock. 2018;11:193-6.
τ Ensure all lumens of CVC aspirate and flush freely 20. Wang R, Snoey ER, Clements RC, Hern HG, Price D. Effect of head rotation on vascular anatomy of the neck: an
τ Transduce brown (distal) lumen to ensure venous pressure ultrasound study. J Emerg Med. 2006;31:283-6.
21. Bowdle A. Vascular complications of central venous catheter placement: evidence- based methods for prevention and
τ Chest X-ray or fluoroscopy treatment. J Cardiothorac Vasc Anesth. 2014;28(2):358-68.
Infusions connected to appropriate lumens  22. Young MP. Complications of central venous catheters and their prevention. [Internet]. Davidson I, Manakere S, ed.
UpToDate. Waltham, MA: UpToDate Inc. Available from: https://www.uptodate.com/contents/complications-of-central-
τ Brown (distal) - CVP monitoring, bolus drugs venous-catheters-and-their-prevention/print. Accessed 27 February 2019.
Post procedure
τ Blue - vasopressors + inotropes 23. Randolph AG, Cook DJ, Gonzales CA, Pribble CG Ultrasound guidance for placement of central venous catheters: a
meta-analysis of the literature. Crit Care Med. 1996;24:2053-8.
τ White - vasodilators
24. Hind D, Calvert N, McWilliams R, Davidson A, Paisley S, Beverley C, Thomas S. Ultrasound locating devices for central
τ Grey (largest diameter) - fluids, miscellaneous drugs venous cannulation: meta-analysis. BMJ. 2003;327:361.
CVC sticker placed in patient progress notes 25. Karakitsos D, Labropoulos N, De Groot E, Patrianakos AP, Kouraklis G, Poularas J, et al. Real-time ultrasound-guided

catheterisation of the internal jugular vein: a prospective comparison with the landmark technique in critical care patients.
Crit Care. 2006;10:R162.
26. Mallory DL, McGee WT, Shawker TH, Brenner M, Bailey KR, Evans RG, et al. Ultrasound guidance improves the success
rate of internal jugular vein cannulation: a prospective, randomized trial. Chest. 1990; 98:157–60.
ACKNOWLEDGMENTS
27. Verghese ST, McGill WA, Patel RI, Sell JE, Midgley FM, Ruttimann UE. Ultrasound-guided internal jugular venous
Penny Deacon for illustrations, Freya Aaskov for assistance with production of the video for training purposes, cannulation in infants: a prospective comparison with the traditional palpation method. Anesthesiology. 1999; 91:71–7.
and others who helped proofread. 28. Gualtieri E, Deppe SA, Sipperly ME, Thompson DR. Subclavian venous catheterisation: greater success rate for less
experienced operators using ultrasound guidance. Crit Care Med. 1995; 23:692–7.
29. Fragou M, Gravvanis A, Dimitriou V, Papalois A, Kouraklis G, Karabinis A, et al. Real-time ultrasound-guided subclavian
vein cannulation versus the landmark method in critical care patients: a prospective randomized study. Crit Care Med.
2011;39:1607-12.
30. Brass P, Hellmich M, Kolodziej L, Schick G, Smith AF. Ultrasound guidance versus anatomical landmarks for subclavian or
femoral vein catheterisation. Cochrane Database Syst Rev. 2015;1:CD011447.
88 Australasian Anaesthesia 2019 – Circulation Keep calm and know sepsis 89
31. Brass P, Hellmich M, Kolodziej L, Schick G, Smith AF. Ultrasound guidance versus anatomical landmarks for internal
jugular vein catheterisation. Cochrane Database Syst Rev. 2015;1:CD006962.
Keep calm and know sepsis
32. Troianos CA, Hartman GS, Glas KE, Skubas NJ, Eberhardt RT, Walker JD, et al. Special articles: guidelines for performing
ultrasound guided vascular cannulation: recommendations of the American Society of Echocardiography and the Society Linden Martyr MBBS
Of Cardiovascular Anesthesiologists. Anesth Analg. 2012;114:46–72.
Registrar in Anaesthetics, Townsville Hospital.
33. Pillai L, Zimmerman P, d'Audiffrent A. PS170 Inadvertent great vessel arterial catheterisation during ultrasound-guided
central venous line placement: a potentially fatal event. J Vasc Surg. 2011;53(6):745. Dr Linden Martyr is an Anaesthetic Registrar who has been exposed to sepsis predominately in the emergency
34. Blaivas M. Video analysis of accidental arterial cannulation with dynamic ultrasound guidance for central venous access. theatre and during his time in the ICU. Researching this topic has been a great opportunity to contribute to
J Ultrasound Med. 2009;28:1239-44.
ANZCA’s quality educational publications. He hopes that this work will be useful for anaesthetists in their role
35. Parsons AJ, Alfa J. Carotid dissection: a complication of internal jugular vein cannulation with the use of ultrasound.
as perioperative specialists.
Anesth Analg. 2009;109:135-6.
36. Thompson C, Barrows T. Carotid arterial cannulation: Removing the risk with ultrasound? Can J Anaesth. 2009;56:471-2. Samuel Cook MBBS
37. Ezaru CS, Mangione MP, Oravitz TM, et al. Eliminating arterial injury during central venous catheterisation using
manometry. Anesth Analg. 2009;109:130-4. Principal House Officer in ICU, Townsville Hospital.
38. Kusminsky RE. Complications of central venous catheterization. J Am Coll Surg. 2007;204:681–96. Dr Samuel Cook has worked in a number of rural and remote locations in Northern Queensland, and currently
39. Ho L, Spanger M, Hayward P, McNicol L, Weinberg L. Missed carotid artery cannulation: a line crossed and lessons works in the Townsville Hospital ICU. He has a keen interest in the practical implications of the emerging sepsis
learnt. Anaesth Intensive Care. 2014 Nov;42(6):793-800.
literature.
40. Shah PM, Babu Sc, Goyal A, Matteo Rb, Madden RE. Arterial misplacement of large caliber cannulas during jugular vein
catheterisation: case for surgical management. J Am Coll Surg. 2004;198:939-944.
Siva Senthuran MBBS BSc FRCA FCICM FANZCA MClinEpid
41. Monson DO, Saletta JD, Freeark RJ. Carotid vertebral trauma. J Trauma. 1969; 9:987–99.
42. Dixon OG, Smith GE, Carradice D, Chetter IC. A systematic review of management of inadvertent arterial injury during Senior Staff Intensivist, Townsville Hospital.
central venous catheterisation. J Vasc Access. 2017;18(2):97-102.
Dr Siva Senthuran is dual-trained in intensive care and anaesthesia and has an interest in perioperative medicine.
EPIDEMIOLOGY
Sepsis presents a major global health challenge. An extrapolation of data from first-world countries estimates the
global incidence of sepsis at 31.5 million cases, with 5.3 million deaths annually1. The World Health Organization
(WHO) World Health Assembly adopted the “Improving the prevention, diagnosis, and management of sepsis”
resolution in 2017, reflecting the increased awareness of sepsis and its global health burden2.
However, the true incidence, mortality and morbidity of sepsis remains difficult to quantify. The variable
definitions for sepsis, the lack of a “gold standard” diagnostic test, and growing emphasis on the prompt
recognition and management of the condition, have led to marked heterogeneity in these rates and their trends
over time3,4.
In a study of more than 1 million patients in 171 intensive care units in Australia and New Zealand, the
proportion of admissions to ICU for severe sepsis increased from 7.2% in 2000 to 11.1% in 2012. The
absolute mortality of severe sepsis decreased linearly from 35% to 18.4% over the same period, an annual rate
of absolute decrease of 1.3%5.
The most common sources of infection leading to sepsis are the lung (65%), followed by the abdomen and
bloodstream. The genitourinary tract, skin, and vascular access devices account for 5-15% each6-8.
DEFINITIONS AND RECOGNITION OF SEPSIS

The term sepsis is derived from the ancient Greek word for “rotting flesh” and has been a recognised clinical
syndrome since the time of Hippocrates9. In contemporary medicine, the meaning of the syndrome has been
obscured by varied definitions for “sepsis”, “septicaemia”, “septic syndrome”, and “septic shock”.
In 1991, the American College of Chest Physicians and Society of Critical Care Medicine defined sepsis in
a more “precise manner”, with the introduction of the “Systemic Inflammatory Response Syndrome” (SIRS)
criteria. These criteria reflected the understanding of sepsis as an exaggerated inflammatory host response.
SIRS could exist in the absence of infection, for example in pancreatitis or following multi-trauma10. SIRS in
the presence of infection was defined as sepsis, and sepsis in the presence of organ dysfunction was defined
as “severe sepsis”. “Septic shock” was defined as sepsis leading to hypotension despite adequate fluid
resuscitation10.
However, subsequent evaluation of the SIRS criteria found that it lacked both sensitivity and specificity for the
detection of sepsis. A large observational study of Australian and New Zealand intensive care units found that
12% of septic patients did not have two or more SIRS criteria11. Further, the lack of specificity of SIRS was
demonstrated by a finding that almost half of all hospital inpatients met SIRS criteria at some point during their
hospital admission12. Although the limitations of the SIRS criteria were acknowledged when the definitions were
revisited in 2001, an alternative was not put forward13.
Sepsis was re-defined by the Third International Consensus Taskforce (Sepsis 3), in order to represent new inflammatory states19. The magnitude of the initial inflammatory response (which generally tends to predominate
understanding of its pathophysiology. It is now defined as life-threatening organ dysfunction caused by a early in sepsis) is also influenced by factors such as bacterial load, virulence, host genetics, and co-morbidities,
dysregulated host response to infection. such that the anti-inflammatory state may predominate in the elderly20.
The clinical diagnosis of sepsis now reflects an emphasis on organ failures and de-emphasises the need for The host response to infection is triggered by the recognition of microbial infection or tissue damage by
SIRS criteria. To aid clinical characterisation, a change in SOFA score of 2 or greater was stipulated (where a pattern recognition receptors (PRRs) on antigen presenting cells (APCs). Microbial infection is detected
previously healthy individual would have had a SOFA score of zero – see Table 1) to evaluate patients likely to by the presence of pathogen associated molecular patterns (PAMPs), and tissue damage is represented by
have sepsis in ICU14. the release of intracellular proteins and mediators from dying cells, termed "alarmins", or damage associated
molecular patterns (DAMPs)21,22.
Table 1. Sequential (Sepsis-Related) Organ Failure Assessment Score14.
The most notable PRRs in sepsis are Toll-like receptors (TLRs), which recognise a range of bacterial cell-wall
lipoproteins and lipopolysaccharides, as well as fungal-wall elements and bacterial and viral nucleic acids23.
Score Once bound, TLRs induce the release of several pro-inflammatory cytokines such as tumour necrosis factor-α
System 0 1 2 3 4 (TNF-α), interleukins (IL-1β, IL-2, IL-6, IL-8) and interferon-γ. This may lead to a dysregulated cytokine response
Respiration
(“cytokine storm”) resulting in excessive, damaging levels of inflammation. The majority of the early deaths in
sepsis are as a result of this response19,23,24.
Pao2/Fio2, mm Hg ≥400 (53.3) <400 (53.3) <300 (40) <200 (26.7) with <100 (13.3) with
(kPa) respiratory support respiratory support Co-stimulatory molecules (CSMs) are proteins expressed on the cell surface of APCs and are key factors in
Coagulation the modulation of T-cell activity. The most prominent CSMs are CD80 and CD86 and bind to the CD28 or
Platelets, x103/µL ≥150 <150 <100 <50 <20 CTLA-4 receptors on T-cells. Binding of the CD28 receptor leads to T-cell activation and proliferation23. The
significance of this receptor site was demonstrated in a clinical trial, in which healthy humans infused with a
Liver CD28 monoclonal agonist antibody developed a severe inflammatory response and clinical symptoms typical of
Bilirubin, mg/dL <1.2 (20) 1.2-1.9 (20-32) 2.0-5.9 (33-101) 6.0-11.9 (102-204) >12.0 (204) sepsis25.
(µmol/L)
Separate anti-inflammatory mechanisms occur concurrently with the above, leading to a degree of
Cardiovascular MAP ≥70 mm Hg MAP <70 mm Hg Dopamine <5 or Dopamine 5.1-15 Dopamine >15 or
dobutamine (any or epinephrine ≤0.1 epinephrine >0.1
immunosuppression which is often recognised later in the course of sepsis19,23. Immunosuppression is
dose)b or norepinephrine or norepinephrine caused by two mechanisms. Firstly, apoptosis of lymphocytes and dendritic cells lead to a direct limitation
≤0.1b >0.1b of the adaptive and innate immune systems19,20,26. Secondly, the uptake of apoptotic cells by phagocytes
Central nervous system induces T-cell anergy, and diverts the CD4 T-cell response from pro-inflammatory (Th1), to anti-inflammatory
Glasgow Coma 15 13-14 10-12 6-9 <6
(Th2)17,19,20,24. This results in a phase of “immune paralysis” in which the host is susceptible to viral re-activation,
Scale scorec or secondary nosocomial organisms which may not have been pathogenic in an immunocompetent host (for
Renal
example, Enterococcus spp., Acinetobacter spp., or candida spp.)24,27.
Creatinine, mg/dL <1.2 (110) 1.2-1.9 (110-170) 2.0-3.4 (171- 3.5-4.9 (300-440) >5.0 (440) Coagulopathy
(µmol/L) 299)
The coagulopathy of acute sepsis is driven by an upregulation of procoagulant mechanisms, and down
Urine output, mL/d <500 <200 regulation of anticoagulant mechanisms28. Firstly, the pro-inflammatory phase of early sepsis leads to the
expression of tissue factor on circulating mono-nuclear cells, leading to systemic activation of coagulation29.
The activation of the coagulation system serves to activate platelets. Platelets may also be activated in the
For patients outside ICU, a simpler system that does not require laboratory investigations was introduced to
presence of bacteria, either directly due to the effects of bacterial endotoxins, or indirectly by binding to plasma
risk stratify patients suspected to have sepsis. Quick SOFA (qSOFA) looks for any 2 of systolic blood pressure
proteins to form complexes that become ligands for platelet receptors30.
less than 100mmHg, altered mentation (GCS<15) or respiratory rate 22/min or greater to prompt clinicians to
investigate for organ dysfunction or escalate treatment for infection. Anticoagulant mechanisms are down-regulated by the consumption and degradation of tissue factor pathway
inhibitor (TFPI), a reduction in the activation of protein C, and both the increased consumption, and down-
Septic shock, which has a mortality of 40%, is now defined as sepsis causing persistent hypotension (requiring
regulated synthesis of antithrombin28.
vasopressors to maintain MAP >65mmHg) AND having a serum lactate level >2mmoL/L despite adequate
volume resuscitation14. This pro-coagulant state may lead to massive thrombin formation and fibrin deposition in the microvascular bed.
This is thought to be a key factor in the development of multi-organ dysfunction syndrome (MODS) in sepsis31.
Notwithstanding the new definitions for sepsis some ambiguity remains. Despite the definition of sepsis being
Consumption of platelets and clotting factors may also lead to disseminated intravascular coagulation (DIC),
predicated on infection as a trigger, the taskforce specifically did not examine definitions or types of infection14.
characterised by micro thrombosis and haemorrhage28.
For example, some would consider malaria to be a cause of sepsis, while others would not4. Furthermore, the
lack of ability to monitor lactate may also hinder diagnosis of septic shock in low resourced environments16. Endothelial injury
With the increasing use of electronic medical records, the traditional methods of history, examination and The release of inflammatory mediators in sepsis results in oxidative stress and shedding of the endothelial
investigations have been supplemented by automated algorithms to aid screening for patients with sepsis. glycocalyx (EG), a structure consisting of proteoglycans, glycoproteins and soluble proteins on the endothelial
Though several tools have been developed much work is needed to improve them for clinical use. For example, surface32. Alterations in the composition of the EG following an infectious insult is one of the earliest features
a continuously running algorithm known as St John’s Sepsis Agent (developed by Cerner, the electronic of sepsis33. EG shedding may be of prognostic significance, with evidence that blood levels of glycocalyx
medical records corporation) when compared to a twice daily nurse administered Sepsis Screening Score components are higher in non-survivors than survivors of septic shock34.
detected significantly fewer septic patients15. The EG plays a key role in the regulation of haemostasis and vascular permeability, as well as the vasomotor
response to fluid shear stress through the stimulation of endothelial nitric oxide synthase (eNOS). EG damage
PATHOPHYSIOLOGY leads to increased vascular permeability, capillary leakage, and tissue oedema32,35,36. When this process affects
The inflammatory response the permeability of the capillaries of the lung, it leads to the accumulation of protein-rich fluid in the interstitial
spaces, arterial hypoxemia and reduced pulmonary compliance consistent with acute respiratory distress
The model underpinning sepsis pathophysiology has historically been that of an unchecked pro-inflammatory syndrome (ARDS)37.
state17. However, the failure of anti-inflammatory therapies for the treatment of sepsis has questioned this
theory18. It is now understood that sepsis represents a concurrent interplay of both pro-inflammatory and anti-
Microcirculatory dysfunction However, caution should be exercised in using PCT to intensify antibiotics in ICU patients as the Procalcitonin
The microcirculation refers to vessels of less than 100µm in diameter. Microcirculatory dysfunction results from And Survival Study (PASS) suggested no benefit and possibly increased morbidity53.
the heterogeneous dysregulated expression of inducible nitric oxide synthase (iNOS) in different vascular beds,
resulting in hypoperfusion of those areas which are iNOS deficient36. “OMICS”-BASED PERSONALISED APPROACH TO SEPSIS
These alterations in microvascular blood flow are a proposed mechanism for the development of sepsis- The complete sequencing of the human genome in 2003 enabled detection and creation of large datasets of
associated acute kidney injury (SA-AKI)38. While SA-AKI was traditionally conceptualised as an ischaemic insult, multiple biomarkers (for example, DNA, RNA, proteins and metabolites) which can be correlated with states
secondary to reduced systemic vascular resistance and organ hypoperfusion39, this notion has been challenged by of health and illness using advanced computational and statistical tools to create signature biomarker profiles
growing evidence that AKI can develop in the context of preserved or increased renal blood flow40. for diseases from populations of interest. This biomarker big data-based approach to studying biological
systems has been termed “omics” wherein genomics refers to study of DNA, transcriptomics to study of
Furthermore, excessive NO production by iNOS is responsible for a loss in adrenergic sensitivity and vascular
RNA, proteomics is of proteins and metabolomics is of metabolites. As sepsis is a syndrome of multiple
tone in the arteriolar and venous beds, and in addition to relative vasopressin deficiency is believed to be the
pathophysiological processes, interest has evolved to using multi-analyte panels of such biomarkers to detect
cause of the vasoplegic shock characteristic of sepsis36,41.
infectious agents, distinguish sepsis from SIRS and better characterise and manage the host response in
sepsis54. For example, Davenport et al discovered two sepsis response profiles (known as SRS1 and SRS2)
DETECTION OF PATHOGENS CAUSING INFECTION after gene expression analysis on 265 ICU patients with community acquired pneumonia. They noted that 41%
Culture-based techniques are the gold standard for detecting infectious agents as they are cheap and widely of patients with the SRS1 response also had an immunosuppressive phenotype with higher mortality55. This
available. However, they are slow and take 24-48 hours to yield results. They are prone to false positives due kind of profiling may herald more personalised treatment of sepsis, in contrast to the current standard “one size
to contamination and are not sensitive after antimicrobial drugs have been administered. Serological tests have fits all” approach.
been used for infections like hepatitis, dengue and HIV but are also limited by false positives as well as false
negatives if done too early. MANAGEMENT OF SEPSIS
Pathogen detection can also be performed using direct histology and gram stains as well as by using molecular As sepsis is defined by organ failures due to a dysregulated host response to infection, source control and
methods which in turn may be based on nucleic acids technology or detection of pathogen related antigens. anti-infective therapy must be combined with strategies to support failing organs and manage the dysregulated
Nucleic acid technology refers primarily to the use of Polymerase Chain Reaction (PCR) assays that can host response. The evidence for the strategies to manage sepsis will be covered in this section and
be performed on body secretions, blood or tissues to detect pathogens more rapidly than culture-based recommendations will be listed along with references to the Surviving Sepsis Campaign (SSC)56,57.
techniques. PCR uses oligonucleotide primers to amplify a specific pathogen gene that is then detected
Source control
using electrophoresis with the aid of a dye or ultraviolet light. PCR assays have been developed for specific
pathogens, or to detect a broad range of bacteria and fungi. For example, PCR assays have been reported • Source control as early as clinically appropriate is likely associated with reduced mortality.
to have a sensitivity of 72% and specificity of 91% to detect candidaemia. Non nucleic acid-based methods Source control where possible is essential but has been poorly studied. In 2016 Martinez and her colleagues
rely on detecting pathogen related antigens using labelled antibodies in techniques like Enzyme Linked published a prospective observational study on the outcomes of patients who were amenable to source control
Immunosorbent Assay (ELISA). Galactomannan assays for example were 71% sensitive and 89% specific for versus those who were not. Despite patients in the source control group being older, sicker by organ failure
proven cases of invasive aspergillosis42. indices and having less compliance with the SSC bundles, they had lower ICU and hospital mortality58. Another
prospective study in 44 German ICUs of 1011 patients with severe sepsis or septic shock showed that source
BIOMARKERS OF SEVERITY OF SEPSIS control beyond 6 hours of organ failure was associated with higher 28-day mortality (40.7%) than earlier source
control (26.7%)59.
Biomarkers such as white cell count (WCC), lactate, C-reactive protein (CRP) and procalcitonin (PCT) are
tests that have been used to assess the severity of sepsis rather than to diagnose sepsis. The WCC lacks Treating the infection
specificity and sensitivity as a standalone test. Other WCC measures such as the monocyte distribution width Anti-infective therapies
(MDW) have been validated as markers of severity rather than as a diagnostic test43.
• Effective empirical antimicrobials should be instituted as soon as possible and likely reduce mortality and
Lactate elevation is a marker of tissue hypoperfusion and elevated serial measurements (which can now be progression of sepsis.
done transdermally) have been associated with mortality in patients with sepsis but has not been specific nor
• Blood cultures should be collected prior to antibiotics, but antibiotics should not be delayed in order to
sensitive for diagnosis of sepsis44.
obtain blood cultures.
CRP is an acute phase protein produced by the liver in response to rising IL-6 levels and acts as a pattern
Antibiotics are the sole method of effectively treating the cause of sepsis in patients who do not have a surgical
recognising protein for the innate immune system, aiding in complement binding and phagocytosis of
source. The SSC recommends antibiotic therapy within 1 hour of recognition of sepsis or septic shock60.
pathogens and inactivation of toxins. CRP has a half-life of 19 hours and its levels begin to rise 4 to 6 hours
An observational study on patients with septic shock showed a significant increase in mortality of 12% for
following an inflammatory stimulus doubling and peaking around 24-72 hours after the inflammatory stimulus45.
every hour effective antibiotics were delayed from onset of septic shock. This was regardless of whether the
Though this is sensitive, it is not specific for infections as several non-infectious inflammatory states can also
pathogens were bacteria or fungi, acquired from the community or nosocomial61. Several subsequent analyses
cause it to rise. It may thus be more useful to track the course of infection or inflammation and its response to
have suggested similar findings62-65. In contrast to these studies, a systematic review involving 16,178 patients
therapy over time46.
pooled from 11 studies found no mortality benefit from administering antibiotics within 3 hours of ED triage or
PCT is the most studied sepsis biomarker and the only one that has been implemented in sepsis guidelines. within 1 hour of recognising shock66. Despite these mixed results, prompt administration of antibiotics remains
It is the prohormone for calcitonin and is released into the blood in inflammatory states particularly due to central to management of sepsis as evaluation in a prospective randomised controlled study will not be ethically
bacterial infection. However, it too cannot be used as a single diagnostic test for sepsis as elevations can feasible. To optimally manage sepsis, blood cultures should be sent before antibiotics to maximise the detection
occur after trauma or major surgery. PCT becomes detectable after 3-4 hours and peaks between 6-14 of pathogens and their sensitivities67, but antibiotics should not be delayed to obtain cultures68.
hours after a proinflammatory stimulus and has a long half-life of 25-30 hours47. Furthermore, while it may be Supportive therapies
markedly elevated in bacterial and parasitic infections compared to viral infections, it is not recommended for
distinguishing between bacterial and candida sepsis due to limited supporting evidence48. In a pooled analysis Fluids
of several studies, it was found to have a sensitivity of 77% and a specificity of 79% to distinguish sepsis from • Starch based fluids are associated with renal impairment.
a non-infectious inflammatory response49. The biggest potential for PCT is in reducing duration of antibiotics for
• Using albumin may result in less administered volume, but this has not translated into difference in patient
presumed bacterial infection especially in the settings of primary care50, emergency departments51 and in ICU52.
outcomes.
• Both crystalloid and albumin are safe resuscitation fluids, with a possible mortality benefit towards albumin 90g/L respectively in patients with septic shock. There was no difference in mortality or other measured
in severe sepsis. outcomes in patients up to 90 days, including pre-defined subgroups of cardiac disease, older age and patients
Though there are a large number of fluids to choose from to resuscitate septic patients, the results of clinical with more or less severe physiological derangement. As expected, the conservative group received far less
trials provide the best evidence to guide management. transfusions88.
A subgroup analysis of a prospective, blinded and randomised trial (SAFE study) found that administration Early goal directed therapy
of albumin compared to saline did not impair renal or other organ function and may be associated with a • It is clear that patients with sepsis and septic shock may require organ support, but early aggressive and
decreased risk of death in patients with severe sepsis69. The renal effects of hydroxyethyl starch (HES) were invasive haemodynamic management does not alter mortality or morbidity.
studied in a randomised trial by Myburgh et al in patients admitted into the ICU. Although this paper did not only The term early goal-directed therapy (EGDT) is used for the institution of immediate monitoring of
include patients with sepsis, there was increased serum creatinine, reduced urine output and increased need haemodynamics and surrogates of perfusion as well aggressive management of these variables (including
for renal replacement therapy in the HES group70. In 2014 Caironi et al conducted a randomised trial on the use many of the interventions described above) in patients with sepsis or septic shock. The Rivers trial in 2001
of albumin 20% and crystalloid versus crystalloid alone with albumin targets of 30mg/dl in severe sepsis. The showed a mortality benefit in patients randomised to receive EGDT vs standard therapy in a single centre. The
albumin group received less fluid overall with cumulative fluid balance closer to neutral despite having higher protocol included endpoints of CVP, MAP and SvO2 to guide therapies over a 6-hour period in the emergency
mean arterial pressures, lower heart rates and lower scores for the cardiovascular section of the SOFA score department prior to admission for inpatient team management. CVP of 8-12mmHg was achieved with
(meaning less vasopressors). Mortality at 28 and 90 days were not significantly different71. crystalloid boluses followed by MAP of 65-90mmHg with vasoconstrictors or vasodilators. SvO2 >70% was
Vasopressors targeted with RBC transfusions to achieve a haematocrit >0.3 followed by dobutamine if needed. If it could not
be achieved with these interventions, sedation and mechanical ventilation were instituted.
• Noradrenaline has the most robust research behind it as a first-line agent.
Subsequently, the PROCESS, PROMISE and ARISE trials which were multicentre RCTs conducted in the
• Dopamine is associated with increased arrythmias. United States, United Kingdom and Australia and New Zealand respectively did not reproduce this mortality
• Adrenaline is as effective and safe as noradrenaline but can increase lactate, heart rate and affect glycaemic benefit89-91. Ultimately, there were significantly increased costs associated with EGDT without any significant
control. benefit.
• Vasopressin and adrenaline are safe second line agents. Steroids
The predominant vasopressors included in current RCTs regarding sepsis management are noradrenaline, • Hydrocortisone reduces vasopressor duration and may reduce time in ICU in patients with septic shock.
dopamine, adrenaline and vasopressin72-75. The largest trial was by De Backer et al and compared dopamine to
noradrenaline and found no significant differences in mortality. However, the dopamine group had significantly • Hydrocortisone and fludrocortisone may reduce mortality, shorten the length of organ failure and the duration
more arrythmias72. This mirrors the results of a smaller RCT by Patel et al73. An RCT by Myburgh et al compared of mechanical ventilation.
noradrenaline and adrenaline in critically ill patients. In the sepsis subgroup, there were no difference in time to The rationale for steroids is based on the relative adrenal insufficiency or glucocorticoid resistance that
achieve MAP goals or vasopressor free days. However, the adrenaline group had higher rates of tachycardia, exists in sepsis, and the improvement in vasopressor response with steroids in patients with septic shock92.
lactatemia and a transient in insulin requirement74. A trial by Annane et al showed no difference between The 2002 Annane trial on the effects of hydrocortisone with fludrocortisone in septic shock found that there
adrenaline vs noradrenaline and dobutamine in efficacy and safety in septic shock75. was a significant survival benefit at 28 days in the treatment group, but no difference at 1 year. Patients with
documented adrenal insufficiency had a significantly shorter duration of vasopressor requirement with treatment.
Second line agents No differences in adverse events were observed92. Sprung et al in an RCT on the use of corticosteroids in
In the VASST trial, patients with septic shock on noradrenaline received a second line agent; which was either septic shock subsequently found there was no difference in mortality at 28 days. Shock reversed more rapidly
vasopressin or additional noradrenaline. There was no difference in mortality, rates of myocardial infarction, in patients receiving steroids regardless of response to the short synacthen test93.
cardiac arrest, life-threat arrythmias, mesenteric ischaemia, cerebrovascular accidents, digital ischaemia or The recent ADRENAL trial used a hydrocortisone infusion and did not integrate the synacthen test into its
hyponatraemia76. A post hoc analysis found lower rates of progression to renal failure and less RRT in patient protocol. It confirmed no mortality benefit, but also found faster resolution of shock. The hydrocortisone group
treated with vasopressin as a second line vasopressor versus noradrenaline77. More recently in the VANISH received significantly fewer red cell infusions. There were no other differences in outcomes. However, the
trial, the effects of vasopressin versus norepinephrine on incidence and severity of acute kidney injury in septic treatment group did have higher rates of adverse events, 1.1% versus 0.3% made up of: hyperglycaemia;
shock was investigated. There was no observed difference in rates of renal failure, requirement for RRT or hypernatraemia; hyperchloraemia; hypertension; bleeding; encephalopathy; leucocytosis; myopathy; septic
mortality in all subgroups78. arthritis; ischaemic bowel; circulatory shock; and thrombocytopaenia94. In the same year, Annane et al published
Inotropes an RCT of hydrocortisone plus fludrocortisone in septic shock. Patients in the treatment group had significantly
lower 90-day mortality and were more often discharged from ICU and hospital alive. They had shorter durations
• Dobutamine has the most clinical data suggesting safety for use in sepsis. of mechanical ventilation, vasopressor therapy and achieved SOFA scores <6 more rapidly. This translated to
Myocardial dysfunction is a common complication of sepsis and may be associated with increased mortality79. more vasopressor free and organ failure free days at 28 days. In terms of adverse events the treatment group
There is a lack of high-powered RCTs that compare the effects of different inotropes in sepsis80,81. did not have higher rates of superinfection or gastrointestinal bleeding but did have more hyperglycaemia95.
From the small RCTs exploring the use of Dopexamine there is no strong evidence of any benefit compared with Immunotherapy
adrenaline or dopamine82,83. From the larger RCTs, there does not seem to be an increased incidence of serious • Sepsis is a complex interplay between both pro-inflammatory and anti-inflammatory aspects of the immune
adverse events with adrenaline compared with noradrenaline alone or noradrenaline and dobutamine74,75. response.
The role of the inodilators levosimendan and milrinone in sepsis remains unclear. Small trials by Morelli et al and • Patients frequently become immunosuppressed with widespread apoptosis and/or reduced effectiveness of
Memis et al suggest increased tissue perfusion with levosimendan over dobutamine84-86. The LeoPARDS trial, white blood cells. The resulting “Immunoparalysis”, may contribute to adverse outcomes through increased
the largest RCT on levosimendan in sepsis studied 519 patients with septic shock who were randomised to susceptibility to oppurtunistic infections.
receive levosimendan or placebo with standard vasopressors to maintain MAP of 65-70mmHg. The patients in • Inflammatory mediators like IL-7, IL-15, IFN-gamma positively augment the immune system improving white
both groups received other inotropes as necessary. There were no significant differences in organ dysfunction cell counts and/or effectiveness.
or mortality87.
• Currently there are no conclusive human trials on immunomodulatory drugs in sepsis.
Transfusion The expressed phenotype of sepsis is varied and can be hyper-immune or immunosuppressed56,57. Novel
• A transfusion target of 70g/L is not inferior in septic shock patients. treatments aiming to reduce inflammation in sepsis have been largely unsuccessful96-100. There are a number
of endogenous molecules that may have potential benefit; IL-7, IL-15, IFN-gamma, Fms-like Tyrosine
In 2014 the TRISS study researchers compared conservative and liberal haemoglobin targets of 70g/L and
kinase-3 ligand and Chimeric Antigen Receptor. Despite having different mechanisms and different effects 12. Churpek MM, Zadravecz FJ, Winslow C, Howell MD, Edelson DP. Incidence and prognostic value of the systemic
on different immune cell populations, they tend to have the overall effect of bolstering the immune response. inflammatory response syndrome and organ dysfunctions in ward patients. Am J Respir Crit Care Med. 2015;192(8):958-
64.
Immunostimulatory monoclonal antibodies that target PD-1 such as nivolumab and pembrolizumab are an
13. Levy MM, Fink MP, Marshall JC, Abraham E, Angus D, Cook D, et al. 2001 SCCM/ESICM/ACCP/ATS/SIS international
area of interest, but there are no large RCTs of these drugs in sepsis. Of all the potential immunotherapies
sepsis definitions conference. Crit Care Med. 2003;31(4):1250-6.
mentioned, only IL-7 has had been tested in human sepsis. In a small RCT there was an improvement in CD4
14. Singer M, Deutschman CS, Seymour CW, Shankar-Hari M, Annane D, Bauer M, et al. The third international consensus
and CD8 cell populations in the IL-7 treatment group101. These therapies are still a way off clinical use and given definitions for sepsis and septic shock (Sepsis-3). JAMA. 2016;315(8):801-10.
the varied response of patients to sepsis, immunotherapies need to be tailored to the specific patient. 15. Wawrose R, Baraniuk M, Standiford L, Wade C, Holcomb J, Moore L. Comparison of Sepsis Screening Tools’ Ability to
Anticoagulation in sepsis Detect Sepsis Accurately. Surgical infections. 2016;17(5):525-9.
16. Hernandez G, Machado F, Ospina-Tascon G. Defining Septic Shock. JAMA. 2016;316(4):454-5.
• Anticoagulation in sepsis is safe, but there is no convincing evidence of mortality benefit. 17. Hotchkiss RS, Karl IE. The pathophysiology and treatment of sepsis. N Engl J Med. 2003;348(2):138-50.
Disordered coagulation is common in sepsis with occult disseminated intravascular coagulation (DIC) 18. Remick DG. Cytokine therapeutics for the treatment of sepsis: why has nothing worked? Curr Pharm Des. 2003;9(1):75-
occurring in up to 30-50% of patients. Anticoagulation has been considered as a therapeutic to not only 82.
reduce disordered coagulation, but to reduce the inflammatory signals that result from the coagulation cascade. 19. Rittirsch D, Flierl MA, Ward PA. Harmful molecular mechanisms in sepsis. Nat Rev Immunol. 2008;8(10):776-87.
Additionally, patients with sepsis often have risk factors for venous thromboembolic disease102,103. In a study 20. Skrupky LP, Kerby PW, Hotchkiss RS. Advances in the management of sepsis and the understanding of key immunologic
on the use of prophylactic low molecular weight heparin (LMWH) or unfractioned heparin (UH) vs placebo defects. Anesthesiology. 2011;115(6):1349-62.
in patients with sepsis who were receiving activated protein C, there was no significant difference in adverse 21. Bianchi ME. DAMPs, PAMPs and alarmins: all we need to know about danger. J Leukoc Biol. 2007;81(1):1-5.
bleeding events between heparin and placebo. This would indicate that heparin is safe in sepsis, despite the 22. Wiersinga WJ, Leopold SJ, Cranendonk DR, van der Poll T. Host innate immune responses to sepsis. Virulence.
2014;5(1):36-44.
fact that activated protein C in no longer licensed for use in sepsis103. The HETRASE study on the use of
23. Stearns-Kurosawa DJ, Osuchowski MF, Valentine C, Kurosawa S, Remick DG. The pathogenesis of sepsis. Annu Rev
12,000 units/day of UH versus placebo in sepsis found no significant difference in bleeding events between Pathol. 2011;6(1):19-48.
the groups. However, there were also no significant differences in outcomes including hospital stay, mortality or 24. Hotchkiss RS, Monneret G, Payen D. Sepsis-induced immunosuppression: from cellular dysfunctions to immunotherapy.
organ dysfunction102. Nat Rev Immunol. 2013;13(12):862-74.
Other potential therapeutic targets include thrombomodulin and antithrombin. A small multicentre RCT on the 25. Suntharalingam G, Perry MR, Ward S, Brett SJ, Castello-Cortes A, Brunner MD, et al. Cytokine storm in a phase 1 trial of
the anti-CD28 monoclonal antibody TGN1412. N Engl J Med. 2006;355(10):1018-28.
use of antithrombin replacement in sepsis with DIC showed a significant improvement in resolution of DIC
26. Bhan C, Dipankar P, Chakraborty P, Sarangi PP. Role of cellular events in the pathophysiology of sepsis. Inflamm Res.
without difference in SOFA scores or mortality104. 2016;65(11):853-68.
In a study of 741 patients with sepsis and DIC randomised to receive either thrombomodulin or placebo, 27. Otto GP, Sossdorf M, Claus RA, Rodel J, Menge K, Reinhart K, et al. The late phase of sepsis is characterized by an
increased microbiological burden and death rate. Crit Care. 2011;15(4):R183.
there were no significant differences in mortality or resolution of DIC. However, the suggestion of efficacy has
28. Simmons J, Pittet JF. The coagulopathy of acute sepsis. Curr Opin Anaesthesiol. 2015;28(2):227-36.
resulted in further development of this agent for future trials105
29. Levi M. The coagulant response in sepsis. Clin Chest Med. 2008;29(4):627-42, viii.
30. Katz JN, Kolappa KP, Becker RC. Beyond thrombosis: the versatile platelet in critical illness. Chest. 2011;139(3):658-68.
CONCLUSION 31. Levi M, Schultz M, van der Poll T. Sepsis and thrombosis. Semin Thromb Hemost. 2013;39(5):559-66.
Sepsis is a global health challenge resulting in significant morbidity and mortality in both developed and 32. Pillinger NL, Kam P. Endothelial glycocalyx: basic science and clinical implications. Anaesth Intensive Care.
2017;45(3):295-307.
developing countries. Current definitions focus on the dysregulated immune response and associated organ
33. Martin L, Koczera P, Zechendorf E, Schuerholz T. The endothelial glycocalyx: new diagnostic and therapeutic approaches
failure. Management includes early diagnosis, source control when possible, early targeted antimicrobial therapy in sepsis. Biomed Res Int. 2016;2016:3758278.
and supportive measures. Personalised and targeted approaches to management may soon become possible 34. Nelson A, Berkestedt I, Schmidtchen A, Ljunggren L, Bodelsson M. Increased levels of glycosaminoglycans during septic
due to the availability of whole genome sequencing. shock: relation to mortality and the antibacterial actions of plasma. Shock. 2008;30(6):623-7.
35. Ince C, Mayeux PR, Nguyen T, Gomez H, Kellum JA, Ospina-Tascon GA, et al. The endothelium in sepsis. Shock.
REFERENCES 2016;45(3):259-70.
36. Miranda M, Balarini M, Caixeta D, Bouskela E. Microcirculatory dysfunction in sepsis: pathophysiology, clinical monitoring,
1. Fleischmann C, Scherag A, Adhikari NK, Hartog CS, Tsaganos T, Schlattmann P, et al. Assessment of global incidence and potential therapies. Am J Physiol Heart Circ Physiol. 2016;311(1):H24-35.
and mortality of hospital-treated sepsis. Current estimates and limitations. Am J Respir Crit Care Med. 2016;193(3): 37. Matthay MA, Ware LB, Zimmerman GA. The acute respiratory distress syndrome. J Clin Invest. 2012;122(8):2731-40.
259-72.
38. Prowle JR, Bellomo R. Sepsis-associated acute kidney injury: macrohemodynamic and microhemodynamic alterations in
2. Seventieth World Health Assembly. Improving the prevention, diagnosis and clinical management of sepsis. [Internet]. the renal circulation. Semin Nephrol. 2015;35(1):64-74.
Geneva: World Health Organisation; 2017. Available from: who.int/servicedeliverysafety/areas/sepsis/en/.
39. Schrier RW, Wang W. Acute renal failure and sepsis. N Engl J Med. 2004;351(2):159-69.
3. Rhee C, Dantes R, Epstein L, Murphy DJ, Seymour CW, Iwashyna TJ, et al. Incidence and trends of sepsis in US hospitals
40. Gomez H, Ince C, De Backer D, Pickkers P, Payen D, Hotchkiss J, et al. A unified theory of sepsis-induced acute
using clinical vs claims data, 2009-2014. JAMA. 2017;318(13):1241-9.
kidney injury: inflammation, microcirculatory dysfunction, bioenergetics, and the tubular cell adaptation to injury. Shock.
4. Rudd KE, Kissoon N, Limmathurotsakul D, Bory S, Mutahunga B, Seymour CW, et al. The global burden of sepsis: 2014;41(1):3-11.
barriers and potential solutions. Crit Care. 2018;22(1):232.
41. Landry DW, Oliver JA. The pathogenesis of vasodilatory shock. N Engl J Med. 2001;345(8):588-95.
5. Kaukonen KM, Bailey M, Suzuki S, Pilcher D, Bellomo R. Mortality related to severe sepsis and septic shock among
42. Gonsalves MD, Sakr Y. Early identification of sepsis. Curr Infect Dis Rep. 2010;12(5):329-35.
critically ill patients in Australia and New Zealand, 2000-2012. JAMA. 2014;311(13):1308-16.
43. Crouser ED, Parrillo JE, Seymour C, Angus DC, Bicking K, Tejidor L, et al. Improved early detection of sepsis in the ED
6. Sakr Y, Jaschinski U, Wittebole X, Szakmany T, Lipman J, Namendys-Silva SA, et al. Sepsis in intensive care unit patients:
with a novel monocyte distribution width biomarker. Chest. 2017;152(3):518-26.
worldwide data from the intensive care over nations audit. Open Forum Infect Dis. 2018;5(12):ofy313.
44. Trzeciak S, Dellinger RP, Chansky ME, Arnold RC, Schorr C, Milcarek B, et al. Serum lactate as a predictor of mortality in
7. Vincent JL, Sakr Y, Sprung CL, Ranieri VM, Reinhart K, Gerlach H, et al. Sepsis in European intensive care units: results of
patients with infection. Intensive Care Med. 2007;33(6):970-7.
the SOAP study. Crit Care Med. 2006;34(2):344-53.
45. Vigushin DM, Pepys MB, Hawkins PN. Metabolic and scintigraphic studies of radioiodinated human C-reactive protein in
8. Vincent JL, Rello J, Marshall J, Silva E, Anzueto A, Martin CD, et al. International study of the prevalence and outcomes of
health and disease. J Clin Invest. 1993;91(4):1351-7.
infection in intensive care units. JAMA. 2009;302(21):2323-9.
46. Pepys MB, Hirschfield GM. C-reactive protein: a critical update. J Clin Invest. 2003;111(12):1805-12.
9. Majno G. The ancient riddle of sigma eta psi iota sigma (sepsis). J Infect Dis. 1991;163(5):937-45.
47. Reinhart K, Karzai W, Meisner M. Procalcitonin as a marker of the systemic inflammatory response to infection. Intensive
10. Bone R, Balk R, Cerra F. American College of Chest Physicians/Society of Critical Care Medicine Consensus
Care Med. 2000;26(9):1193-200.
Conference: definitions for sepsis and organ failure and guidelines for the use of innovative therapies in sepsis. Crit Care
Med. 1992;20(6):864-74. 48. Cortegiani A, Misseri G, Ippolito M, Bassetti M, Giarratano A, Martin-Loeches I, et al. Procalcitonin levels in candidemia
versus bacteremia: a systematic review. Crit Care. 2019;23(1):190.
11. Kaukonen KM, Bailey M, Pilcher D, Cooper DJ, Bellomo R. Systemic inflammatory response syndrome criteria in defining
severe sepsis. N Engl J Med. 2015;372(17):1629-38. 49. Wacker C, Prkno A, Brunkhorst FM, Schlattmann P. Procalcitonin as a diagnostic marker for sepsis: a systematic review
and meta-analysis. Lancet Infect Dis. 2013;13(5):426-35.
50. Briel M, Schuetz P, Mueller B, Young J, Schild U, Nusbaumer C, et al. Procalcitonin-guided antibiotic use vs a standard 79. Ehrman RR, Sullivan AN, Favot MJ, Sherwin RL, Reynolds CA, Abidov A, et al. Pathophysiology, echocardiographic
approach for acute respiratory tract infections in primary care. Arch Intern Med. 2008;168(18):2000-7; discussion evaluation, biomarker findings, and prognostic implications of septic cardiomyopathy: a review of the literature. Crit Care.
2007-8. 2018;22(1):112.
51. Schuetz P, Christ-Crain M, Thomann R, Falconnier C, Wolbers M, Widmer I, et al. Effect of procalcitonin-based guidelines 80. Belletti A, Benedetto U, Biondi-Zoccai G, Leggieri C, Silvani P, Angelini GD, et al. The effect of vasoactive drugs on
vs standard guidelines on antibiotic use in lower respiratory tract infections: the ProHOSP randomized controlled trial. mortality in patients with severe sepsis and septic shock. A network meta-analysis of randomized trials. J Crit Care.
JAMA. 2009;302(10):1059-66. 2017;37:91-8.
52. Bouadma L, Luyt CE, Tubach F, Cracco C, Alvarez A, Schwebel C, et al. Use of procalcitonin to reduce patients’ 81. Oba Y, Lone NA. Mortality benefit of vasopressor and inotropic agents in septic shock: a Bayesian network meta-analysis
exposure to antibiotics in intensive care units (PRORATA trial): a multicentre randomised controlled trial. Lancet. of randomized controlled trials. J Crit Care. 2014;29(5):706-10.
2010;375(9713):463-74. 82. Schmoelz M, Schelling G, Dunker M, Irlbeck M. Comparison of systemic and renal effects of dopexamine and dopamine in
53. Jensen JU, Hein L, Lundgren B, Bestle MH, Mohr TT, Andersen MH, et al. Procalcitonin-guided interventions against norepinephrine-treated septic shock. J Cardiothorac Vasc Anesth. 2006;20(2):173-8.
infections to increase early appropriate antibiotics and improve survival in the intensive care unit: a randomized trial. Crit 83. Seguin P, Laviolle B, Guinet P, Morel I, Malledant Y, Bellissant E. Dopexamine and norepinephrine versus epinephrine on
Care Med. 2011;39(9):2048-58. gastric perfusion in patients with septic shock: a randomized study [NCT00134212]. Crit Care. 2006;10(1):R32.
54. Lydon EC, Ko ER, Tsalik EL. The host response as a tool for infectious disease diagnosis and management. Expert Rev 84. Morelli A, De Castro S, Teboul JL, Singer M, Rocco M, Conti G, et al. Effects of levosimendan on systemic and regional
Mol Diagn. 2018;18(8):723-38. hemodynamics in septic myocardial depression. Intensive Care Med. 2005;31(5):638-44.
55. Davenport EE, Burnham KL, Radhakrishnan J, Humburg P, Hutton P, Mills TC, et al. Genomic landscape of the individual 85. Morelli A, Donati A, Ertmer C, Rehberg S, Lange M, Orecchioni A, et al. Levosimendan for resuscitating the
host response and outcomes in sepsis: a prospective cohort study. Lancet Respir Med. 2016;4(4):259-71. microcirculation in patients with septic shock: a randomized controlled study. Crit Care. 2010;14(6):R232.
56. Boomer JS, Green JM, Hotchkiss RS. The changing immune system in sepsis: is individualized immuno-modulatory 86. Memis D, Inal MT, Sut N. The effects of levosimendan vs dobutamine added to dopamine on liver functions assessed with
therapy the answer? Virulence. 2014;5(1):45-56. noninvasive liver function monitoring in patients with septic shock. J Crit Care. 2012;27(3):318 e1-6.
57. Tang BM, Huang SJ, McLean AS. Genome-wide transcription profiling of human sepsis: a systematic review. Crit Care. 87. Gordon AC, Perkins GD, Singer M, McAuley DF, Orme RM, Santhakumaran S, et al. Levosimendan for the prevention of
2010;14(6):R237. acute organ dysfunction in sepsis. N Engl J Med. 2016;375(17):1638-48.
58. Martinez ML, Ferrer R, Torrents E, Guillamat-Prats R, Goma G, Suarez D, et al. Impact of source control in patients with 88. Holst LB, Haase N, Wetterslev J, Wernerman J, Guttormsen AB, Karlsson S, et al. Lower versus higher hemoglobin
severe sepsis and septic shock. Crit Care Med. 2017;45(1):11-9. threshold for transfusion in septic shock. N Engl J Med. 2014;371(15):1381-91.
59. Bloos F, Thomas-Ruddel D, Ruddel H, Engel C, Schwarzkopf D, Marshall JC, et al. Impact of compliance with infection 89. ProCESS Investigators, Yealy DM, Kellum JA, Huang DT, Barnato AE, Weissfeld LA, et al. A randomized trial of protocol-
management guidelines on outcome in patients with severe sepsis: a prospective observational multi-center study. Crit based care for early septic shock. N Engl J Med. 2014;370(18):1683-93.
Care. 2014;18(2):R42. 90. ARISE Investigators; ANZICS Clinical Trials Group, Peake SL, Delaney A, Bailey M, Bellomo R, et al. Goal-directed
60. Rhodes A, Evans LE, Alhazzani W, Levy MM, Antonelli M, Ferrer R, et al. Surviving sepsis campaign: international resuscitation for patients with early septic shock. N Engl J Med. 2014;371(16):1496-506.
guidelines for management of sepsis and septic shock: 2016. Intensive Care Med. 2017;43(3):304-77. 91. Mouncey PR, Osborn TM, Power GS, Harrison DA, Sadique MZ, Grieve RD, et al. Trial of early, goal-directed
61. Kumar A, Roberts D, Wood KE, Light B, Parrillo JE, Sharma S, et al. Duration of hypotension before initiation of effective resuscitation for septic shock. N Engl J Med. 2015;372(14):1301-11.
antimicrobial therapy is the critical determinant of survival in human septic shock. Crit Care Med. 2006;34(6):1589-96. 92. Annane D, Sebille V, Charpentier C, Bollaert PE, Francois B, Korach JM, et al. Effect of treatment with low doses of
62. Gaieski DF, Mikkelsen ME, Band RA, Pines JM, Massone R, Furia FF, et al. Impact of time to antibiotics on survival hydrocortisone and fludrocortisone on mortality in patients with septic shock. JAMA. 2002;288(7):862-71.
in patients with severe sepsis or septic shock in whom early goal-directed therapy was initiated in the emergency 93. Sprung CL, Annane D, Keh D, Moreno R, Singer M, Freivogel K, et al. Hydrocortisone therapy for patients with septic
department. Crit Care Med. 2010;38(4):1045-53. shock. N Engl J Med. 2008;358(2):111-24.
63. Zhang D, Micek ST, Kollef MH. Time to appropriate antibiotic therapy is an independent determinant of postinfection ICU 94. Venkatesh B, Finfer S, Cohen J, Rajbhandari D, Arabi Y, Bellomo R, et al. Adjunctive glucocorticoid therapy in patients
and hospital lengths of stay in patients with sepsis. Crit Care Med. 2015;43(10):2133-40. with septic shock. N Engl J Med. 2018;378(9):797-808.
64. Liu VX, Fielding-Singh V, Greene JD, Baker JM, Iwashyna TJ, Bhattacharya J, et al. The timing of early antibiotics and 95. Annane D, Renault A, Brun-Buisson C, Megarbane B, Quenot J-P, Siami S, et al. Hydrocortisone plus fludrocortisone for
hospital mortality in sepsis. Am J Respir Crit Care Med. 2017;196(7):856-63. adults with septic shock. N Eng J Med. 2018;378(9):809-18.
65. Whiles BB, Deis AS, Simpson SQ. Increased time to initial antimicrobial administration is associated with progression to 96. Fisher CJ, Jr., Agosti JM, Opal SM, Lowry SF, Balk RA, Sadoff JC, et al. Treatment of septic shock with the tumor necrosis
septic shock in severe sepsis patients. Crit Care Med. 2017;45(4):623-9. factor receptor:Fc fusion protein. The Soluble TNF Receptor Sepsis Study Group. N Engl J Med. 1996;334(26):1697-
66. Sterling SA, Miller WR, Pryor J, Puskarich MA, Jones AE. The impact of timing of antibiotics on outcomes in severe sepsis 702.
and septic shock: a systematic review and meta-analysis. Crit Care Med. 2015;43(9):1907-15. 97. Opal SM, Fisher CJ Jr, Dhainaut JF, Vincent JL, Brase R, Lowry SF, et al. Confirmatory interleukin-1 receptor antagonist
67. Zadroga R, Williams DN, Gottschall R, Hanson K, Nordberg V, Deike M, et al. Comparison of 2 blood culture media shows trial in severe sepsis: a phase III, randomized, double-blind, placebo-controlled, multicenter trial. The Interleukin-1
significant differences in bacterial recovery for patients on antimicrobial therapy. Clin Infect Dis. 2013;56(6):790-7. Receptor Antagonist Sepsis Investigator Group. Crit Care Med. 1997;25(7):1115-24.
68. Levy MM, Evans LE, Rhodes A. The surviving sepsis campaign bundle: 2018 update. Intensive Care Med. 98. Opal SM, Laterre P-F, Francois B, LaRosa SP, Angus DC, Mira J-P, et al. Effect of eritoran, an antagonist of MD2-TLR4,
2018;44(6):925-8. on mortality in patients with severe sepsis: the ACCESS randomized trial. JAMA. 2013;309(11):1154-62.
69. Finfer S, Bellomo R, Boyce N, French J, Myburgh J, Norton R, et al. A comparison of albumin and saline for fluid 99. Angus DC, Birmingham MC, Balk RA, Scannon PJ, Collins D, Kruse JA, et al. E5 murine monoclonal antiendotoxin
resuscitation in the intensive care unit. N Engl J Med. 2004;350(22):2247-56. antibody in gram-negative sepsis: a randomized controlled trial. E5 Study Investigators. JAMA. 2000;283(13):1723-30.
70. Dulhunty JM, Roberts JA, Davis JS, Webb SA, Bellomo R, Gomersall C, et al. Continuous infusion of beta-lactam 100. McCloskey RV, Straube RC, Sanders C, Smith SM, Smith CR. Treatment of septic shock with human monoclonal
antibiotics in severe sepsis: a multicenter double-blind, randomized controlled trial. Clin Infect Dis. 2013;56(2):236-44. antibody HA-1A. A randomized, double-blind, placebo-controlled trial. CHESS Trial Study Group. Ann Intern Med.
71. Caironi P, Tognoni G, Masson S, Fumagalli R, Pesenti A, Romero M, et al. Albumin replacement in patients with severe 1994;121(1):1-5.
sepsis or septic shock. N Engl J Med. 2014;370(15):1412-21. 101. Francois B, Jeannet R, Daix T, Walton AH, Shotwell MS, Unsinger J, et al. Interleukin-7 restores lymphocytes in septic
72. De Backer D, Biston P, Devriendt J, Madl C, Chochrad D, Aldecoa C, et al. Comparison of dopamine and norepinephrine shock: the IRIS-7 randomized clinical trial. JCI Insight. 2018;3(5):e98960.
in the treatment of shock. N Engl J Med. 2010;362(9):779-89. 102. Jaimes F, De La Rosa G, Morales C, Fortich F, Arango C, Aguirre D, et al. Unfractioned heparin for treatment of sepsis: a
73. Patel GP, Grahe JS, Sperry M, Singla S, Elpern E, Lateef O, et al. Efficacy and safety of dopamine versus norepinephrine randomized clinical trial (The HETRASE Study). Crit Care Med. 2009;37(4):1185-96.
in the management of septic shock. Shock. 2010;33(4):375-80. 103. Levi M, Levy M, Williams MD, Douglas I, Artigas A, Antonelli M, et al. Prophylactic heparin in patients with severe sepsis
74. Myburgh JA, Higgins A, Jovanovska A, Lipman J, Ramakrishnan N, Santamaria J, et al. A comparison of epinephrine and treated with drotrecogin alfa (activated). Am J Respir Crit Care Med. 2007;176(5):483-90.
norepinephrine in critically ill patients. Intensive Care Med. 2008;34(12):2226-34. 104. Gando S, Saitoh D, Ishikura H, Ueyama M, Otomo Y, Oda S, et al. A randomized, controlled, multicenter trial of the
75. Annane D, Vignon P, Renault A, Bollaert PE, Charpentier C, Martin C, et al. Norepinephrine plus dobutamine versus effects of antithrombin on disseminated intravascular coagulation in patients with sepsis. Crit Care. 2013;17(6):R297.
epinephrine alone for management of septic shock: a randomised trial. Lancet. 2007;370(9588):676-84. 105. Vincent JL, Ramesh MK, Ernest D, LaRosa SP, Pachl J, Aikawa N, et al. A randomized, double-blind, placebo-controlled,
76. Russell JA, Walley KR, Singer J, Gordon AC, Hebert PC, Cooper DJ, et al. Vasopressin versus norepinephrine infusion in Phase 2b study to evaluate the safety and efficacy of recombinant human soluble thrombomodulin, ART-123, in patients
patients with septic shock. N Engl J Med. 2008;358(9):877-87. with sepsis and suspected disseminated intravascular coagulation. Crit Care Med. 2013;41(9):2069-79.
77. Gordon AC, Russell JA, Walley KR, Singer J, Ayers D, Storms MM, et al. The effects of vasopressin on acute kidney injury
in septic shock. Intensive Care Med. 2010;36(1):83-91.
78. Gordon AC, Mason AJ, Thirunavukkarasu N, Perkins GD, Cecconi M, Cepkova M, et al. Effect of early vasopressin
vs norepinephrine on kidney failure in patients with septic shock: the VANISH randomized clinical trial. JAMA.
2016;316(5):509-18.
100 Australasian Anaesthesia 2019 – Circulation Midodrine and its potential role in postoperative hypotension 101
Midodrine and its potential role in postoperative hypotension

Verna M Aykanat FANZCA, MBBS, BMedSci (Hons)
Dr Verna Aykanat undertook a clinical fellowship at Royal Perth Hospital, and has a special interest in finding
novel solutions to clinical challenges.
Ian O Fleming FANZCA, FRCA, MBBS, BSc, DipMedEd, EDRA, PGDipClinUS

Dr Ian Fleming is a specialist anaesthetist with a commitment to medical education and perioperative medicine
at Royal Perth Hospital.
Tomás B Corcoran MB, BCh, BAO, MRCPI, FCAI, FCICM, MD (RES)

Professor Tomás Corcoran is a dual specialist anaesthetist and intensivist, and director of anaesthesia research
at Royal Perth Hospital. He has a special interest in large pragmatic trials in perioperative care, and is the Chief
Investigator for the PADDI trial.
INTRODUCTION
The impact of perioperative haemodynamics on the postoperative outcomes of patients undergoing non-cardiac
surgery, both in the acute and long-term context, is the subject of considerable discussion in the current
literature1,2. Perioperative hypotension is not only common3, but is widely reported to be associated with both
significant morbidity and mortality4-8. Intraoperative hypotension is usually rapidly detected and treated by the
anaesthetist. However, recent studies have identified that the persistence of hypotension into the postoperative
period is more common than previously appreciated, yet frequently missed during routine ward care3,7,9. While
a causal relationship between postoperative hypotension and adverse outcomes is yet to be clearly defined,
it is likely to be at least partially contributory. Postoperative hypotension may therefore represent an important
modifiable risk factor. Hence, its prevention, or early detection and treatment, has the potential to improve
patient outcomes.
The early identification and correction of the causes of postoperative hypotension, such as hypovolaemia
or excessive sedation, are clearly indicated. However, there are limited strategies by which we may seek to
prevent the occurrence of postoperative hypotension, or to treat it once it has developed. Midodrine, an oral
a1-adrenoceptor agonist, has been demonstrated to be well tolerated and clinically effective as a treatment
for chronic symptomatic orthostatic hypotension10-14. Due to its ability to increase both venous return and
systemic vascular resistance (SVR), it may offer a new pharmacological solution to the problem posed by
postoperative hypotension. Premedication with midodrine to prevent perioperative hypotension has not been
previously reported, but could offer the potential additional benefit of mitigating the development and severity
of intraoperative hypotension. However, due to its ability to mask intraoperative haemorrhage and other
pathophysiological processes, stringent use is necessary. This article will explore the potential role of midodrine
exclusively in the postoperative period.
POSTOPERATIVE HYPOTENSION: A POTENTIAL TARGET FOR MIDODRINE

Pathophysiology of perioperative hypotension
Perioperative hypotension is often multifactorial and incorporates anaesthetic, surgical and patient risk factors:
Anaesthetic factors. Anaesthetic agents and techniques can produce hypotension through a broad range of
mechanisms. Sympathetic depression, vasodilatation, impaired baroreceptor reflexes and bradyarrhythmias may
all account for its occurrence15. Orthostatic hypotension and autonomic dysfunction are additionally observed,
particularly in the early postoperative period16,17. Excessive postoperative sedation, either due to opioid excess,
or the activity of residual anaesthetic agents, may also contribute. Persistent sympatholysis from neuraxial
techniques may compound this hypotension or cause it de novo. Despite adequate resuscitation, patients may
still require short term haemodynamic support until these effects have fully resolved. These anaesthesia factors
can interact with surgical factors, such as hypovolaemia, and patient factors, such as myocardial disease, to
cause prolonged postoperative hypotension.
Surgical factors. The surgical stress response during and after major surgery is associated with a systemic
inflammatory response syndrome (SIRS)-like reduction in SVR, associated with pro-inflammatory cascade
systems, and may be compounded by reduced intravascular volume from prolonged fasting times, bleeding and
third space fluid losses18.
Patient factors. Patients with conditions such as diabetic autonomic neuropathy, impaired systolic or diastolic
cardiac function and valvular disease may be especially prone to postoperative hypotension, due to inadequate
augmentation of cardiac output to match the increased physiological demands of the perioperative period. myocardial dysfunction, require early identification and treatment or exclusion. Additional causes of hypotension
Concomitant administration of antihypertensive medication, such as angiotensin-converting enzyme (ACE) categorised by pathophysiology are listed in Figure 1. Specific treatments for each cause are beyond the scope
inhibitors, calcium channel blockers and ß-blockers, may also contribute to the development of perioperative of this review. If it is determined that the primary cause of hypotension is reduced SVR, and the degree of
hypotension, which may be persistent and poorly responsive to conventional therapies8,19,20. hypotension is mild-moderate, midodrine should be considered to mitigate hypotension, and potentially improve
longer term outcomes.
Why is the detection and correction of postoperative hypotension important?
Multiple studies have demonstrated an association between hypotension during non-cardiac surgery and Predetermined and documented SBP targets will help guide titration or cessation of treatment. Due to the
increased mortality7,21, acute kidney injury22,23, myocardial injury24-26, stroke27 and postoperative delirium6. ability of midodrine to mask hypotension caused by mechanisms other than low SVR, the need for repeated
However, it is unknown what constitutes an appropriate and safe blood pressure target range for the intra- and dosing will necessarily require serial patient assessment, to continue to exclude other pathophysiological
postoperative periods28. It is also uncertain how much causality can be attributed to hypotension29. Hypotension causes. As previously discussed, a limitation to the current ward environment is that patient observations are
is the most common trigger for repeated vital-sign assessment on medical and surgical wards30. It is also one measured and recorded less frequently compared to the HDU or ICU, where “failure to detect” hypotension
of the most common reasons for transfer from the ward to the intensive care environment31,32. However, while can occur. Conversely, the side effects of midodrine, such as supine hypertension, require careful monitoring
postoperative hypotension is common, it is frequently missed3. until a consistent safety profile is established. In our institution, initiation of midodrine is accompanied by
senior clinician ward medical review by the SAFE team (see “A resilience engineering approach to out-of-
Most life-threatening ward complications, particularly following surgery, are preceded by abnormalities in vital hours healthcare: The SAFE initiative” by Tim Bowles in this edition of Australasian Anaesthesia). For higher
signs that can occur quite some time prior to the event, and remain persistently untreated33. Delayed detection complexity patients, seeking early critical care support, and surgical opinion, where the potential for bleeding
of haemodynamic perturbations can preclude timely escalation and appropriate intervention34,35. Prevention of exists, will help to provide additional safety for patient care.
“failure to rescue”, defined as patient death after one or more potentially treatable complications, has emerged
in the literature as an important outcome for quality improvement and safety36. This incorporates both early Figure 1. A suggested pathway for the treatment of postoperative hypotension categorised by
recognition of complications, such as clinically significant hypotension or myocardial ischaemia, and rapid pathophysiology.
escalation of treatment, which have the combined ability to improve patient outcome37.
The definition selected for hypotension threshold alters both the reported incidence of hypotension38, and its
associated complications39. Employing percentage change from a patient’s preoperative baseline, such as Systemic Arterial Hypotension
20% or 30%, carries equivalance with absolute thresholds, which are independent of preoperative values22,
in terms of reported incidence. These are the two most commonly used approaches in the current literature.
Systolic blood pressure < 90mmHg
Several studies have identified that the duration of intraoperative hypotension is an independent risk factor
associated with increased mortality, cardiac morbidity and renal injury40. During the intraoperative period, an
association with organ injury has been demonstrated to occur once a patient’s mean arterial pressure (MAP) LOW SYSTEMIC
LOW CARDIAC OUTPUT
decreases to less than 80 mmHg for more than 10 minutes41. As the MAP threshold used to define hypotension VASCULAR RESISTANCE
is progressively lowered, the duration spent below that threshold associated with end-organ injury appears to
shorten, such that any episode of MAP less than 55 mmHg appears to be deleterious, irrespective of duration41.
Intraoperative blood pressure is frequently monitored and appropriate interventions rapidly instituted when it Stroke Volume Heart Rate * Surgical stress response/SIRS
decreases below arbitrary values, depending upon the individual anaesthetist and institution. This is in stark Dysrhythmias Sepsis
contrast to the postoperative setting. In Turan’s study, up to one quarter of patients developed postoperative Post cardiopulmonary bypass
hypotension, defined by authors as a MAP less than 70 mmHg for at least 30 continuous minutes, and 18% of
* Residual general anaesthesia
patients developed severe hypotension, defined as a MAP less than 65 mmHg for greater than 15 continuous
minutes3. Concerningly, only half of the episodes of severe hypotension were captured by routine non-invasive * Residual neuraxial anaesthesia
measurement, typically at a frequency of 4-8 hourly3, indicating a “failure to detect” clinically important * Excessive opioid analgesia
Hypovolaemia Cardiac Pathology
hypotension during ward-based care9. In a sub-study of the POISE-2 trial, systolic blood pressure (SBP) of * Antihypertensive drugs
less than 90 mmHg in the first four postoperative days was strongly associated with myocardial infarction7, in Haemorrhage Ischaemic heart Anaphylaxis
addition to a 30-day composite of mortality and myocardial infarction7. A clear association has also recently Third space losses disease
Transfusion reaction
been identified between postoperative hypotension and troponin elevation, a marker of myocardial injury5. This Excessive diuresis Cardiomyopathy
* Neurogenic (spinal cord injury)
emerging data emphasises that postoperative hypotension may be as deleterious to patients as intraoperative > Diuretic drugs Valvular heart disease
hypotension, with the added risk of being both missed and untreated. Trauma
> SGLT2 inhibitors Tamponade
Hyperthermia
Current strategies for managing postoperative hypotension on the ward are generally limited to fluid > Diabetes insipidus Congenital
Burns
administration, irrespective of aetiology. A recent trial demonstrated that maintenance of higher SBP, by Prolonged fasting Pulmonary embolism
continuing intraoperative vasopressor infusions in the postoperative period for four hours following surgery, Decompensated cirrhosis
could produce a 25% reduction of the risk of postoperative organ dysfunction42. However, such an approach is Acute pancreatitis
resource intensive and not always practical. Perioperative administration of oral midodrine has the potential to Acute adrenal insufficiency
offer a novel treatment option for ward patients where low SVR is the primary cause. Midodrine may also reduce
the incidence of prolonged delays in the Postoperative Anaesthesia Care Unit (PACU), in situations where mild-
moderate hypotension precludes transfer to the ward, and a High Dependency Unit (HDU) or Intensive Care
Unit (ICU) bed is not available. TREATMENT:
A suggested approach to the use of oral midodrine to treat postoperative hypotension
Oral midodrine can be used to treat hypotension in the postoperative period. This requires appropriate
patient selection based on patient, surgical and anaesthesia risk factors, highlighted above. As a minimum,
Fluid/Blood products Specific to pathology Specific to pathology
patients must have an intact swallow with no gastrointestinal obstruction. As with any abnormal vital sign,
assessment of hypotension requires a systematic approach to investigate potential causes, and guide the
most suitable treatment plan. Important and common causes of hypotension, such as acute haemorrhage and * Consider Midodrine
PHARMACOLOGY OF MIDODRINE Side effects: These generally relate to the sympathomimetic profile of midodrine.
Properties: Odourless, white, crystalline powder which is water soluble. Common: Piloerection, pruritis, paraesthesia, sensation of coldness, urinary retention, sensation of urinary
urgency and frequency. Managed with dose reduction48.
Structure: An ethanolamine derivative.
Less common but potentially severe: Supine hypertension, which may be associated with reflex bradycardia.
Molecular formula: C12H18N2O4
Supine hypertension is arbitrarily defined by the Eighth Joint National Committee (JNC8) in neurogenic
orthostatic hypotension patients as a SBP greater than or equal to 150 mmHg or a diastolic blood pressure
(DBP) greater than or equal to 90 mmHg while in the supine position. In the community, supine hypertension
is more likely to occur in patients with pre-treatment systolic hypertension10. Given that our primary aim of
perioperative administration is the treatment of systolic hypotension, we expect that supine hypertension would
occur less commonly. If supine hypertension does occur, the reverse Trendelenburg position has been shown to
be effective49. It is recommended not to take midodrine within 5 hours of bedtime in outpatients with orthostatic
hypotension50. However, where hypotension is a potential complication in the postoperative period, overnight
treatment with midodrine may be warranted.
Table 1. Contraindications to midodrine administration.
Absolute contraindications: Relative contraindications/caveats:

Active bleeding and hypovolaemia Congestive cardiac failure
Known hypersensitivity to midodrine Urinary retention
Supine hypertension Acute kidney injury – consider increasing
Preparation: Available in 2.5mg, 5mg and 10mg tablets. dosing interval
Mechanism of action: An oral prodrug, midodrine’s active metabolite, desglymidodrine, is a selective a1- Impaired gastrointestinal absorption
adrenoreceptor agonist, leading to smooth muscle contraction of both arteriolar and venous vasculature, and an Narrow angle glaucoma
elevation of blood pressure in a dose-dependent manner. Severe obliterative vascular disease
Pharmacokinetics Cerebrovascular occlusion/vessel spasm
Absorption: Following oral administration, midodrine is rapidly and almost completely absorbed, with a mean Proliferative diabetic retinopathy
absolute bioavailability (as desglymidodrine) of 93%. Absorption of midodrine is unaffected by fasting status. Phaechromocytoma
Peak plasma concentration of midodrine is achieved at 30 minutes, with peak effect of its active metabolite
Thyrotoxicosis
at 60-90 minutes. Relevant duration of action is 4-5 hours. In healthy patients, an oral dose of 10mg typically
increases the SBP 10-30 mmHg at 1 hour, with the effect maintained for a further 3-4 hours.
Drug interactions: Midodrine may augment the effect of other sympathomimetic or vasoconstrictor drugs, such
Distribution: Volume of distribution is 4L/kg, with minimal plasma protein binding. pKa is 7.8, with a pH of 3.5- as metaraminol and ephedrine. The effects of midodrine may be antagonised by α-adrenergic blocking drugs
5.5. Midodrine has a negative octanol/water partition coefficient, in keeping with its hydrophilic profile. Both including prazosin and phentolamine. Alternatively, these agents may have a role in rescue therapy. Concomitant
midodrine and desglymidodrine poorly diffuse across the blood-brain barrier, thus exerting no central nervous use of ß-adrenoreceptor blocking agents or digoxin require close monitoring, due to the potential development
system side effects. of bradycardia.
Metabolism: Midodrine undergoes extensive metabolism via enzyme hydrolysis (deglycination) to form the major
metabolite, desglymidodrine, responsible for its therapeutic effects. Only 2-4% is excreted unchanged. PUBLISHED EVIDENCE REGARDING MIDODRINE USAGE
Elimination: Desglymidodrine is renally cleared at 385ml/min, 80% by active secretion. Elimination half-life is Official indications
3-4 hours, increasing up to 10 hours in end-stage renal failure (ESRF), which may require an extended dosing Midodrine’s ability to overcome orthostatic hypotension was first identified over three decades ago51. It received
interval43. Desglymidodrine is dialysable. conditional Food and Drug Administration (FDA) approval in 1996 for orthostatic hypotension in the US. In the
UK, midodrine was the first medication licensed for the treatment of orthostatic hypotension, and was approved
Toxicity: Oral LD50 in animals is 30-50mg/kg in rats, 675mg/kg in mice and 125-160mg/kg in dogs. by the Medicines and Healthcare products Regulatory Agency (MHRA) in 2015 for the treatment of severe
Pharmacodynamics orthostatic hypotension due to autonomic dysfunction in adults, where other treatment was inadequate. In 2017,
the Australian Therapeutic Goods Act (TGA) authorised midodrine administration for the treatment of severe
Route of administration: Oral
orthostatic hypotension52. Suggested contraindications to the use of midodrine in the postoperative setting are
Dose: 5-15mg, every four hours for up to 24 hours. listed in Table 1.
Dose titration may be required to achieve the desired clinical effect, with dose response studies supporting a Use for other indications are currently off-label and exploratory.
higher efficacy at 10mg dosage compared to 5mg dosage in patients with neurogenic orthostatic hypotension.
Midodrine in the non-perioperative setting
Maximum doses of 30mg/day have been safely used44. In previous clinical trials performed in the ICU45,46, a
higher maximum dosage of 20-30mg, eight-hourly, was found to be safe. Logic and safety supports an initial Midodrine and orthostatic hypotension
dose of 10mg to achieve clinical effect, four-hourly as tolerated, with a maximum dosage of 60mg in 24 hours. An early systematic review and meta-analysis analysed seven trials to assess the efficacy and safety of
midodrine in orthostatic hypotension. Heterogeneity and differences in primary measurement outcomes were
Midodrine increases SVR, with a corresponding increase in SBP and MAP, for a given cardiac output. There
noted, such as SBP and MAP. While there was a significant increase in standing SBP compared to controls
is a negligible effect on cardiac ß-adrenergic receptors. Midodrine improves symptoms associated with
with midodrine, the authors recommended large observational studies to inform further practice53.
orthostatic hypotension and has been demonstrated to increase cerebral blood flow47.
Outpatient settings, inpatient wards, and spaceflight Midodrine, neuraxial anaesthesia and hypotension
Midodrine usage is increasing, with benefit observed in a broad range of non-perioperative settings, including Midodrine has demonstrated benefit in treating both orthostatic hypotension83 and protracted neurogenic
intradialytic hypotension in patients with End Stage Renal Failure (ESRF)54-56, post space-flight orthostatic shock84 following spinal cord injury (SCI). In high SCI patients, midodrine’s benefit extends to improved cerebral
intolerance57,58, symptomatic improvement in stress urinary incontinence59, treatment of refractory chylothorax60, flow velocity85, mitigation of impaired neurovascular coupling, and even improved cognitive function86. Neuraxial
cirrhosis with refractory ascites61 and orthostatic hypotension secondary to spinal cord injury62. Alternatively, anaesthesia mimics the physiological effects observed in SCI, including loss of descending inhibition, impaired
case reports exist of insidious development of urologic adverse effects in patients with spinal cord injury63, and afferent87 and efferent sympathetic nervous activity, and subsequent loss of both reflex vasoconstriction and
vascular ischaemia in a patient with ESRF64. venoconstriction, dependent on the level of blockade88-90. Hence, midodrine use may reverse persistent
Intensive Care Unit postoperative hypotension in patients following neuraxial anaesthesia, particularly when higher level blocks are
achieved, intentionally or inadvertently, and when hypotension is observed in the postoperative period.
The vasoplegic profile of sepsis may be a specific target for midodrine65. Two retrospective cohort studies45,66
in the ICU identified a potential role for midodrine in the early weaning of intravenous vasopressor support and
REFLECTIONS AND FUTURE DIRECTIONS
a reduction of length of ICU stay, up to 2 days45. In a prospective study of 20 adult surgical ICU patients, fewer
patients required intravenous vasopressors at 24 hours after initiation of midodrine46. For those still requiring Midodrine has been demonstrated to be well tolerated in the community in patients with orthostatic hypotension
intravenous vasopressors, the infusion rate decreased from -0.62mcg/min/hr to -2.2mcg/min/hour following and autonomic insufficiency. Early evidence supports midodrine being beneficial in a broad range of clinical
midodrine administration. Midodrine may therefore offer a potential therapeutic alternative in an increasingly settings, including in patients with significant comorbidities. Contemporary literature strongly supports the
resource-limited ICU environment, including where medication shortages occur67. Two prospective, randomised paradigm that perioperative hypotension is not benign and should be actively sought and treated. This is
control trials; the Midodrine as adjunctive support for treatment of refractory hypotension in the intensive due to its association with cardiac morbidity, stroke, acute renal injury and death. Patients at increased risk
care unit: A multicentre, randomised, placebo controlled trial (MIDAS)68, and the Midodrine as an Adjunctive of postoperative hypotension, such as those with increased frailty, pre-existing cardiac disease or those
VasoprEssor for Refractory Hypotension in Intensive Care (MAVERIC) Study (ACTRN12618001158257) trials undergoing major surgery, are dually a population most vulnerable to harm if postoperative hypotension
are ongoing to identify a true benefit of midodrine administration. We anticipate these results will inform ongoing develops. Midodrine may therefore offer a mechanistically sound, clinically effective, and safe potential treatment
practice in this cohort of patients. option for the prevention and rescue treatment of postoperative hypotension, a modifiable risk factor, where
reduction of SVR is the primary cause. Additional potential benefits of midodrine in the perioperative period
Evidence for the potential role of midodrine in the perioperative setting
include, but are not limited to, earlier discharge from the PACU to the ward, facilitation of early postoperative
Limited yet promising data exists for midodrine in the perioperative setting. In patients at risk of developing patient mobilisation, fewer Medical Emergency Team (MET) calls/Code Blues/unplanned ICU admissions, and
postoperative hypotension, and/or orthostatic hypotension, midodrine has the potential advantages of being avoidance of unnecessary fluid administration or procedures, such as central venous cannulation.
a well-tolerated, peripherally acting oral sympathomimetic agent that could be used within the limitations of
a ward environment. The perioperative effects of midodrine can be subdivided into anaesthesia type, general Prospective observational data and clinical experience are promising, however, further studies are required to
versus neuraxial, and effect on blood pressure: Hypotension, earlier defined as SBP less than 90 mmHg, versus specifically address the efficacy of midodrine in the perioperative period. In particular, prospective randomised
orthostatic hypotension, defined below. studies need to define the effect of midodrine on orthostatic hypotension as compared to general hypotension
in the perioperative period, and the need for dose adjustment in specific patient or surgical populations, such
Midodrine and postoperative orthostatic hypotension as those with intrinsic autonomic disease. Studies examining the use of midodrine in patients receiving neuraxial
Orthostatic hypotension (OH), defined as a reduction of SBP of 20 mmHg or DBP of 10 mmHg or more, after anaesthesia, as compared to general anaesthesia, or a combination technique, would be of further benefit.
3 minutes of standing69, occurs commonly after surgery70,71, with an increased incidence in older females16. Well-designed pragmatic trials and the collection of long term follow-up data will enable clarification as to
Cerebral hypoperfusion during postoperative mobilisation71 in patients with OH contributes to delayed whether midodrine has the potential to alter significant complication outcomes, and become a useful adjunct to
recovery, increased length of stay72, and the potential for syncope and falls73. Midodrine has been trialled in the safe clinical practice.
perioperative period and found to be effective at improving both OH and orthostatic symptoms in kidney and
pancreas recipients74. In elective joint replacement, 5mg midodrine administration on a single postoperative REFERENCES
occasion did not improve OH postoperatively75. However, this may have been a subtherapeutic dose. A linear
dose-response relationship exists between SBP and neurogenic OH44, with 10mg dosage found to be clinically 1. Aronson S, Mythen MG. Perioperative management of high-risk patients: going beyond “avoid hypoxia and hypotension”.
JAMA. 2017;318(14):1330-2.
effective in chronic OH44,76.
2. McEvoy MD, Gupta R, Koepke EJ, Feldheiser A, Michard F, Levett D, et al. Perioperative quality initiative consensus
Midodrine, general anaesthesia and perioperative hypotension statement on postoperative blood pressure, risk and outcomes for elective surgery. Br J Anaesth. 2019;122(5):575-86.
3. Turan A, Chang C, Cohen B, Saasouh W, Essber H, Yang D, et al. Incidence, severity, and detection of blood pressure
Postoperative hypotension secondary to reduced SVR is common. Midodrine has been successfully used to perturbations after abdominal surgery: a prospective blinded observational study. Anesthesiology. 2019;130(4):550-9.
treat hypotension following spinal surgery77, and carotid artery stenting78. The latter patients were managed 4. Monk TG, Bronsert MR, Henderson WG, Mangione MP, Sum-Ping ST, Bentt DR, et al. Association between
on a telemetry ward, rather than the ICU for intravenous vasopressors. This supports a new postoperative intraoperative hypotension and hypertension and 30-day postoperative mortality in noncardiac surgery. Anesthesiology.
pathway for appropriately selected patients, and may aid in the reduction of cost and resources. Recent studies 2015;123(2):307-19.
have assessed whether preoperative midodrine requirement predicts post-transplant morbidity and mortality 5. van Lier F, Wesdorp F, Liem VGB, Potters JW, Grune F, Boersma H, et al. Association between postoperative mean
outcomes, with mixed results79-81. In patients receiving orthotopic liver transplantation, intraoperative systemic arterial blood pressure and myocardial injury after noncardiac surgery. Br J Anaesth. 2018;120(1):77-83.
hypotension has been previously identified to be independent risk factor for adverse outcomes82. A large 6. Wang NY, Hirao A, Sieber F. Association between intraoperative blood pressure and postoperative delirium in elderly hip
retrospective study found that in patients requiring midodrine prior to transplantation, there was no difference in fracture patients. PLoS One. 2015;10(4):e0123892.
intraoperative hypotension between the two groups81. This was despite the midodrine group having higher ASA 7. Sessler DI, Meyhoff CS, Zimmerman NM, Mao G, Leslie K, Vasquez SM, et al. Period-dependent associations between
hypotension during and for four days after noncardiac surgery and a composite of myocardial infarction and death: a
scores, Model for End-Stage Liver Disease (MELD) scores, preoperative hypotension and an increased need substudy of the POISE-2 trial. Anesthesiology. 2018;128(2):317-27.
for continuous renal replacement therapy. Hansen et al concluded that preoperative midodrine requirement 8. Roshanov PS, Rochwerg B, Patel A, Salehian O, Duceppe E, Belley-Cote EP, et al. Withholding versus Continuing
could not predict increased risk of intraoperative hypotension, their primary outcome81. However, we suggest Angiotensin-converting Enzyme Inhibitors or Angiotensin II Receptor Blockers before Noncardiac Surgery: An
that midodrine may offer a protective benefit for selected patients in the perioperative period. Preoperative Analysis of the Vascular events In noncardiac Surgery patIents cOhort evaluatioN Prospective Cohort. Anesthesiology.
midodrine in this study was associated with a higher risk cohort, yet there was no increase in intraoperative 2017;126(1):16-27.
hypotension, vasopressor or blood transfusion requirement. Additionally, there was no difference in patient or 9. Sessler DI, Saugel B. Beyond ‘failure to rescue’: the time has come for continuous ward monitoring. Br J Anaesth.
graft survival at one year follow up. This provides a promising signal for further studies utilising perioperative 2019;122(3):304-6.
midodrine. 10. Smith W, Wan H, Much D, Robinson AG, Martin P. Clinical benefit of midodrine hydrochloride in symptomatic orthostatic
hypotension: a phase 4, double-blind, placebo-controlled, randomized, tilt-table study. Clin Auton Res. 2016;26(4):269-77.
11. Low PA, Gilden JL, Freeman R, Sheng KN, McElligott MA. Efficacy of midodrine vs placebo in neurogenic orthostatic
hypotension. A randomized, double-blind multicenter study. Midodrine Study Group. JAMA. 1997;277(13):1046-51.
12. McClellan KJ, Wiseman LR, Wilde MI. Midodrine. A review of its therapeutic use in the management of orthostatic 43. House AA. Are there any contraindications to using midodrine for intradialytic hypotension? Semin Dial. 2011;24(4):402-3.
hypotension. Drugs Aging. 1998;12(1):76-86. 44. Wright RA, Kaufmann HC, Perera R, Opfer-Gehrking TL, McElligott MA, Sheng KN, et al. A double-blind, dose-response
13. Jankovic J, Gilden JL, Hiner BC, Kaufmann H, Brown DC, Coghlan CH, et al. Neurogenic orthostatic hypotension: a study of midodrine in neurogenic orthostatic hypotension. Neurology. 1998;51(1):120-4.
double-blind, placebo-controlled study with midodrine. Am J Med. 1993;95(1):38-48. 45. Whitson MR, Mo E, Nabi T, Healy L, Koenig S, Narasimhan M, et al. Feasibility, utility, and safety of midodrine during
14. Fouad-Tarazi FM, Okabe M, Goren H. Alpha sympathomimetic treatment of autonomic insufficiency with orthostatic recovery phase from septic shock. Chest. 2016;149(6):1380-3.
hypotension. Am J Med. 1995;99(6):604-10. 46. Levine AR, Meyer MJ, Bittner EA, Berg S, Kalman R, Stanislaus AB, et al. Oral midodrine treatment accelerates the
15. Lonjaret L, Lairez O, Minville V, Geeraerts T. Optimal perioperative management of arterial blood pressure. Integr Blood liberation of intensive care unit patients from intravenous vasopressor infusions. J Crit Care. 2013;28(5):756-62.
Press Control. 2014;7:49-59. 47. Wecht JM, Radulovic M, Rosado-Rivera D, Zhang RL, LaFountaine MF, Bauman WA. Orthostatic effects of midodrine
16. Cowie DA, Shoemaker JK, Gelb AW. Orthostatic hypotension occurs frequently in the first hour after anesthesia. Anesth versus L-NAME on cerebral blood flow and the renin-angiotensin-aldosterone system in tetraplegia. Arch Phys Med
Analg. 2004;98(1):40-5, table of contents. Rehabil. 2011;92(11):1789-95.
17. Stirt JA FR, Gunz EF, Conolly ME. Anesthesia, catecholamines, and hemodynamics in autonomic dysfunction. Anesth 48. McTavish D, Goa KL. Midodrine. A review of its pharmacological properties and therapeutic use in orthostatic hypotension
Analg. 1982;61(8):701-4. and secondary hypotensive disorders. Drugs. 1989;38(5):757-77.
18. Desborough JP. The stress response to trauma and surgery. Br J Anaesth. 2000;85(1):109-17. 49. Chaimberg KH, Travis KW. Supine hypertension during general anesthesia in a patient taking midodrine. Anesth Analg.
19. Comfere T, Sprung J, Kumar MM, Draper M, Wilson DP, Williams BA, et al. Angiotensin system inhibitors in a general 2002;95(5):1196-7, table of contents.
surgical population. Anesth Analg. 2005;100(3):636-44, table of contents. 50. Gibbons CH, Schmidt P, Biaggioni I, Frazier-Mills C, Freeman R, Isaacson S, et al. The recommendations of a consensus
20. Kheterpal S, Khodaparast O, Shanks A, O’Reilly M, Tremper KK. Chronic angiotensin-converting enzyme inhibitor or panel for the screening, diagnosis, and treatment of neurogenic orthostatic hypotension and associated supine
angiotensin receptor blocker therapy combined with diuretic therapy is associated with increased episodes of hypotension hypertension. J Neurol. 2017;264(8):1567-82.
in noncardiac surgery. J Cardiothorac Vasc Anesth. 2008;22(2):180-6. 51. Phillips AA, Krassioukov AV, Ainslie PN, Warburton DE. Perturbed and spontaneous regional cerebral blood flow
21. Mascha EJ, Yang D, Weiss S, Sessler DI. Intraoperative mean arterial pressure variability and 30-day mortality in patients responses to changes in blood pressure after high-level spinal cord injury: the effect of midodrine. J Appl Physiol (1985).
having noncardiac surgery. Anesthesiology. 2015;123(1):79-91. 2014;116(6):645-53.
22. Salmasi V, Maheshwari K, Yang D, Mascha EJ, Singh A, Sessler DI, et al. Relationship between intraoperative hypotension, 52. Therapeutic Goods Act 1989 ss 19 (7A). Therapeutic goods (authorised supply of specified medicines) rules. September
defined by either reduction from baseline or absolute thresholds, and acute kidney and myocardial injury after noncardiac 2017 [Internet]. Available from: https://www.legislation.gov.au/Details/F2017L01301.
surgery: a retrospective cohort analysis. Anesthesiology. 2017;126(1):47-65. 53. Parsaik AK, Singh B, Altayar O, Mascarenhas SS, Singh SK, Erwin PJ, et al. Midodrine for orthostatic hypotension: a
23. Maheshwari K, Turan A, Mao G, Yang D, Niazi AK, Agarwal D, et al. The association of hypotension during non-cardiac systematic review and meta-analysis of clinical trials. J Gen Intern Med. 2013;28(11):1496-503.
surgery, before and after skin incision, with postoperative acute kidney injury: a retrospective cohort analysis. Anaesthesia. 54. Montagnac R, Clavel P, Delhotal-Landes B, Flouvat B, Poulain S, Schillinger F. [Midodrine (Gutron) treatment of
2018;73(10):1223-8. permanent arterial hypotension in a chronic hemodialysis patient]. Nephrologie. 2000;21(4):179-83.
24. van Waes JA, van Klei WA, Wijeysundera DN, van Wolfswinkel L, Lindsay TF, Beattie WS. Association between 55. Perazella MA. Efficacy and safety of midodrine in the treatment of dialysis-associated hypotension. Expert Opin Drug Saf.
Intraoperative hypotension and myocardial injury after vascular surgery. Anesthesiology. 2016;124(1):35-44. 2003;2(1):37-47.
25. Abbott TE, Pearse RM, Archbold RA, Ahmad T, Niebrzegowska E, Wragg A, et al. A prospective international multicentre 56. Cruz DN, Mahnensmith RL, Perazella MA. Intradialytic hypotension: is midodrine beneficial in symptomatic hemodialysis
cohort study of intraoperative heart rate and systolic blood pressure and myocardial injury after noncardiac surgery: patients? Am J Kidney Dis. 1997;30(6):772-9.
Results of the VISION study. Anesth Analg. 2018;126(6):1936-45. 57. Piwinski SE, Jankovic J, McElligott MA. A comparison of postspace-flight orthostatic intolerance to vasovagal syncope
26. Bijker JB, Persoon S, Peelen LM, Moons KG, Kalkman CJ, Kappelle LJ, et al. Intraoperative hypotension and perioperative and autonomic failure and the potential use of the alpha agonist midodrine for these conditions. J Clin Pharmacol.
ischemic stroke after general surgery: a nested case-control study. Anesthesiology. 2012;116(3):658-64. 1994;34(5):466-71.
27. Group PS, Devereaux PJ, Yang H, Yusuf S, Guyatt G, Leslie K, et al. Effects of extended-release metoprolol succinate in 58. Platts SH, Ziegler MG, Waters WW, Meck JV. Hemodynamic effects of midodrine after spaceflight in astronauts without
patients undergoing non-cardiac surgery (POISE trial): a randomised controlled trial. Lancet. 2008;371(9627):1839-47. orthostatic hypotension. Aviat Space Environ Med. 2006;77(4):429-33.
28. Meng L, Yu W, Wang T, Zhang L, Heerdt PM, Gelb AW. Blood pressure targets in perioperative care. Hypertension. 59. Weil EH, Eerdmans PH, Dijkman GA, Tamussino K, Feyereisl J, Vierhout ME, et al. Randomized double-blind placebo-
2018;72(4):806-17. controlled multicenter evaluation of efficacy and dose finding of midodrine hydrochloride in women with mild to moderate
29. Nagele P. Postoperative hypotension and troponin elevation: association or causation? Br J Anaesth. 2018;120(1):4-5. stress urinary incontinence: a phase II study. Int Urogynecol J Pelvic Floor Dysfunct. 1998;9(3):145-50.
30. Smith DJ, Aitken LM. Use of a single parameter track and trigger chart and the perceived barriers and facilitators to 60. Liou DZ, Warren H, Maher DP, Soukiasian HJ, Melo N, Salim A, et al. Midodrine: a novel therapeutic for refractory
escalation of a deteriorating ward patient: a mixed methods study. J Clin Nurs. 2016;25(1-2):175-85. chylothorax. Chest. 2013;144(3):1055-7.
31. Petersen Tym MK, Ludbrook GL, Flabouris A, Seglenieks R, Painter TW. Developing models to predict early postoperative 61. Singh V, Dhungana SP, Singh B, Vijayverghia R, Nain CK, Sharma N, et al. Midodrine in patients with cirrhosis and
patient deterioration and adverse events. ANZ J Surg. 2017;87(6):457-61. refractory or recurrent ascites: a randomized pilot study. J Hepatol. 2012;56(2):348-54.
32. Lee A, Lum ME, O’Regan WJ, Hillman KM. Early postoperative emergencies requiring an intensive care team intervention. 62. Barber DB, Rogers SJ, Fredrickson MD, Able AC. Midodrine hydrochloride and the treatment of orthostatic hypotension in
The role of ASA physical status and after-hours surgery. Anaesthesia. 1998;53(6):529-35. tetraplegia: two cases and a review of the literature. Spinal Cord. 2000;38(2):109-11.
33. Jones D, Mitchell I, Hillman K, Story D. Defining clinical deterioration. Resuscitation. 2013;84(8):1029-34. 63. Vaidyanathan S, Soni BM, Hughes PL. Midodrine: insidious development of urologic adverse effects in patients with spinal
34. Hillman KM, Bristow PJ, Chey T, Daffurn K, Jacques T, Norman SL, et al. Duration of life-threatening antecedents prior to cord injury: a report of 2 cases. Adv Ther. 2007;24(4):712-20.
intensive care admission. Intensive Care Med. 2002;28(11):1629-34. 64. Rubinstein S, Haimov M, Ross MJ. Midodrine-induced vascular ischemia in a hemodialysis patient: a case report and
35. DeVita MA, Smith GB, Adam SK, Adams-Pizarro I, Buist M, Bellomo R, et al. “Identifying the hospitalised patient in crisis”- literature review. Ren Fail. 2008;30(8):808-12.
a consensus conference on the afferent limb of rapid response systems. Resuscitation. 2010;81(4):375-82. 65. Gutman LB, Wilson BJ. The role of midodrine for hypotension outside of the intensive care unit. J Popul Ther Clin
36. Portuondo JI, Shah SR, Singh H, Massarweh NN. Failure to rescue as a surgical quality indicator: current concepts and Pharmacol. 2017;24(3):e45-e50.
future directions for improving surgical outcomes. Anesthesiology. 2019;131(2):426-37. 66. Poveromo LB, Michalets EL, Sutherland SE. Midodrine for the weaning of vasopressor infusions. J Clin Pharm Ther.
37. Silber JH, Williams SV, Krakauer H, Schwartz JS. Hospital and patient characteristics associated with death after surgery. 2016;41(3):260-5.
A study of adverse occurrence and failure to rescue. Med Care. 1992;30(7):615-29. 67. Wunsch H, Hua M, Walkey AJ, Rubenfeld G, Vail E, Gershengorn HB. Evaluation of practice changes in the care of
38. Bijker JB, van Klei WA, Kappen TH, van Wolfswinkel L, Moons KG, Kalkman CJ. Incidence of intraoperative hypotension patients with septic shock during the U.S. Norepinephrine Shortage. Ann Am Thorac Soc. 2018;15(4):509-11.
as a function of the chosen definition: literature definitions applied to a retrospective cohort using automated data 68. Anstey MH, Wibrow B, Thevathasan T, Roberts B, Chhangani K, Ng PY, et al. Midodrine as adjunctive support for
collection. Anesthesiology. 2007;107(2):213-20. treatment of refractory hypotension in the intensive care unit: a multicenter, randomized, placebo controlled trial (the
39. Vernooij LM, van Klei WA, Machina M, Pasma W, Beattie WS, Peelen LM. Different methods of modelling intraoperative MIDAS trial). BMC Anesthesiol. 2017;17(1):47.
hypotension and their association with postoperative complications in patients undergoing non-cardiac surgery. Br J 69. Freeman R, Wieling W, Axelrod FB, Benditt DG, Benarroch E, Biaggioni I, et al. Consensus statement on the definition
Anaesth. 2018;120(5):1080-9. of orthostatic hypotension, neurally mediated syncope and the postural tachycardia syndrome. Clin Auton Res.
40. Walsh M, Devereaux PJ, Garg AX, Kurz A, Turan A, Rodseth RN, et al. Relationship between intraoperative mean arterial 2011;21(2):69-72.
pressure and clinical outcomes after noncardiac surgery: toward an empirical definition of hypotension. Anesthesiology. 70. Hanada M, Tawara Y, Miyazaki T, Sato S, Morimoto Y, Oikawa M, et al. Incidence of orthostatic hypotension and
2013;119(3):507-15. cardiovascular response to postoperative early mobilization in patients undergoing cardiothoracic and abdominal surgery.
41. Wesselink EM, Kappen TH, Torn HM, Slooter AJC, van Klei WA. Intraoperative hypotension and the risk of postoperative BMC Surg. 2017;17(1):111.
adverse outcomes: a systematic review. Br J Anaesth. 2018;121(4):706-21. 71. Jans O, Bundgaard-Nielsen M, Solgaard S, Johansson PI, Kehlet H. Orthostatic intolerance during early mobilization after
42. Futier E, Lefrant JY, Guinot PG, Godet T, Lorne E, Cuvillon P, et al. Effect of individualized vs standard blood pressure fast-track hip arthroplasty. Br J Anaesth. 2012;108(3):436-43.
management strategies on postoperative organ dysfunction among high-risk patients undergoing major surgery: a 72. Bundgaard-Nielsen M, Jans O, Muller RG, Korshin A, Ruhnau B, Bie P, et al. Does goal-directed fluid therapy affect
randomized clinical trial. JAMA. 2017;318(14):1346-57. postoperative orthostatic intolerance?: a randomized trial. Anesthesiology. 2013;119(4):813-23.
73. Frith J. The association of orthostatic hypotension with falls-an end to the debate? Age Ageing. 2017;46(4):540-1.
74. Hurst GC, Somerville KT, Alloway RR, Gaber AO, Stratta RJ. Preliminary experience with midodrine in kidney/pancreas
transplant patients with orthostatic hypotension. Clin Transplant. 2000;14(1):42-7.
75. Jans Ø, Mehlsen J, Kjærsgaard-Andersen P, Husted H, Solgaard S, Josiassen J, et al. Oral midodrine hydrochloride for
prevention of orthostatic hypotension during early mobilization after hip arthroplasty: a randomized, double-blind, placebo-
controlled trial. Anesthesiology. 2015;123(6):1292-300.
76. Gilden JL. Midodrine in neurogenic orthostatic hypotension. A new treatment. Int Angiol. 1993;12(2):125-31.
77. O’Donnell B, Synnott A. Midodrine, an alternative to intravenous vasopressor therapy after spinal surgery. Eur J
Anaesthesiol. 2002;19(11):841-2.
78. Sharma S, Lardizabal JA, Bhambi B. Oral midodrine is effective for the treatment of hypotension associated with carotid
artery stenting. J Cardiovasc Pharmacol Ther. 2008;13(2):94-7.
79. Alhamad T, Brennan DC, Brifkani Z, Xiao H, Schnitzler MA, Dharnidharka VR, et al. Pretransplant midodrine use: a newly
identified risk marker for complications after kidney transplantation. Transplantation. 2016;100(5):1086-93.
80. Pottebaum AA, Hagopian JC, Brennan DC, Gharabagi A, Horwedel TA. Influence of pretransplant midodrine use on
outcomes after kidney transplantation. Clin Transplant. 2018;32(9):e13366.
81. Hansen D, Poterack K, Temkit M, Laney M, Trentman T. Preoperative midodrine use does not predict intraoperative
hypotension during orthotopic liver transplantation. J Anesth Clin Res. 2016;7(11):1-6.
82. Reich DL, Wood RK, Jr., Emre S, Bodian CA, Hossain S, Krol M, et al. Association of intraoperative hypotension and
pulmonary hypertension with adverse outcomes after orthotopic liver transplantation. J Cardiothorac Vasc Anesth.
2003;17(6):699-702.
83. Illman A, Stiller K, Williams M. The prevalence of orthostatic hypotension during physiotherapy treatment in patients with
an acute spinal cord injury. Spinal Cord. 2000;38(12):741-7.
84. Kim T, Jwa CS. Effect of alpha-1-adrenergic agonist, midodrine for the management of long-standing neurogenic shock in
patient with cervical spinal cord injury: a case report. Korean J Neurotrauma. 2015;11(2):147-50.
85. Wecht JM, Rosado-Rivera D, Handrakis JP, Radulovic M, Bauman WA. Effects of midodrine hydrochloride on blood
pressure and cerebral blood flow during orthostasis in persons with chronic tetraplegia. Arch Phys Med Rehabil.
2010;91(9):1429-35.
86. Phillips AA, Warburton DE, Ainslie PN, Krassioukov AV. Regional neurovascular coupling and cognitive performance
in those with low blood pressure secondary to high-level spinal cord injury: improved by alpha-1 agonist midodrine
hydrochloride. J Cereb Blood Flow Metab. 2014;34(5):794-801.
87. Introna RP, Blair JR, Thrush DN. Cardiac sympathetic blockade during spinal anesthesia involves both efferent and
afferent pathways. Anesthesiology. 2000;92(6):1850-1.
88. Claydon VE, Steeves JD, Krassioukov A. Orthostatic hypotension following spinal cord injury: understanding clinical
pathophysiology. Spinal Cord. 2006;44(6):341-51.
89. Popa C, Popa F, Grigorean VT, Onose G, Sandu AM, Popescu M, et al. Vascular dysfunctions following spinal cord injury.
J Med Life. 2010;3(3):275-85.
90. Greene NM. Area of differential block in spinal anesthesia with hyperbaric tetracaine. Anesthesiology. 1958;19(1):45-50.
Coagulation/
Blood
It’s about bloody time! The massive
transfusion protocol in trauma
Sinéad O’Keeffe, Ray Paramalingam,
Christine Grobler
Differentiation of preoperative anaemia

Hafiza Misran, Hamish Mace,
Shane Gangatharan, Kylie Symons
It’s about bloody time! The massive transfusion protocol in trauma 115
It’s about bloody time! The massive transfusion protocol in trauma

Sinéad O’Keeffe BE MB BAO BCh MRCPI FCAI FANZCA
Department of Anaesthesia and Pain Medicine, Royal Perth Hospital, WA.
Dr O’Keeffe is an Irish-trained anaesthetist. She has completed fellowships in trauma, airway and malignant
hyperthermia and has presented on the national and international arena on trauma and airway topics.
Ray Paramalingam MBBS

Dr Paramalingam is an advanced trainee in anaesthesia who also works with the Royal Flying Doctor Service
WA and has a keen interest in regional anaesthesia and prehospital medicine.
Christine Grobler MBBCH DA FCA FANZCA

Dr Grobler is a specialist anaesthetist and the Director of Trauma Anaesthesia in the Department of Anaesthesia
and Pain Medicine at Royal Perth Hospital. She sits on the hospital and WA state trauma committees, is Chair of
the WA ANZCA Regional Committee and clinical lead for the Rural Health West Outreach Anaesthesia Program.
INTRODUCTION
Massive traumatic haemorrhage is like war. As Ulysses S Grant once said “The art of war is simple enough. Find
out where your enemy is. Get at him as soon as you can. Strike him as hard as you can, and keep moving on.”
Trauma is the leading cause of death in the 18-39 years of age group. Haemorrhage remains the most common
cause of death within the first hour of arrival to a trauma unit. Over 50% of trauma deaths at 24 hours are
attributable to major haemorrhage and are thus considered preventable. More than 25% of trauma patients
present to the emergency department (ED) with variable degrees of coagulopathy1, and aggressive early
management of trauma induced coagulopathy (TIC) and the prevention of resuscitation induced coagulopathy
are points for management focus. The introduction of Massive Transfusion Protocols (MTP) has seen an
improvement in trauma outcomes and a reduction in both the number of blood products used and associated
complications2. Utilising a MTP, also known as Damage Control Haematology (DCH), is essential to target rapid
haemostatic resuscitation and minimise wastage and delays. The majority of trauma patients do not, however,
require a massive transfusion (MT). A MT is defined as 5 or more units of packed red blood cells in <4 hours, or
>10 units in 24 hours; with only 3-5% of civilian trauma patients receiving a massive transfusion (MT). Patients
who do require a MT have a significantly increased morbidity and mortality. Predicting the need for massive
transfusion is complex and multi-factorial.
THE ROLE OF MASSIVE TRANSFUSION PROTOCOLS

The concept of a MTP is not new. It was initially designed to treat both established and potential
coagulopathies associated with massive haemorrhage. In the trauma setting, it was adopted to focus clinicians
addressing the uncertainties common in the care of patients with severe injuries3. The MTP is a cognitive
aid to focus the clinical team on the timing of initiation for blood product transfusion and the optimal ratio of
product administration, with the aim of maintaining organ perfusion and oxygen carrying capacity4. Over the
years, it has evolved to include haemostatic adjuncts for the haemodynamically unstable bleeding patient, in
an effort to combat metabolic and haemostatic failure3. It emphasises the concept of a multi-disciplinary team
approach to DCH, providing prompts for empiric transfusion ratios, prompts for necessary investigations (for
example, viscoelastic assays/conventional coagulation tests/arterial blood gases) and physiological targets (for
example, temperature/ pH /Ca2+/coagulation indices). Major transfusion protocols have been shown to reduce
early mortality, reduce the incidence of multi-organ failure and have made a positive impact on reducing blood
product use and wastage5.
116 Australasian Anaesthesia 2019 – Coagulation/Blood It’s about bloody time! The massive transfusion protocol in trauma 117
Figure 1 is the Massive Transfusion Protocol employed at the Level 1 WA State Trauma Hospital. The As with all MTPs, it requires a delicate and co-ordinated multi-disciplinary approach to deliver a highly protocolised
fundamentals are based on international guidelines whilst local nuances facilitate implementation. algorithm. From a laboratory perspective, it requires a non-specified period of high intensity workload; processing,
validating and cross matching of products to deliver large amounts of blood and blood products in a time-pressed
Figure 1. An example of a Massive Transfusion Protocol. Reproduced with permission from manner while ensuring the highest standards are maintained to ensure patient safety.
Royal Perth Hospital.
It has been proposed that a MTP protocol should not only cover areas of initiation, termination, resuscitative
products and targets, and haemostatic adjuncts, but also product procurement; availability, delivery and
transfusion. In addition, protocol performance indicators should be recorded and periodic auditing performed6.
These indicators could include the following:
• Details of initiation criteria on a case-by-case basis.
• Percentage of positive initiations.
• Time from initiation to infusion of first packed red blood cell.
• Time from initiation to infusion of first plasma.
• Use of investigations.
• Prescribed blood product and haemostatic adjunct compliance.
• Wastage and product traceability.
• Informing blood transfusion unit of intent to terminate.
• Documentation.
• Complications including over transfusion.
ACTIVATION OF MTP: HOW ROBUST ARE OUR TRIGGERS?

Activation and initiation of the MTP is the responsibility of a senior clinician (for example, trauma, ED or
anaesthesia services). It can be done prehospital or upon arrival of the patient into ED. Currently, there is no
international consensus on which activating criteria or scoring system to use in order to predict the need for a
massive transfusion, Damage Control Resuscitation, or the presence of TIC. Table 1 shows 14 available scoring
systems and their attributes. These scoring systems have varying degrees of complexity and sub-optimal
sensitivity and specificity. Many require the availability of results (for example, Hb/Lac/BE/INR/FAST scans), all
of which may impact the time to initiation of a MTP and administration of blood products7.
Table 1. Scoring systems for initiation of an MTP.
Name of algorithm Parameters used Predicting MT Validation Ease of use

Assessment 1. Penetrating Injury Score >2 Revalidated 2010 Non-weighted
of Blood 2. HR ≥120 Sensitivity 75- in multicentre w Parameters
Consumption 90% >1600 trauma
3. BP <90mmHg Score 0-4
Score patients
4. FAST + Specificity 66- Experienced
(ABC) 88% ultrasonographer
MDCAL application
available to do
calculation
Emergency Room 1. BP < or >90mmHg Score >3 German level 1 Weighted
Transfusion Score 2. FAST + Sensitivity 98.1% trauma centre Score 0-9.5
3. Clinical open pelvic Specificity 13.8% >1100 severely Easy to use
# injured trauma
Identifies pts in
patients
4. Age 20-60 or >60 need for immediate
5. Significant trauma transfusion
6. Admission from No MDCAL
scene application available
to do calculation
Name of algorithm Parameters used Predicting MT Validation Ease of use Name of algorithm Parameters used Predicting MT Validation Ease of use
Prince of Wales 1. HR ≥120bpm Score >6 PWH trauma Weighted Coagulopathy 1. Entrapment Score ≥3 Level 1 trauma Weighted
Hospital/Rainer 2. SBP ≤90mmHg Sensitivity 31.5% registry Score 0 -10 of Severe Trauma 2. Body Temp Sensitivity 60% unit Score 0-7
Score >1800 trauma Score Prospective
3. GCS ≤8 Specificity 99.7% No MDCAL 3. SBP Specificity 96.4% Pre-hospital
patients application available COAST validation study variables to predict
4. Displaced pelvic # 4. Abdo or pelvic
to do calculation of >1200 trauma ATC
5. CT or FAST + injury
patients
6. Base deficit 5. Chest
>5mmol/L decompression
7. Hb ≤7g/dL Massive 1. INR >1.5 NPV 95% Using cohort Non weighted Score
Hb 7.1 -10 g/dL Transfusion Score 2. SBP <90mmHg population from 0-7
the PROMMT
3. Hb<11g/dL
Trauma 1. SBP Score ≥16 German Trauma Weighted study
Associated Severe Registry 4. BD ≥6mmol/L
2. HR Probability >50% Score 0-28
Haemorrhage Revalidated 5. Fast +
3. Hb Requires imaging
Score 6. HR ≥120bpm
4. Intra-abdominal >4500 trauma MDCAL application
(TASH) patients 7. Penetrating injury
Fluid available to do
5. Complex long bone calculation Trauma Induced 8. Orientation Score >10 Single centre Weighted
or pelvic # Coagulopathy 9. BP Sensitivity 100% prospective Score 0-18
6. Base deficit Clinical Score to assess for
10. Extent of body Specificity 95.9% Recordable by
TICCS patients requiring
7. Gender injury paramedics
DCR
Traumatic 1. Age Score >15 113 severely Weighted 82 patients
Bleeding Severity 2. SBP Sensitivity 97.4% injured trauma Score 0 -57
Score patients As evident from Table 1, no one scoring system is ideal. There is a need for large multi-centre retrospective
3. FAST + Specificity 96.2% Simple to calculate
with iOS application validation studies to establish an easy to use, fast and predictable scoring system. The American Society
4. Severity of Pelvic # of Anesthesiologists and the American College of Surgeons advocate using The Assessment of Blood
5. Lactate level Consumption (ABC) and Trauma-Associated Severe Haemorrhage (TASH) scoring systems. Both have a
high sensitivity and lower specificity9. Most centres are dependent on senior clinician gestalt despite research
Code Red 1. Suspicion or Score 3 Emergency Non weighted showing that even in the most experienced hands in 10 Level 1 trauma units in USA, positive predictive value
evidence of Sensitivity of Medicine & Pre- Score 0-3 and negative predictive value were 34.9% and 86.2% respectively.8
haemorrhage >89% hospital Care,
Pre-hospital A result of the recent MTP audit conducted at Royal Perth Hospital (RPH) showed that of the 135 activations
2. SBP <90mmHg London’s Air
physician request which occurred over a 6-month period 64.9% of these occurred prior to the arrival of the patient to the
Ambulance, The
3. Failure to respond policy Emergency Department on the basis of the information received from referring personnel. Results from the
Royal London
to fluid bolus activation data indicated that 80% of patients had 1 or more physiologic derangements as the reason for
Hospital
triggering the MTP; 7.4% patients were in cardiopulmonary arrest; 3% were already intubated upon arrival and;
Shock Index 1. HR/SBP Score ≥0.9 >8000 patients Easy to calculate 6.6% of the activations were based on “clinician gestalt” due to a suspected significant injury.
RR = 1.61 for not yet been
Some institutions use a combination of non-weighted criteria including senior clinician gestalt, mechanism of
MT with 95% prospectively
injury, suspected injuries and patient haemodynamics. Table 2 is an example of the activating criteria currently
CI:1.13-2.31 investigated
used at the Level 1 WA State Trauma Hospital.
Larson Score 1. SBP Score >2 Retrospective Non weighted
analysis of Table 2. The activating criteria at RPH includes one or more of these features.
2. HR Incidence of MT Score 0-4
54% military
3. Hb Requires blood 1. Senior clinician judgement (gestalt)
4. Base Deficit Sensitivity 69% results
2. Prehospital/hospital HR >120bpm
Schreiber Score 1. Hb ≤11g/dL Sensitivity 85.8% 558 military All independent 3. Prehospital/hospital SBP <90mmHg
2. INR >1.5 Specificity 61.7% predictors of MT in
military personnel 4. Prehospital/hospital GCS ≤8
3. Penetrating
mechanism 5. Penetrating injury
6. Unstable pelvic or femoral fracture
7. Positive fast scan upon arrival into ED
Once the decision to activate is made, a clear pathway needs to be in place. As an example, once the Figure 3. An example of a major haemorrhage pack. Reproduced with permission of PathWest
decision to activate has been made at RPH, the Transfusion Medicine Unit (TMU) is contacted via a dedicated Laboratory Medicine WA.
phone and the technician is advised to “Activate the MTP”. Once the MTP has been activated, a designated
assistant is sent to deliver the completed slip to the overseeing technician in TMU and collect the first Massive
Haemorrhage Pack (MHP). The current activation slip used at our institution can be seen in Figure 2.
Figure 2. An example of a Major Haemorrhage Pack request slip.
Major haemorrhage pack request slip
Pre-arrival request Post-arrival request

– call TMU on 42475 to request – call TMU on 42475 to request
Note: Pt. ID NOT required, phone through full ID (once Affix ID Label Here
registered) & pack number as per Pre-arrival process
(ONLY if patient is registered)
i.e. name + URMN + DOB)
Senior doctor requesting Name:
Nurse requesting Snr Dr’s Name:
Transfusion prior to arrival YES NO Unknown
Patient gender Male Female
Incidents details:
Clinical activation criteria (tick all applicable boxes)
Clinician judgement Penetrating injury
Pre-hospital/Hospital HR >120bpm Unstable pelvic or femoral #
Pre-hospital/Hospital SBP < 90mmHg Fast scan positve
GCS score < 8
Complete above with available information – Give to PCA to collect pack from TMU.
The first-issued MHP in Royal Perth Hospital has 1g of tranexamic acid (TxA) in addition to the standard blood
products (pRBC/FFP/ platelets). Four grams of Fibrinogen Concentrate is now available on senior clinician
request. The second MHP contains 1 adult dose of Cryoprecipitate in addition to standard blood products.
Below are examples of a MHP used at RPH.
TERMINATION OF MTP
Of equal import is the action of actively terminating the MTP. Actively communicating with Transfusion
Medicine Unit to “Stand down MTP” adopts a closed loop communication, ensuring effective teamwork.
Timely deactivation promotes patient safety by avoiding unnecessary transfusion. It reduces blood product and
economic wastage, facilitating recycling of unused blood products and redistributing personnel to other tasks.
There is no consensus on criteria to prompt termination. However, some or all of the features in Table 3 provide
a basis to consider standing down9.
Table 3. Factors for consideration in terminating a MTP. the most robust trial to date and forms the basis of empiric ratio driven guidelines. It showed that among
patients with severe trauma and major bleeding, early administration of plasma, platelets, and red blood cells
1. Anatomic control of bleeding in a 1:1:1 ratio compared to 1:1:2 ratio did not result in significant differences in all-cause mortality at 24
hours or 30 days. However, more patients in the 1:1:1 group achieved earlier haemostasis, lower transfusion
2. Physiologic improvements of haemodynamics
rates and fewer deaths due to exsanguination by 24 hours13. The corollary of higher fixed ratio empiric MTP
(although still in acute phase of resuscitation)
is the increased risk of prolonged multi-organ failure/ PRMODS and nosocomial infection presumably due
• pH>7.2
to the augmentation of the immunosuppressive response after trauma14.Fibrinogen is a key clotting protein. It
• SBP 80-90mmHg
is essential for clot strength, clot stabilisation, platelet aggregation and haemostasis. It has a large molecular
• Temp >36°C
weight and long half-life of 3-5 days and contributes to a greater extent to clot strength in injured vs non-injured
3. Further resuscitation is considered futile controls, when measured at initial presentation and at 72 hours12. It is the first clotting factor to reach critically
4. General agreement within the team low or sub-therapeutic levels in bleeding trauma patients due to a predominant hyperfibrinolysis phenotype
specific to trauma1,15. This phenotype plays a central role in the endogenous coagulopathy and its presence
5. Targets reached (as per RPH Algorithm): confers an early mortality disadvantage16. A retrospective study correlating the fibrinogen level with mortality
• Hb>80g/L in critically injured patients revealed that fibrinogen levels less than 1.8g/L were significantly associated with
• Plt>80x109 higher in-hospital mortality rates15,16.
• INR<1.5
The target level for fibrinogen is >2g/L. Viscoelastic assays will aid in identifying abnormalities in fibrinogen.
• aPTT<50sec
For example, when using ROTEM the goal is Fibtem A5 ≥ 10mm and Extem A5 >35mm / CT<80sec. Fibtem
• Fibrinogen>2.0mmol/L
A5 <7mm correlates with fibrinogen of <1.5g/L. The targets when using TEG include K time <4 minutes and
α angle >60o.
TIME TO DISPATCH Delivery of replacement fibrinogen can be in the form of 10 units of cryoprecipitate. As per the protocol at
RPH, this is in the second MHP. Concentrations of fibrinogen are variable, with approximately 1.6g/L of
For maximum effectiveness, fixed ratio blood products should be available without delay. International fibrinogen in FFP and 1.3g/150ml in cryoprecipitate. Chowdury et al, observed the need for 30mL/kg of FFP
consensus on this key performance indicator is less than 10 minutes from request to delivery of the first MHP. to produce a significant increase in fibrinogen17. Cryoprecipitate is a donor pooled product requiring group
The audit conducted at RPH identified the time to dispatch (that is, time from activation of MTP to the first MHP specific compatibility, without being pathogen inactivated. Once thawed it has a 6-hour window of use.
delivery into ED) ranged from 0 minutes to a maximum of 35 minutes. Most (88%) major transfusion packs were Although plasma is a source of fibrinogen, this is variable and potentially would require >30mL/kg of plasma to
dispatched in under 10 minutes, with the average time to dispatch being 7 minutes. increase the fibrinogen level by 1.0g/L, thus increasing the risk of volume overload, TRALI and MOF. Fibrinogen
concentrate is available in Australia under the tradename RiaSTAP. RiaSTAP is a pasteurised lyophilised pooled
In some institutions, the TMU will on a daily basis pre-allocate blood and blood products to the trauma service,
donor product and has been pathogen inactivated. It delivers 1.0g/50mL of fibrinogen. This will also obviate the
which may be available in a fridge in the emergency department. The hope is that with blood being immediately
time to thaw, cross matching, potential pathogen related reactions and should deliver a more consistent dose.
available, it might result in fewer premature activations of MTP for patients who do not require it, with an
Current guidelines for managing bleeding in trauma patients with fibrinogen levels of 1.5 to 2.0 g/L recommend
ultimate decrease in the burden of blood product wastage.
an initial fibrinogen concentrate dose of 3 to 4 g, with further dosing guided by laboratory testing18. The
FEISTY pilot study showed that Fibrinogen Concentrate was faster to administer. The FEISTY 2 study which is
PRODUCTS USED underway will hopefully elucidate further on early use of fibrinogen in traumatic haemorrhage19.
Many institutions utilise a hybrid approach to MT. Initial therapy is an empiric balanced transfusion in a 1:1:1 Although 3-factor Prothrombin Complex Concentrate is available in Australia, it is not routinely used unless
ratio of Plasma:Platelets:RBC using universally compatible red blood cells O Rh – or O Rh + and thawed a patient on vitamin-K antagonist anti-coagulation therapy presents with a traumatic brain injury. Large multi-
AB plasma. Both pRBC and plasma should be administered via a fluid warmer. Once characterisation of the centre trials for the efficacy, safety and cost effectiveness of 3 & 4 factor PCC is currently lacking with only level
coagulopathy has been identified via viscoelastic assays and conventional coagulation tests, conversion to goal 3 evidence at best available to support the safety of both products with 4F-PCC being most effective20. There
directed therapy is appropriate. Similarly, conversion to cross-matched products should occur within an hour of is recent supporting evidence, albeit level 4, in favour of 4 factor-PCC plus FFP versus FFP alone in reversing
activation. acute traumatic coagulopathy with significant reduction in correction of INR, blood and blood products used
and mortality without any difference in thromboembolic events21.
The targets for haemoglobin and platelets are greater than 80g/L and 80 x109 respectively. An INR <1.5 and
activated partial prothrombin time <50sec is targeted. Qualitative and quantitative platelet abnormalities play a
major role in TIC. While CCTs quantify the platelet count, their function is examined by VHAs with an EXTEM PHARMACOLOGICAL ADJUNCTS: TRANEXAMIC ACID
A10 <40mm and FIBTEM A10 <10mm suggesting poor platelet contribution to clot formation and integrity, and
Tranexamic Acid (TxA) is a lysine analogue, used in major haemorrhage when there is evidence of excessive clot
the potential need for transfusion10.
breakdown in the presence of hyperfibrinolysis. There is robust evidence, such as in the Crash 2 and military
Half of all trauma deaths are due to bleeding, with the majority of these occurring in the first 6 hours. Trauma- MATTERS studies, both of which showed overall survival without an increase in vaso-occlusive events in those
Induced Coagulopathy (TIC) is a haemostatic abnormality, occurring within minutes of the inciting injury. The that received 15-20mg/kg of TxA within 3 hours of an inciting injury22,23. The results of CRASH 3, a multi-
presence and severity of TIC correlates with the severity of the trauma and is compounded by traumatic brain centre international randomised pragmatic trial are due in April 2020. This trial will look at the effect of early
injury associated coagulopathy, evolving acidosis and hypothermia. This is the lethal triad or bloody vicious administration of tranexamic acid on mortality and disability in patients with traumatic brain injury. Secondary
cycle. outcomes will review risk of vascular occlusive events and seizures24.
The pathophysiology of TIC is complex and still under investigation. It is a unique entity which evolves as a
direct consequence of trauma and hypoperfusion, existing in >25% of trauma patients presenting to ED with INVESTIGATIONS
or without prior fluid resuscitation. Cohen et al, as a result of the PROMMTT study, concluded that Activated Baseline bloods are taken on arrival. These include FBC/Group & Screen/ABG/CCTs and VHAs. These form
Protein C played a pivotal role in generating the coagulopathy11. Chang et al published a review article in Blood the basis for assessing for TIC, prognostication and response to therapy. International guidelines recommend
Journal in 2016 detailing the purported roles of Activated protein C (with the subsequent depletion of factors serial testing every 30-60 minutes.
I, II, V, VII,VIII,IX,X) the endothelial glycocalyx dysfunction, platelet “dysfunction vs exhaustion” and fibrinogen
abnormalites12. Over the last number of years, research has focused on the use of early and aggressive blood CCTs such as INR/aPTT/fibrinogen levels, measure single parameters in isolation. They provide no information
product and clotting factor administration. The PROMMT and PROPPR trials have sought to identify the on clot mechanics, platelets or fibrinogen activity and when used on their own have a low predictive value
optimal balanced ratio of blood products. The PROPPR study published in 2015 by Holocomb et al, remains for bleeding or transfusion requirements. In addition, the time taken to obtain a result may be prohibitive.
Pre-hospital point-of-care INR testing may avoid this once it is validated in the trauma setting against 16. Taylor JR, Fox EE, Holcomb JB, Rizoli S, Inaba K, Schreiber MA et al. The hyperfibrinolytic phenotype is the most lethal
conventional laboratory plasma-based INR25. CCTs can however identify a cohort of coagulopathic patients and resource intense presentation of fibrinolysis in massive transfusion patients. J Trauma Acute Care Surg. 2018
Jan;84(1):25-30.
not immediately identifiable with viscoelastic assays alone26. Patients presenting with abnormal CCT alone or
17. Chowdhury P, Saayman AG, Paulus U, Findlay GP, Collins PW. Efficacy of standard dose and 30 ml/kg fresh frozen
in combination with abnormal VHA were more profoundly coagulopathic with a higher morbidity and mortality.
plasma in correcting laboratory parameters of haemostasis in critically ill patients. Br J Haematol. 2004,125(1):69-73.
As our understanding of the pathophysiology around TIC improves, the combination of CCTs and VHAs might
18. Spahn DR, Bouillon B, Cerny V, et al. Management of bleeding and coagulopathy following major trauma: an updated
shed light on the different forms of coagulopathy that trauma induces26. Thus, CCTs still have a role in the European guideline. Crit Care. 2013;17(2):R76.
management of massive transfusions. 19. Fibrinogen Early In Severe Trauma Study (FEISTY). FEISTY 2 study. [Internet]. Available from: www.feisty.org.au.
Accessed: 21 Jan 2019.
VHAs are used in characterising clot dynamics in whole blood; from initiation through propagation, to
20. Zeeshan M, Hamidi M, Kulvatunyou N, Jehan F, O’Keeffe T, Khan M, et al. 3-Factor Vvs. 4-Factor PCC in coagulopathy of
stabilisation and breakdown. This point of care test allows for goal directed resuscitation. It provides real trauma: four is better than three. Shock. 2019;52(1):23-8.
time measurements of the clot kinetics and quantifies deficiencies in clotting factors, platelets and fibrinogen. 21. Jehan F, Aziz H, O’Keeffe T, Khan M, Zakaria E, Hamidi M. The role of four-factor prothrombin complex concentrate in
VHAs can identify the transition to a hypercoagulable state. In 2017 Prat et al, showed an increased use of coagulopathy of trauma: a propensity matched analysis. J Trauma Acute Care Surg. 85(1):18-24.
platelets and fibrinogen in the early resuscitative phases while Mohammed et al in 2017, and Tapia et al in 22. CRASH-2 trial collaborators, et al. Effects of tranexamic acid on death, vascular occlusive events, and blood transfusion in
2013, observed a reduction in trauma mortality, length of stay in hospital and ICU, and overall blood transfusion trauma patients with significant haemorrhage (CRASH-2): a randomized placebo-controlled trial. Lancet. 2010;376:23-32.
costs27-29. To date, however, there is no international consensus on VHA defined coagulopathy and there has 23. Morrison J, Dubose J, Rasmussen T, et al. Military application of tranexamic acid in trauma emergency resuscitation
been a paucity of validated VHA-guided transfusion algorithms. In May 2018, the Trans-Agency Consortium (MATTERs) study. Arch Surg. 2012;147(2):113-9.
for Trauma-Induced Coagulopathy (TACTIC) group published the results of their prospective observational 24. Clinical Randomisation of an Antifibrinolytic in Significant Head Injury (CRASH). [Internet]. Available from: https://crash3.
multicentre study, to develop pragmatic data driven algorithms for the management of trauma induced lshtm.ac.uk. Accessed 30 Jan 2019.
coagulopathy utilising VHAs. They constructed algorithms for ROTEM, TEG and CCTs to be used in addition 25. Gonzalez E, Moore EE, Moore HB, Chapman MP, Chin TL, Ghasabyan A et al. Goal-directed hemostatic resuscitation
of trauma-induced coagulopathy: a pragmatic randomized clinical trial comparing a viscoelastic assay to conventional
to ratio driven transfusion and tranexamic acid. It remains to see how these will affect our blood component
coagulation assays. Ann Surg. 2016 Jun;263(6):1051-9.
management, once adopted into clinical practice29.
26. Sumislawski JJ, Christie SA, Kornblith LZ, Stettler GR, Nunns GR, Moore HB, et al. Discrepancies between conventional
and viscoelastic assays in identifying trauma-induced coagulopathy. Am J Surg. 2019;217(6):1037-41.
CONCLUSION 27. Peltan ID, Vandevusse LK, Maier RV, Watkins TR. An international normalized ratio–based definition of acute traumatic
coagulopathy is associated with mortality, venous thromboembolism, and multiple organ failure after injury. Crit Care Med.
Accurate documentation and product traceability both facilitate the audit process and thus quality improvement. 2015;43(7):1429-38.
Interestingly, there is a paucity of audits in this field. Royal Perth Hospital has recently completed an in-house 28. Mohamed M, Majeske K, Sachwani GR, Kennedy K, Salib M, McCann M. The impact of early thromboelastography
audit while The Alfred in Melbourne are currently reviewing their Massive Transfusion Protocol in the context of directed therapy in trauma resuscitation. Scand J Trauma Resusc Emerg Med. 2017;25:99.
their trauma reception process. The data emerging from RPH is reassuring, however it does highlight areas of 29. Baksaas-Obsen K, Van Dieren S, Balvers K, Juffermans NP, Naess PA, Rourke C, et al. Data-driven development of
improvement in activation criteria, active termination and product traceability. ROTEM and TEG algorithms for the management of trauma hemorrhage: a prospective observational multicenter study.
Ann Surg. 2018 May 23.
REFERENCES
1. Hayakawa M, Gando S, Ono Y et al. Fibrinogen level deteriorates before other routine coagulation parameters and
massive transfusion in the early phase of severe trauma: a retrospective observational study. Semin Thromb Haemost
2015;41:35-42.
2. American College of Surgeons. Trauma Quality Improvement Program. Massive transfusion in trauma guidelines. [Internet].
Accessed 27 Dec 2018.
3. Nunez TC, Young PP, Holcomb JB, Cotton BA. Creation, implementation, and maturation of a massive transfusion protocol
for the exsanguinating trauma patient. J Trauma 2010. Jun;68(6):1498-505.
4. Malone DL, Hess JR, Fingerhut A. Massive transfusion practices around the globe and a suggestion for a common
massive transfusion protocol. J Trauma. 2006 Jun;60(6Suppl): S91-6.
5. Cotton BA, Au BK, Nunez TC, Gunter OL, Robertson AM, Young PP. Predefined massive transfusion protocols are
associated with a reduction in organ failure and postinjury complications. J Trauma. 2009; 66:41-48; discussion 48-49.
6. American College of Surgeons. Trauma Quality Improvement Program. Massive transfusion in trauma guidelines. [Internet].
Accessed 27 Dec 2018.
7. Tonglet M. Early prediction of ongoing haemorrhage in severe trauma: presentation of existing scoring systems. Arch
Trauma Res. 2016;5(4):e33377.
8. Pommerening MJ, Goodman MD, Holcomb JB, Wade CE, Fox EE, Del Junco DJ. Clinical gesalt and the prediction of
massive transfusion after trauma. Injury. 2015 May; 46(5): 807–13.
9. Foster JC, Sappenfield JW, Smith RS, Kiley SP. Initiation and termination of massive transfusion protocols: current
strategies and future prospects. Anesth Analg. 2017;125(6):2045-55.
10. Kozek-Langenecker SA, Afshari A, Albaladejo P, Santullano CA, De Robertis E, Filipescu DC. Management of
severe perioperative bleeding: guidelines from the European Society of Anaesthesiology. Eur J Anaesthesiol. 2013
Jun;30(6):270-382.
11. Cohen MJ, Kutcher M, Redick B, et al. Clinical and mechanistic drivers of acute traumatic coagulopathy. J Trauma Acute
Care Surg. 2013; 75(1 suppl 1):S40-7.
12. Chang R, Cardenas JC, Wade CE, Holcomb JC. Advances in the understanding of trauma-induced coagulopathy. Blood.
2016;128(8):1043-9.
13. Holcomb JB, Tilley BC, Baraniuk S, et al. Transfusion of plasma, platelets and red blood cells in a 1:1:1 vs 1:1:2 and
mortality in patients with severe trauma: the PROPPR randomized clinical trial. JAMA. 2015;313(5):471-82.
14. Shepard JM, Cole E, Brohi M. Contemporary patterns of multiple organ dysfunction in trauma. Shock. 2017
Apr;47(4):429-35.
15. Inaba K, Karamanos E, Lustenberger T, et al. Impact of fibrinogen levels on outcomes after acute injury in patients
requiring a massive transfusion. J Am Coll Surg. 2013;216(2):290–7.
126 Australasian Anaesthesia 2019 – Coagulation/Blood Differentiation of preoperative anaemia 127
Differentiation of preoperative anaemia

Hafiza Misran MBBCh BAO BMedSci FCAI FJFICMI PCertHealthManagPract
Senior Registrar in Anaesthesia and Intensive Care, Fiona Stanley Hospital, Western Australia.
Hamish Mace MBChB, FANZCA, DRANZCOG

Consultant Anaesthetist and Clinical Lead for the Perioperative Anaemia Screening program, Department of
Anaesthesia, Pain and Perioperative Medicine, Fiona Stanley Hospital.
Shane Gangatharan MBBS FRACP FRCPA

Consultant Haematologist, Department of Haematology, Fiona Stanley Hospital and University of Western
Australia School of Medicine.
Kylie Symons BN RN AHPRA PCertClinicalNursing

Specialist Nurse for the Perioperative Anaemia Screening program in Fiona Stanley Hospital.
INTRODUCTION
Anaemia is a common finding in patients undergoing major surgery, and is independently associated
with infectious and thrombotic complications, blood transfusion and mortality. Its aetiology is complex, as
pathologies may co-exist and laboratory findings overlap, which may afford diagnostic uncertainty. Furthermore,
effective treatment modalities exist which rely upon accurate diagnosis and prompt treatment preoperatively to
optimise the patients red cell mass in preparation for haemorrhage.
This article outlines the common aetiologies of anaemia encountered by the perioperative physician, and details
the diagnostic modalities available to identify these causes and direct therapeutic management. Additionally,
it provides an algorithm for assessment and management which can be easily incorporated into perioperative
care pathways.
PREVALENCE AND SIGNIFICANCE

Anaemia is defined by the World Health Organization as a haemoglobin of less than 120 g/L in women and 130
g/L in men. Under this definition, 2.2 billion people suffered from anaemia worldwide in 20101. Anaemia is widely
prevalent in the surgical population, with one third of patients undergoing major elective non-cardiac surgery
found to be anaemic pre-operatively2. Moreover, greater than half of the non-anaemic patients were iron deficient2.
Australian data has indicated that 34% of patients are anaemic prior to admission to hospital, and 35% of those
who were not anaemic preadmission developed the condition during their hospital stay3. This represents a
significant proportion of at-risk patients with potential for optimisation before surgical intervention.
Adverse outcomes associated with anaemia have been widely acknowledged3-6. In the surgical population,
preoperative anaemia is associated with increased morbidity and mortality and results in an increased exposure
to blood transfusion5,6. The degree of anaemia is also important, with moderate to severe anaemia resulting
in poorer outcomes compared to mild anaemia4. In obstetrics, a threshold of 110 g/L is used to define pre-
operative anaemia, although there is currently debate in the literature about the appropriateness of this lower
cut-off as comorbid conditions such as iron deficiency (ID) are major contributors7. Similarly, the harms of blood
transfusion have been examined extensively. Receiving a blood transfusion is a risk factor for mortality, wound
infection, sepsis and pneumonia in the surgical population2,8,9. Even single unit transfusion has been shown to
increase the risk of major adverse cardiac events10.
Preoperative correction of iron deficiency anaemia (IDA) with iron replacement can be achieved before elective
surgery and reduces transfusion requirements11-13. The use of an erythropoietin-stimulating agent coupled
with iron therapy has been shown to improve haemoglobin levels in cardiac surgery patients, and reduced
transfusion rates among patients undergoing orthopaedic surgery14. However, there is no level I evidence to
suggest that correcting anaemia improves outcomes and reduces post-operative complications.
PHYSIOLOGY OF ERYTHROPOIESIS Figure 1. Diagrammatic representation of intestinal iron absorption.

Erythropoiesis begins in the bone marrow from haematopoietic stem cells and ends with the production of
erythrocytes, the primary oxygen carrier of the body. Stimulated by various DNA transcription factors, these
stem cells differentiate down the erythroid cell line into burst-forming unit-erythroid cells. As they mature,
they develop into colony-forming unit-erythroid cells which develop around a central macrophage15. The first
phase of differentiation is dependent on erythropoietin, a hormone secreted by the renal cortex in response to
tissue hypoxia, which directs differentiation and prevents apoptosis. An erythropoietin-independent phase then
follows, which focuses on the production of haemoglobin molecules. Nucleated erythroblasts are produced,
which express the transferrin receptor on the cell membrane to promote iron uptake and facilitate haemoglobin
synthesis. As these cells develop, soluble transferrin is shed and the nucleus is extruded to form reticulocytes.
Reticulocytes enter the circulation, losing mitochondria and mRNA in the process, before assuming the
biconcave disc morphology of the erythrocyte; this shape is crucial for red cell passage through capillary beds
and thus oxygen delivery to the mitochondria. Erythrocytes remain in the circulation for approximately 120 days,
before being sequestered by the reticuloendothelial system and recycled16.
Iron is the central ionic element of the haem molecule. Sixty per cent of total body iron is stored in haemoglobin;
10% is found in myoglobin, enzymes and cytochromes; and the remainder is stored in liver, bone marrow and
macrophages. Iron is essential not only in erythrocytes as an oxygen transporter, but also for DNA synthesis,
mitochondrial respiration and cellular immunity17.
Iron is absorbed from the proximal small bowel in two ionic configurations. Haem iron in the ferrous form (Fe2+)
is found in animal food sources and is readily absorbed through the gut mucosa via the haem transport enzyme
ferroportin, accounting for over 40% of total absorbed iron. Non-haem iron is less readily absorbable as ferric
iron (Fe3+) and must be converted into its ferrous state by the duodenal cytochrome B enzyme of the gut
mucosa before being actively transported intracellularly. This form of iron is present in non-meat sources such
as legumes, grains, nuts and vegetables. Absorption of non-haem iron is increased in the presence of haem
iron and ascorbic acid (Vitamin C). Vitamin C prevents the formation of insoluble iron compounds and reduces Haem iron is readily absorbed from the lumen of the intestine through the divalent metal transporter (DMT1),
ferric to ferrous iron18. Many iron supplements are compounded with Vitamin C to take advantage of this whereas nonhaem iron is converted to its ferrous state by the enzyme duodenal cytochrome B, before being
phenomenon. Absorption requires an acidic milieu in the stomach, and compounds such as tannins (found in transported intracellularly. Ferrous iron is either stored intracellularly as ferritin, utilised for mitochondrial
tea), phytates (cereals and legumes) and calcium all inhibit this process. function, or exported into the circulation by ferroportin. The action of ferroportin is inhibited by hepcidin. Ferrous
Typical dietary intake totals 1-2 mg per day, however 20 to 30 mg daily is required for red cell production iron is converted to ferric iron by the enzyme hephaestin and carried in the circulation by transferrin.
and cellular function. Therefore, recycling of iron stores from senescent erythrocytes and exchange of iron- Erythropoietin, a glycoprotein produced by the kidneys in response to tissue hypoxia, is the stimulatory hormone
containing enzymes plays a large part in iron homeostasis17. This process occurs primarily in the spleen, for erythropoiesis. Its two fundamental roles are to maintain red cell mass (and haemoglobin concentration),
where haem oxygenases within macrophages degrade haem compounds to release iron. Iron can be stored in and hasten red blood cell (RBC) recovery after haemorrhage. Erythropoietin deficiency as a result of renal
macrophages by binding to ferritin, an intracellular iron storage protein that is also expressed in enterocytes and parenchymal damage is the main mechanism underlying anaemia in chronic kidney disease. Its primary effect is
hepatocytes. Alternatively, iron is exported out of the macrophage into the circulation by the protein ferroportin, on red cell precursors in the bone marrow, providing cytoprotection from apoptosis and interacting with growth
converted into its ferric form, and carried in the circulation bound to transferrin. Transferrin is the primary iron factors (interleukin-3, interleukin-6, glucocorticoids and stem cell factor) to promote erythropoiesis. Treatment
transport molecule and levels are increased in iron deficiency to increase iron availability in the tissues16,19. with recombinant human erythropoietin is commonplace in chronic kidney disease, and less commonly in the
The discovery of hepcidin in 2001 was revolutionary in the understanding of the regulatory pathways that management of anaemia in myelodysplastic syndrome.
control iron availability. This hormone, produced primarily by hepatocytes, controls the surface expression of the
iron-exporting protein ferroportin on enterocytes and macrophages. Hepcidin expression is upregulated in the AETIOLOGY
presence of high iron concentrations, which in turn blocks the absorption of iron from the gut and the release of
IDA and anaemia of chronic disease (ACD) are the two most common diagnoses of anaemia in the surgical
iron from macrophages, in order to reduce plasma iron concentrations. Crucially, inflammation will also increase
population, and the majority of research has focused on the management of these conditions. However, it is
hepcidin expression; this is one mechanism by which anaemia of chronic disease results in functional iron
important to recognise other forms of anaemia which may coexist or present as a primary aetiology.
deficiency. Conversely, low hepcidin expression causes a rise in plasma iron concentrations, which can occur in
absolute iron deficiency, erythropoiesis or hypoxia16. Iron deficiency anaemia
ID is the most prevalent nutritional deficiency worldwide. IDA occurs when iron loss or requirement exceeds
intake and absorption. For this reason it is common in infants, pre-menopausal women and pregnancy. Several
pathological conditions may contribute to its development. Gastrointestinal blood loss is the leading cause
of ID in developed countries, with colorectal and gastric cancer the predominant causes, followed by peptic
ulcer disease, inflammatory bowel disease and medications such as non-steroidal anti-inflammatory drugs17.
Malabsorption syndromes such as coeliac disease, Helicobacter pylori colonisation, post-gastrectomy or bowel
resection reduce mucosal handling of iron and subsequent release into plasma for transportation to bone
marrow. Interaction with proton-pump inhibitors (which raise gastric pH and inhibit the reduction of ferric iron)
or food elements (which chelate iron in the lumen) can also occur17,20,21. Finally, rare genetic disorders including
iron-refractory IDA, where “loss of function” mutations result in inappropriately high hepcidin levels and can
prevent adequate iron absorption.
It is important to note that ID can occur in the absence of anaemia; a recent systematic review highlights its
importance as a disease entity22. Symptoms of fatigue and reduced exercise tolerance are commonplace and
improve with oral or intravenous iron replacement23. Chronic conditions such as inflammatory bowel disease, DIAGNOSIS
cancer, and chronic kidney disease are associated with ID, while ID in the setting of heart failure results in
decreased quality of life and worsened exercise tolerance24. A single-centre study in cardiac surgery suggests Differentiation of anaemia may be difficult, as subtypes frequently co-exist and laboratory parameters often fail
an association between non-anaemic iron deficiency and longer hospital stay and poorer outcomes25. to neatly follow textbook descriptions. A suggested algorithm for perioperative practice is presented here.
Anaemia of chronic disease Figure 2. Flow diagram for differentiating pre-operative anaemia in Fiona Stanley Hospital.
ACD is primarily caused by inflammation. Examples include acute infection from bacterial, viral or fungal
pathogens; chronic systemic inflammatory conditions such as autoimmune diseases; or low-grade inflammation
as seen in chronic renal failure, heart failure or cancer. There are several purported mechanisms:
1. Iron. Inflammation reduces iron availability, a protective mechanism whereby iron is sequestered and stored
in macrophages to limit its availability to microbial pathogens, which require iron for proliferation. Hepcidin
expression is increased in the presence of inflammation and cancer by cytokines such as interleukin-6, which
increases its hepatic synthesis. This in turn prevents the release of iron from the reticuloendothelial system,
resulting in inefficient mobilisation of iron stores. This “functional iron deficiency” reflects a state of reduced
tissue availability of iron, despite apparently normal total body iron stores.
2. Response to erythropoietin. A reduction in marrow response to erythropoietin is not exclusive to patients
with renal impairment, however the pathophysiology of its involvement in ACD is unclear. Erythrocyte
development is dependent on erythropoietin in the initial phase; it is possible that erythropoietin production
is insufficient to allow erythropoiesis (relative erythropoietin deficiency), or that the erythropoietic response is
somehow blunted.
3. Therapeutic agents. Patients with cancer commonly develop ACD, which has many of the elements of
inflammatory anaemia, while being potentiated by cytotoxic therapies. Many chemotherapies impair the bone
marrow response to erythropoiesis. Approximately 65% of patients with lung and gynaecological cancer
treated with platinum-based drugs develop anaemia, which reduces survival and worsens quality of life in
patients with cancer26. Erythropoiesis-stimulating agents such as erythropoietin and darbapoetin have been
shown to improve haemoglobin concentration and reduce transfusion27. These agents are currently licensed
for use in patients with anaemia receiving chemotherapy for non-myeloid cancers27,28.
Anaemia of pregnancy
Anaemia is highly prevalent in pregnancy, where it is associated with a number of adverse outcomes including
low birth weight and prematurity29. The aetiology is multifactorial: a rise in plasma to red cell ratio causes a
dilutional anaemia with a fall in Hb concentration starting in the second trimester, while ID is near ubiquitous
in pregnancy. Many women enter pregnancy with pre-existing ID (owing to menstrual iron loss), where the
elevated iron requirements of the pregnancy and fetus overwhelm gastrointestinal absorption of iron. Thus,
iron limited erythropoiesis may contribute relatively more to the physiological anaemia of pregnancy and is
attenuated by iron supplementation30.
Macrocytic anaemia
Macrocytic anaemias are less frequently encountered, and can be subdivided into megaloblastic or non- This diagram is based on the National Blood Authority Australia Perioperative Patient Blood Management
megaloblastic depending on the appearance of the nucleated red cell precursor on blood film or bone marrow Guidelines on Pre-operative Haemoglobin Assessment and Optimisation36 which has been adapted for use in
aspirate. The most common cause of megaloblastic anaemia is Vitamin B12 deficiency, due to nutritional our local institution (with permission from Fiona Stanley Hospital WA).
deficiency (for example, alcoholism), malabsorption (post-gastrectomy, ileocaecal inflammatory bowel
disease, gastritis) or autoimmune impairment of intrinsic factor secretion (pernicious anaemia). Vitamin B12 Classification of anaemia
deficiency can also occur in the absence of macrocytosis, if other forms of anaemia are present (such as ID)31. There are multiple classification systems available, but the most commonly used system divides anaemia into
Folate deficiency is commonplace in coeliac disease and alcoholism, or may be induced by drugs such as three categories based on morphology from a full blood count; microcytic, normocytic and macrocytic. Mean
methotrexate or hydroxyurea. Dietary folate deficiencies are rare in the developed world due to fortification of cell volume is estimated using automated cell counters.
cereals and grains. Vitamin B12 is essential to converting folate from its inactive form (5-methyltetrahydrofolate) 1. Iron deficiency anaemia is classically microcytic, with a mean corpuscular volume (MCV) of under 80 fL, and
to its active form (tetrahydrofolate), which is the cofactor responsible for the production of several coenzymes hypochromic, with a mean cell haemoglobin (MCH) of less than 27 pg/cell, although this picture can also be
in erythropoiesis. Non-megaloblastic macrocytic anaemias have a wider differential, which includes seen in thalassaemia, sideroblastic anaemia and ACD.
myelodysplastic syndromes, hypothyroidism, alcoholism, and drugs such as antiretrovirals and anticonvulsants32.
2. Normocytic anaemia is commonly seen in ACD but may also be suggestive of renal failure, haemolysis or a
Hereditary red cell disorders mixed microcytic macrocytic picture.
Haemoglobinopathies are a common cause of anaemia worldwide, with thalassaemias and sickle cell anaemia 3. Macrocytic anaemia with MCV greater than 100 fL may be megaloblastic or non-megaloblastic.
most commonly encountered due to mutations of the alpha or beta globin chains. The clinical phenotype
MCV and MCH are useful for diagnosis of anaemia and for monitoring trends over time, but are not helpful in
can vary significantly and it is important to identify if this may be a cause of anaemia, keeping in mind that
the acute setting to monitor response to treatment.
concomitant causes of anaemia can exist. In thalassemia trait or minor, there may be no or mild anaemia
associated with a microcytosis. Thalassemia major syndrome may result in significant microcytic anaemia and Assessing iron stores
require regular transfusions33. Red cell membrane disorders such as hereditary spherocytosis occur due to As IDA is the most common aetiology — and also the most amenable to therapeutic intervention –iron studies
abnormalities in erythrocyte membrane proteins resulting in spherical red cells. These fragile cells are more should be the initial investigation of choice in the perioperative setting.
susceptible to extravascular haemolysis in the spleen, resulting in anaemia34. The most common red cell enzyme
disorder is glucose-6-phosphate deficiency, where defects in the hexose-monophosphate pathway predispose
to oxidative haemolysis and anaemia35.
Ferritin is the key iron storage protein and the most specific laboratory test to correlate with total body Haematinics
iron stores17. Low plasma concentrations (less than 30 mg/L) in the presence of anaemia denotes IDA and Vitamin B12 deficiency is diagnosed on both history and laboratory tests, as there is no gold-standard
no further testing is required. Ferritin less than 30mg/L in the absence of anaemia signifies absolute ID. test for its diagnosis. Most assays measure total serum cobalamin, though some laboratories measure
International perioperative guidelines reference a plasma ferritin concentration less than 100 mg/L as diagnostic holotranscobalamin, the proportion of conjugated vitamin B12, which may improve sensitivity. Definitive cut-off
of inadequate iron stores for major surgery37, however this definition is not commonly used outside the Patient values for deficiency will vary between laboratories given the variability of different testing methodologies.
Blood Management literature. In the setting of chronic renal failure on haemodialysis, a level above 200 mg/L Serum folate levels are generally taken along with serum cobalamin, however folate deficiency is uncommon in
may be considered an acceptable therapeutic target for iron supplementation38. As ferritin is an acute phase countries with fortified wheat products41.
reactant, concentrations greater than 30 mg/L will be seen in the setting of inflammation; therefore a high ferritin
does not preclude systemic ID. Blood film and bone marrow biopsy
Examination of the blood film can give many clues as to the likely aetiology of anaemia. While detailed
Transferrin saturation is a measure of the iron availability for erythropoiesis. It may be used with other variables
knowledge of red cell morphological changes is more the remit of a haematological pathologist, they are
such as ferritin or reticulocyte haemoglobin concentration in the diagnosis of ID, particularly when ferritin is
frequently noted in full blood count reports and are thus useful background knowledge for the perioperative
spuriously elevated by inflammation. A cut off of 20% with a ferritin of less than 100 mg/L could be consistent
physician. While useful for differentiating anaemia prior to surgery, a peripheral smear will identify more sinister
with absolute ID in this setting37. Alternatively, low transferrin saturation in the presence of inflammation,
causes of anaemia, such as marrow infiltration and proliferative disorders, which might impact on the primary
where ferritin levels will be elevated above 100 mg/L, may suggest functional ID where total body irons stores
surgical procedure. Important morphological changes include:
are normal but erythropoiesis is restricted by the unavailability of iron in the marrow. When used in isolation,
transferrin saturation is a poor predictor of response to intravenous iron. • Size
- Macro-, normo- or microcytosis
The soluble transferrin receptor is a useful marker in differentiating the presence or absence of ID in the setting
- RCDW, where a highly variable erythrocyte size is suggestive of IDA
of inflammation, cancer or in ACD. It is derived from the breakdown of membrane transferrin receptors and is
highly expressed in ID, haemorrhage and disorders of expanded erythroid marrow17,39. Inflammation will have • Poikilocytosis (shape abnormalities)
little effect on soluble transferrin receptor levels; thus high levels are useful for identifying the presence of ID in - Red cell fragmentation, suggesting destruction within the vascular space, for example, thrombotic
the context of ACD. It is the defining feature of functional iron deficiency. The drawback to this test is that it is thrombocytopaenic purpura or disseminated intravascular coagulation
relatively expensive, not widely available, and is not superior to serum ferritin in determining ID in the average - Sickle cells
patient20. - Target cells, seen in liver disease or thalassaemia
- Spiculated RBC, seen in uraemia or liver disease
Reticulocyte parameters - Spherocytes, indicating autoimmune haemolytic anaemia or hereditary spherocytosis
The reticulocyte count is a measure of the bone marrow response to anaemia and is useful for monitoring • RBC inclusions
response to treatment. Reticulocytes are precursor cells to erythrocytes released from bone marrow - The mature erythrocyte has extruded its nucleus and contains few cytoplasmic organelles
erythroblasts. A low reticulocyte count reflects inadequate bone marrow erythropoietic activity. A high - Nucleated RBC (normoblasts) are an abnormal finding outside of neonates and pregnancy, and are
reticulocyte count is an indicator of red cell degradation or loss (with haemolysis or haemorrhage as common associated with haemolysis, marrow stress and infiltration
examples), while also signifying adequate response to haematinic treatment. - RBC parasites such as malaria
Reticulocyte haemoglobin content is a measure of adequacy of iron incorporation into the reticulocyte. It • Non-red cell elements – changes in other cell lines in addition to anaemia should arouse suspicion
correlates with the MCH of the reticulocyte population, with values > 29 pg signifying adequate iron stores. - Elevated and or abnormal lymphocytes may be associated with lymphoproliferative disorders
Low values indicate reduced haemoglobin content in reticulocytes and ID. This is true even in the presence of - Co-existing neutropenia and thrombocytopenia may occur for a number or reasons including infection,
a normal ferritin and transferrin38. It can also be used to predict an adequate response to intravenous iron, as medication effects and marrow disorders
levels rise acutely in the first 72 hours post intravenous iron infusion40. A bone marrow biopsy may be a useful diagnostic modality for chronic anaemia if a bone marrow disorder is
Other parameters suspected. Where there is uncertainty regarding a diagnosis of iron deficiency, the presence or absence of iron
on Prussian Blue stain is the gold standard for diagnosis. Due to its obvious limitations such as availability and
Red cell distribution width (RCDW) describes the variability of size of erythrocytes in the population,
cost, it is not routinely performed as part of a perioperative anaemia work up.
defined by the coefficient of variation of the MCV. RCDW is frequently increased in IDA, folate and vitamin
B12 deficiencies. It is helpful in determining chronicity of the anaemia, and may reflect recent haematinic
replacement with bone marrow response. CONCLUSION
The ferritin index is an infrequently used parameter to predict a response to intravenous iron replacement. This Preoperative anaemia detected on routine laboratory testing, or as part of a Patient Blood Management
number is derived from the ratio of soluble transferrin receptor level to the log of ferritin and may improve the screening program, may present the perioperative physician with diagnostic uncertainty. It also provides an
specificity of the soluble transferrin receptor test. opportunity for modulation of surgical risk, as timely optimisation of the patient’s own red cell mass with the
use of haematinics, and in some cases erythropoiesis-stimulating agents, coupled with pragmatic scheduling
Several other biomarkers have more limited clinical value and are not routinely ordered in the clinical of the primary surgical procedure may reduce the morbidity associated with anaemia and blood transfusion.
investigation of anaemia. One example is serum hepcidin levels, which are elevated in the setting of The anaesthetist as a perioperative physician is well placed to provide this intervention when armed with simple
inflammation; its utility as a diagnostic tool remains unclear and is limited by availability of the hepcidin assay algorithms (such as that offered by the National Blood Authority of Australia), timely preoperative assessment,
which is expensive, time consuming and thus remains limited to research38. Similarly, serum erythropoietin levels involvement of primary care physicians and access to specialist haematology services. Assessment of this
are not measured routinely in clinical practice. Patients with chronic renal failure are known to have diminished modifiable risk factor should form a key component of modern anaesthesia practice.
levels and require supplementation, however response to treatment is better guided by other markers (such as
haemoglobin concentration) over time.
REFERENCES 32. Nagao T, Hirokawa M. Diagnosis and treatment of macrocytic anemias in adults. J Gen Fam Med. 2017;18(5):200-4.
33. Trent RJ. Diagnosis of haemoglobinopathies. Clin Biochem Rev. 2006;27(1):27-38.
1. Kassebaum NJ, Jasrasaria R, Naghavi M, Wulf SK, Johns N, Lozano R, et al. A systematic analysis of global anemia burden 34. Barcellini W, Bianchi P, permo E, Imperiali FG, Marcello AP, Vercellati C, et al. Hereditary red cell membrane defects:
from 1990 to 2010. Blood. 2014;123:615-24. diagnostic and clinical aspects. Blood Transfus. 2011;9(3):274-7.
2. Munoz M, Laso-Morales MJ, Gomez-Ramirez S, Cadellas M, Nunez-Matas MJ, Garcia-Erce JA. Preoperative haemoglobin 35. Koralkova P, van Solinge WW, van Wijk R. Rare hereditary red blood cell enzymopathies associated with hemolytic anemia
levels and iron status in a large multicentre cohort of patients undergoing major elective surgery. Anaesthesia. – pathophysiology, clinical aspects, and laboratory diagnosis. Int J Lab Hematol. 2014;36(3):388-97.
2017;72:826-34.
36. National Blood Authority Australia Patient blood management guidelines module 2 perioperative. Preoperative
3. Krishnasivam D, Trentino KM, Burrows S, Farmer SL, Picardo S, Leahy MF, et al. Anemia in hospitalized patients: an haemoglobin assessment and optimisation template. [Internet]. National Blood Authority; 2012 [cited 2019 May 30].
overlooked risk in medical care. Transfusion. 2018;58:2522-8. Available from: https://www.blood.gov.au/system/files/documents/pbm-preoperative-template_0.pptx.
4. Trentino KM, Leahy MF, Sanfilippo FM, Farmer SL, Hofmann A, Mace H, et al. Associations of nadir haemoglobin level 37. Munoz M, Acheson AG, Auerbach M, Besser M, Habler O, Kehlet H, et al. International consensus statement on the peri-
and red blood cell transfusion with mortality and length of stay in surgical specialties: a retrospective cohort study. operative management of anaemia and iron deficiency. Anaesthesia. 2017;72(2):1-15.
Anaesthesia. 2019;74:726-34.
38. Thomas DW, Hinchliffe RF, Briggs C, Macdougall IC, Littlewood T, Cavill I. Guideline for the laboratory diagnosis of
5. Ranucci M, Di Dedda U, Castelvecchio S, Menicanti L, Frigiola A, Pelissero G, et al. Impact of pre-operative anemia on functional iron deficiency. Br J Haematol. 2013;161:639-48.
outcome in adult cardiac surgery: a propensity-matched analysis. Ann Thorac Surg. 2012;94:1134-41.
39. Beguin Y. Solube transferrin receptor for the evaluation of erythropoiesis and iron status. Clin Chim Acta. 2003;329
6. Fowler AJ, Ahmad T, Phull MK, Allard S, Gillies MA, Pearse RM. Meta-analysis of the association between preoperative (1-2):9-22.
anaemia and mortality after surgery. Br J Surg. 2015;102:1314-24.
40. Buttarello M. Laboratory diagnosis of anemia: are the old and new red cell parameters useful in classification and
7. Ferguson MT, Dennis AT. Defining peri-operative anaemia in pregnant women – challenging the status quo. Anaesthesia. treatment, how? Int J Lab Hematol. 2016;38:123-32.
2019;74(2):237-45.
41. Devalia V, Hamilton MS, Molloy AM. Guidelines for the diagnosis and treatment of cobalamin and folate disorders.
8. Ferraris VA, Ferraris SP, Saha SP, Hessel EA, Haan CK, Royston BD, et al. Perioperative blood transfusion and blood Br J Haematol. 2014;166(4):496-513.
conservation in cardiac surgery: the Society of Thoracic Surgeons and The Society of Cardiovascular Anesthesiologists
clinical practice guideline. Ann Thorac Surg. 2007;83(5 Suppl):S27-86.
9. Bernard AC, Davenport DL, Chang PK, Vaughan TB, Zwischenberger JB. Intraoperative transfusion of 1 U to 2 U packed
red blood cells is associated with increased 30-day mortality, surgical-site infection, pneumonia, and sepsis in general
surgery patients. J Am Coll Surg. 2009;208(5):931-7.
10. Whitlock EL, Kim H, Auerbach AD. Harms associated with single unit perioperative transfusion: retrospective population
based analysis. BMJ. 2015;350:h3037.
11. Hallet J, Hanif A, J C, Pronina I, Wallace D, Yohanathan L, et al. The impact of perioperative iron on the use of red blood
cell transfusions in gastrointestinal surgery: a systematic review and meta-analysis. Transfus Med Rev. 2014;28(4):
205-11.
12. Ellermann I, Bueckmann A, Eveslage M, Buddendick H, Latal T, Niehoff D, et al. Treating anemia in the preanesthesia
assessment clinic: results of a retrospective evaluation. Anesth Analg. 2018;127(5):1202-10.
13. Spahn DR, Schoenrath F, Spahn GH, Seifert B, Stein P, Theusinger OM, et al. Effect of ultra-short-term treatment
of patients with iron deficiency or anaemia undergoing cardiac surgery: a prospective randomised trial. Lancet.
2019:393(10187):2201-12.
14. Bisbe E, Misericordia B, Colomina MJ. Peri-operative treatment of anaemia in major orthopaedic surgery: a practical
approach from Spain. Blood Transfus. 2017;15:296-306.
15. Hattangadi SM, Wong P, Zhang L, Flygare J, Lodish HF. From stem cell to red cell: regulation of erythropoiesis at multiple
levels by multiple proteins, RNAs, and chromatin modifications. Blood. 2011;118(24):6258-68.
16. Roy CN. Anemia of inflammation. Hematology Am Soc Hematol Educ Program. 2010;2010(1):276-80.
17. Lopez A, Cacoub P, Macdougall IC, Peyrin-Biroulet L. Iron deficiency anaemia. Lancet. 2016;387(10021):P907-16.
18. Hallberg L, Brune M, Rossander L. The role of vitamin C in iron absorption. Int J Vitam Nutr Res Suppl. 1989;30:103-8.
19. Frazer DM, Anderson GJ. The regulation of iron transport. Biofactors. 2014;40:206-14.
20. Low MSY, Grigoriadis G. Iron deficiency and new insights into therapy. Med J Aust. 2017;207(2):81-7.
21. Pasricha SRS, Flecknoe-Brown SC, Allen KJ, Gibson PR, McMahon LP, Olynyk JK, et al. Diagnosis and management of
iron deficiency anaemia: a clinical update. Med J Aust. 2010;193(9):525-32.
22. Pratt JJ, Khan KS. Non-anaemic iron deficiency – a disease looking for recognition of diagnosis: a systematic review.
Eur J Haematol. 2016;96:618-28.
23. Krayenbuehl PA, Battegay E, Breymann C, Furrer J, Schulthess G. Intravenous iron for the treatment of fatigue in
nonanemic, premenopausal women with low serum ferritin concentration. Blood. 2011;118(12):3222-7.
24. Anker SD, Colet JC, Filippatos G, Willenheimer R, Dickstein K, Drexler H, et al. Ferric carboxymaltose in patients with
heart failure and iron deficiency. N Engl J Med. 2009;361:2436-48.
25. Miles LF, Kunz SA, Na LH, Braat S, Burbury K, DA S. Postoperative outcomes following cardiac surgery in non-anaemic
iron-replete and iron-deﬁcient patients – an exploratory study. Anaesthesia. 2018;73:450-8.
26. Caro JJ, Salas M, Ward A, Goss G. Anemia as an independant prognostic factor for survival in patients with cancer: a
systematic, quantitative review. Cancer. 2001;91(12):2214-21.
27. Tonia T, Mettler A, Robert N, Schwarzer G, Seidenfeld J, Weingart O, et al. Erythropoietin or darbepoetin for patients with
cancer. Cochrane Database Syst Rev. 2012;12:CD003407.
28. National Institue for Health and Care Excellence (NICE). Erythropoiesis-stimulating agents (epoetin and darbepoetin) for
treating anaemia in people with cancer having chemotherapy (TA323) [Internet]. NICE; 2014 Nov 26 [cited 2019 May 10].
Available from: http://nice.org.uk/guidance/ta323.
29. American College of Obstetrics and Gynecology. ACOG Practice Bulletin. Clinical management guidelines for
obstetrician-gynecologists. Anaemia in Pregnancy. Obstet Gynecol. 2008;112(1):201-7.
30. Pena-Rosas JP, De-Regil LM, Garcia-Casal MN, T. D. Daily oral iron supplementation during pregnancy. Cochrane
Database Syst Rev. 2015(7):CD004736.
31. Shipton MJ, Thachil J. Vitamin B12 deficiency – A 21st century perspective. Clin Med (Lond). 2015(2):145-50.
Regional
An update on the management of patients
with rib fractures
Andrew Lumley, Sean Chan,
Andrew Deacon
Parallel processing pathways for regional

anaesthesia: An introduction to block rooms
Brigid Brown, Tim Donaldson
Ultrasound-guided erector spinae plane block

Alex Grosso, Gilberto Arenas,
Kate Drummond, Sam Whitehouse
An update on the management of patients with rib fractures 139
An update on the management of patients with rib fractures

Andrew Lumley FRCA FIMC
The Canberra Hospital.
Dr Andrew Lumley is a UK-trained anaesthesia and retrieval provisional fellow at the Canberra Hospital,
Australia. His interests include prehospital emergency medicine, major trauma anaesthesia and in situ medical
simulation for team training.
Sean Chan FCICM

Dr Sean Chan is a senior staff specialist in Intensive Care Medicine at the Canberra Hospital, Australia, and a
clinical lecturer at the Australian National University. His interests include trauma care, delirium management,
education and organ donation.
Andrew Deacon FANZCA

Dr Andrew Deacon is a staff specialist cardiothoracic anaesthetist at the Canberra Hospital, Australia, and
a clinical lecturer at The Australian National University. His interests include echocardiography and quality
improvement through multidisciplinary standardisation.
INTRODUCTION
Rib fractures are a painful injury associated with high patient morbidity and mortality. Approximately 10% of
chest trauma patients have one or more fractured ribs, blunt trauma being the most frequent mechanism1.
Patients with five fractured ribs have a mortality of 10%, increasing to 34% for eight ribs or more. Respiratory
complications of rib fractures include atelectasis, pneumonia, pleural effusion, acute respiratory distress
syndrome, aspiration and pulmonary emboli. Patients with rib fractures use significant hospital resources, often
requiring intensive care unit (ICU) admission and mechanical ventilation for respiratory complications.
Evidence for risk factors of morbidity and mortality in patients with blunt chest trauma is conflicting, but
significant risks may include: the severity of the injury, for example, number of fractured ribs, bilateral fractures,
flail segment, pulmonary contusion; patient factors, for example, age, comorbid disease and frailty; clinical
indicators of respiratory function, for example, SpO2 and PaCO2 on admission. Identification of patients at
risk of complications allows for early interventions aimed at decreasing respiratory complications, for example
catheter-based analgesia, physiotherapy and rib fixation. We endorse the development and introduction of
institutional multidisciplinary rib fracture pathways to promote standardisation of care.
PATHOPHYSIOLOGY
Respiratory failure after blunt thoracic trauma may be multifactorial.
Pain: The inability to splint fractured ribs during respiration and the subsequent pain may cause a reduction
in tidal volume, atelectasis and hypoventilation. The avoidance of deep breathing and coughing can lead to
retained secretions and infection.
Lung contusion: A lung contusion and subsequent oedema can also affect lung aeration, decreasing
compliance and increasing shunt. These pathophysiological changes following injury typically do not peak until
more than 48 hours post injury.
Flail segment: Flail segment is generally defined as the fracture of three or more adjacent ribs in at least
two places. A broader definition also includes three or more bilateral consecutive rib fractures, and three or
more rib fractures with an associated sternal fracture, as both of these patterns of injury result in mechanical
disadvantage2.
A flail segment alters the efficiency of respiratory mechanics and ventilation, with negative intrapleural pressure
causing inward or paradoxical chest wall movement during inspiration. Failure of lung aeration underlying and
adjacent to the flail increases shunt, while the loss of lung available for gas exchange results in an increased
respiratory rate to maintain minute ventilation.
140 Australasian Anaesthesia 2019 – Regional An update on the management of patients with rib fractures 141
PATTERNS OF INJURY disease16, congestive cardiac failure17,18 and diabetes16,18. Unfortunately, criteria for diagnosis of each of these
comorbidities was not reported.
Upper zone ribs 1-4: Typically require high velocity trauma. Adjacent structures that may be damaged include
subclavian vessels, brachial plexus, as well as fractures to the scapula and sternum4. The risk of vascular injury Frailty: There is increasing awareness that frailty may predispose to poor perioperative and trauma
rises with increasing injury severity (that is, injury to other parts of the body)4, probably a reflection of overall outcomes19-21. Frailty is defined as the decrease in physiologic reserve as well as multisystem impairments
trauma force. which are separate from the normal process of aging. These changes lead to increased vulnerability and place
the patient at greater risk of morbidity and mortality. Frailty is associated with complications from blunt thoracic
Middle zone ribs 5-9: Adjacent structures at risk are the lung and pleura resulting in pulmonary contusions and trauma with an OR 30.66 (2.35-36.79)22 using the modified Frailty Index. Multiple tools are available to assess
haemopneumothorax. frailty, although there is no consensus about which tool is best.
Lower zone ribs 10-12: Adjacent structures include the liver, spleen, kidneys and diaphragm. Approximately Clinical indicators
50% of patients with multiple lower rib fractures also have a solid organ injury3.
Physiological derangements on admission: Low oxygen saturation has been correlated to respiratory
morbidity18 in patients with rib fractures, however the study did not include a threshold for low SpO₂ or indicate
PREDICTING MORBIDITY AND MORTALITY an effect size. Further, PaCO₂ greater than 45 mmHg within 60 minutes of arrival in the emergency department
Several risk factors that predict morbidity and mortality in patients with rib fractures have been identified from also predicts respiratory complications with an OR 7.63 (2.31-25.18)22.
observational studies. These risk factors are useful in early identification of asymptomatic patients, allowing
intervention aiming to decrease the risk of developing respiratory complications. Table 1. Risk factors for morbidity in patients with rib fractures.
Injury severity Risk factor

Number of ribs fractured: Increasing number of ribs fractured is consistently associated with poorer patient
outcome1,5-7. It is unclear if this is an independent predictor of morbidity and mortality, or a marker of overall Injury ≥ 3 ribs fractured3
trauma severity1,8. A meta-analysis indicated an odds ratio (OR) for mortality in patients with three or more rib Bilateral rib fractures5
fractures of 2.02, compared to those with less than three6.
Flail segment9,10
Location and pattern of rib fractures: Bilateral rib fractures increase mortality significantly, with patients suffering
greater than three fractured ribs bilaterally having a mortality of 41%, OR 3.435. Pulmonary Contusion22
Flail segment is also a risk factor. Patients with a flail segment have a high rate of mortality at 16-17%9,10, with a Patient factors Age ≥ 656,99
higher rate of mechanical ventilation, respiratory complications, and longer hospital stay compared to a matched
cohort without a flail segment11. Frailty22
Pulmonary contusion: Radiographically determined injury to lung parenchyma has a strong association Congestive cardiac failure17
with adverse outcome. Patients with severe pulmonary contusions (>20% contusion on CT, see Figure 1)
Respiratory disease16
are more likely to be admitted to the ICU (OR 2.74), and develop morbidity such as empyema (OR 4.8)12.
Further, a unilateral lung contusion confers mortality of 25%, OR 1.82, with bilateral lung contusions and Diabetes18
haemopneumothorax conferring mortality of 53%, OR 5.15. Chest x-ray changes are often not present until 24
hours after the injury, implying that imaging on admission may underestimate the severity of injury. Clinical presentation PaCO₂ ﹥ 45 mmHg22
Low SpO₂18
Figure 1. CXR and CT of a patient with a left flail segment and pulmonary contusion (published
with patient permission). The red arrows indicate rib fractures.
DISABILITY AFTER RIB FRACTURES

Observational studies show disability from rib fractures is a problem that persists for patients long after their
acute hospital admission. A case series of patients with isolated rib fractures (mean of 2.7 ribs fractured)
showed mean total days lost from work or usual activity was 51 +/- 39, increasing further in patients with
associated extrathoracic injuries23. Another cohort showed patients with multiple rib fractures had significantly
lower quality of life two years post injury, with 29% of patients working prior to the injury not returning to any
work24. Rib fixation does not appear to improve pain or quality of life at two years in patients with a flail segment
24
. Understanding the significant disability associated with rib fractures allows early planning for rehabilitation,
occupational therapy, and social work that may assist patients after their acute admission.
PAIN AND ANALGESIA

Rib fractures are a painful injury due to the unavoidable movement of fractures when breathing. Patients with rib
Patient factors
fractures value good analgesia, and it may confer a morbidity and mortality benefit, although data is conflicting
Age: Increasing age has consistently been associated with poor outcomes following rib fractures13. Although and is discussed below.
age cut-offs for poor outcome are described in observational studies and often used in institutional clinical
care pathways, the risk of poor outcome is likely to increase continuously with age. Thresholds that have been Many regional techniques have the potential to provide analgesia in chest trauma. Analgesia is typically required
described vary from age >45 to age > 656,14,15,99. A meta-analysis found patients older than 65 have an OR of for three to seven days, meaning techniques allowing catheter placement are ideal and are the focus of
1.98 for mortality compared to those younger than 656. discussion here. Options include thoracic epidural analgesia, paravertebral block, and newer myofascial blocks
including the erector spinae and serratus anterior block.
Comorbid disease: Comorbid disease is also associated with increased mortality in patients with rib fractures6,
likely due to a decreased physiological reserve. Comorbidities that have been identified include respiratory
It is worth noting that even if regional analgesia functions well, systemic analgesia may still be required. The quality of evidence for catheter-based analgesic techniques in decreasing morbidity and mortality is low,
Regional analgesia only covers nociception from thoracic spinal nerves. It will not cover phrenic nerve (C3/4/5) with many observational and small, single centre studies. Several studies have indicated patients receiving
innervation of the diaphragm, for example, diaphragmatic irritation from blood or a chest tube, nor vagus nerve catheter based thoracic analgesia for rib fractures have a lower incidence of pneumonia, shorter duration of
innervation of the visceral pleura and mediastinum, for example, mediastinal injury. Thoracic trauma is also mechanical ventilation55, decreased ICU length of stay56,57, decreased delirium58, and decreased mortality59.
frequently associated with other injuries that will not be managed by a single regional technique, for example Other meta-analyses have shown no difference51,60. Recent editorials have called into question the rapid uptake
fractures of the clavicle, scapula and upper or lower limbs. of the newer myofascial regional techniques with a low evidence base, while acknowledging that due to their
ease of insertion and low risk profile they are here to stay60.
SYSTEMIC ANALGESIA The Eastern Association for the Surgery of Trauma and the Trauma Anesthesiology Society have published a
Opioids continue to be the mainstay of systemic analgesia in most centres. Their side effects can be a document on the analgesic management of blunt chest trauma29. It provides evidence-based recommendations
significant problem for patients, and in the perioperative setting are associated with increased postoperative to aid decision making in patients with rib fractures. It places a high value on patient preference for analgesia,
length of stay and 30-day readmission26-28. Opioid sparing medications should be prescribed29 with or without and conditionally recommends thoracic epidural analgesia over non-regional modalities of pain control whilst
regional analgesia. This is particularly important for patients at risk of opioid related side effects, for example, making clear that this recommendation is based on very low-quality evidence.
obstructive sleep apnoea30,31, severe lung disease, or for whom their efficacy may be limited, for example, The efficacy of catheter-based regional analgesia for multiple rib fractures is likely to be affected by the
opioid tolerance. A Cochrane review concluded that opioids delivered by a patient-controlled analgesia system delivery of local anaesthetic. Local anaesthetic spread in a myofascial plane is influenced by the volume of the
provided slightly better pain control and increased patient satisfaction compared to conventional parenteral bolus injected62. It seems reasonable that analgesia for multiple rib fractures is improved with boluses of local
opioids32. anaesthetic compared to a continuous infusion, for example, a programmed or patient-controlled boluses.
Paracetamol: Paracetamol is an effective analgesic for acute post-surgical pain33 which reduces opioid Anecdotally, analgesia is improved with the use of programmed intermittent ± patient demand boluses and
consumption34, reduces nausea and vomiting35, and has few adverse effects. many institutions have adopted this63, although there is an absence of peer reviewed literature to support this.
Coverage of a large number of rib fractures may potentially be achieved by larger volume boluses of local
Non-Steroidal Anti-Inflammatory Drugs (NSAIDs): A small observational study in patients with traumatic rib anaesthetic, or the insertion of two unilateral catheters. Higher local anaesthetic concentrations for a given
fractures showed the use of a NSAID improved pain scores and lowered opioid requirements with a trend volume may also provide superior analgesia64. The safe daily dose for patients receiving local anaesthetic for a
to lower hospital length of stay36. Another observational study showed the use of a NSAID decreased the number of days is unclear.
incidence of pneumonia (OR 0.14 95% CI 0.04 - 0.46), and decreased the duration of intensive care unit
stay37. Neither study showed an increase in adverse outcome during the relatively short duration of use. Figure 2. Anatomical location of regional blockade. Illustration by Dr Ben Darby.
Ketamine: A randomised controlled trial of patients younger than 65 showed ketamine lowered opiate
consumption in patients with rib fractures with more significant overall trauma burden (Injury Severity Score
>15)38. This finding agrees with other observational studies in the setting of rib fractures39, and a Cochrane
Review which found ketamine probably reduced postoperative analgesic consumption, pain intensity, nausea
and vomiting40.
Gabapentinoids: There is limited data on the use of gabapentinoids in patients with traumatic rib fractures.
Although acute post-surgical pain studies show gabapentinoids reduced opioid consumption and increased
somnolence41,42, a small randomised study of patients with rib fractures showed no benefit to the addition of
gabapentin to other opioid sparing medications43. Somnolence is concerning in patients with rib fractures as it
may increase respiratory complications.
Tramadol: Tramadol is an effective analgesic for post-surgical pain, but may not provide sufficient analgesia
for moderate to severe pain at typical doses of 50 to 100mg as required44. Pharmacogenomic variation in
metabolism of this pro-drug can also limit its use due to inadequate metabolism resulting in poor analgesia,
or ultra-rapid metabolism resulting in tramadol-related opioid analgesic effects such as addiction, nausea and
respiratory depression45. There are no studies in patients with rib fractures specifically comparing tramadol to
systemic opiates.
Tapentadol: Immediate release tapentadol appears to offer similar analgesia to immediate release opioids for
acute post-surgical pain46,47, although there are no specific studies investigating the efficacy of tapentadol in
patients with rib fractures. Its use is appealing due to the lower incidence of nausea, vomiting and constipation
compared to oxycodone, although it causes similar somnolence48.
Lignocaine patch: Topical lignocaine patches have been used in some institutional rib fracture pathways.
A randomised trial showed lignocaine patches offer no improvement in pain control, opioid consumption,
pulmonary complications or length of stay49. This finding is supported by a review which concludes there is
currently no evidence to support the use of topical lignocaine patches in patients with traumatic rib fractures50.
REGIONAL ANALGESIA
Catheter-based regional analgesia has consistently shown improved pain scores in patients with rib fractures
compared to systemic analgesia51. Of these techniques, epidural analgesia is the most studied, and patients
with greater injury severity seem to benefit most52. Epidural analgesia has also been associated with reduced Thoracic epidural
mortality in rib fracture patients53 and reduced cost of inpatient care54.
Thoracic epidural analgesia is historically considered the gold standard for rib fractures unresponsive to
systemic analgesia. Thoracic epidural analgesia blocks the spinal nerves by depositing local anaesthetic within
the epidural space, preventing nociceptive pain signals from the intercostal nerves. Classically, insertion should
Advantages Disadvantages
be at the midpoint of any rib fractures to block transmission from intercostal nerves above and below this point.
Paravertebral block Thoracic Equivalent analgesia to thoracic Risk of damage to nearby structures
paravertebral block epidural for example pneumothorax
Paravertebral block for thoracotomy has shown equivalent analgesia to thoracic epidural analgesia, with a
better side-effect profile65. Local anaesthetic is deposited deep to the transverse process of the vertebrae Unilateral coverage Risk of epidural spread of local
in the paravertebral space, blocking nociception from thoracic spinal nerves close to their path through the anaesthetic
intervertebral foramen. The paravertebral space also communicates with the intercostal and epidural spaces, Contraindicated if anticoagulated due
and local anaesthetic deposition produces unilateral motor, sensory and sympathetic blockade. A single 15 ml to risk of haemorrhage
injection has been shown to produce unilateral somatic block over a mean of 5 dermatomes, though spread
Erector spinae plane Technically simple block Recently described with little literature
may be unpredictable with a range 1-966. The spread is typically both cephalad and caudad to the site of
block Unilateral block regarding patient outcomes
injection.
Probably safe if anticoagulated Variable local anaesthetic spread
A recent meta-analysis of patients with rib fractures receiving catheter-based analgesia indicated paravertebral
blocks had similar pain scores and length of ICU or hospital stay compared to epidural analgesia51. The Provides unilateral hemithorax block
complication rate of ultrasound guided paravertebral catheter placement for rib fractures is low, with a
Serratus anterior Technically simple block Block only covers lateral rib fractures
retrospective observational study showing 2% of catheters removed for ineffective analgesia, and less than 1%
plane block Unilateral block
of patients having minor side effects67.
Can be inserted supine
Erector spinae plane block
Probably safe if anticoagulated
This novel interfascial plane block was first utilised for analgesia from chronic neuropathic chest wall pain 68
and has since been successfully used for chest trauma analgesia63. A retrospective observational study of 79
patients with rib fractures who received an erector spinae plane block showed improved spirometry in the first Anticoagulation and catheter-based regional analgesia
24 hours after receiving a block, along with reduced pain scores69.
The American Society of Regional Anaesthesia recommends that the management of plexus blocks be based
The technique involves depositing local anaesthetic deep to the erector spinae muscle and above the on site compressibility, vascularity, and potential consequences of bleeding73. Both the erector spinae and
transverse process with catheter placement possible into this potential space. The local anaesthetic is then in serratus anterior plane blocks are relatively superficial and compressible, are myofascial plane blocks away
proximity to the costotransverse foramina and blocks nociceptive transmission at the dorsal and ventral rami from a neurovascular bundle, are in locations that do not easily allow occult bleeding, for example, in to the
at their thoracic spinal nerve origins in the paravertebral space, resulting in a hemithorax block. The cephalad thorax or retroperitoneum, and bleeding is unlikely to cause significant neurological damage, for example,
and caudad spread of local anaesthetic is facilitated by the thoracolumbar fascia giving sensory changes and within the spinal canal. A small case series of the use of erector spinae blocks in anticoagulated patients post
analgesia over the hemithorax70. Cadaveric studies suggest 3 to 4 spinal nerves are blocked in the mid-thoracic thoracotomy for left ventricular assist device implantation did not show bleeding complications74.
region with a 20 mL injection71, and two catheters may be required if greater spread is required.
Serratus anterior plane block OTHER SUPPORTIVE THERAPY
This relatively new regional analgesic technique involves the deposition of local anaesthetic and catheter
72
Physical therapy
insertion either superficial or deep to the serratus anterior muscle. The potential space surrounding the serratus There are numerous methods of chest physiotherapy aiming to decrease lung atelectasis and clear pulmonary
anterior muscle originates from the anterior surface of ribs one to eight. Performed laterally close to the mid- secretions. These techniques include positive expiratory pressure (PEP), postural drainage with percussion,
axillary line, local anaesthetic deposition blocks nociception from the lateral cutaneous nerves as they travel active cycle of breathing techniques, autogenic drainage, oscillatory positive expiratory devices, thoracic
through the serratus muscle. The dorsal ramus innervating the posterior thorax, and the anterior cutaneous oscillating devices (for example, Vest), and BiPaP (a PEP system delivering both positive inspiratory and
nerve innervating the anterior thorax will not be covered. Analgesia can potentially be provided over seven expiratory pressure). Although little evidence supports these techniques in postoperative recovery75, long term
levels from T2 to T9, with a 40 mL injection of local anaesthetic covering six dermatomes versus four with a 20 outcomes for patients with cystic fibrosis76, or patients with pneumonia77, they are appealing due to the lack of
mL injection62. The superficial approach (local anaesthetic deposited in the myofascial plane between serratus harm. There is an absence of literature on physiotherapy in patients with rib fractures, and compliance may be
anterior and latissimus dorsi muscles) provides a greater duration of analgesia with a theoretically reduced risk difficult for patients if analgesia is not optimal.
profile72.
High Flow Nasal Cannulae
Table 2. Comparison of catheter based regional analgesic techniques. High Flow Nasal Cannulae (HFNC) deliver warmed, humidified gas to a patient, and allow the modification
of the percentage of inspired oxygen and gas flow rate. HFNC with flows over 30L/min deliver approximately
1 mmHg of Positive End Expiratory Pressure (PEEP) for every additional 10L/min with the mouth closed78.
Advantages Disadvantages It is better tolerated and non-inferior to non-invasive ventilation (NIV) in most studies79. An observational
Thoracic epidural Historical gold standard Increased hypotension study indicated HFNC may be beneficial for patients with rib fractures in decreasing the need for mechanical
block ventilation, ICU length of stay and hospital length of stay80.
Bilateral coverage with single catheter Increased urinary retention
Block can extend multiple spinal Contraindicated if anticoagulated, for There is a theoretical concern that positive airway pressure may increase the size of a pneumothorax, or prolong
segments example, medication, coagulopathy of the duration of a persistent air leak. These fears may be unfounded, with a meta-analysis concluding that neither
trauma non-invasive positive pressure ventilation (NPPV) or continuous positive pressure ventilation (CPAP) were
associated with significant morbidity or mortality in patients with rib fractures81. Both these techniques deliver
Contraindicated in the presence of
higher airway pressures than HFNC.
significant spinal fractures
Small risk of severe neurological
RIB FIXATION
complications
Surgical rib fixation to stabilise the chest wall, improve pulmonary mechanics and possibly reduce pain is
increasing. Three randomised controlled trials have been published82-84, showing improved patient outcomes
and health economic benefits. Two of these studies included only patients with a flail segment who were
mechanically ventilated82,85. Meta-analyses of these and other observational studies show rib fixation for patients of these techniques. Early rib fixation for patients with a flail segment may improve patient and health economic
with a flail segment reduced mortality, duration of mechanical ventilation, ICU and hospital length of stay and outcomes. We suggest the development and use of an institutional multidisciplinary rib fracture pathway to
morbidity including pneumonia and tracheostomy85,86. improve care for patients with blunt thoracic trauma.
The Eastern Association for the Surgery of Trauma published guidelines for surgical rib fixation in 201787
recommending rib open reduction and internal fixation compared to nonoperative management in adult ACKNOWLEDGMENTS
patients with flail chest after blunt trauma. It also states that there is currently insufficient evidence to offer a Many thanks to Dr Ben Darby for composing Figure 2, along with Penny Deacon, Dr Jennifer Bath and
recommendation for surgical rib fixation for non-flail rib fractures. Professor Thomas Bruessel for proofreading and editing the manuscript. Thanks also to the patient who kindly
Although there is regional variation in practice, many trauma centres will only consider rib fixation for patients gave permission for their images to be published.
with a flail segment who are mechanically ventilated. Some authors have proposed extended indications for rib
fixation, including >= 3 rib flail not requiring mechanical ventilation, >= 3 ribs with (bicortical displacement), REFERENCES
or >=3 ribs with displacement and >50% reduction of expected forced vital capacity despite optimal pain
1. Flagel BT, Luchette FA, Reed RL, Esposito TJ, Davis KA, Santaniello JM, Gamelli RL. Half-a-dozen ribs: the breakpoint for
management88. mortality. Surgery. 2005;138(4):717-25.
Patients appear to receive the greatest benefit from rib fixation within the first 24-72 hours after injury87, 2. Nirula R, Diaz JJ, Trunkey DD, Mayberr JC. Rib fracture repair: indications, technical issues, and future directions. World J
suggesting operative management should occur after resuscitation and management of other serious injuries is Surg. 2009;33(1):14-22.
completed. 3. Al-Hassani A, Abdulrahman H, Afifi I, Almadani A, Al-Den A, Al-Kuwari A et al. Rib fracture patterns predict thoracic chest
wall and abdominal solid organ injury. Am Surg. 2010;76(8):888-91.
Patients may not benefit from rib fixation if they have another indication for prolonged ventilation, for example, 4. Gupta A, Jamshidi M, Rubin JR. Traumatic First rib fracture: is angiography necessary? A review of 730 cases. Cardiovasc
traumatic brain injury, cervical cord injury. Patients with moderate to severe traumatic brain injury are unlikely to Surg. 1997;5(1):48-53.
derive the full benefit of rib fixation in terms of improved pulmonary mechanics allowing for earlier extubation, 5. Pape HC, Remmers D, Rice J, Ebisch M, Krettek C, Tscherne H. Appraisal of early evaluation of blunt chest trauma:
development of a standardized scoring system for initial clinical decision making. J Trauma. 2000;49:496-504.
mobilisation and discharge, nor does the health system gain the same health-economic benefits. These
6. Battle CE, Hutchings H, Evans PA. Risk factors that predict mortality in patients with blunt chest wall trauma: a systematic
patients have been excluded from prospective studies investigating rib fixation due to the confounding need for
review and meta-analysis. Injury Int J Care Injured. 2012;43:8-17.
ventilation, and increased incidence of tracheostomy, pneumonia and longer length of stay.
7. Shulzhenko NO, Zens TJ, Beems MV, Jung HS, O’Rourke AP, Liepert AE, Scarborough JE, Agarwal SK. Number
of rib fractures thresholds independently predict worse outcomes in older patients with blunt trauma. Surgery
USE OF RIB FRACTURE SCORING SYSTEMS TO GUIDE CLINICAL DECISION 2017;161(4):1083-9.
8. Whitson BA, McGonigal MD, Anderson CP, Dries DJ. Increasing number of rib fractures do not worsen outcome: an
MAKING analysis of the national trauma data bank. Am Surg. 2013;79(2):140-50.
There is no universally accepted scoring system to predict morbidity and mortality in patients with rib fractures. 9. Liman St, Kuzucu A, Tastepe AI, Ulasan GN, Topcu S. Chest injury due to blunt trauma. Eur J Cardiothoracic Surg.
The most commonly used scoring systems are the rib fracture score56, chest trauma score89 and RibScore90. 2003;23:374-8.
These scoring systems assign points to a number of variables (for example, patient premorbid characteristics, 10. Dehghan N, de Mestral C, McKee MD, Schemitsch EH, Nathens A. Flail chest injuries: a review of outcomes and
treatment practices from the national trauma data bank. J Trauma Acute Care Surg. 2014;76:462-8.
clinical, radiological), each variable being weighted and the cumulative score correlating with morbidity
11. Velmahos GC, Vassiliu P, Chan LS, Murray JA, Berne TV, Demetriades D. Influence of flail chest on outcome among
and mortality. A recent study indicates no one score is superior to another in prognostication of a patient’s patients with severe thoracic cage trauma. Int Surg. 2002;87(4):240-4.
outcome91. The scoring systems do, however, heighten awareness of a patient at increased risk of morbidity92 12. Miller C, Stolarski A, Ata A, Pfaff A, Nadendla P, Owens K, Evans L, et al. Impact of blunt pulmonary contusion in
and may be useful as a decision making tool for care93, for example, catheter based analgesia, physiotherapy, polytrauma patients with rib fractures. Am J Surg. 2019;218(1):51-5.
high-flow nasal cannulae, intensive care unit admission. 13. Albaugh G, Kann B, Puc MM, Vemulapalli P, Marra S, Ross S. Age-adjusted outcomes in traumatic flail chest injuries in
the elderly. Am Surg. 2000;66:978-81.
USE OF AN INSTITUTIONAL CLINICAL CARE PATHWAY FOR MULTIDISCIPLINARY 14. Holcomb JB, McMullin NR, Kozar RA, Lygas MH, Moore FA. Morbidity from rib fractures increases after age 45. J Am Coll
Surg. 2003;196(4):549-55.
MANAGEMENT OF RIB FRACTURES 15. Stawicki SP, Grossman MD, Hoey BA, Miller DL, Reed JF. Rib Fractures in the elderly: a marker of injury severity. J Am
Multidisciplinary standardisation of care has shown impressive improvements in patient and health economic Geriatr Soc. 2004;52(5):805-8.
outcomes in other areas, for example, enhanced recovery after surgery94,95. Multidisciplinary clinical care 16. Elmistekawy EM, Hammad AAM. Isolated rib fractures in geriatric patients. Ann Thorac Med. 2007;2(4):166-8.
pathways for management of patients with rib fractures typically involve elements relating to emergency 17. Harrington DT, Phillips B, Machan J, Zacharias N, Velmahos GC, Rosenblatt MS et al. Factors associated with survival
following blunt chest trauma in older patients: results from a large regional trauma cooperative. Arch Surg. 2010
department management, triage of patients based on injury pattern, patient risk factors and clinical signs, May;145(5):432-7.
management of both high and low risk patients, and discharge criteria. These pathways attempt to identify 18. Barnea Y, Kashtan H, Skornick Y, Werbin N. Isolated rib fractures in elderly patients: mortality and morbidity. Can J Surg.
patients at increased risk of complications and rationalise the resources to care for them with the aim of 2002;45(1):43-6.
decreasing patient morbidity, mortality, and cost of care. A number of before and after observational studies 19. Farhat J, Velanovich V, Horst H, Swartz A, Patton J, Rubinfeld I. Are the frail destined to fail? Frailty index as a predictor of
have shown improvement in outcomes following the introduction of such pathways including decreased surgical morbidity and mortality in the elderly. J Trauma Acute Care Surg. 2012;72(6):1526-31.
mortality, pneumonia, ICU length of stay and hospital length of stay96-98. 20. Panayi AC, Orkaby AR, Sakthivel D, Endo Y, Varon D, Roh D et al. Impact of frailty on outcomes in surgical patients: A
systematic review and meta-analysis. Am J Surg. 2019;218(2):393-400.
21. Joseph B, Pandit V, Zangbar Bm, Kulvatunyou Nm, Hashmi A, Green DJ et al. Superiority of frailty over age in predicting
SUMMARY outcomes among geriatric trauma patients: a prospective analysis. JAMA Surg. 2014;149(8):766-72.
Rib fractures are a painful and serious injury associated with high morbidity and mortality. Effective analgesia is 22. Schmoekel N, Berguson J, Stassinopoulos J, Karamanos E, Patton J, Johnson JL. Rib fractures in the elderly: physiology
valued by patients, and may improve patient outcomes. Catheter based regional analgesia offers superior pain trumps anatomy. Trauma Surg Acute Care Open. 2019;4:e000257.
relief to systemic analgesia alone. Recently described myofascial plane blocks potentially increase the safety 23. Kerr-Valentic MA, Arthur M, Mullins RJ, Pearson TE, Mayberry JC. Rib fracture pain and disability: can we do better? J
Trauma. 2003;54(6):1058-63.
24. Marasco S, Lee G, Summerhayes R, Fitzgerald M, Bailey M. Quality of life after major trauma with multiple rib fractures.
Injury. 2015;46(1):61-5.
25. Marasco SF, Martin K, Niggemeyer L, Summerhayes R, Fitzgerald M, Bailey M. Impact of rib fixation on quality of life after
major trauma with multiple rib fractures. Injury. 2019;1(50):119-24.
26. Guay J, Nishimori M, Kopp S. Epidural local anaesthetics versus opioid-based analgesic regimens for postoperative
gastrointestinal paralysis, vomiting, and pain after abdominal surgery: a Cochrane Review. Anesth Analg.
2016;123(6):1591-602.
27. De Boer HD, Detriche O, Forget P. Opioid-related side effects: postoperative ileus, urinary retention, nausea and vomiting, 57. Ahn Y, Gorlinger K, Alam H, Eikermann M. Case scenario: pain associated respiratory failure in chest trauma.
and shivering. A review of the literature. Best Pract Res Clin Anaesthesiol 2017;31(4):499-504. Anaesthesiology. 2013;118:701-8.
28. Long DR, Lihn AL, Fridrich S, Scheffenbichler FT, Safavi KC, Burns SM et al. Association between intraoperative opioid 58. O’Connell K, Quistberg A, Tessler R, Robinson B, Cuschieri J, Maier R, et al. Decreased risk of delirium with use of
administration and 30-day readmission: a pre-specified analysis of registry data from a healthcare network in New regional analgesia in geriatric trauma patients with multiple rib fractures. Ann Surg. 2018; 268(3):534-40.
England. BJA. 2018;120(5):1090-102. 59. Malekpour M, Hashmi A, Dove J, Torres D, Wild J. Analgesic choice in management of rib fractures: paravertebral block or
29. Galvagno SM, Smith CE, Varon AJ, Hasenboehler EA, Sultan S, Shaefer G et al. Pain management for blunt thoracic epidural analgesia. Anesth Analg. 2017;124:1906-11.
trauma: a joint practice management guideline from the Eastern Association for the Surgery of Trauma and Trauma 60. Duch P, Moller MH. Epidural analgesia in patients with traumatic rib fractures: a systematic review of randomised
Anesthesiology Society. J Trauma Acute Care Surg. 2016;81(5):936-51. controlled trials. Acta Anaesthesiol Scand. 2015;59(6):698-709.
30. Schug SA, Palmer GM, Scott DA, Halliwell R, Trinca J; Acute Pain Management: Scientific Evidence Working Group 61. El-Boghdadly K, Wiles MD. Regional anaesthesia for rib fractures:too many choices, too little evidence. Anaesthesia.
of the Australian and New Zealand College of Anaesthetists (ANZCA) and Faculty of Pain Medicine (FPM). Acute Pain 2019;74:564-8.
Management: Scientific Evidence. 4th ed. Melbourne: ANZCA and FPM; 2015. p.562. 62. Kunigo T, Murouchi T, Yamamoto S, Yamakage M. Injection volume and anesthetic effect in serratus plane block. Reg
31. Cozowicz C, Poeran J, Zubizarreta N, Liu J, Weinstein SM, Pichler L, Mazumdar M, Memtsoudis SG. Non-opioid analgesic Anesth Pain Med. 2017;42(6):737-40.
modes of pain management are associated with reduced postoperative complications and resource utilisation: a 63. Eng HC, Chin KJ, Adhikary SD. How I do it: erector spinae block for rib fractures: The Penn State Health experience
retrospective study of obstructive sleep apnoea patients undergoing elective joint arthroplasty. BJA. 2019;122(1):131-40. [Internet]. American Society of Regional Anaesthesia and Pain Medicine; 2018. Available from: https://www.asra.com/
32. McNicol ED, Ferguson MC, Judcova J. Patient controlled opioid analgesia versus non-patient controlled opioid analgesia asra-news/article/39/how-i-do-it-erector-spinae-block-for-rib.
for postoperative pain. Cochrane Database Syst Rev. 2015;(6):CD003348. 64. Altiparmak B, Toker MK, Uysal AI, Demirbilek SG. Comparison of the efficacy of erector spinae plane block performed with
33. McNicol ED, Ferguson MC, Haroutounian S, Car DB, Schumann R. Single dose intravenous paracetamol or intravenous different concentrations of bupivacaine on postoperative analgesia after mastectomy surgery: randomized, prospective
propacetamol for postoperative pain. Cochrane Database Syst Rev 2016;(5):CD007126. double blind trial. BMC Anesthsiol. 2019;19:31.
34. Maund E, McDaid C, Rice S, Wright K, Jenkins B, Woolacott N. Paracetamol and selective and non-selective non- 65. Davies RG, Myles PS, Graham JM. A comparison of the analgesia efficacy and side-effects of paravertebral vs epidural
steroidal anti-inflammatory drugs for the reduction in morphine-related side-effects after major surgery: a systematic blockade for thoracotomy - a systematic review and meta-analysis of randomized trials. Br J Anaesth. 2006;96(4):418-26.
review. BJA. 2011;106(3):292-7. 66. Cheema SP, Ilsley D, Richardson J, Sabanathan S. A thermographic study of paravertebral analgesia. Anaesthesia.
35. Apfel CC, Turan A, Souza K, Pergolizzi J, Hornuss C. Intravenous acetaminophen reduces postoperative nausea and 1995;50(2):118-21.
vomiting: a systematic review and meta-analysis. Pain. 2013;154(5):677-89. 67. Womack J, Pearson JD, Walker IA, Stephens NM. Goodman BA. Safety, complications and clinical outcome after
36. Bayouth L, Safcsak K, Cheatham ML, Smith CP, Birrer KL, Promes JT. Early intravenous ibuprofen decreases narcotic ultrasound-guided paravertebral catheter insertion for rib fracture analgesia: a single-centre retrospective observational
requirement and length of stay after traumatic rib fracture. Am Surg. 2013;79(11):1207-12. study. Anaesthesia. 2019;74:585-93.
37. Yang Y, Young J, Schermer CR, Utter GH. Use of ketorolac is associated with decreased pneumonia following rib 68. Forero M, Adhikary SD, Lopez H, Tsui C, Chin KJ. The erector spinae plane block: a novel analgesic technique in thoracic
fractures. Am J Surg. 2014;207:566-72. neuropathic pain. Reg Anesth Pain Med. 2016;41(5):621-7.
38. Carver T, Kugler N, Juul J, Peppard W, Drescher KM, Somberg LB et al. Ketamine infusion for pain control in adult patients 69. Adhikary SD, Liu WM, Fuller E, Cruz-Eng H, Chin KJ. The effect of erector spinae plane block on respiratory and analgesic
with multiple rib fractures. J Trauma Acute Care Surg. 2019;86(2):181-8. outcomes in multiple rib fractures: a retrospective cohort study. Anaesthesia. 2019;74:594-601.
39. Walters MK, Farhat J, Bischoff J, Foss M, Evans C. Ketamine as an analgesic adjuvant in adult trauma intensive care unit 70. Hamilton DL, Manickam B. Erector spinae plane block for pain relief in rib fractures. BJA. 2017;118(3):474-5.
patients with rib fracture. Ann Pharmacother. 2018;52(9):849-54. 71. Yang HM, Choi YJ, Kwon HJ, OJ, Cho TH, Kim SH. Comparison of injectate spread and nerve involvement between
40. Brinck EC, Tiippana E, Heesen M, Bell RF, Straube S, Moore RA, Kontinen V. Perioperative intravenous ketamine for acute retrolaminar and erector spinae plane blocks in the thoracic region: a cadaveric study. Anaesthesia. 2018;73:1244-50.
postoperative pain in adults. Cochrane Database Syst Rev. 2018;12:CD012033. 72. Blanco R, Parras T, McDonnell J, Galino A. Serratus plane block: a novel ultrasound-guided thoracic wall nerve block.
41. Ho KY, Gan TJ, Habib AS. Gabapentin and postoperative pain - a systematic review of randomized controlled trials. Pain. Anaesthesia. 2013;68:1107-13.
2006;126(1-3):91-101. 73. Horlocker TT, Vandermeuelen E, Kopp SL, Gogarten W, Leffert LR, Benzon HT. Regional anesthesia in the patient
42. Arumugam S, Lau C, Chamberlain R. Use of preoperative gabapentin significantly reduces postoperative opioid receiving antithrombotic or thrombolytic therapy. Reg Anesth Pain Med. 2018;43:263-309.
consumption: a meta-analysis. J Pain Res. 2016;9:631-40. 74. Adhikary SD, Prasad A, Soleimani B, Chin KJ. Continuous erector spinae plane block as an effective analgesic option in
43. Moskowitz EE, Garabedian L, Harden K, Perkins-Pride E, Asfaw M, Preslaski C, et al. A double-blind, randomized anticoagulated patients after left ventricular assist device implantation: a case series. J Cardiothorac Vasc Anesth.
controlled trial of gabapentin vs. placebo for acute pain management in critically ill patients with rib fractures. Injury. 2018:33:1063-7.
2018;49(9):1693-8. 75. Orman J, Westerdahl E. Chest physiotherapy with positive expiratory pressure breathing after abdominal and thoracic
44. Thevenin A, Beloeil H, Blanie A, Benhamou D, Mazoit JX. The limited efficacy of tramadol in postoperative patients: a study surgery: a systematic review. Acta Anaesthesiol Scand 2010;54(3):261-7.
of ED80 using the continual reassessment method. Anesth Analg. 2008; 106(2):622-7. 76. Warnock L, Gates A. Chest physiotherapy compared to no chest physiotherapy for cystic fibrosis. Cochrane Database
45. Miotto K, Cho AK, Khalil MA, Blanco K, Sasaki JD, Rawson R. Trends in tramadol: pharmacology, metabolism, and misuse. Syst Rev. 2015;(12):CD001401.
Anesth Analg. 2017;124:44-51. 77. Yang M, Yan Y, Yin X, Wang BY, Wu T, Liu GJ, Dong BR. Chest physiotherapy for pneumonia in adults. Cochrane
46. Daniels SE, Upmalis D, Okamoto A, Lange C, Haeussler J. A randomized, double-blind, phase III study comparing Database of Syst Rev. 2013;(2):CD006338.
multiple doses of tapentadol IR, oxycodone IR and placebo for postoperative (bunionectomy) pain. Curr Med Res Opin. 78. Parke RL, McGuinness SP. Pressures delivered by nasal high flow oxygen during all phases of the respiratory cycle.
2009;25:765-76. Respir Care. 2013;58(10):1621-24.
47. Vicusi ER, Allard R, Sohns M, Eerdekens M. Tapentadol immediate release for moderate to severe acute post-surgery 79. Helviz Y, Einav S. A systematic review of the High-flow nasal cannula for adult patients. Crit Care. 2018;22:71.
pain. J Opioid Manag. 2019;15(1):51-67.
80. Halub ME, Spilman SK, Gaunt KA, Lamb KD, Jackson JA, Oetting TW, et al. High-flow nasal cannula therapy for patients
48. Hale M, Upmalis D, Okamoto A, Lange C, Rauschkolb C. Tolerability of tapentadol immediate release in patients with with blunt thoracic injury: a retrospective study. Can J Respir Ther. 2016;52(4):110-3.
lower back pain or osteoarthritis of the hip of knee over 90 days: a randomized, double-blind study. Curr Med Res Opin.
81. Duggal A, Perez P, Golan E, Tremblay L, Sinuff T. Safety and efficacy of noninvasive ventilation in patients with blunt chest
2009;25:1095-104.
trauma: a systematic review. Crit Care. 2013;17:142.
49. Ingalls NK, Horton ZA, Bettendorf M, Frye I, Rodriguez C. Randomized, double-blind, placebo-controlled trial using
82. Tanaka H, Yukioka T, Yamaguti Y, Shimizu S, Goto H, Matsuda H et al. Surgical stabilization of internal pneumatic
lidocaine patch 5% in traumatic rib fractures. J Am Coll Surg. 2010;210(2):205-9.
stabilization? A prospective randomized study of management of severe flail chest patients. J Trauma. 2002;52:727-32.
50. Williams H, Carlton E. BET 1: Topical lignocaine patches in traumatic rib fractures. Emerg Med J. 2015;32:333-4.
83. Granetzny A, Abd El-Aal MA, Emam E, Shalaby A, Boseila A. Surgical versus conservative treatment of flail chest.
51. Peek J, Smeeing DP, Hietbrink F, Houwert RM, Marsman M, de Jong MB. Comparison of analgesic interventions for Evaluation of the pulmonary status. Interact Cardiovasc Thorac Surg. 2005;4(6):585-7.
traumatic rib fractures: a systematic review and meta-analysis. Eur J Trauma Emerg Surg. 2019;45(4):597-622.
84. Marasco SF, Davies AR, Cooper J, Varma D, Bennett V, Nevill R. Prospective randomized controlled trial of operative rib
52. Yeh D, Kutcher M, Knudson M, Tang J. Epidural analgesia for blunt thoracic injury - which patients benefit most? Injury. fixation in traumatic flail chest. J Am Coll Surg. 2013;216(5):924-32.
2012;43:1667-71.
85. Beks RB, Peek J, de Jong MB, Wessem K, Oner CF, Hietbrink F. Fixation of flail chest or multiple rib fractures: current
53. Jensen CD, Stark JT, Jacobson LL, Powers JM, Joseph MF, Kinsella-Shaw JM et al. Improved outcomes associated with evidence and how to proceed. A systematic review and meta-analysis. Eur J Trauma Emerg Surg. 2019;45(4):631-44.
the liberal use of thoracic epidural analgesia in patients with rib fractures. Pain Med. 2016;18(9):1787-94.
86. Liang YS, Yu KC, Wong CS, Kao Y, Tiong TY, Tam KW. Does surgery reduce the risk of complications among patients
54. Jensen CD, Stark JT, Jacobson LE, Powers JM, Leslie KL, Kinsella-Shaw JM, et al. Implications of thoracic epidural with multiple rib fractures? A meta-analysis. Clin Orthop Relat Res. 2019;477(1):193-205.
analgesia on hospital charges in rib fracture patients. Pain Med. 2018;19(1):160-8.
87. Kasotakis G, Hasenboehler EA, Streib EW, Patel N, Patel MB, Alarcon L, Bosarge PL, Love J, Haut ER, Como JJ.
55. Carrier FM, Turgeon AF, Nicole PC, Trepanier CA, Fergusson DA, Thauvette D, Lessard MR. Effect of epidural analgesia in Operative fixation of rib fractures after blunt trauma: A practice management guideline from the Eastern Association for the
patients with traumatic rib fractures: a systematic review and meta analysis of randomized controlled trials. Can J Anaesth. Surgery of Trauma. J Trauma Acute Care Surg. 2017 Mar;82(3):618-26.
2009;56(3):230-42.
56. Easter A. Management of patient with multiple rib fractures. Am J Crit Care. 2001;10(5):320-9.
150 Australasian Anaesthesia 2019 – Regional Parallel processing pathways for regional anaesthesia: An introduction to block rooms 151
88. De Moya M, Nirula R, Biffl W. Rib fixation: who, what, when? Trauma Surg Acute Care Open. 2017;2:e000059.
89. Pressley CM, Fry WR, Philp AS, Berry SD, Smith RS. Predicting outcome of patients with chest wall injury. Am J Surg.
Parallel processing pathways for regional anaesthesia:
2012;204(6):910-3. An introduction to block rooms
90. Chapman BC, Herbert B, Rodil M, Salotto J, Stovall RT, Biffl W et al. RibScore: a novel radiographic score based on
fracture pattern that predicts pneumonia, respiratory failure, and tracheostomy. J Trauma Acute Care Surg. 2016;80:
95-101. Brigid Brown BSc (hons), BMBS (hons), DRANZCOG, FANZCA, Grad Dip (quality assurance)
91. Fokin A, Wycech J, Crawford M, Puente I. Quantification of rib fractures by different scoring systems. J Surg Res. Staff specialist, Department of Anaesthesia, Flinders Medical Centre.
2018;229:1-8.
92. Maxwell C, Mion L, Dietrich M. Hospitalised injured older adults; clinical utility of a rib fracture scoring system. J Trauma Dr Brown completed a fellowship in regional anaesthesia using block rooms in London, Ontario. She is on the
Nurs. 2012;19:168-74. Regional Anaesthesia SIG executive and is the co-convenor of the upcoming ASURA meeting in Adelaide.
93. May L, Hillermann C, Patil S. Rib fracture management. BJA Education. 2016;16(1):26-32.
94. Greco M, Capretti G, Beretti G, Gemma M, Pecorelli N, Braga M. Enhanced recovery program in colorectal surgery: a Tim Donaldson MBBS FANZCA
meta-analysis of randomized controlled trials. World J Surg 2014;38(6):1531-41. Staff Specialist, Women’s and Children’s Hospital.
95. Visioni A, Shah R, Gabriel E, Attwood K, Kukar M, Nurkin S. Enhanced recovery after surgery for noncolorectal surgery?:
A systematic review and meta-analysis of major abdominal surgery. Ann Surg. 2018;267:57-65. Dr Donaldson completed his FANZCA training in Adelaide and then spent his PFY and a further 12 months in
96. Todd SR, McNally MM, Holcomb JB, Kozar RA, Kau LS, Gonzalez EA et al. A multidisciplinary clinical pathway decreases Toronto at Sunnybrook Health Sciences Centre completing an advanced clinical anaesthesia fellowship with a
rib fracture-associated infectious morbidity and mortality in high-risk trauma patients. Am J Surg. 2006;192;806-11. focus on regional anaesthesia and trauma management. He now works between in private and public practice
97. Curtis K, Asha SE, Unsworth A, Lam M, Goldsmith H, Langcake M, Dwyer D. ChIP: An early activation protocol for with a case mix of predominantly orthopaedic, paediatric, neurosurgical and obstetrical anaesthesia.
isolated blunt chest injury improves outcomes, a retrospective cohort study. Australas Emerg Nurs J. 2016;19(3):127-32.
98. Kelly K, Burgess J, Weireter L, Novosel TJ, Parks K, Aseuga M, Jay C. Early use of a chest trauma protocol in elderly
patients with rib fractures improves pulmonary outcomes. Am Surg. 2019;85(3):288-91. INTRODUCTION
99. Battle CE, Evans PA. Predictors of mortality in patients with flail chest: a systematic review. Emerg Med J. 2015;32:961-5. Regional anaesthesia is the process of administering local anaesthetic to a specific part of the body to provide
surgical anaesthesia or analgesia. It offers several advantages including superior analgesia, a reduction in
general anaesthesia, less post-operative nausea and vomiting, earlier participation in physiotherapy, and
increased patient satisfaction1,2. Many surgical “Early Recovery After Surgery” (ERAS) protocols, particularly
in orthopaedic surgery, incorporate the use of regional anaesthesia due to the benefits it offers to patients3,4.
Given the current world opioid epidemic as well as the increasing prevalence of chronic and persistent
post-surgical pain, there is a greater focus on regional anaesthesia in a wide range of clinical settings5,6.
Arrangements for the provision of regional anaesthesia vary between institutions and health systems and are
influenced by caseload, volume, experience and personnel available. In Australia, blocks are most commonly
performed in the operating room before or after the induction of anaesthesia, adding to the total overall time
utilisation of operating theatres. With the exponential growth of ultrasound utility, surgical acceptance, and
teaching of regional anaesthesia, the need to meet these demands has never been more topical.
BARRIERS TO PERFORMING REGIONAL ANAESTHESIA

Regional anaesthesia is a skill that requires both time and technical expertise7. Despite evidence demonstrating
benefit, barriers to performing regional anaesthesia include a busy operating theatre environment, theatre time
pressures, and each individual anaesthetist’s current scope of practice. Time pressure relates to failure rates of
regional anaesthesia due to less dedicated time for patient positioning and anatomical landmark identification8,
which can result in inconsistent delivery of care and less buy in from the theatre team, surgeons, recovery,
nursing staff, and patients. Surgeons may even decline regional anaesthesia, preferring to locally infiltrate
themselves. This experience can be further heightened in clinical settings where the expectation to teach and
supervise anaesthetic trainees and junior doctors can result in longer block performance, extended “non-
operative” time in the operating theatre, higher block failure rates and varying levels of expert supervision9-11.
OPERATING THEATRE EFFICIENCY

Optimising cost effectiveness of health care through efficient service delivery while maintaining safe patient
care is a significant challenge12. In the surgical setting, maximising operating theatre efficiency requires
expanding the use of operating time and reducing periods of non-operative time11. Factors that can enhance
this efficiency include streamlining processes, coordinating patient flow, timely patient preparation, capacity in
recovery and on the ward, and continuous process improvement13,14.
Strategies aimed at reducing non-operative time in operating theatres improve operating room throughput
and capacity14,15. In regional anaesthesia, an example of a strategy to reduce non-operative time is parallel
processing patients by placing the regional block prior to the patient entering the operating theatre. One of the
challenges in regional anaesthesia is being able to balance the benefits of the patients receiving a block with
the use of operative time required to perform and test the block14,15. There is a need to develop new models of
care that enhance performance in this area.
THE BLOCK ROOM COMMON BARRIERS TO BLOCK ROOM IMPLEMENTATION

A “block room” is an environment where regional anaesthesia is performed in a parallel streaming process There are many potential barriers to implementing a block room in different institutions. Probably foremost
before the operating room has turned over from the previous case. It is best considered as more of a system is a lack of culture surrounding regional anaesthesia. Previous frustrations from time delays to complete a
than a specific physical space, as it has taken many forms over the years from using space in an anaesthetic block, block failures, and poor education about regional anaesthesia leading to confusion by home teams and
induction room or recovery, to a separate area designated for regional anaesthesia. patients can result in a lack of belief in regional anaesthesia, which can make establishing a program incredibly
challenging.
Discussions surrounding block rooms have been present in the literature for decades, pioneered in North
America, with more recent uptake in the United Kingdom in the past 5-10 years7,24. There are also a few Adding another team to a patient journey has the potential to add errors or impede patient continuity and this
examples of block rooms in Australia and New Zealand which have been established more recently26. In many can also lead to patient confusion about who is ultimately responsible for their care. When there is more than
institutions with established block rooms, there is a dedicated space for regional anaesthesia performance. In one patient in a block room at a time there is the potential for wrong sided or sited block, which requires steps
many institutions newer to the concept of block rooms, it is a mobile unit of personnel and equipment who move to ensure this does not happen.
between different locations to perform the block of the next scheduled patient while the principle anaesthetist
Reliably staffing a block room can also be challenging. Setting up a functional service requires enough
for each theatre remains in the operating theatre with their current patient rather than a set location.
consultants comfortable with regional anaesthesia being allocated sufficient time to provide a dedicated
regional anaesthesia service. Having competent people who are willing to work in the block room is essential to
ADVANTAGES OF A BLOCK ROOM ensure that blocks are successfully completed in a limited time frame. Staffing appropriately to monitor patients
The main advantage of block rooms described in the literature is an increase in theatre efficiency through following block placement is also important to consider. While patients require less intensive post-operative
reduction of non-operative time for each case. The time saving benefits have been demonstrated in parallel care in recovery, they do require observation following their block until care is transferred for their procedure.
processing models for brachial plexus blocks16,17, femoral nerve blocks18,19, and spinals19. Recently evidence Presenting a business case to obtain funding for dedicated staff members can be extremely difficult, particularly
from a new block room showed a decrease in total operating room time as well as improved failure rates from in a health climate aimed at reducing costs. Therefore, the support of hospital and departmental administration
16% to 5.6% with thoracic epidural insertions8. By completing the intravenous line, block, allowing time for is essential for funding and designating physical space to allow a functioning block room.
the block to be tested, and in some cases assisting to transfer the patient to theatre with monitoring already
in situ, the time spent on anaesthesia set up and induction in the operating theatre is reduced. In some cases CONSIDERATIONS IN ESTABLISHING A BLOCK ROOM
of regional anaesthesia, particularly in upper limb surgery, patients may not require a general anaesthetic for
Implementation of a new regional anaesthesia service must be seen to improve the value of perioperative care
surgery. This can reduce surgical time, anaesthesia time in theatre, and time spent in recovery, all of which can
by demonstrating quality improvement through cost reduction20. In the Australian healthcare system the benefit
also improve overall theatre efficiency21.
would most likely be seen in the public sector, particularly institutions performing large volumes of orthopaedic,
As a result of improved operating theatre efficiency, there is a potential to increase the caseload for a list22. plastic, and vascular surgery. A recent systematic review evaluating the impact of parallel processing on
While there is some suggestion that the saved time is not enough to add an additional case to many lists23, resources utilisation has concluded that while there is little evidence on cost benefits, resource utilisation
hospitals in Europe and Canada have both shown a significant increase in productivity, resulting in an actual appears to be improved in parallel processing settings with a signal to improved clinical and patient outcomes35.
increase in case number per day, depending on the type of cases listed8,16,22,24,25. The study states that these benefits appear to only be demonstrated in large university centres so may not be
widely applicable, or may not have been widely researched, as there are fewer examples of block rooms in non-
Other advantages of a block room set up include improved rate of block success, as blocks are being
tertiary centres.
performed in an environment with time to formally test them and rescue them if they are not working. Successful
blocks translate into improved recovery profiles measured by reduced pain scores, lower opioid use, When considering whether a block room would be of benefit in an institution, it’s important to consider the
reduced post-operative nausea and vomiting, increased patient satisfaction and a reduced duration of time in following factors:
recovery26-29.
• Case mix: A hospital system that operates on orthopaedic, plastic, and/or vascular surgery is more
The American Society of Regional Anesthesia (ASRA) explicitly comments using class 1 evidence that appropriate than predominantly neurosurgery hospital.
interscalene blocks should not be performed in anaesthetised or heavily sedated patients due of the
• Case volume: Parallel processes such as block rooms are more justifiable where the turnover of cases is
documented risk of spinal cord injury from case reports30. Additionally, ASRA states that peripheral nerve blocks
high. In these environments, reducing non-operative time could lead to a higher case load7,14-16,22. Whereas
should not be routinely performed under general anaesthesia or heavy sedation because this removes the
it is difficult to justify a parallel stream in an environment performing mostly long complex plastics flap
ability of a patient to communicate symptoms of peripheral nerve injury30. The ANZCA professional document
procedures, which may still while benefit from a block.
regarding major regional anaesthesia highlights the need for rigorous systems with formalised procedures
and protocols to prevent a wrong-sited block and to allow appropriate patient monitoring of conscious state, • Supportive stakeholders: It is crucial to involve stakeholders early when planning a large change project
respiratory rate, and blood pressure during and after the initiation of a block31. Regional anaesthesia in a block such as a block room and keep them involved with regular reporting of cases completed and data collected.
room is performed in awake or lightly sedated patients in keeping with current best practice guidelines which Stakeholders to consider include administration, where business cases need to be applied, as well as staff
promotes a culture of safety 30,31. on the floor communicating with the block room case by case including surgeons, anaesthesia colleagues,
nursing staff, pain service, and patient support staff. This aligns with ANZCA Professional Document PS53
With less time pressures, a block room can facilitate regional teaching for trainees and consultants interested
Statement on the Handover Responsibilities of the Anaesthetist, especially when the operating theatre
in up-skilling. There is more time for sonoanatomy scanning, discussions about block options, and skill
anaesthetist is not the anaesthetist who administered the block36. It is important to note that the handover
development. Good data sets from block rooms also provide opportunity for increased research productivity
should include an appropriately monitored and escorted patient to the operating theatre from the block
and quality improvement studies7,16,23,32.
room with clear documentation for the receiving anaesthetist36. Regular meetings with these stakeholders
There are other “non-measurable” cost reductions that may also be applicable to the use of block room, individually and as a group will maintain awareness and buy-in.
although have not been formally studied such as length of hospital stay, shorter recovery from surgery, and
• Workable logistics and infrastructure: Process mapping the patient journey and potential options for how
avoidance of ICU admission. There is growing evidence that regional anaesthesia can improve surgical
and where a block room would be set up in the perioperative environment prior to preparing a business
outcome, such as improved fistulae patency rates33. These figures have been used in some hospital business
case21. A well-prepared plan detailing this structure costs, cost savings, and a timetable is important for
proposals analysing the cost benefits of a regional anaesthesia block room34.
gaining acceptance from administration34.
• Recommendations and suggestions from ANZCA Professional Documents: Guidance from the ANZCA
Professional Documents can help support the need for staffing and equipment in a block room as a
minimum standard for patient safety. In particular, ANZCA PS03 Guidelines for the Management of Major
Regional Analgesia31, PS09 Guidelines on Sedation and/or Analgesia for Diagnostic and Interventional 15. O’Donnell BD, Walsh K, Murphy A, et al. An evaluation of operating room throughput in a stand-alone soft-tissue trauma
Medical, Dental or Surgical Procedures37, PS37 Guidelines for Health Practitioners Administering Local operating theatre. Rom J Anaesth Intensive Care. 2017;24(1):13-20.
Anaesthesia38 and PS55 Recommendations on Minimum Facilities for Safe Administration of Anaesthesia 16. Armstrong KP, Cherry RA. Brachial plexus anesthesia compared to general anesthesia when a block room is available.
Can J Anaesth. 2004;51(1):41-4.
in Operating Suites and Other Anaesthetising Locations39 outline requirements and expectations for staffing,
17. Torkki PM, Marjamaa RA, Torkki MI, Kallio PE, Kirvela OA. Use of anesthesia induction rooms can increase the number of
facilities, and workstation equipment safety. They specifically note the provisions needed for monitoring and
urgent orthopedic completed within 7 hours. Anesthesiology. 2005;103(2):401-5.
resuscitation, with an emphasis on preventing and managing potential local anaesthetic toxicity. These robust
18. Williams BA, Kentor ML, Williams JP, et al. Process analysis in outpatient knee surgery: effects of regional and general
and evidence-based support documents are important reminders for maintaining patient and staff safety and anesthesia on anesthesia-controlled time. Anesthesiology. 2000;93(2):529-38.
can also be of benefit when developing a business case for the project development and maintenance. 19. Smith MP, Sandberg WS, Foss J, et al. High-throughput operating room system for joint arthroplasties durably
outperforms routine processes. Anesthesiology. 2008;109(1):25-35.
• Appropriate timeline and support: Change theory and also documented block room implementations
20. Crnic A, McCartney CM, McConnell M, Wong PB. A procedure room for regional and neuraxial anesthesia: effects on OR
demonstrate that working within longer-term goals and long-term investment from staff is necessary to efficiency and patient satisfaction. Anesthesiology annual meeting. Boston, MA: American Society of Anaesthesiologists;
achieve sustained innovation24. Communication with people who have worked in block rooms and speaking Oct 2017.
with specialist regional interest groups such as the ANZCA/ASA Regional SIG can assist in refining plans 21. Turbitt L, Johnson D. Setting up a regional anesthesia pathway to improve value of care in upper limb surgery: a European
and predicting and troubleshooting potential issues early. perspective [Internet]. American Society of Regional Anaesthesia and Pain Medicine. Available from: https://www.asra.
com/asra-news/article/145/setting-up-a-regional-anesthesia-pathway; Nov 2018.
• Collect data: Prior to commencing an institutional change, it is important to gather baseline data about 22. Head SJ, Seib R, Oosbrn JA, Schwarz SK. A swing room model based on regional anesthesia reduces turnover time and
where blocks are currently performed, who does them, how long is it taking to complete, and how well are increases case throughput. Can J Anesth. Aug 2011;58(8):725-32.
they working. These questions help to clarify current practice as well as need. Continued data collection 23. Dexter F, Macario A. Decrease in case duration required to complete an additional case during regularly scheduled hours
and analysis will help demonstrate the benefits of the block room and subsequently contribute to a business in an operating room suite: a computer simulation study. Anesth Analg. Jan 1999;88(1):72-6.
case for the service to remain. Some used and suggested metrics are total number of blocks, efficacy, 24. Chazapis M, Kaur N, Kamming D. Improving the peri-operative care of patients by instituting a 'Block Room' for regional
compliance with consent and safety procedures, time spend for anaesthesia, start times, number of cases in anaesthesia. BMJ Open Quality. 2014;3:u204061.
operating theatre, education based on block numbers by trainees and patient satisfaction7. 25. Sokolovic E, Hiro P, Wyss P, et al. Impact of the reduction of anaesthesia turnover time on operating room efficiency. Eur J
Anaesthesiol. 2002;19(8):560-3.
26. Chin A, Heywood L, Iu P, Pelecanos AM, Barrinton MJ. The effectiveness of regional anaesthesia before and after
CONCLUSION the introduction of a dedicated regional anaesthesia service incorporating a block room. Anaesth Intensive Care Nov.
2017;45(6):714-9.
In the coming years, healthcare will undoubtedly continue to be viewed through a results-driven and economic
27. Hadzic A, Karaca PE, Hobeika P, et al. Peripheral nerve blocks result in superior recovery profile compared with general
lens. Thus the ability to increase productivity in an already maximised system could be seen as a breath of fresh anesthesia in outpatient knee arthroscopy. Anesth Analg. 2005;100(4):976-81.
air. A parallel processing concept for regional anaesthesia could work well in certain institutions in Australia 28. Hadzic A, Williams BA, Karaca PE, et al. For outpatient rotator cuff surgery, nerve block anesthesia provides superior
and New Zealand, similar to the already well-established pathways in North America and the United Kingdom. same-day recovery over general anesthesia. Anesthesiology. 2005;102(5):1001-7.
The above strategies can assist planning and establishing a block room, and will assist in providing clinical, 29. Richman JM, Stearns JD, Rowlingson AJ, Wu CL, McFarland EG. The introduction of a regional anesthesia rotation: effect
teaching, research, and quality improvement opportunities in regional anaesthesia. on resident education and operating room efficiency. J Clin Anesth. 2006;18(3):240-1.
30. Neal JM, Bernards CM, Hadzic A, et al. ASRA practice advisory on neurologic complications in regional anesthesia and
pain medicine. Reg Anesth Pain Med. 2008;33(5):404-15.
REFERENCES 31. Australian and New Zealand College of Anaesthetists. PS03 Guidelines for the management of major regional
anaesthesia [Internet]. ANZCA;2014. Available from: http://www.anzca.edu.au/documents/ps03-2014-guidelines-for-the-
1. Hutton M, Brull R, Macfarlane A.J.R. Regional anaesthesia and outcomes. BJA Education. Nov 2017;18(2):52-6.
management-of-major-r.pdf. Accessed 16 July 2019.
2. Liu SS, Strodtbeck WM, Richman JM, Wu CL. A comparison of regional versus general anesthesia for ambulatory
32. Brown B, Khemani E, Lin C, et al. Improving patient flow in a regional anaesthesia block room. BMJ Open Qual.
anesthesia: a meta-analysis of randomized controlled trials. Anesth Analg. Dec 2005;101(6):1634-42.
2019;8(2):e000346.
3. McIsaac DI, Cole ET, McCartney CJL. Impact of including regional anaesthesia in enhanced recovery protocols: a scoping
33. Aitken E, Jackson A, Kearns R, Steven M, Kinsella J, Clancy M, Macfarlane A. Effect of regional versus local anaesthesia
review. Br J Anaesth. Dec 2015;115(2):ii46-ii56.
on outcome after arteriovenous fistula creation: a randomised controlled trial. Lancet. 2016 Sep;388(10049):1067-74.
4. Bugada D, Bellini V, Fanelli A, et al. Future perspectives of ERAS: a narrative review on the new applications of an
34. Berkun R. From theory to practice: Starting Regional Anesthesia program in your hospital. June 2006. Available from:
established approach. Surg Res Pract. 2016;3561249.
https://ambitpump.com/wp-content/uploads/2018/06/66_Starting_Regional_Anesthesia_Program_in_your_Hospital_
5. Andreae MH, Andreae DA. Regional anaesthesia to prevent chronic pain after surgery: a Cochrane systematic review and Berkun_2006.pdf. Accessed June 2019.
meta-analysis. Br J Anaesth. 2013;111(5):711-20.
35. El-Boghdadly E, Onwochei DN, Pawa A. The impact of parallel processing of regional anaesthesia on resource utilization
6. Weinstein EJ, Levene JL, Cohen MS, Andreae DA, Chao JY, Johnson M, Hall CB, Andreae MH. Local anaesthetics and regional and patient outcomes: a systematic review. ePoster. ASRA World Congress on Regional Anesthesia and Pain Medicine,
anaesthesia versus conventional analgesia for preventing persistent postoperative pain in adults and children. Cochrane April 2018. New York: American Society of Regional Anesthesia and Pain Medicine (ASRA); April 2018.
Database of Syst Rev. 2018;20(6):CD007105.
36. Australian and New Zealand College of Anaesthetists. PS53 Statement on the handover responsibilities of the
7. Patel S, et al. Innovating for improvement: The Block Room [Internet]. University College London; Hospital NHS Trust. Aug anaesthetist. [Internet] ANZCA; 2013. Available from: http://www.anzca.edu.au/documents/ps53-2013-statement-on-the-
2016. Available from: https://www.health.org.uk/sites/default/files/UCLH_Block%20Room.pdf handover-responsibiliti.pdf. Accessed 16 July 2019.
8. Gleicher Y, Singer O, Choi S, McHardy P. Thoracic epidural placement in a preoperative block area improves operating 37. Australian and New Zealand College of Anaesthetists. PS09 Guidelines on sedation and/or analgesia for diagnostic
room efficiency and decreases epidural failure rate. Reg Anesth Pain Med. 2017;42(5):649-51. interventional medical, dental or surgical procedures. [Internet] ANZCA; 2014. Available from: http://www.anzca.edu.au/
9. Udani AD, Kim TE, Howard SK, Mariano ER. Simulation in teaching regional anesthesia: current perspectives. Local Reg getattachment/resources/professional-documents/ps09-2014-guidelines-on-sedation-and-or-analgesia-for-diagnostic-
Anesth. 2015;11(8):33-43. and-interventional-medical-dental-or-surgical-procedures.pdf. Accessed 16 July 2019.
10. Niazi AU, Peng PW, Ho M, Tiwari A, Chan VW. The future of regional anesthesia education: lessons learned from the 38. Australian and New Zealand College of Anaesthetists. PS37 Guidelines for health practitioners administering local
surgical specialty. Can J Anaesth. 2016;63(8):966-72. anaesthesia. [Internet] ANZCA; 2013. Available from: http://www.anzca.edu.au/documents/ps37-2013-guidelines-for-
11. Agency for Clinical Innovation Surgical Services Taskforce. Operating theatre efficiency guidelines: a guide to the health-practitioners-admi.pdf. Accessed 16 July 2019.
efficient management of operating theatres in New South Wales hospitals [Internet]. Agency for Clinical Innovation; 2014. 39. Australian and New Zealand College of Anaesthetists. PS55 Recommendations on minimum facilities for safe
Available from: https://www.aci.health.nsw.gov.au/__data/assets/pdf_file/0004/252436/operating-theatre-efficiency- administration of anaesthesia in operating suites and other anaesthetising locations. [Internet] ANZCA; 2012. Available
guidelines.pdf from: http://www.anzca.edu.au/documents/ps55-2012-recommendations-on-minimum-facilities-fo.pdf. Accessed 16 July
12. Fletcher D, Edwards D, Tolchard S, Baker R, Berstock J. Improving theatre turnaround time. BMJ Qual Improv Rep. 2019.
2017;6(1).
13. Marjamaa R, Vakkuri A, Kirvelä O. Operating room management: why, how and by whom? Acta Anaesthesiol
Scand. 2008;52(5):596-600.
14. Mariano E, Chu L, Peinado C, Mazzei W. Anesthesia controlled time and turnover time for ambulatory upper extremity
surgery performed with regional versus general anesthesia. J Clin Anesth. 2009;21(4):253-7.
Ultrasound-guided erector spinae plane block 157
Ultrasound-guided erector spinae plane block

Alex Grosso MBBS FANZCA FCICM
Dr Grosso is a Staff Specialist Anaesthetist and Intensivist working at the Sunshine Coast University Hospital,
Queensland. He has special interests in trauma, ENT and vascular surgery. He is the clinical lead for QFIRST –
a multidisciplinary approach to the planning and care of high-risk surgery patients.
Gilberto Arenas MBBS FANZCA

Dr Arenas works as a Staff Specialist Anaesthetist at the Royal Adelaide Hospital and in private practice in
South Australia. He has a special interest in ultrasound-guided and regional anaesthesia. An enthusiastic
triathlete, he has already completed a few 70.3 Ironman events and aims to complete a full Ironman in the near
future. He loves reading, movies and spending good quality time with family.
Kate Drummond MBBS FANZCA MMed

Dr Drummond is a Staff Specialist Anaesthetist at the Royal Adelaide Hospital and also works in private
practice. She has special interests in cardiac and thoracic anaesthesia, transoesophageal echocardiography
and has a Master’s degree in perioperative medicine.
Sam Whitehouse MBBS FANZCA

Dr Whitehouse is a new fellow, having completed his training in August 2019. He is employed as a Staff
Specialist Anaesthetist at the Queen Elizabeth Hospital and also works in private practice.
INTRODUCTION
The erector spinae plane block (ESPB) is a novel ultrasound-guided regional technique first described by
Forero et al1 in mid-2016. It rarely has contra indications, the most common being patient refusal. ESPB can be
safely performed in patients on anticoagulation and/or dual anti platelet therapy. Technically, it is an easy block
to perform and is extremely versatile clinically. It is also easy to teach, with the learning curve usually fast.
ESPB clearly has its place in the arsenal of a well-rounded anaesthetist who may use it as part of a multimodal
approach for treatment of acute and chronic pain. It is also an important component of the opioid sparing
strategy. Ultimately, as it provides good levels of patient satisfaction in pain relief, the need for opioid use
decreases.
At the Royal Adelaide Hospital, South Australia, ESPB has fast become the standard of care for patients with
fractured ribs. These patients usually have a myriad of comorbidities. In the vast majority of cases where ESPB
is provided, patients use less opioids, are capable of doing earlier chest physiotherapy and have an overall good
recovery. Nowadays, a single shot of femoral nerve block for pain relief in patients with neck of femur fractures
is common practice in emergency departments all over Australia. Given the benefits of ESPB with little risk, we
foresee a single shot, or catheter-based, ESPB could become common practice. This is especially foreseeable
for patients with rib fractures at the time of hospital admission as ESPB offers prompt pain relief to allow for
focused early chest physiotherapy, a vital component for good recovery. The goal of using ESPB is to break the
vicious pathophysiological cycle of atelectasis, accumulation of secretions, and pneumonia that usually follows
fractured ribs.
ESPB can also be used in many in different types of surgery. It can provide somatic and visceral analgesia and,
in some cases, even anaesthesia. It has been used to cover thoraco-abdominal, spinal, and upper and lower
limb surgeries.
The literature shows clear evidence that regional anaesthesia is very beneficial to our patients. We challenge
you to read this article and ask: should we be doing more regional anaesthesia for our patients?
INSERTION TECHNIQUE
Forero’s original description of the ESPB insertion technique1 remains the standard practiced in many subsequent
studies, with a variation being the target level of the transverse process. An ultrasound probe is placed
longitudinally in the parasagittal plane, 3 cm from the midline on the posterior chest. The lateral aspect of the
transverse process is identified by its flat appearance as compared to the rib, which has a rounder appearance
and often appears more superficial as the probe moves laterally. The costotransverse ligaments can be seen deep
to, and between, each of the transverse processes and superficial to the pleura (see Figure 1). The target level can
be determined by scanning up and/or down from a known level and marked on the skin for reference. The chosen
target should represent roughly the midpoint of the dermatomal levels requiring blockade.
158 Australasian Anaesthesia 2019 – Regional Ultrasound-guided erector spinae plane block 159
Figure 1. Sonoanatomy for ESPB. shoulder disarticulation surgery3. In these instances, the catheter was placed either by direct insertion at the
cervical level or was threaded in a cephalad direction from a thoracic insertion. A case report describing long-
acting analgesia from L4 ESPB in a patient undergoing total hip arthroplasty4 suggests this technique as an
alternative to quadratus lumborum or psoas compartment blocks.
Ultrasound improves both efficacy and safety of regional anaesthesia5 and is typically used for ESPB placement.
Nevertheless, the ESPB can be performed as a landmark technique, especially when the block is clinically
indicated and ultrasound is unavailable. Such was done in the case of an incarcerated inguinal hernia repair
performed on a patient with critical aortic stenosis who received a block and sedation only6. In fact, the endpoint
for a landmark ESPB is merely the first waypoint in the landmark technique for paravertebral block. The needle
is inserted perpendicular to the skin, 3 cm lateral to the spinous process and the transverse process is carefully
probed for (ideally with fingers acting as a depth guard) until contact with the transverse process is made.
MECHANISM OF ACTION
The exact mechanism of action of the erector spinae plane block (ESPB) remains the subject of some debate.
In his landmark paper Forero1 postulated that the extent and distribution of the observed block implicates
involvement of both the ventral and dorsal rami of the thoracic spinal nerves. In accepting this proposed
mechanism, Costache7 defined the ESPB as a “paravertebral by proxy”, eliciting the effect of a paravertebral
block (PVB) without the needle tip entering the paravertebral space and instead relying on a proximal spread of
Classically, the needle insertion is described as a cephalad-caudad approach, although a caudad-cephalad injectate. This terminology differentiates the ESPB from other chest wall myofascial blocks, such as the serratus
approach is just as appropriate. Indeed, if a catheter is to be placed it may be sensible to use a caudad- plane block which acts only on the lateral cutaneous branch of the ventral ramus of the spinal nerve.
cephalad approach to allow the catheter tip to sit superior to the target transverse process as injectate will Forero went on to study the effects of the block on a cadaver. To simulate a true ESPB, he injected 20 ml of
typically spread more caudally due to gravity. An in-plane technique is typically used to allow monitoring of methylene blue deep to the erector spinous muscle and superficial to the transverse process. Subsequent
needle trajectory, and is certainly ideal if placing a catheter so that the catheter will thread in a cephalo-caudad dissection of the cadaver showed heavy staining of the erector spinae and intercostal muscles with dye
fashion instead of in a medial or lateral direction. After contact with the transverse process injection of a small penetration deep to the intercostal muscles adjacent to the dorsal and ventral rami. However, direct staining
volume of injectate will visibly lift the erector spinae muscle off the transverse process creating an anechoic of the rami was not seen. A number of other cadaveric studies have been published. In one study (Yang et
fluid-filled space (see Figure 2). This confirms insertion within the appropriate myofascial plane. At this point al8), 10 cadavers were each subjected to a unilateral ESPB and a contralateral retrolaminar block (RLB) and
the residual injectate can be delivered or a catheter can be inserted through-needle and left in the space for the distribution of injectate was compared by dissection. In another study (Ivanusic et al9) 20 ESPBs were
continuous or intermittent use. performed on 10 cadavers and the spread mapped by dissection.
Figure 2. Local anaesthetic bolus below fascia of erector spinae muscle. Common to all dissections was significant staining deep to the erector spinae muscles with spread in all
directions. Injectate often spread lateral to the angle of the rib at multiple levels. Cephalo-caudal spread was
extensive and frequently involved the T1 vertebral level and above, with the T12 vertebral level showing staining
in a smaller number of cases. Medial spread in the levels adjacent T5 – consistently the injection target for
block placement – often included the costotransverse foramen. In their study, Ivanusic et al showed staining
of the dorsal ramus of the spinal nerves to be inconsistent and there was no observed staining of the ventral
rami. Yang et al showed staining within the paravertebral space and that spinal nerve involvement was mostly
in the T4–T6 levels but as broadly as T3–T7. A further cadaveric study by Adhikary et al10 comparing unilateral
ESPB to contralateral RLB in three consecutive cadavers with injectate containing both methylene blue and
radiopaque contrast, showed epidural and neural foraminal spread on MRI despite no report of dye in those
sites on dissection. It is impossible to know whether this epidural spread arose from the ESPB or the RLB.
The inconsistencies raised by these studies regarding the spread of the injectate serve to undermine
confidence in the proposed mechanism of action. However, these findings may be partially explained by the
limitations of the cadaveric model including the absence of both intrathoracic pressure changes that may assist
spread9 and active cellular processes that may assist with transport of local anaesthetic across tissue planes.
Added to this is the gravitational effects of prone positioning compared to sitting. Furthermore, post-mortem
blood pooling and clotting in the adjacent vasculature may cause a “cork-in-bottle” effect that obstructs the
flow of injectate into the paravertebral space11.
Radiologic investigation in living patients is likely to better quantify the spread associated with ESPB. A group
including Forero conducted an MRI on a patient following ESPB at T10 level with 30 ml injectate containing
In most patients, a high frequency linear probe is suitable to detect the necessary sonoanatomy and guide local anaesthetic and gadolinium12. A subsequent MRI study showed contrast deep to the erector spinae as
needle insertion. However, in the experience of the authors a curvilinear probe using the penetration setting may well as within both the paravertebral and epidural spaces. Epidural spread was a notable finding as it was
be necessary in patients with higher BMI and deeper target structures. Although this will aid in the detection circumferential across multiple adjacent levels (T5–T12) and correlated clinically with reduced sharp and
of transverse process and other associated features, the definition of the needle is lost with distance. Here, the cold sensation T6–T12 on the left. No sensory block was discernible on the right, an outcome likely due to
proceduralist may need to rely on other techniques to guide the needle tip to the target, such as the needle diminished local anaesthetic dose at the site; however, in a separate case study13 a unilateral ESPB was found
path within the superficial tissues and intermittent hydrodissection. to provide bilateral sensory block on dermatome mapping performed by an assessor blinded to technique
While ESPB was originally developed to treat pain in the thoracic levels, effective proximal neural blockade (unilateral vs bilateral injections). This suggested injectate had spread through the epidural space to affect the
has been reported with the use of a similar technique in both cervical and lumbar levels. Cervical ESPB has contralateral dorsal rami. Epidural spread facilitating the blockade of the thoracolumbar splanchnic nerves is the
been described as an alternative to brachial plexus block for procedures including forequarter amputation2 and likely explanation for the visceral anaesthesia observed in case studies12.
LITERATURE REVIEW Region/Indication ESPB Level Notes

Indications Lower Limb L2-4 For example, Hip55, Treating CRPS56, Hip joint and proximal
Despite the first description of this block by Forero et al1 being indicated for the management of chronic femur surgery4,57
thoracic neuropathic pain, the ease of performing this block and its favourable risk profile has resulted in a Attachments of iliocostalis and longissimus to these TPs
proliferation in the application of ESPB, with 85 publications by September 201814 including two randomised can make it difficult to obtain the characteristic pattern of
controlled trials. linear fluid spread – consider targeting a low thoracic TP and
Due to the variable local anaesthetic penetration to target nerve sites, it should be emphasised that the block thread a catheter caudally58.
should not be relied upon as the sole anaesthetic or analgesic technique but, rather, as part of a multimodal Priapism from sympathetic blockade may occur59
anaesthetic and/or analgesic regimen. This is outlined by a pooled review of the ESPB in the literature by Tsui
SAP=serratus anterior plane, TEA=thoracic epidural, TPB=thoracic paravertebral block, VATS=video
et al in 201914, reporting on 242 published cases with results outlined in Table 1.
assisted thoracoscopic surgery, TP=transverse process
Table 1. Summary of published ESPB cases.
Category Cases n (%) COMPLICATIONS

Adult 219 (90.5%) The ESPB appears to have a large margin of safety with the theoretical advantage of a relatively superficial
target for needle insertion and adequate sonographic windows to facilitate real-time needle placement. This has
Paediatric 23 (9.5%) been reflected by the paucity of adverse events reported in literature; however, even in the absence of large-
Part of a multimodal technique 220 (91%) scale trials, caution should be exercised given the current evidence base is prone to reporting bias.
Side effects reported 0 (0%) Local Anaesthetic Systemic Toxicity (LAST)
Adverse events 1 (0.4%) The most significant risk to note would be that of potential local anaesthetic systemic toxicity (LAST). In the
largest published single-centre series to date60, LAST-related findings were noted in 3 out of 182 patients
Clinical applications of ESPB described in the literature are predominantly case reports. These case reports (1.6%). Notably, none of these patients suffered from cardiac arrest or seizures. Following ESPB, it is proposed
include both acute and chronic pain management in a variety of clinical scenarios. These reports are summarised that local anaesthetic will dissipate into the systemic circulation due to the highly vascular muscle tissue along
in Table 2, providing supplemental analgesia for the thorax, abdomen, spine, upper and lower limbs. the interfascial plane combined with the spread of local anaesthetic into the paravertebral and intercostal tissue
planes. The time from interfascial block to peak local anaesthetic plasma concentration is reported to be 30-45
minutes61, therefore it would be recommended that patients are monitored for at least 30 minutes following an
Table 2. Summary of published ESP block indications.
ESPB in an environment that has resources in place to manage LAST.
Region/Indication ESPB Level Notes In the same case series, inadequate analgesia (defined as a requirement for rescue analgesia or a numerical
rating score >6 in the first hour after a block) was reported in 12 (6.5%) patients. These patients had varying
Chest Covers posterolateral incisions/injuries better than SAP block:
indications and no predictors of block failure could be determined in this case series.
Breast15-20 T4-5 • RCT21 reports superior analgesia to systemic opioid alone
Sympathetic blockade
Rib fractures T4-5 • Significant improvement to respiratory function and
analgesia22Rescue for TEA/TPB23-24, Alternative to TEA/ A single case report describes priapism occurring following unilateral lumbar ESPB with the proposed
Thoracotomy/VATS T5-6 mechanism being inadvertent bilateral sympathetic blockade. Anatomical studies would suggest that
TPB25-28
Sternotomy T5-6 penetration in the epidural space is variable and that clinically significant sympathectomy with subsequent
• Given in fully heparinised patients29-31, Improved hypotension would be a rare adverse effect – there have been no reports of this occurring to date.
outcomes32-33
Pneumothorax
Abdomen34-36 Use described in both laparoscopic and open procedures:
There has been a single case report of pneumothorax62 following ESP block at the T4 level in an anaesthetised
Upper-Mid surgery T6-9 • Ileostomy closure37, Hepatobiliary38, Cholecystectomy39,
patient under positive pressure ventilation. There is no description of the patient’s underlying lung condition and
Lower surgery T9-12 Open epigastric hernia40, Renal41-43, Bariatrics44,
whether the reported pneumothorax, which was diagnosed by ultrasound, may have been due to another cause.
Caesarean-section45
Without knowing the type or length of needle, or whether real-time ultrasound was used during the procedure,
• Inguinal hernia repair6, 46, Open radical prostatectomy47 it is difficult to determine possible factors that may mitigate what appears (at present) to be a rare complication
Spine Bilateral catheters can be placed well outside surgical field of this procedure.
Cervical48 Does not appear to impair intraoperative monitoring of spinal
Thoracic49 cord function. BENEFITS
Lumbosacral50 T10-11 Can be effective even in the presence of existing surgical The ESPB has been demonstrated in several small (n=30–106) randomised controlled trials (RCTs) to reduce
hardware. opioid consumption as outlined in Table 3. Larger scale studies are required to evaluate the best indications for
Upper Limb[51] Analgesia may be incomplete this technique and further delineate its potentially favourable risk profile.
Shoulder T2-3 ESP block at T2-3 to treat painful conditions of shoulder girdle
Proximal upper limb For example, Herpes zoster52, Burns53, Shoulder surgery3,54,
Amputation2
Table 3: Reported RCTs of the ESPB. 13. Tulgar S, Selvi O, Ahiskalioglu A, Ozer Z. Can unilateral erector spinae plane block result in bilateral sensory blockade?
Can J Anaesth. 2019;66(8):1001-2.
Author Population N Groups Summary 14. Tsui BC, et al. The erector spinae plane (ESP) block: A pooled review of 242 cases. J Clin Anes. 2019; 53:29-34.
15. Kimachi P, et al. The erector spinae plane block provides complete surgical anesthesia in breast surgery: a case report. A
Tulgar et al63
Laparoscopic 30 ESPB versus Bilateral ultrasound guided ESPB leads to A Pract. 2018;11:186-8.
Cholecystectomy control effective analgesia and a decrease in opioid 16. Santonastaso DP, et al. Ultrasound guided erector spinae plane block for breast reconstruction surgery with latissimus
requirement in first 12 hours. dorsi muscle flap. Minerva Anestesiol. 2019;85(4):443-4.
17. Kumar A, et al. The use of liposomal bupivacaine in erector spinae plane block to minimize opioid consumption for breast
Gürkan et al21 Breast surgery 50 ESPB versus ESPB exhibits a significant analgesic surgery: a case report. A A Pract. 2018;10:239-41.
control effect in patients undergoing breast cancer 18. Ohgoshi Y, Ikeda T, Kurahashi K. Continuous erector spinae plane block provides effective perioperative analgesia for
surgery. breast reconstruction using tissue expanders: a report of two cases. J Clin Anesth. 2017;44:1-2.
Oksuz et al64 Breast surgery 43 ESPB versus Bilateral ESPB in breast reduction surgery 19. Bonvicini D, Giacomazzi A, Pizzirani E. Use of the ultrasound guided erector spinae plane block in breast surgery. Minerva
Tumescent was more effective than tumescent Anestesiol. 2017;83:1111-2.
anaesthesia anaesthesia concerning opioid consumption 20. Bonvicini D, et al. Bilateral ultrasound-guided erector spinae plane blocks in breast cancer and reconstruction surgery. J
Clin Anesth. 2017;44:3-4.
and pain scores.
21. Gürkan Y, et al. Ultrasound guided erector spinae plane block reduces postoperative opioid consumption following breast
Altiparmak et al65 Breast surgery 38 ESPB versus Modified PECS block reduced surgery: a randomized controlled study. J Clin Anesth. 2018;50:65-8.
PECS postoperative tramadol consumption and 22. Adhikary SD, et al. The effect of erector spinae plane (ESP) block on respiratory and analgesic outcomes in multiple rib
pain scores more effectively than ESPB fractures: a retrospective cohort study. Anaesthesia. 2019;74(5):585-93.
after radical mastectomy. 23. Forero M, et al. Continuous erector spinae plane block for rescue analgesia in thoracotomy after epidural failure: a case
report. A A Case Rep. 2017;8:254-6.
Nagaraja et al66 Cardiac surgery 50 ESPB versus ESPB is a promising alternative to TEA in 24. Raft J, et al. Continuous erector spinae plane block for thoracotomy analgesia after epidural failure. J Clin Anesth.
TEA optimal perioperative pain management in 2018;54:132-3.
cardiac surgery. 25. Ciftci B, Ekinci M, Demiraran Y. Ultrasound guided single-shot preemptive erector spinae plane block for postoperative
pain management. J Cardiothorac Vasc Anesth. 2019;33(4):1175-6.
Krishna et al32 Cardiac surgery 106 ESPB versus ESPB provided significantly better pain 26. Hernandez MA, et al. Erector spinae plane block for surgery of the psoterior thoracic wall in a pediatric patient. Reg Anest
control relief for longer duration as compared to Pain Med. 2018;43:217-9.
intravenous paracetamol and tramadol. 27. Adhikary SD, et al. Erector spinae plane block as an alternative to epidural analgesia for post-operative analgesia following
video-assisted thoracoscopic surgery: a case study and a literature review on the spread of local anaesthetic in the
erector spinae plane. Indian J Anaesth. 2018;62:75-8.
28. Luis-Navarro JC, et al. The erector spinae plane block in 4 cases of video-assisted thoracic surgery. Rev Esp Anestesiol
CONCLUSION Reamin. 2018;65:204-8.
With the ubiquitous availability of ultrasound, technical simplicity, favourable safety profile and versatility, ESPB 29. Adhikary SD, et al. Continuous erector spinae plane block as an effective analgesic option in anticoagulated patients after
left ventricular assist device implantation: a case series. J Cardiothorac Vasc Anesth. 2019;33(4):1063-67.
is a valuable addition to the repertoire of clinicians in both the acute and chronic pain setting. It is best used
30. Tsui BCH, et al. Bilateral automatized intermittent bolus erector spinae plane analgesic blocks for sternotomy in a cardiac
as part of an opioid-sparing, multimodal analgesic regimen to take advantage of its superior safety profile patient who uhnderwent cardiopulmonary bypass: a new era of cardiac regional anesthesia. J Clin Anesth. 2018;48:9-10.
compared to neuraxial techniques. 31. Wong J, et al. Bilateral continuous erector spinae plane blocks for sternotomy in a pediatric cardiac patient. J Clin Anesth.
Being a relatively new technique, ESPB requires further delineation by large well conducted studies comparing 2018;47:82-3.
it to more established analgesic options to better determine its efficacy and role in clinical practice. 32. Krishna SN, et al. Bilateral erector spinae plane block for acute post-surgical pain in adult cardiac surgical patients: a
randomized controlled trial. J Cardiothorac Vasc Anesth. 2019;33:368-75.
33. Macaire P, et al. Ultrasound-guided continuous thoracic erector spinae plane block within an enhanced recovery program
REFERENCES is associated with decreased opioid consumption and improved patient postoperative rehabilitation after open cardiac
surgery-a patient matched, controlled before-and-after study. J Cardiothorac Vasc Anesth. 2019;33(6):1659-67.
1. Forero M, Adhikary SD, Lopez H, Tsui C, Chin KJ. The erector spinae plane block: a novel analgesic technique in thoracic
34. Restrepo-Garces CE, et al. Bilateral continuous erector spinae plane block contributes to effective postoperative
neuropathic pain. Reg Anesth Pain Med. 2016;41(5):621-7.
analgesia after major open abdominal surgery: a case report. A A Case Rep. 2017;9:319-21.
2. Tsui BC, Mohler D, Caruso TJ, Horn JL. Cervical erector spinae plane block catheter using a thoracic approach: an
35. Luis-Navarro, et al. Erector spinae plane block in abdominal surgery: case series. Indian J ANaesth. 2018;62:549-54.
alternative to brachial plexus blockade for forequarter amputation. Can J Anaesth. 2019;66:119-20.
36. Tulgar S, Selvi O, Kapakli MS. Erector spinae plane block for different laparoscopic abdominal surgeries: case series.
3. Hamadnalla H, Elsharkawy H, Shimada T, Maheshwari K, Esa WAS, Tsui BCH. Cervical erector spinae plane block
Case Rep Anesthesiol. 2018;3947281.
catheter for shoulder disarticulation surgery. Can J Anaesth. 2019;66(9):1129-31.
37. Tulgar S, Thomas DT, Deveci U. Erector spinae plane block provides sufficient surgical anesthesia for ileostomy closure in
4. Tulgar S, Senturk O. Ultrasound guided erector spinae plane block at L-4 transverse process level provides effective
a high-risk patient. J Clin Anesth. 2018;48:2-3.
postoperative analgesia for total hip arthroplasty. J Clin Anesth. 2018;44:68.
38. Hacibeyoglu G, et al. USG guided bilateral erector spinae plane block is an effective and safe postoperative analgesia
5. Jeon YH. Easier and safer regional anesthesia and peripheral nerve block under ultrasound guidance. Korean J Pain.
method for living donor liver transplantation. J Clin Anesth. 2018;49:36-7.
2016;29(1):1-2.
39. Tulgar S, et al. Evaluation of ultrasound guided erector spinae plane block for postoperative analgesia in laparoscopic
6. Elkhoundi A, Chouikh C, Baite A, Bensghir M, Bakkali H, Lalaoui SJ. Successful erector spinae plane block without
cholecystecomy: a prospective, randomized controlled clinical trial. J Clin Anesth. 2018;49:101-6.
ultrasound guidance in a severely cardiovascular compromised patient. J Clin Anesth. 2019;53:50.
40. Abu Elyazed MM, et al. Ultrasound-guided erector spinae plane block in patients undergoing open epigastric hernia repair:
7. Costache I, Pawa A, Abdallah FW. Paravertebral by proxy – time to redefine the paravertebral block. Anaesthesia.
a prospective randomized controlled study. Anesth Analg. 2019; 129(1):235-40.
2018;73:1185-8.
41. Munshey F, et al. Continuous erector spinae plane block for an open pyeloplasty in an infant. J Clin Anesth. 2018;47:47-9.
8. Yang HM, Choi YJ, Kwon H-J, O J, Cho TH, Kim SH. Comparison of injectate spread and nerve involvement between
retrolaminar and erector spinae plane blocks in the thoracic region: a cadaveric study. Anaesthesia. 2018;73:1244-50. 42. Kim E, et al. The erector spinae plane block for postoperative analgesia after percutaneous nephrolithotomy. Chin Med J.
2018;131:1877-8.
9. Ivanusic J, Konishi Y, Barrington MJ. A cadaveric study investigating the mechanism of action of erector spinae blockade.
Reg Anesth Pain Med. 2018;43(6):567-71. 43. Temirov T, et al. Erector spinae plane block in management of pain after kidney transplantation. Pain Med 2018;
20(5):1053-4.
10. Adhikary SD, Bernard S, Lopez H, Chin KJ. Erector spinae plane block versus retrolaminar block: a magnetic resonance
imaging and anatomical study. Reg Anesth Pain Med. 2018;43(7):756-62. 44. Chin KJ, Malhas L, Perlas A. The erector spinae plane block provides visceral abdominal analgesia in bariatric surgery: a
report of 3 cases. Reg Anesth Pain Med. 2017;42:372-6.
11. Cornish P. Erector spinae plane block and ‘A Cadaveric Conundrum’. Reg Anesth Pain Med. 2019;44(2):269-70.
45. Santonastaso DP, et al. Ultrasound guided erector spinae plane block for post-operative pain control after caesarean
12. Schwartzmann A, Peng P, Maciel MA, Forero M. Mechanism of the erector spinae block: insights from a magnetic
section. J Clin Anesth. 2019;58:45-6.
resonance imaging study. Can J Anaesth. 2018;65:1165-6.
164 Australasian Anaesthesia 2019 – Regional
46. Hernandez MA, et al. Erector spinae plane block for inguinal hernia repair in preterm infants. Paediatr Anaesth.
2018;28(3):298-9.
47. Tulgar S, Senturk O. Ultrasound guided low thoracic erector spinae plane block for postoperative analgesia in radical
retropubic prostatectomy, a new indication. J Clin Anesth. 2018;47:4.
48. Ueshima H, Otake H. Blocking of multiple posterior branches of cervical nerves using an erector spinae plane block. J Clin
Anesth. 2018;46:44.
49. Chin KJ, Lewis S. Opioid-free analgesia for posterior spinal fusion surgery using erector spinae plane (esp) blocks in a
multimodal anesthetic regimen. Spine. 2019;44(6):e379-83.
50. Ueshima H, et al. Efficacy of the erector spinae plane block for lumbar spinal surgery: a retrosepctive study. Asian Spine J.
2019;13(2):254-7.
51. Forero M, et al. Erector spinae plane block for the management of chronic shoulder pain: a case report. Can J Anaesth.
2018;65:288-93.
52. Tekin E, et al. High-thoracic ultrasound-guided erector spinaeplane block for acute herpes zoster pain management in
emergency department. Am J Emerg Med. 2019;37:375.
53. Ueshima H, Otake H. Continuous erector spinae plane block for pain management of an extensive burn. Am J Emerg
Med. 2018;36:2130.
54. Selvi O, Tulgar S, Ozer Z. Case report presentation of ultrasound-guided erector spinae plane block in shoulder surgery:
three patients and two different results. Cureus. 2018;10:e3538.
55. Tulgar S, et al. Comparison of ultrasound-guided lumbar erector spinae plane block and transmuscular quadratus
lumborum block for postoperative analgesia in hip and proximal femur surgery: a prospective randomized feasibility study.
Anesth Essays Res. 2018;12:825-31.
56. Chung K, Kim ED. Continuous erector spinae plane block at the lower lumbar level in a lower extremity complex regional
pain syndrome patient. J Clin Anesth. 2018;48:30-1.
57. Tulgar S, et al. Clinical experiences of ultrasound-guided lumbar erector spinae plane block for hip joint and proximal femur
surgeries. J Clin Anesth. 2018;47:5-6.
58. Darling CE, et al. Successful directional thoracic erector spinae plane block after failed lumbar plexus block in hip joint
and proximal femur surgery. J Clin Anesth. 2018;49:1-2.
59. Elkoundi A, et al. Priapism following erector spinae plane block for the treatment of a complex regional pain syndrome. Am
J Emerg Med. 2019;37:796.e3-4.
60. Tulgar S, et al. Ultrasound-guided erector spinae plane block: indications, complications, and effects on acute and chronic
pain based on a single-center experience. Cureus. 2019;11:e3815.
61. El-Boghdadly K, Pawa A, Chin KJ. Local anesthetic systemic toxicity: current perspectives. Local Reg Anesth. 2018;8:
35-44.
62. Ueshima H. Pneumothorax after the erector spinae plane block. J Clin Anesth. 2018;48:12.
63. Tulgar S, et al. Evaluation of ultrasound-guided erector spinae plane block for postoperative analgesia in laparoscopic
cholecystectomy: a prospective, randomized, controlled clinical trial. J Clin Anesth. 2018;49:101-6.
64. Oksuz G, et al. Ultrasound-guided bilateral erector spinae block versus tumescent anesthesia for postoperative analgesia
in patients undergoing reduction mammoplasty: a randomized controlled study. Aesthetic Plast Surg. 2019;43:291-6.
65. Altiparmak B, et al. Comparison of the effects of modified pectoral nerve block and erector spinae plane block on
postoperative opioid consumption and pain scores of patients after radical mastectomy surgery: a prospective,
randomized, controlled trial. J Clin Anesth. 2019;54:61-5.
66. Nagaraja PS, et al. Comparison of continuous thoracic epidural analgesia with bilateral erector spinae plane block for
perioperative pain management in cardiac surgery. Ann Card Anaesth. 2018;21:323-7.
Pain
The “opioid crisis”
Stephan A Schug
Opioid harm reduction strategies –

stemming the tide
Michael H Toon
The changing face of complex regional pain

syndrome treatment
Marc Russo, Peter Georgius, Danielle Santarelli
168 Australasian Anaesthesia 2019 – Pain The “opioid crisis” 169
The “opioid crisis”

Stephan A Schug MD FANZCA FPMANZCA EDPM
Anaesthesiology and Pain Medicine, Medical School, University of Western Australia.
Stephan Schug is Professor and Chair of Anaesthesiology and Pain Medicine in the Medical School of the
University of Western Australia, Perth, Australia and recently retired Director of Pain Medicine at Royal Perth
Hospital, Australia. His principal research interests include the management of acute and chronic pain, cancer
pain, regional anaesthesia, the pharmacology of local anaesthetics and analgesics and quality improvement in
healthcare.
INTRODUCTION
For more than 6000 years, humans have relied on the pain-relieving effects of opioids; no other medication
in history has remained in use for as long as opioids1. Very early, other effects of opioids such as sedation,
anxiolysis and induction of euphoria became obvious. Therefore, the medical use of opioids has always been
complicated by the dilemma that opioids are not only analgesics, but also drugs of abuse. Throughout most of
history, doctors, politicians, governments and the legal system have tried to find a balance between appropriate
therapeutic use and misuse/abuse, concepts of licit and illicit use and medical needs and regulatory issues. To
maintain this balance between all these factors has been a continuous struggle; failure to find an appropriate
balance has resulted in many problems, accentuated over the past 30 years.
What we see as a result today are on the one hand extreme discrepancies in access to opioids, their availability
and usage between countries2. On the other hand, there is an excessive and uncritical use of large amounts
of opioids outside the conventional indications of acute and cancer pain, that is, in chronic non-malignant pain
such as low back pain in a limited number of developed countries such as Canada, the US and also Australia3.
While the latter has recently been described as the “opioid epidemic” (with the US government mandating
the Center for Disease Control (CDC) to deal with this epidemic), it is possibly better described as an “opioid
crisis”4. However, there is another “opioid crisis” in many less well-developed countries. This opioid crisis
is an “unrelieved pain crisis”, as in about 150 countries even simple oral morphine is not available to treat
postoperative, trauma and in particular cancer pain; many patients in severe pain have no access to opioids at
all2. The discrepancies in access are so extreme, that the relatively small populations of the developed countries
(Canada, the US, Australia and the European Union) consume now far more than 90% of the legal opioids
prescribed worldwide, while billions of patients in most of Africa, Asia and Latin America have only minimal if
any access to opioids.
HISTORICAL PERSPECTIVE
To understand how we ended in this double crisis it is worthwhile to look at the history of opioid use with a
focus on the past hundred years and in more detail on the past 40 years. While there were previous attempts
to control and regulate access to opioids, namely opium in the commonly referred to “opium wars”, opioids
were typically freely available and under no national control in the United States in the 19th century. Even heroin
was sold, by the pharmaceutical company Bayer, as an over-the-counter medicine for all types of ailments in
adults and even children. However, increasing concerns in particular about the exposure of younger patients to
opioids led to the development of international and national drug control measures5. The International Opium
Convention, the first international regulatory approach to opioids, was ratified by the US in 19126. National
legislation in the form of the famous Harrison Narcotic Tax Act followed in 1914 and both measures restricted
access to opioids in the US and the rest of the world significantly from then on7.
The initial International Opium Convention was subsequently replaced by the Single Convention on Narcotic
Drugs; it regulates the production, manufacture, import, export and distribution of narcotics for medical use8.
An organisation of the United Nations was founded to ensure adherence to this convention; the International
Narcotics Control Board (INCB)9. Its initial task was to combat illicit drug trafficking and therefore its approach
to opioids was heavily on the restrictive side. This approach encouraged government authorities in many
countries, even if not explicitly banning opioids, to put up multiple legal and administrative barriers to limit the
access to medical use of opioids.
It was not surprising that in a paper in 1985 a diagnosis of “opiophobia” among healthcare providers was
made and described as “customary underutilisation of opioid analgesics based on irrational and undocumented
fear”10. Major barriers to opioid use have been summarised under the headlines insufficient knowledge,
inappropriate attitudes, regulatory and organisational issues and economics1,2. Even in developed countries
like Germany, opiophobia prevented appropriate cancer pain management in many patients due to attitudes of
government bodies, physicians, nurses11, pharmacists12, allied health professionals and even patients13, their cent of global consumption of morphine and 98 per cent of global consumption of oxycodone32. To illustrate
relatives and the general public14. The legal terminology reinforced this phobia; German regulation required the striking discrepancies a comparison of annual per capita consumption of opioids expressed in milligram
storage of opioids in a safe called “Giftschrank” (poison cupboard) and prescribing on “Giftrezepte” (poison morphine equivalent is useful; in 2014 countries like Canada (967 mg), the United States of America (700 mg)
prescriptions). The statement that “the only good dose of morphine is the last dose of morphine” illustrated a and Australia (494 mg) differed by orders of magnitude from countries like India (0.56 mg), Zambia (0.8 mg)
widespread attitude among physicians. and Nicaragua (1.1 mg). Sixty-six percent of the of the world population have virtually no access to opioids33.
Even worse, governments which were previously successfully lobbied by WHO and palliative care initiatives to
In this setting of widespread opiophobia, the unacceptable undertreatment of cancer pain in all countries of the
loosen control on opioids, are now feeling confirmed in their stance against opioids in view of the data coming
world was then addressed by initiatives of the British Hospice Movement and subsequently by the World Health
from the developed countries.
Organization (WHO). In particular the publication and aggressive promotion of their cancer pain guidelines,
initially in 1986 and then their revision in 1996, promoted management of cancer pain by appropriate use of
opioids15,16. Global consumption of morphine quadrupled in 10 years from 2.4 tons in 1983 to 10 tons in 1992 CONCLUSIONS AND PROPOSED SOLUTIONS
and then doubled again, reaching 20.3 tons in 199917. Similar trends of increase in consumption have also In conclusion, there are actually two opioid crises – one of overuse and oversupply with detrimental consequences
been reported for many other opioids. Until the end of the last century, this increase was primarily driven by for chronic pain patients and society as a whole in the developed world and one of no or very limited access to
increased use to treat acute and in particular cancer pain with significant benefits for these patients. opioids in the developing world leading to poor quality of postoperative, post trauma and cancer pain relief with
terrible suffering, in particular in the terminal care setting (see https://www.bbc.com/news/health-42871641).
THE FIRST WORLD OPIOID CRISIS Both of these issues need to be addressed in the future to avoid further harm and suffering.
However, until the mid-1990s, most doctors would have regarded the long-term use of opioids in chronic The overprescribing of opioids in chronic non-malignant pain does not help chronic pain patients, but is in many
non-malignant pain as contraindicated. This attitude changed around this time. Seminal was the publication by cases harmful as the outcomes were much worse than expected34. There is now overwhelming evidence, that
Ronald Melzack (one of the two authors who published the gate control theory) in Scientific American with the opioids have little or no effect on improvement of function and quality of life, the most important outcomes in these
provocative title “The Tragedy of Needless Pain”18. In this he asked “What though should be done for people patients35. In addition, opioid-induced hyperalgesia (OIH) can make their pain experience worse36, opioid-induced
who suffer from debilitating chronic pain but who do not have fatal illness? These people have traditionally androgen deficiency (OPIAD) results in reduced activity, weight gain and fatigue37, and immune suppression by
been excluded from long-term therapy with narcotics again for fear they would become addicts”. American opioids increases the risk of infections38,39. These patients also experience adverse effects of opioids such as
pain physicians with longstanding interest and experience in cancer pain management followed this lead by constipation and are exposed to the risks of tolerance, addiction and overdose40,41. In addition, the increased
supporting opioid use in chronic non-malignant pain, primarily based on small case series19,20. In parallel there availability of opioids due to this approach has resulted in diversion of prescription opioids to the black market with
was aggressive marketing of opioid formulations, in particular slow-release oxycodone, by the pharmaceutical significant harmful effects42. This crisis is currently addressed from multiple angles with appropriate, but also some
industry; these issues are currently undergoing legal scrutiny21. The suggested approach was questioned by very inappropriate measures such as concepts of mandatory weaning of these patients discussed in the US43.
a number of pain medicine specialists, who challenged how a complex biopsychosocial phenomenon such The most important approach is most likely to improve access to multidisciplinary pain management facilities44, as
as chronic pain could be treated by a single drug22. Other issues of concern were the externalisation of locus addressing chronic pain as a sociopsychobiomedical issue has the most promise to improve self-efficacy, function
of control contradicting classical approaches to chronic pain aiming for increased self-efficacy, poor data on and quality of life of these patients45. Other approaches shown to be effective are discouraging further prescribing
improvement of function and quality of life and concerns about opioid-induced hyperalgesia23,24. of opioids in chronic pain, following stringent guideline for implementation (and more importantly discontinuation in
case of failure) of opioid treatment3,46, careful selection of patients with identification of those at risk47, preferential
However, despite a lack of supporting evidence, prescribing behaviour changed in favour of the use of opioids
use of atypical opioids (such as buprenorphine patches and tapentadol)48, slow dose reduction by tapering
in chronic non-malignant pain. Within 10 years, the use of opioids, often in very high doses, for chronic pain
in patients with high-dose use or lack of benefit and involvement of drug addiction services in appropriate
patients became commonplace in the United States, followed by many other developed countries, in particular
patients3,46. Appropriate opioid stewardship by anaesthetists (and surgeons) to reduce excessive opioid supplies
Canada, Australia and the European Union. The increasing availability of large amounts of opioids resulted in
at hospital discharge with the risks of continued use and diversion is another important measure49. In view of the
a dramatic increase of prescription opioid abuse, very appropriately described in a paper in The New England
large number of overdose deaths, the discussion on take-home naloxone to be used by friends and relatives of
Journal of Medicine in 2010 with the title “A Flood of Opioids, A Rising Tide of Deaths”25. The authors present a
patients abusing opioids continues50.
steep increase in the number of unintentional drug overdoses in the US beginning in the early 1990s in parallel
to the promotion of opioid use for chronic non-malignant pain. Heroin was replaced by prescription opioid Addressing the lack of access to opioids in the many countries where opioids are barely available is another
analgesics such as oxycodone and hydromorphone as the main drug of abuse. The most current data published difficult issue. The causes are complex; as outlined above, there are many barriers to use of opioids best
by the CDC highlight the problem26: From 1999 to 2017, almost 218,000 people died in the United States summarised under the headings insufficient knowledge, inappropriate attitudes, political, regulatory and
from overdoses related to prescription opioids. Overdose deaths involving prescription opioids were five times organisational issues and economics1,2. All these issues need to be addressed while respecting the cultural and
higher in 2017 than in 1999. Furthermore, almost 2 million people in the US are abusing or are dependent on political realities of the countries affected. Attempts to do this are continuing with initiatives such as the:
prescription opioids; daily more than 1000 patients are treated in emergency departments of the United States • Pain & Policy Studies Group (PPSG), a global research program at the University of Wisconsin Carbone
for misusing prescription opioids. Similar data are reported from other countries, for example, Australia; it saw Cancer Center, which has pushed for more than 20 years improving pain relief by achieving balanced
dramatic increases in opioid consumption over these years with defined daily doses (DDD) increasing from 4.6 access to opioids worldwide51.
to 17.4 DDD/1000/day from 1990 to 201427, while the prescribing pattern changed from primarily weak and
• Global Opioid Policy Initiative (GOPI) of the European Society of Oncology (ESMO)
short-acting opioids to strong and long-acting ones. Substantial geographic variation in the prescription pattern
(see https://www.esmo.org/Policy/Global-Opioid-Policy-Initiative)52.
of opioids was observed with rural areas having much higher use of all opioids possibly caused by prescribing
by general practitioners due to limited access to pain clinics28. In the state of Victoria in Australia, oxycodone • Opioid Price Watch Project of the International Association for Hospice and Palliative Care (IAHPC)
consumption increased from 2000 to 2009 by 800% and deaths related to oxycodone overdose increased by (see https://hospicecare.com/opioids/reports/map/).
2000%29. In Australia overall, there were 1045 opioid-induced deaths in 2016, of which three quarters were Even the International Narcotics Control Board (INCB) recently changed the balance in its efforts from
related to prescription opioids30. combatting illicit drug trafficking to encouraging the medical use of opioids. A paper sponsored by the INCB
is now stating: “Use of opioid analgesics has increased, but remains low in Africa, Asia, Central America, the
THE “OTHER” OPIOID CRISIS Caribbean, South America, and eastern and southeastern Europe. Identified impediments to use urgently need
to be addressed by governments and international agencies”31.
While these concerning developments in the developed countries occurred, the resulting data on global
opioid consumption quoted above are highly misleading31. Even the initial increase in worldwide morphine
consumption described above in response to the WHO initiatives resulted mainly from usage in a few Readers are referred to a complementary article entitled “Opioid harm reduction strategies – stemming the tide”
developed countries. In 2008, Australia, Canada, New Zealand, the United States and the member States of by Michael H Toon within this edition of Australasian Anaesthesia.
the European Union together accounted for more than 96 per cent of global consumption of fentanyl, 90 per
REFERENCES 38. Sacerdote P. Opioid-induced immunosuppression. Curr Opin Support Palliat Care. 2008;2(1):14-8.
39. Wiese AD, Griffin MR, Schaffner W, Stein CM, Greevy RA, Mitchel EF Jr, et al. Opioid analgesic use and risk for invasive
1. Schug SA. Opioids: clinical use. In: McMahon SB, Koltzenburg M, Tracey I, Turk D, editors. Wall & Melzack’s textbook of pneumococcal diseases: a nested case-control study. Ann Intern Med. 2018;168(6):396-404.
pain. 6th Edition. Amsterdam: Elsevier; 2013. 40. Martell BA, O’Connor PG, Kerns RD, Becker WC, Morales KH, Kosten TR, et al. Systematic review: opioid treatment for
2. Anderson T. The politics of pain. BMJ. 2010;341:c3800. chronic back pain: prevalence, efficacy, and association with addiction. Ann Intern Med. 2007;146(2):116-27.
3. Hauser W, Schug S, Furlan AD. The opioid epidemic and national guidelines for opioid therapy for chronic noncancer 41. Hojsted J, Sjogren P. Addiction to opioids in chronic pain patients: a literature review. Eur J Pain. 2007;11(5):490-518.
pain: a perspective from different continents. Pain Rep. 2017;2(3):e599. 42. Fischer B, Bibby M, Bouchard M. The global diversion of pharmaceutical drugs non-medical use and diversion of
4. Kolodny A, Courtwright DT, Hwang CS, Kreiner P, Eadie JL, Clark TW, et al. The prescription opioid and heroin crisis: a psychotropic prescription drugs in North America: a review of sourcing routes and control measures. Addiction.
public health approach to an epidemic of addiction. Annu Rev Public Health. 2015;36:559-74. 2010;105(12):2062-70.
5. Obladen M. Lethal lullabies: a history of opium use in infants. J Hum Lact. 2016;32(1):75-85. 43. Darnall BD, Juurlink D, Kerns RD, Mackey S, Van Dorsten B, Humphreys K, et al. International stakeholder community of
6. Collins WJ. The international control of drugs of addiction: The present position of the international opium convention, pain experts and leaders call for an urgent action on forced opioid tapering. Pain Med. 2019;20(3):429-33.
1912. Br Med J. 1919;2(3064):369-70. 44. Volker G, van Vree F, Wolterbeek R, van Gestel M, Smeets R, Koke A, et al. Long-term outcomes of multidisciplinary
7. Terry CE. The harrison anti-narcotic act. Am J Public Health (NY). 1915;5(6):518. rehabilitation for chronic musculoskeletal pain. Musculoskeletal Care. 2017;15(1):59-68.
8. Pietschmann T. A century of international drug control. Bull Narc. 2007;59(1-2):1-167. 45. Carr DB, Bradshaw YS. Time to flip the pain curriculum? Anesthesiology. 2014;120(1):12-4.
9. International Narcotics Control Board (INCB). Single convention on narcotic drugs 1961 as amended by the 1972 46. Dowell D, Haegerich TM, Chou R. CDC guideline for prescribing opioids for chronic pain – United States, 2016. MMWR
protocol. New York: United Nations Publications; 1972. Recomm Rep. 2016;65(1):1-49.
10. Morgan JP. American opiophobia: customary underutilization of opioid analgesics. Adv Alcohol Subst Abuse. 1985;5: 47. Watson CP, Watt-Watson J, Chipman M. The long-term safety and efficacy of opioids: a survey of 84 selected patients
163-73. with intractable chronic noncancer pain. Pain Res Manag. 2010;15(4):213-7.
11. Edwards HE, Nash RE, Najman JM, Yates PM, Fentiman BJ, Dewar A, et al. Determinants of nurses’ intention to administer 48. Schug SA. The atypical opioids buprenorphine, tramadol and tapentadol. Medicine Today. 2019;20(1):31-6.
opioids for pain relief. Nurs Health Sci. 2001;3(3):149-59. 49. Macintyre PE, Huxtable CA, Flint SL, Dobbin MD. Costs and consequences: a review of discharge opioid prescribing for
12. Joranson DE, Gilson AM. Pharmacists’ knowledge of and attitudes toward opioid pain medications in relation to federal ongoing management of acute pain. Anaesth Intensive Care. 2014;42(5):558-74.
and state policies. J Am Pharm Assoc (Wash). 2001;41(2):213-20. 50. Dwyer R, Olsen A, Fowlie C, Gough C, van Beek I, Jauncey M, et al. An overview of take-home naloxone programs in
13. Casarett D, Karlawish J, Sankar P, Hirschman KB, Asch DA. Obtaining informed consent for cancer pain research: Australia. Drug Alcohol Rev. 2018;37(4):440-9.
Do patients with advanced cancer and patients with chronic pain have different concerns? J Pain Symptom Manage. 51. Cleary JF, Maurer MA. Pain and policy studies group: Two decades of working to address regulatory barriers to improve
2002;24(5):506-16. opioid availability and accessibility around the world. J Pain Symptom Manage. 2018;55(2S):S121-34.
14. Zenz M, Willweber-Strumpf A. Opiophobia and cancer pain in Europe. Lancet. 1993;341(8852):1075-6. 52. Cherny NI, Cleary J, Scholten W, Radbruch L, Torode J. The Global Opioid Policy Initiative (GOPI) project to evaluate
15. World Health Organization (WHO). Cancer pain relief. Geneva: WHO, 1986. the availability and accessibility of opioids for the management of cancer pain in Africa, Asia, Latin America and the
16. World Health Organization (WHO). Cancer pain relief and palliative care. 2nd ed. Geneva: WHO, 1996. Caribbean, and the Middle East: introduction and methodology. Ann Oncol. 2013;24 Suppl 11:xi7-13.
17. International Narcotics Control Board (INCB). Report of the international narcotics control board for 2002. New York:
United Nations Publications; 2003.
18. Melzack R. The tragedy of needless pain. Sci Am. 1990;262(2):27-33.
19. Portenoy RK. Chronic opioid therapy in nonmalignant pain. J Pain Symptom Manage. 1990;5(1 Suppl):S46-62.
20. Portenoy RK. Opioid therapy for chronic nonmalignant pain: A review of the critical issues. J Pain Symptom Manage.
1996;11(4):203-17.
21. Dyer O. Kentucky seeks $1bn from purdue pharma for misrepresenting addictive potential of oxycodone. BMJ.
2014;349:g6605.
22. Stein C. Opioid treatment of chronic nonmalignant pain. Anesth Analg. 1997;84(4):912-4.
23. Large RG, Schug SA. Opioids for chronic pain of non-malignant origin-caring or crippling. Health Care Anal.
1995;3(1):5-11.
24. Schug SA, Large RG. Opioids for chronic noncancer pain. Pain: Clinical Updates. 1995;Volume III(3):1-4.
25. Okie S. A flood of opioids, a rising tide of deaths. N Engl J Med. 2010;363(21):1981-5.
26. Centers for Disease Control and Prevention (CDC). Wide-ranging online data for epidemiologic research (wonder) [Internet].
U.S. Department of Health and Human Services. Available from: http://wonder.cdc.gov. Accessed 20 May 2019.
27. Karanges EA, Blanch B, Buckley NA, Pearson SA. Twenty-five years of prescription opioid use in australia: A whole-of-
population analysis using pharmaceutical claims. Br J Clin Pharmacol. 2016;82(1):255-67.
28. Degenhardt L, Gisev N, Cama E, Nielsen S, Larance B, Bruno R. The extent and correlates of community-based
pharmaceutical opioid utilisation in Australia. Pharmacoepidemiol Drug Saf. 2016;25(5):521-38.
29. Rintoul AC, Dobbin MD, Drummer OH, Ozanne-Smith J. Increasing deaths involving oxycodone, Victoria, Australia, 2000-
09. Inj Prev. 2011;17(4):254-9.
30. Roxburgh A, Dobbins T, Degenhardt L, Peacock A. Opioid-, amphetamine-, and cocaine-induced deaths in Australia:
August 2018. Sydney: National Drug and Alcohol Research Centre, University of New South Wales; 2018.
31. Berterame S, Erthal J, Thomas J, Fellner S, Vosse B, Clare P, et al. Use of and barriers to access to opioid analgesics: a
worldwide, regional, and national study. Lancet. 2016;387(10028):1644-56.
32. International Narcotics Control Board (INCB). Report of the international narcotics control board for 2009. New York:
United Nations publication; 2010.
33. Duthey B, Scholten W. Adequacy of opioid analgesic consumption at country, global, and regional levels in 2010, its
relationship with development level, and changes compared with 2006. J Pain Symptom Manage. 2014;47(2):283-97.
34. Chou R, Turner JA, Devine EB, Hansen RN, Sullivan SD, Blazina I, et al. The effectiveness and risks of long-term opioid
therapy for chronic pain: a systematic review for a National Institutes of Health Pathways to Prevention workshop. Ann
Intern Med. 2015;162(4):276-86.
35. Noble M, Treadwell JR, Tregear SJ, Coates VH, Wiffen PJ, Akafomo C, et al. Long-term opioid management for chronic
noncancer pain. Cochrane Database Syst Rev. 2010;(1):CD006605.
36. Bannister K. Opioid-induced hyperalgesia: where are we now? Curr Opin Support Palliat Care. 2015;9(2):116-21.
37. Rhodin A, Stridsberg M, Gordh T. Opioid endocrinopathy: a clinical problem in patients with chronic pain and long-term
oral opioid treatment. Clin J Pain. 2010;26(5):374-80.
Opioid harm reduction strategies – stemming the tide 175
Opioid harm reduction strategies – stemming the tide

Michael H Toon OLY BPharm MBBS (Hons)
Provisional Fellow in Anaesthesia, Mater Health Services, South Brisbane.
Dr Michael Toon is a Provisional Fellow in Anaesthesia and member of the Opioid Management Working Party
at the Mater Hospital, South Brisbane. He has an interest in obstetric anaesthesia, adult congenital heart
disease and anaesthetic heritage and history.
INTRODUCTION
A landmark 2010 paper in the New England Journal of Medicine heralded the current opioid crisis, describing
the problem in terms of a flood, amidst a rising tide of deaths. Indeed, the current opioid epidemic has seen a
wave of prescription opioids from the healthcare system precipitating a sequence of misuse, abuse, overdose
and a subsequent deluge of diversion1.
The storm signal of the opioid flood has been long-sounding from the United States with per capita
consumption of prescription opioids increasing markedly, since the 1990s, and growing at an alarming rate2,3.
In the decade following this the number of drug poisoning deaths involving a prescription opioid more than
quadrupled4. In the US, a strong correlation exists between states with the highest opioid consumption and
abuse rates to medical emergencies and drug-poisoning mortality1,2.
The tide is rising in Australia with a surge of opioid prescriptions on the Pharmaceutical Benefits Scheme
(PBS) from 2.4 million in 1992 to almost 7 million in 2007. Much of this is due to an increase in oxycodone
use with 152% increase in prescriptions in the 5 years prior to 2008 with a corresponding 20% decrease in
morphine over the same period4. Close to 3 million Australians were prescribed at least one opioid under the
PBS in 20145. This growth has been linked to increases in harm with accidental death from opioids reaching
788 in 2016, rising in parallel with an increase in supply and at a more rapid rate in regional areas6,7. Hidden
consequences such as car accidents, immunosuppression, hormonal dysfunction, osteoporosis, confusion,
delirium and falls add to the burden on the Australian healthcare system5. Misuse and diversion are also rising
in Australia, with prescription opioids accounting for a higher proportion of reported injections than heroin at
supervised injecting centres2.
Historically, opioid prescription volumes began to swell in the 1990s following patient advocacy movements
focusing on pain control, coupled with aggressive promotion of treatment of acute and chronic pain with
opioids, buoyed largely by the pharmaceutical industry8. The risk of opioid-naive patients developing persistent
opioid use after surgery is 6-10% for both major and minor surgery9,10. Nevertheless, health professionals are
caught between a desire to treat pain and a fear of causing harm2. Focusing the goal on providing optimal
analgesia, “a technique that optimizes patient comfort and facilitates recovery while minimizing adverse effects
of analgesics”, provides a resolution of this conflict with acknowledgement of the therapeutic pollution caused
by inappropriate use of opioids in pain management2,8.
Reducing opioid harm from the healthcare system must target multiple causative factors including:
inappropriate prescribing, inadequate counselling and monitoring in addition to access through diversion
creating and further enabling misuse and abuse1. Interventions to mitigate the hospital systems significant
contribution to the epidemic can be seen as conceptually corresponding to flood mitigation, with interventions
upstream, midstream and downstream.
Upstream of the hospital system is the pharmaceutical industry that can be urged to further efforts to
manufacture and package opioids in abuse deterrent formulations. Furthermore, the preadmission setting
contains opportunities for screening of patients at risk of chronic post-surgical pain and opioid misuse for more
targeted monitoring and intervention.
The hospital episode is midstream where prescribers can be educated to avoid inappropriate prescribing of
discharge opioid prescriptions. Patients are able to be educated on the potential harms of short and long-term
opioid use. Pharmacists and pain service teams, under the direction of anaesthetists, in a framework of opioid
stewardship, can guide prescribers and patients4.
Downstream, where the devastation of the flood is seen the most in the post-discharge setting, provides
opportunities for effective, practical disposal solutions for unused opioids and follow-up, support and cessation
strategies for patients at-risk of harm or chronic post-surgical pain syndromes in the form of transitional pain clinics.
176 Australasian Anaesthesia 2019 – Pain Opioid harm reduction strategies – stemming the tide 177
UPSTREAM INITIATIVES stratified greater than 90% of patients into the high-risk group that are likely to display opioid-related adverse
behaviour and was an even better predictor when completed by a psychologist. The ORT is simpler and faster
Changes in formulation to those with abuse deterrent properties may have important benefits in reducing harm2. to administer than the SOAPP; however, the SOAPP while more involved was more reliable at predicting ab-
Public health authorities have called for development of these analgesic formulations and the pharmaceutical normal behaviour and risk of abuse4.
industry has to some extent responded11. The addition of naloxone to oral opioid formulations to discourage
injecting via the attenuation of euphoria and to invoke an aversive response has been developed2. This tamper Anxiety and depression are recurrent factors in studies looking at unintended long-term opioid use post-surgical
resistant strategy may reduce the risk of diversion and injection but not necessarily abuse by another route. discharge following expected short-term management of acute pain. These psychological factors, together
The introduction of an oxycodone-naloxone formulation in the US in late 2010 was followed by reductions in with post-traumatic stress disorder and personality disorders are also linked to greater opioid use, opioid
diversion rates and street value as well as a decrease from 36% to 13% of those reporting oxycodone extended misuse, addiction and higher pain scores, in what has been described as a process of adverse selection4.
release as their primary prescription opioid of abuse. Many of these patients however indicated that they had These patients are at risk of developing maladaptive behaviour and are being provided with the means to
endeavoured to substitute with another opioid, commonly heroin4. Of note, extended-release hydromorphone is inappropriately cope with stress via high-risk medications used in non-prescribed ways.
only available in the US as an abuse deterrent formulation with a low-level of observed abuse of this product12.
The preoperative anaesthetic assessment, with or without referral from a screening program, is an ideal time
Another regulatory option includes up-scheduling; for example, codeine in Australia which is now a prescription- to educate patients about pain relief strategies and expectations. The benefits of multimodal analgesia should
only medication, or schedule 4 as per the Health (Drugs and Poisons) Regulation. There is appropriate pressure be outlined emphasising the imperative to ensure safety as well as comfort, which may necessitate considered
to review pack sizes of Schedule 8 (controlled drugs of addiction) opioids with the standard pack size of 20 restraint in opioid use. Optimal analgesia cannot be achieved without managing patient expectations within a
tablets of immediate-release oxycodone for example, being called into question5. The standard sizes being subjective biopsychosocial framework. Education regarding realistic goals and pain treatment and avoidance of
often in excess of therapeutic requirements exposes the risk and reality that the path of least resistance, default unintended harms can ideally occur in the preoperative environment8.
option and implied limitation of choice leads to surplus opioids being prescribed, especially when reflected in
endorsed PBS quantities, as is the case with 20 tablets of oxycodone 5 mg immediate-release. Some institutions use and advocate for a pharmacist to enable the identification and notification of patients
who would benefit from a proactive pain management plan to ensure the most appropriate treatment following
The preadmission stage for elective surgical procedures, being a planned event at a designated time-point, surgery and to guide discharge therapy3. Pharmacists can use local prescription monitoring systems,
provides upstream opportunities to initiate procedures to optimise pain control during the surgical journey10. counselling and drug use evaluation interview skills to gather information and convey a plan.
The use of preoperative screening tools and preadmission clinics can maximise the capture and intervention
success of patient strategies to influence pain management.
MIDSTREAM INITIATIVES
One potential preventable outcome contributing significantly to the problem of opioid misuse is the
development of chronic post-surgical pain (CPSP), defined as pain relating to areas of the surgery persisting The commencement of opioids in the acute care setting sets a course for further opioid use with a significant
for a month longer than it takes for most injured tissues to fully heal. CPSP clusters with other symptoms such number of patients swept away in a stream of ongoing opioid dependence and misuse. As a source of opioid
as mood and sleep disturbance and is associated consistently with psychological factors of anxiety, depression initiation, the hospital-based surgical journey is a unique opportunity to quell the rising tide of opioid misuse.
and pain catastrophising. Risk factors for CPSP have been consistently identified across several domains Patients who received opioids for their primary pain therapy in the acute perioperative period commonly require
(see Table 1). increased doses to maintain the same analgesic effect. Mechanisms postulated for this include acute tolerance
and opioid-induced hyperalgesia8. Studies have revealed however no association between quantity of opioids
Table 1. Risk factors for the development of Chronic Post-Surgical Pain (CPSP)10. dispensed and measures of pain satisfaction or pain scores at 2 weeks; yet a direct correlation exists between
quantity dispensed and opioid related side-effects6. Considering most acute pain, while almost ubiquitous after
Domain Risk factor surgery, can be controlled and mostly resolves within one week, the duration of treatment should be limited
to the expected duration of pain or the interval before the patient’s primary care practitioner can evaluate the
Demographic Young adults need for ongoing analgesia4. Dispensing medications in limited quantities with defined therapeutic endpoints
Low level of education is a practical harm reduction measure2. To envision this, the concept of the “reverse pain ladder” has utility for
Seeking compensation patients and prescribers illustrating reverse steps of the WHO pain ladder to emphasise and visually direct de-
escalation of opioid analgesia4.
Smokers
Clinical Greater prior disability The concept of opioid stewardship programs (OSP) is evolving and aims to borrow lessons from the
success of stewardship programs for other mass medication management endeavours. Of emphasis in these
Surgery Longer operative time programs is the need to actively engage medical staff, hospital leaders and establish systems for anaesthesia,
Increased complication rate surgery, nursing and allied health teams to work together8,10. One such program at Brigham Health in Boston
has involved the entire organisation in implementing initiatives involving prescribing, addiction, education,
Pain related Pre-existing pain
information technology and creation of opioid related objective markers with an ultimate goal of measuring the
Stronger post-operative intensity and duration reduction of fatal and non-fatal overdoses in patients receiving opioids13. Over a three-year period this system
Psychological Fear, anxiety, depression decreased monthly opioid prescriptions from 9000 to 6500 per month across a 1000-bed institution. Using
similar principles, a quality improvement project in an Australian institution devised, implemented and evaluated
Physical function Worse pain interference 5 sequential interventions based around auditing the number of oxycodone tablets dispensed per month. These
involved educational materials for patients, anaesthetic departments and junior doctors with pain medicine
Identification of risk factors for CPSP and opioid misuse allows targeting of patients at risk and subsequent follow-up of complex pain patients in the first instance; followed by an analgesic discharge plan implementation
provision of interventions to reduce the risk of adverse outcomes. Rather than divesting patients with acute by the acute pain service (APS), a letter in the junior medical officer bulletin, guideline production for hospital
pain of analgesia, such recognition and stratifying aims to avoid long term harm by optimising analgesia using pharmacists and finally audit and targeted academic detailing of monthly performance to individual treating
multi-modal approaches, opioid-sparing techniques and rigorous follow-up. Available screening tools include teams. This final step was associated with a rapid 40% reduction in the number of opioid tablets prescribed;
the Opioid Risk Tool (ORT), the Screener and Opioid Assessment for Patients with Pain (SOAPP) and the Brief however, previous interventions were also modestly successful. The average number of oxycodone tablets
Risk Interview. The availability of a psychologist is invaluable in the assessment process as a focused clinical decreased by 32 per 100 surgical admissions following the first intervention and fertile ground was laid for each
interview by a psychologist has the highest sensitivity for predicting aberrant behaviour. This observation led subsequent initiative7.
to the development of the Brief Risk Interview, which more frequently identifies aberrant behaviour than the
SOAPP and ORT which are self-report tools. Specialist expertise and time is a limitation however. The ORT
Other opioid stewardship programs described in Australia have established three pillars of care consisting of In an effort to substitute drugs with high abuse potential for those with lesser forces fostering their non-medical
inpatient review with an APS, outpatient follow-up of APS patients and the provision of quality improvement use attention is being drawn towards atypical opioids, drugs in which their analgesic actions rely on unique
and education within the hospital. Key elements of this system are an exit strategy for opioids, patients being and possibly synergistic actions rather than pure opioid receptor affinity. These drugs, also termed “multigesic
discharged with the exact number of tablets rather than full packs and post-discharge follow-up to ensure the agents”, (buprenorphine, tramadol and tapentadol) have appealing pharmacologic profiles and evidence for
strategy is actioned5. mitigating abuse potential2. Buprenorphine is a semi-synthetic opioid in clinical use since 1979 with potent
agonist activity at the MOP-receptor but antagonistic properties at the KOP-receptor. There is a greater margin
Education in the form of awareness of realistic patient requirements for analgesia, harms of overprescribing
of safety for buprenorphine relative to other potent opioids frequently used as observed in one study where
and availability of guidelines positively influences behaviour. Many hospitals have incorporated prescribing
doubling the dose of buprenorphine increased its peak analgesic activity by a factor of 3.5 while leaving the
guidelines to influence prescribing practices at discharge, coupling opioid consumption in the 24 hours prior
respiratory depressive effects unchanged17. Tramadol, licensed in the United Kingdom in 1994 was developed
to discharge with the dose dispensed, with one institution decreasing the total number of tablets prescribed
as a synthetic opioid but has only weak opioid receptor affinity. Much of its action is due to inhibition of the
by 40%. The transition of many hospitals to electronic prescribing creates opportunities. One hospital
reuptake of serotonin and noradrenaline at synapses in the descending neural pathways involved in analgesia.
adjusted the default number of tablets using an electronic system from 30 to 12 for discharge prescriptions
Unlike other opioids it appears relatively free of unwanted side effects of ventilatory depression, causing only
for 10 common surgical procedures without experiencing a reciprocal increase in opioid refill prescriptions6.
mild reductions in normoxic ventilation and no significant suppression of the hypoxic ventilator response,
One education initiative reviewed, analysed and recommended a defined number of tablets be prescribed for
contrasted with 50-60% suppression produced by morphine18.
specific operations, namely a partial mastectomy (5 tablets), sentinel lymph node biopsy (10), laparoscopic
cholecystectomy (15), laparoscopic inguinal hernia repair (15) and open hernia repair (15). The mean number While tramadol does feature in the causative agents for deaths from overdose, this is largely due to neurological
of tablets was significantly decreased in each of the 5 operations following this simple guideline implementation effects and it has the lowest desirability of abuse in post-marketing surveillance of drug misuse. More than a
by a remarkably consistent amount (14-15 tablets per operation with a range of 23.7 vs 9.6 for sentinel lymph decade of research has demonstrated that tramadol is undesirable for abuse and has a prevalence of abuse
node biopsy and 35.2 vs 19.4 for laparoscopic cholecystectomy) over a total of 34 individual prescribers. This similar to non-steroidal anti-inflammatory drugs11. Lastly, tapentadol has a 50-fold lower affinity for the MOP-
equated to a remarkable 53% reduction in the number of tablets prescribed (6170 vs 2932 actually prescribed) receptor than morphine and relies on its analgesic efficacy via inhibition of noradrenaline reuptake in addition
with only 1 of 224 patients requiring a refill prescription within 30 days of their operation. Even following this to activation of opioid receptors. Randomised controlled trials for both acute and chronic pain have shown that
reduction only 34.3% of prescribed tablets were actually taken14. equianalgesic doses of tapentadol and oxycodone immediate-release formulations have comparable efficacy19.
While they are mechanistically and therapeutically distinct, tapentadol and tramadol do share a commensurate
Minimising opioid use during the perioperative period should be an important goal of anaesthetic care given
low desirability for abuse. While a relatively new analgesic molecule early findings suggest the risk of tapentadol
that a significant proportion of opioid-naive patients entering surgery may ultimately become chronic users8.
abuse is the lowest of all the comparators studied (oxymorphone, hydromorphone, hydrocodone, morphine,
Opioid use is by no means a mandatory requirement of anaesthetic care. In the United States 77% of patients
fentanyl, oxycodone, tramadol and buprenorphine)12.
undergoing hip fracture surgery and 82% after ankle fracture surgery receive opioids. This compares to none
and 6% respectively in the Netherlands, with negligible variation in measures of satisfaction depending on the
country6. Additionally, a comparison of one US hospital performing head and neck surgery versus a Hong Kong DOWNSTREAM INITIATIVES
hospital found that 87% versus 1% of patients received opioid orders after surgery. Various strategies exist Consideration of the lifecycle of an opioid prescription reveals a large burden of diversion to dependent opioid
for tailoring the conduct of anaesthesia to achieve this end including: multimodal anaesthesia, encompassing users in addition to opioid-naive patients resulting in initiation of opioid misuse and harm. Each tablet dispensed
opioid-free anaesthesia and regional anaesthesia. The synergistic effects of targeting different elements of the is a drop in a vast ocean of potential opioid misuse and abuse. There is evidence of a large range of sources
pain pathway reduces the side-effects of any one medication used alone and the amount of opioid needed for diverting prescription opioids including pain patients, elderly people supplementing their income by selling
to control pain postoperatively. A significant amount of research has established many drug classes and opioids, friends and relatives of users and doctor shoppers with a small contribution from internet sources and
specific agents as having utility in a multi-modal approach to analgesia. These include: paracetamol and non- theft2,6. Harms arising from this unsanctioned use include fatal overdose, intoxication, dependence and unsafe
steroidal anti-inflammatory drugs, gabapentinoids (gabapentin and pregabalin), alpha-2-agonists (clonidine injection practices in addition to conversion to illicit drug use with a survey of heroin users reporting that 75%
and dexmedetomidine), NMDA receptor antagonists (ketamine and magnesium), intravenous lignocaine and initially started with a prescription opioid2,8. Multiple studies have revealed a very large pool of unused opioid
dexamethasone; all reduced opioid consumption in the perioperative period. In the case of ketamine various medications in postoperative patients with one systematic review reporting two-thirds of patients having leftover
investigators found that opioid-dependent patients had reduced pain 6 weeks to 6 months after surgery prescription opioids following surgery3,7,20. Reasons are not limited to over-prescription but include patients self-
compared with controls8. limiting intake due to fear of addiction and side-effects21. It is known that these are frequently given to friends
Opioid sparing techniques are of vital utility in certain patient groups. The use of regional anaesthesia is a or relatives and was shown in one study to be the most common source of prescription opioids for non-medical
fundamentally applied component of any multimodal analgesia plan allowing a patient to remain opioid free use in the US in 2010-2011. Similarly, in Australia around half of those who accessed morphine and oxycodone
for hours to many days post-surgery depending on the type of block. These techniques are most favourable for non-medical use sourced these drugs from friends4. Studies reveal that in excess of 90% of patients receive
for opioid-tolerant and dependent patients who have poorly controlled postoperative pain. The performance no disposal instructions for leftover opioids and a similar proportion keep them, usually in an unsecure location
of opioid-free anaesthetics (OFA) is also feasible and of distinct importance in patients with obstructive sleep in the home3,4,8. Disturbingly, the availability of these opioids contributes to the risk of unintentional poisoning
apnoea (OSA). Mulier et al described a reduction of post-op morphine equivalents to 6 mg in the first 24 hours in children4. This is despite evidence that provision of education in the form or printed materials regarding
in the OFA group vs 21 mg in the non-opioid free group in their bariatric surgery cohort (5000 patients). This opioid disposal and take-back locations results in an increased frequency of disposal of leftover medication6,7.
accompanied fewer complications and shorter length of stay overall and similar complication rates in those with Provision of education regarding the need and means of safe disposal of opioids is therefore crucial in reducing
obstructive sleep apnoea8. this reservoir.
While these approaches have been shown to reduce the use of post-operative opioids evidence of an effect on Pharmacies are the most common portal of return however they assume unwanted costs and safety liabilities in
CPSP remains elusive10. Given that opioid consumption is a strong predictor of likelihood of weaning long term administrating and storing rigorously controlled medication, resulting in a tacit disincentive for their involvement
and that the provision of opioids at discharge expands a vast reservoir for diversion, the use of opioid sparing in such schemes20. Other initiatives to reduce the supply of leftover medication are the introduction of secure
techniques to prevent far reaching adverse effects is an imperative of modern anaesthetic practice15. medication disposal boxes in medical facilities and take-back events, which could even include financial
incentives or reimbursement, either at a patient or a pharmacy-as-small-business level; similar to other
There is an emerging understanding that in terms of abuse potential, not all opioids are the same, even when government sponsored buyback campaigns with a view to securing public health protections6.
accounting for the absence of abuse deterrent formulations. Much of the efforts and study in opioid reduction
strategies have focused on oxycodone and the reasons for this are manifest. Oxycodone use by any route has Formulation and activation of an opioid exit plan is imperative for discontinuation of opioids in postoperative
risen significantly, coronial cases in which oxycodone was detected have risen exponentially. Oxycodone and patients since there remains little good evidence for any benefit from long-term opioid therapy for the management
hydrocodone/paracetamol combinations are the most common drugs of choice for prescription opioid abuse in of chronic pain3,4. Furthermore, duration of use rather than dosage of opioid is strongly associated with
the US and oxycodone is the one unifying compound in those most commonly abused and involved in overdose subsequent misuse with each additional week of opioid prescribing associated with an average increase in the
in the US, Australia and Canada4,16. The fast onset and shorter duration of action is more likely to induce rate of misuse of 34.2%. Patients who received even one post-discharge prescription are three times more likely
positive and negative reinforcement with problematic behaviours arising of consequence2.
to be taking opioids at one year across a range of specialties22. Follow-up for adherence to these plans and 13. Weiner SG, Price CN, Atalay AJ, Harry EM, Pabo EA, Patel R, et al. A health system-wide initiative to decrease opioid-
satisfactory analgesia in addition to reminders for disposal have been ideally pharmacist-led in some centres3. related morbidity and mortality. Jt Comm J Qual Patient Saf. 2019;45(1):3-13.
14. Hill MV, Stucke RS, McMahon ML, Beeman JL, Barth RJ, Jr. An educational intervention decreases opioid prescribing after
In those that experience complex postoperative pain demands, such as those that develop CPSP and those general surgical operations. Ann Surg. 2018;267(3):468-72.
whereby pain may not be the main driver of continued opioid use, transitional pain clinics have been advocated 15. Clarke H, Azargive S, Montbriand J, Nicholls J, Sutherland A, Valeeva L, et al. Opioid weaning and pain management in
and established, with proven cost-effectiveness and beneficial outcomes. CPSP is an increasing public health postsurgical patients at the toronto general hospital transitional pain service. Can J Pain. 2018;2(1):236-47.
problem due to the distress and disability it causes and past approaches to management have contributed to 16. Schug SA, Palmer GM, Scott DA, Halliwell R, Trinca J, et al. Acute pain management: scientific evidence 4th ed.
the current opioid crisis. Transitional pain clinics are a pragmatic approach to bridge the neighbouring shores Australian and New Zealand College of Anaesthetists and Faculty of Pain Medicine; 2015.
of acute post-operative pain services on surgical wards and outpatient chronic pain clinics. As discussed, 17. Dahan A, Yassen A, Romberg R, Sarton E, Teppema L, Olofsen E, et al. Buprenorphine induces ceiling in respiratory
depression but not in analgesia. Br J Anaesth. 2006;96(5):627-32.
integrated services can identify patients at risk via preoperative screening and refer inpatients using established
18. Warren PM, Taylor JH, Nicholson KE, Wraith PK, Drummond GB. Influence of tramadol on the ventilatory response to
prognostic indicators. Clinic visits are then used to review treatments and liaise with primary care providers and hypoxia in humans. Br J Anaesth. 2000;85(2):211-6.
surgical teams. Other services are available for referral including: rehabilitation, mental health professionals, 19. Cepeda MS, Fife D, Vo L, Mastrogiovanni G, Yuan Y. Comparison of opioid doctor shopping for tapentadol and
addiction medicine, physiotherapy and occupational therapy. Benefits are cost savings, encompassing oxycodone: A cohort study. J Pain. 2013;14(2):158-64.
medical treatment costs, unplanned readmissions, reduced long-term disability and failure to return to work 20. Bicket MC, Long JJ, Pronovost PJ, Alexander GC, Wu CL. Prescription opioid analgesics commonly unused after surgery:
in addition to a source of research, audit, training and education10. The interplay between depression, anxiety, A systematic review. JAMA Surg. 2017;152(11):1066-71.
pain catastrophising and CPSP, and persistent opioid use opens opportunities to provide psychiatric support 21. Lewis ET, Cucciare MA, Trafton JA. What do patients do with unused opioid medications? Clin J Pain. 2014;30(8):
reducing the forces accounting for postoperative opioid use6. 654-62.
22. Brat GA, Agniel D, Beam A, Yorkgitis B, Bicket M, Homer M, et al. Postsurgical prescriptions for opioid naive patients and
The experience of Toronto General Hospital’s transitional pain service is instructive, encompassing pre-, post- association with overdose and misuse: retrospective cohort study. BMJ. 2018;360:j5790.
operative inpatient and post-operative outpatient stages up to six months after surgery to address the specific
problems of CPSP and opioid use. Utilising a team including: nurse practitioners, physicians, psychologists
and allied health based on patient need, pain and function were both significantly improved in patients, with
consumption reduced in opioid-naive and opioid experienced patients by 69% and 44% respectively with 46%
and 26% weaned completely. As few as three professionals (anaesthetist, psychologist or other mental health
professional and nurse or nurse practitioner) are required to staff a functional transitional pain service with the
goals of effectively managing long-term pain, maintaining function, reducing opioid consumption and monitoring
efficacy of interventions15. It is only recently that health systems have had transitional pain services that aim to
prevent the development of CPSP and assist patients return to baseline levels of opioid medications or wean to
zero. Results from these services suggest a large unmet need in most hospitals around the world10.
CONCLUSION
The mitigation of the advancing flood of opioid misuse, abuse and harm at each stage of its course is a pressing
demand in Australian healthcare systems. The use of evidence and initiative is increasingly steering targeted
interventions amidst the surging stream of opioid prescribing. Only increased awareness, ongoing education
and organisational adaptation will see the tide ebb.
Readers are referred to a complementary article entitled “The ‘opioid crisis’” by Stephan A Schug
within this edition of Australasian Anaesthesia.
REFERENCES
1. Okie S. A flood of opioids, a rising tide of deaths. N Engl J Med. 2010;363(21):1981-5.
2. Hallinan R, Osborn M, Cohen M, Dobbin M, Wodak A. Increasing the benefits and reducing the harms of prescription
opioid analgesics. Drug Alcohol Rev. 2011;30(3):315-23.
3. Genord C, Frost T, Eid D. Opioid exit plan: a pharmacist’s role in managing acute postoperative pain. J Am Pharm Assoc
(2003). 2017;57(2S):S92-8.
4. Macintyre PE, Huxtable CA, Flint SL, Dobbin MD. Costs and consequences: a review of discharge opioid prescribing for
ongoing management of acute pain. Anaesth Intensive Care. 2014;42(5):558-74.
5. Managing the pain of opioids. Queensland Clinical Senate. Brisbane: State of Queensland (Queensland Health); 2018.
6. Neuman MD, Bateman BT, Wunsch H. Inappropriate opioid prescription after surgery. Lancet. 2019;393(10180):1547-57.
7. Stevens J, Trimboli A, Samios P, Steele N, Welch S, Thompson P, et al. A sustainable method to reduce postoperative
oxycodone discharge prescribing in a metropolitan tertiary referral hospital. Anaesthesia. 2019;74(3):292-9.
8. Koepke EJ, Manning EL, Miller TE, Ganesh A, Williams DGA, Manning MW. The rising tide of opioid use and abuse: the
role of the anesthesiologist. Perioper Med (Lond). 2018;7:16.
9. Nooromid MJ, Blay E, Jr., Holl JL, Bilimoria KY, Johnson JK, Eskandari MK, et al. Discharge prescription patterns of opioid
and nonopioid analgesics after common surgical procedures. Pain Rep. 2018;3(1):e637.
10. Glare P, Aubrey KR, Myles PS. Transition from acute to chronic pain after surgery. Lancet. 2019;393(10180):1537-46.
11. McNaughton EC, Black RA, Weber SE, Butler SF. Assessing abuse potential of new analgesic medications following
market release: an evaluation of internet discussion of tapentadol abuse. Pain Med. 2015;16(1):131-40.
12. Butler SF, McNaughton EC, Black RA. Tapentadol abuse potential: a postmarketing evaluation using a sample of
individuals evaluated for substance abuse treatment. Pain Med. 2015;16(1):119-30.
182 Australasian Anaesthesia 2019 – Pain The changing face of complex regional pain syndrome treatment 183
The changing face of complex regional pain syndrome treatment

Marc Russo MBBS DA (UK) FANZCA FFPMANZCA
Hunter Pain Clinic Broadmeadow, NSW.Dr Russo is a specialist pain physician. He is the director of Hunter
Pain Clinic, Genesis Research Services, Hamilton Day Surgery Centre and co-director of the Innervate Pain
Management Program. He founded the pain clinic in 1999, with a vision to provide a multidisciplinary approach
to pain management. He has experience in spinal cord stimulation and complex regional pain syndrome.
Peter Georgius MBBS BMEDSC FFPMANZCA FAFRM

Pain Rehab Noosa Heads, Queensland.Dr Georgius has been in private practice on the Sunshine Coast since
2008. He has experience in musculoskeletal and neurological rehabilitation. His scope of practice includes
pain management and the rehabilitation of patients with complex conditions, such as complex regional pain
syndrome.
Danielle Santarelli BSC(BIOTECH)(HONS), PHD

Genesis Research Services, Broadmeadow, NSW. Dr Santarelli is a medical writer and researcher at Genesis
Research Services. She has a PhD in molecular neurobiology and has co-authored previous publications on
complex regional pain syndrome with Dr Russo.
INTRODUCTION
Complex regional pain syndrome (CRPS) is a debilitating condition that most often occurs in a limb following
injury/trauma/surgery, with a typical post-traumatic incidence of 0.5-2 per cent1. The current diagnostic criteria
include regional pain that is disproportionate to the initial trauma, skin colour and temperature changes,
oedema, vasomotor and sudomotor changes, motor dysfunction and trophic changes2. CRPS type I, formerly
known as “reflex sympathetic dystrophy”, occurs in the absence of any obvious nerve injury, whereas CRPS
type II, formerly “causalgia”, indicates a confirmed nerve lesion3. The acute phase of CRPS is dominated by
inflammatory symptoms, such as warmth, redness, swelling and sweating, however, approximately 30 per cent
of patients present with a “primary cold” phenotype, characterised by a cold, white or blueish, ischaemic limb4.
The pain is restricted to the affected limb and accompanied by hyperalgesia. The disease can transition into
a chronic phase, typical inflammatory signs fade and centrally-driven symptoms prevail, such as chronic pain
that may spread up the limb, hyperalgesia, sensory deficits, motor symptoms (for example, dystonia, tremor,
myoclonus), and pathological behaviours (for example, fear avoidance leading to limb disuse), which contribute
to body perception disturbances4.
CRPS is also seen in the paediatric population typically in early teenager years although cases as young
as 6 years old have been described. It seems much more readily treatable with intensive physical therapy /
rehabilitation therapy than the adult version of the disease for reasons unknown5.
TRADITIONAL VIEWS
CRPS was first clearly described in 1872 by US physician Silas Weir Mitchell in his book “Injuries of nerves
and their consequences”6. He suspected that a role for “the irritation of a nerve at the point of the wound might
give rise to changes in the circulation and nutrition of the parts in its distribution, and that these alterations
might be of themselves of a pain-producing nature”7. In 1872, he adopted the term “causalgia”, which focused
on the regionally restricted features8. Next came the work of Paul Sudeck, who described “acute inflammatory
bone atrophy”, since named “Sudeck’s atrophy”, in his paper of 19009. This term later became synonymous
with the term “Reflex Sympathetic Dystrophy” (RSD), following the identification of a role for the sympathetic
nervous system in chronic neuropathic pain8.
The International Association for the Study of Pain (IASP) was established in 1973, and has since held multiple
consensus conferences to classify chronic pain syndromes10. The IASP replaced the term RSD with CRPS
and established the Budapest diagnostic criteria11. To provide a distinction between CRPS without evidence
of nerve injury (RSD) and CRPS with evidence of nerve damage (causalgia), the subtypes I and II were
established. Progress has and continues to be made in refining the diagnostic criteria for CRPS2,12-15.
TRADITIONAL THERAPIES
Over the past 30 years, therapy for this condition has often been applied ad hoc and without reference to
evidence-based literature. Either traditional physiotherapy or limb desensitisation techniques (such as “scrub
and carry”16) have been applied, though their efficacy has not been validated. Common analgesics such as
opioids and non-steroidal anti-inflammatory drugs (NSAIDs) have been trialled, but again, without proven class of immunosurveillance cells), Langerhans cells (LCs – epidermal dendritic cells), and mast cells, among
efficacy. In the case of opioids, there are concerns of potential worsening of the condition from opioid induced other immune cells30.
central sensitisation. Intravenous regional analgesia (CRPS Bier blocks) has now been discontinued due to
Evidence of autoinflammation in CRPS comes from observations of elevated levels of pro-inflammatory
limited evidence of their lack of efficacy in this condition17. Calcitonin infusions have been mostly discontinued
cytokines (TNFα, IL-1ß, IL-6), accumulation of mast cells, DCs/LCs and keratinocytes, and non-pathogenic
due to lack of sustained benefit in more modern studies18. Early use of oral corticosteroids (six-week course)
activation of DCs (such as by damage products, tissue hypoxia) in the affected limbs of acute CRPS patients
and single infusion of IV bisphosphonates has the strongest evidence base and continues to be a component of
and/or animal models22,31-33. Dysfunction of the autonomic nervous system may also contribute to this excessive
modern therapy3.
inflammation. Schlereth, Drummond and Birklein reviewed the role of sympathetic overactivity in CRPS
In the absence of specific CRPS validated treatments it is commonplace to see standard treatments for inflammation34. Norepinephrine activates DCs and LCs via α1-adrenoceptor stimulation which is expressed
neuropathic pain applied to the condition. This includes anti-neuropathic medications such as gabapentin, under inflammatory conditions35.
pregabalin, duloxetine, tricyclic antidepressants, intravenous lignocaine and ketamine infusions. The efficacy of
Besides B-cells, a normal adaptive immune response may be initiated by DCs and LCs upon presenting antigen
this approach is under question with low level evidence supporting consideration of its use.
to T-cells in regional draining lymph nodes36, however, under certain conditions, DCs and LCs may present self-
Aggressive multimodal rehabilitation, including the use of cognitive behavioural therapy, has had widespread antigens, resulting in autoantibody production37. Much of the evidence of autoimmunity in CRPS comes from
support from clinicians in terms of reasonableness of expectation of benefit and positive risk/return benefit, investigations of the sera of CRPS patients. One study found that some CRPS patients have autoantibodies
with limited evidence of efficacy15. More recently, motor imagery therapy has had documented benefit and has against autonomic neurons38, and others found that many patients have autoantibodies to M2 muscarinic
replaced more traditional forms of physiotherapy input to the condition3. Sympathetic nerve blocks (and the receptors, α1-adrenoceptors, or ß2-adrenoreceptors39, 40. Autoantibody involvement has also been supported
more modern variants of radiofrequency and pulsed radiofrequency lesioning of the sympathetic chain) have by studies in which serum-IgG from CRPS patients was injected into rodents and produced CRPS-like
limited evidence of efficacy in early (<12 months of symptoms) CRPS and appear to be well supported by symptoms (such as hyperalgesia, oedema)41,42.
clinician personal experience since its introduction more than 40 years ago3.
Birklein and colleagues recently published a review on potential biomarkers and proposed two conceptual
frameworks for CRPS: 1) augmented neuro-immune activation; and 2) autoantibodies43. Their first hypothesis
ANIMAL MODELS OF COMPLEX REGIONAL PAIN SYNDROME suggests that an increased production of inflammatory mediators by mast cells, keratinocytes, osteocytes
Several animal models of CRPS have been developed in order to study different initiators and pathological and sensory nerve cells after trauma drives acute CRPS signs and peripheral nociceptive sensitisation, which
mechanisms of the condition19. Two notable models are the rodent tibia fracture model (TFM) and the chronic may lead to spinal dorsal sensitisation. Chronic CRPS represents a centralised state upon which peripheral
post-ischemia pain (CPIP) model. inflammation subsides and central mechanisms (neuroplasticity, cortical reorganisation) drive persistent
symptoms, such as pain and motor dysfunction44. The second proposes that if limb trauma occurs during a
The TFM was developed to mimic the symptoms of CRPS due to distal limb fracture, the most common cause vulnerable time in which antibody production is elevated, an exaggerated inflammatory response can result in
of CRPS-I. Under anaesthesia, a closed tibial fracture is performed and a cast is placed on the hindlimb for autoantibody production to neuronal structures, which can cause nociceptive sensitisation. In chronic CRPS,
four weeks (rats) or three weeks (mice). This induces CRPS-like symptoms, including ipsilateral limb warmth, autoantibody production persists.
oedema, allodynia (mechanical), periarticular osteopenia, epidermal thickening, and limb unweighting20,21.
This model has provided valuable insights into pain sensitisation, vascular changes and immune response Cortical reorganisation
as important CRPS mechanisms. Studies using the TFM have highlighted important roles for neuropeptides The first indications of cortical involvement in CRPS came from the work of Maihofner and colleagues, who
(such as substance P and calcitonin gene-related peptide), keratinocyte activation, inflammatory cytokine observed referred sensations in the affected limbs of CRPS patients when the unaffected limb or another
production (particularly interleukin-1 (IL-1) and tumour necrosis factor (TNF)) by endothelial cells, nerve area of the body was stimulated – distortions in spatial representation indicative of cortical reorganisation45,46.
growth factor (NGF) signalling, and mast cell proliferation in nociceptive sensitisation in CRPS19-24. The They also reported correlations between the degree of cortical reorganisation, pain intensity and mechanical
CPIP model is another rodent model that mimics CRPS-I features following ischemia/reperfusion injury25. hyperalgesia.
Rodents are anaesthetised and a tight O-ring is fitted over the distal hindlimb for three hours. Reperfusion
Moseley and colleagues also provided evidence of cortical involvement in CRPS through reports of distorted
occurs immediately after O-ring removal. This produces an inflammatory cascade and subsequent neuropathic
body perception CRPS-I patients47-50. Their studies demonstrated that 1) CRPS-I patients may perceive their
pain-like symptoms, including hyperalgesia and allodynia (cold and mechanical), and CRPS-like changes
affected limbs to be larger, and this is correlated with symptom duration47; 2) CRPS-I patients take longer to
in skin appearance25. Studies using the CPIP model have provided evidence of macrophage and neutrophil
recognise their affected limbs, and this is related to symptom duration and the level of pain they predict they
recruitment, increased inflammatory cytokine production, and oxidative stress in CRPS26.
would experience if performing different limb postures (as shown in photographs)49; and 3) imagining postures
While these animal models do well to mimic many of the key features of CRPS, and have been invaluable in the affected limb can increase pain and swelling48,50. They hypothesised that maladaptive neuroplasticity
instruments for studying CRPS pathophysiology and testing potential new treatments, they fail to reproduce and cortical reorganisation of the motor M1 and somatosensory S1 cortices as likely contributors to functional
all of the classical symptoms. Additionally, the most commonly used models focus on physical trauma (fracture, impairments in CRPS and chronic pain patients51-53.
casting) as the cause of CRPS, however, up to 10 per cent of CRPS cases are not attributable to trauma/
In 2011, Marinus, Moseley, Birklein, Maihofner, Kingery and van Hilten jointly reviewed CRPS, focusing
injury27. Furthermore, the acute and chronic phases of CRPS differ considerably in terms of clinical presentation
on aberrant inflammatory pathways, vasomotor dysfunction, and maladaptive plasticity, as three major
and disease mechanisms, for which animal models provide limited accuracy28.
pathophysiological mechanisms driving the development and maintenance of CRPS53.
HYPOTHESES Basal ganglia dysfunction

Subcortical contributions to pain processing (including the basal ganglia) have also been studied54,55. Azqueta-
CRPS has defied a clear, unified pathological explanation to date. Many observations have been made of Gavaldon and colleagues proposed a hypothesis of basal ganglia dysfunction in CRPS56. Neuroinflammation
physiological abnormalities, however, how these explain the condition and who does and doesn’t develop of the basal ganglia due to microglial activation has been observed in CRPS patients, and this is positively
CRPS remains unclear29. Not surprisingly, treatments for the condition are limited in number, efficacy and their associated with pain intensity57. It is possible that an inflammatory/immune response can induce pathological
ability to enact a cure. There is a need for a valid hypothesis that accounts for the fundamental aspects of the changes in basal ganglia (for example, increased activity, altered dopamine neurotransmission)58. Insights
condition and suggests new treatment avenues based on confirmed pathophysiological mechanisms. gained from these studies, together with the implied roles of the basal ganglia in CRPS-associated motor
Kingery/Birklein dysfunction (such as dystonia) and mood disturbances (such as reward behaviour)59, provide hypothetical
grounds for involvement of basal ganglia dysfunction in CRPS pathophysiology56.
The work of Kingery, Clark and colleagues has been paramount to our understanding of inflammation and
immune system involvement in CRPS. Their latest review focuses on autoinflammatory and autoimmune Russo/Georgius (Authors)
contributions to CRPS pathophysiology30. Autoinflammation involves dysfunction of the innate immune system Inspired by the work of those above is our most recently proposed hypothesis29 which describes a four-
while autoimmunity involves the adaptive immune system, both of which are driven by dendritic cells (DCs – a component model and timeline of tissue trauma, pathological pain processing, autonomic dysregulation and
immune dysfunction, as shown in Figure 129. We propose that interactions between these components, which The hypotheses reviewed above cover the most notable biological systems for which there exists substantial
may vary in degree of homeostatic disturbance, involvement, and time course between individuals, may form evidence for involvement in CRPS: the immune system, autonomic nervous system, and the peripheral and
the basis of activation, development and maintenance of the condition. The focus of our hypothesis is on the central nervous systems. They attempt to explain how the proposed pathophysiological mechanisms support,
immune component. rather than contradict, each other. Furthermore, these hypotheses provide directions for future research and
fertile grounds for testing existing non-CRPS therapies, trialing new multimodal methods, and developing new
Figure 1. The proposed four component model of CRPS depicted as a time course of homeostatic therapies that have the potential to target multiple underlying factors of this complex condition.
disturbances. Adapted from Russo et al29.
CURRENT STATE-OF-THE-ART RECOMMENDATIONS
Timeliness of diagnosis and intervention is critical for improving prognosis. The majority of mild cases will
resolve within the first year, however, those who progress to the chronic phase have a poor prognosis3.
Additionally, psychological symptoms present within the first year are associated with worse outcomes if
left untreated64. Treatment of chronic CRPS is especially challenging and requires a different management
approach as the disease becomes more centrally driven and cortical changes may predominate.
As a multifactorial, heterogeneous disease, there is no “one size fits all” approach to treating the CRPS
patient. A mechanism-based approach that considers the individual’s clinical presentation and suspected
pathophysiology is recommended. Table 1 presents treatment options based on presenting signs and proposed
mechanisms as suggested by Gierthmühlen and colleagues65, and additional recommendations adapted from
the most up-to-date report by Birklein and Dimova3.
Table 1. Recommendations for treatment of CRPS based on clinical signs, mechanisms and
disease phase.
Clinical signs Treatment options

Inflammatory symptoms • Short-term corticosteroids
(acute CRPS; oedema, redness, heat, acute pain)
Regional osteopenia • Bisphosphonates
(acute CRPS) • Or corticosteroids + DMSO cream
Psychological symptoms • Behavioural therapies (CBT)

Distorted body representation • Physical and occupational therapy
• Mirror therapy (acute CRPS)
• Graded motor imagery (chronic CRPS)
Spontaneous pain, hyperalgesia, allodynia • Analgesics (including topical creams and
The authors propose that DCs are the primary drivers of CRPS. Activation, maturation/migration and/or combinations)
expansion of DCs may occur in the acute phase of CRPS as a result of specific processes/pathways that • Tricyclic antidepressants (amitriptyline,
come under the components of the model; 1) activation by damage-associated molecular products (DAMPs), nortriptyline)
which are released following tissue trauma36; 2) activation by tissue hypoxia caused by trauma60; 3) loss of • Gabapentin
DC inhibition in the regional lymph node due to loss of vagal control via the cholinergic anti-inflammatory
• Pregabalin
pathway, leading to loss of immune tolerance and the initiation of an adaptive immune response61; 4) activation
by norepinephrine due to excess sympathetic activity/stress response35; 5) loss of DC inhibition due to Sympathetically-maintained pain • Sympathetic nerve blocks
altered motor feedback (motor cortex, basal ganglia) as a result of limb immobilisation52. The downstream, • Intravenous ketamine infusion
(acute – intermediate CRPS)
chronic effects of this may include endothelial and vasomotor dysfunction, neuroinflammation due to microglial
activation, central sensitisation, autoimmunity, and pathological pain processing due to basal ganglia Chronic refractory pain • Spinal cord stimulation
dysfunction29. • Dorsal root ganglion stimulation (lower limb CRPS)
Recently, Russo, Austin and colleagues published the results of an immune profiling study of the serum of
Central motor symptoms (dystonia) • Intramuscular botulinum toxin type A (intermediate
CRPS patients which complement this hypothesis62. In this study, expansion and activation of multiple central
CRPS)
memory T cell populations compared to healthy matched controls was found. A decreased population of
myeloid DCs was observed, but with increased p38 phosphorylation, which was correlated with increased • Intrathecal baclofen pump (chronic CRPS)
activation of central memory T cells. The decreased number of DCs might indicate migration to peripheral tissue
and regional draining lymph nodes, where they activate T-cells and induce an adaptive immune response63.
More recently, the European Pain Federation established a task force of CRPS experts and published a
position paper on standards for the management (and diagnosis) of CRPS15. These standards cover diagnosis,
IMPLICATIONS OF THE HYPOTHESES referral and education, pain management, physical and vocational rehabilitation, and treating distress.
Formerly, there existed a scatter of seemingly disparate fields of research and schools of thought on the
pathophysiology of CRPS. It was largely believed that CRPS was primarily a neurological disorder. This belief
has since shifted towards CRPS as an immunoneurological disorder.
FUTURE RESEARCH AREAS 21. Birklein F, Ibrahim A, Schlereth T, Kingery WS. The rodent tibia fracture model:a critical review and comparison with the
complex regional pain syndrome literature. J Pain. 2018;19(10):1102.
For each target area of dysfunction (immune, autonomic, central pain processing, autoantibody production) 22. Li WW, Guo TZ, Li XQ, Kingery WS, Clark JD. Fracture induces keratinocyte activation, proliferation, and expression of
there are several candidate treatments that will need to be evaluated both in animal models and human trials. pro-nociceptive inflammatory mediators. Pain. 2010;151(3):843-52.
The complexity of combining treatments in different areas will challenge clinical trial design. A more robust 23. Li WW, Sabsovich I, Guo TZ, Zhao R, Kingery WS, Clark JD. The role of enhanced cutaneous IL-1beta signaling in a rat
animal model that more closely mimics the human CRPS condition may need to be developed and will likely tibia fracture model of complex regional pain syndrome. Pain. 2009;144(3):303-13.
involve a refinement of the rodent tibia fracture/casting model (possibly with central sensitisation induced by 24. Sabsovich I, Guo TZ, Wei T, Zhao R, Li X, Clark DJ, et al. TNF signaling contributes to the development of nociceptive
sensitization in a tibia fracture model of complex regional pain syndrome type I. Pain. 2008;137(3):507-19.
initial opioid therapy/nicotine exposure).
25. Coderre TJ, Xanthos DN, Francis L, Bennett GJ. Chronic post-ischemia pain (CPIP): a novel animal model of complex
On a systems front, there needs to be research conducted on how patients presenting with acute CRPS regional pain syndrome-type I (CRPS-I; reflex sympathetic dystrophy) produced by prolonged hindpaw ischemia and
can be navigated through the health care system to achieve timely therapy, often alongside treatment of their reperfusion in the rat. Pain. 2004;112(1-2):94-105.
primary limb injury. 26. Klafke JZ, da Silva MA, Rossato MF, de Pra SD, Rigo FK, Walker CI, et al. Acute and chronic nociceptive
phases observed in a rat hind paw ischemia/reperfusion model depend on different mechanisms. Pflugers Arch.
Further detailed examination of immune system changes in a serial real time manner would help elucidate cause 2016;468(2):229-41.
and association effects and determine critical immune processes for blockade/augmentation. 27. de Rooij AM, Perez RS, Huygen FJ, van Eijs F, van Kleef M, Bauer MC, et al. Spontaneous onset of complex regional pain
syndrome. Eur J Pain. 2010;14(5):510-13.
28. Wei T, Guo TZ, Li WW, Kingery WS, Clark JD. Acute versus chronic phase mechanisms in a rat model of CRPS. J
CONCLUSIONS Neuroinflammation. 2016;13:14.
CRPS has remained both an enigma and a frustrating condition to treat for generations of pain physicians. 29. Russo M, Georgius P, Santarelli DM. A new hypothesis for the pathophysiology of complex regional pain syndrome. Med
Hypotheses. 2018;119:41-53.
Very recently, there is good evidence of the immune, autonomic and central pain processing abnormalities of
30. David Clark J, Tawfik VL, Tajerian M, Kingery WS. Autoinflammatory and autoimmune contributions to complex regional
the condition, and this should allow effective treatment options to emerge over the next few years. It is clear to pain syndrome. Mol Pain. 2018;14:1744806918799127.
researchers in the field that no single “magic bullet” treatment will likely be developed. Rather, it is likely that a 31. Li WW, Guo TZ, Shi X, Birklein F, Schlereth T, Kingery WS, et al. Neuropeptide regulation of adaptive immunity in the tibia
suite of treatments aimed at bringing the various disturbed body systems back into homeostasis is likely to be fracture model of complex regional pain syndrome. J Neuroinflammation. 2018;15(1):105.
required, and that the earlier this suite of treatments can be deployed, the more likely the true resolution of the 32. Huygen FJ, De Bruijn AG, De Bruin MT, Groeneweg JG, Klein J, Zijlstra FJ. Evidence for local inflammation in complex
condition will occur. This will require neurohumoral treatments that employ both a top down and a bottom up regional pain syndrome type 1. Mediators Inflamm. 2002;11(1):47-51.
approach wedded to multimodal rehabilitation involvement. 33. Birklein F, Drummond PD, Li W, Schlereth T, Albrecht N, Finch PM, et al. Activation of cutaneous immune responses in
complex regional pain syndrome. J Pain. 2014;15(5):485-95.
34. Schlereth T, Drummond PD, Birklein F. Inflammation in CRPS: role of the sympathetic supply. Auton Neurosci.
REFERENCES 2014;182:102-7.
1. Ratti C, Nordio A, Resmini G, Murena L. Post-traumatic complex regional pain syndrome: clinical features and 35. Maestroni GJ. Dendritic cell migration controlled by alpha 1b-adrenergic receptors. J Immunol. 2000;165(12):6743-7.
epidemiology. Clin Cases Miner Bone Metab. 2015;12(Suppl 1):11-6. 36. Nestle FO, Di Meglio P, Qin JZ, Nickoloff BJ. Skin immune sentinels in health and disease. Nat Rev Immunol.
2. Harden RN, Bruehl S, Perez RS, Birklein F, Marinus J, Maihofner C, et al. Validation of proposed diagnostic criteria (the 2009;9(10):679-91.
“budapest criteria”) for complex regional pain syndrome. Pain. 2010;150(2):268-74. 37. Hopp AK, Rupp A, Lukacs-Kornek V. Self-antigen presentation by dendritic cells in autoimmunity. Front Immunol.
3. Birklein F, Dimova V. Complex regional pain syndrome-up-to-date. Pain Rep. 2017;2(6):e624. 2014;5:55.
4. Birklein F, O’Neill D, Schlereth T. Complex regional pain syndrome: an optimistic perspective. Neurology. 2015;84(1):89-96. 38. Kohr D, Tschernatsch M, Schmitz K, Singh P, Kaps M, Schafer KH, et al. Autoantibodies in complex regional pain
5. Weissmann R, Uziel Y. Pediatric complex regional pain syndrome: a review. Pediatr Rheumatol Online J. 2016;14(1):29. syndrome bind to a differentiation-dependent neuronal surface autoantigen. Pain. 2009;143(3):246-51.
6. Mitchell SW. Injuries of nerves and their consequences. Arch Neurol. 1970;22(1):90-4. 39. Kohr D, Singh P, Tschernatsch M, Kaps M, Pouokam E, Diener M, et al. Autoimmunity against the beta2 adrenergic
7. Mitchell SW, Morehouse GR, Keen WW. Gunshot wounds, and other injuries of nerves. Philadelphia: J.B. Lippincott & receptor and muscarinic-2 receptor in complex regional pain syndrome. Pain. 2011;152(12):2690-700.
Co.; 1864. 40. Dubuis E, Thompson V, Leite MI, Blaes F, Maihofner C, Greensmith D, et al. Longstanding complex regional pain
8. Iolascon G, de Sire A, Moretti A, Gimigliano F. Complex regional pain syndrome (CRPS) type i: historical perspective and syndrome is associated with activating autoantibodies against alpha-1a adrenoceptors. Pain. 2014;155(11):2408-17.
critical issues. Clin Cases Miner Bone Metab. 2015;12(Suppl 1):4-10. 41. Tekus V, Hajna Z, Borbely E, Markovics A, Bagoly T, Szolcsanyi J, et al. A CRPS-IgG-transfer-trauma model reproducing
9. Sudeck P. On acute inflammatory bone atrophy. J Hand Surg Br. 2005;30(5):477-81. inflammatory and positive sensory signs associated with complex regional pain syndrome. Pain. 2014;155(2):299-308.
10. Classification of chronic pain. Descriptions of chronic pain syndromes and definitions of pain terms. Prepared by the 42. Goebel A, Leite MI, Yang L, Deacon R, Cendan CM, Fox-Lewis A, et al. The passive transfer of immunoglobulin G serum
International Association for the Study of Pain, Subcommittee on Taxonomy. Pain Suppl. 1986;3:S1-226. antibodies from patients with longstanding complex regional pain syndrome. Eur J Pain. 2011;15(5):504.
11. Galer BS, Bruehl S, Harden RN. IASP diagnostic criteria for complex regional pain syndrome: a preliminary empirical 43. Birklein F, Ajit SK, Goebel A, Perez R, Sommer C. Complex regional pain syndrome – phenotypic characteristics and
validation study. International Association for the Study of Pain. Clin J Pain. 1998;14(1):48-54. potential biomarkers. Nat Rev Neurol. 2018;14(5):272-84.
12. Bruehl S, Harden RN, Galer BS, Saltz S, Bertram M, Backonja M, et al. External validation of IASP diagnostic criteria for 44. Birklein F, Schlereth T. Complex regional pain syndrome-significant progress in understanding. Pain. 2015;156 Suppl
complex regional pain syndrome and proposed research diagnostic criteria. International Association for the Study of Pain. 1:S94-103.
Pain. 1999;81(1-2):147-54. 45. Maihofner C, Handwerker HO, Neundorfer B, Birklein F. Cortical reorganization during recovery from complex regional
13. Harden RN, Bruehl S, Galer BS, Saltz S, Bertram M, Backonja M, et al. Complex regional pain syndrome: Are the IASP pain syndrome. Neurology. 2004;63(4):693-701.
diagnostic criteria valid and sufficiently comprehensive? Pain. 1999;83(2):211-19. 46. Maihofner C, Handwerker HO, Neundorfer B, Birklein F. Patterns of cortical reorganization in complex regional pain
14. Harden RN, Bruehl S, Stanton-Hicks M, Wilson PR. Proposed new diagnostic criteria for complex regional pain syndrome. syndrome. Neurology. 2003;61(12):1707-15.
Pain Med. 2007;8(4):326-31. 47. Moseley GL. Distorted body image in complex regional pain syndrome. Neurology. 2005;65(5):773.
15. Goebel A, Barker C, Birklein F, Brunner F, Casale R, Eccleston C, et al. Standards for the diagnosis and management of 48. Moseley GL. Imagined movements cause pain and swelling in a patient with complex regional pain syndrome. Neurology.
complex regional pain syndrome: Results of a European Pain Federation Task Force. Eur J Pain. 2019;23(4):641-51. 2004;62(9):1644.
16. Watson HK, Carlson L. Treatment of reflex sympathetic dystrophy of the hand with an active “stress loading” program. J 49. Moseley GL. Why do people with complex regional pain syndrome take longer to recognize their affected hand?
Hand Surg Am. 1987;12(5 Pt 1):779-85. Neurology. 2004;62(12):2182-6.
17. Cepeda MS, Carr DB, Lau J. Local anesthetic sympathetic blockade for complex regional pain syndrome. Cochrane 50. Moseley GL, Zalucki N, Birklein F, Marinus J, van Hilten JJ, Luomajoki H. Thinking about movement hurts: the effect of
Database Syst Rev. 2005;(4):CD004598. motor imagery on pain and swelling in people with chronic arm pain. Arthritis Rheum. 2008;59(5):623-31.
18. Nicol AL, Hurley RW, Benzon HT. Alternatives to opioids in the pharmacologic management of chronic pain syndromes: a 51. Lotze M, Moseley GL. Role of distorted body image in pain. Curr Rheumatol Rep. 2007;9(6):488-96.
narrative review of randomized, controlled, and blinded clinical trials. Anesth Analg. 2017;125(5):1682-703. 52. Swart CM, Stins JF, Beek PJ. Cortical changes in complex regional pain syndrome (CRPS). Eur J Pain. 2009;13(9):902-7.
19. Tajerian M, Clark JD. New concepts in complex regional pain syndrome. Hand Clin. 2016;32(1):41-9. 53. Marinus J, Moseley GL, Birklein F, Baron R, Maihofner C, Kingery WS, et al. Clinical features and pathophysiology of
20. Guo TZ, Offley SC, Boyd EA, Jacobs CR, Kingery WS. Substance P signaling contributes to the vascular and nociceptive complex regional pain syndrome. Lancet Neurol. 2011;10(7):637-48.
abnormalities observed in a tibial fracture rat model of complex regional pain syndrome type. Pain. 2004;108(1-2):95-107. 54. Chudler EH, Dong WK. The role of the basal ganglia in nociception and pain. Pain. 1995;60(1):3-38.
55. Borsook D, Upadhyay J, Chudler EH, Becerra L. A key role of the basal ganglia in pain and analgesia – insights gained
through human functional imaging. Mol Pain. 2010;6:27.
56. Azqueta-Gavaldon M, Schulte-Gocking H, Storz C, Azad S, Reiners A, Borsook D, et al. Basal ganglia dysfunction in
complex regional pain syndrome - a valid hypothesis? Eur J Pain. 2017;21(3):415-24.
57. Jeon SY, Seo S, Lee JS, Choi SH, Lee DH, Jung YH, et al. [11C]-(R)-PK11195 positron emission tomography in patients
with complex regional pain syndrome: a pilot study. Medicine (Baltimore). 2017;96(1):e5735.
58. Capuron L, Pagnoni G, Demetrashvili MF, Lawson DH, Fornwalt FB, Woolwine B, et al. Basal ganglia hypermetabolism
and symptoms of fatigue during interferon-alpha therapy. Neuropsychopharmacology. 2007;32(11):2384-92.
59. Linnman C, Becerra L, Borsook D. Inflaming the brain: CRPS a model disease to understand neuroimmune interactions in
chronic pain. J Neuroimmune Pharmacol. 2013;8(3):547-63.
60. Koban M, Leis S, Schultze-Mosgau S, Birklein F. Tissue hypoxia in complex regional pain syndrome. Pain. 2003;104(1-
2):149-57.
61. Fujii T, Mashimo M, Moriwaki Y, Misawa H, Ono S, Horiguchi K, et al. Physiological functions of the cholinergic system in
immune cells. J Pharmacol Sci. 2017;134(1):1-21.
62. Russo MA, Fiore NT, van Vreden C, Bailey D, Santarelli DM, McGuire HM, et al. Expansion and activation of distinct
central memory T lymphocyte subsets in complex regional pain syndrome. J Neuroinflammation. 2019;16(1):63.
63. Agrawal S, Agrawal A, Doughty B, Gerwitz A, Blenis J, Van Dyke T, et al. Cutting edge: different Toll-like receptor agonists
instruct dendritic cells to induce distinct Th responses via differential modulation of extracellular signal-regulated kinase-
mitogen-activated protein kinase and c-Fos. J Immunol. 2003;171(10):4984-89.
64. Bean DJ, Johnson MH, Heiss-Dunlop W, Lee AC, Kydd RR. Do psychological factors influence recovery from complex
regional pain syndrome type 1? A prospective study. Pain. 2015;156(11):2310-18.
65. Gierthmuhlen J, Binder A, Baron R. Mechanism-based treatment in complex regional pain syndromes. Nat Rev Neurol.
2014;10(9):518-28.
Brain/Neuro
Postoperative delirium
Kate O’Hare, Silke Brinkmann, Dale Currigan
The psychedelic renaissance:

Ethnopharmacology, neuroscience and
clinical efficacy
John Akers
High hopes for dope: What role does medicinal

cannabis play in current clinical practice?
Nilru Vitharana, Jane Standen
Anaesthetic implications of restless legs

syndrome: A review
Nicole Somi, Elizabeth Merenda, Thomas Bruessel
Postoperative delirium 195
Postoperative delirium
Kate O’Hare MB BCh BAO FCAI
Simulation Fellow, Department of Anaesthesia, Sir Charles Gairdner Hospital.
Dr O’Hare is an Irish anaesthetist on fellowship at Sir Charles Gairdner Hospital (SCGH), where she has
recently joined the Post-Operative Delirium Action Group. Her other clinical interests include medical
education, perioperative medicine and paediatric anaesthesia.
Silke Brinkmann MBBS (Hons) FANZCA

Consultant Anaesthetist, Department of Anaesthesia, Sir Charles Gairdner Hospital.
Dr Brinkmann has worked as a consultant anaesthetist in public and private practice in Perth, Australia and
also in Vancouver, Canada. She was the founding member of Sir Charles Gairdner Hospital’s Post-Operative
Delirium Action (PODA) group in 2017. This has evolved into a multidisciplinary team led by Anaesthesia and
Geriatrics, focused on developing “ERAS for the Brain”. Her main interest areas include perioperative medicine,
regional anaesthesia and simulation-based education, particularly for multidisciplinary teams.
Dale Currigan MBBS(Hons) FANZCA MClinUS

Consultant Anaesthetist, Department of Anaesthesia, Sir Charles Gairdner Hospital.
Dr Currigan is a consultant anaesthetist at Sir Charles Gairdner Hospital, Western Australia, where he is
Director of Research. His clinical interests include perioperative echocardiography, acute pain, regional and
vascular anaesthesia.
INTRODUCTION
“Now it is useless to adopt remedies when the delirium is at its height… there is nothing else to do than to
restrain the patient, but when circumstances permit, relief must be given with haste…”
It is believed that the term delirium first appeared in medical literature in De Medicina by Aulos Cornelius Celsus
during the reign of the Roman Emperor Tiberius (14–37 AD)1. In modern times the World Health Organization
(WHO) has defined delirium as “an etiologically nonspecific organic cerebral syndrome characterized by
concurrent disturbances of consciousness and attention, perception, thinking, memory, psychomotor behaviour,
emotion, and the sleep-wake schedule. The duration is variable and the degree of severity ranges from mild to
very severe.”
Postoperative delirium (POD) has been incorporated into the new 2018 nomenclature for Perioperative
Neurocognitive Disorders2. This replaces the old terminology for “postoperative cognitive dysfunction” and
more clearly highlights delirium as a distinct condition in line with DSM-V diagnostic criteria and the diagnostic
lexicon used by physicians and other medical specialists. The new nomenclature defines POD as that which
occurs in hospital up to 1 week post procedure or until discharge (whichever occurs first) and meets DSM-V
diagnostic criteria3.
DSM-V diagnostic criteria for delirium is as follows:
• Disturbance in attention (that is, reduced ability to direct, focus, sustain, and shift attention) and awareness
(reduced orientation to the environment).
• The disturbance develops over a short period of time (usually hours to a few days), represents an acute
change from baseline attention and awareness, and tends to fluctuate in severity during the course of a day.
• An additional disturbance in cognition (for example, memory deficit, disorientation, language, visuospatial
ability, or perception).
• The disturbances in Criteria A and C are not better explained by a pre-existing, established or evolving
neurocognitive disorder and do not occur in the context of a severely reduced level of arousal such as coma.
• There is evidence from the history, physical examination or laboratory findings that the disturbance is a
direct physiological consequence of another medical condition, substance intoxication or withdrawal (that is,
due to a drug of abuse or to a medication), or exposure to a toxin, or is due to multiple aetiologies.
POD is a postoperative complication that can occur in patients of any age. It represents a different syndrome
to emergence delirium, which can occur in up to 20% of cases, particularly in children. Older patients are
at particularly high risk of POD due to their increased rates of predisposing risk factors such as pre-existing
cognitive impairment, comorbidities, malnutrition, sensory deficits, impaired functional status and frailty.
196 Australasian Anaesthesia 2019 – Brain/Neuro Postoperative delirium 197
Perioperative neurocognitive disorders, previously referred to as postoperative cognitive dysfunction, have A 2019 systematic review10 of preoperative biomarkers and imaging tests as predictors of POD in non-cardiac
been the subject of much contemporary research. The International Perioperative Cognition Nomenclature surgical patients found that C-reactive protein is currently the most promising biomarker associated with POD.
Working Group has recently published its recommendations2. They recommend that the term “perioperative The search for a reliable biomarker is ongoing and there is currently no standard biomarker for diagnosis or
neurocognitive disorders” be used for cognitive impairment identified in the preoperative or postoperative prognosis of postoperative cognitive issues. The findings of some research on biomarker association with POD
period. This term is inclusive of cognitive decline diagnosed preoperatively (neurocognitive disorder), any and postoperative neurocognitive disorders are contradictory and thus further research including the use of
acute event (POD), cognitive decline diagnosed up to 30 days following a procedure (delayed neurocognitive medical imaging and metabolic and genomic testing is required.
recovery) and up to 12 months post procedure (postoperative neurocognitive disorder), see Figure 1. It is
hoped that adoption of this terminology, which is similar to that used outside of anaesthesia, will improve CLINICAL PRESENTATION
consistency in the way perioperative cognitive disorders are communicated and reported.
Delirium can present in a hyperactive, hypoactive or mixed form. The American Geriatrics Society identified
Figure 1. Diagram of old versus new nomenclature. several symptoms associated with POD in their best practice statement in 201511. These symptoms include: an
abrupt change in cognitive function (worsening confusion over hours or days) including problems with attention,
difficulty concentrating, new memory problems and new disorientation. Patients may have difficulty tracking
conversations, following instructions and have quick changing emotions, easily irritated, appear hypervigilant
and have uncharacteristic refusals to engage with postoperative care. Other features that may be present
include expression of new paranoid thoughts or delusions or new perceptual disturbances such as illusions and
hallucinations. Symptoms specific to hypoactive delirium include slowed speech, which is more disorganised
and difficult to follow, slowed or decreased movements, decreased appetite, new incontinence and changes to
the sleep wake cycle such as sleeping during the day. Symptoms and level of arousal fluctuate over the course
of minutes to hours.
It is essential that patients with these symptoms are identified early and appropriately managed. There are
several tools available to monitor for delirium including the confusion assessment method and the 4AT. The
4AT is a validated tool that is frequently used to screen hospital inpatients for delirium12. Table 1 outlines this
assessment. A score of 4 or above indicates possible delirium +/- cognitive impairment, 1-3: possible cognitive
impairment and 0 represents that delirium or cognitive impairment is unlikely.
Table 1. 4AT Rapid clinical test for delirium.
Alertness Normal 0 points

Clearly abnormal 4 points
In Australia there are approximately 11 million hospitalisations per annum. One in four of these involve a surgical AMT4 0 mistakes 0 points
procedure and almost one third of these are in patients aged over 60 years. It is estimated that by 2050, those
aged over 60 will comprise 25% of the population and receive 50% of all anaesthetics. Rates of POD and Age, date of birth, place (name of 1 mistake 1 point
postoperative neurocognitive disorders vary widely depending on the patient’s age, surgical procedure and the hospital or building), current
≥2 mistakes or untestable 2 points
comorbidities, with some studies suggesting rates of up to 87% in high risk populations4. year
Attention Lists more than 7 months correctly 0 points
An episode of POD has a huge impact on individual patients and their families but also on the healthcare
system. The Australian Commission on Quality and Safety in Healthcare estimates that each hospitalisation Instruct patient to list months Starts but lists less than 7 months 1 point
involving hospital-acquired delirium is associated with $27,791 in extra costs. Postoperative delirium is an in reverse order, starting at or refuses to start
independent risk factor for increased morbidity and mortality5. Studies have shown that mortality is increased at December
6-month and 5-year follow-up6. Untestable (cannot start because 2 points
unwell, drowsy or inattentive)
In this article we will review recent literature on POD.
Acute change or fluctuating Yes 4 points
course
PATHOPHYSIOLOGY No 0 points
Evidence of significant change or
The exact pathophysiology of delirium is not yet completely understood. It is widely accepted that acute fluctuation in mental status
central cholinergic deficiency plays a key role. Other theories suggest that decreased GABA-ergic activity,
abnormalities in serotonin and melatonin pathways, noradrenergic hyperactivity and cerebral hypoperfusion are Families and carers can play a key role in identifying a change in a patient’s behaviour if they are educated in
other potential mechanisms. Surgery itself is associated with cholinergic inhibition, serotonin deficiency and what to look for. Currently in our institution, we are trialling the introduction of an information sheet for families of
cortisol excess which may contribute specifically to post operative delirium7,8. patients who are identified as at risk of POD. We hope that this intervention will help to decrease the frequency
In older but otherwise healthy patients, activation of the peripheral immune system causes an exaggerated of delirium but also lead to earlier diagnosis and management for patients who develop POD.
cerebral inflammatory response. This may explain why older adults are more prone to delirium even after an
apparently trivial precipitating event. The ageing process seems to serve as a “priming” stimulus for microglia IDENTIFYING THE AT-RISK PATIENT
via toll-like receptor 4, which then release large quantities of proinflammatory cytokines when stimulated by
Throughout the literature one of the most common independent risk factors for POD is pre-existing cognitive
peripheral inflammatory signals.
impairment. Screening patients for cognitive impairment in the preoperative setting can not only help to assess
Recent research has shown that acute systemic inflammation induces both transient, reversible cognitive risk of POD, but also provide a baseline performance when screening for delirium postoperatively.
deficits (which resembles delirium) and lasting brain injury, and that interleukin 1 contributes to both processes,
Formal cognitive assessments such as the AMT-4 (age, date of birth, place and year) and Mini-Cog© are a brief
but via differing mechanisms9.
and accurate way of assessing cognition which can be easily incorporated into the anaesthetic preassessment
clinic or the standard admission documentation8. The Mini-Cog© consists of 2 components, a 3-item recall test MANAGEMENT OF THE AT-RISK OR DELIRIOUS PATIENT
for memory and a simply scored clock drawing test.
Preoperative
The Montreal Cognitive Assessment (MoCA) tool is another frequently used assessment tool. It was initially Screening patients preoperatively to assess their risk for POD is key to good management of these patients.
validated to screen for mild cognitive impairment, but is now used more broadly to assess cognitive impairment. Although formal neurocognitive testing can be time consuming, brief assessments can add valuable information,
The MoCA assesses multiple cognitive domains: attention and concentration, executive functions, memory, with the aim of counselling patients on perioperative risk and implementing targeted strategies to prevent
language, visuoconstructional skills, conceptual thinking, calculations, and orientation. It has greater sensitivity POD15.
than the mini mental state examination (MMSE), so may detect cognitive impairment in patients with memory
complaints who score within the normal limits of MMSE13. Telephone-based screening tools can also be The addition of the AMT-4, Mini-Cog© or clock draw tests to admission documentation provides a fast and
used as part of the preoperative workup. The Telephone Interview for Cognitive Status (TICS) and Telephone effective screening tool for cognitive impairment. Staff education in other risk factors for POD is also key.
Interview for Cognitive Status—Modified (TICSM) are validated tools that have been shown in epidemiological Guidance from the European Society of Anaesthesiology16 and the Brain Health Initiative15 in the United States
studies to detect a range of mild to moderate cognitive disorders14. If cognitive impairment is diagnosed in also recommend that any modifiable risk factors for POD should be addressed in the preoperative period if
the preoperative setting, patients can then be referred to a geriatrician, neurologist or psychiatrist for a more possible. This may include optimising pain management plans, alcohol reduction, minimising polypharmacy
detailed work up and ongoing management. and limiting preoperative fluid fasting. Patients and their families should also be educated about the risk of
delirium, and what they can do to reduce these risks postoperatively, such as regular reorientation, presence of
The European Society of Anaesthesiologists and the American Geriatrics Society have both recently published familiar faces and help to correct sensory impairments. As the concept of shared decision-making takes greater
guidelines that identify key risk factors for the development of POD. These can be divided into predisposing importance, understanding all of the risks is important in the consent process.
and precipitating factors and are summarised in Table 2.
A referral to a geriatrician for further assessment and management may also be warranted in the preoperative
Table 2. Risk factors for POD. period. Indeed, a meta-analysis of perioperative interventions to reduce delirium found that a geriatrics
consultation before surgery was one of only two perioperative interventions that were associated with a
reduction in delirium17.
Predisposing factors Precipitating factors
Studies considering the effect of premedication on the incidence of POD have not yet found any agents that
Age greater than 65 years. Procedure related factors: prevent POD18.
Cognitive impairment. • Hip fracture surgery.
Intraoperative
• Aortic surgery.
Hearing or vision impairment. Choice of Anaesthetic Technique
• Prolonged procedures.
The European Society of Anaesthesiology was unable to make a recommendation about the choice of
Severe illness or comorbidity burden, especially:
Medical/Physiological factors: anaesthetic agent to be used intraoperatively to reduce risk of POD, due to a lack of conclusive evidence.
• Cerebrovascular events. A Cochrane review published in 201819 also found little or no difference in POD according to the type
• Hypoxia or hypercarbia.
• Cardiovascular disease. of anaesthetic maintenance agent in non-cardiac surgery patients. This group did however find that total
• Renal insufficiency. intravenous anaesthesia (TIVA) with propofol may reduce postoperative neurocognitive disorders. It remains
• Peripheral vascular disease.
• Dehydration and prolonged preoperative fluid unclear whether the choice of anaesthetic technique plays a significant role in the development of POD. Animal
• Diabetes.
fasting. data suggests that cognitive impairment is triggered by the combination of anaesthesia and surgery and not by
• Anaemia. anaesthesia alone.
• Presence of infection.
• Parkinson’s disease.
• Hypothermia on admission to the Post- Light versus deep sedation has not been shown to have effect on rates of delirium in older adults presenting for
• Depression and anxiety disorders. Anaesthesia Care Unit. hip fracture repair under spinal anaesthesia20. This randomised clinical trial did however show that in patients
Poor functional status, immobilisation or limited • Electrolyte abnormalities (hyper- or hyponatremia). with low baseline comorbidities (Charlson comorbidity index score 0), lighter sedation halved the risk of POD.
mobility. There is currently insufficient evidence as to whether neuraxial anaesthesia reduces the development of delirium
Other factors:
Polypharmacy and use of psychotropic medications, compared to general anaesthesia. A recent Australian trial was unable to demonstrate a difference between
• Alcohol use.
especially: patients who received a general versus a spinal anaesthetic during neck of femur fracture surgery21.
• Sleep deprivation or disturbance.
• Benzodiazepines. Depth of anaesthesia monitoring
• Presence of urinary catheter.
• Anticholinergics. The use of bispectral index (BIS) guided anaesthesia techniques was shown by Radtke et al22 to be associated
• Poor nutrition.
• Antihistamines. with a reduced incidence of POD. By avoiding excessively deep anaesthesia (that is, target BIS of 40-60) there
• Risk of urinary retention or constipation. was a reduction in the amount of anaesthetic agent (propofol or volatile) delivered and subsequently a reduction
• Antipsychotics. in POD. While the exact mechanism linking the depth of anaesthesia to POD remains unclear, this study does
• Low albumin. suggest that avoiding excessively deep anaesthesia is an important strategy for the prevention of delirium.
In its guideline on risk reduction and management of delirium published in March 2019 the Scottish
The risk of developing delirium can be thought of as a product of these predisposing and precipitating factors. A
Intercollegiate Guidelines Network23 recommend that depth of anaesthesia should be monitored in all patients
patient with multiple predisposing factors is more likely to develop delirium after a trivial precipitating event, whereas a
aged over 60 years under general anaesthesia for surgery expected to last for more than 1 hour, with the aim
substantial precipitating event would be required for a patient with no predisposing factors to develop POD.
of avoiding excessively deep anaesthesia. Similarly the Perioperative Neurotoxicity Working Group recommend
There are no definitive laboratory tests to diagnose POD, and acute abnormalities of attention and cognition that anaesthetists should perform electroencephalogram-based anaesthetic management in older adults15.
have a large list of differential diagnoses. A full workup including full blood count, renal profile, blood glucose,
A 2018 Cochrane review24 has also concluded that there is moderate quality evidence that anaesthesia guided
blood gas, urinalysis and ECG should be considered in all patients with an acute change in their cognitive
by processed EEG indices could reduce the risk of POD in patients aged over 60, undergoing non-cardiac
status to out rule reversible cause such as hypoxia, hypoglycaemia, or electrolyte abnormalities. Alcohol
and non-neurological surgical procedures. The benefit of EEG-guided anaesthesia in reducing POD has more
withdrawal and conditions such as meningitis or status epilepticus can also cause an acute change in
recently been drawn into question, however, following the ENGAGES study published in February 201925. This
consciousness and should be considered if appropriate. There are currently no known neuroimaging findings
randomised control trial of 1232 older adults undergoing major surgery found that EEG-guided anaesthetic
which correlate to POD. As a result, imaging studies should only be requested if there is clinical suspicion of a
administration did not decrease the incidence of POD when compared to usual care. This study also found
specific finding, for example, stroke.
that there was an increased risk of undesirable patient movement in the EEG-guided group and similar rates of The role of antipsychotics in the management of POD is controversial. In its clinical care standard for
serious adverse effects in the usual care and EEG-guided groups. delirium the Australian Commission on Quality and Safety in Healthcare recommends minimising the use of
antipsychotic medications as they have a number of adverse effects for older people and can worsen delirium.
Hypotension
If non-pharmacological interventions have not been effective the commission suggest that antipsychotics be
Intraoperative blood pressure fluctuation has been shown to be significantly associated with delirium. While introduced at low doses and that response be closely monitored.
a recent Italian pilot study has also demonstrated that intraoperative hypotension is not associated with
postoperative neurocognitive dysfunction26,27 the Neurotoxicity Working Group recommend that intraoperative The best practice statement from the American Geriatric Society also makes recommendations about drug
hypotension be avoided in an effort to maintain cerebral perfusion15. prescribing in patients at risk of delirium. These include that healthcare practitioners should avoid the use
of medications that induce delirium postoperatively. These medications include drugs with anticholinergic
Dexmedetomidine properties such as tricyclic antidepressants, corticosteroids and sedative hypnotics such as benzodiazepines.
The use of intraoperative dexmedetomidine has been shown to decrease the risk of POD in cardiac and non- The introduction of multiple new medications has also been shown to increase delirium postoperatively. The
cardiac surgery patients28. A systematic review and metanalysis published in the British Journal of Anaesthesia American Geriatric Society also highlights the importance of formal and informal education programs for staff to
in 2018 found that POD was also reduced if dexmedetomidine was administered during the postoperative improve understanding of delirium.
period. Optimal dosing of dexmedetomidine is still under investigation but the authors of this metanalysis
suggest starting with no loading dose or up to 0.5 micrograms per kilogram followed by a maintenance dose of WHERE DO WE GO FROM HERE?
0.2 micrograms per kilogram per hour29.
The concept of enhanced recovery after surgery (ERAS) has been suggested as a framework for developing
The 2019 SIGN guideline on delirium does not recommend the use of dexmedetomidine in the perioperative care pathways for those at risk of POD and or postoperative neurocognitive disorders. Our institution is
setting, citing potential physiological concerns and cost implications. developing an “ERAS for the Brain” pathway incorporating many of the factors discussed in this article:
Ketamine • Comprehensive screening of patients preoperatively.
Ketamine has been used intraoperatively as part of a multimodal analgesia approach and in an effort to reduce • Identification of screen-positive patients as “at risk” and elevation to “ERAS for the Brain” perioperative
opioid consumption. It had been suggested that intraoperative ketamine in subanaesthetic doses may also pathway.
reduce the incidence of POD. • A discussion with patient and family (and provision of written information sheet) about the risk of POD and
The PODCAST study30 published in The Lancet in 2017 found that a single subanaesthetic dose of postoperative neurocognitive dysfunction, highlighting strategies which will minimise this risk.
intraoperative ketamine has did not decrease the incidence of delirium in older patients after major surgery and • Information sheet for anaesthesia care providers regarding intra-operative best practice, including avoidance
also highlighted that intraoperative ketamine may cause harm by inducing negative experiences for patients. of high-risk medications, and consideration of processed EEG and TIVA.
Other interventions • Information sheet for ward-based care providers regarding postoperative best practice (prevention),
including pharmacological optimisation and non-pharmacological approaches (medication management,
Guidelines from the European Society of Anaesthesiology, the American Geriatrics Society and the Australian early mobilisation and exercise, cognitive stimulation, support of circadian rhythms with sleep protocols
Commission on Quality and Safety in Healthcare suggest other interventions that may reduce the incidence of and hygiene, vision and hearing aids, maintenance of electrolytes, early removal of the urinary catheter) and
POD. These include implementation of fast track surgery, avoidance of routine benzodiazepine premedication education for nurses.
(except in acute withdrawal) and adequate pain assessment and treatment5,16,11.
• Early detection and optimal management using our hospital’s confusion protocol.
The role of dexamethasone is also currently under investigation. One phase three double blind randomised
control trial found that a single low dose of dexamethasone before non-cardiac and non-neurological surgery This pathway would also encourage a multidisciplinary approach to care of these patients with early involvement
reduced the incidence of postoperative neurocognitive disorders31. with allied health services and geriatricians.
Postoperative In conclusion, POD and postoperative neurocognitive disorders are a common issue for older patients
presenting for elective and emergency surgery. While there is not currently enough evidence to recommend
The majority of the recommendations from the Australian Clinical Care Standards, the American Geriatrics a specific anaesthetic technique to avoid this, there are several interventions throughout the patient’s hospital
Society Delirium Guidelines Panel and the European Society of Anaesthesiology relate to the postoperative journey which can mitigate the risk for development of POD and postoperative neurocognitive disorders.
period. The strongest recommendations involve postoperative multicomponent non-pharmacological
interventions by an interdisciplinary team; and optimisation of analgesia and medications (in particular avoidance
of Beers list medications)32. REFERENCES
1. Celsus A. On medicine. Cambridge (MA): Harvard University Press; 1935.
Prompt diagnosis and treatment are also key to best management of POD. Regular screening for delirium
2. Evered L, Silbert B, Knopman DS, Scott DA, DeKosky ST, Rasmussen LS, et al. Recommendations for the nomenclature
should begin immediately postoperatively and continue ideally until day 5 using the same tool as was used
of cognitive change associated with anaesthesia and surgery-2018. Br J Anaesth. 2018;121(5):1005-12.
preoperatively. A careful assessment to identify any predisposing and precipitating factors, particularly those 3. Association ED, Society AD. The DSM-5 criteria, level of arousal and delirium diagnosis: inclusiveness is safer. BMC
that are reversible should be undertaken. The impact of new medications, polypharmacy and analgesic agents Med. 2014;12:141.
should also be assessed. 4. Whitlock EL, Vannucci A, Avidan MS. Postoperative delirium. Minerva Anestesiol. 2011;77(4):448-56.
A 2018 systematic review33 showed that the Hospital Elder Life Program (HELP), which focuses on multimodal 5. Australian Commission on Safety and Quality in Health Care. Delirium Clinical Care Standard. Sydney: ACSQHC, 2016.
non-pharmacological interventions by an interdisciplinary team, is effective in reducing incidence of delirium 6. Moskowitz EE, Overbey DM, Jones TS, Jones EL, Arcomano TR, Moore JT, et al. Post-operative delirium is associated with
increased 5-year mortality. Am J Surg. 2017;214(6):1036-8.
and rate of falls, with a trend toward decreasing length of stay and preventing institutionalisation. HELP have
7. Marcantonio ER, Rudolph JL, Culley D, Crosby G, Alsop D, Inouye SK. Serum biomarkers for delirium. J Gerontol A Biol
also been shown to reduce costs. In nine studies of cost-effectiveness, the program saved $US1600-3800 Sci Med Sci. 2006;61(12):1281-6.
per patient in hospital costs and more than $US16,000 per person-year in long-term care costs in the year 8. Tsoi KK, Chan JY, Hirai HW, Wong SY, Kwok TC. Cognitive tests to detect dementia: a systematic review and meta-
following delirium. analysis. JAMA Intern Med. 2015;175(9):1450-8.
In its best practice statement on delirium, the American Geriatrics Society11 highlights that non-pharmacological 9. Skelly DT, Griffin É, Murray CL, Harney S, O’Boyle C, Hennessy E, et al. Acute transient cognitive dysfunction and acute
brain injury induced by systemic inflammation occur by dissociable IL-1-dependent mechanisms. Mol Psychiatry. 2018.
multicomponent strategies are effective in the prevention and management of delirium. Such strategies include
10. Ayob F, Lam E, Ho G, Chung F, El-Beheiry H, Wong J. Pre-operative biomarkers and imaging tests as predictors of post-
orientation, therapeutic activities for cognitive impairment, early mobilisation, non-pharmacologic approaches to operative delirium in non-cardiac surgical patients: a systematic review. BMC Anesthesiol. 2019;19(1):25.
minimise the use of psychoactive drugs, prevention of sleep deprivation, communication methods, eyeglasses 11. American Geriatrics Society Expert Panel on Postoperative Delirium in Older Adults. Postoperative delirium in older adults:
and hearing aids, and early intervention for volume depletion. The statement also emphasises the importance of best practice statement from the American Geriatrics Society. J Am Coll Surg. 2015;220(2):136-48.e1.
a multidisciplinary team approach to the management of these patients.
202 Australasian Anaesthesia 2019 – Brain/Neuro The psychedelic renaissance: Ethnopharmacology, neuroscience and clinical efficacy 203
12. Bellelli G, Morandi A, Davis DH, Mazzola P, Turco R, Gentile S, et al. Validation of the 4AT, a new instrument for rapid
delirium screening: a study in 234 hospitalised older people. Age Ageing. 2014;43(4):496-502.
The psychedelic renaissance: Ethnopharmacology, neuroscience
13. Tsoi KKF, Chan JYC, Hirai HW, Wong A, Mok VC, Lam LC, et al. Recall tests are effective to detect mild cognitive and clinical efficacy
impairment: a systematic review and meta-analysis of 108 diagnostic studies. J Am Med Dir Assoc. 2017;18(9):807.
e17-807.e29.
14. Castanho TC, Amorim L, Zihl J, Palha JA, Sousa N, Santos NC. Telephone-based screening tools for mild cognitive John Akers MBBS, FANZCA, FFPMANZCA
impairment and dementia in aging studies: a review of validated instruments. Front Aging Neurosci. 2014;6:16. Royal Perth Hospital.
15. Berger M, Schenning KJ, Brown CH, Deiner SG, Whittington RA, Eckenhoff RG, et al. Best practices for postoperative
brain health: recommendations from the Fifth International Perioperative Neurotoxicity Working Group. Anesth Analg. Dr Akers is a staff anaesthetist and pain specialist at RPH. His interests include acute and chronic pain.
2018;127(6):1406-13.
16. Aldecoa C, Bettelli G, Bilotta F, Sanders RD, Audisio R, Borozdina A, et al. European Society of Anaesthesiology INTRODUCTION
evidence-based and consensus-based guideline on postoperative delirium. Eur J Anaesthesiol. 2017;34(4):192-214.
17. Moyce Z, Rodseth RN, Biccard BM. The efficacy of peri-operative interventions to decrease postoperative delirium in non- After a period of dormancy there is a “psychedelic renaissance” in neuroscience research. Evidence of benefit
cardiac surgery: a systematic review and meta-analysis. Anaesthesia. 2014;69(3):259-69. is accumulating for refractory depression, psychoneurosis, addiction, suffering in terminal illness and analgesia.
18. Orena EF, King AB, Hughes CG. The role of anesthesia in the prevention of postoperative delirium: a systematic review. They may alleviate pain indirectly through the psychedelic experience on the interpretation of pain. They may
Minerva Anestesiol. 2016;82(6):669-83.
work directly on medullary 5-HT2A receptors enhancing descending pain inhibition.
19. Miller D, Lewis SR, Pritchard MW, Schofield-Robinson OJ, Shelton CL, Alderson P, et al. Intravenous versus inhalational
maintenance of anaesthesia for postoperative cognitive outcomes in elderly people undergoing non-cardiac surgery. Classical hallucinogens or psychedelics are drugs that produce similar discriminative stimulus effects on
Cochrane Database Syst Rev. 2018;8:CD012317. thought, perception and mood without producing memory impairment, delirium or addiction. They act primarily
20. Sieber FE, Neufeld KJ, Gottschalk A, Bigelow GE, Oh ES, Rosenberg PB, et al. Effect of depth of sedation in older as agonists of the 5-HT2A subtype of serotonergic receptor1. This partly includes a range of drugs such as
patients undergoing hip fracture repair on postoperative delirium: the STRIDE randomized clinical trial. JAMA Surg.
2018;153(11):987-95.
MDMA, cannabinoids, arylcyclohexamines (PCP and ketamine), or kappa opioid agonists (Salvinorin A). These
21. Ilango S, Pulle RC, Bell J, Kuys SS. General versus spinal anaesthesia and postoperative delirium in an orthogeriatric
are not usually considered as “classical hallucinogens” and beyond the full scope of this review, which will focus
population. Australas J Ageing. 2016;35(1):42-7. on Mescaline, Psilocybin, DMT and LSD. Pseudohallucinogens are toxic compounds producing a delirious
22. Radtke FM, Franck M, Lendner J, Krüger S, Wernecke KD, Spies CD. Monitoring depth of anaesthesia in a randomized state through altered physiology. Although descriptors such as hallucinogen, phantastica, psychotomimetic,
trial decreases the rate of postoperative delirium but not postoperative cognitive dysfunction. Br J Anaesth. 2013;110 phanerothyme (visible soul), entheogen (god within), are used for these drugs, this review will call them
Suppl 1:i98-105. psychedelic (mind revealing)1, as they do more than hallucinate.
23. Davis D, Searle SD, Tsui A. The Scottish Intercollegiate Guidelines Network: risk reduction and management of delirium.
Age Ageing. 2019,1;48(4):485-8. This article will cover ethnopharmacology, recent history, pharmacology, receptor mechanisms, neuroscience,
24. Punjasawadwong Y, Chau-In W, Laopaiboon M, Punjasawadwong S, Pin-On P. Processed electroencephalogram and “psychedelic experience”, and clinical efficacy.
evoked potential techniques for amelioration of postoperative delirium and cognitive dysfunction following non-cardiac and
non-neurosurgical procedures in adults. Cochrane Database Syst Rev. 2018;5:CD011283.
ETHNOPHARMACOLOGY AND RECENT HISTORY
25. Wildes TS, Mickle AM, Ben Abdallah A, Maybrier HR, Oberhaus J, Budelier TP, et al. Effect of electroencephalography-
guided anesthetic administration on postoperative delirium among older adults undergoing major surgery: the ENGAGES Ethnopharmacology studies the pharmacological qualities of traditional medicinal substances and allows us to
randomized clinical trial. JAMA. 2019;321(5):473-83. “pre-screen” potential therapeutics. Psychedelics have been used by primitive cultures as a medicine, rite of
26. Langer T, Santini A, Zadek F, Chiodi M, Pugni P, Cordolcini V, et al. Intraoperative hypotension is not associated with passage, for divination, self-reflection or entertainment. They were used in a “prosocial” way to connect people
postoperative cognitive dysfunction in elderly patients undergoing general anesthesia for surgery: results of a randomized
controlled pilot trial. J Clin Anesth. 2019;52:111-8.
to their culture and the universe.
27. Hirsch J, DePalma G, Tsai TT, Sands LP, Leung JM. Impact of intraoperative hypotension and blood pressure fluctuations Common traditional sources of these compounds are plants. Psychoactive plants contain chemicals that appear
on early postoperative delirium after non-cardiac surgery. Br J Anaesth. 2015;115(3):418-26. to have evolved as allelochemicals, that is, a chemical that usually exerts a detrimental physiological effect on
28. Wu M, Liang Y, Dai Z, Wang S. Perioperative dexmedetomidine reduces delirium after cardiac surgery: a meta-analysis of individuals of other species2. There is a wide phylogenetic distribution among plants which shows multiple
randomized controlled trials. J Clin Anesth. 2018;50:33-42.
evolutionary origins of psychoactive families. Unrelated plant families exert similar psychoactive effects and
29. Duan X, Coburn M, Rossaint R, Sanders RD, Waesberghe JV, Kowark A. Efficacy of perioperative dexmedetomidine on
postoperative delirium: systematic review and meta-analysis with trial sequential analysis of randomised controlled trials. modulate similar neurotransmitters (mechanistic convergence). Chemically similar psychoactive chemicals may
Br J Anaesth. 2018;121(2):384-97. also exist in phylogenetically unrelated plant lineages2. It has been hypothesised that animals have sought plants
30. Avidan MS, Maybrier HR, Abdallah AB, Jacobsohn E, Vlisides PE, Pryor KO, et al. Intraoperative ketamine for prevention with phytochemicals chemically similar to their endogenous neurotransmitters to augment nutrition, facilitate
of postoperative delirium or pain after major surgery in older adults: an international, multicentre, double-blind, randomised survival, and alleviate pain and hunger. Whether this represents a co-evolutionary mutualism is uncertain.
clinical trial. Lancet. 2017; 390(10091):267-75.
31. Valentin LS, Pereira VF, Pietrobon RS, Schmidt AP, Oses JP, Portela LV, et al. Effects of single low dose of dexamethasone In the “Old World” (Europe, Africa, Asia and Oceania) only 20 psychedelic plants occur. The “New World”
before noncardiac and nonneurologic surgery and general anesthesia on postoperative cognitive dysfunction-a phase III (Americas) has more than 100 hallucinogenic plants, where there was a greater emphasis on the psychedelic
double blind, randomized clinical trial. PLoS One. 2016;11(5):e0152308. experience by traditional cultures4-6. Psychedelics have been used by some indigenous Americans to enhance
32. By the 2019 American Geriatrics Society Beers Criteria® Update Expert Panel. American Geriatrics Society 2019 the hunting ability of dogs, possibly by enhancing sensory perception (most likely olfaction) possibly by
Updated AGS Beers Criteria® for Potentially Inappropriate Medication Use in Older Adults. J Am Geriatr Soc. diminishing extraneous signals3. See Table 1 for examples.
2019;67(4):674-94.
33. Hshieh TT, Yang T, Gartaganis SL, Yue J, Inouye SK. Hospital elder life program: systematic review and meta-analysis of
effectiveness. Am J Geriatr Psychiatry. 2018;26(10):1015-33.
Table 1. Ethnopharmacology3-6.
Source/ Genus Origin Drug Common Ethnopharmacologic

Family name use
Fungi Psilocybin Mexico Guatamala Psilocybin Teonanacatl 3000 yr use – divinatory
Strophophora prodrug > (flesh of the rites. Now in modern
Psilocin gods) Native- Christian
Conocybe
ceremony
Source/ Genus Origin Drug Common Ethnopharmacologic Figure 1. Ethnopharmacology4.

Family name use
Fungi Amanita- Temperate – Muscimole Fly agaric Siberian Finno-Ugrian
muscaria Globe Ibotenic acid people.
NMDA ? God-narcotic Soma.
agonist Ingest urine to prolong
effect
Cactacae Lophophora Dry tropical Mescaline and Peyote Sacrament Native
Trichocereus America alkaloids Mescal American Church
button 14
C dated button
5700 yr
Giant Liana Banisteriopsis Amazonia β Carbolines Ayahuasca Divinitory rites
Jungle Vines Brazil Columbia Harmine tea, oce-yaje “telepathic
Ecudaor Bolivia properties”. Purgative.
Harmaline Antihelminthic.
(MAOIs) Magic mushrooms
Rubiacae Psychotria As above DMT Chacruna Mixed with above

Ayahuasca
Eye drops for migraine
Myristicacae Virola Orinoco basin: DMT Epená Snuff of Waika
(Nutmeg Columbia β Carbolines Patricá tribe used for
family) Venezuala endocannabilsm rite.
cumala
Arrow Poison
Morning Concolvulus Widespread Lysergides Numerous Chinese medicine
Glory Argyreia like LSD – laxative
Aztec – seeds – divination
Iboga Tabernathe Gabon Congo Ibogaine Pygmy, later Bwiti
(Dogbane Mild 5HT2A initiation rite marketed
Peyote cactus – Mescal
family) in France as Lambarene
CVS toxicity
(Stimulant). Rx alcohol
addiction
1:300 fatality –
unsupervised addiction
therapy
Solonacae Hyoscyamus Europe central Belladona Henbane Poison, hypnotics,
(Nightshades) Atropa Asia Alkaloids Mandrake analgesia, “witches
Hyoscyamine Jimsonweed brews”
Dhatura
Scopolomine Deadly- More
Mandragora Nightshade – pseudohallucinogen
Cannabacae Cannabis Central and south THC Numerous Euphoriant, mixed
Asia “Ta Ma” first stimulant-sedation, Assisted Virola snuff inhalation
Chinese term analgesic.
Amphibian Bufo Nth Mexico SW Bufotenin Colorado, Chinese folk medicine “All fungi are edible. Some fungi are edible once.” – Terry Prachett (mid-European proverb)
USA DMT Sonoran, for cancers.
Desert, Recent history
Australasia Cardiac ? Haitian Zombie poison
Cane Toads In 1887 Berlin pharmacologist Louis Lewin analyses dried mescal buttons sent from Parke Davis in Detroit,
glycosides sourced by Dallas physician Joseph Briggs8. Mescaline first isolated in 1895 by Arthur Heffter from peyote.
Amphibian Phyllomedusa Amazonia Opioid Giant leaf “Cleansing” rituals – Self-assessments by Prentiss and Morgan 1895, Weir Mitchell (described Causalgia – CRPS and “Phantom
species peptides frog Intense purgative Pain”) 1896, and Havelock Ellis 1896 were reported in medical literature7-10. Early volunteer physicians noted
deltorphin that hallucinations induced by Mescaline bore similarity to psychotic states. Heinrich Kluver in 1926 described
changes in “Gegenstandsbewusstsein und Ichbewusstsein”, that is, object awareness and self-awareness,
Insect Pogonomyrmex Sth California Variety toxins Red Visionary rites. Often now described as disintegration of ego boundaries or the sense of “self”11. Kluver influenced Richard Evans
Haemolysins Harvester combined jimsonweed Schultes, an ethnobotanist from Harvard who spent much time with American Amazonia and Mexican tribes
Nicotinic effect Ants (pseudohallucinogen) studying their psychedelic use. In 1936 Erich Guttman and Walter Maclay from Maudsley Hospital used
Mescaline on: medical students, undergraduates, “normals”, psychopathic patients, manic depressives, PHARMACOLOGY OF PSYCHEDELICS18,23
schizophrenics, depressives, “morphinists”, and those suffering derealisation and depersonalisation12. They
noted potential therapeutic use. Tryptamines
(Indolamines) include natural agents: 4-phosporyloxy-DMT (Psilocybin), N,N-dimethyltryptamine (DMT), N,N-
The parasitic Ergot fungus, Claviceps purpura grows on the ears of rye and related cereals. Linked to cold dipropyltryptamine (DPT), 5,-methoxy-DMT (5-MeO-DMT), Bufotenin (5-OH-DMT). Simple tryptamines are
winters followed by wet springs. Ergotism was responsible for mass poisoning with psychoses; mania and structurally related to serotonin23-27. See Figure 3.
gangrene in Medieval Europe from spoiled grain stock (St Anthony’s fire). Lysergic acid diethylamide (LSD) was
first synthesised in 1938 by Albert Hoffman of Sandoz laboratories, while systematically studying derivatives Figure 3. Classic structures.
of ergot alkaloids for a respiratory and circulatory stimulant13,14. LSD was abandoned because it caused
restless lab animals. Hofmann accidentally contaminated himself in 1943 with LSD. First intentional “trip” was
associated with a difficult bicycle ride home, on April 16 now known as “Bicycle Day”! His initial experience was
fear and paranoia, the next day he had a sensation of wellbeing and renewed life.
It was recognised as an extremely potent psychoactive substance. Commercially it was introduced under trade
name Delysid in 1948 for analytical psychotherapy and experimental psychoses. Covertly the military explored
the use of these drugs for psychochemical warfare, and by some authorities as adjunct to interrogation. In
1953 CIA Project MKUltra researched mind control15,16. They were considered unpredictable and unreliable,
as a “truth drug”, or for tactical use17. LSD was initially perceived as a model psychotomimetic. Hofmann also
isolated Psilocybin in 1958, marketed as Indocybin. Physiological toxicity was not noted with LSD even in large
overdose. Psychedelics were not helpful in schizophrenia, often exacerbating psychosis. But trials in depressive,
anxious, obsessive and addictive disorders were more encouraging, especially within a psychologically
supportive environment, with low risks of toxicity.
Between 1950 and the mid-1960s there were more than 1000 clinical papers discussing 40,000 patients,
several dozen books and six international conferences on psychedelic drug therapy18. Sidney Cohen (1960)
investigated the incidence of adverse events with 44 researchers and over 5000 patients (and 25,000 dosing).
A low incidence of serious events occurred19,20. Harvard psychologist Timothy Leary advocated widespread
use, and suggested to “turn on, tune in and drop out”. US president at the time Richard Nixon described him
as the most dangerous man in America! Evidence of psychotic reactions in sensitive individuals accumulated
with occasional tragic cases. Reports of a Hallucinogen Persisting Perception Disorder with “flashbacks” visual
distortions long after the drugs were ingested. Sandoz stopped LSD production in 1968. “Street” LSD is often
impregnated into blotting paper, and numerous designs exist. Figure 2 shows an example.
Figure 2. LSD blotter art14.
Phenylalkylamines
The most widely explored class, research chemicals with abuse concerns. A rapidly expanding group
subdivided into Phenylethylamines: mescaline has low potency, 2,5 –dimethoxy-4-iododphenethylamine (2C-I),
phenylisopropylamines (amphetamines), including 2,5 –dimethoxy-4-iodoamphetamine (DOI), 2,5-dimethoxy-
4bromoamphetamine (DOB), DOM (MDMA and MDE are structurally within this group). New class
N-benzyphenylethylamine (25I-NBOMe), (25B-NBOMe). bromoDragonFLY, TCB-2methylamine. The list is
incomplete18. Substitution of ring or sidechains can affect potency of all psychedelics.
Ergolines
Tetracyclic molecules derived from ergot (and in morning glories). They have a more rigid ring structure
(includes LSD and related compounds).
Table 2. Comparative Psychedelic Pharmacokinetics24,29,42.
Pharmacokinetics LSD oral PSILOCYBIN DMT Inhaled DMT oral MESCALINE

Ayahuasca
Oral 70% ? 50% Not without Rapid ? %
Bioavailabilty MAOI
Legal status harmine 0.2
The UN convention on psychotropic substance (1971) requires signing parties to prohibit LSD. It is therefore illegal mg/kg
in those signatories, but enforcement varies from country to country7,21. In Australia it is a Schedule 9 substance Dose micro/ 10-20 mcg 3-4 mg Smoke/vaporise < 100 mg
prohibited under the Poisons Act 2017. It is prohibited by law, except when required for medical or scientific threshold 2-5 mg
research, or for analytical, teaching or training purposes with Commonwealth and/or State or Territory Health
Authority. Post-convention research was scant for many years, and is still challenging. In Denmark an LSD damages Light 20-75 mcg 4-8 mg 10-20 mg DMT 30 mg 100-200 mg
law was enacted in 1986 with 151 patients gaining compensation for a variety of psychological symptoms
presumed but not proven to be due to LSD given supposedly under coercion or without informed consent22.
irreversible nonselective MAOI (MAOA and MAOB). Hence DMT in Ayahuasca tea survives hepatic first pass
Common 50-150 mcg 6-20 mg 20-40 mg DMT 50 mg 200-300 mg
effect from its reversible MAOA inhibitors, β carbolines.
Strong 150-400 mcg 20-40 mg 40-60 mg DMT 70 mg 300-500 mg
A key mechanism of action is activation of neocortical layer V, pyramidal cell glutamate transmission secondary
Onset 50 min 15-20 min S/L 15-60 seconds 60 min 0.6- 45-60 min to 5-HT2A receptor stimulation28,42. 5-HT2A is a Gq/11 protein-coupled receptor that is functionally coupled to
30-60 min oral 0.85 mg/kg phospholipase C and A2, leading to production of Inositol phosphates, diacylglycerol, and arachidonic acid as
DMT second messengers and raising intracellular Ca2+. Abnormalities of 5-HT2A are associated with schizophrenia
Peak effect 170 min 90-180 min 5-20 min 90 min T + 4 hrs and depression. 5-HT subtypes of interest in pain are 1A,1B/D,2A,2C,3-735.
Duration of effect 8-12 hrs 2-6 hrs 60-70 min 4 hrs 4-8 hrs Table 3. Receptor Affinity36.
Site effect conc. > 0.75 ng/ml 4-6 mcg/ml 60 ng/ml (IV)
T 1/2 2.9 hrs 1.5-2.25 hrs
Metabolism Cyp2D6, 2E1, Glucuronidation, MAO, Cyp2D6 MAO, MAO
3A4 MAO Cyp2D6
Excretion Renal 1% Renal 3-5% Renal 0.16% Renal 80-90%
unchanged unchanged unchanged unchanged
Plant Source Drug Mushrooms Virola. Shoots 0.1- Av.24 mg Mescal
Content 0.5 mg/100g DMT/ 100 ml Button 25 mg
0.16 -1.78% dry Ayahuasca av.
wt
Somatic symptoms and signs

Mild sympathetic effects, dose dependent: A gastrointestinal phase initially is common and more in the less
potent varieties. Loss of appetite, nausea and vomiting may be accompanied by diaphoresis, which precede the
psychedelic effects29. Associated features of Mydriasis, facial flushing, hyper-reflexia, salivation, palpitations,
mild elevated BP, respiratory rate and temperature.
Toxicity
Low toxicity occurs, but more in those with greater noradrenaline release, for example, phenylalkylamines.
Cardiovascular toxicity is rare, but may occur with premorbid disposition. Accidentally choosing poisonous
fungi is a more common problem30. Toxicity from excipients in “street” formulations is more common. Massive
overdose of LSD associated with hyperthermia and reversible coagulopathy from platelet inhibition31.
Hyperthermia causes may include HPA dysregulation, serotonin syndrome, neurolept malignant syndrome,
depending on class. Hallucinogen persistent perception disorder has been noted in a small group of regular
high dose users with visual disturbance and anxiety. Successful treatment has been with atypical antipsychotics,
clonazepam and lamotrigine18. Prolonged psychotic reactions were noted at a rate of 0.8 per 1000 in 196220.
Two large retrospective studies, each more than 130,000 adults showed reduced use of mental health facilities
or suicide following psychedelic use compared to non-users32,33.
Psychedelics bind to many receptors with varying affinities23,36. They may not produce a selective serotonergic
Death state, but more likely a nonselective multisystem neurochemical perturbation via direct and indirect means.
Is rare, usually by “misadventure” from a behavioural cause. Suicide though rare, is more common with LSD is a mixed partial agonist at 5HT2A/1A receptors. The subjective hallucinatory effects can be blocked by
premorbid psychiatric problems in an unsupported environment20. Deaths are more common with “designer” pre-treatment with antagonists Ketanserin and Volinanserin18. Atypical antipsychotics clozapine, risperidone,
psychostimulant phenyalkylamine “research chemicals” taken illicitly18. olanzapine and so on are antagonist at the 5HT2A and D2 receptors. Ketamine also acts at NMDA, 5HT2A, D2
and κ opioid receptors, and its psychic effects are blocked by atypical 5HT2A/ D2 antagonist clozapine and in
Addiction Rat brain by highly selective 5-HT2A antagonist Volinanserin44.
Compared to all other drugs of use and abuse these have a very low potential for addiction. Acute tolerance
and tachyphylaxis have been well described after repeat high dose use, with cross tolerance from similar drugs Despite different structures, psychedelics produce very similar subjective effects. However subtle changes in
probably by 5-HT2A downregulation18,42. the receptor interactions with each molecule may cause differing signalling. In vitro correlation of hallucinogenic
effect to in vivo is often poor.
Serotonin and psychedelics
Exploration of Neural Correlates of Consciousness with psychedelics was originally by careful dissection
The serotonin system is a remarkably evolutionary conserved neuromodulator/neurotransmitter. It regulates and cellular mapping, later with molecular techniques, radiolabelling and colour labelling. Structure activity
not only psychophysiological function like sleep, food intake, body temperature, depression/anxiety, alcohol/ relationships are based in part on drug discrimination with animal behavioural models and newer receptor
drug reinforcement, emotional behaviour, environmental sensitivity and adaptive responsivity but also modulates binding by displacement of potent radiolabelled 5-HT2A agonists such as [125I] DOI in brain sections18,42. This
cognitive capacities such as learning and memory. Reduced 5-HT transmission or precursor intake leads to is complemented by functional neuroimaging, for example, MEG,PET, SPECT, fMRI, Arterial Spin Labelling,
impulsive and aggressive behaviours. BOLD and White Matter Tractography (see Figure 4)38,39.
Serotonin (5HT) is localised to three key systems, platelets, gut enterochromafin cells and brain. It does not
pass the blood brain barrier34,35. Synthesis of 5-HT is from dietary tryptophan. The release of 5HT from vesicles
into synaptic cleft, and termination of effect is by Serotonin Transporter (SERT), which is found peri-synaptically
along axons, not just in terminals. Catabolism of 5-HT, noradrenalin and some psychedelics occurs preferentially
by Monoamine-oxidase type A (MAOA). Classical MAO inhibitors (MAOI) phenelzine or tranylcypromine are
Figure 4. White Matter Tractography47. Cortico–Striato-Thalamo-Cortical (CSTC) loops

CSTC loops are parallel, anatomically segregated circuits relaying information between the basal ganglia,
thalamus and cortex37,42. In each circuit, projections from multiple cortical regions converge on specific subregions
of the striatum. This in turn projects to the pallidum sending feedback to the cortex via the thalamus. The thalamus
serves as a filter that “gates” the flow of sensory and cognitive information. At least five loops have been identified.
Psilocybin and LSD reduce filtering resulting in excessive stimulation of frontal regions, “hyper-frontality” and
symptoms of sensory overload and hallucinations36. The psychedelic experience can be hard work!
Visual Cortex
The primary visual cortex (V1) has high 5-HT2A levels. Psychedelics reduce retino-cortical transmission. This
coupled with increased excitability of pyramidal neurons in V1 probably destabilises network activity resulting
in patterns of firing perceived as geometric form constants42. The spreading wave of depolarisation in migraine
aura produces a similar effect.
Functional Brain Networks
The brain is a complex network of anatomically segregated groups of hubs and subsections. They interact in
relatively fixed ways and offer a framework to understand cognitive function. They have been studied extensively
SITES OF 5-HT2A EXPRESSION AND PSYCHEDELIC EFFECTS ON NEURONAL with functional techniques and LSD36,44. Altered hub topology in widespread body pain (fibromyalgia) has
SYSTEMS recently been reported49,50. Network overactivity and disruption is hypothesized to be relevant to a variety of
disorders, including chronic pain, PTSD, Alzheimer’s, autism, ADHD, depression, schizophrenia and bipolar
5HT2A agonists produce acute psychedelic effects by excitation of brain regions involved with emotion, disorder46,47. Network examples include:
cognition, memory and self-awareness including the medial and lateral frontal cortex and medial temporal lobe.
A key function of brain 5-HT is to moderate anxiety and stress and promote patience and coping. It appears Default Mode Network (DMN)
to enhance two distinct adaptive responses to adversity mediated by 5-HT1A and 5-HT2A receptors. It is This is active when an individual is awake and at rest46. It preferentially activates during focus on internally
proposed that passive coping (tolerating a source of stress) is mediated by 5-HT1A, enhanced by conventional orientated tasks, for example, self-referential thought, mind wandering, internal-orientated cognition and
reuptake inhibitors (for example, SSRIs) and appears linked to chronic adversity. Conversely active coping autobiographical memory. The Default Mode Network and frontal-parietal connections represent overarching
(actively addressing a stress), is mediated by 5-HT2A and enhanced by 5-HT2A agonist psychedelics. 5-HT2A systems of the brain. It is overactive in depression and PTSD. LSD decreases DMN integrity36,48. Pain disrupts
is more relevant as the severity of adversity reaches a critical point. This leads to complementary adaptive and activity in the DMN, LSD and psilocybin may alleviate intrusive cognition and breakdown of normal self,
potentially therapeutic options40. 5-HT1A is densely found in limbic cortex, especially hippocampus. 5-HT quells associated with chronic pain.
limbic activity. 5-HT2A is crucial in regulating 5-HT release in cortex by top down modulation of cortical – raphe
Salience Network: Monitors salience of external inputs and internal brain events. The transition between
inhibitory feedback circuit. 5-HT2A receptors are most dense on dendrites of excitatory glutamatergic pyramidal
increased synchrony (task negative) DMN and (task positive) Central Executive Network is likely mediated
neurons of layer V in the cortex. Endogenous DMT has been detected in humans, and is formed by metabolism
through Salience Network.
of tryptamine. The enzyme that produces it is found throughout the body, but in high concentrations in anterior
horn of spinal cord, uncus, medulla, amygdala and frontal cortex. Although the raised DMT levels seen in Executive Control Network: Helps keep focus on useful ideas while discarding those that don’t work. People
high stress was suggested as the psychedelic effects seen in near death experiences, this has been recently with more creativity seem to engage brain networks that don’t typically work together.
challenged with alternate explanation24,41. It doesn’t appear associated with schizophrenia24.
Figure 5. Network Relationships79.
Ascending Arousal System
Consists of monoaminergic and cholinergic neurons in the brainstem. Locus Coeruleus (LC) with noradrenergic
neurons (the site of action of α2 agonist clonidine). Dorsal and Medial Raphe Nuclei are mainly 5-HT but
some dopamine (DA). Pedunculopontine and laterodorsal tegmental nuclei are cholinergic. Tuberomammilary
nucleus contains histaminergic neurons. The LC neurons are very responsive to sensory stimuli, especially novel
or arousing. Psychedelics through 5-HT2A profoundly enhance response of LC neurons to sensory stimuli by
excitatory input from the Prefrontal Cortex (PFC)42.
Prefrontal Cortex
The PFC is involved with “executive control” planning complex cognitive behaviour, personality expression,
decision making and moderating social behaviour. The PFC is an important site of psychedelic action by disrupting
oscillatory activity of cortical networks, reducing the likelihood that individual pyramidal cells will fire in synchrony36.
The PFC exerts top down control over processing in temporal and parietal cortices, and psychedelics increase
metabolic rates in these areas. Body image changes of derealisation and depersonalisation (ego disintegration),
are specifically linked to altered fronto-parietal and occipital cortex. The posterior parietal cortex is part of the
dorsal visual stream and generates multiple egocentric representations of space.
Limbic Cortices
Include hippocampal complex, septal area, amygdala, cingulate gyrus and insula. They directly or indirectly
communicate and regulate (PAG) peri aqueductal gray, (important in pain modulation) and hypothalamic
function43. The Amygdala is involved in generating fear responses and processing the emotional context of
sensory input. Processing appears to be regulated by 5-HT2A. LSD and Psilocybin have the ability to reduce
emotional processing, facilitating the “extinction of fear”, secondary to enhanced inhibitory top down control
from PFC 42,45. Psilocybin switches off anterior and post-cingulate gyrus and its thalamic connection reducing
sensorimotor and cognitive connection.
Pain53 PSYCHEDELIC DRUG EFFECTS

Detection of pain is a defensive mechanism, promoting action to mitigate it. It involves inferences associated with There are qualitative inter drug differences between the four classic drugs. Drug dose is a primary factor in
rationalising complex, uncertain environments and is affected by the boundaries of actions available to the person51. predicting types of effects that will occur54,55. Effects unfold temporally over a drug session and some effects
Chronic pain reduces the ability to detect the physiological state through diminished interoceptive awareness52. have a higher probability of occurring at specific time points. The psychedelic experience is particularly context
Peripheral nociceptive neurons project to the dorsal grey horn. Fast central pain projecting neurons (CPPNs) sensitive, traditionally referred to as set and setting, for example, personality, pre-dose mood, drug session
project directly to the opposite post-lateral thalamus and relay to somatic sensory cortex S1. Association fibres environment and external stimuli. Validated psychometric tools are used to evaluate the psychedelic experience,
connect S1 to the posterior parietal cortex for the “where?” component and “how much?” tactile analysis for example, 11 dimensional altered states of consciousness (5D-ASC). Three core dimensions are Oceanic
and to provide a “where” visual alert. The posterior parietal cortex projects to S2 for tactile-visual integration. Boundlessness, Anxious Ego Dissolution, and Visionary Reconstructuralization55.
Onward relay to Insula cortex supplemented by direct thalamic inputs, and may elicit emotional and autonomic Perceptual effects
responses. Slow CPPNs relay via the reticular formation to the medial thalamus, with forward projection to the
PFC for overall evaluation. Upward projection to the cingulate cortex normally generates an aversive emotional Occur along a dose dependent range from subtle to drastic. Perceptual intensification, for example, colours,
evaluation. Some CPPNs excite reticular neurons projecting to the amygdala, where they may generate fear43,45. textures, contour definition, light intensity, sound, timbre variation, higher resolution, crispness, clarity,
“newness”. Distortion and illusions: sense of size edges warped or moving boundaries wrap around undulating
The right insula cortex is an integrative hub for autonomic, immune, hormonal and cardiovascular systems rhythmic movements, mental imagery altered motor perception object completion, binocular rivalry. Elementary
producing a “metacognitive map” of active processes such as pain, touch temperature and subjective and hallucinations: for example, geometric patterns latticework other geometric visuospatial form constants (see
emotional feelings52. The left anterior region and fronto-parietal region contribute to sense of body ownership Figure 7). Complex hallucinations, visual scenes with structural motifs, landscapes animals and people often
and the temporo-parietal regions to a sense of peri-personal space. These regions are connected with anterior with imbued personal meaning. They typically follow elementary hallucinations and are more likely at higher
cingulate gyrus for an emotional motivational response to pain. Activity is shifted from posterior to anterior insula doses especially with DMT. Both more commonly with eyes closed, but can occur with eyes open. Sometimes
with persistent pain. Psychedelics appear to work through similar regions to “mindfulness” in pain mPFC, post sensible “film like” scenes appear often indescribable in ordinary language. Mental imagery is often modulated
cingulate and post insula of the DMN53. by verbal and musical auditory stimuli. Synaesthesia especially visual phenomena are driven by auditory stimuli.
Psychedelics produce a variety of pro and anti-nociceptive effects depending on dose and site35. In
the periphery 5-HT2A agonists are pronociceptive. 5-HT2A has antinociceptive action through the rostral Figure 7. Elementary Geometric Hallucination.
ventromedial medulla, through descending inhibition.
Figure 6. Altered States of Consciousness Scale55.
Emotional effects
General intensification of feelings, increased conscious access to emotions. Euphoria involuntary grinning
and laughter. Negative experiences with fear paranoia and sense of loss of control. The majority of psychedelic
effects in supportive contexts are experienced as positive. Both LSD and Psilocybin can bias emotion toward
positive responses to social environmental stimuli. Spontaneous feelings of awe, wonder, bliss and joy. In
supportive environments they can promote trust, empathy bonding, connectedness. Music especially can
modulate this (the hidden therapist!).
Cognitive effects
Acute changes in linear thought process. Free flowing thoughts. Altered time perception. Reduced performance
of standard working memory occurs, but less in experienced uses. Cognitive flexibility and optimism can remain
for two weeks after the acute effects gone. Micro-dosing may enhance cognitive performance.
Ego effects and dissolution
Dose dependent change of effects on sense of self from subtle to drastic. Loss of self and identity. The
frightening description “I felt I was merging with my surroundings” can morph into “I felt at one with the
universe” when appropriately guided. Psilocybin thought to produce the effect more reliably than LSD. Some
workers believe more positive psychedelic assisted therapy outcomes when complete ego dissolution occurred.
Psychedelics may induce a sense of connectedness, enhancing therapy.
Long term effects have been studied with a variety of agents after supportive therapeutic trials. Although some
experienced fearful episodes, almost all felt it was a profoundly meaningful experience that had long lasting
subjective positive effects.
CLINICAL EFFICACY Obsessive Compulsive Disorder (OCD)

Clinical research Moreno et al 2006 in treatment resistant OCD in nine patients and no other major disorder, were given
psilocybin (25, 100, 200 300 mcg/kg) in an open label design. Significant reductions in symptoms noted, but
These new studies with good initial safety and efficacy give encouragement to further larger studies. However no difference which dose used. The trial was underpowered73.
regulatory and legal hurdles to licencing psychedelics as medicines are formidable. Guidelines for safety in
psychedelic research have been suggested by the Johns Hopkins group56. Pain research is limited. Tobacco addiction
Headache Johnson et al 2014, open label trial in15 patients given Psilocybin in moderate (20 mg/70 kg) or high dose (30
mg/70 kg) with psychotherapy. Psilocybin at weeks five, seven and 13. Total of 19 meetings. 80% abstinence
Trials for cluster and vascular migraine. Microdosing studies in patients result in termination of cluster attacks at six months74.
and cluster period, (neurology 2006 Sewell 53 patients Schindler et al 496 patients)57,58. Currently a trial is in
progress for cluster headache through Yale University. The non-hallucinogenic BOL-148 (2-bromo-LSD), given Alcohol addiction
over three days in 10 days, reduced frequency of cluster headache. 5HT2A may not be the only mechanism59. Bogenschutz et al 2015, gave psilocybin to 10 patients in addition to standard motivation therapy. Treatment for
Phantom pain 12 weeks dose was 0.3 or 0.4 mg/kg. Immediate improvements in behaviour correlated with 1960s studies of
LSD in alcoholics with no adverse effects75,76.
Fanciulla (1977) with sub-hallucinatory LSD (25 mcg daily for 1 week, then 50 mcg daily for two weeks) had
good response in five out of seven patients60. Recreational and non-medical use
End of life anxiety, depression – existential crisis and pain The lay press/blogosphere have interest in psychedelics, for entertainment, self-reflection, spirituality and
management of a variety of ailments. Many naïve, some very sophisticated, but there is information to be
Kast and Collins (1964) gave randomly 2mg of hydromorphone then 100mg pethidine, if unhelpful LSD 100 exchanged, and the user groups can be of help. Unfortunately abuse of “research chemicals”, with significant
mcg, to cancer or gangrene patients. Analgesia lasted beyond 19 hours post LSD and patients were able to morbidities has the potential to derail current legitimate research.
discuss their death freely and had a “disregard for the gravity of their situation”61. Kast (1967) gave 100 mcg
LSD to terminally ill for pain with effects lasting 12 hours. Pahnke et al (1969) in 22 patients with terminal Cognitive enhancement
metastatic cancer gave LSD and psychotherapy which improved pain, mood anxiety and fear of death with no Micro-dosing is currently very popular. Small doses of LSD (10 mcg ) or psilocybin (1-3 gm of mushroom), on
adverse effects for most patients62. Grof et al (1973) gave LSD assisted psychotherapy for 31 patients with a daily basis. Enhanced creativity, and cognitive flexibility are described (some associated with headache!)77.
pain, anxiety and depression associated with terminal metastatic illness and found significant improvement in The 5-HT2A/2C receptor system has been investigated with antagonists on memory. In animal models specific
pain severity, preoccupation with pain, suffering, anxiety depression and fear of death63. antagonists Volinanserin and SB-242084 impair spatial reversal learning when infused into orbitofrontal
Recent studies cortex a site for potential obsessive-compulsivity. Novel 5HT2A/2C agonists with pro-cognitive effects have been
reported78.
Grob et al (2011) gave a moderate dose psilocybin (0.2 mg/kg) and active placebo niacin to 12 advanced
cancer patients with no difference in adverse events64. Gasser et al (2014) gave 12 patients LSD, 20 or 200
mcg with drug free psychotherapy. Significant reductions in state but not trait anxiety were seen65. Ross et CONCLUSION
al (2016) in 29 patients were given a single dose of psilocybin (0.3 mg/kg) or Niacin with psychotherapy Psychedelics have been revered by “primitives”, weaponised by intelligence agencies, adulated by hedonists
crossover trial at seven weeks with no adverse effects. Immediate, substantial and sustained clinical benefits and vilified by authorities. The social schism between “good medicines” and “bad drugs” has stifled
were seen which was sustained to completion at 6.5 months66. Griffiths et al (2016) in a similar double blind research into a class of drugs that when used appropriately can have a positive and profound effect on the
crossover with 51 patients used psilocybin low dose (1 or 3 mg/70kg) or high dose (22 or 30 mg/70 kg). There consciousness, disease states and suffering. Hopefully with good research and pragmatic laws, these agents
was support for nine month follow up (on average) with no adverse events. A significant effect of higher dose in will have a place in medicine before the cycle repeats itself.
primary outcomes was reported67.
The potential efficacy in central, neuropathic and nociplastic pain states will be of interest. ACKNOWLEDGEMENTS
Psychiatry Thanks to Flavie Waters (senior research fellow at School of Psychology University of Western Australia) and
Classical psychedelic drugs were extensively used in psychiatry prior to UN convention. Trials show they David Nutt (Professor of Neuropsychopharmacology Imperial College London) for advice.
were not helpful for established psychotic disorders, and should be avoided in those liable to develop them.
Patients with “psychoneurotic” symptoms appear to benefit from the loosening of otherwise fixed, maladaptive, REFERENCES
cognitive and behavioural process especially in a supportive therapeutic setting. The pre-prohibition studies are
1. Nichols DE. Hallucinogens. Pharmacol Ther. 2004;101:131-81.
considered suboptimal7. Recent systematic reviews in unipolar mood disorder and meta-analysis in alcoholism
2. Alrashedy NA, Molina J. The Ethnobotany of psychoactive plant use: a phylogenetic perspective. PeerJ. 2016:4:e2546.
suggest efficacy. Various pilot studies in non-psychotic psychiatric disorders provide encouraging results that Available from: DOI 10.7717/peerj.2546
provide evidence of safety and efficacy. Modern clinical research was heralded by three papers investigating 3. Bennett BC, Alarcon R. Hunting and hallucinogens: the use psychoactive and other plants to improve the hunting ability of
the effects of DMT, mescaline, and psilocybin in healthy volunteers in the USA by Strassman and Qualls 1994, dogs. J Ethnopharmacol. 2015 Aug 2; 171:171-83.
in Germany by Hermle et al 1998 and in Switzerland by Vollenweider et al 1997. These studies are the basis for 4. Schultes RE. Hallucinogenic plants. New York: Golden Press; 1976. p.160.
a resurgence of studies focussing on neuroimaging, psychopharmacological and neuropsychological correlates 5. El-Seedi H, De Smet PA, Beck O, Possnert G, Bruhn JG. Prehistoric peyote use: alkaloid analysis and radiocarbon dating
of the psychedelic state68. from archaeological specimens of Lophophora from Texas. J Ethnopharmacol. 2005 Nov;101(1-3):238-42.
6. Orsolini L, Ciccarese M, Papanti D, De Berardis D, Guirguis A, Corkery JM. Psychedelic fauna for psychonaut hunters: a
Depression mini-review. Front Psychiatry. 2018;9:153.
Three pilot studies. Carhart-Harris et al (2016, 2017), used an open label in 20 patients with 2 doses of 7. Rucker JJ, Iliff J, Nutt DJ. Psychiatry & the psychedelic drugs: past, present & future. Neuropharmacology.
Psilocybin 10mg test and 25mg therapeutic dose one week apart in treatment resistant depression in 2018;142:200- 18.
moderately severely depressed without psychotic symptoms (withdrawn from antidepressants prior to study) 8. Lewin L. Anhalonium Lewinii. Ther Gaz, 1888;4: 231-7.
with no adverse effects. Significant improvements in depression were noted for up to six months, maximal at five 9. Prentiss DW, Morgan FP. Anhalonium Lewinii (mescal buttons). Ther Gaz. 1895;11:577-85.
weeks69,70. Osorio et al (2015) in four patients and Sanches et al (2016) in 17 patients both used Ayahuasca 10. Mitchell SW. Remarks on the effects of Anhelonium Lewinii (the mescal button). Br Med J. 1896 Dec;2(1875):1625-9.
given 2.2 ml/kg (containing 0.8 mg/ml DMT and 0.21 mg/ml harmine). Significant reductions in depressive 11. Kluver H, Mescal visions and eidectic vision. Am J Psychol. 1926 Oct; 37 (4): 502-15.
symptoms after three weeks of follow up were seen71,72. 12. Guttmann E, Munich MD. Artificial psychoses produced by mescaline. J Mental Science. 1936; 82 (338): 203-21.
13. Hofmann A. LSD: my problem child. Oxford University Press, 2013.
14. Wikipedia.nd. Lysergic acid diethylamide. [Internet]. 2019. Available from https://en.wikipedia.org/wiki/Lysergic_acid_ 50. Kaplan CM, Schrepf A, Vatansever D, Larkin TE, Mawla I, Ichesco E, et al. Functional and neurochemical disruptions of
diethylamide. Accessed 29 May 2019. brain hub topology in chronic pain. Pain. 2019;160(4):973-83.
15. Wikipedia.nd. Project MKUltra. [Internet]. 2019. Available from: https://en.wikipedia.org/wiki/Project_MKUltra. Accessed 51. Craig AD. How do you feel? Interoception: the sense of the physiological condition of the body. Nat Rev Neurosci.
29 May 2019. 2002;3(8):655-66.
16. Project MKUltra, The Central Intelligence Agency’s Program of Research into Behavioural Modification. Joint Hearing 52. Di Lernia D, Serino S, Cipresso P, Riva G. Ghosts in the machine. Interoceptive modelling for chronic pain treatment. Front
before the Select Committee in Intelligence and Subcommittee on Health and Scientific Research on the Committee Neurosci. 2016;10:314. doi: 10.3389/fnins.2016.00314
on Human Resources, United States Senate, Ninety-Fifth Congress, First session. US Government Printing Office; Aug 53. Whelan A, Johnson MI. Lysergic acid diethylamide and psilocybin for the management of patients with persistent pain: a
1977. Available from: http://www.nytimes.com/packages/pdf/national/13inmate_ProjectMKULTRA.pdf. Accessed potential role? Pain Manag. 2018 May;8(3):217.
29 May 2019. 54. Swanson LR. Unifying theories of psychedelic drug effects. Front Pharmacol. 2018;9(172):1-23 doi: 10.3389/
17. Dark Matter. Testing LSD on British marines 1964 original full footage. [Internet]. Available from: https://www.youtube. fphar.2018.00172
com/watch?v=opvCBE6qP6g. Accessed 12 June 2019. 55. Studerus E, Gamma A, Vollenweider FX. Psychometric evaluation of the altered states of consciousness rating scale.
18. Nichols DE. Psychedelics. Pharmacol Rev. 2016 Apr;68:264-355. [Internet] www.plosone.org Plos ONE. 2010 Aug; 5(8):1-19.
19. Cohen S. Drugs of hallucination. London: Paladin Press; 1970. p.223. 56. Johnson MW, Richards WA, Griffiths RR. Human hallucinogen research: guidelines for safety. Psychopharmacol.
20. Cohen S. Lysergic acid diethylamide: side effects and complications. J Nerv Ment Dis. 1960 Jan;130:30-40. 2008;22(6):603-20.
21. Brosnan KR. Regulation of human research with LSD in the United States (1949-1987). PubMed: Psychopharmacology 57. Sewell RA, Halpern JH, Pope HG. Response of cluster headache to psilocybin and LSD. Neurology. 2006; 66(12):
(Berl). 2018;235:591-604. 1920-22.
22. Larsen JK. LSD treatment in Scandinavia: emphasizing indications and short-term treatment outcomes in 151 patients in 58. Schindler EA, Gottschalk CH, Weil MJ, Shapiro RE, Wright DA, Sewell RA. Indolamine hallucinogens in cluster headache:
Denmark. Nordic J. Psychiatry. 2017;71(7):489-95. results of the Clusterbusters medication use survey. J Psychoactive Drugs. 2015;47(5):372-81.
23. Nichols DE. Chemistry and structure-activity relationships of psychedelics. Curr Top Behav Neurosci. 2018;36:1-43. 59. Karst M, Halpern JH, Bernateck M, Passie T. The non-hallucinogen 2-bromo-lsd as a preventative treatment for cluster
24. Carbonaro TM, Gatch MB. Neuropharmacology of N,N-dimethyltryptamine. Brain Res Bull. 2016;126:74-88. headache: an open label non randomised case series. Cephalgia. 2010;30(9):1140-44.
25. Passie T, Seifert J, Schneider U, Emrich HM. The pharmacology of psilocybin. Addict Biol. 2002;7:357-64. 60. Fanciullacci M, Del Bene E, Franchi G, Sicuteri F. Brief report: Phantom limb pain: sub-hallucinogenic treatment with
26. Dominguez-Clave E, Soler J, Elices M, Pascual JC, Alvarez E, et al. Ayahuasca: pharmacology, neuroscience and lysergic acid diethylamide (LSD-25).
therapeutic potential. Brain Res Bull. 2016;126:89-101. 61. Kast EC, Collins VJ. Study of lysergic acid diethylamide as an analgesic agent. Anesth Analg. 1964;43:285-91.
27. Shen HW, Jiang XL, Winter JC, Yu AM, Psychedelic 5-methoxy-N, N-dimethyltryptamine: metabolism, pharmacokinetics, 62. Pahnke WN, Kurland AA, Goodman LE, Richards WA. LSD-assisted psychotherapy with terminal cancer patients. Curr
drug interactions, and pharmacological actions. Curr Drug Metab. 2010 Oct;11(8):659-66. Psychiatr Ther.1969;9:144-52.
28. Berridge MJ, Prince WT. The nature of the binding between LSD and a 5-HT receptor: possible explanation for the 63. Grof S, Goodman LE, Richards WA, Kurland AA. LSD-assisted psychotherapy in patients with terminal cancer. Int
hallucinogenic activity. Br J Pharmac.1974;51:269-78. Pharmacopsychiatry.1973;8(3):129-44.
29. Dolder PC, Schmid Y, Steuer AE, Kraemer T, Rentsch KM, Hammann F, Liechti ME. Pharmacokinetics and 64. Grob CS, Danforth AL, Chopra GS, et al. Pilot study of psilocybin treatment for anxiety in patients with advanced stage
pharmacodynamics of lysergic acid diethylamide in healthy subjects. Clin Pharmacokinet. 2017:56:1219-30. cancer. Arch Gen Psychiatry. 2011;68(1):71-8.
30. Peden NR, Bissett AF, MaCaulay KE, Crooks J, Pelosi AJ. Clinical toxicology of “magic mushroom” ingestion. Postgrad 65. Gasser P, Kirchner K, Passie T. LSD assisted psychotherapy for anxiety associated with life threatening disease: a
Med J. 1981 Sep; 57:543-5. qualitative study of acute and sustained subjective effects. J Psychopharmacol. 2015;29(1):57-68.
31. Klock JC, Boerner U, Becker CE. Coma, hyperthermia and bleeding associated with massive lsd overdose. West J Med. 66. Ross S, Bossis A, Guss J, et al. Rapid and sustained symptom reduction following psilocybin treatment for anxiety and
1973 Mar;120:183-8. depression in patients with lifethreatening cancer: a randomised control trial. J Psychopharmacol. 2016;30(12):
32. Johansen PO, Krebs TS. Psychedelics not linked to mental health problems or suicidal behaviour: a population study. J 1165-80.
Psychopharmacol. 2015;29(3): 270-9. 67. Griffiths RR, Johnson MW, Carducci MA, et al. Psilocybin produces substantial and sustained decreases in
33. Hendricks PS, Thorne CB, Clark CB, Coombs DW, Johnson MW. Classic psychedelic use is associated with reduced depression and anxiety in patients with life threatening cancer: a randomized double blind trial. J Psychopharmacol.
psychological distress and suicidality in the United States adult population. J. Psychopharmacol. 2015;29(3):280-8. 2016;30(12):1182-97.
34. Siegel GJ. Basic neurochemistry: molecular, cellular and medical aspects. 7th ed. Elsevier Press; 2006. Chapter 23, 68. Baumeister D, Barnes G, Giaroli G, Tracy D. Classical hallucinogens as antidepressants? A review of pharmacodynamics
Serine and Threonine phosphorylation. p.227-48. and putative clinical roles. Ther Adv Psychopharmacol. 2014;4(4):156-69.
35. Beaulieu P, Lussier D, Porreca F, Dickenson AD. Pharmacology of pain. Seattle: IASP Press; 2010. Chapter 9, Toward 69. Carhart-Harris RL, Roseman L, Bolstridge M, Demetriou L, Pannekoek JN, Wall MB et al. Psilocybin for treatment-
deciphering the respective roles of multiple 5-HT receptors in the complex serotonin-mediated control of pain. p. 185-206. resistant depression: fMRI-measured brain mechanisms. Sci Rep. 2017;7(1):13187.
36. Liechti EL. Modern clinical research on LSD. Neuropsychopharmocology. 2017;42: 2114-27. 70. Carhart-Harris RL, Nutt DJ. Psilocybin with psychological support for treatment resistant depression: an open label
feasibility study. Lancet Psychiatry. 2016;3:619-27.
37. Vollenweider FX, Brain mechanisms of hallucinogens and entactogens. Dialogues Clin Neurosci. 2001;3(4):265-279.
71. Osorio FdeL, Sanches RF, Macedo LR, et al. Antidepressant effects of a single dose of aayahuasca in patients with
38. Shi Y, Toga AW. Connectome imaging for mapping human brain pathways. Mol Psychiatry. 2017;22:1230-40.
recurrent depression: a preliminary report. Rev Bras Psiquiatr. 2015;37:13-20.
39. Deco G, Cruzat J, Cabral J, Knudsen GM, Carhart-Harris RL, Whybrow PC. Whole-brain multimodal neuroimaging model
72. Sanches RF, Osario F de L, Dos Santos RG,et al. Antidepressant effects of a single dose of ayahuasca in patients with
using serotonin receptor maps explains non-linear functional effects of LSD. Curr Biol. 2018;28:3065-74.
recurrent depression: a SPECT study. J Clin Psychopharmacol. 2016;36:77-81.
40. Carhart-Harris RL, Nutt DJ. Serotonin and brain function: a tale of two receptors. J Psychopharmacol. 2017;31(9):
73. Moreno FA, Wiegand CB, Taitano EK, et al. Safety and tolerability of psilocybin in 9 patients with obsessive compulsive
1091-120.
disorder. J Clin Psychiatry. 2006;67:1735-40.
41. Nichols DE. N,N-dimethyltryptamine and the pineal gland: separating fact from myth. J Psychophamacol. 2018;32(1):30-6.
74. Johnson MW, Garcia-Romeu A, Cosimano MP, et al. Pilot study of the 5-HT2AR agonist psilocybin in the treatment of
42. Halberstadt AL. Recent advances in the neuropsychopharmacology of serotonergic hallucinogens. Behav Brain Res. tobacco addiction. J Psychopharmacol. 2014;28:983-92.
2015;277:99-120.
75. Bogenschutz MP, Forcehimes AA, Pommy JA, et al. Psilocybin assisted treatment for alcohol dependence: a proof of
43. Mtui E, Gruener G, Dockery P. Fitzgeralds Clinical Neuroanatomy and Neuroscience. 7th ed. Philadelphia: Elsevier; 2016. concept study. J Psychopharmacol. 2015;29: 289-99.
p333-5.
76. Liester MB. A review of lysergic acid diethylamide (LSD) in the treatment of addictions: historical perspectives and future
44. Preller KH, Razi A, Zeidman P, Stampfli P, Friston KJ, Vollenweider. Effective connectivity changes in LSD-induced altered prospects. Curr Drug Abuse Rev. 2014;7(2):1-11.
states of consciousness in humans. Proc Natl Acad Sci USA. 2019:116(7)2743-8.
77. Prochazkova L, Lippelt DP, Colzato LS, Kuchar M, Sjoerds Z, Hommel B. Exploring the effect of microdosing psychedelics
45. Mueller F, Lenz C, Dolder PC, Harder S, Schmid Y, Lang UE et al. Acute effects of LSD on amygdala activity during on creativity in an open-label natural setting. Psychopharmacology. 2018;235:3401-13.
processing of fearful stimuli in healthy subjects. Transl Psychiatry. 2017; 7:e1084. DOI:10.1038?tp.2017.54.
78. Meneses A. The role of 5-HT receptors in memory and dysfunctional memory. Academic Press; 2014. Chapter 7,
46. Lin P, Yang Y, Gao J, De Pisapia N, Ge S, Wang X, et al. Dynamic default mode network across different brain states. Sci 5-HT2A/2B/2C Receptor; p.29-33.
Rep. 2017;7:46088. [Internet]. Available from: www.nature.com/scientificreports. DOI: 10.1038/srep46088.
79. Lesage E, Stein EA. Networks associated with reward. In: Pfaff DW, Volkow N, editors. Neuroscience in the 21st century.
47. Mohan A, Roberto AJ, Mohan A, Lorenzo A, Jones K, Carney MJ et al. The significance of the default mode network in New York: Springer Press; 2016. p.1-27.
neurological and neuropsychiatric disorders: a review. Yale J Biol Med. 2016;89:49-57.
48. Muller F, Dolder PC, Schmidt, Liechti ME, Borgwardt S. Altered network hub connectivity after acute LSD administration.
NeuroImage: Clinical. 2018;18:694-701.
49. Loggia ML, Kim J, Gollub RL, Vangel MG, Kirsch I, Kong J et al. Default mode network connectivity encodes clinical pain:
an arterial spin labelling study. Pain. 2013 Jan;154 (1):24-33.
218 Australasian Anaesthesia 2019 – Brain/Neuro High hopes for dope: What role does medicinal cannabis play in current clinical practice? 219
High hopes for dope: What role does medicinal cannabis play in
current clinical practice?
Nilru Vitharana BSc (Adv), MBBS, MPH&TM
Department of Anaesthesia, Royal North Shore Hospital, Sydney.
Dr Vitharana is a Provisional Fellow at Royal North Shore Hospital, Sydney. Her areas of interests include
medical education, registrar training, developing world anaesthesia, paediatric anaesthesia and pain medicine.
Jane Standen MBBS, FANZCA, FFPMANZCA

Department of Anaesthesia, Royal North Shore Hospital, Sydney.
Dr Standen is a Staff Specialist Anaesthetist and Pain Specialist at Royal North Shore Hospital, Sydney.
Her areas of interests include acute and chronic pain management as well as regional anaesthesia.
INTRODUCTION
Cannabis has a multitude of uses; hemp was used as a fibre and the seed as a source of nutrition as early as
10,000 years ago in Taiwan. Medicinal use came later, with earliest accounts dating back to 2700 BC in Central
Asia by a number of Chinese herbal medicine practitioners. Hua Tuo (considered the father of surgery in China)
performed surgery between 140 and 208 AD using a combination of wine and powdered cannabis to provide
anaesthesia1. In India it has also been used for centuries in rituals to induce stupor and as an anaesthetic for
surgery2. While some of its ancient uses as a wound dressing, antibiotic, and cure for “absent-mindedness” are
not in practice3, its use as an antiemetic and appetite stimulant for “the wasting diseases” and analgesic is a
source of active research and use in modern medicine.
Its proposed wide-ranging medicinal properties have fuelled a resurgence in patient and community demand
for its prescription which has been coupled with political will to enact legislative change to enable wider access.
In this article we attempt to identify the current clinical place of medical cannabis in pain management and
anaesthesia as well as outline some of the concerns associated with its use.
PHARMACOLOGY
The cannabis genus consists of at least two commonly recognised species: Cannabis sativa, Cannabis indica.
Cannabis plants may be male, female or both. It is the female plant which produces the resin-secreting flowers
that are used medicinally.
Cannabinoids are the biologically active constituents of cannabis, or synthetic compounds that have an affinity
for cannabinoid receptors. The cannabis plant consists of at least 60 or more other cannabinoids, and at
least 500 other non-cannabinoid molecules including terpenes and flavonoids that may have a role in clinical
effects of medical marijuana. Pharmacological focus has historically been on the two major cannabinoids:
tetrahydocannabinol (THC) and cannabidiol (CBD)4. THC is psychoactive and is responsible for many of the
favourable pharmacodynamic effects sought by patients and recreational users.
The greatest determinant of the THC content of cannabis is breeding and cultivation techniques. Cannabis
cultivation is heavily dependent on the duration of daylight the plant receives, also known as the “photoperiod”.
Juvenile plants respond to long day lengths by increasing vegetative growth in the first three months of life.
Following this, flowering is enhanced by shorter day lengths with more flowers increasing the overall THC
content of the crop. Unfertilised plants (in the absence of male plants to pollinate) also continue to grow more
flowers and hence the THC content of the crop is also increased – a cultivation technique known as sinsemilla.
Selective breeding of high-yield species has led to an increase in THC content from approximately 3% to up to
22% over the past decade5.
Cannabis with minimal THC content (usually <0.3%) is referred to as hemp. Unlike cannabis, hemp is
cultivated with the presence of both male and female plants allowing for fertilisation to occur. The predominant
cannabinoid in hemp is CBD. CBD is purported to not have psychoactive effects6.
Figure 1. Key structure-activity relationships of cannabinoids.
BJA: British Journal of Anaesthesia, Volume 101, Issue 1, July 2008, Pages 59–68, https://doi.org/10.1093/bja/aen119 In the UK, while there has been approval for nabiximols and nabilone for refractory spasticity and chemotherapy-
© The Board of Management and Trustees of the British Journal of Anaesthesia 2008. All rights reserved7. induced nausea and vomiting for some time, medicinal cannabis was only approved in late 2018 and
recreational use remains illegal11.
CBD and THC are structurally similar however have marked differences in effect. The addition of a hydroxyl
group and a double bond to THC (highlighted) to form CBD removes psychoactivity altogether. Nabiximols is the only commercial cannabis product currently registered with the Therapeutic Goods
Administration (TGA). It is approved for “symptom improvement in patients with moderate to severe spasticity
The cannabinoid receptors are G-protein coupled receptors with CB1 receptors primarily located in key due to multiple sclerosis who have not responded adequately to other anti-spasticity medication”. The other
areas of the CNS related to descending pain pathways. Endogenous cannabinoids are released in relation cannabis preparations may be prescribed subject to authorisation under the Special Access Scheme provided
to acute stress and pain to cause anti-nociception by acting on inhibitory CB1 receptors. CB1 receptors are the product has been legally manufactured and imported to strict quality standards.
also important for physiological processes relating to appetite, stress response, immune and inflammatory
response, mood and metabolism4 and to maintain homeostasis by inhibiting excessive neuronal excitation8.
INDICATIONS
CB2 receptors are located primarily in the peripheral immune system with modification of the cytokine response
providing a role for anti-inflammatory effects of cannabinoids9. Chronic non-cancer pain
Cannabinoids (both synthetic and endocannabinoids) are also active at a number of non-cannabinoid receptors Stockings et al have performed the most comprehensive systematic review to date that analyses outcomes in
that have a role in analgesia. For example, CBD is an agonist at vanilloid receptors (a receptor at which relation to efficacy of cannabinoids for chronic non cancer pain12. While they found moderate evidence (after
capsaicin is known to act)9. assessing 13 RCTs) that cannabinoids were more likely than placebo to produce a 30% reduction in baseline
pain (a common indicator in studies looking at analgesic efficacy), this effect was modest. When assessing the
Preparations 4 RCTs that assessed 50% reduction in pain, there was no statistically significant difference. Overall pooled
Cannabis refers to the whole plant or parts thereof. Cannabinoids are classified as either synthetic or data suggested on a visual analogue scale, the improvement was one tenth of the difference that would be
phytocannabinoids with a defined chemical composition. Most preparations available in pain management normally be considered a clinically significant difference in pain intensity. The quality of evidence used for
contain a fixed ratio of THC and CBD. Cannabidiol (CBD) displays neuroprotective effects and reduces the analysis ranged from moderate to very low quality13. They found a Numbers Needed Treat to Benefit across all
psychoactivity when combined with THC. cannabinoids to achieve a 30% reduction in pain of 24, and a Numbers Need to Treat to Harm (NNTH) for any
adverse effect of 6. This NNTH was similar to opioids in the treatment of chronic noncancer pain. There was
Table 1. Currently available preparations of medical marijuana. Examples of countries with moderate-high grade evidence supporting the use of cannabinoids such as nabiximols as adjunctive therapy in
approved indications are given10,11. MS-related pain. They concluded that cannabinoids were unlikely to be highly effective medicines for chronic
non-cancer pain.
A meta-analysis by the TGA of all relevant randomised studies which predated the study by Stockings et al
found similar outcomes. It found that there was moderate evidence that medicinal cannabis products reduce
pain scores by 30% and 50% compared to placebo6. In MS-related chronic pain, there was a moderate
decrease in pain scores.
Most authors relegate the use of medicinal cannabis to that of an adjuvant agent. The TGA does not support its
use to replace conventional first line therapies. Furthermore when used as an adjuvant, caution should be taken
for potential interactions with other analgesics6.
In Israel, where medicinal cannabis is widely available, a study assessed baseline pain and pain-related quality
of life indicators. Of note, 44% of participants ceased opioid use at seven months (p<0.001) and of those
continuing opioid use, median oral morphine equivalent decreased from 60mg to 45mg though this was not
statistically significant14. A similar study found a 64% decrease in opioid use in patients with chronic pain who
have been prescribed medical cannabis15.
Use in cancer pain and palliative care
Medicinal cannabis has a potential role in many aspects of palliative care incorporating antiemetic, appetite-
stimulating, sedating and potentially analgesic properties.
Dosing may be difficult as trials have mostly been based on healthy subjects and therefore severe illness may
affect the pharmacokinetic properties of this class of medication.
In one study, both low and medium doses of nabiximols had statistically significant differences in patients
reporting 30% relief from baseline pain16. Interestingly there was no difference between high-dose nabiximols
and placebo for a statistical reduction in pain. It was suspected that in these cases, the severe adverse
effects associated with higher doses which were poorly tolerated, negated any of the analgesic benefit of the produce a “high”, there is a suggestion that this may not translate to addictive, abusive or diversion potential
cannabinoids. In lower dose and medium dose groups, there was no significant difference in adverse effects or due to the slow and gradual onset action resulting in a weaker reinforcement of reward pathways24.
study withdrawals.
Table 2. Adverse effects of cannabinoids and cannabis4,16,25.
Studies have shown statistically significant improvement in sleep in patients treated with low-dose nabiximols.
Sleep disturbance is a large burden of disease in the severely ill, so this may further improve quality of life in this
population16. Central nervous system Cardiovascular
• Dizziness • Tachycardia
The TGA recommends that given paucity of studies evaluating use and efficacy in palliative care, medicinal
cannabis should only be introduced after standard treatments have failed. Furthermore there are concerns that • Drowsiness, somnolence • Palpitations
it may interact with chemotherapy or other medications used in palliative care17. There was low quality evidence • Slurred speech • Increased myocardial oxygen demand,
that medicinal cannabis produced clinically significant improvement in appetite and weight gain, but otherwise • Visual disturbance increased risk of myocardial infarction
there was no discernible effect even among low quality trials of improvement in pain scores, nausea and within 1 hour of use
• Mental clouding, confusion
vomiting, mood, and sleep.
• Psychosis Gastrointestinal
Prescribing and the law
• Paranoia • Nausea and vomiting
Cannabis is the most widely used illicit drug in Australia with 10.4% of the population using it in 201618. There
• Fatigue • Dry mouth
has been an increasing societal acceptance for its use both recreationally and for medicinal purposes. Public
support for the use of marijuana to treat medical conditions rose from 74% in 2010 to 87% in 2016, along • Increased appetite
with support for legalisation of cannabis in general18. In 2016, legislation was passed in the Australian federal
parliament allowing for the cultivation of cannabis and the manufacturing of cannabinoid products for medicinal While most of the described adverse effects are relatively mild, more serious cases of suicidal and homicidal
and research purposes. Subsequently individual state legislation was passed to provide a regulatory framework ideation, paranoia, agitation and psychosis have been described in studies evaluating cannabis use in
in which medicinal cannabis can be prescribed and dispensed while preventing unauthorised use of the average and at-risk populations. Persistent cannabis use, particularly during adolescence was associated with
products. neurophysiological decline which persisted despite cannabis cessation26.
In NSW, clinicians applying for authority to prescribe and supply an unregistered Schedule 8 Cannabis Product information for nabiximols warns not to exceed maximum dosage as it increases the risk of these
Medicine are required to complete an joint online application to NSW Health and the TGA19. “In this process, serious psychiatric events. However when used in patients with chronic pain, low quality evidence suggest that
NSW Health relies on a single clinical assessment by the TGA and confines its review to checking the there was no difference between cannabis group and control groups21.
credentials of the prescribing doctor and the patient history, as with any other Schedule 8 drug authority”. Smoking medicinal cannabis isn’t recommended due to the harmful effects of smoking itself. Respiratory
Prescription of nabiximols (a registered S8 product) requires the same form to be filled but it is assessed by effects include chronic bronchitis, chronic obstructive pulmonary disease and airway irritation. In countries
NSW Health only. Doctors can also refer their patients to medicinal cannabis clinics which streamline the where herbal cannabis is available it is recommended to inhale via a vaporiser rather than smoking.
process and offer telehealth consultations to facilitate prescription.
The Faculty of Pain Medicine statement notes their concerns “about the adverse event profile in cannabis users,
Analysis of the total cannabinoid content of the product is used to determine its schedule as per the NSW especially in young people, including impaired respiratory function, psychotic symptoms and disorders and
poisons list. A cannabis medicine is classified as schedule 4 if the CBD content is >98% of total cannabinoid cognitive impairment”10.
content (for example, cannabidiol). All other cannabis products are classified as schedule 8 (for example,
nabiximols and nabilone). Cannabis products not approved for human therapeutic use or products derived from Responsible prescribing
unregulated sources such as oils and plant materials “will not be authorised”19. Contraindications to prescription include personal or family history of psychosis, schizophrenia, active
substance use disorder or previous cannabis use disorder, unstable cardiovascular or respiratory disease25.
Product information for THC-containing products and international advice for the most part suggests patients
Relative contraindications include a concurrent active mood or anxiety disorder and concurrent users of high-
should not drive while on treatment as a small but significant increase in collision has been seen across a
dose alcohol, opioids and/or benzodiazepines. It is a category B2 for use in pregnancy and is not recommended
number of meta-analyses20,21. The risks of impairment are greatest with initiation of treatment and with dose
for use unless the benefit of treatment is considered to outweigh potential risks to the foetus. There is a high
changes in the week prior. Patients taking cannabidiol which does not have a psychoactive component can
concentration of THC and CBD transfer in breast milk, probably due to the lipophilic nature of cannabinoids27.
lawfully drive, provided they are not considered “impaired”. Roadside surveillance tests for the presence of THC
It is therefore contraindicated in breast feeding.
in saliva. In NSW it is considered an offence to drive “under the influence of THC”, for which the legislation at
present does not provide for any medical defence20. The constituents of cannabis are metabolised by a number of pathways, primarily CYP450 in the liver. THC
is primarily metabolised by CYP3A4 and CYP2C9. Particular caution should be taken with concomitant
In New Zealand, cannabis remains an illicit drug under the Misuse of Drugs Act 1975 . Under this act, Ministry
22
administration with CYP450 inhibitors (for example, ketoconazole and clarithromycin) which may increase the
of Health approval is required for most medicinal cannabis products except for nabiximols (when prescribed for
availability of THC and CBD4,27. Use with relevant CYP inducers and inhibitors may require dosage adjustment
MS-related spasticity) and cannabidiol products. However this is an area of rapid legislative change. In 2018, an
and re-titration. Alcohol may also increase THC levels and therefore it is not recommended to consume alcohol
amendment was passed allowing palliative patients an exemption to the charge of possession and use of illicit
while on treatment.
cannabis. A patient is provided with a statutory defence and will not receive a criminal conviction if diagnosed as
requiring palliation by a medical or nurse practitioner. This is a compassionate measure while the NZ government European guidelines advise that cannabis-based medications are not prescribed in patients along with high
establishes a medicinal cannabis scheme22. The medicinal cannabis scheme due in 2020 aims to enable domestic doses of opioids or benzodiazepines. The advice for these patients is to prescribe cannabis at a low dose, or
commercial cultivation of medicinal cannabis and incorporates a licencing scheme, quality standards and a alternatively consider tapering the opioid or benzodiazepine4.
medicinal cannabis agency. Furthermore, during the 2020 general election, a non-binding referendum will be held
allowing voters an opportunity to decide on legalising the personal use of recreational cannabis. Guidance on safe prescribing includes a full and comprehensive biopsychosocial assessment of the patient,
including screening questionnaires for anxiety and depression and substance misuse/illicit drug use (either
Potential for dependency and adverse effects past or present). After assessing all cautions and contraindications, and a discussion of adverse effects, shared
Compared to inhalation, oral THC has a much lower bioavailability with peak concentrations reached 1-3 hours decision making to prescribe should be followed by a signed treatment agreement with the patient4,25. The
later for oral THC (dronabinol)8. Inhalation routes are rapidly absorbed with THC concentrations detected in lowest dose for clinical effect should be prescribed and gradually titrated as needed. A trial of efficacy should
plasma within seconds23. Dronabinol has a 10% oral bioavailability due to extensive first pass metabolism. extend to a maximum three months after which therapy should only be continued if there has been significant
Subjective psychoactive effects peak at 30 minutes following inhalation of marijuana compared with dronabinol functional improvement with minimal adverse effects.
which peaks at 2 hours for the same effect24. While pharmaceutical preparations may have a similar ability to
Perioperative management that Australia’s current legal medicinal market is valued at $A17.7 million annually. With rapidly widening use and
A recent survey noted that more that 80% of preoperative patients in the US believed that cannabinoid relaxation of barriers to prescription, it is projected that this will boom to $A3 billion by 202837,38.
products would be effective for the management of postoperative pain28. In a study assessing perioperative In NSW alone, $A9 million has been committed towards clinical trials to evaluate safety and efficacy of
cannabinoid use in orthopaedic surgery, patients who took cannabinoids preoperatively were more likely to cannabis products. Current trials are evaluating the treatment for severe treatment-resistant paediatric epilepsy,
be younger, male and be on opioids preoperatively. There was a significant difference in pain scores at rest chemotherapy induced nausea and vomiting and palliative care with a focus on quality of life outcomes.
and movement, with notably higher pain scores rated in the cannabinoid use group. The cannabinoid group
also had higher incidence of sleep impairment. Cannabinoid users undergoing hip or knee surgery had higher Outcomes from this research may be able to further identify potential uses for this ancient remedy in modern
requirements for opioids in the early postoperative period29. Cannabis users may thus require higher doses of medical practice.
analgesics for the post-surgery period4.
Much of the available guidance refers to perioperative recreational marijuana inhalation and its respiratory side REFERENCES
effects. Preoperative marijuana smoking, not surprisingly, is associated with increased sputum production. 1. De Crespigny R. A biographical dictionary of Later Han to the Three Kingdoms (23-220 AD). Brill; 2006.
Laryngospasm is commonly encountered in patients that smoke cannabis and increased doses of propofol may 2. Fankhauser M. History of cannabis in Western medicine. New York: The Haworth Integrative Healing Press; 2002.
be required for induction of anaesthesia and to overcome laryngospasm. 3. Aldrich M. History of Theraputic Cannabis. In: Mathre ML. Cannabis in medical practice: a legal, historical and
pharmacological overview of the therapeutic use of marijuana. Jefferson (NC): McFarland and Company; 1997. p.35-55.
A recent retrospective audit found that regular users of cannabis undergoing procedural sedation for 4. Häuser W, et al. European Pain Federation (EFIC) position paper on appropriate use of cannabis-based medicines and
endoscopic gastrointestinal procedures required much higher doses of sedation. Cannabis users required medical cannabis for chronic pain management. 2018;22(9):1547-64.
14% more fentanyl and 19.6% more midazolam compared to non-users. Consistent with previous studies high 5. Madras B. Update of cannabis and its medical use [Internet]. Report to the WHO Expert Committee on Drug
doses of propofol were required; with greater than three times more propofol required for the duration of their Dependence; 2015. Available from: www.who.int/medicines/access/controlled-substances/6_2_cannabis_update. pdf.
procedure30. 6. Department of Health, Therapeutic Goods Administration. Guidance for the use of medicinal cannabis in the treatment
of chronic non-cancer pain in Australia. Version 1. [Internet]. Woden (ACT): Commonwealth of Australia; 2017. Available
Clinical implications from: tga.gov.au.
There are high rates of active illicit substance use within pain management programs with 7.4% of samples 7. Hosking R and Zajicek J. Therapeutic potential of cannabis in pain medicine. Br J Anaesth. 2008;101(1):59-68.
testing positive for heroin, cocaine or amphetamines and 15.7% positive for marijuana in a six-month sample 8. Jensen B, et al. Medical marijuana and chronic pain: a review of basic science and clinical evidence. Curr Pain Headache
from the United States31. An Australian study looking at patients prescribed opioids for chronic non-cancer Rep. 2015;19(10):50.
pain, had similar rates with 16% of patients having used cannabis for pain relief. Of note, 12% met criteria for 9. Grotenhermen F. Pharmacology of cannabinoids. Neuro Endocrinol Lett. 2004;25(1-2):14-23.
an ICD-10 cannabis use disorder32. Similarly within the general population, of the 6.8% who use illicit marijuana 10. Faculty of Pain Medicine, Australian and New Zealand of Anaesthetists. PM10 Statement on “medicinal cannabis” with
particular reference to its use in the management of patients with chronic non-cancer pain. [Internet]. 2019. Available
recreationally, 1.9% reported using it self-prescribed for medical reasons33. This raises concerns about medical from: fpm.anzca.edu.au.
marijuana prescription in patients with chronic non-cancer pain. 11. Krcevski-Skvarc N, Wells C, Häuser WJ. Availability and approval of cannabis-based medicines for chronic pain
In US states with provisions for medical marijuana, there was an increase in marijuana use following passage management and palliative/supportive care in Europe: a survey of the status in the chapters of the European Pain
Federation. Eur J Pain. 2018;22(3):440-54.
of laws, which may reflect legitimate medical use or recreational use. Surprisingly, there was no increase in
12. Stockings E, et al. Cannabis and cannabinoids for the treatment of people with chronic noncancer pain conditions: a
cannabis use disorder in states that medicalised marijuana34. Among adolescents in substance use treatment systematic review and meta-analysis of controlled and observational studies. 2018;159(10):1932-54.
programs, almost 50% had obtained marijuana from someone with a medical marijuana licence35, thus 13. Häuser W, Finnerup NB, Moore RA. Systematic reviews with meta-analysis on cannabis-based medicines for chronic
demonstrating its potential for diversion to vulnerable patients. pain: a methodological and political minefield. Pain. 2018;159(10):1906-7.
14. Haroutounian S, et al. The effect of medicinal cannabis on pain and quality-of-life outcomes in chronic pain: a prospective
While its potential opioid-sparing effects may be beneficial, it is outweighed by its own adverse effects which
open-label study. Clin J Pain. 2016;32(12):1036-43.
may be significant enough to lead to treatment withdrawal. Driving restrictions further limit its utility, or if chosen
15. Boehnke KF, Litinas E, Clauw DJ. Medical cannabis use is associated with decreased opiate medication use in a
to be ignored by patients may contribute to increased safety risk to the public. retrospective cross-sectional survey of patients with chronic pain. J Pain. 2016;17(6):739-44.
Medical marijuana treatments are expensive. Nabiximols is not listed on the Pharmaceutical Benefits Scheme, 16. Portenoy RK, et al. Nabiximols for opioid-treated cancer patients with poorly-controlled chronic pain: a randomized,
placebo-controlled, graded-dose trial. J Pain. 2012;13(5):438-49.
and it is an off-label use for chronic pain in Australia. Each packet costs $A750 and lasts approximately 4-6
17. Department of Health, Therapeutic Goods Administration. Guidance for the use of medicinal cannabis in the treatment of
weeks. In comparison, assuming 3% THC content with current Australian street prices of marijuana, nabiximols
palliative care patients in Australia. Version 1. [Internet]. Woden (ACT): Commonwealth of Australia; 2017. Available from:
is six times the price based on THC content alone (sources unnamed). https://www.tga.gov.au/publication/guidance-use-medicinal-cannabis-treatment-palliative-care-patients-australia.
The focus of managing chronic non-cancer pain is patient education and maximising non-pharmacological 18. Australian Institute of Health and Welfare. Alcohol, tobacco and other drugs in Australia [Internet]. Canberra: Australian
Institute of Health and Welfare; 2018 [cited on 2018 Dec 13]. Available from: https://www.aihw.gov.au/reports/alcohol/
methods. Coupled with the paucity of evidence, it is difficult to justify the use of medical marijuana preparations alcohol-tobacco-other-drugs-australia/contents/drug-types/cannabis.
for use for chronic non-cancer pain. The Faculty of Pain Medicine states “at the present time, the scientific 19. NSW Health. Cannabis Medicines [Internet]. State of New South Wales. NSW Ministry of Health; 2019 [cited 2019 May
evidence for the efficacy of cannabinoids in the management of people with chronic non-cancer pain is 22]. Available from: https://www.health.nsw.gov.au/pharmaceutical/Pages/cannabis-products.aspx.
insufficient to justify endorsement of the clinical use”10. 20. NSW Health. Prescribed cannabis medicines and fitness to drive. [Internet]. NSW Ministry of Health; 2019 [cited 2019
Apr 14]. Available from: https://www.medicinalcannabis.nsw.gov.au/__data/assets/pdf_file/0025/2869/Cannabis-and-
Currently the recommended role for cannabis is as adjuvant therapy in treatment-refractory palliative care Driving-Fact-Sheet-Health-Professionals-FINAL.pdf.
patients for cancer pain, nausea and vomiting and other symptom control. 21. Nugent SM, et al. The effects of cannabis among adults with chronic pain and an overview of general harms: a systematic
The future of medical cannabis in Australia review. Ann Intern Med. 2017;167(5):319-31.
22. Ministry of Health. Medicinal cannabis. [Internet]. Wellington: Ministry of Health; 2018 [cited 2019 Sep 9]. Available from:
Despite these clinical implications and the current evidence-base, more than 6400 applications to the TGA https://www.health.govt.nz/our-work/regulation-health-and-disability-system/medicines-control/medicinal-cannabis.
for the Special Access Scheme (until April 2019) have been made, not including nabiximols36. It is being 23. Grotenhermen F, Russo E, editors. Cannabis and cannabinoids: pharmacology, toxicology, and therapeutic potential.
prescribed more widely and patient accessibility is being improved. The federal government has declared there Psychology Press; 2002.
is “now no real government barriers at all to accessing medical cannabis”37. 24. Issa MA, et al. The subjective psychoactive effects of oral dronabinol studied in a randomized, controlled crossover clinical
trial for pain. Clin J Pain. 2014;30(6):472-8.
Greater quality trials with strong evidence is essential to further characterise the role for medical marijuana in 25. Beaulieu P, et al. Medical cannabis: considerations for the anesthesiologist and pain physician. Can J Anaesth.
clinical practice. In NSW, the government has made a $A21 million commitment to improve understanding of 2016;63(5):608-24.
safe and appropriate use of medical cannabis products. It has established a “Cannabis Medicines Advisory 26. Meier MH, et al. Persistent cannabis users show neuropsychological decline from childhood to midlife. Proc Natl Acad Sci
Service” to provide guidance to clinicians considering prescribing cannabis medicine products. It is estimated USA. 2012;109(40):E2657-64.
226 Australasian Anaesthesia 2019 – Brain/Neuro Anaesthetic implications of restless legs syndrome: A review 227
27. Novartis Pharmaceuticals Australia Pty Ltd, Nabiximols oral spray 10 mL – Product Information. 2012.
28. Khelemsky Y, et al. Perioperative patient beliefs regarding potential effectiveness of marijuana (cannabinoids) for treatment
Anaesthetic implications of restless legs syndrome: A review
of pain: a prospective population survey. Reg Anesth Pain Med. 2017;42(5):652-9.
29. Liu CW, et al. Weeding out the problem: the impact of preoperative cannabinoid use on pain in the perioperative period. Nicole Somi B SportCoach MBBS
Anesth Analg. 2019;129(3):874-81. Department of Anaesthesia, Perioperative Medicine and Pain Management, the Canberra Hospital, ACT, Australia.
30. Twardowski MA, Link MM, and Twardowski NM. Effects of cannabis use on sedation requirements for endoscopic
procedures. J Am Osteopath Assoc. 2019;119(5):307-11. Dr Somi is an advanced trainee in anaesthesia at The Canberra Hospital. She has interests in paediatric and
31. Smiley-McDonald HM, et al. Patterns of marijuana use in a 6-month pain management sample in the United States. Subst neurosurgical anaesthesia.
Abuse. 2017;11.
32. Degenhardt L, et al. Experience of adjunctive cannabis use for chronic non-cancer pain: findings from the Pain and Elizabeth Merenda BSc, MBBS (Hons), FANZCA
Opioids IN Treatment (POINT) study. Drug Alcohol Depend. 2015; 147:144-50.
Department of Anaesthesia, Perioperative Medicine and Pain Management, the Canberra Hospital, ACT, Australia.
33. Ogborne AC, Smart RG, Adlaf EM. Self-reported medical use of marijuana: a survey of the general population. CMAJ.
2000;162(12):1685-6. Dr Merenda is a staff specialist at The Canberra Hospital and has interests in medical education and simulation.
34. Williams AR, et al. Loose regulation of medical marijuana programs associated with higher rates of adult marijuana use but
not cannabis use disorder. Addiction. 2017;112(11):1985-91. Thomas Bruessel DR MED, FANZCA
35. Thurstone C, Lieberman SA, Schmiege SJ. Medical marijuana diversion and associated problems in adolescent substance
Department of Anaesthesia, Perioperative Medicine and Pain Management, the Canberra Hospital, ACT, Australia.
treatment. Drug Alcohol Depend. 2011; 118(2):489-92.
36. Department of Health, Therapeutic Goods Administration. Access to medicinal cannabis products. [Internet]. Woden Professor Thomas Bruessel is the Director of the Department of Anaesthesia, Perioperative Medicine and Pain
(ACT): Commonwealth of Australia; 2019. Available from: tga.gov.au/access-medicinal-cannabis-products-1. Management at Canberra Health Services and Professor at the Australian National University Medical School.
37. Australian Associated Press. Australia aims to be world’s top medicinal cannabis supplier after exports get green light. He has strong interests in regional anaesthesia, neuroanaesthesia and neuro medicine.
[Internet]. In The Guardian; 2018. Available from: https://www.theguardian.com/society/2018/jan/04/australia-aims-to-be-
worlds-top-medicinal-cannabis-supplier-after-exports-get-green-light.
38. Australian Associated Press. Australia’s cannabis industry set to boom: report. [Internet]. News Pty Limited; 2018. INTRODUCTION
Available from: https://www.news.com.au/technology/science/human-body/australias-cannabis-industry-set-to-boom-
report/news-story/8900ec761318b3b66f90c254c23d9948. Restless legs syndrome (RLS) is a common neurological sensorimotor disorder characterised by the urge to
move one’s legs (and less commonly trunk and arms). It is associated with unpleasant paraesthesias deep
within the legs during periods of rest or inactivity which are relieved by movement1,2. The overall prevalence of
RLS is 10.6% 1,3. It affects both children and adults and may present at any age but is most often seen in older
populations, with prevalence peaking at 65 years2,4. It has a profound effect on the quality of life of those with
the disease5,6. RLS symptoms may be triggered or exacerbated in the perioperative period7. Large scale studies
are lacking, however there is no evidence to date that anaesthesia, in itself, has any negative impact on the RLS
symptoms.
DEFINITION AND DIAGNOSTIC CRITERIA

RLS was first described in the literature by Sir Thomas Willis in 16858 and further by Karl Axel Ekbom in 1945
and 1960, in which he described the first diagnostic criteria9,10. In 1995, The International Restless Legs
Syndrome Study Group (IRLSSG) was formed. The IRLSSG created four essential criteria for diagnosis.
These involved an urge to move the legs11:
1. Usually accompanied by unpleasant sensations in the legs.
2. That begins or worsens with rest or inactivity.
3. That is improved by movement as are the unpleasant sensations.
4. That is worse in the evening or night.
The diagnostic criteria for RLS have been revised and most recently released in 2013. These are described
in Table 1.
Table 1. International Restless Legs Syndrome Study Group (IRLSSG) consensus diagnostic The pathophysiology of primary RLS is partially known and includes a genetic component along with theories of
criteria for restless legs syndrome/Willis-Ekbom disease (RLS/WED). Adapted with permission1. dopamine and brain iron dysregulation22. Genetic transmission appears to be autosomal dominant, with variable
expression. More than 50% of patients with the disorder have a positive family history and 83% of monozygotic
RLS/WED, a neurological sensorimotor disease often profoundly disturbing sleep and quality of life, has twins are concordant7,23.
variable expression influenced by genetic, environment and medical factors. The symptoms vary considerably
Dopamine dysfunction
in frequency from less than once a month or year to daily, and severity from mildly annoying to disabling.
Symptoms may also remit for various periods of time. RLS/WED is diagnosed by ascertaining symptom It is clear from clinical observation that dopamine dysfunction plays a role in the pathophysiology of RLS.
patterns that meet the following five essential criteria, adding clinical specifiers where appropriate. Dopamine agonists relieve symptoms, while dopamine antagonists may trigger and intensify symptoms.
Evidence of up-regulated dopamine transmission is seen in Single Photon Emission Commuted Topography
Essential criteria (all must be met): (SPECT) and Positron Emission Topography (PET) neuroimaging studies. These modalities demonstrate
1. An urge to move the legs usually but not always accompanied by, or felt to be caused by, uncomfortable decreased dopamine sensitisation as evidenced by decreased D2 receptors and increased tyrosine hydroxylase
and unpleasant sensations in the legs. activity. Tyrosine hydroxylase is the rate limiting enzyme in the dopamine synthesis pathway2,24,25.
2. The urge to move the legs and accompanying unpleasant sensations begin or worsen during periods of Iron
rest or inactivity such as lying down or sitting.
Iron deficiency within the brain has been implicated in the pathophysiology of RLS. In people with iron
3. The urge to move the legs and accompanying unpleasant sensations are partially or totally relieved by deficiency anaemia, there is a 30% incidence of RLS26. Brain imaging shows reduced iron stores in the
movement, such as walking or stretching, at least as long as the activity continues. brains of those with RLS2. Iron is a necessary cofactor for the brain’s synthesis of dopamine and regulation
4. The urge to move the legs and accompanying unpleasant sensations during rest or inactivity only occur or of dopamine receptors2. IRLSSG guidelines advise for the assessment of peripheral of iron status and iron
are worse in the evening or night than during the day. replacement when deficiency is diagnosed26. Lower ferritin levels are associated with increased RLS severity27
5. The occurrence of the above features is not solely accounted for as symptoms primary to another medical and symptoms may be improved with iron supplementation26.
or behavioral condition.
Specifiers for clinical course of RLS/WED: TREATMENT
A. Chronic-persistent RLS/WED: symptoms when not treated would occur on average at least twice weekly In 2016, a task force commissioned by the IRLSSG published guidelines for the treatment of RLS28. These
for the past year. guidelines are used to guide management and to prevent the augmentation of symptoms which can occur after
B. Intermittent RLS/WED: symptoms when not treated would occur on average <2/week for the past year, starting treatment. Augmentation may present with increased severity of symptoms, shorter latency at rest,
with at least five lifetime events. earlier symptom onset during the day, and symptoms extending to other body parts including the trunk and
arms29.
Specifier for the clinical significance of RLS/WED:
Treatment of Primary RLS
The symptoms of RLS/WED cause significant distress or impairment in social, occupational, educational
or other important areas of functioning by their impact on sleep, energy/vitality, daily activities, behavior, If symptoms are not pervasive, simple non-pharmacological measures may be implemented alone and
cognition or mood. include22,29:
• Good sleep hygiene (with regular sleep patterns).
• Avoidance of daytime naps.
EPIDEMIOLOGY
• Avoidance of alcohol and caffeine.
The prevalence of RLS (using the IRLSSG diagnostic criteria) is 10.6%1,3. The prevalence is doubled in
• Exercise.
women and increases with age1. 5% of people affected have symptoms at least once a week5. Further, 2.7%
have moderate to severely distressing symptoms5. RLS symptoms are associated with: chronic sleeplessness, • Massage.
depression, despondency, higher lifetime rate of suicidal ideation or suicidal behavior (27.1% compared with Daily pharmacotherapy should only be used when symptoms have a significant impact on quality of life.
7.0%) and depression history (65.6% compared with 22.8%)6. Increasing syndrome severity is associated with Intermittent drug treatment should be considered for less frequent symptoms29.
increased likelihood of suicidal activities6. People with RLS symptoms occurring more than 16 times per month
also have a higher incidence of cardiovascular disease12. Antiepileptics
In pregnancy, RLS is a common movement disorder with a prevalence of up to 26%13-15. It typically appears in Alpha2 delta ligands (gabapentin and pregabalin) are the initial drug therapy as they are effective and carry a
the third trimester and disappears within a month following delivery14,15. For most of these women (62.7%), it is low risk of augmentation28-30. Gabapentin is usually started at 300 mg nocte and may be increased to 2400
their first experience of RLS15. Pregnancy-related RLS is associated with a higher risk of chronic RLS (four-fold) mg/day. A mean dose of pregabalin of 123.9 mg of pregabalin showed 90% efficacy in reducing symptoms of
and a higher risk of developing RLS in a later pregnancy (58% compared with 3%)16. RLS. Allen et al (2014) demonstrated that 300 mg/day of pregabalin provided a greater reduction in severity
scoring compared with placebo and pramipexole 0.25 milligram. Pregabalin (300 mg/day) has similar efficacy to
Children are also affected by RLS (prevalence of 2-4%)17-19. Symptoms are usually mild and do not require pramipexole (0.5 milligram/day) and is associated with lower rates of augmentation. Higher doses of pregabalin
drug therapy. Unlike adults, boys and girls are equally affected17. There is a higher incidence of RLS in children (300-450 milligram/day) resulted in more significant improvements in symptoms but with more frequent adverse
with the following diseases: anxiety, depression, attention-deficit/hyperactivity disorder, chronic kidney disease effects (somnolence, dizziness, depression and weight gain)29,30.
and sickle cell disease20. Children may be unable to communicate their symptoms clearly, making diagnosis
challenging. Symptoms may present as disrupted sleep, daytime sleepiness, behavioural or education issues, Dopamine agonists
sleep-talking, night terrors and/or bruxism20. Children may mistakenly be identified as having “growing pains”, Dopamine agonists should be given at the lowest effective dose and should not exceed the recommended
but a proportion of them may actually be experiencing RLS21. treatment dose for RLS (due to the risk of augmentation)28. Dopamine agonists have a positive impact on RLS
rating and quality of life scales31. Non-ergoline agonists (pramipexole, rotigotine) are first line medications.
These have a lower incidence of augmentation than ergoline agonists2, satisfactory efficacy and a wider safety
PATHOPHYSIOLOGY
margin31. A Cochrane review in 2011 reported higher efficacy with ergoline derivatives (cabergoline, pergolide
Two subsets of RLS have been identified, primary (idiopathic) and secondary RLS. Patients with secondary and levodopa). However, these medications not used in RLS due to their association with cardiac valve,
RLS develop their symptoms secondary to another disease process or drug. Causes of secondary RLS include: retroperitoneal, pericardial and pleuropulmonary fibrosis31. Table 2 outlines the pharmacology of dopamine
iron deficiency, pregnancy, kidney disease, rheumatic disease and medications2. agonists and alpha2 delta ligands relevant to RLS32.
Table 2. Use of dopamine agonists and alpha2 delta ligands for the treatment of RLS. ANAESTHETIC IMPLICATIONS
Adapted with permission32,33.
Perioperatively, RLS may worsen, recur or present for the first time. Common perioperative triggers include
Pramipexole Ropinirole Rotigotine Gabapentin Pregabalin sleep deprivation and immobilisation. Patients who are pregnant or have iron deficiency, kidney failure or are
using a potential triggering medication are at increased risk of RLS perioperatively7.
Time to maximum 2 1-2 15-18 1 3-4
concentration (h) Recommendations for perioperative management
Half-life (h) 8 6 5-7 5-7 6 Drug therapy for RLS should be continued perioperatively where possible. RLS drug therapy is usually taken
at night. If interruption is required, it should be for the shortest time possible to prevent rebound symptoms. If
Initial dose (mg) 0.125 0.25 1 300 100 a patient is immobilised for a prolonged period, dopamine agonists may be required three times a day (due to
Usual total daily dose (mg) 0.125-0.5 0.5-2.0 1.0-3.0 300-1800 100-300 their short half-life)23. Therapy with a rotigotine patch may be continued in most patients. Premedication with
benzodiazepines or pregabalin may be useful as both are used therapeutically in RLS7.
Maximum dose (mg) 0.75-1.0 4.0 3.0 3600 450
Patients with RLS have difficulty remaining motionless. Prolonged medical imaging procedures or procedures
Metabolism Renal Hepatic Hepatic Renal Renal performed under local anaesthetic alone may not be possible7. Postoperative agitation due to akathisia may
Common side effects Nausea, vomiting, fatigue, somnolence, Somnolence, unsteadiness, be misinterpreted as delirium. This may be mistakenly treated with haloperidol (a dopamine antagonist),
augmentation, application site reaction dizziness, weight gain, dry exacerbating the akathisia and agitation45. Benzodiazepines should be used as treatment for akathisia instead7.
(rotigotine) mouth Pharmacotherapy
Opioids Medications may be a trigger of symptoms. As outlined above, dopamine antagonists, serotonergic agents or opioid
antagonists should be avoided7. The following tables (3 and 4) summarise the potential drug effects on RLS.
Low quality evidence supports the use of opioids as a second line agent to treat severe RLS symptoms that
are resistant to conventional treatment. The mechanisms of their effect are unknown34. Adverse effects of
Table 3. Drugs that may possibly exacerbate RLS symptoms. Adapted with permission7.
somnolence, nausea, constipation, dependence, tolerance, and potential for abuse diminish their usefulness35.
Trenkwalder et al found sustained release oxycodone-naloxone (mean dosage 10/5 mg twice a day) is
Classic neuroleptics: Pronounced blockade of dopamine D2 receptor
efficacious for short-term treatment of patients with severe RLS symptoms36. This is the only opioid licensed
for use for the treatment of RLS34. Methadone may also be beneficial. Ondo et al showed methadone provided Butyrophenones: haloperidol, droperidol
up to a 75% reduction in refractory RLS symptoms, but this study was limited by its high attrition rate37. Silver Phenothiazines: prochlorperazine, chlorpromazine, promethazine
et al found methadone had a lower per year discontinuation rate (0%) compared with pergolide (8%) and Thioxanthenes: flupentixol, zuclopenthixol
pramipexole (9%)38.
Atypical antipsychotics: Less pronounced blockade of dopamine D2 receptor
Benzodiazepines
Clozapine, olanzapine, risperidone, quetiapine, amisulpride
Benzodiazepines have been used for the treatment of RLS due to their effect on sleep initiation
and maintenance, however there is little data to support their use39. A study comparing pramipexole Antidepressants: Alter dopamine and serotonin metabolism
with clonazepam showed that pramipexole reduces periodic limb movements without effecting the Tricyclic and tetracyclic: amitriptyline, nortriptyline, imipramine, doxepin, mirtazapine
electroencephalogram (EEG), while clonazepam suppresses sleep EEG instability but does not reduce the
Selective serotonin reuptake inhibitors: citalopram, escitalopram, fluoxetine, sertraline
motor effects of RLS40.
Venlafaxine
Treatment of Secondary RLS
Lithium
After diagnosis, secondary causes must be considered and treated when present. Patients with uraemic end-
stage renal failure have a 30% incidence of RLS41. Nocturnal haemodialysis may improve symptoms42. Renal Antihistamines: Cross blood brain barrier, can induce RLS symptoms
transplantation has been shown to improve symptoms within days43. Pregnancy-related RLS usually goes into Sedating: diphenhydramine, cyproheptadine, dexchlorpheniramine, pheniramine, promethazine
remission within a month of delivery14,15. If possible, causative drugs should be ceased and an alternative agent Dopamine antagonist antiemetics: Blockade of dopamine D2 receptor
initiated29. Causative medications include: antihistamines, dopamine antagonists, neuroleptics, mirtazapine,
tricyclic antidepressants, selective serotonin reuptake inhibitors, beta blockers, thyroxine and lithium2,29. Metoclopramide, droperidol
Opioids
Iron
Tramadol: Serotonergic effects
A 2016 Cochrane review demonstrated iron is better than a placebo for reducing the severity of
RLS symptoms44 and it should be replaced when deficient26. IRLSSG Guidelines (2017) advise iron Antagonists: naloxone, naltrexone
supplementation when the serum ferritin is below 300 micrograms/L or transferrin above 45%27. When serum
ferritin is below 75 micrograms/L, oral iron ferrous sulfate 325 mg once or twice a day and 100 mg vitamin C
twice a day should be administered. Serum ferritin levels between 75 micrograms/L and 300 micrograms/L
show a variable absorption of oral iron and should be treated with intravenous iron (ferric carboxymaltose 1000
mg). Less than 2% of oral iron is absorbed when the serum ferritin level is greater than 75 micrograms/L,
due to the action of hepcidin. Intravenous iron may also be used when oral iron is poorly tolerated due to
gastrointestinal side effects28.
In children, iron replacement is indicated if the serum ferritin level is less than 50 micrograms/litre. Oral ferrous
sulfate may be used at a dose of 3 mg/kilogram/day (maximum of 130 mg/day). If there is poor oral absorption
or no resolution of symptoms at 3 months with oral therapy, intravenous replacement may be considered. Iron
sucrose is the only formulation studied for use in RLS. A dose of 3-6 mg/kilogram (maximum of 120 mg) can be
used, aiming for a serum ferritin of greater than 50 micrograms/litre27.
Table 4. Drugs with no effect on RLS symptoms. Adapted with permission7. Table 5. Anaesthetic implications of RLS. Adapted with permission23.
Inhalation anaesthetics: No effect Prevent RLS exacerbation

Sevoflurane, desflurane Neuroleptics and phenothiazine antihistamines are contraindicated
Intravenous anaesthetics: No effect Domperidone and ondansetron can be used to prevent nausea and vomiting
Propofol, ketamine, thiopentone, benzodiazepines, etomidate Benzodiazepines can be used to achieve sedation
Opioids: Beneficial effect Continue RLS treatment, and reintroduce oral agents as soon as possible
Oxycodone, morphine, hydromorphone, fentanyl, sufentanil When oral route is not available, apomorphine (subcutaneously) or transdermal rotigotine patches can be
used
Muscle relaxants: No effect
Alleviate postoperative RLS exacerbation
Local anaesthetics: No effect
Use parenteral opiates
Non-opioid analgesics: No effect Apomorphine
Nonsteroidal anti-inflammatories, paracetamol Authorise the patients to move and walk as early as possible (under supervision) or to move their legs
Antiemetics: No effect passively if bedridden
Glucocorticoids Alleviate long-term exacerbation of RLS after surgery
5-hydroxytryptamine 3 receptor antagonists: ondansetron, granisetron, tropisetron Monitor serum ferritin, especially if acute blood loss during surgery
If ferritin <75 mcg/mL, provide oral or intravenous iron (or <50 mcg/L in children)
Regional neuraxial techniques
Transiently increase the daily dose of dopamine agonist and administer 3 to 4 doses per day if the patient
A prospective study by Hogl et al followed 202 consecutive patients undergoing spinal anaesthesia. They is bedridden
showed an 8.7% incidence of new onset RLS following spinal anaesthesia (mepivacaine heavy or bupivacaine
plain ± fentanyl 15 micrograms was used for spinal anaesthesia). Patients were evaluated for the presence and
severity of RLS symptoms at 48 to 72 hours post-surgery and then again at 1 week, 1 month and 6 months. CONCLUSION
Of the 161 patients who had no prior history of RLS, 8.7% developed first onset RLS after spinal anaesthesia.
The mean duration was 33+/- 30 days. Low red cell volume and low mean haemoglobin concentration were RLS is a prevalent disease that causes significant morbidity. Patients may experience an exacerbation of
associated with the onset of RLS. This study lacked a preoperative assessment to identify any preexisting their symptoms in the perioperative period. Many factors relating to their hospital stay may contribute to this.
undiagnosed RLS and there was no control group of patients46. It remains unclear whether regional neuraxial These factors may be pathophysiological (for example iron deficiency), non-pharmacological (for example
techniques have any role in triggering a new onset of RLS. No studies have indicated the effect of neuraxial immobility) or pharmacological (for example the use of dopamine antagonists). To date, no large studies have
anaesthesia on preexisting RLS. been performed to examine if there is an interaction between RLS and anaesthetic agents or technique. Given
the high prevalence, and significant morbidity of disease, it is important for anaesthetists to understand this
There have been no large-scale studies investigating the influence of general anaesthesia on RLS. A syndrome to optimise the care of patients with RLS perioperatively.
prospective study involving 359 patients who underwent general or spinal anaesthesia were surveyed on
admission and again at 1 and 4 weeks postoperatively. No patients from either group had worsening of pre-
existing or new onset of RLS47. It appears that there may only be a temporal relationship between anaesthesia
REFERENCES
and worsening of RLS symptoms, but no causal effect47. 1. Allen RP, Pichietti DL, Garcia-Borreguero D, Ondo WG, Walters AS, Winkelman JW, et al. Restless legs syndrome/Willis-
Ekbom disease diagnostic criteria: updated international restless legs syndrome study group (IRLSSG) consensus criteria
Perioperative treatment of symptoms – history, rationale, description, and significance. Sleep Med. 2014;15(8):860-73.
If RLS symptoms occur perioperatively, patients should be allowed to walk or move their legs in bed as soon 2. Ekbom K, Ulfberg J. Restless legs syndrome. J Intern Med. 2009;266(5):419-31.
as possible. If prolonged bed rest is required, the frequency of RLS medications may be increased to three 3. Högl B, Kiechi S, Willeit J, Saletu M, Frauscher B, Seppi K, et al. Restless legs syndrome: a community: based study of
times a day. If oral intake is feasible, a patient’s usual oral medication may be given. Levodopa (a dopamine prevalence, severity, and risk factors. Neurology. 2005;64(11):1920-4.
agonist) may be administered by nasogastric tube. Alternatively, parenteral apomorphine or a rotigotine patch 4. Ohayon MM, O’Hara R, Vitiello MV. Epidemiology of restless legs syndrome: a synthesis of the literature. Sleep Med Rev.
2012;16(4):283-95.
may be used. Apomorphine (1 milligram) may be injected subcutaneously on an hourly basis. Nausea is a
5. Allen RP, Walters AS, Montplaisir J, Hening W, Myers A, Bell TJ, et al. Restless legs syndrome prevalence and impact:
common side effect so it may need to be given with an antiemetic. Rotigotine patches may be used every 24 REST general population study. Arch Intern Med. 2005;165(11):1286-2.
hours23,48. Opioids, benzodiazepines and pregabalin may also be used to alleviate symptoms7. Patients should 6. Para KS, Chow CA, Nalamada K, Kakade VM, Chilakamarri P, Louis ED, et al. Suicidal thought and behavior in individuals
be proactively investigated and treated for iron deficiency, targeting ferritin level greater than 300 micrograms/ with restless legs syndrome. Sleep Med. 2019;54:1-7.
litre in adults, and 50 micrograms/litre in children27. Table 5 summarises the perioperative goals. 7. Bartelke F, Pfister R, Kammerer W. Perioperative approach to restless legs syndrome. Anaesthetist. 2013;62(12):1023-33.
8. Willis T. The London practice of physick. London: Thomas Basset and WIlliam Crook; 1685.
9. Ekbom KA. Restless legs syndrome. Neurology. 1960;10(9):868-73.
10. Ekbom KA. Restless legs. Acta Med Scand. 1945;158:1-123.
11. Walters AS, Aldrich MS, Allen RP, Ancoli-Israel S, Buchholz D, Chokroverty S, et al. Toward a better definition of the
restless legs syndrome. Movement Disorders. 1995;10(5):634-42.
12. Winkelman JW, Shahar E, Sharief I, Gottlieb DJ. Association of restless legs syndrome and cardiovascular disease in the
Sleep Heart Health Study. Neurology. 2008;70(1):35-42.
13. Goodman JD, Brodie C, Ayida GA. Restless legs syndrome in pregnancy. Br Med J. 1988;297(6656):1065-54.
14. Suzuki K, Ohida T, Sone T, Takemura S, Yokoyama E, Miyake T, et al. The prevalence of restless legs syndrome
among pregnant women in Japan and the relationship between restless legs syndrome and sleep problems. Sleep.
2003;26(6):673-7.
15. Manconi M, Govoni V, De Vito A, Economou NT, Cesnik E, Casetta I, et al. Restless legs syndrome and pregnancy.
Neurology. 2004;63(6):1065-9.
16. Cesnik E, Casetta I, Turri M, Govoni V, Granieri E, Ferini-Strambi L, et al. Transient RLS during pregnancy is a risk factor
for the chronic idiopathic form. Neurology. 2010;75(23):2117-20.
17. Picchietti D, Allen RP, Walters AS, Davidson JE, Myers A, Ferini-Strambi L. Restless legs syndrome: prevalence and
impact in children and adolescents–the Peds REST study. Pediatrics. 2007;120(2):253-66.
18. Turkdogan D, Bekiroglu N, Zaimoglu S. A prevalence study of restless legs syndrome in Turkish children and adolescents.
Sleep Med. 2011;12(4):315-21.
19. Yilmaz K, Kilincaslan A, Aydin N, Kor D. Prevalence and correlates of restless legs syndrome in adolescents. Dev Med
Child Neurol. 2011;53(1):40-7.
20. Howard H, Kamat D. Restless legs syndrome in children. Pediatr Ann. 2018;47(12):e504-6.
21. Kotagal S, Silber M. Childhood-onset restless legs syndrome. Ann Neurol. 2004;56(6):803-7.
22. Klingelhoefer L, Bhattacharya K, Reichmann H. Restless legs syndrome. Clin Med. 2016;16(4):379-82.
23. Raux M, Karroum EG, Arnulf I. Case scenario: anesthetic implications of restless legs syndrome. Anesthesiology.
2010;112:1511-7.
24. Leschziner G, Gringras P. Restless legs syndrome. BMJ. 2012;344:e3056.
25. Jimenez-Jimenez FJ, Alonso-Navarro H, Garcia-Martin E, Agundez JA. Neurochemical features of idiopathic restless legs
syndrome. Sleep Med Rev. 2019;45:70-87.
26. Connor JR, Patton SM, Oexle K, Allen RP. Iron in restless legs syndrome: treatment, genetic and pathophysiology. Sleep
Med. 2017;31:61-70.
27. Allen RP, Picheietti DL, Auerbach M, Cho YW, Connor JR, Early CJ, et al. Evidence-based and consensus clinical practice
guidelines for the iron treatment of restless legs syndrome/Willis-Ekbom disease in adults and children: an International
Restless Legs Syndrome Study Group task force report. Sleep Med. 2018;41:27-44.
28. Garcia-Borreguero D, Silber MH, Winkelman JW, Hogl B, Bainbridge J, Buchfuhrer M, et al. Guidelines for the first-line
treatment of restless legs syndrome/Willis–Ekbom disease, prevention and treatment of dopaminergic augmentation: a
combined task force of the IRLSSG, EURLSSG, and the RLS-foundation. Sleep Med. 2016;21:1-11.
29. Ferini-Strambi L, Marelli S. Pharmacotherapy for restless legs syndrome. Expert Opin Pharmacother. 2014;15(8):
1127-38.
30. Allen RP, Chen C, Garcia-Borreguero D, Polo O, DuBrava S, Miceli J, et al. Comparison of pregabalin with pramipexole
for restless legs syndrome. N Engl J Med. 2014;370(7):621-31.
31. Scholz H, Trenkwalder C, Kohnen R, Kriston L, Riemann D, Hornyak M. Dopamine agonists for restless legs syndrome.
Cochrane Database Syst Rev. 2011;(3):CD006009.
32. Bertisch S. In the clinic. Restless legs syndrome. Ann Intern Med. 2015;163(9):ITC1-11.
33. Earley C. Clinical practice. Restless legs syndrome. New Engl J Med. 2003;348(21):2103-9.
34. Trenkwalder C, Zieglgansberger W, Ahmedzai SH, Hogl B. Pain, opioids, and sleep: implications for restless legs
syndrome treatment. Sleep Med. 2017;31:78-85.
35. de Oliveira CO, Carvalho LB, Carlos K, Conti C, de Oliveira MM, Prado LB, et al. Opioids for restless legs syndrome.
36. Trenkwalder C, Benes H, Grote L, Garcia-Borreguero, Hogl B, Hopp M, et al. Prolonged release oxycodone–naloxone
for treatment of severe restless legs syndrome after failure of previous treatment: a double-blind, randomised, placebo-
controlled trial with an open-label extension. Lancet Neurol. 2013;12(12):1141-50.
37. Ondo WG. Methadone for refractory restless legs syndrome. Mov Disord. 2005;20(3):345-8.
38. Silver N, Allen RP, Senerth J, Earley CJ. A 10-year, longitudinal assessment of dopamine agonists and methadone in the
treatment of restless legs syndrome. Sleep Medicine. 2011;12(5):440-4.
39. Carlos K, Prado G, Teixeira CD, Conti C, de Oliveira MM, Prado LB, et al. Benzodiazepines for restless legs syndrome.
40. Manconi M, Ferri R, Zucconi M, Bassetti CL, Fulda S, Arico D, et al. Dissociation of periodic leg movements from arousals
in restless legs syndrome. Ann Neurol. 2012;71(6):834-44.
41. Murtagh FE, Addington-Hall J, Higginson IJ. The prevalence of symptoms in end-stage renal disease: a systematic review.
Adv Chronic Kidney Dis. 2007;14(1):82-99.
42. Stautner A, Stiasny K, Collado-Seidel V, Bucher SF. Comparison of idiopathic and uremic restless legs syndrome: results
of a database of 134 patients. Mov Disord. 1996;11:98.
43. Kutner NG, Zhang R, Szczech LA, Bliwise DL. Restless legs syndrome reported by incident haemodialusis patients: is
treatment time of day relevant? Nephrology (Carlton). 2012;17:783-4.
44. Trotti LM, Becker LA. Iron for the treatment of restless legs syndrome. Cochrane Database Syst Rev. 2019;1:CD007834.
45. Karroum EG, Raux M, Riou B, Arnulf I. [Acute exacerbation of restless legs syndrome during perioperative procedures:
case reports and suggested management]. Ann Fr Anesth Reanim. 2010;29(12):920-4.
46. Hogl B, Frauscher B, Seppi K, Ulmer H, Poewe W. Transient restless legs syndrome after spinal anaesthesia, a
prospective study. Neurology. 2002;59:1705-7.
47. Crozier TA, Karimdadian D, Happe S. Restless legs syndrome and spinal anaesthesia. New Eng J Med.
2008;359(21):2294-6.
48. Hogl B, Oertel WH, Schollmayer E, Bauer L. Transdermal rotigotine for the perioperative management of restless legs
syndrome. BMC Neurol. 2012;12(106).
Liver/
Metabolic/
Immune
System
Obesity and anaesthesia
Peter Baumgartner
Euglycaemic diabetic ketoacidosis associated

with sodium-glucose cotransporter-2 inhibitors:
New drugs bring new problems
Venkatesan Thiruvenkatarajan, Emily Jane Meyer,
Nagesh Nanjappa, John Currie, Roelof M Van Wijk,
David Jesudason
Anaesthesia and immune modulation

Michelle Roets, Melinda Dean, Jaisil EJ Punnasseril,
Kerstin Wyssusek, Andre van Zundert,
David Sturgess
Obesity and anaesthesia 239
Obesity and anaesthesia

Peter Baumgartner MBChB, FRCA
Dr Baumgartner is a consultant anaesthetist at Royal Perth Hospital, Western Australia and also works in the
private sector. His interests include bariatrics, paediatrics and teaching. He completed his undergraduate
training in Cape Town and anaesthesia training in Coventry, UK.
INTRODUCTION
“Obesus – to fatten by excess eating”
Obesity, an excess of fat, is a complex chronic condition with multiple causes and treatment options. It has a
lifelong time course with relapses and consequences including multiple associated diseases, long-term costs
and decreased quality of life and reduced life expectancy. Obesity can be prevented and managed. Sustained
weight loss and improvement in complications can be achieved.
An epidemic of obesity is present in the world today with more than half of adults in many countries with
a BMI above the healthy weight range (>25) and many millions living with morbid obesity. This results in a
huge burden on the individual suffering from the condition and also healthcare-related costs of managing the
associated diseases, especially diabetes, hypertension, sleep apnoea, and cancers. Estimates predict the
healthcare cost associated with obesity to the Australian economy will be $A21 billion by 2025 unless drastic
changes to trends are seen.
Despite extensive efforts by individuals, the medical community and health experts around the world, obesity
rates continue to rise1. As countries become wealthier and adopt western lifestyles, the population starts to
gain weight. Within an economy, however, data are suggesting that the worst obesity rates are seen in the
lower-income areas2. This fact makes the provision of government-supported initiatives even more important
for tackling the problem. Alarmingly, population forecasters have been reporting that the current generation
of obese will have reduced life expectancies, a reversal of trends not seen in a century3. Governments have
implemented various strategies including policies to improve food labellings, such as the healthy star rating
system, education of adults and children about healthy eating and exercise, advertising of better lifestyle
choices, sugar taxes and weight loss programs. “LiveLighter” is one such initiative in Western Australia4,5.
Intuitively, it is only possible to lose weight with a negative energy balance. Human physiology is biased towards
weight gain and very resistant to weight loss. Large and difficult lifestyle changes are required to lose and
maintain lower weight while much smaller sustained changes in energy balance will provide stable energy and
thus weight balance6. It is thus imperative that preventative measures are promoted to prevent weight gain and
also help individuals maintain healthy weight balance throughout their lives.
Many still believe that if obese people could simply eat less and exercise more, they would not be obese or
suffer the consequences of obesity7. The obese will often state that they are discriminated against within the
medical system and society in general and this contributes to depression and anxiety, both being major risk
factors for worsening obesity8,9.
The evidence about what constitutes a healthy diet is well known and widely publicised. It includes high levels
of vegetable and fruits, whole grains and high-quality proteins. There should be a low intake of added sugars,
refined grains and highly processed foods10. Portion sizes must be appropriate. Calorie counting is important
but difficult to follow long-term. People who maintain weight loss have several behaviours that are associated
with success including weighing themselves at least weekly, exercising regularly (usually walking daily) and
limiting their intake of unhealthy foods such as high calorie, fat-laden fast foods, and alcohol11.
To date, bariatric surgery has provided individuals with the best sustained weight loss albeit at a price12. The
cost includes a large initial financial outlay, side effect, and complications of surgery and rarely the possibility
of great difficulty with eating a healthy diet, malnutrition, especially micronutrient deficiency and high rates
of re-operation. Of the three common bariatric procedures, the gastric band (LGB) has the lowest early
complication rate but results in lower weight loss, with the gastric sleeve (LSG) and Roux-Y bypass (RYB)
having roughly equal weight loss results at one year. Complications with LSG and RYB are higher however with
reflux, ulceration, bleeding and anastomotic breakdown being serious risks12. Re-operations including removal
of devices, skin surgery, revision bariatric surgery, and cholecystectomy are common13. On a population level,
however, there is a low uptake of bariatric surgery with around 10% of those eligible for surgery having it done.
While obesity rates are highest in the lower socioeconomic groups, the surgical interventions are mostly seen
in the higher income groups14. The reasons for this are complex and include high out-of-pocket costs, lack of
public funding, unacceptable risks and lack of support for bariatric surgery within society. Indeed many people
still believe that obesity is the fault of the individual and using public services and funding is not justified.
240 Australasian Anaesthesia 2019 – Liver/Metabolic/Immune System Obesity and anaesthesia 241
Eating is an essential part of life and forms a foundation in culture and family life. The relationship that each MEDICAL THERAPY
individual has with food is complex. Modern society has trended to overeat high-calorie food with poor
nutritional values coupled with reduced energy expenditure in daily life and recreationally. Fresh healthy food has Medications for weight loss produce some benefits in the order of 10% excess weight loss which can result in
incorrectly been seen as more expensive than calorie-laden, fast and processed meals. The reasons why lower- improvement in blood pressure, cholesterol profile, sleep apnoea, and diabetes control. However, this modest
income families spend more on unhealthy choices is due to good marketing, convenience, and preferences15. success is not sustained once medication ceases21. The medications currently available have side effects and
Portion control is out of control with a high content of saturated fats, sugars, and salt. This coupled with lack costs which have been unable to make a meaningful impact on obesity rates on a large scale. Many weight
of exercise has contributed to an epidemic of obesity, diabetes, hypertension and heart disease. Alcohol loss medications are not covered by Medicare in Australia. The use of lifelong medication in conjunction with
consumption contributes to obesity however this complex topic will not be covered further in this article, save to bariatric surgery may become more accepted following the paradigm shift that obesity is a chronic disease that
say that individuals on a weight loss journey should reduce alcohol consumption to a minimum. needs ongoing medical management.
The obese individual has a failure of satiety and indeed the obese will often complain of feeling hungry all
SURGERY
the time even though they are consuming well over normal daily calorific requirements16. The person may be
addicted to food, receives short-term enjoyment from eating sugar and fat-laden foods, followed by feelings of Bariatric surgery has been shown to produce the most reliable weight loss (excess weight loss at three and
guilt and shame. With the acceptance by the medical profession and society of obesity as a chronic condition, five years of 50-70%), sustained for several years and has also been shown to improve diabetes rates and the
and better publicity and acceptance of the treatment options, hopefully, it can become destigmatised and need for diabetes treatment12. Successful weight loss results in great improvements in patient’s quality of life
people will come forward for treatment. General practitioners are well placed to educate patients and co- and functional ability; especially if the starting weights are very high. As surgical skills, training and knowledge
ordinate the necessary lifestyle changes and treatment options. increase, there is a trend to fewer complications and very low mortality rates, comparable with many routine
operations.
As the body becomes bigger it starts to suffer from the pathology associated with excessive fat including
elevated blood pressure, heart disease, sleep apnoea, and diabetes. Every system in the body is affected by In a review by Pedroso et al looking at bariatric surgical weight loss results in US adolescents, weight loss was
what is thought to be a low-grade inflammation possibly driven by hypoxic fat tissue that has outgrown its blood safe, effective and sustained at three years22. It may become more accepted as a way to prevent the long-term
supply. Higher cancer rates are associated with obesity. Daily life becomes more difficult and enjoyment of consequences of obesity.
normal activity declines. Depression is incredibly common in the obese and losing weight becomes increasingly
difficult the longer a person has been overweight. The good news, however, is that with weight loss many of In rare cases, bariatric surgery patients suffer from catastrophic complications that leave them hospitalised for
these conditions can be reversed. months or even result in death. In Australia, these cases end up being cared for in the public hospital system.
Some are left as “gastric cripples” with such scarred upper GI tracts that they cannot eat and further surgery
One of the most poorly understood parts of the human energy experience is the subject of metabolism17. To is too dangerous and ineffective. It is necessary to include this rare but serious consequence into the consent
begin with, this is a field of science that is difficult to work out and many unanswered questions regarding process and also be mindful that these cases will occur. As bariatric procedures and surgical techniques and
the effects of food types and phenotypes remain. Many myths abound in the popular arena about being able knowledge have increased, better outcomes are seen with fewer serious complications.
to alter one’s metabolism such as through exercising or low carbohydrate diets. It has been proposed that
certain additives can increase energy expenditure and thus fat burning. The fact remains that none of these It is worthwhile looking at the features of the perfect bariatric operation (Table 1) as well as listing the known
interventions can predict or change metabolism. We don’t know why many metabolic processes happen, complications (Table 2) from bariatric surgery to concentrate efforts to maximise benefit, safety, and efficiency
for example after rapid weight loss; the metabolic rate slows down in an adaptation that persists for years18. for the individual and society while avoiding complications and mortality.
The largest contributor and most important metabolic rate is the resting one and very few things will alter it
in the long term. A subgroup of humans, roughly 20% of the population, is stubbornly lean no matter how Table 1. Features of the perfect bariatric surgery.
many calories they consume. Others can become obese without any of the ill effects on blood pressure,
diabetes, and heart disease. Much of this is poorly understood. Exercise will burn more calories but leads to an Safe with low morbidity and mortality.
immediate increase in food intake. Only about 15% of people can diet to lose and maintain weight loss, and Effective with long-term sustained weight loss.
this is only achieved at the expense of hard work. Extremely strenuous exercise will burn calories and result in
improvements in muscle mass and metabolic rate will increase by up to 40% but very few people can afford to Controls or eliminates obesity complications.
spend this much time and effort on regular extreme exercise. Low side effect profile (nausea, reflux).
Studying people who have successfully maintained lost weight leads us to see that they have certain traits and Easy to perform and reproduce.
behaviours in common: They weigh themselves at least weekly, they exercise regularly (mostly walking), they Cheap.
restrict calorie intake and avoid high-fat foods, and they moderate portion size. There is no consistency in the
type of food they eat but they do count their calories19. The factors that influence the resting metabolic rate Short hospital stay/day case.
include how much lean muscle and fat is in the body, age, genetics, and gender. It is worthwhile for individuals Minimally invasive with minimal blood loss.
to know roughly what their metabolic rate is so that they can moderate their fuel intake, and there are online
calculators for this. No need for HDU/ICU.
Good patient satisfaction.
The idea that obesity is a chronic condition or disease process that will be with the person for life is an
opportunity to educate the individual – if one can live a healthy lifestyle as discussed, weight loss can be Easy to live with.
maintained, excess fat kept off and the diseases related to obesity can be improved and avoided. Allows patients to mobilise early and eat normal food.
We know from US data in the National Weight Loss Register that lifestyle changes of reduction in calorie intake No need for ongoing intervention, cost or resources.
and increased expenditure of energy through exercise can result in weight loss and impressive results can be
achieved by individuals. Unfortunately, this method is not sustained over the long-term and on a large scale Low re-operation rates.
does not work. Indeed, fewer than 20% of successful dieting weight loss people will maintain their goal weights
after three years11. The measure of successful weight reduction is placed at 10% excess weight loss which is
very low compared to the numbers published for surgical interventions. There is value in losing 10% excess
weight both for the functional and pathological state of the patient. The physiological adaptations to weight
loss and personality traits have a large influence on the ability to maintain a healthy weight while living in an
“obesogenic” environment20.
Table 2. Complications following bariatric surgery. Table 3. A list of surgical procedures available for weight loss surgery.
Early: Laparoscopic adjustable gastric Adjustable restrictive device with a port. Placed around the top of
• Bleeding. band the stomach. Simple surgery, day case, very safe, high failure and re-
operation rates. First used in 1980s.
• Nausea and vomiting.
• Pain. Laparoscopic sleeve gastrectomy Restrictive procedure reduces stomach to a tube of less than 50ml.
Safe, effective and easy to eat normal food. Most popular procedure
• Leak.
worldwide. Evolved in the 1980s.
• Infection.
Roux-Y gastric bypass Mal-absorptive procedure first proposed in 1977 to reduce
Late: severe bile reflux. Highly effective for diabetes and weight loss.
• Ulceration. Higher complication and mortality rates although much improved
• Leak. complication rates over time.
• Internal hernia. Omega loop bypass (Mini loop) Mal-absorptive procedure first done in 1997, single loop of bowel is
• Oesophageal dilation. anastomosed to the gastric pouch. Quick, effective and safe however
high bile reflux rates and possibly cancer risk.
• Regurgitation.
• Aspiration. Stomach intestinal pyloric sparing Modification of the duodenal switch. Proposed to be best balance of
surgery (SIPS) risks, effectiveness and complications, especially malabsorption, reflux
• Band erosion. and dumping.
• Failed weight loss.
• Malabsorption.
The SIPS, (Stomach Intestinal Pyloric Sparing Surgery) is also known as the SADI (Single anastomosis
• Dumping syndrome. duodenal-ileostomy) is being promoted as the best option currently available. It is a modification of the well-
• Loss to follow up. known duodenal switch (BPDS) that is 20+ years old25. The duodenal switch has a proven long-term record for
• Relationship breakdown. sustained weight loss and resolution of diabetes and hypertension26.
• Stenosis. The SIPS operation begins with sleeve gastrectomy and the duodenum is divided, leaving the pylorus intact
• Re-operation. to reduce bile reflux, with a lower risk of glucose surges and dumping. A longer than usual common channel
(300cm) is brought up from the distal ileum and single anastomosed onto the duodenum – one anastomosis
• Cholecystectomy.
will reduce leak and stenosis risks. The longer common channel reduces nutritional deficiencies. Data to date
• Endoscopy. show SIPS mean excess weight loss at two years of close to 80% with lower long-term severe diarrhoea and
• Skin surgery. malnutrition rates than the BPDS. Surgical revision rates at five years are under 7%25.
• Possibly cancer. Bariatric Surgical Register
The Bariatric Surgical Register (Figure 1) is an Australia-wide, independent ongoing clinic quality audit run
There has been an evolution of various operations for weight loss with some procedures now far less popular out of Monash University in Melbourne24. It is designed to monitor the number and type of bariatric operations
due to failed weight loss or unacceptable effects and complications23. Many options do not have long-term data performed, the surgical equipment used, weight loss results, complications and diabetes changes over time.
available. Currently in Australia, the LSG is the most common procedure, while the use of the LGB is declining. It was established following a two-year pilot period and was rolled out nationally in 2014. Funding is partly
Far more removals of gastric band are being done and this author believes that this will continue until almost all provided by the Commonwealth Government and partly through the industry. The aim is to follow patients for 10
of them have been removed24. years. While all bariatric surgeons and hospital sites in Australia are encouraged to participate, roughly half have
taken up the challenge. Data can be compared with MBS data and reports are published annually. One major
Types of surgery advantage of joining the registry is that alerts will be sent to surgeons and sites if complication rates greater
While the ideal bariatric operation has not been developed it seems wise to have a range of surgical options as than expected are noted.
no one procedure will work in all cases. Surgical options are broadly divided into restrictive and mal-absorptive
So what has the register shown us about bariatric surgery in Australia to December 2018?:
operations. Some procedures have an element of both. See Table 3 for an outline of surgical procedures.
New operations are being developed but long-term data are lacking. Improvements in skill and equipment for • Initial participants have reached 3 years (n=2433).
laparoscopic surgery has made the routine bariatric operations incredibly safe and hospital stays of 1-2 days • Excess weight loss for all procedures at 12 months is 68.3% (n=18,789).
are now common. Mortality rates of less than 1/1000 are quoted13. • Total weight loss at 12 months is 27.1%(n=19,057).
• By 3 years the weight loss reduced to around 50% EWL and 20% TWL.
Of the 3277 diabetics that make up 14.5% of the total, by 12 months post-any bariatric surgery over half (54%)
is off medication for diabetes. Of the remaining patients, oral medications and insulin use dropped significantly.
Of note, there was a dropout rate of 25% on the diabetic data which will impact the robustness of conclusions.
Nonetheless, these are impressive results showing that bariatric surgery is highly effective in curing or improving
established diabetes. The results for specific surgeries such as the RYGB procedures may show even better
results in the future.
Figure 1. The Bariatric Surgery Registry. From: www.med.monash.edu/medicine/sphpm/registries/bariatric/ Funding for bariatric surgery: public and private
The current financial landscape in Australia is one dominated by high levels of government and personal
debt and guarded outlooks for both individual families and health providers. The private health industry is
facing challenges as the cost of providing medical services increases and the numbers of private insurance
policyholders are dropping, especially among younger Australians. Many very cheap policies taken to avoid
the Medicare levy are virtually useless when claims are made. Despite these difficulties, the health insurance
industry posted $A1.8 billion pre-tax profit27.
The provision of bariatric surgery in Australia is 90% in the private sector24. As an example in Western Australia,
public bariatric surgery is limited to certain sites and annual numbers of operations. Almost 1000 patients are
currently waiting two years to be seen by a surgeon and roughly half of these will qualify for a gastric sleeve
procedure. These patients will wait another two years for their surgery (personal communication).
The public numbers are inadequate and the head of the BSR has called for a large increase in funding for
bariatric medicine and surgery in Australia to try to address the problem of those already obese28. Provision of
surgery and management of the waiting lists is under regular review by state health providers.
As patients struggle to get public access to bariatric surgery and health funds try to reduce payments, people
are frequently turning to alternative ways to pay for their bariatric procedures. The cost of a sleeve gastrectomy
is currently about $A25,000 in Australia. The bulk of that is covered by the health fund and Medicare however
even the best cover will still leave out of pocket costs of $A5000-7000.
To self-fund, a person will need to pay the full amount upfront. The occurrence of complications and
requirement for high acuity care could blow the costs out. Medicare will reimburse a portion of the costs.
Medical payment schemes are available and also the use of superannuation on compassionate grounds is
increasingly being seen.
The use of superannuation is a controversial area under review. The government is concerned that the money
used by people in their 30s and 40s will never be replaced. The amounts being drawn are in the order of
$A14,000 and will result in final fund reductions of more than $A40,000. The group most frequently accesses
their superannuation are women who traditionally have lower lifetime balances. To access superannuation there
is a fairly strict process and qualification criteria. More information can be found on the ATO website (www.ato.
gov.au). Patients, however, do have a compelling argument that their obesity will impact on their life expectancy
to the extent that early mortality will make a large superannuation balance irrelevant. The paradox is that to reach
retirement they need to access the funds early and will have less money, placing more burden on the state. This
solution of using superannuation is blatantly unfair and provision of public bariatric surgery would be far more
just and cost-effective in the long run for the individual and society.
ENDOSCOPIC BARIATRIC MEDICAL THERAPY (EBMT)

An alternative weight loss approach is the use of endoscopic bariatric medical therapy29. The first gastric
balloons were placed in the 1980s. However, it took until around 2015 for the FDA to approve some of the
current devices for use in the US. EBMT consists of the placement of a variety of devices into the GI tract and
there is a multitude of devices and novel ideas available worldwide. Several are in development or already being
used in Australia. The proposed benefits over conventional bariatric surgery are lower cost, lower complication
rates and the perception that they are safe and easily reversible. Long-term safety and efficacy data are lacking
and many of the devices are only licensed for six months use. Early rates of nausea and vomiting are high
while weight loss failure can leave patients feeling cheated as the therapy is not covered by Medicare. As with
all weight loss procedures, the intervention is part of a lifestyle and diet modification and weight loss cannot
be guaranteed. Without a reversal of the energy balance, there can be no weight loss. Indeed if any bariatric
intervention is not accompanied by lifestyle and dietary changes it will fail.
EBMT has been proposed as a cheaper alternative to bariatric surgery, in fact, many of the devices currently
fall outside Medicare and thus private health will not pay for them. Table 4 summarises the devices and
technologies in EBMT. The place of EBMT in obesity management is still evolving and it could become
mainstream as an alternative for those that are in the lower weight ranges or as a staging or holding therapy. It
has opened up weight management medicine to a whole cohort of gastroenterologists and if it can be shown
to be cheaper and safer than surgical methods it could help make an impact on the obesity epidemic. Another
concern at this stage is that complications of new technologies will only become evident as the number of
cases and long-term follow up data is published. Of note, the FDA has issued device alerts for gastric balloon
devices after 12 deaths were reported30. Morbidity information for some technologies is high and early failure
rates of 30% in some series will lead to patient dissatisfaction, especially if patients have to self-fund. The good
news about new techniques is that after initial learning curves for practitioners, procedures tend to become
safer and more effective31.
Table 4. A list of endoscopic bariatric medical therapies.

POSE (R): primary obesity Sutures targeted in cardia and Cost $A18,000
surgery endoluminal: plication fundus Special scope with 4 channels, 2
OBALON (R) Intragastric 2X effective as diet and exercise Cost $US6000-10,000 of the gastric body using
balloon – gas filled up to Metabolic effects, restrictive, slow operators
Swallowed in clinic – Only used for 6 months, removed at special tissue anchors to gastric emptying, satiation
250ml no anaesthesia endoscopy Risks: nausea, vomiting, pain, bleeding
reduce size
TBWL 7% at 12 months and liver abscess
Up to 3 can be used – 2 weeks Modest weight loss
apart (new advice) No data on longterm safety or
Early failure effectiveness
Safe Ulceration
Endoluminal barrier: A sleeve Placed and removed easily and Cost $A7000
Mortality reported placed in duodenal bulb, safely Hepatic abscess 3.5% halted trial
ORBERA (R) Single device Cost $A5000-7000 extending 65cm to bypass EWL 35% at 12 months early. 11% early withdrawal due to side
absorption and enzymatic effects. Deaths have occurred
Silicone spherical intragastric 10% TBWL at 6 months Requires anaesthesia to place and Improves diabetic control
secretions.
balloon – saline filled up to More than 5000 devices placed remove Improved anchoring under Migration, bleeding ulceration,
700ml worldwide Mortality rate 0.06% development pancreatitis can occur. Not in use
Early failure Gastrodoudenojejenal Endoscopic placement mimics the Cost unknown
RESHAPE DUO (R) Seperate Migration hindering device, if one Cost $A9000-13,000 bypass sleeve. 120cm sleeve, RYGB with Not in clinical use
saline filled, linked balloons balloon bursts, methylene blue is excludes stomach and possibility of similar results
Requires anaesthesia Pilot study had high incidence of losing
released duodenum.
Mortality reported Currently in development anchors
6-7% TBWL at 6 months
Early failure Duodenal resurfacing uses Safe, easy Cost unknown
Remove at 6 months thermal ablation of mucosa Duodenal surface fully healed by 6 Very few cases
after lifting with saline. Hot months
SPATZ (R) Inflation tube allows for Cost $A7000 Results unknown
water is used to ablate about
personalised filling depending on Indication is T2DM and NASH, Temporary effect
Adjustable saline filled Requires anaesthesia for insertion and 10cm.
weight loss and tolerability some metabolic improvements
balloon, now in Version 3. Fill adjustments Minimal weight loss in published cases
noted.
between 400ml and 800ml Up to 12 months 20% TBWL Earlier models had design issues
saline
TRANSPYLORIC SHUTTLE Intermittent seal delays emptying, Cost unknown
(R) increases satiety SGLT2 INHIBITORS AND BARIATRIC SURGERY
Fixed size, silicone balloon
Smaller silicon end advances 40% EBWL loss at 6 months Not available in Australia Diabetic patients have started taking SGLT2 inhibitors that result in an impressive reduction in blood glucose
under peristalsis to ball valve readings. When these patients present for surgery, especially if they are on a ketotic low-calorie diet, they run
Minimal longterm data the risk of euglycaemic ketoacidosis. This is a risk that continues to be poorly understood and managed32.
pylorus.
[Please see the chapter “Euglycaemic diabetic ketoacidosis associated with sodium-glucose cotransporter-2
FULL SENSE (R) Easy to insert and remove Cost unknown inhibitors: New drugs bring new problems” in this edition of Australasian Anaesthesia for additional material].
Gastro-oesophageal stent 70% EBWL at 6 months initial data Not licensed for use
applies pressure on the SGLT2 inhibitors work by the inhibition of filtered glucose reabsorption in the renal tubules. As sugar is lost
Minimal risk of displacement or into the urine, blood glucose levels fall and there is a mild diuresis, blood pressure falls and weight reduces
gastric cardia obstruction slightly. These medications are proving very popular and are being used as second-line oral agents and also to
No data on risks or longterm results supplement type 1 diabetic treatment. The main complication is urinary infections. Patients on SGLT2 inhibitors
Self assembling magnet No incision Cost unknown can develop acidosis and this has been recognised in the endocrine literature. The exact mechanisms and risks
compression. Reciprocal from the ketoacidosis are complicated and debated.
Complex procedure 2 endoscopists and X-ray guidance
magnets click together, 4cm It is being increasingly recognised that a relative insulin deficiency leads the patients on this medication to
Good results in animal and human Longterm data and risks unknown
anastomosis takes 4 days to have lipolysis and ketogenesis thus leading to ketoacidosis in the face of normoglycemia. This risk is increased
cases
form and magnet passes after when the person is under physiological stress such as exercising, fasting or suffering from infections. When a
9 days. Multiple anatomical options bariatric patient is put onto a preoperative ketotic 2-week low-calorie diet for liver shrinkage, there is a high risk
ASPIRE (R) or A Tube, PEG Safe and easy insertion Cost $A8000 of normoglycemic ketoacidosis that has been increasingly recognised.
tube that allows removal of option to aspirate or not Need to aspirate 20 minutes after meal Numerous cases have been reported leading to alerts from ANZCA and others33. The presence of ketosis may
up to 30% of a meal be missed if only the blood glucose is measured. It is now recommended to test for ketones in the blood, easily
Discrete Need to chew food well
done with a bedside finger prick test. Urine ketone testing does not always pick up the problem. If ketones are
Ability to lavage tube 15% TBWL Risks: granulation, infection, peritonitis high, check for acidosis with a blood gas analysis.
12 months (1%), ulceration (1%)
The management is to start glucose and insulin to switch off the ketogenesis. Fluid status needs attention
Endoscopic Sleeve No surgical incisions Cost $A16,000
and the patients are best cared for in a high acuity area. Withhold the SGLT2 until the patient is well and has
Gastroplasty – full thickness TBWL 18% at 12 and 18 months Risks: Full thickness suture – reasonable calorie intake. Resolution can take several days as the drug effect seems to last longer than the
gastric sutures. Endoscopic pneumothorax, collections,
Improved metabolic effects shown drug half-life. Clinically cases have been picked up when post-operative patients seem unexpectedly sleepy or
suturing device used. splenic injury lethargic, tachycardic, hypotensive and tachypnoeic. The advice perioperatively is to stop the medication for
Possibility of longterm failure at least two days but preferably longer if on the low-calorie diet. As the medication can come in a combination
preparation, expert advice about alternative medication should be sought before stopping the SGLT2. Close 18. Fothergill E, Guo J, Howard L, Kerns J, Knuth N, Brychta R, et al. Persistent metabolic adaptation 6 years after “The
monitoring of glucose levels is prudent. Get diabetic teams and specialists involved early33. The dangers of the Biggest Loser” competition. Obesity. 2016;24(8):1612-9.
SGLT2 medications in the perioperative period is not well publicised among surgeons and GPs. 19. Thom G, Lean M. Is there an optimal diet for weight management and metabolic health? Gastroenterology.
2017;152(7):1739-51.
20. Townsend T, Lake A. Obesogenic environments: current evidence of the built and food environments. Perspect Public
CONCLUSION Health. 2017;137(1):38-44.
21. Coelho R. Anti-obesity drugs: a necessary part of treatment. J Obes Weight Loss Medicat. 2015;1:001e.
In brief, it looks like we are making little headway in the prevention and management of obesity. If our society is
22. Pedroso F, Angriman F, Endo A, Dasenbrock H, Storino A, Castillo R, et al. Weight loss after bariatric surgery in obese
serious about managing the obesity epidemic, much more funding and effort needs to be placed on prevention adolescents: a systematic review and meta-analysis. Surg Obes Relat Dis. 2018;14(3):413-22.
of obesity through government initiatives such as a sugar tax, sound and sensible nutrition information, exercise 23. Welbourn R, Hollyman M, Kinsman R, Dixon J, Liem R, Ottosson J, et al. Bariatric surgery worldwide: baseline
and lifestyle training for adults and children, access to bariatric medicine and surgery for those who are demographic description and one-year outcomes from the Fourth IFSO Global Registry Report 2018. Obes Surg.
overweight and diabetic. Development of new medications and technologies such as the EBMT must continue. 2019;29(3):782-95.
The evidence for interventions that are safer, cheaper and have a lasting effect will be where more resources 24. Bariatric Surgery Registry. Fifth annual report of the Bariatric Surgery Registry. [Internet]. Melbourne: Monash University;
can be directed. Targeting high-risk patients such as diabetics will yield the most cost-effective long-term 2017. Available from: https://www.monash.edu/__data/assets/pdf_file/0009/1044594/Bariatric-Surgery-Registry-Annual-
benefits. Bariatric medicine and surgery will continue to play a major part in healthcare for the foreseeable Report-2017.pdf. Accessed 14 August 2019.
future. There is great scope for service, research, and education in nutrition, obesity medicine and surgery. 25. Topart P, Becouarn G. The single anastomosis duodenal switch modifications: a review of the current literature on
outcomes. Surg Obes Relat Dis. 2017;13(8):1306-12.
Almost all people are at risk of suffering from the chronic disease of excess fat in the body known as obesity. 26. Marceau P, Biron S, Marceau S, Hould F, Lebel S, Lescelleur O, et al. Long-term metabolic outcomes 5 to 20 years after
Risk increases if one is older and female. Most people will not be able to lose and maintain weight loss if they biliopancreatic diversion. Obes Surg. 2015;25(9):1584-93.
have reached morbid obesity (BMI >40). Dieting and medications can play a small role in weight loss but at this 27. Jericho G. Is private health insurance a con? The answer is in the graphs. [Internet]. The Guardian; 2018. Available from:
stage, nothing has shown a sustained and worthwhile effect comparable to surgery. Bariatric surgery can play a https://www.theguardian.com/business/grogonomics/2018/feb/06/is-private-health-insurance-a-con-the-answer-is-in-
the-graphs. Accessed 14 August 2019.
major part in weight loss for individuals but until access to much more is afforded to the population, little large-
28. Creagh S. Study calls for broader public access to obesity surgery. [Internet]. The Conversation; 2012.
scale impact on obesity rates will be realised. The perfect bariatric operation has not been confirmed however Available from: https://theconversation.com/study-calls-for-broader-public-access-to-obesity-surgery-11192.
the SIPS looks like a contender with a good balance between safety, acceptable side effects, sustained weight Accessed 14 August 2019.
loss, and most importantly resolution of diabetes and hypertension. For the foreseeable future, the gastric 29. Chablaney S, Kumta N. Endoscopic bariatric and metabolic therapies: another tool for the management of diabetes and
sleeve will be the most popular procedure while the gastric band will continue to decline. Newer technologies obesity. J Diabetes. 2019;11(5):351-8.
of endoscopic procedures hold some promise however they are relatively expensive, have unproven long-term 30. U.S. Food and Drug Administration (FDA). UPDATE: Potential risks with liquid-filled intragastric balloons – letter to health
weight outcomes and also hold significant morbidity and mortality risk. The use of SGLT2 inhibitors for diabetic care providers. [Internet]. FDA; 2018. Available from: https://www.fda.gov/medical-devices/letters-health-care-providers/
management has increased however these patients present a specific risk of keto-acidosis when coming for update-potential-risks-liquid-filled-intragastric-balloons-letter-health-care-providers-0. Accessed 14 August 2019.
bariatric surgery. 31. Shahnazarian V, Ramai D, Sarkar A. Endoscopic bariatric therapies for treating obesity: a learning curve for
gastroenterologists. Transl Gastroenterol Hepatol. 2019;4:16.
32. Panicker Rajeev S. and Wilding J. (2015). SGLT2 inhibition and ketoacidosis – should we be concerned?. Br J Diabetes.
REFERENCES 2015;15(4):155.
1. World Health Organization (WHO). Obesity and overweight. [Internet]. WHO; 2018. Available from: https://www.who.int/ 33. Australian and New Zealand College of Anaesthetists (ANZCA). Severe euglycaemic ketoacidosis with SGLT2 inhibitor
news-room/fact-sheets/detail/obesity-and-overweight. Accessed 1 August 2019. use in the perioperative period. [Internet]. ANZCA; 2019. Available from: http://www.anzca.edu.au/documents/alert-dka-
and-oral-hypoglycaemics-20180215.pdf. Accessed 14 August 2019.
2. Cohen M. Its poverty, not individual choice, that is driving extraordinary obesity levels. [Internet]. The Conversation;
2018. Available from: https://theconversation.com/its-poverty-not-individual-choice-that-is-driving-extraordinary-obesity-
levels-91447. Accessed 1 August 2019.
3. Dyer O. US life expectancy falls for third year in a row. BMJ. 2018;363:K5118.
4. Health Star Rating. How to use Health Star Ratings. [Internet]. Canberra: Commonwealth of Australia; 2019. Available
from: http://www.healthstarrating.gov.au/internet/healthstarrating/publishing.nsf/Content/How-to-use-health-stars.
Accessed 1 August 2019.
5. LiveLighter. About LiveLighter. [Internet]. LiveLighter; 2012. Available from: https://livelighter.com.au/about/.
Accessed 1 August 2019.
6. Hill J. Energy balance and obesity. Circulation. 2012;126(1):126-32.
7. Puhl R, Heuer C. The stigma of obesity: a review and update. Obesity. 2009;17(5):941-64.
8. Onyike C. Is obesity associated with major depression? Results from the Third National Health and Nutrition Examination
Survey. Am J Epidemiol. 2003;158(12):1139-47.
9. Blaine B. Does depression cause obesity?: a meta-analysis of longitutinal studies of depression and weight control. J
Health Psychol. 2008;13(8):1190-7.
10. Koliaki C, Spinos T, Spinou Μ, Brinia Μ, Mitsopoulou D, Katsilambros N. Defining the optimal dietary approach for safe,
effective and sustainable weight loss in overweight and obese adults. Healthcare. 2018;6(3):pii:E73.
11. Wing RR, Hill JO. Successful weight loss maintenance. Annu Rev Nutr. 2001;(21):323-41.
12. Kang J, Le Q. Effectiveness of bariatric surgical procedures: a systematic review and network meta-analysis of randomised
controlled trails. Medicine. 2017;96(46):e8632.
13. Altieri M, Yang J, Nie L, Blackstone R, Spaniolas K, Pryor A. Rate of revisions or conversion after bariatric surgery over 10
years in the state of New York. Surg Obes Relat Dis. 2018;14(4):500-7.
14. Korda R, Joshy G, Jorm L, Butler J, Banks E. Inequalities in bariatric surgery in Australia: findings from 49,364 obese
participants in a prospective cohort study. Med J Aust. 2012;197(11):631-6.
15. Lee A. Are healthy diets really more expensive? The Australian Prevention Partnership Centre; 2017. Available from:
https://preventioncentre.org.au/wp-content/uploads/2017/03/1702_FB_LEE_4p_final_lr.pdf. Accessed 14 August 2019.
16. MacLean P, Blundell J, Mennella J, Batterham R. Biological control of appetite: a daunting complexity. Obesity. 2017;25
Suppl 1:s8-16.
17. Carneiro I, Elliott S, Siervo M, Padwal R, Bertoli S, Battezzati A, Prado C (2016). Is obesity associated with altered energy
expenditure? Adv Nutr. 2016;7(3):467-87.
Australasian Anaesthesia 2019 – Liver/Metabolic/Immune System Euglycaemic diabetic ketoacidosis associated with sodium-glucose cotransporter-2 inhibitors: New drugs bring new problems 251
Euglycaemic diabetic ketoacidosis associated with sodium-glucose

cotransporter-2 inhibitors: New drugs bring new problems
Venkatesan Thiruvenkatarajan MD, DA, DNB, FANZCA
Staff specialist anaesthetist, The Queen Elizabeth Hospital, SA.
Senior Clinical Lecturer, Discipline of Acute Care Medicine, The University of Adelaide, SA.
Dr Venkatesan Thiruvenkatarajan is a consultant anaesthetist at The Queen Elizabeth Hospital, SA with special
interests in airway management, perioperative medicine and translational research enhancing patient outcome.
Emily Jane Meyer MBBS, FRACP

Dr Emily Meyer is a Consultant Endocrinologist with a visiting access appointment at The Queen Elizabeth
Hospital and Royal Adelaide Hospital, SA. She is a Clinical Lecturer at the University of Adelaide and
is undertaking her PhD in the regulation of the hypothalamic-pituitary-adrenal axis in critical illness and septic
shock.
Nagesh Nanjappa MD, DNB, FANZCA

Senior consultant anaesthetist, The Queen Elizabeth Hospital, SA.
Senior Clinical Lecturer, Discipline of Acute Care Medicine, The University of Adelaide, SA.
Dr Nagesh Nanjappa is a senior consultant anaesthetist at The Queen Elizabeth Hospital, SA with special
interests in perioperative anaphylaxis management, perioperative medicine and medical education.
John Currie MbChB, FFARCS(I)

Senior Visiting Medical Specialist, The Queen Elizabeth Hospital, SA.
Dr John Currie is a consultant anaesthetist, with special interests in day surgery and airway management.
Roelof M Van Wijk PhD, FANZCA, FFPMANZCA, AFRACMA

Head of Department of Anaesthesia, The Queen Elizabeth Hospital, South Australia.
Associate Professor Roelof Van Wijk is a consultant anaesthetist and pain medicine specialist at TQEH, with
special interests in anaesthetic techniques, interventional pain techniques, and leadership and management
in health.
David Jesudason MBBS, FRACP, PhD

Director of Diabetes and Endocrinology at the Queen Elizabeth Hospital, SA.
Dr David Jesudason is Director of Diabetes and Endocrinology at the Queen Elizabeth Hospital, SA and
visiting Endocrinologist, Endocrine and Metabolic Unit, Royal Adelaide Hospital, SA. He has special interests
in diabetes, indigenous health, osteoporosis and body composition. He is also a Senior Lecturer, Discipline of
Medicine, Faculty of Health and Medical Sciences, University of Adelaide, SA.
INTRODUCTION
Diabetes is a chronic condition affecting approximately 1.2 million Australians (6%) and it is projected that 3.3
million Australians will have diabetes by 20311,2. Type 2 Diabetes (T2D) accounts for nearly 90% of all cases3.
The prevalence of diabetes among hospital in-patients is even greater (15-35% in Victoria)4, and it is estimated
that 15% of all surgical patients have diabetes5. Metformin is the first-line choice for the pharmacological
treatment of T2D, but in time with progressive beta cell destruction and insulin resistance many patients require
a second- and third-line medication6,7.
Sodium-glucose cotransporter-2 inhibitors (SGLT2i, Gliflozins) are a new category of oral non-insulin glucose-
lowering agents approved for T2D. They improve glycaemic control by facilitating urinary excretion of glucose
along with sodium. Their mechanism of action is independent of beta-cell function and they have low risk of
hypoglycaemia.
Dapagliflozin, empagliflozin and Ertugliflozin are currently available within Australia. Canagliflozin is widely used
in other markets8. Empagliflozin and canagliflozin have been shown to decrease cardiovascular mortality and
morbidity in high risk cardiovascular patients with T2D9,10. Empagliflozin, Dapagliflozin and Canagliflozin have
all been shown to reduce hospital admission rates for heart failure when used in patients with T2D with known
or potential atherosclerotic cardiovascular disease11. Other extra-glycaemic benefits for these drugs include
252 Australasian Anaesthesia 2019 – Liver/Metabolic/Immune System Euglycaemic diabetic ketoacidosis associated with sodium-glucose cotransporter-2 inhibitors: New drugs bring new problems 253
renal-protection9,12, weight loss and reduction in blood pressure13. These agents are used as second-and ADDITIONAL BENEFITS BEYOND GLUCOSE LOWERING
third-line oral therapy, with or without the addition of insulin. If metformin is not tolerated in patients and there is
co-existing cardiovascular disease, gliflozins can be used as a first-line therapy14, thus making them commonly The beneficial glycaemic effects of SGLT2 inhibitors include HbA1c reductions of up to 1.98%, and
prescribed, and they are increasingly encountered in the perioperative period. improvements in glucose variability and insulin sensitivity. There is a relatively low hypoglycaemic risk22. (The
10% of glucose absorption attributable to SGLT1 in the later parts of the proximal tubule still offers some
Diabetic ketoacidosis (DKA) associated with gliflozins is a recognized adverse event in the perioperative and homeostatic control when blood glucose is low). Other beneficial metabolic effects include weight loss,
the non-perioperative setting15-17. Patients can either present with elevated blood glucose levels or with near reductions in visceral adiposity and natriuresis with a reduction in blood pressure. Twenty-four-hour ambulatory
normal blood glucose levels (BGL <14 mmol/L) which is termed euglycaemic diabetic ketoacidosis (EDKA)16. systolic pressures are reduced by roughly 4 mmHg with both dapagliflozin23 and empagliflozin24. Effects on
This is rare in the non-surgical population, and it is estimated that 1000 patients need to be treated for one year blood pressure may be greater in patients with uncontrolled blood pressure at baseline23,24.
with a SGLT2i to detect one DKA episode18. Incidence, however, may be more common in the perioperative
setting due to the presence of precipitating factors; dietary modifications, fasting, surgical stress, intercurrent Figure 1. Organ protective effects of sodium-glucose cotransporter-2 inhibitors: kidney, heart and
illnesses, inappropriate handling of these agents perioperatively, and reductions in insulin16. This review vessels. Adapted and modified from Giugliano25. DKD-Diabetic kidney disease; CKD-chronic kidney disease.
provides an overview of the pharmacology of the commonly used gliflozins (SGLT2i), the pathophysiology of
EDKA and proposes a considered and balanced approach in the perioperative management of patients on
SGLT2i therapy.
DEVELOPMENT OF SODIUM-GLUCOSE COTRANSPORTER-2 INHIBITORS

Dapagliflozin, was the first SGLT2i to be registered in Australia in October 2012 and was listed on the
Pharmaceutical Benefits Scheme (PBS) in December 2013. Empagliflozin was PBS listed from January 2015.
Canagliflozin was only available in Australia for a short time before being withdrawn from the PBS in August
2015, a decision made by the sponsor19,20. We may, however, see a re-emergence of canagliflozin on the
Australian market due to the recent reno-protective benefits seen from the recent CREDENCE trial (refer to
Table 2). Ertugliflozin is the latest of the drug class to be available, listed on the PBS in December 2018.
The genes SLC5A1 and SLC5A2 encode for SGLT1 (Sodium-glucose cotransporter-1) and SGLT2 (Sodium-
glucose cotransporter-2) respectively21. Both SGLT1 and SGLT2 are important mediators of epithelial
glucose transport throughout the body, particularly within the small intestine and the nephron. SGLT1 is
the cotransporter responsible for the majority of glucose absorption in the intestine, while SGLT2 accounts
for the majority (roughly 90%) of glucose reuptake in the proximal tubule. It follows that SLC5A1 mutation
affected individuals suffer intestinal malabsorption, while SLC5A2 mutations result in urinary glucose losses.
Interestingly, familial glucosuria is a relatively benign condition without any major risk of ascending urinary tract
infections.
Phlorizin is a naturally occurring competitive inhibitor of both SGLT1 and SGLT2, found in the roots, bark,
leaves and fruit of the apple tree. Discovered over 150 years ago it was shown to increase urinary excretion of
glucose in healthy individuals21. Since the cloning of SGLT1 some 30 years ago, drug development in this area Major interest around this drug class has been due to their cardiovascular and reno-protective properties
has been much enhanced and formulation of soluble forms of phlorizin derivatives, ideal for oral consumption, (Figure 1). These positive results on clinically important outcomes have stimulated recent enthusiasm for their
have culminated in the drug class available today. clinical use.
Differences within SGLT2i drug class include respective selectivity profiles for SGLT2 and SGLT1 inhibition To date there have been three cardiovascular and one renal disease outcome trials which have evaluated
(Table 1). Of those available within Australia, empagliflozin has the strongest selectivity for SGLT2 and the cardiovascular (CV) safety of SGLT2i in more than 38,700 participants with T2D (Table 2), with further
dapagliflozin the least. Sotagliflozin, while not currently available in Australia, has a 20 times higher potency for large outcome trials awaited. EMPA-REG OUTCOME study was a double-blind trial to assess the effect of
SGLT2 over SGLT1 and is considered a dual inhibitor of SGLT1/SGLT2. empagliflozin versus placebo on CV events in 7021 patients with T2D and established cardiovascular disease
(CVD). This demonstrated a 38% reduction in cardiovascular death and a 35% reduction in hospitalisation for
Table 1. Respective selectivity profiles for SGLT2 over SGLT1. IC50 – the concentration of an heart failure in patients with T2D and established CVD with use of empagliflozin over 48 months9. Empagliflozin
inhibitor where the response (or binding) is reduced by half. has also been shown to slow the progression of diabetic kidney disease in T2D12.
DECLARE-TIMI 58 was a double-blind trial of dapagliflozin in 17,160 T2D patients with established or multiple
Drug SGLT2 IC50 SGLT1 IC50 SGLT2/SGLT1 selectivity risk factors for atherosclerotic CVD. It looked at both CVD and renal endpoints followed for a median of 4.2
(nmol/L) (nmol/L) years. Dapagliflozin was noninferior to placebo with respect to a composite outcome of CV death, myocardial
Dapagliflozin 1.2 1400 1200 infarction or ischaemic stroke. Dapagliflozin however, resulted in lower rates of hospitalisation for heart failure
and reduced progression of renal disease26.
Empagliflozin 3.1 8300 2700
CANVAS Program consisted of two trials comparing canagliflozin to placebo in 10,142 participants with T2D
Ertugliflozin 0.9 1960 2200
and high CV risk followed over a mean period of 188 weeks. While there was a lower CV event rate, there was
Canagliflozin 4.2 663 160 a greater risk of amputation, primarily of the toe or metatarsal in the canagliflozin group10. While this new drug
class offers considerable promise, non-inferiority studies comparing to placebo groups must be interpreted
Ipragliflozin 5.3 3000 570
correctly and viewed with caution, and further research is required.
Luseogliflozin 2.3 3990 1770
CREDENCE is the first SGLT2i trial in patients with renal disease. Canagliflozin versus placebo was compared
Tofogliflozin 6.4 12,000 1875 in 4400 T2D patients with diabetic nephropathy, who were on either an angiotensin converting enzyme inhibitor
Sotagliflozin 1.8 36 20 or an angiotensin receptor blocker. The primary composite outcome of end-stage renal disease, sustained
doubling of serum creatinine level or death from renal or CVD was reduced by 30% in the canagliflozin group
over a median follow up of 2.6 years27.
Table 2. Summary of major cardiovascular and renal outcome trials. T2D, type 2 diabetes; Mechanism of action
3-point MACE, major adverse cardiac event defined by cardiovascular death, nonfatal myocardial SGLT2 is expressed in the proximal convoluted tubules of the kidneys and promote the transport of glucose
infarction, nonfatal stroke; CV, cardiovascular; HF, heart failure; CVD, cardiovascular disease; along with sodium from the tubular lumen into the cells29,30.
ACEi, ace inhibitor; ARB, renin-angiotensin receptor blocker; – decrease.
Under normal physiological conditions 180 g of glucose is filtered by the glomerulus per day, and all 180 g
is reabsorbed. The absorption requires Na+/K+ ATPase to generate the driving forces for glucose uptake into
Trial and size Intervention Follow up Inclusion criteria Outcomes the cells. The glucose subsequently exits the cells into the circulation along a concentration gradient. Sodium
(years) is co-transported in the same direction (“symported”), from the renal tubules into the cells. Most of the filtered
EMPA-REG Empagliflozin 3.1 T2D with CVD 3-point MACE glucose is reabsorbed within the proximal tubule by SGLT2 channels (90%) and a smaller proportion by SGLT1
versus placebo channels (10%). With overt hyperglycaemia, (normally a value greater than 11.1mmol/L) the reabsorption of
(n=7021) eGFR >30 CV death
glucose by SGLT2 and SGLT1 within the proximal tubule becomes saturated and glycosuria develops. (This
ml min 1.73 m2 HF hospitalisations reabsorption of glucose is mildly increased in patients with diabetes). SGLT2 inhibitors have a structural
progression of diabetic similarity to glucose and competitively inhibit the reabsorption of 30-50% of filtered glucose thus promoting
kidney disease glycosuria and natriuresis at a lower blood glucose “threshold”30,31 (Figure 2). This results in urinary glucose
losses of 50-100 g/day31, equating to around 300 kcal (1255 kJ) and this is often accompanied by a 2.2 to 4.5
DECLARE-TIMI Dapagliflozin 4.2 T2D with CVD and/or Noninferior 3-point MACE
kg weight loss within the first 12 months of initiation32. Plasma volume and blood pressure are reduced as a
58 versus placebo multiple CV risk factors HF hospitalisations result of osmotic diuresis and natriuresis7. The HbA1c reduction ranges between 0.5-2% with SGLT2i therapy,
(n=17,160) eGFR >60 progression of diabetic kidney and differs with severity of the disease, dosage, baseline glycaemic control and other patient specific factors6.
ml min 1.73 m2 disease
CANVAS Canagliflozin 2.4 T2D with CVD or >2 CV Noninferior 3-point MACE Figure 2: Primary mechanism of SGLT2i induced glycosuria. Depicted on the left is SGLT2
versus placebo risk factors mediated glucose reabsorption in the proximal tubule. On the right of the image is SGLT2
(n=10,142) CV event rate inhibition (X) and resultant glycosuria.
eGFR >30 HF hospitalisations
ml min 1.73 m2 progression of diabetic kidney
disease
lower limb amputation
CREDENCE Canagliflozin 2.6 T2D, eGFR 30 – 90 ml progression of diabetic kidney
(n=4401) versus placebo min 1.73 m2, Diabetic disease
nephropathy receiving progression to end-stage
ACEi or ARB renal disease
CVD
While these findings appear to be a class effect, there are multiple large cardiovascular, heart failure and
chronic kidney disease outcome trials under way. Depending on the outcomes of these awaited trials we may
see the indication for these medications widen to be used in patients with cardiovascular disease and heart
failure without a history of diabetes.
PHARMACOLOGY OF SGLT2I
Empagliflozin, dapagliflozin and ertugliflozin are the available SGLT2i in Australia. There were over one million
prescriptions of empagliflozin and dapagliflozin in 2016-2017 within Australia28 and prescription rates are on
the rise. The various formulations available in the market are detailed in Table 3.
Table 3. List of SGLT2i medication available within Australia.
Commercial name SGLT2i and combinations These drugs have a rapid onset of action and a prolonged half-life of 12-16 hours. They undergo hepatic
glucuronidation and are eliminated through urine and faeces (Table 4). Dose reduction is necessary in mild
Forxiga Dapagliflozin (PBS July 2013) renal impairment, and they are contraindicated in severe renal impairment (eGFR <30 ml min-1 1.73 m-2 for
Xigduo Dapagliflozin and metformin XR canagliflozin; eGFR <45 ml min-1 1.73 m-2 for empagliflozin and ertugliflozin; and eGFR <45 ml min-1 1.73 m-2
for dapagliflozin). Drug efficacy is proportional to renal function, with glucosuria decreasing with the progression
Jardiance Empagliflozin (PBS January 2013) of renal impairment. Regular renal function monitoring during SGLT2i therapy is recommended7,33.
Jardiamet Empagliflozin and metformin
Qtern Dapagliflozin/Saxagliptin
Glyxambi Empagliflozin/Linagliptin
Steglatro Ertugliflozin
Stegluromet Ertugliflozin/metformin
Steglujan Ertugliflozin/Sitagliptin
Table 4: Pharmacokinetic properties of the commonly used gliflozins7. glucose due to urinary glucose losses exerted by the drug, along with consequent reductions in endogenous
insulin may fail to suppress glucagon17. There is often a decrease in exogenous insulin administered near the
SGLT2i Dosage Oral bio- Time Half- Metabolism Elimination Precautions time of surgery.
range (mg) availability to peak life
The plasma glucose level (and thus the DKA presentation as euglycaemic or hyperglycaemic) is determined by
(%) effect (h) (h)
a multitude of factors including endogenous hepatic glucose production, dietary carbohydrate, b-cell functional
Dapagliflozin 5-10 78 2 13 Primarily Urine, Not recommended reserve and endogenous insulin secretion, exogenous insulin administration, the degree of insulin resistance
glucuronidation faeces with eGFR < 45 and renal glucose clearance due to the SGLT2i mechanism of action8. In the kidney, SGLT2i promotes ketone
ml min-1 1.73 m-2 body reabsorption through the reduction of renal sodium re-absorption15. This indirectly expands the ketone
Empagliflozin 10-25 60 1.5 12.5 Primarily Urine, Not recommended reservoir, resulting in significant ketoacidosis occurring in the absence of ketonuria15. Therefore, urine ketones
glucuronidation faeces with eGFR < 45 are not a reliable marker for identifying DKA associated with SGLT2i. Thus, in summary, renal glucose clearance
ml min-1 1.73 m-2 along with elevated ketone bodies, manifests as ketosis with near normal blood sugar levels (Figure 3).
Ertugliflozin 5-15 70-90 1-2 16.6 Primarily Urine, Not recommended Figure 3: Pathophysiology of perioperative diabetic ketoacidosis associated with sodium-glucose
glucuronidation faeces with eGFR < 45 cotransporter-2 inhibitors. Published with permission from the British Journal of Anaesthesia.
ml min-1 1.73 m-2
EUGLYCAEMIC KETOACIDOSIS: AN EMERGING CONCERN

Recently there have been multiple warnings from pharmacovigilance agencies including the Australian
Therapeutic Goods Administration (TGA), European Medicines Agency (EMA) and the US Food and Drug
Administration (FDA) regarding the potential complication of DKA, especially EDKA associated with SGLT2i
therapy34-37. Surgical patients are at an increased risk of DKA due to preoperative fasting, surgical stress,
intercurrent illness and inadequate management of diabetes medications perioperatively. Numerous reports
have emerged describing DKA as a potential complication in the perioperative period. The understanding of
DKA in this setting is based on published reports from the primary literature15-17 and from pharmacovigilance
analysis such as evaluation of the FDA Adverse Event Reporting System (FAERS)38,39, and the pathophysiology
has not been entirely elucidated.
For consistency we have designated EDKA as BGL ≤ 14 mmol/L and HDKA (hyperglycaemic DKA) as BGL
> 14 mmol/L. The reality is that DKA associated with SGLT2i can occur with a wide range of glucose values
(discussed below). A recent systematic review (the largest of its kind) reported 47 cases of SGLT2i linked
DKA in the perioperative period16. Of these, 42 cases were of the EDKA type and 5 were HDKA. Analysis of
The Australian Therapeutic Goods Administration (TGA) database of adverse event notifications on SGLT2i
associated DKA (until October 2018) in surgical patients identified 53 reported cases (unpublished data).
Twenty-nine of these notifications were of the EDKA type, whereas 20 were HDKA.
Pathophysiology of SGLT2i induced DKA
The pathophysiology of SGLT2 inhibitor associated DKA is complex and it appears the drugs affect multiple
effector sites which shift metabolic pathways towards ketogenesis, predisposing to DKA40.
Ketone bodies, namely acetoacetate and ß-hydroxybutyrate as well as acetone, are produced in the liver. They
can be thought of as water soluble products of fat breakdown which are easily transportable in the blood,
and easily metabolised. Constant production of ketone bodies occurs as does their utilisation by extrahepatic
tissues. The normal concentration is the blood is low, but during times of starvation, or in individuals
undergoing a low carbohydrate weight reduction diet, ketones become the main mitochondrial energy source.
ß-hydroxybutyrate levels in nutritional ketosis induced by very low-calorie diets are typically less than 3 mmol/l. If CLINICAL PRESENTATION OF DKA IN THE PERIOPERATIVE SETTING
ketosis is present, further evaluation of the acid base profile to exclude ketoacidosis is required for diagnosis41. DKA can present, preoperatively, during surgery (unpublished observation analysed from TGA adverse events
Note that ketonaemia due to prolonged fasting or very low carbohydrate diets, occurs over a longer duration database) or postoperatively, either within hours or up to 5-6 weeks in certain bariatric procedures16. Patients
than in DKA, sometimes over two to three weeks, and is an adaptive process due to a total lack in calories present with nausea, vomiting, abdominal pain, tachycardia, altered mental status and dehydration. Bariatric
consumed. In these cases the pH will be normal and this situation should not be confused with DKA. surgery is associated with a higher risk of DKA as a result of the very low-calorie diet modifications imposed
The substrate for ketones bodies is Acetyl CoA. In times of high circulating glucagon there is a dramatic before and after the procedure. Intercurrent illnesses, surgical stress, reduced carbohydrate intake, volume
amplification of the process of breakdown of fat and the oxidation of fatty acids to Acetyl CoA and thus to depletion, inappropriate handling of SGLT2i including inadequate cessation preoperatively and commencing
increased production of ketone bodies. Such a change in the metabolic profile, from glucose to lipid oxidation the medication postoperatively without establishing adequate calorie intake, improper handling of insulin and
and an increase in glucagon-to-insulin ratios has been demonstrated with SGLT2i42. SGLT2i has been shown misdiagnosing type 1 diabetes (T1D) as T2D are some of the known precipitating factors in the perioperative
to independently stimulate alpha cells and increase plasma glucagon levels, stimulating lipolysis, hepatic fatty period16.
acid oxidation and increased ketogenesis in the liver15. This glucagon-to-insulin ratio shift also stimulates Magnitude of the problem
glycogenolysis and gluconeogenesis, thus increasing hepatic glucose output8. Surgical stress elevates the
Both EDKA and HDKA have similar clinical and biochemical profile except for BGL values16. The mean BGL
counter-regulatory hormones adrenaline and cortisol, resulting in insulin resistance and stimulates protein
values noted among perioperative EDKA presentation across 47 cases was 9.5 mmol/L whereas it was 19.0
catabolism. This effect enhances the hepatic amino acid uptake and facilitates gluconeogenesis, further
mmol/L among the HDKA presentations16. Non-specific abdominal and surgical site pain together with nausea,
increasing hepatic glucose production43 as well as promoting glucagon secretion and ketosis. Adrenaline, like
vomiting, tachypnoea and a mild acidosis can mimic an otherwise uncomplicated postoperative state. In the
glucagon, also stimulates hormone sensitive lipase, bringing yet more fatty acids to the party. Lower blood
absence of elevated blood glucose levels, EDKA can be easily overlooked. There have been reports where natriuretic and osmotic effects56. Similarly, in older patients on angiotensin-converting inhibitors and angiotensin
patients with EDKA presentations in the immediate postoperative period were subjected to unnecessary receptor blockers, SGLT2is may result in hypotension56. “Sick day management rules” should be employed both
advanced radiological imaging and exploratory laparotomy in an attempt to rule out other differentials such as preoperatively and postoperatively when patients are on SGLT2i. Appeals have been made globally to subsidise
pulmonary embolism and anastomotic leaks where the diagnosis of DKA was initially missed44-49. concurrent glucose-ketone testing meters and testing strips in this patient population55.
PERIOPERATIVE MANAGEMENT CONSIDERATIONS OF SGLT2I THERAPY TREATMENT OF SGLT2I ASSOCIATED DKA

Measure the blood ketones Glucose insulin and potassium ± volume
Our understanding of the risk of (euglycaemic) DKA with SGLT2i is still evolving. Currently, there are no uniform In the event that SGLT2i associated DKA occurs, the medication should be ceased and the patient managed
guidelines for the perioperative management of SGLT2i. The American College of Endocrinology recommends with IV dextrose and an insulin infusion. Treatment duration and dextrose requirement may be greater than that
a 24-hour cessation prior to elective procedures, and immediate interruption for emergency procedures50. typically required for the management of T1D associated DKA due to the ongoing urinary losses of glucose
Conversely, recent editorials suggested 48 hours or even longer interruption based on the terminal half-life of which occur until the drug is metabolized and eliminated. Hospital and intensive care unit (ICU) stays however
12-16 hours28. Some sources recommend withholding for 5-7 days before major surgery51 and up to 2 weeks have not been shown to be longer than that occurring in cases of DKA unrelated to SGLT2i use58.
for bariatric surgical patients who are on a very low-calorie diet 1-2 weeks preoperatively15. In each case,
ICU admission may be required depending on DKA severity and involvement of an endocrinologist is strongly
the risk of DKA must be assessed depending on the clinical presentation and balanced against the practical
recommended. Fluid management and electrolyte corrections should be continued until oral intake is adequately
considerations of cancelling surgery if SGLT2i are not deemed to have been held for long enough and the
established. Precipitating factors should be investigated and it is recommended that patients undergo T1D
risk of perioperative hyperglycaemia if these agents are held and appropriate alternative therapies are not
antibody testing as a proportion of cases have been identified retrospectively as latent autoimmune diabetes in
prescribed. This is a greater risk where these agents are part of a combination tablet.
adults (LADA) or T1D16,59.
The DKA risk is lower in healthy patients who are likely to resume oral intake within hours after the intervention,
for example a short stay procedure. Minor day surgery procedures may not need any temporary interruption OTHER RELEVANT PERIOPERATIVE ADVERSE EFFECTS OF SGLT2I
of SGLT2i medication or withheld only on the day of the procedure. A much longer duration of cessation may
be needed in surgical patients likely to have delayed oral intake such as cardiac or abdominal surgery or who Urosepsis
are taking a low calorie diet such as with bariatric surgery as discussed above. Ceasing SGLT2i for 72 hours Genitourinary infections are perhaps the most common complication arising out of SGLT2i therapy as a result
or more is appropriate here, but this has logistic implications and requires coordination among anaesthetist, of increased glycosuria60. It is unclear whether there is an increased risk of perioperative infections28. Patients
surgeon and endocrinologist. Additionally, when an SGLT2i is prescribed in combination with other agents such undergoing gynaecologic or urological procedures and who are likely to have urinary catheters postoperatively
as metformin and DPP-IV inhibitors, appropriate strategies should be in place when the combinations are held. may be at further risk19. Some sources even recommend withholding SGLT2i 24-48 hours prior to major
The agent in conjunction may have to be re-prescribed separately. Until the postoperative catabolic state is surgery in patients at risk of genitourinary infections7.
overcome by adequate oral intake, gliflozins should not be commenced52. SGLT2i should not be recommenced
in the presence of ongoing nausea and vomiting and adequate renal function should be ensured, especially Bone fractures and peripheral ischaemia
after major procedures that are associated with renal impairment perioperatively. Capillary ketones and glucose Other concerns are bone fractures from a possible osteoporotic mechanism or increased falls risk due to blood
should be carefully monitored during the post-operative period and continue to be monitored even after these pressure lowering effects, and an increased rate of lower limb amputations61,62.
agents are reintroduced. In patients co-prescribed insulin, dose adjustments should be made with input from
the endocrine management team. Sudden perioperative alterations in insulin doses may also precipitate DKA. CONCLUSION
Capillary/plasma ketone measurement (such as the Abbott FreeStyle system) is the key factor in identifying SGLT2i therapy is now commonly prescribed for the management of T2D not only for its antiglycaemic
DKA during the perioperative period. Other biochemical indices such as blood glucose, plasma bicarbonate, effects, but also because of the potential cardiovascular and reno-protective benefits, reductions in heart
pH and anion gap should also guide management. In the absence of plasma/capillary ketone measurement, it failure admission, blood pressure lowering effects and associated weight loss. As a result of the increased
is possible to overlook EDKA or HDKA whilst checking alternate differential diagnoses such as an anastomotic prescription rates, we increasingly encounter these medications in the perioperative period.
leak or an acute abdomen post bariatric or abdominal surgery, and other medical conditions such as pulmonary
embolism. Plasma ketone concentrations (ß-hydroxybutyrate) up to 0.25 mmol/L are common after an overnight SGLT2i associated DKA is a significant adverse event in surgical patients, with EDKA being the predominant
fast, and concentrations above 0.3 mmol/L have been considered as significant elevations. Values above 3.0 presentation in the perioperative setting. As there is symptom overlap between DKA and the postoperative
mmol/l are generally used as a cut-off for diagnosing DKA in any setting53. In patients prescribed SGLT2i, state, there is the risk that EDKA be overlooked in the absence of elevated blood glucose levels. Known
perioperative values > 0.6 mmol/L are considered at risk of developing DKA, and >1.5 mmol/l are considered precipitating factors include diet modifications, fasting, surgical stress, intercurrent illness and the improper
significant for other unwell non-surgical patients. ANZCA has released an alert in this regard54. It is worth handling of SGLT2i which are common in the perioperative setting.
reiterating that urine ketones are an inferior marker of DKA associated with SGLT2i. The conventional urine A multidisciplinary approach linking anaesthetists, endocrine specialists, the treating surgical team, general
testing is based on nitroprusside and measure acetoacetate instead of the more relevant ß-hydroxybutyrate7. In practitioners and dietitians should improve successful management. A complete understanding of the
addition, increased sodium reabsorption with SGLT2 inhibition results in increased absorption of ketone bodies, precipitating factors, presentation and treatment of DKA is vital in good perioperative management. Bariatric
thus ketones are more represented in the blood rather than in urine. Standard DKA management with insulin surgical patients may be at an increased risk of DKA attributed to very low-calorie regimens before and after
and dextrose applies to both EDKA and HDKA presentations. surgery. Institutional guidelines and regular perioperative auditing of the perioperative journey of these patients
In high risk individuals, it may be worth monitoring capillary ketones 4 hourly in the perioperative period until will mitigate the DKA risk and improve surgical outcomes.
adequate calorie intake is established. Devices with the ability to simultaneously test capillary blood glucose
and ketones are now widely available55. ADDENDUM: GUIDELINES FOR THE PERIOPERATIVE MANAGEMENT OF SGLT2I
Awareness of DKA, especially EDKA with ongoing education regarding perioperative ketone monitoring and THERAPY AT THE AUTHORS’ INSTITUTION
following institutionalised protocols may improve the perioperative outcome of these patients. In our institution, “2 days plus day of surgery or match the fast”
patients coming for every intervention including colonoscopy are routinely screened for pre-procedure capillary
ketones and the further management is rationalised. (Refer to the guidelines at the end of this manuscript). It is acknowledged that our understanding in this area is still evolving and that ultimately, management will
depend on the clinical discretion of the treating clinicians.
Maintain the blood volume
Prolonged withholding of SGLT2i risks loss of diabetic control especially where combination tablets are being
In elderly patients prescribed with loop diuretics with known renal impairment, it is imperative to maintain held without suitable alterative therapy being instituted. Additionally, cancelling surgery on every occasion when
euvolaemia in the perioperative phase as SGLT2i treatment may precipitate volume depletion as a result of its
SGLT2i have not been held would be a significant issue given the high frequency of diabetes amongst surgical Managing combined preparations of SGLT2i (for example, SGLT2i and metformin or SGLT2i and
patients. However, peri-operative DKA with this class of drug is increasing and whilst more common with the gliptins)
major surgeries listed above, it has been reported even with colonoscopy and angiography. The following The appropriate approach will depend on the patients’ baseline glycaemic control. In patients with good
guidelines are used at our institution to guide the treatment plan. or fair control, stopping the SGLT2i or combination tablet combined with a healthy diet without excessive
General carbohydrates prior to surgery may be adequate. In patients with poorer control, consideration should be
given to prescribing the non-SGLT2i medication in the combination tablet separately or even prescribing or
• SGLT2i to be ceased 2 days prior to surgery and held the day of surgery and through the postoperative
increasing the dose of other diabetes medications including insulin. This approach may be sufficient to maintain
period until the patient is eating and drinking normally – this may require an increase in other glucose-
adequate blood sugars preadmission.
lowering drugs during this time.
• Patients who have uncomplicated day surgery/procedures should only recommence SGLT2i when on full
REFERENCES
oral intake.
1. Australian Institute of Health and Welfare (AIHW). Diabetes snapshot. Australia’s Health 2018. [Internet]. Australia’s health
• Blood glucose and blood ketones should be checked in the perioperative patient and the medical officer
series no.16. AUS 221. Canberra: AIHW; 2018. Accessed June 21. Available from: https://www.aihw.gov.au/getmedia/
informed if the blood ketone level is > 0.6 mmol/L. c172c33e-776d-44b0-b549-546d58cee33d/aihw-aus-221-chapter-3-8.pdf.aspx
• Strongly consider postponing non-urgent surgery if SGLT2i have not been ceased prior to elective surgery 2. Vos T, Goss J, Begg S, Mann N. Australian burden of disease and injury study, Projected health care costs report.
and either blood ketones are > 0.6 mmol/L, or HbA1c > 9.0% as these may be indicators of insulin Canberra: University of Queensland and AIHW; 2007.
insufficiency in the perioperative period. A pH value from a simple venous blood sample may assist in 3. World Health Organization. Definition, diagnosis and classification of diabetes mellitus and its complications; Part 1:
deciding whether or not to proceed. Diagnosis and classification of diabetes mellitus. Department of Noncommunicable Disease Surveillance, Geneva; 1999.
4. Bach LA, Ekinci EI, Engler D, Gilfillan C, Hamblin PS, MacIsaac RJ, et al. The high burden of inpatient diabetes mellitus:
Low risk surgery the Melbourne Public Hospitals Diabetes Inpatient Audit. Med J Aust. 2014;201(6):334-8.
For patients on SGLT2i agents or combination therapy who are for low risk surgery, where there is a danger of 5. Dhatariya K, Levy N, Kilvert A, et al. NHS Diabetes guideline for the perioperative management of the adult patient with
diabetes. Diabet Med. 2012;29(4):420-33.
hyperglycaemia if these agents are held for 48 hours preoperatively, the anaesthetist may use their discretion
6. Zurek AM, Yendapally R, Urteaga EM. A review of the efficacy and safety of sodium-glucose cotransporter 2 inhibitors: a
and withhold the agent for a shorter duration pre-operatively. This would require blood ketone monitoring
focus on diabetic ketoacidosis. Diabetes Spectr. 2017 May;30(2):137-42.
preoperatively and postoperatively until the patient was eating and clinically stable. Results should be recorded
7. Bardia A, Wai M, Fontes ML. Sodium-glucose cotransporter-2 inhibitors: an overview and perioperative implications. Curr
for future auditing. Opin Anesthesiol. 2019;32:80-5.
Patients who are for minor surgery and expected to return to preoperative state early 8. Goldenberg RM, Berard LD, Cheng AY, et al. SGLT2 Inhibitor-associated diabetic ketoacidosis: clinical review and
recommendations for prevention and diagnosis. Clin Ther. 2016;38:2654-64.
• To withhold SGLT2i on day of surgery. 9. Zinman B, Wanner C, Lachin JM, Fitchett D, Bluhmki E, Hantel S, et al. Empagliflozin, cardiovascular outcomes, and
• BGL and blood ketone (point of care) to be performed in day of surgical admission or holding bay on arrival. mortality in type 2 diabetes. N Engl J Med. 2015;373(22):2117-28.
10. Neal B, Perkovic V, Mahaffey KW, de Zeeuw D, Fulcher G, Erondu N, et al. Canagliflozin and cardiovascular and renal
• Medical officer or anaesthetist to be notified if Ketones >0.6 or BGL>10 mmol/L. If yes, please consider
events in type 2 diabetes. N Engl J Med. 2017;377(7):644-57.
management using insulin dextrose infusion.
11. Wiviott SD, Raz I, Bonaca MP, Mosenzon O, Kato ET, Cahn A, et al. Dapagliflozin and cardiovascular outcomes in type 2
• Postoperative: diabetes. N Engl J Med. 2019;380(4):347-57.
– Repeat Ketone testing in recovery (point of care). 12. Wanner Ch, Inzucchi SE, Zinman B. Empagliflozin and progression of kidney disease in type 2 diabetes. N Engl J Med.
2016 Nov 3;375(18):1801-2.
– Consider restarting SGLT2i as soon as commencing oral intake if the patient is physiologically stable. 13. Mosley JF 2nd, Smith L, Everton E, Fellner C. Sodium-glucose linked transporter 2 (SGLT2) inhibitors in the management
of Type-2 diabetes: a drug class overview. P T. 2015;40:451-62.
Patients who are for major surgery (including major abdominal, hepatobiliary, colorectal and
cardiothoracic procedures) 14. Davies MJ, D’Alessio DA, Fradkin J, et al. Management of hyperglycemia in type 2 diabetes, 2018. A Consensus Report
by The American Diabetes Association (ADA) and the European Association for the Study of Diabetes (EASD). Diabetes
• Involve Endocrine team at pre-admission clinic. Care. 2018;41:2669-701.
• Only other difference in management from above may be as follows; 15. Milder DA, Milder TY, Kam PCA. Sodium-glucose co-transporter type-2 inhibitors: pharmacology and peri-operative
considerations. Anaesthesia. 2018;73:1008-18.
– Hold SGLT2i for at least 2 days prior to surgery and day of surgery. 16. Thiruvenkatarajan V, Meyer EJ, Nanjappa N, Van Wijk RM, Jesudason D. Perioperative diabetic ketoacidosis associated
– Consider withholding SGLT2i until physiologically stable and close to discharge and if there has been no with sodium-glucose co-transporter-2 inhibitors: a systematic review. Br J Anaesth. 2019 Jul;123(1):27-36.
elevation in plasma ketones. Manage with insulin and dextrose in the postoperative period. 17. Burke KR, Schumacher CA, Harpe SE. SGLT2 Inhibitors: A systematic review of diabetic ketoacidosis and related risk
factors in the primary literature. Pharmacotherapy. 2017;37:187-94.
• As these patients are at higher risk of Euglycaemic Diabetic ketoacidosis, need higher index of suspicion
18. Jensen ML, Persson F, Andersen GS, Ridderstråle M, Nolan JJ, Carstensen B,Jørgensen ME. Incidence of ketoacidosis
and regular monitoring (4 hourly BGL and ketones). in the danish type 2 diabetes population before and after introduction of sodium-glucose cotransporter 2 inhibitors – a
• Early institution of dextrose insulin infusion helps immensely. nationwide, retrospective cohort study, 1995-2014. Diabetes Care. 2017;40(5):e57-e58.
19. Department of Health, Therapeutic Goods Administration (TGA). Australian Public Assessment Report. AusPAR:
Colonoscopy and surgical procedures that require bowel preparation Dapagliflozin propanediol monohydrate. TGA; 2017.
The bowel preparation for colonoscopy usually include 4 phases: phase 1: low fibre diet for 2-3 days; phase 2: 20. Department of Health, Pharmaceutical Benefit Scheme. Pharmaceutical Benefits Advisory Committee (PBAC)
clear fluids the day before the procedure; phase 3: commencing bowel emptying with a cathartic the evening consideration: Dapagliflozin. PBAC Public Summary Document – 2013.
before; phase 4: fasting for 2-10 hours depending on the time slot for the procedure. 21. Rieg T, Vallon V. Development of SGLT1 and SGLT2 inhibitors. Diabetologia. 2018;61(10):2079-86.
22. Tahrani AA, Barnett AH, Bailey CJ. SGLT inhibitors in management of diabetes. Lancet Diabetes Endocrinol.
Cease SGLT2i the day when low fibre diet starts. Recommence at regular oral intake. Educate the patient 2013;1(2):140-51.
regarding sick day management to check for capillary ketones/seek medical help if they feel unwell. 23. Weber MA, Mansfield TA, Cain VA, Iqbal N, Parikh S, Ptaszynska A. Blood pressure and glycaemic effects of dapagliflozin
versus placebo in patients with type 2 diabetes on combination antihypertensive therapy: a randomised, double-blind,
For complex bowel preparation and diet/fasting regimes, and bariatric procedures placebo-controlled, phase 3 study. Lancet Diabetes Endocrinol. 2016;4(3):211-20.
A “match the fast” approach may be applicable matching the time of diet restriction with gliflozin withdrawal 24. Tikkanen I, Narko K, Zeller C, et al. Empagliflozin reduces blood pressure in patients with type 2 diabetes and
with inputs from endocrinologists. At our institution, a very low calorie diet is started 4 weeks before surgery hypertension. Diabetes Care. 2015;38(3):420-28.
and SGLT2i should be stopped prior to the diet starting. In this situation, no compensatory increase in other 25. Giugliano D, De Nicola, L, Maiorino, MI, Bellastella, G, Esposito, K. Type 2 diabetes and the kidney: insights from
cardiovascular outcome trials. Diabetes Obes Metab. 2019;1-11.
diabetes medication may be needed as glycaemic control should improve on the very low calorie diet.
26. Wiviott SD, Raz I, Bonaca MP, et al. Dapagliflozin and cardiovascular outcomes in type 2 diabetes. N Engl J Med.
2019;380(4):347-57.
27. Perkovic V, Jardine MJ, Neal B, et al. Canagliflozin and renal outcomes in type 2 diabetes and nephropathy. N Engl J Med. 58. Hamblin PS, Wong R, Ekinci EI, et al. SGLT2 inhibitors increase the risk of diabetic ketoacidosis developing in the
2019;380(24):2295-306. community and during hospital admission. J Clin Endocrinol Metab. 2019;104(8):3077-87.
28. Kerridge R, Whyte I, Prior F, Luu J, Story DA. The good, the bad, and the ugly: sodium-glucose cotransporter-2 inhibitors 59. Meyer EJ, Gabb G, Jesudason D. SGLT2 inhibitor-associated euglycemic diabetic ketoacidosis: a south australian clinical
(gliflozins) and perioperative diabetes. Anaesth Intensive Care. 2018;46:155-8. case series and australian spontaneous adverse event notifications. Diabetes Care. 2018;41(4):e47-9.
29. Wright EM, Loo DD, Hirayama BA. Biology of human sodium glucose transporters. Physiol Rev. 2011 Apr;91(2):733-94. 60. U.S. Food and Drug Administration (FDA). FDA drug safety communication: FDA revises labels of SGLT2 inhibitors for
30. Mudaliar S, Polidori D, Zambrowicz B, Henry RR. Sodium-glucose cotransporter inhibitors: effects on renal and intestinal diabetes to include warnings about too much acid in the blood and serious urinary tract infections. [Internet]. FDA; 12
glucose transport: from bench to bedside. Diabetes Care. 2015;38(12):2344-53. April 2015. Available from: https://wayback.archive-it.org/7993/20170113112049/http://www.fda.gov/downloads/Drugs/
31. Liu JJ, Lee T, DeFronzo RA. Why Do SGLT2 inhibitors inhibit only 30-50% of renal glucose reabsorption in humans? DrugSafety/UCM446954.pdf. Accessed 21 June 2019.
Diabetes. 2012 Sep;61(9):2199-204. 61. Carlson CJ, Santamarina ML. Update review of the safety of sodium-glucose cotransporter 2 inhibitors for the treatment
32. Clar C, Gill JA, Court R, Waugh N. Systematic review of SGLT2 receptor inhibitors in dual or triple therapy in type 2 of patients with type 2 diabetes mellitus. Expert Opin Drug Saf. 2016 Oct;15(10):1401-12.
diabetes. BMJ open. 2012;2(5). 62. Ueda P, Svanström H, Melbye M, Eliasson B, Svensson AM, Franzén S, et al. Sodium glucose cotransporter 2 inhibitors
33. Kalra S. Sodium Glucose Co-Transporter-2 (SGLT2) inhibitors: a review of their basic and clinical pharmacology. Diabetes and risk of serious adverse events: nationwide register based cohort study. BMJ. 2018;363:k4365.
Ther. 2014 Dec;5(2):355-66.
34. US Food and Drug Administration (FDA). Drug Safety Communications: FDA warns that SGLT2 inhibitors for diabetes
may result in a serious condition of too much acid in the blood [Internet]. FDA; 15 March 2015.
Available from: http://www.fda.gov/downloads/Drugs/DrugSafety/UCM446954.pdf. Accessed 1 March 2019.
35. European Medicines Agency (EMA). Review of diabetes medicines called SGLT2 inhibitors started: risk of diabetic
ketoacidosis to be examined [Internet]. EMA; 12 June 2015. Available from: http://www.ema.europa.eu/docs/en_GB/
document_library/Referrals_document/SGLT2_inhibitors__20/Procedure_started/WC500187926.pdf. Accessed 1
March 2019.
36. Therapeutic Goods Administration (TGA). Sodium glucose co-transporter 2 inhibitors. Safety advisory-diabetic
ketoacidosis and surgical procedures. [Internet]. TGA; 18 July 2018. Available from: https://www.tga.gov.au/
node/850033. Accessed 1 March 2019.
37. Therapeutic Goods Administration (TGA). Sodium glucose co-transporter 2 inhibitors-used to treat type 2 diabetes.
Safety advisory-risk of diabetic ketoacidosis. [Internet]. TGA; 13 August 2015. Available from: https://www.tga.gov.au/
node/708466. Accessed 1 March 2019.
38. Fadini GP, Bonora BM, Avogaro A. SGLT2 inhibitors and diabetic ketoacidosis: data from the FDA Adverse Event
Reporting System. Diabetologia. 2017;60:1385-89.
39. Blau JE, Tella SH, Taylor SI, et al. Ketoacidosis associated with SGLT2 inhibitor treatment: Analysis of FAERS data.
Diabetes Metab Res Rev. 2017;33:e2924
40. Taylor SI, Blau JE, Rother KI. SGLT2 Inhibitors May Predispose to Ketoacidosis. J Clin Endocrinol Metab.
2015;100(8):2849-52.
41. Gomez-Arbelaez D, Crujeiras AB, Castro AI, Goday A, Mas-Lorenzo A, Bellon A, et al. Acid-base safety during the course
of a very low-calorie-ketogenic diet. Endocrine. 2017 Oct;58(1):81-90.
42. Daniele G, Xiong J, Solis-Herrera C, et al. Dapagliflozin enhances fat oxidation and ketone production in patients with type
2 diabetes. Diabetes care. 2016;39(11):2036-41.
43. Burton D, Nicholson G, Hall G. Endocrine and metabolic response to surgery. Contin Educ Anaesth Crit Care Pain.
2004;4:144-7.
44. Wood T, Pang AJ, Hallet J, et al. Euglycaemic ketoacidosis in a postoperative Whipple patient using canaglifozin. BMJ
Case Rep. 2016: bcr2016216607.
45. Brown F, McColl T. Diabetic ketoacidosis secondary to dapagliflozin use: a case report. J Emerg Med. 2018;54:109-11.
46. Lane S, Paskar D, Hamed S, et al. When guidelines fail: diabetic ketoacidosis after bariatric surgery in a patient taking a
sodium-glucose cotransporter-2 inhibitor: a case report. A A Pract. 2018;11:46-8.
47. van Niekerk C, Wallace J, Taakata M, et al. Euglycaemic diabetic ketoacidosis in bariatric surgery patients with type 2
diabetes taking canagliflozin. BMJ Case Reports. 2018; bcr-2017-221527.
48. Hoenes C, Rashid Q, Pimentel J. Diabetic ketoacidosis in a postoperative gastric bypass patient. J Surg Case Rep. 2017;
7:rjx148.
49. Hine J, Paterson H, Abrol E, et al. SGLT inhibition and euglycaemic diabetic ketoacidosis. Lancet Diabetes Endocrinol.
2015; 3:503-4.
50. Handelsman Y, Henry RR, Bloomgarden ZT, et al. American association of clinical endocrinologists and american college
of endocrinology position statement on the association of sglt-2 inhibitors and diabetic ketoacidosis. Endocr Pract.
2016;2:753-62.
51. Tan H, Acharya S. Perioperative cessation of sodium-glucose cotransporter-2 inhibitors: 72 hours or seven days? Anaesth
Intensive Care. 2018;46:425.
52. Elasha H, Elsheikh AM, Wafa W, Karim Meeran. SGLT2 inhibition may precipitate euglycemic dka after bariatric surgery.
Clin Diabetes Res. 2018;2:40-2.
53. Dhatariya K. Blood Ketones: Measurement, Interpretation, Limitations, and Utility in the Management of Diabetic
Ketoacidosis. Rev Diabet Stud. 2016 Winter;13(4):217-25.
54. Australian and New Zealand College of Anaesthetists (ANZCA). Severe euglycaemic ketoacidosis with SGLT2 inhibitor
use in the perioperative period. [Internet]. ANZCA; 15 Feb 2018. Available from: http://www.anzca.edu.au/documents/
alert-dka-and-oral-hypoglycaemics-20180215.pdf. Accessed 10 July 2019.
55. Pfützner A, Klonoff D, Heinemann L, Ejskjaer N, Pickup J. Euglycemic ketosis in patients with type 2 diabetes on SGLT2-
inhibitor therapy-an emerging problem and solutions offered by diabetes technology. Endocrine. 2017;56:212-6.
56. Peacock SC, Lovshin JA, Cherney DZI. Perioperative considerations for the use of sodium-glucose cotransporter-2
inhibitors in patients with type 2 diabetes. Anesth Analg. 2018;126:699-704.
57. Weir MR, Januszewicz A, Gilbert RE, Vijapurkar U, Kline I, Fung A, Meininger G. Effect of canagliflozin on blood pressure
and adverse events related to osmotic diuresis and reduced intravascular volume in patients with type 2 diabetes mellitus.
J Clin Hypertens (Greenwich). 2014 Dec;16(12):875-82.
264 Australasian Anaesthesia 2019 – Liver/Metabolic/Immune System Anaesthesia and immune modulation 265
Anaesthesia and immune modulation

Michelle Roets MBChB, DA, FCARCSI, FANZCA, MSc
Staff specialist anaesthetist, Department of Anaesthesia and Perioperative Medicine, The Royal Brisbane and
Women’s Hospital (RBWH) and senior lecturer at the University of Queensland, Brisbane, Australia.
Dr Roets has special interests in intraoperative cell salvage (ICS), perioperative transfusion and anaesthetic
equipment. She is currently undertaking a PhD studying the cost implications and benefits associated with ICS.
Melinda Dean BAS, PhD

Associate Professor, School of Biomedical Sciences, Faculty of Health, Queensland University of Technology
and Senior Research Fellow Research and Development, The Australian Red Cross Blood Service, Brisbane,
Queensland, Australia.
Associate Professor Melinda Dean leads two research themes in research and development at the Australian
Red Cross Blood Service – understanding the pathogenesis of adverse transfusion reactions – role of the
immune system and identifying factors leading to failure of RBC structure and function.
Jaisil EJ Punnasseril Honours BSc

Summer Scholarship Doctor of Medicine student, the University of Queensland, Brisbane, Australia.
Jaisil Punnasseril is a second year Doctor of Medicine student at the University of Queensland.
Kerstin Wyssusek MBBS, PhD, FAANAE, FANZCA, PGcertQM

Associate Professor and Director of the Department of Anaesthesia and Perioperative Medicine, The Royal
Brisbane and Women’s Hospital (RBWH), The University of Queensland, Brisbane, Australia.
Associate Professor Kerstin Wyssusek is a senior anaesthetist with an interest in patient blood management
and evidence-based clinical care.
Andre van Zundert MD, PhD, FRCA, EDRA, FANZCA

Professor in Anaesthesiology, School of Medicine, The University of Queensland, Senior Staff Specialist,
Department of Anaesthesia and Perioperative Medicine, The Royal Brisbane and Women’s Hospital, Brisbane,
Australia.
Professor Andre van Zundert has a special interest in research in anaesthesia for obstetrics, regional
anaesthesia, airway management and blood management.
David Sturgess MBBS, PhD, PGDipCU, FRACGP, FANZCA, FCICM, AFRACMA, GAICD
Associate Professor, Eminent Staff Specialist and Deputy Director of Anaesthesia, Princess Alexandra Hospital
and Mater Research Institute, The University of Queensland, Brisbane, Australia.
Associate Professor Sturgess is a dual-qualified anaesthetist and intensive care physician. One of his core
research interests is characterisation of the inflammatory response to surgery and critical illness.
INTRODUCTION
The effect of perioperative medication (local and general anaesthetic agents, steroids and antibiotics) on
white blood cell populations, and specifically to monocyte and dendritic cell immune profile and apoptosis
is of particular interest. The impact of these other external modulators of the immune system is important
when considering changes to immune cell numbers and function during intraoperative cell salvage (ICS)
and allogeneic blood transfusion (ABT). To generate a more complete measure of the immune response it is
important to evaluate both monocyte and dendritic cell numbers and function1,2.
It is essential to consider that associations with increased nosocomial infections and organ impairment during
surgery and anaesthesia may be the consequence of overall immunological changes (immune modulation)
rather than the activation of a specific pathway3. The degree of this immune modulation correlates with the
extent of the surgical trauma and other factors, such as comorbidities4, the type of surgery and disease process
(for example, cancer surgery), coexisting infection, impaired nutritional status5 and transfusion related immune
modulation (TRIM)6-13.
During the perioperative journey, changes to various types of white blood cells (neutrophils, monocytes, T
lymphocytes and B lymphocytes), as a result of immune modulators (surgery, anaesthetics, comorbidities,
ICS, ABT), are potentially associated with adverse outcomes. Furthermore, the prognostic value of markers complicate matters further, cytokines released by host cells act in both pro-inflammatory and anti-inflammatory
for example Lymphocyte-to-Neutrophil ratio (LNR), Platelet-to-Lymphocyte ratio (PLR) and Lymphocyte- ways. In addition, the activation of T helper 1 cells lead to activation of macrophages and cytotoxic T cells and
to-Monocyte ratio (LMR), have been well established during assessment of cancer outcomes14,15. Original T helper 2 cells to the activation of B cells and plasma cells and a humoral immune response, including the
research identified an association between TRIM and adverse outcomes related to infection and cancer production of IgM, IgA, IgE and IgG19.
recurrence16. The question now remains if immune cell ratios (for example, LNR and LMR), currently used
as prognostic indicators during cancer surgery, may also be used to predict infection risk after surgery, POTENTIAL CAUSES OF IMMUNE SUPPRESSION DURING SURGERY
anaesthesia, ABT and ICS transfusion.
Anaesthetic drugs
The purpose of this chapter is to summarise the evidence associated with changes to the immune response
Many surgical and anaesthetic factors influence humoral and cellular immune responses during the
during surgery, anaesthesia and transfusion.
perioperative period30. It is known that anaesthetic drugs may affect the cellular immune response31,32 in addition
to other potential modulators of the immune system including pain, psychological stress33, surgical inflammation,
THE IMMUNE RESPONSE DURING SURGERY AND TRAUMA hypotension and hypothermia34. Various authors have investigated the suppression of immune responses
The human immune response against infection involves cellular and humoral responses, both innate as well related to commonly used anaesthetic drugs. Studies specifically assessing monocyte numbers are rare and
as acquired. Many studies assessed either functional or cellular immune response and often very particular those found were mostly related to cancer outcomes and not infection risk14,35. Few studies identified the effect
individual end points within this spectrum3. of general anaesthesia on lymphocyte numbers. A reduction in immune cell populations (lymphocyte cells
and T-helper cell numbers) may result from an attenuation of the stress response to surgery through induction
Worldwide surgical infection risk, when increased through immune modulation, has major implications. Data of general anaesthesia and the type of analgesia may be an important factor (that is, opioid or neuraxial
from a prospectively collected trauma registry (January 1996 to December 1997, n=30,303) demonstrated anaesthesia)36.
that sepsis occurred in 2% of patients17. A significant increase in mortality (23.1% versus 7.6%) was seen in
septic patients compared with non-septic patients as well as increased length of stay in hospital (34.1 versus The immunological consequences of the surgical stress response when comparing opioid and neuraxial
7.0 days) and ICU (21.8 versus 4.7 days). Pneumonia was the leading cause and Injury Severity Score an analgesia during general anaesthetic remains controversial36,37. When neuraxial analgesia was added to
independent predictor, of sepsis in trauma17. general anaesthesia, beneficial functional profiles (NK cell activity, IL-2, IL-6, IL-8, IL-10, IL-1β and IFN-γ38,39),
reduced systemic infection rates40 and improved prognosis was seen41,42. The debate between total intravenous
Invasion of a body by a pathogen triggers an inflammatory response. Bone marrow is stimulated to produce anaesthesia (propofol TCI), volatile anaesthesia and regional anaesthesia, and cancer related immunological
neutrophils. These are attracted to the site of infection, followed by the release of cytokines and the recruitment consequences, is ongoing and a thorough report of this topic is beyond the aim of this review. However, various
of lymphocytes, mast cells and basophils. Subsequent phagocytosis of bacteria by neutrophils is part of anaesthetic drugs may play a role in immune related adverse outcome.
the early (6-12 hours after initial injury) inflammatory response of innate immunity. The average half-life of a
neutrophil in circulation is 6 hours18. Data from ex vivo human studies suggest that sevoflurane and isoflurane43 induce lymphocyte apoptosis. When
studying 3 groups of patients during inguinal hernia surgery (epidural, sevoflurane and propofol anaesthesia),
Monocytes are part of the later immune response, activated in response to chemotactic factors released by increased apoptosis of monocytes were seen 6 hours after surgery in the sevoflurane and epidural compared
neutrophils. Increased numbers of monocytes are seen as early as 24 hours after an initial insult, but most to the propofol groups35. Jia et al (2015) compared 3 groups (sevoflurane, propofol and sevoflurane plus
significantly 3 to 7 days thereafter19. A low monocyte count can be caused by acute infections, stress or propofol anaesthesia) and confirmed the most significant lymphocyte apoptosis occurred in the sevoflurane
treatment with glucocorticoids20. only group44. Neutrophil numbers return to normal levels after extubation, even though a significant reduction
in neutrophil, monocyte and lymphocyte counts are seen after induction of general anaesthesia45. Peripheral
Classical dendritic cells (DCs) are bone marrow-derived leukocytes that develop from a common myeloid
lymphocyte apoptosis during total knee replacement surgery lasts up to 7 days independent of the type of
progenitor as granulocytes and macrophages, even though the exact mechanism is still unclear21. DCs play a
anaesthetic (general, spinal or spinal-epidural)46. Propofol may be less detrimental to the phagocytotic ability
unique and specialised role positioned between the innate and adaptive immune responses21-23. They are potent
of human polymorphonuclear immune cells than isoflurane anaesthetic47, cause less lymphocyte apoptosis48
antigen-presenting cells that initiate and regulate the adaptive immune response. DCs phagocytose pathogens
and may protect against neutrophil apoptosis49. Woo et al found both propofol and desflurane favourable when
and process antigens for presentation to the adaptive immune system. Maturation of DCs is associated with
considering CD4+/CD8+ T cell ratio in the perioperative period during breast cancer surgery50. Ketamine
upregulation of CD80 and CD86 expression and secretion of pro-inflammatory cytokines (for example TNF-α
reduces the differentiation of monocytes into immature dendritic cells51 and induces apoptosis in human
and IL-12)22.
lymphocytes52, while both morphine and ketamine may affect the CD4+/CD8+ ratio in vitro53.
Natural killer (NK) cells are lymphocytes that originate from the same line of cells as T lymphocytes and B
More studies identified the effect of general anaesthesia on lymphocyte and monocyte function. When
lymphocytes. NK cells respond mainly to eliminate cells infected with viruses and tumor cells24. In addition, NK
Matsota et al (2018) studied 3 groups of patients who received either epidural, sevoflurane or propofol
cells secrete cytokines such as IFN-γ and IFN-α and enhance the immunological function of macrophages and
anaesthesia, IL-6 was increased in the propofol group at the end of surgery and TNF-α reduced 6 hours after
dendritic cells24.
surgery in the sevoflurane and epidural groups35. Ketamine suppressed the production of IL-2 and IFN-δ by
Tumor-associated macrophages (TAMS) participate in the activation and maintenance of the chronic activated T lymphocytes in patients with refractory cancer pain in vitro54. Lignocaine and bupivacaine both
inflammatory process of several tumors1. The importance of TAMS in cancer has been well documented1. In attenuated macrophage TNF-α secretion55, while lignocaine may affect in vitro secretion and gene expression
1992 Mantovani et al commented that tumor progression may be associated with 1) the number of monocytes, of proinflammatory cytokines (for example, IL-8)56. Propofol-remifentanil anaesthesia preserved NK cell
2) their state of activation and 3) the properties of the neoplastic cell1. cytotoxicity better compared to sevoflurane-remifentanil anaesthesia in patients undergoing breast cancer
surgery57. The activation of pro-inflammatory cytokines, including TNF-α, IL-6 and IL-8 by neutrophils induced
One of the first responses of the innate immune system to a foreign pathogen is phagocytosis. Foreign proteins by lipopolysaccharide (LPS) is attenuated by remifentanil58. Opioid-induced or opioid-withdrawal-induced
derived through phagocytosis are processed and presented onto major histocompatibility complex class II immunosuppression during remifentanil based anaesthesia was associated with an increased incidence of
molecules (human leukocyte antigen-DR or HLA-DR) on the surface of dendritic cells. Upregulation of HLA- surgical site infection59.
DR and increased antigen presentation supports the clearance of pathogens25 and the induction of a T-cell
response26. HLA-DR expression on monocytes consistently correlates with infection and clinical outcomes. Anaesthetic drugs have been implicated in studies assessing prognosis after cancer surgery. Xu et al found
Patients who develop sepsis after trauma have lower HLA-DR plasma levels (between days 2 and 14 from improved cellular immunity and prognosis in patients with non-small cell lung cancer when epidural analgesia
admission)27. HLA-DR monocyte expression is altered for 2 weeks following severe injury28 and a reduction is was added to standard general anaesthesia during an assessment of the differentiation of T lymphocyte
associated with increased mortality29. subsets: CD3+, CD4+, CD4+/CD8+ and natural killer cells CD56+60. On the other hand, the opioid sparing
effect of spinal anaesthesia (during radical cystectomy for bladder cancer) compared to general anaesthesia
Adaptive immune responses are both humoral (mainly B-cell) and cell (mainly T-cell) mediated. The recognition did not provide a significant change in mortality in a retrospective cohort (n=195 study group, n=195 control
of select antigens activate these immune responses19. The primary human immune response provides group) study by Weingarten et al (2016). These authors did however report an association between blood
protection against lipopolysaccharide (LPS), an endotoxin contained in cell walls of gram-negative bacteria19. To
transfusion and increased mortality61. In a retrospective assessment of associations with survival in patients who THE PERIOPERATIVE CONSEQUENCES OF IMMUNE SUPPRESSION
had resection of pancreatic adenocarcinoma (n=144) in 2015 Call et al (2015) identified a survival benefit in
those who received dexamethasone and epidural analgesia as part of their anaesthetic care62. Infection
Alterations of the immune system after trauma and surgery result in activation of antigen-presenting cells such
Steroids as monocytes and dendritic cells90 as well as HLA-DR expression rate and the subsequent susceptibility to
Dexamethasone as a corticosteroid drug holds immune suppressive properties. Dexamethasone is currently postoperative infection91.
often used as a prophylactic antiemetic agent during general anaesthesia. The exact impact of dexamethasone
on outcome, specifically related to the subsequent incidence of surgical infection, is however still unclear40,63. Suppression of both acquired and innate immunity, noted in trauma patients, results in nosocomial and other
Corticosteroids decreased both monocyte and T-cell function64. The activation of monocytes plays a major role infection risks92. The inability to produce TNF-α after ex vivo stimulation with LPS was studied to assess the
in graft rejection65,66. In order to avoid rejection and graft loss after liver transplant long term immunosuppression innate immune responsiveness during critical illness88. This reduction of TNF-α and increase in IL-10 was
is required. The use of steroids is still common for this purpose65. associated with immune suppression and increased risk of nosocomial infections69,88,93. In this context the
term “immunoparalysis” describes the reduced ability to produce TNF-α and monocyte surface expression
Antibiotics of HLA-DR in response to LPS and is associated with life-threatening infectious complications69. This
The immune suppressive implications of antimicrobial drugs is a large and growing field of study67. Macrolides, “hyporesponsiveness” occurs during surgery, peak at the time of ICU admission after surgery and trend back to
tetracyclines, polymyxins, sulfones, antifungal, antiviral and antiparasitic drugs are among those with known normal within 24 hours after surgery69. Monocytes, T lymphocytes, activated B lymphocytes and macrophages
immune modulatory effects67. in liver, lung, kidney and myocardium, secrete IL-1069. IL-10, detectable 7 hours after monocyte activation
by LPS, reached a maximum at 24-48h and subsequently inhibit the monocyte secretion of IL-6, IL-8 and
Surgery TNF-α94. A decrease in cytokine production by monocytes was seen during severe infection in response to
Immunoparalysis after a surgical insult was identified by studying TNF-α, low monocyte surface mCD14 and LPS stimulation95. The risk of late nosocomial infection and a shorter more uncomplicated ICU stay is linked
HLA-DR expression (“a hallmark of altered immune status in patients with a systemic inflammatory response to the in-ability to produce TNF-α, IL-6, IL-8 and IL-1069 and impaired monocyte IL-12 production to the
syndrome”)68, impaired lymphocyte function and high IL-10 levels in response to endotoxin (LPS)69,70,64,71. severity of postoperative sepsis96. The consequences related to nosocomial infection risk as a result of immune
After severe trauma, significant changes to IL-6, TNF-α, monocyte IL-12 production and monocyte HLA-DR suppression are frequent and serious31,97,98.
expression correlated with risks of postoperative infection, sepsis and death72,73. Early in the post-operative
period an increase in NK cells, neutrophils (at 1h), CD14+ (at 24h) and monocytes (at 72h) are seen, followed Both cellular (numbers of lymphocyte sub-populations) and functional immune cell responses are important
by a reduction in CD4+ and CD8+ T cells over the following 24h. All values returned to normal after 6 weeks74. during surgery to protect against nosocomial infection. If the adaptive immune response is impaired through a
reduction in proinflammatory lymphocytes this may result in a higher incidence of infection and postoperative
Comorbidities complications36,92,99,100. An increase in leukocyte and a reduction in lymphocyte numbers occur within a
Patients may already have other comorbidities that present an immune compromised state (for example, perioperative period until 5 days after surgery99,101,102. TAMS participate in the activation and maintenance of the
HIV infection, additional opportunistic infection, neoplasm and taking regular medications) when presenting chronic inflammatory process of several tumors1, and neutrophils as the first line of defence against microbial
for surgery75. The severity of the disease state in patients with HIV/AIDS is classified according to CD4+ pathogens103.
lymphocyte counts and organ involvement and may predispose these patients to opportunistic infection or Munford et al (2001) suggested that the normal protective immune response may sometimes act in a
neoplasm. Blood transfusion in patients with advanced HIV infection increases the HIV viral load76,77,4. Patients suppressive way that allow bacterial, viral and fungal infection to progress. This system relies on a balance
awaiting liver transplant may be immune compromised as a result of liver disease or DM as identified through between pro-inflammatory and anti-inflammatory processes. Pro-inflammatory mechanisms include activation of
neutrophil impairment78. Patients with renal failure experience significant immune cell changes. Monocyte, leukocytes, vascular endothelium transudation of fluid into tissue spaces and transfer of leukocytes to the site
neutrophil, and dendritic cell abnormalities are directly linked with infection risk in this patient population79. of injury. These mechanisms promote the human defense against infection. Pro-inflammatory mediators include
Corticosteroids, antibodies, antiproliferative/antimetabolic drugs, and calcineurin inhibitors are 4 groups of TNF-α, IL-1β, interferon, chemokines and bioactive lipids (leukotrienes, thromboxane and platelet-activating
immune suppressant drugs used to prevent rejection of a transplanted organ4. These drugs mainly inhibit factor)92. The anti-inflammatory process, on the other hand, inhibits the production of these mediators and
lymphocyte and macrophage function and may result in increased risk of infections80. Immune compromise in impair phagocyte activation. Anti-inflammatory mediators include IL-4, IL-6, IL-10, IL-11, IL-13, transforming
cancer patients, resulting from the primary cancer or secondary effects on nutrition, catabolism and related growth factor, catecholamines, prostaglandin E2, glucocorticoids, α-MSH, IL-1 receptor antagonist (IL-1R α)
medication, may result in a susceptibility for opportunistic infection4. and soluble TNF receptors92.
TRIM
Inflammation during surgery reduces the capacity of monocytes to produce TNF-α, IL-1α and IL-1β104. Serious
TRIM is defined as a delayed (>24 hours), immune (suppressive) response after allogeneic blood transfusion. injury results in increased IL-12 production and a shift towards increased Th-2 cells as well as an increase in
The associated effects attributable to TRIM include cancer recurrence, postoperative infection and virus IL-4 and IL-10 that inhibit Th-1 function100. Patients who developed sepsis often produced less TNF-α, IL-1β
activation6-13. The association between allogeneic blood transfusion, altered immune function and risks of and IL-6105,106. A reduced resistance to infection and/or response to LPS stimulation was shown when major
nosocomial infection has been studied widely6,11,12. Allogeneic transfusion followed by LPS stimulation reduces injury and surgery led to increased Th-2 lymphocyte production and reduced IL-12100, changes to monocyte/
TNF-α induction capacity and increases IL-10 production81. macrophage proinflammatory (for example, TNF-α release) and antigen presenting functions (for example,
Blood transfusion is an independent risk factor for ventilator associated pneumonia in ICU82 and associated IL-10) and apoptosis of immune cells2. An inability to produce TNF-α during acute illness in response to LPS
with subsequent ICU acquired blood stream infection83. Nosocomial infection rates are higher in transfused exposure is an early predictor of increased risk for nosocomial infection and mortality in critically ill patients107.
compared to non-transfused ICU patients84, even when corrected for illness severity scores85,86. In a
retrospective comparison between autologous and allogeneic blood transfusion Duffy et al found a statistically MEASURING IMMUNE SUPPRESSION
significant higher odds ratio towards post-operative infection rate in the allogeneic group of 2.37 (95%
A large volume of evidence exists where various different individual functional mediators and cytokines
confidence interval (CI) 1-6-3.6, P < 0.0001)87.
were studied to describe the mechanism of action associated with immune suppression during surgery and
Muszynski et al (2012), considered the implications of both blood storage time and method on monocyte anaesthesia, including monocyte, macrophage and T lymphocyte function, monocytic cytokine secretion,
function and immunity during allogeneic blood transfusion. During critical illness, a period of hyperinflammation monocytic HLA-DR and CD86 expression (through quantitative flow cytometry), T lymphocyte cytokine profiling
was followed by subsequent reduced innate immune responsiveness (reduced TNF-α and increased IL-10) and and many more2.
increased risk of nosocomial infection88. A similar modulation of monocyte and overall inflammatory response
Changes to monocyte proinflammatory (for example, TNF-α release) and antigen presenting functions (for
was confirmed after stored ABT88. An in vitro study by Biedler et al (2002), confirmed that stored allogeneic
example, IL-10), lymphocyte apoptosis and the response to lipopolysaccharide (LPS) may represent the
whole blood resulted in significant TNF-α depression and IL-10 induction compared to fresh allogeneic blood89.
downregulation of the immune system after stressors for example trauma, injury and blood loss2. Changes
to monocyte function rather than numbers, specific to the release of tumor necrosis factor TNF-α, HLA-DR
expression and Il-10 release has been noted in association with surgical infection risk92. Changes to monocyte curative colorectal tumor surgery14. LMR also has prognostic significance for soft tissue sarcomas119. Sierzega
numbers, specifically LMR were studied in association with long term surgical outcome and cancer recurrence5. et al (2017), showed a high NLR and low LMR were associated with an unfavourale prognosis in resectable
pancreatic cancer120.
MEASURING IMMUNE CELL NUMBERS: LMR AS PROGNOSTIC INDICATOR TO A significant reduction in lymphocyte numbers are seen during total knee replacement surgery, in particular
PREDICT IMMUNE RELATED ADVERSE OUTCOMES CD3+/8+ T lymphocytes and to a lesser extent CD3+/4+ and CD19+ cells, that lasts for up to 7 days after
surgery46. This reduction was not evident for NK cells (CD16+/56+). In addition, a significant increase in
Studies assessing the numbers of neutrophil and monocyte populations in the perioperative period are
lymphocyte apoptotic changes, independent of the type of anaesthetic was identified46. Wang et al found no
surprisingly rare, especially considering the enormous volume of studies that have focused on immune cell
significant difference comparing propofol and etomidate in patients with septic shock, specific to CD8+ levels
function. A decrease in immune cell numbers occurs when the infectious process exhaust the supply of these
and CD4+/CD8+ ratios121. Naess et al studied NLR and MLR in patients admitted to hospital with fever. NLR
cells, in other words when cells are transferred from the circulation into infected tissues faster than they can
and MLR were higher in patients who developed bacterial infections and NLR significantly higher in those
be replaced19. Even though the importance of functional studies cannot be denied, these may be of less value
who developed septicaemia122. No studies were found where the normal LMR ratio was studied, before or
if essential subpopulations of immune cells, responsible to produce this functional response, are significantly
after surgery (and ABT and ICS), to assess the implications of immune suppression and subsequent risk of
reduced.
nosocomial infection.
During a literature search to study the normal changes to monocyte numbers within the perioperative period,
few applicable studies could be found. The association between anaesthetic drugs and cell apoptosis in vivo CONCLUSION
and/or the relationship between apoptosis and postoperative infection risk are both topics where knowledge
gaps exist. A healthy lymphocyte response (cellular and humoral) is essential to ensure adequate protection against
infection after surgery. When other known immune modulators, including transfusion, anaesthesia, surgery
Recently, investigations have focused on basic cell number ratios, that is, LNR, Neutrophil-to-Lymphocyte and medications impair this immune response the risk of developing nosocomial infection increases. To date,
ratio (NLR) and LMR ratios, and their association with cancer recurrence and survival after cancer surgery14. there has been a focus on functional immune modulation, but a knowledge gap exists regarding the role of
Literature to assess basic cell number ratios and changes during the immediate surgical time, particularly in perioperative lymphocyte ratios (for example, NLR and LMR) and their association with surgical infection risk.
association with infection related adverse outcome, could not be found. When considering the importance of an
adequate monocyte response during surgical stress and the potential for subsequent infection, it seems likely The perioperative changes to various types of lymphocytes as a result of immune modulators, the associated
that these ratios may be useful prognostic indicators. adverse outcomes, and the value of LMR as an indicator for immune health and subsequently as prognostic
indicator to predict postoperative infection risk should be considered in future research. Anaesthetists have
A differential full blood count (which includes a monocyte and neutrophil count) is routinely undertaken during an important role to play in future research regarding the impact of anaesthesia and transfusion on the
the standard preoperative anaesthetic assessment for major surgery18,19. It is a relatively simple, fast and perioperative immune response and related adverse outcomes.
economical test compared to detailed functional humoral and cytokine testing that require specialised and
expensive equipment. LMR, LNR and NLR can be determined from the differential full blood count108.
ACKNOWLEDGEMENT
Many authors have studied various ratios of immune cells in association with outcome measures. NLR
Australian Red Cross Blood Service in kind support, RBWH foundation scholarship grant, University of
represents a validated independent risk factor when assessing overall survival in patients with non-metastatic
Queensland PhD scholarship support.
renal cell carcinoma109. Hutterer et al reported LMR as an independent prognostic indicator for poor outcomes
when cancer-specific survival was studied as the primary outcome measure in nonmetastatic renal cell
carcinoma (n=678 over 10 years)110. REFERENCES
Leukocyte cell number changes are apparent after thoracotomy and lung cancer surgery. As early as 1977 1. Mantovani A, Bottazzi B, Colotta F, Sozzani S, Ruco L. The origin and function of tumor-associated macrophages.
Immunol Today. 1992;13:265-70.
Roberts et al found lymphopenia to be associated with metastatic disease in bronchial cancer111. In 2017
2. Volk H-D. Immunodepression in the surgical patient and increased susceptibility to infection. Crit Care. 2002;6:279.
Yuan et al confirmed an association between Neutrophil-to-White blood cell Ratio (NWR), Lymphocyte-to-
3. O’Dwyer MJ, Owen HC, Torrance HD. The perioperative immune response. Curr Opin Crit Care. 2015;21:336-42.
White blood cell Ratio (LWR), Monocyte-to-White blood cell Ratio (MWR), NLR, Monocyte-to-Lymphocyte
4. Hannaman MJ, Ertl MJ. Preoperative evaluation of the immunocompromised patient. Med Clin North Am. 2013;97.
Ratio (MLR) and Platelet-to-White blood cell Ratio (PWR) and poor overall survival in patients with curatively
5. Dąbrowska AM, Słotwiński R. The immune response to surgery and infection. Cent Eur J Immunol. 2014;39:532.
resected non-small cell lung cancer15. In patients with lung cancer a lower pre-treatment lymphocyte count was
6. Vamvakas EC. Meta-analysis of randomized controlled trials investigating the risk of postoperative infection in association
associated with poorer prognosis112 and lymphocyte count decreased in the early postoperative period99.This with white blood cell-containing allogeneic blood transfusion: the effects of the type of transfused red blood cell product
is hypothesised to be due to the consumption of leukocytes and proliferation of lymphocytes as a subsequence and surgical setting. Transfus Med Rev. 2002;16:304-14.
of the adaptive immune response99,101. Abnormalities in lymphocyte count (reduced T-helper and B-lymphocyte 7. Taniguchi Y, Okura M. Prognostic significance of perioperative blood transfusion in oral cavity squamous cell carcinoma.
numbers) were previously identified in patients with lung cancer101. These changes in lymphocyte subsets Head Neck. 2003;25:931-36.
were also associated with disease progression and the risk of opportunistic infection113. Hai et al studied 433 8. Szakmany T, Dodd M, Dempsey G, et al. The influence of allogenic blood transfusion in patients having free-flap primary
patients after lobectomy for lung cancer and found postoperative elevated monocyte count was an independent surgery for oral and oropharyngeal squamous cell carcinoma. Br J Cancer. 2006;94:647.
poor prognostic indicator114. 9. Hellings S, Blajchman MA. Transfusion-related immunosuppression. Anaesthesia & Intensive Care Med. 2009;10:231-4.
10. Gantt CL. Red blood cells for cancer patients. Lancet. 1981;2:363.
Li et al in 2012 did the first study using LMR as a prognostic marker in patients with diffuse large B-cell 11. Vamvakas EC, Blajchman MA. Deleterious clinical effects of transfusion-associated immunomodulation: fact or fiction?
lymphoma undergoing chemotherapy. They confirmed baseline LMR, as surrogate biomarker of the immune Blood. 2001;97:1180-95.
microenvironment and as a prognostic factor115. Porrata et al in 2012 similarly found LMR at the time of 12. Vamvakas EC, Blajchman MA. Transfusion-related immunomodulation (TRIM): an update. Blood Rev. 2007;21:327-48.
diagnosis, was an independent prognostic indicator for survival in patients with Hodgkin’s lymphoma116. 13. Australian Red Cross Blood Service (ARCBS). Transfusion-related immune modulation (TRIM). [Internet]. ARCBS; 4 April
In 2014 Temraz et al published a retrospective analysis where, a small group (n=68) with transitional cell 2017. Available from: https://transfusion.com.au/adverse_transfusion_reactions/trim.
carcinoma of the bladder were included. This group found that an elevated preoperative LMR was associated 14. Chan JC, Chan DL, Diakos CI, et al. The lymphocyte-to-monocyte ratio is a superior predictor of overall survival in
with a longer time to treatment for recurrence and overall survival compared to those with a lower preoperative comparison to established biomarkers of resectable colorectal cancer. Ann Surg. 2017;265:539-46.
LMR117. Preoperative LMR predicts clinical outcome in patients with stage III colon cancer undergoing curative 15. Yuan C, Li N, Mao X, Liu Z, Ou W, Wang S. Elevated pretreatment neutrophil/white blood cell ratio and monocyte/
resection118. In a landmark study by Chan et al in 2017 a low LMR (<2.85 cut off point) was a significant lymphocyte ratio predict poor survival in patients with curatively resected non-small cell lung cancer: Results from a large
cohort. Thorac Cancer. 2017;8:350-8.
predictor of poorer outcome in a combined series of prognostic indicators associated with older age, higher
16. Blajchman MA. Immunomodulation and blood transfusion. Am J Ther. 2002;9:389-95.
tumor and lymph node grading and reduced overall survival14. Furthermore, these authors found LMR was
17. Osborn MT, Tracy KJ, Dunne RJ, Pasquale MM, Napolitano ML. Epidemiology of sepsis in patients with traumatic injury.
a superior prognostic marker compared to previously studied NLR and PLR to predict overall survival after Crit Care Med. 2004;32:2234-40.
18. Barrett K, Brooks H, Boitano S, Barman S. Gangong's review of medical physiology. 21st ed. San Francisco: Large 51. Laudanski K, Qing M, Oszkiel H, et al. Ketamine affects in vitro differentiation of monocyte into immature dendritic cells.
Medical Books, McGraw-Hill; 2003. p. 194-518. Anesthesiology 2015;123:628-41.
19. McCance KL, Huether SE. Pathophysiology: the biologic basis for disease in adults and children. 5th ed. St Louis: 52. Braun S, Gaza N, Werdehausen R, et al. Ketamine induces apoptosis via the mitochondrial pathway in human lymphocytes
Elcevier Mosby; 2006. p. 921. and neuronal cells. Br J Anaesth. 2010;105:347-54.
20. Kasper DL, Harrison TR. Harrison’s principles of internal medicine. New York: McGraw-Hill; 2005. 53. Hou M, Zhou N-B, Li H, et al. Morphine and ketamine inhibit immune function of gastric cancer patients by increasing
21. Steinman RM. Decisions about dendritic cells: past, present, and future. Annu Rev Immunol. 2012;30:1-22. percentage of CD4(+)CD25(+)Foxp3(+) regulatory T cells in vitro. J Surg Res. 2016;203:306-12.
22. British Society for Immunology. Dendritic cells. [Internet]. University of Southampton Faculty of Medicine, UK; 2019. 54. Zhou N, Fu Z, Li H, Wang K. Ketamine, as adjuvant analgesics for patients with refractory cancer pain, does affect IL-2/
Available from: https://www.immunology.org/public-information/bitesized-immunology/cells/dendritic-cells. Accessed IFN-γ expression of T cells in vitro?: a prospective, randomized, double-blind study. Medicine. 2017;96:e6639.
7 April 2019. 55. Gray A, Marrero-Berrios I, Weinberg J, et al. The effect of local anesthetic on pro-inflammatory macrophage modulation by
23. Cheong C, Matos I, Choi J-H, et al. Microbial Stimulation Fully Differentiates Monocytes to DC-SIGN/CD209 + Dendritic mesenchymal stromal cells. Int Immunopharmacol. 2016;33:48-54.
Cells for Immune T Cell Areas. Cell. 2010;143:416-29. 56. Wickstrom K, Stavreus-Evers A, Vercauteren O, Olovsson M, Edelstam G. Effect of Lignocaine on IL-6, IL-8, and MCP-1
24. Eissmann P. Natural killer cells. [Internet]. British Society for Immunology, Imperial College; 2019. Available from: in peritoneal macrophages and endometriotic stromal cells. Reprod Sci. 2017;24:382-92.
https://www.immunology.org/public-information/bitesized-immunology/cells/natural-killer-cells. Accessed 7 April 2019. 57. Cho JS, Lee MH, Kim SI, et al. The effects of perioperative anesthesia and analgesia on immune function in patients
25. Tillinger W, Jilch R, Waldhoer T, Reinisch W, Junger W. Monocyte human leukocyte antigen–DR Expression – a tool to undergoing breast cancer resection: a prospective randomized study. Int J Med Sci. 2017;14:970-6.
distinguish intestinal bacterial infections from inflammatory bowel disease? Shock. 2013;40:89. 58. Hyejin J, Mei L, Seongheon L, et al. Remifentanil attenuates human neutrophils activation induced by lipopolysaccharide.
26. Roquilly A, Josien R, Asehnoune K. Midazolam impairs immune functions: it’s time to take care of dendritic cells. Immunopharmacol Immunotoxicol. 2013;35:264-71.
Anesthesiology. 2011;114:237-8. 59. Inagi T, Suzuki M, Osumi M, Bito H. Remifentanil-based anaesthesia increases the incidence of postoperative surgical site
27. Ditschkowski NM, Kreuzfelder FE, Rebmann FV, et al. HLA-DR Expression and Soluble HLA-DR levels in septic patients infection. J Hosp Intect. 2015;89:61-8.
after trauma. Ann Surg. 1999;229:246-54. 60. Xu Q, Shi NJ, Zhang H, Zhu YM. Effects of combined general-epidural anesthesia and total intravenous anesthesia
28. Walsh DS, Thavichaigarn P, Pattanapanyasat K, et al. Characterization of circulating monocytes expressing HLA-DR or on cellular immunity and prognosis in patients with nonsmall cell lung cancer: a comparative study. Mol Med Rep.
CD71 and related soluble factors for 2 weeks after severe, non-thermal injury. J Surg Res. 2005;129:221-30. 2017;16:4445-54.
29. Haveman JW, van den Berg AP, Verhoeven ELG, et al. HLA-DR expression on monocytes and systemic inflammation in 61. Weingarten TN, Taccolini AM, Ahle ST, et al. Perioperative management and oncological outcomes following radical
patients with ruptured abdominal aortic aneurysms. Crit Care. 2006;10:R119. cystectomy for bladder cancer: a matched retrospective cohort study. Can J Anaesth. 2016;63:584-95.
30. Cardinale F, Mastrototaro MF, Cappiello A, et al. Immunological modifications induced from products used during the 62. Call TR, Pace NL, Thorup DB, et al. Factors associated with improved survival after resection of pancreatic
perioperative period. Int J Immunopathol Pharmacol. 2011;24:S13-20. adenocarcinoma: a multivariable model. Anesthesiology. 2015;122:317-24.
31. Torrance HD, Pearse RM, O'Dwyer MJ. Does major surgery induce immune suppression and increase the risk of 63. Kurz A, Fleischmann E, Sessler DI, Buggy DJ, Apfel C, Akca O. Effects of supplemental oxygen and dexamethasone on
postoperative infection? Curr Opin Anaesthesiol. 2016;29:376-83. surgical site infection: a factorial randomized trial ‡. Br J Anaesth. 2015;115:434-43.
32. Chernecky CC, Berger BJ. Laboratory tests and diagnostic procedures. 6th ed. St. Louis, Mo: Elsevier; 2013. 64. Volk H-D, Reinke P, Falck P, Staffa G, Briedigkeit H, von Baehr R. Diagnostic value of an immune monitoring program for
33. Glaser R, Rabin B, Chesney M, Cohen S, Natelson B. Stress-induced immunomodulation: implications for infectious the clinical management of immunosuppressed patients with septic complications. Clin Transplant. 1989;3:246-52.
Ddiseases? JAMA 1999;281:2268-70. 65. Adams DH, Sanchez-Fueyo A, Samuel D. From immunosuppression to tolerance. J Hepatol. 2015;62:S170-85.
34. Kurosawa S. Anesthesia in patients with cancer disorders. Curr Opin Anaesthesiol. 2012;25:376-84. 66. de Ataide EC, Perales SR, Bortoto JB, et al. Immunomodulation, acute renal failure, and complications of basiliximab use
35. Matsota P, Kostopanagiotou G, Kalimeris K, et al. Transient effects of anesthesia on leukocyte apoptosis and monocyte after liver transplantation: analysis of 114 patients and literature review. Transplant Proc. 2017;49:852-57.
cytokine stimulation: a clinical study. Immunol Invest. 2018;47:327-34. 67. Ruh C, Banjade R, Mandadi S, Marr C, Sumon Z, Crane JK. Immunomodulatory effects of antimicrobial drugs. Immunol
36. Ahlers O, Nachtigall I, Lenze J, et al. Intraoperative thoracic epidural anaesthesia attenuates stress-induced Invest. 2017;46:847-63.
immunosuppression in patients undergoing major abdominal surgery. Br J Anaesth. 2008;101:781-7. 68. Kim OY, Monsel A, Bertrand M, Coriat P, Cavaillon J-M, Adib-Conquy M. Differential down-regulation of HLA-DR on
37. Papadima A, Boutsikou M, Lagoudianakis EE, et al. Lymphocyte apoptosis after major abdominal surgery is not influenced monocyte subpopulations during systemic inflammation. Crit Care. 2010;14:R61.
by anesthetic technique: a comparative study of general anesthesia versus combined general and epidural analgesia. J 69. Allen LM, Hoschtitzky AJ, Peters JM, et al. Interleukin-10 and its role in clinical immunoparalysis following pediatric cardiac
Clin Anesth. 2009;21:414-21. surgery. Crit Care Med. 2006;34:2658-65.
38. Kun L, Tang L, Wang J, Yang H, Ren J. Effect of combined general/epidural anesthesia on postoperative NK cell activity 70. Kawasaki T, Ogata M, Kawasaki C, Okamoto K, Sata T. Effects of epidural anaesthesia on surgical stress-induced
and cytokine response in gastric cancer patients undergoing radical resection. Hepato gastroenterology. 2014;61:1142-7. immunosuppression during upper abdominal surgery. Br J Anaesth. 2007;98:196-203.
39. Li JM, Shao JL, Zeng WJ, Liang RB. General/epidural anesthesia in combination preserves NK cell activity and affects 71. Marie C, Muret J, Fitting C, Losser M-R, Payen D, Cavaillon J-M. Reduced ex vivo interleukin-8 production by neutrophils
cytokine response in cervical carcinoma patients undergoing radical resection: a cohort prospective study. Eur J Gynaecol in septic and nonseptic systemic inflammatory response syndrome. Blood. 1998;91:3439-46.
Oncol. 2015;36:703-7. 72. Hensler T, Heidecke CD, Hecker H, et al. Increased susceptibility to postoperative sepsis in patients with impaired
40. Torrance HD, Pearse RM, O’Dwyer MJ. Does major surgery induce immune suppression and increase the risk of monocyte IL-12 production. J Immunol. 1998;161:2655-9.
postoperative infection? Curr Opin Anaesthesiol. 2016;29:376-83. 73. Majetschak M, Flach R, Kreuzfelder E, et al. The extent of traumatic damage determines a graded depression of the
41. Exadaktylos AK, Buggy DJ, Moriarty DC, Mascha E, Sessler DI. Can anesthetic technique for primary breast cancer endotoxin responsiveness of peripheral blood mononuclear cells from patients with blunt injuries. Crit Care Med.
surgery affect recurrence or metastasis? Anesthesiology. 2006;105:660-4. 1999;27:313-8.
42. Biki B, Mascha E, Moriarty DC, Fitzpatrick J, Sessler DI, Buggy D. Anesthetic technique for radical prostatectomy surgery 74. Gaudillière B, Fragiadakis GK, Bruggner RV, et al. Clinical recovery from surgery correlates with single-cell immune
affects cancer recurrence - A retrospective analysis. Anesthesiology. 2008;109:180-7. signatures. Sci Transl Med. 2014;6:255ra131.
43. Matsuoka H, Kurosawa S, Horinouchi T, Kato M, Hashimoto Y. Inhalation anesthetics induce apoptosis in normal 75. Leelanukrom R. Anaesthetic considerations of the HIV-infected patients. Curr Opin Anaesthesiol. 2009;22:412-8.
peripheral lymphocytes in vitro. Anesthesiology. 2001;95:1467-72. 76. Mudido PM, Georges D, Dorazio D, et al. Human immunodeficiency virus type 1 activation after blood transfusion.
44. Jia L, Dong R, Zhang F, et al. Propofol provides more effective protection for circulating lymphocytes than sevoflurane in Transfusion. 1996;36:860-65.
patients undergoing off-pump coronary artery bypass graft surgery. J Cardiothorac Vasc Anesth. 2015;29:1172-9. 77. Sloand E, Kumar P, Klein HG, Merritt S, Sacher R. Transfusion of blood components to persons infected with human
45. Liu S, Wang B, Li S, et al. Immune cell populations decrease during craniotomy under general anesthesia. Anesth Analg. immunodeficiency virus type 1: relationship to opportunistic infection. Transfusion. 1994;34:48-53.
2011;113:572-7. 78. De Marie S. Diseases and drug-related interventions affecting host defence. Eur J Clin Microbiol Infect Dis. 1993;12:S36-41.
46. Kosel J, Rusak M, Golembiewski L, Dabrowska M, Siemiatkowski A. Total knee replacement induces peripheral 79. Kato S, Chmielewski M, Honda H, et al. Aspects of immune dysfunction in end-stage renal disease. Clin J Am Soc
blood lymphocytes apoptosis and it is not prevented by regional anesthesia - a randomized study. Braz J Anesthesiol. Nephrol. 2008;3(5):1526-33.
2016;66:133-9. 80. Sandeep M, Urmila M. A comprehensive review of immunosuppression used for liver transplantation. J Transplant.
47. Heine J, Jaeger K, Osthaus A, et al. Anaesthesia with propofol decreases FMLP-induced neutrophil respiratory burst but 2009;2009:701464.
not phagocytosis compared with isoflurane. Br J Anaesth. 2000;85:424-30. 81. Mynster T. Effects of red cell storage and lysis on in vitro cytokine release. Transfus Apher Sci. 2001;25:17-23.
48. Braz MG, Braz LG, Mazoti MA, et al. Lower levels of oxidative DNA damage and apoptosis in lymphocytes from patients 82. Bochicchio GV, Napolitano L, Joshi M, et al. Blood product transfusion and ventilator-associated pneumonia in trauma
undergoing surgery with propofol anesthesia. Environ Mol Mutagen. 2012;53:70-7. patients. Surg Infect. 2008;9:415.
49. Hsing CH, Chen CL, Lin WC, Lin CF. Propofol treatment inhibits constitutive apoptosis in human primary neutrophils and 83. Shorr AF, Jackson WL, Kelly KM, Fu M, Kollef MH. Transfusion practice and blood stream infections in critically ill patients.
granulocyte-differentiated human HL60 cells. PloS One. 2015;10:e0129693. Chest. 2005;127:1722-8.
50. Woo JH, Baik HJ, Kim CH, et al. Effect of propofol and desflurane on immune cell populations in breast cancer patients: a 84. White M, Barron J, Gornbein J, Lin JA. Are red blood cell transfusions associated with nosocomial infections in pediatric
randomized trial. J Korean Med Sci. 2015;30:1503-8. intensive care units? Pediatr Crit Care Med. 2010;11:464-8.
85. Taylor WR, O’brien JJ, Trottier FS, et al. Red blood cell transfusions and nosocomial infections in critically ill patients. Crit 117. Temraz S, Mukherji D, Farhat ZA, et al. Preoperative lymphocyte-to-monocyte ratio predicts clinical outcome in patients
Care Med. 2006;34:2302-8. undergoing radical cystectomy for transitional cell carcinoma of the bladder: a retrospective analysis. BMC Urol.
86. Sadjadi J, Cureton EL, Twomey P, Victorino GP. Transfusion, not just injury severity, leads to posttrauma infection: a 2014;14:76.
matched cohort study. Am Surg. 2009;75:307. 118. Stotz M, Pichler M, Absenger G, et al. The preoperative lymphocyte to monocyte ratio predicts clinical outcome in
87. Duffy G, Neal K. Differences in post-operative infection rates between patients receiving autologous and allogeneic blood patients with stage III colon cancer. Br J Cancer. 2013;110:435.
transfusion: a meta-analysis of published randomized and nonrandomized studies. Transfus Med. 1996;6:325-28. 119. Szkandera J, Gerger A, Liegl-Atzwanger B, et al. The lymphocyte/monocyte ratio predicts poor clinical outcome and
88. Muszynski J, Nateri J, Nicol K, Greathouse K, Hanson L, Hall M. Immunosuppressive effects of red blood cells on improves the predictive accuracy in patients with soft tissue sarcomas. Int J Cancer. 2014;135:362-70.
monocytes are related to both storage time and storage solution. Transfusion. 2012;52:794-802. 120. Sierzega M, Lenart M, Rutkowska M, et al. Preoperative neutrophil-lymphocyte and lymphocyte-monocyte ratios reflect
89. Biedler EA, Schneider OS, Seyfert OU, et al. Impact of alloantigens and storage-associated factors on stimulated cytokine immune cell population rearrangement in resectable pancreatic cancer. Ann Surg Oncol. 2017;24:808-15.
response in an in vitro model of blood transfusion. Anesthesiology. 2002;97:11029. 121. Wang SJ, Chen BH, Wang P, Liu CS, Yu JM, Ma XX. The effect of percutaneous endoscopic lumbar discectomy under
90. Bianchi M, Manfredi A. High-mobility group box 1 (HMGB1) protein at the crossroads between innate and adaptive different anesthesia on pain and immunity of patients with prolapse of lumbar intervertebral disc. Eur Rev Med Pharmacol
immunity. Immunol Rev. 2007;220:35-46. Sci. 2017;21:2793-9.
91. Wakefield CH, Carey PD, Foulds S, Monson JRT, Guillou PJ. Changes in major histocompatibility complex class II 122. Naess A, Nilssen S, Mo R, Eide G, Sjursen H. Role of neutrophil to lymphocyte and monocyte to lymphocyte ratios in the
expression in monocytes and T cells of patients developing infection after surgery. Br J Surg. 1993;80:205-9. diagnosis of bacterial infection in patients with fever. Infection. 2017;45:299-307.
92. Munford RS, Pugin J. Normal responses to injury prevent systemic inflammation and can be immunosuppressive.
Am J Respir Crit Care Med. 2001;163:316-21.
93. Doughty L, Carcillo JA, Kaplan S, Janosky J. The compensatory anti-inflammatory cytokine interleukin 10 response in
pediatric sepsis-induced multiple organ failure. Chest. 1998;113:1625-31.
94. de Waal Malefyt R, Abrams J, Bennett B, Figdor CG, De Vries JE. Interleukin 10 (IL-10) inhibits cytokine synthesis by
human monocytes: an autoregulatory role of IL-10 produced by monocytes. J Exp Med. 1991;174:1209-20.
95. Munoz C, Carlet J, Fitting C, Misset B, Bleriot JP, Cavaillon J. Dysregulation of invitro cytokine production by monocytes
during sepsis. J Clin Invest. 1991;88:1747-54.
96. Hensler T, Heidecke CD, Hecker H, et al. Increased susceptibility to postoperative sepsis in patients with impaired
monocyte IL-12 production. J Immunol. 1998;161:2655-9.
97. Arozullah AM, Khuri SF, Henderson WG, Daley J. Development and validation of a multifactorial risk index for predicting
postoperative pneumonia after major noncardiac surgery. Ann Intern Med. 2001;135:847-57.
98. Jamme M, Daviaud F, Charpentier J, et al. Time course of septic shock in immunocompromised and
nonimmunocompromised patients. Crit Care Med. 2017;45:2031-9.
99. Isitmangil G, Isitmangil T, Balkanli K, Cerrahoglu K, Kunter E. Detection of thoracotomy-induced alterations in cell- and
humoral-mediated immune response. Eur J Cardiothorac Surg. 2002;21:497-501.
100. O'sullivan TS, Lederer AJ, Horgan FA, Chin HLD, Mannick AJ, Rodrick LM. Major injury leads to predominance of the
T helper-2 lymphocyte phenotype and diminished interleukin-12 production associated with decreased resistance to
infection. Ann Surg. 1995;222:482-92.
101. Kim J-O, Kim S-Y. Changes of peripheral T lymphocyte subsets following treatment in patients with bronchogenic
carcinoma. Korean J Intern Med. 1989;4:101.
102. Watanabe A, Kusajimi K, Kawaharada N, et al. Changes of immunity in the patients undergoing surgery for esophageal
cancer. Nihon Kyobu Geka Gakkai Zasshi. 1992;40:490-1.
103. Galdiero MR, Bonavita E, Barajon I, Garlanda C, Mantovani A, Jaillon S. Tumor associated macrophages and neutrophils
in cancer. Immunobiology. 2013;218:1402-10.
104. Cabié A, Fitting C, Farkas J-C, et al. Influence of surgery on in-vitro cytokine production by human monocytes. Cytokine.
1992;4:576-80.
105. Skrupky LP, Kerby PW, Hotchkiss RS. Advances in the management of sepsis and the understanding of key immunologic
defects. Anesthesiology. 2011;115:1349-62.
106. Ertel W, Kremer JP, Kenney J, et al. Down-regulation of proinflammatory cytokine release in whole-blood from septic
patients. Blood. 1995;85:1341-7.
107. Ploder JM, Pelinka JL, Schmuckenschlager JC, et al. Lipopolysaccharide-induced tumor necrosis factor α production
and not monocyte human leukocyte antigen-dr expression is correlated with survival in septic trauma patients. Shock.
2006;25:129-34.
108. Roxburgh CS, McMillan DC. The role of the in situ local inflammatory response in predicting recurrence and survival in
patients with primary operable colorectal cancer. Cancer Treat Rev. 2012;38:451-66.
109. Pichler M, Hutterer GC, Stoeckigt C, et al. Validation of the pre-treatment neutrophil–lymphocyte ratio as a prognostic
factor in a large European cohort of renal cell carcinoma patients. Br J Cancer. 2013;108:901.
110. Hutterer GC, Stoeckigt C, Stojakovic T, et al. Low preoperative lymphocyte-monocyte ratio (LMR) represents a
potentially poor prognostic factor in nonmetastatic clear cell renal cell carcinoma. Urol Oncol. 2014;32:1041-8.
111. Roberts H, Donohoe W, Hewitt S, Evans DP. Total T lymphocytes in primary bronchial carcinoma. Thorax. 1977;32:84-7.
112. Kim JO, Kim SY. Changes of peripheral T lymphocyte subsets following treatment in patients with bronchogenic
carcinoma. Korean J Intern Med. 1989;4:101-7.
113. Wesselius LJ, Wheaton DL, Manahan-Wahl LJ, Sherard SL, Taylor SA, Abdou NA. Lymphocyte subsets in lung cancer.
Chest. 1987;91:725-9.
114. Hai Y, Chen N, Wu W, et al. High postoperative monocyte indicates inferior Clinicopathological characteristics and worse
prognosis in lung adenocarcinoma or squamous cell carcinoma after lobectomy. BMC Cancer. 2018;18.
115. Li ZM, Huang JJ, Xia Y, et al. Blood lymphocyte-to-monocyte ratio identifies high-risk patients in diffuse large b-cell
lymphoma treated with R-CHOP. PloS One. 2012;7:e41658.
116. Porrata L, Ristow K, Colgan JP, et al. Peripheral blood lymphocyte/monocyte ratio at diagnosis and survival in classical
Hodgkin’s lymphoma. Haematologica. 2012;97:262-9.
Ob/Gyn
Role of simulation in obstetric
anaesthesia training
Rebecca A Szabo, Kara Allen,
Olivia J Millay
Role of simulation in obstetric anaesthesia training 279
Role of simulation in obstetric anaesthesia training

Rebecca A Szabo MBBS (Hons) FRANZCOG MClinEd (Hons) GCH (Hons) Spec Cert Clin Research (Onc)
Rebecca is an obstetrician and gynaecologist and medical educator working at the Royal Women’s Hospital,
Melbourne and a Senior Lecturer at the University of Melbourne in the Departments of Obstetrics and
Gynaecology and Medical Education. Her Master of Clinical Education research thesis explored “How to
embed a simulation-based education program in a teaching hospita”’. She is the Clinical Lead for Women’s
Health Education and Simulation at the Royal Women’s Hospital. She is a Director of the Board of AMaRE/
ALSO Asia-Pacific which has overseen Advanced Life Support in Obstetrics (ALSO) for almost 20 years
in Australia, New Zealand and Asia-Pacific. She is an instructor of the ALSO, BABE and PIMS simulation
maternity safety courses and is a member of the RANZCOG Simulation and Training Advisory Group (STAG).
Kara Allen MBBS (Hons) BMedSci (Hons) GCCS PGCCU FANZCA

Kara works clinically as an anaesthetist at the Royal Melbourne Hospital and has appointments at the University
of Melbourne and St Vincent’s Hospital Melbourne. She has expertise in simulation-based medical education
having worked in the field for a number of years including as the Medical Lead of Monash Simulation. Kara
is a Supervisor of Training, an ANZCA Educator Program Lead facilitator and a member of several ANZCA
committees relating to education and training. She co-convenes the CRASH Course, STAR Course and is an
EMAC and ALS instructor and is currently completing her Masters of Clinical Education. She is on the expert
advisory group and faculty development committee for the Women’s Simulation Education Service at The Royal
Women’s Hospital.
Olivia J Millay BioMed Sci (Hons) MBBS MMed (Pain Mgt) FANZCA
Olivia works as an anaesthetist at the Royal Women’s Hospital, Melbourne and Department of Anaesthesia
and Perioperative Medicine, at The Alfred hospital, Melbourne. Olivia is a Supervisor of Training (ANZCA) at
the Royal Women’s Hospital. Her Master of Medicine in Pain Management explored the complex issue of
pain in the community and the important role health professionals play. Her clinical interests include high-risk
obstetrics, reproductive services and gynaecological oncology surgery. Olivia has roles in ANZCA, the ASA
and NZSA as a member of the Executive Committee of the Obstetric Anaesthesia Special Interest Group, the
Victorian Anaesthetic Training Committee and the ASA Pregnancy and Returning to Work Working Group. She
is a passionate advocate for doctors’ health and welfare and trainee mentorship.
INTRODUCTION
Medical education has traditionally used the teaching approach of the Halstead “apprenticeship model”. This
1921 model of “see one, do one, teach one” was primarily focussed on transfer of skills, aimed at individual
groups of providers such that nurses only learned with nurses and doctors only learned with doctors.
Apprenticeship relies on the relationship of the trainee and supervisor as well as an adequate number of cases
and hours of training. Present-day issues around hours, reduced number of particular cases as well as evolving
modern best practice evidence-based teaching methods have led to healthcare and clinical educators moving
away from solely relying on this “apprenticeship model”.
Clinical education experts recognise that training is not purely about individual staff knowledge and skills.
Best practice encompasses communication and multidisciplinary team training to foster a culture of teamwork
and excellence resulting in safe, high-quality care. Education globally is now challenging the traditional
apprenticeship model with simulation emerging as a safer and more effective methodology for training of
healthcare professionals in skills, communication and teamwork. This article provides an overview of current
best practice simulation-based education (SBE) and the arguments for incorporating SBE into obstetric
anaesthesia training and supervision.
What is clinical simulation?
Simulation is defined as the most accurate possible representation of a situation and is “a technique to replace
or amplify real experiences with guided experiences that evoke or replicate substantial aspects of the real world
in a fully interactive manner1”. Simulation has long been used in high-risk industries like the airline industry,
space exploration, defence forces and the nuclear industry. Would you get on an airplane if you knew the pilot,
crew and staff had not spent time in dealing with high-risk situations in a simulated setting? Simulation in
healthcare, which is both complex and complicated, is much the same.
In a simulation, real patients are not involved so that practice and learning take place without any risk to
patients. SBE is any educational activity that utilises simulation to replicate clinical scenarios to achieve
educational goals through experiential learning1,2. SBE is one educational method or tool among many and
while highly useful it should be part of a broader educational “toolbox”.
280 Australasian Anaesthesia 2019 – Ob/Gyn Role of simulation in obstetric anaesthesia training 281
SBE can take many forms and can be categorised according to the degree of clinical realism or fidelity. • Practice of both skills and behaviours within actual care delivery teams, to eliminate silos, improve the
quality of communication, and decrease errors without impact on patient safety. This can apply to multiple
High-fidelity simulation (HFS) uses “full scale computerised patient simulators, virtual reality or standardised
simultaneous emergencies which can often occur in a busy hospital.
patients that are extremely realistic and provide a high level of interactivity and realism for the learner”3-5.
• A unique opportunity to evaluate new devices, larger systems and processes, as well as how an individual
Medium-fidelity simulation (MFS) uses “manikins or task trainers that offer breath sounds, heart sounds, bowel performs within the system. Particularly useful with introduction of robotic surgical devices, EMR.
sound or simulated blood with less of a degree of realism and interactivity”3-6.
Simulation-based education has advantages over opportunistic learning, as clinical events can be scheduled,
Low-fidelity simulation (LFS) is defined as “experiences such as case studies, role-playing, using partial task trainers observed and repeated to consolidate learning. It also facilitates deliberate practice, enhances transfer of
or static mannequins to immerse students or professionals in a clinical situation or practice of a specific skill”3-5. theoretical knowledge to the clinical context and eases transition into the workforce for more junior staff
These traditional categories are also closely linked to the cost of the simulation (high, medium and low-cost or those returning from extended leave10. Healthcare requires a safe functional multidisciplinary team, but
simulation) and the assumption that high-cost simulation equates with high-fidelity simulation. The view inadequate communication can cause errors and inefficiencies in care. Structured information exchanges can
that high cost, high technology models are superior is being challenging by academics in the field who are improve communication, and SBE provides an ideal environment for learning clinical and teamwork skills10,11.
questioning whether fidelity is fundamentally linked to the model or to the ability of participants to suspend Additionally, in situ SBE may reveal system issues under safe circumstances12.
reality and immerse themselves in the simulation. This later situation can be done with fairly simple, low-cost Communication and teamwork deficiencies have been identified as major contributors to poor clinical outcomes
(traditionally low-fidelity) simulation7. in birthing units. In response to these findings, multidisciplinary SBE has been used to focus specifically on
In simulation, there is a clear focus on communication within a team and an individual’s and team’s thinking skills training for teams11.The evidence demonstrates that multidisciplinary and multi-professional SBE team
and clinical reasoning – “learning why someone did or did not do something”. Simulation can be confronting training minimises poor outcomes by focusing on the elusive teamwork skills that cannot be taught in a didactic
to participants as it can uncover both knowledge and performance gaps. This challenges practitioners but setting or to individuals alone. This may also detect latent system errors in existing or new units, to rehearse
the focus is improving performance and incrementing knowledge, often something that can be challenging in complicated procedures (surgical dress rehearsal), and to identify knowledge gaps of maternity teams13.
a busy clinical environment. The key to reduce risks to participants and guarantee participants can securely
immerse themselves in a simulation is to ensure psychological safety at the time. This maximises learning and SIMULATION IN ANAESTHESIA
engagement.
Australian anaesthesia training has established links with simulation over more than two decades. The first
The healthcare workforce often does not have time, and it may not be appropriate, to discuss at the bedside facilities in Australia and New Zealand opened in opened in the mid-1990s. World’s best practice at the time
with each other or explicitly learn. Simulation aims to provide a safe space to both do and reflect or debrief and was replicated by local Australian faculty due to collaboration with the pioneers of SBE in the United States of
teaches participants how to reflect, debrief and talk with each other. Learning from debriefing has significant America at Stanford University and Harvard University’s Center for Medical Simulation.
impact on culture and communication with the focus often being on patient quality of care and safety as well
The affinity for SBE in anaesthesia stems from the familiar aviation analogy, drawing parallels between flying a
as training. It provides a way to learn in a safe environment away from a real patient and to then reflect on what
plane and administering anaesthesia. Many of the Crisis Resource Management (CRM) skills are derived from
has been learned to gain an understanding of systems and human actions and be able to safely manage a
aviation training. Development of debriefing skills for the clinical environment, use of alternative technology and
similar situation should it arise in the future. This is particularly useful for training for rare and uncommon critical
incorporation of evidence-based practice means that SBE in medicine is now very different, compared to 20
incidents such as difficult tracheal intubation in a pregnant woman or profound hypotension due to a gas
years ago.
embolism in a patient undergoing laparoscopy.
Anaesthetists regularly use SBE to educate themselves or others. Using a broad definition of simulation being
SBE scenarios are environment dependent and can involve entire teams working together such as
“replicating real world situations in the absence of patients”, discussions of alternative management in a
anaesthetists, obstetricians, midwives, surgical and anaesthetic nurses, and theatre technicians in a maternity
morbidity and mortality meeting might be considered simulation.
hospital. This allows all members to learn how to work effectively together. Simulation is more than skills
training. It aims to create an open culture and focuses on team-based learning. Learning as a team allows us to Psychomotor tasks
learn as we practice in real life and uncover the issues needed to provide the best care for patients. Simulation The specialty of anaesthesia requires the clinician to undertake a wide range of psychomotor tasks, including
helps participants learn about themselves and others, not just how we do things but why we do or do not do intravenous line insertion, front of neck access (FONA) procedures and ultrasound guided regional anaesthesia
things and how to communicate effectively within a team. All are critical to providing best practice quality safe (UGRA). Many of these involve layering multiple skills, including vigilance and knowledge of physiology and
patient care. pharmacology. There is evidence that SBE improves success of these procedures in patients when taught
“In situ” simulation refers to simulation in the clinical space. This form of simulation has some clear benefits over in simulation (for example, UGRA in novices14) and reduces patient harm (for example, infections in central
a simulation centre or laboratory such as enabling evaluation and troubleshooting of systems in the real clinical lines performed by residents15). For less commonly performed procedures, such as emergency FONA, these
space. The term “translational simulation” has been proposed for this type of simulation8. In situ simulation skills may only ever be performed in simulation, and the purpose of training is to achieve proficiency and aid
facilitates the development and implementation of new systems such as introduction of new equipment or an performance of the task in the real world setting as required16. This is clearly different to performance on a
Electronic Medical Record (EMR) to see how they would perform in real life and iron out any issues before real manikin, and therefore training must incorporate factors other than simple skill performance – the stress and
world implementation. In situ or translational simulation is more than just a teaching tool because it can be used pressure of a clinical environment and strategies to manage this must be practiced. Incorporation of virtual
to test systems and improve the quality and delivery of healthcare in the actual clinical space8. reality to add additional complexity to these skills is an alternative to the immersive simulation experience, in
comparison to practicing skills on a part task training without the performance stress or cognitive load, or the
Advantages of simulation-based education environment in which we practice.
If implemented correctly by using the right tool, right task and right teaching many potential benefits of SBE
Crisis management (“non-technical”) skills
exist9. Broadly these include:
Clear communication and sound clinical decision making in high stakes environments are hallmarks of
• Adequate exposure to key scenarios and skills despite progressive restriction on work hours. Residents and anaesthesia. Principles governing the management of crisis situations including leadership and followership,
registrars within Australia now strictly only work 40 hours per week reducing exposure to clinical scenarios strategies to reduce cognitive load and enhance teamwork were developed and propagated through bespoke
and procedures.A method for teaching clinical decision making and psychomotor skills in a way that courses17 prior to integration into the Effective Management of Anaesthetic Crises (EMAC) course, attendance
promotes reflective learning, in accordance with the principles of adult educational theory, in an environment at which is a requirement of training. 70% of anaesthetists felt that crisis management was improved by
that is safe for both patient and provider. attendance at the course, and nearly 90% would attend a similar course again, demonstrating a need for skills
• Exposure to high-risk, low-frequency, error-prone scenarios that may require specialised training such as training18. These essential skills are measurable and translatable to critical situations, with increasing evidence
anaphylaxis, eclampsia, maternal collapse, amniotic fluid embolism, trauma, trocar or Veress needle injury at of a positive effect on patient outcomes19,20. Essential in SBE is the role of the educators and guidelines are
laparoscopy. published by ANZCA in relation to this. Fundamentally educators need to have context expertise and be able to
provide high quality feedback and debriefing, while holding the basic assumption: that everyone participating is Training requirements
well-trained, intelligent and wants to improve21,22. Training hospitals aim to have a volume of practice completed in obstetrics throughout the four years of training.
Cognitive aids, checklists and teamwork However critical events, as with all emergencies, cannot be planned and often result in infrequently encountered
scenarios for trainees.
Strategies to help anaesthetists manage the rare emergencies, when working with an unfamiliar team, include
checklists, protocols and memory aids23, are ideally designed to produce good patient outcomes and promote The completion of the obstetric specialised study unit (SSU) aims for trainees to be able to provide safe general
teamwork. Simulation provides a testing ground for these aids, as well as identifying common problems that can and regional anaesthesia and labour analgesia for pregnant women35. In addition, the trainees are expected
be addressed with these strategies. Well-designed cognitive aids promote teamwork24 and timely patient care25. to be able to work as part of a multi-disciplinary team to care for pregnant women and participate in neonatal
resuscitation. The work-based assessments (WBAs) that are required for the completion of the SSU assist with
Systems testing and patient safety
achieving these goals. However, there is only one requirement for discussion on an “obstetric emergency or
Simulation will continue to influence medical systems and practice. Features of the work environment which complication”. As there are more than one emergency situation in obstetric anaesthesia the use of simulation for
affect patient safety may be detected and evaluated with simulation, not only clinician skill and behavior but training provides wider exposure to these vital clinical scenarios.
the effects of fatigue, technology, work flow, job sizing and complex systems26. Failure to test systems may
have catastrophic consequences, including avoidable patient harm due to latent safety threats, such as The fellowship examination curriculum requires preparation and knowledge acquisition of emergency obstetric
malfunctioning equipment or poor communication between clinical sites. scenarios. However, direct hands-on clinical exposure, particularly for rare cases such as eclampsia and AFE,
cannot be guaranteed throughout training. For instance, examples of curriculum learning points that could be
Transmission of debriefing skills to clinical environment reinforced and taught with a hands-on approach with the use of simulation is; “Explain the difference in basic
It is easy to believe that the learning and practice change in SBE takes place in the “doing”, in the scenario and advanced life support in the pregnant patient; discuss the management of severe pre-eclampsia and
itself. However, there is clear evidence that the debriefing or feedback on performance has the most significant eclampsia; discuss the management of post-partum haemorrhage and amniotic fluid embolism.”
impact on learning27. The use of simulation in anaesthesia has proven benefits to the professional group
as well as their interaction with other team members including obstetricians, midwives, neonatologists and Simulation of these scenarios not only facilitates clinical experience but also the opportunity to be exposed
nurses. There is evidence for integration at all levels, from novice to expert, in developing and improving to new team dynamics and locations of critical events. When caring for pregnant women anaesthetist often
both technical and management skills, practicing emergency management, finding flaws in our systems and undertake complex anaesthesia procedures in the birthing suite as well as the operating theatre. Care of a
improving our abilities as educators. Given this, and the value of debriefing for formative assessment in the woman on the birthing unit as well as care of an unsedated and anxious pregnant woman in the operating
clinical environment28, all clinicians should seek to develop debriefing skills to provide excellent supervision and theatre undergoing caesarean section surgery may be two new scenarios for ANZCA trainees. These are
education. Thus, debriefing skills apply in the many situations where SBE is used in anaesthesia as well as for two ideal situations suited to simulation as part of trainee orientation prior to or as part of commencement of
debriefing after critical events. obstetric anaesthesia terms.
Role of simulation in obstetric anaesthesia training
OBSTETRIC ANAESTHESIA Regular practical training, using SBE, is a requirement for common emergency scenarios in anaesthesia
throughout both ANZCA anaesthetic training and fellowship. These emergency courses include Advanced Life
Obstetric anaesthesia is a subspecialised area of practice based around a unique patient demographic,
Support (ALS), Can’t Intubate Can’t Oxygenate (CICO) and training for massive haemorrhage and anaphylaxis.
surgical requirements and physiological conditions. Like other areas of anaesthesia, it requires significant
While these emergencies do occur in the pregnant woman, the provision of training in these scenarios is often
teamwork skills however specific to obstetric anaesthesia it involve working with people in both the operating
generic (a non-pregnant adult person). This limits the application to the unique and more complex situations
theatre and birthing units. It is also unique in that it involves consideration of the pregnant woman and also fetal/
and physiology encountered in obstetric anaesthesia. SBE has shown that repeated exposure to a situation
neonatal issues. In addition, surgery frequently occurs in an awake patient undergoing regional anaesthesia with
improves memory of management as well as mastering non-technical skills37. The integration of formal obstetric
no sedation.
anaesthesia SBE programs for ANZCA trainees and fellows particularly in hospitals that provide care for
There is potential for significant mortality and morbidity during pregnancy, and with emergencies in obstetric pregnant women may augment these current programs and ensure they are also applicable to the population
anaesthesia, with high rates of maternal mortality seen worldwide. Fortunately, currently in Australia and New receiving obstetric anaesthesia and analgesia.
Zealand overall pregnancy morbidity is low and mortality in the pregnant population is rare29. The maternal
PRactical Obstetric Multi-Professional Training (PROMPT) program is an example of a maternity safety SBE
mortality rate in Australia in 2016 was 8.5 deaths per 100,000 women giving birth with the commonest reasons
program delivered by and to a multi-professional team. In Australia and New Zealand this is currently licenced to
for death being non-obstetric haemorrhage and suicide29. In the same time period, the maternal mortality rate
Royal Australia and New Zealand College of Obstetricians and Gynaecologists (RANZCOG) and they provide the
in New Zealand was 9.8 deaths per 100,000 women giving birth from similar causes30. The critical events
training and oversight of PROMPT. PROMPT is a hospital-based SBE program originally developed in the United
that occur in obstetric anaesthesia however are often life threatening and require immediate emergency
Kingdom. PROMPT uses simulated common emergency obstetric scenarios to teach multidisciplinary teamwork
management. When these events occur the morbidity and mortality is considerable31.
with the aim of improving clinical management of the deteriorating and at-risk pregnant woman and neonate.
Preeclampsia and eclampsia, amniotic fluid embolism (AFE), the difficult obstetric airway, post-partum
A study evaluating PROMPT implementation in Australian hospitals found a positive change in the early
haemorrhage (PPH) and maternal collapse and the pregnant trauma patient, are all conditions unique to the
recognition and management of postpartum haemorrhage. Participants also reported an increased confidence
pregnant patient. Preeclampsia and PPH are common whereas the other conditions are thankfully rare in
and awareness of obstetric emergency situations38. This corresponds to the outlined benefits of SBE programs
Australia and New Zealand. These are all conditions that anaesthetists may encounter at varying frequencies.
for both clinical and non-technical skills.
These emergency situations are complicated by significant anatomical and physiological changes of pregnancy
with the added considerations of the gravid uterus and fetus. Simulation of emergency scenarios not only allows clinical experience but also the opportunity to be exposed
to new team dynamics with effective communication and locations of critical events. Teamwork is essential for
Preeclampsia is a hypertensive disorder of pregnancy. The condition is a leading cause of maternal morbidity
maternal and neonatal care and simulation is a crucial part in training for obstetric and neonatal emergencies. There
and mortality and complicates 5-8% of pregnancies32. Eclampsia, while uncommon in Australia and New
are therefore a number of new challenges for ANZCA trainees including new clinical environments, clinicians with
Zealand, is a serious and fatal complication of pregnancy. With specific and timely treatment most deaths from
varied professional groups as well as new procedures. In addition, the awake patient undergoing a caesarean
preeclampsia and eclampsia are preventable33. Appropriate management requires knowledge and familiarity
section surgery in the operating theatre with a support person present is frequently a new clinical encounter for
with resuscitation and administration of correct medications, for example, magnesium sulphate is the first line
ANZCA trainees requiring a heightened level of situational awareness and communication skills training.
medication for an eclamptic seizure.
A recent survey of obstetrics and gynaecology trainees and fellows in Australia and New Zealand found access
In addition, pregnancy results in significant systemic and organ-specific changes to accommodate the
to simulators was higher for trainees at tertiary hospitals compared with other hospitals. While simulation
developing fetus, the increased metabolic demand and in preparation for blood loss during childbirth. While
techniques are varied and dependent on a number of factors, most trainees had access to at least one type of
these physiological changes are generally well tolerated, they can contribute to maternal morbidity and mortality
simulation39. To assist with implementing SBE for ANZCA trainees in obstetric anaesthesia a survey of ANZCA
and complicate anaesthetic management34.
trainees’ exposure to obstetric anaesthesia simulation may be informative to understand the current landscape 27. Issenberg SB, McGaghie WC, Petrusa ER, et al. Features and uses of high-fidelity medical simulations that lead to
across Australia and New Zealand. effective learning: a BEME systematic review. Med Teach. 2005;27:10-28.
28. Rudolph JW, Simon R, Raemer DB, et al. Debriefing as formative assessment: closing performance gaps in medical
education. Acad Emerg Med. 2008;15:1010-6.
CONCLUSION 29. Australian Government. Australian Institute of Health and Welfare (AIHW). Maternal deaths in Australia 2016 [Internet].
Canberra:AIHW;2018 Dec. Available from: https://www.aihw.gov.au/reports/mothers-babies/maternal-deaths-in-
Simulation-based education in anaesthesia, particularly in obstetric anaesthesia, is an important component of australia-2016/contents/report. Accessed 28 Jun 2019.
training and quality improvement in the delivery of routine and emergency care. Simulation of both common and 30. Perinatal and Maternal Mortality Review Committee. Twelfth annual report of the Perinatal and Maternal Mortality Review
uncommon scenarios involving the pregnant patient, particularly emergencies, allows for training of the unique Committee [Internet]. Wellington (NZ): Health Quality and Safety Commission New Zealand; 2018 Jun. Available from:
rare, critical and life-threatening cases that occur in this population to be practiced as well as familiarising https://www.hqsc.govt.nz/our-programmes/mrc/pmmrc/publications-and-resources/publication/3391/. Accessed
trainees to new environments. This should ideally be a core part of anaesthesia training and integrated into the 28 Jun 2019.
ANZCA training program. This would ensure that ANZCA trainees and fellows have high-quality evidence- 31. Humphrey MD. Maternal mortality trends in Australia. Med J Aust. 2016;205(8):344-6.
based training, optimise performance in multidisciplinary teams with obstetric, midwifery and neonatal 32. Dennis AT. Management of pre-eclampsia: issues for anaesthetists. Anaesthesia. 2012;67:1009-20.
colleagues and that the benefits of SBE are translated to ongoing best practice and improved clinical outcomes 33. Dennis AT, Chambers E, Serang K. Blood pressure assessment and first-line pharmacological agents in women with
for women and neonates. eclampsia. Int J Obstet Anesth. 2015;24:247-51.
34. Toledano RD. Physiological changes associated with pregnancy. In: Clark V, Van de Velde M, Fernando R, editors. Oxford
textbook of obstetric anaesthesia. Oxford: Oxford University Press;2016. p.31-48.
REFERENCES 35. Australian and New Zealand College of Anaesthetists (ANZCA). ANZCA handbook for training [Internet]. Melbourne:
1. Al-Elq AH. Simulation-based medical teaching and learning. J Family Community Med. 2010;17:35-40. ANZCA; 2018. Available from: http://www.anzca.edu.au/documents/eu-training-handbook-v1-9.pdf. Accessed
10 May 2019.
2. Crofts JF, Winter C, Sowter MC. Practical simulation training for maternity care – where we are and where next. BJOG.
2011;118(Suppl 3):11-6. 36. Australian and New Zealand College of Anaesthetists (ANZCA). Anaesthesia training program curriculum [Internet].
Melbourne: ANZCA; 2018. Available from: http://www.anzca.edu.au/documents/anaesthesia-training-program-curriculum.
3. Larue C, Pepin J, Allard É. Simulation in preparation or substitution for clinical placement: a systematic review of the
pdf. Accessed 10 May 2019.
literature. J Nurs Educ Pract. 2015;5:132.
37. Reader TW. Learning through high-fidelity anaesthetic simulation: the role of episodic memory. BJA. 2011;107:483-7.
4. Lioce L, Meakim CH, Fey MK, et al. Standards of best practice: simulation standard IX: simulation design. Clin Simul Nurs.
2015;11:309-15. 38. Kumar A, Sturrock S, Wallace EM,et al. Evaluation of learning from practical obstetric multi-professional training
and its impact on patient outcomes in Australia using Kirkpatrick’s framework: a mixed methods study. BMJ Open
5. Argani CH, Eichelberger M, Deering S, et al. The case for simulation as part of a comprehensive patient safety program.
2018;8:e017451.
Am J Obstet Gynecol. 2012;206:451-5.
39. Wilson E, Janssens S, Hewett DG, Jolly B, Beckmann M. Simulation training in obstetrics and gynaecology: what’s
6. Ntlokonkulu ZB, Rala NM, Goon DT. Medium-fidelity simulation in clinical readiness: a phenomenological study of student
happening on the frontline? Aust N Z J Obstet Gynaecol. 2016;56:496-502.
midwives concerning teamwork. BMC Nurs. 2018;17:31.
7. Massoth C, Roder H, Ohlenburg H, et al. High-fidelity is not superior to low-fidelity simulation but leads to over confidence
in medical students. BMC Med Edu. 2019;19(1):29.
8. Brazil V. Translational simulation: not ‘where?’ but ‘why?’ A functional view of in situ simulation. Adv Simul (Lond).
2017;2:20.
9. Sudikoff SN, Daniels KI. Introduction: simulation in the perinatal environment. Semin Perinatol. 2011;35:45-6.
10. Weller JM, Nestel D, Marshall SD, et al. Simulation in clinical teaching and learning. Med J Aust. 2012;196(9);594.
11. McGaghie WC, Issenberg SB, Cohen ER, et al. Does simulation-based medical education with deliberate practice
yield better results than traditional clinical education? A meta-analytic comparative review of the evidence. Acad Med.
2011;86:706-11.
12. Preston P, Lopez C, Corbett N. How to integrate findings from simulation exercises to improve obstetrics care in the
institution. Semin Perinatol. 2011;35:84-8.
13. Daniels K, Auguste T. Moving forward in patient safety: multidisciplinary team training. Semin Perinatol. 2013;37:146-50.
14. Niazi AU, Haldipur N, Prasad AG, et al. Ultrasound-guided regional anesthesia performance in the early learning period:
effect of simulation training. Reg Anesth Pain Med. 2012;37:51-4.
15. Barsuk JH, Cohen ER, Potts S, et al. Dissemination of a simulation-based mastery learning intervention reduces central
line-associated bloodstream infections. BMJ Qual Saf. 2014;23:749-56.
16. Wong DT, Prabhu AJ, Coloma M, et al. What is the minimum training required for successful cricothyroidotomy?: a study
in mannequins. Anesthesiology. 2003;98:349-53.
17. Howard SK, Gaba DM, Fish KJ, et al. Anesthesia crisis resource management training: teaching anesthesiologists to
handle critical incidents. Aviat Space Environ Med. 1992;63:763-70.
18. Weller JM, Wilson L, Robinson B. Survey of change in practice following simulation-based training in crisis management.
Anaesthesia 2003;58:471-9. Pub Med 471-3.
19. Fletcher G, Flin R, McGeorge P, et al. Anaesthetists’ Non-Technical Skills (ANTS): evaluation of a behavioural marker
system. Br J Anaesth. 2003;90:580-8.
20. Fletcher GC, McGeorge P, Flin RH, et al. The role of non-technical skills in anaesthesia: a review of current literature. Br J
Anaesth. 2002;88:418-29.
21. Peterson DT, Watts PI, Epps CA, et al. Simulation faculty development: a tiered approach. Simul Healthc. 2017;12:254-9.
22. Motola I, Devine LA, Chung HS et al. Simulation in healthcare education: a best evidence practical guide. AMEE Guide
No. 82. Med Teach. 2013;35(10):e1511-30.
23. Marshall S. The use of cognitive aids during emergencies in anesthesia: a review of the literature. Anaesth Analg.
2013;117:1162-71.
24. Marshall SD, Sanderson P, McIntosh CA, et al. The effect of two cognitive aid designs on team functioning during intra-
operative anaphylaxis emergencies: a multi-centre simulation study. Anaesthesia. 2016;71:389-404.
25. Marshall SD, Mehra R. The effects of a displayed cognitive aid on non-technical skills in a simulated ‘can’t intubate, can’t
oxygenate’ crisis. Anaesthesia. 2014;69:669-77.
26. LeBlanc VR, Manser T, Weinger MB, et al. The study of factors affecting human and systems performance in healthcare
using simulation. Simul Healthc. 2011;6:S24-9.
Assessment
Prehabilitation
Diyana Ishak, Prabir Patel
Reifying race in medicine

Alan McLintic
Prehabilitation 289
Prehabilitation
Diyana Ishak MBBS, MMed (Periop)
Research and Regional Fellow, Department of Anaesthesia and Pain Medicine, Royal Perth Hospital.
Dr Ishak is a provisional fellow with a special interest in perioperative medicine. She is completing further
postgraduate qualifications in ultrasound and perioperative medicine. Her other interests include medical
education, trainee welfare and good fried chicken.
Prabir Patel MBBS, BSc, MRCP, FRCA, FFICM, FANZCA

Consultant Anaesthetist, Department of Anaesthesia and Pain Medicine, Royal Perth Hospital.
Dr Patel completed specialist training in both anaesthesia and intensive care medicine in the UK before
pursuing fellowships in perioperative medicine, difficult airway management, simulation and echocardiography.
He maintains an interest in these areas at Royal Perth Hospital.
INTRODUCTION
Despite advances in surgical and anaesthetic practice, morbidity after major surgery remains a major public
health issue. Elderly, frail, medically complex patients increasingly present for major surgery. Patients that could
be identified as “high risk” at the time of surgery have been shown to account for 80% of deaths following
elective surgery1. Morbidity is far more common, and complications in the early postoperative period have been
shown to influence long-term survival2. Preoperative assessment traditionally places emphasis on detection and
optimisation of existing organ pathology, ischaemic heart disease and chronic obstructive pulmonary disease,
for example. There is evidence that major surgery can be associated with detrimental physiological changes that
impact quality of life as long as 5 years after initial surgery3. Even in the absence of any complications, major
surgery alone is associated with a 40% reduction in physiological and functional capacity4. Reducing both
morbidity and functional impairment associated with surgery is therefore of paramount importance in improving
longer term outcomes and reducing health care costs.
There has long been a focus on interventions in the intraoperative and postoperative period to improve
outcomes following surgery. Such interventions may come too late in some patients once the surgical insult
has occurred, and can be affected by barriers such as pain, fatigue and emotional responses to surgery. The
preoperative period presents an appropriate time for physiological optimisation. Actively engaging the patient
early in the preparation process not only allows for better education and understanding of the issues in the
surgical journey, but it also gives the patient greater control in altering their physical and psychological status to
improve overall wellbeing. There is a growing body of work showing promise in the impact of “prehabilitation”
on postoperative function and clinical outcomes.
THE BASIS FOR PREHABILITATION

Prehabilitation is the practice of enhancing a patient’s functional and physiological capacity before surgery. The
aim is to improve tolerance to the anticipated physiological stress, thereby improving postsurgical outcomes.
Surgery and hospitalisation are major physiological stressors that can cause significant deconditioning.
The stress response is a neuroendocrine, metabolic and immune response leading to increased oxygen
consumption and a catabolic state characterised by protein breakdown and negative nitrogen balance5. Tissue
injury results in the release of inflammatory markers and the acute phase response. The magnitude and duration
of this response is proportional to the extent of the surgical injury and the development of complications. Bed
rest and inactivity lead to muscle atrophy and weakness, changes in pulmonary function and decline in aerobic
capacity5,6. Cardiac deconditioning further compounds this by producing a reduction in V̇̇O2 max, stroke volume
and cardiac output4.
All these effects are more pronounced in the frail, elderly and multi-morbid patients, who are therefore
predisposed to postoperative complications and may be candidates for prehabilitation. Physical training aims
to increase cardiac output, arteriovenous oxygen difference and V̇̇O2 max7. Skeletal muscle exercise leads to
increased mitochondrial content and oxygen uptake capacity. The result is an overall improved functional reserve
capacity and the ability to meet increased metabolic demands. This would theoretically result in a quicker return to
an acceptable minimal level of functional independence after surgery as evidenced by Figure 17.
290 Australasian Anaesthesia 2019 – Assessment Prehabilitation 291
Figure 1. Both prehabilitated and non-prehabilitated groups experience a functional decline Behavioural and lifestyle interventions
postoperatively, but it takes longer for the non-prehabilitated group to reach an independent Major surgery can be a significant life event and may therefore be a trigger for behavioural change. The
minimal functional capacity threshold compared to the prehabilitation group. preoperative period may therefore represent a “teachable moment” comprising of a motivated patient amenable
to change and active engagement with healthcare professionals, encouraging healthy behaviours that may have
an effect well beyond surgery. Intervention during this period may have a marked impact on public health and
associated health care expenditure, and is an area for future research.
A wide range of co-morbidities is associated with obesity. Metabolic syndrome is often seen, where insulin
Functional capacity
resistance is associated with low glucose tolerance, dyslipidaemia, hypertension and central obesity. The
No Prehabilitation effects of poor glycaemic control on postoperative outcomes are well known. Obstructive sleep apnoea
is common and increases the risk of postoperative respiratory complications. As such, weight reduction
Prehabilitation strategies should ideally be implemented. This includes dietary modification and exercise programs. The use of
pharmacological appetite suppressants, lipid absorption modifiers and bariatric surgery is as yet inconclusive
Minimal Functional Capacity
and unproven14.
Smoking is a well-known independent risk factor of postoperative surgical complications17,18. Multiple
pathophysiological mechanisms result in an increased risk of pulmonary complications such as unplanned
intubation, postoperative mechanical ventilation and pneumonia; cardiovascular morbidity such as myocardial
Preoperative Surgery Recovery
infarction, cardiac arrest and stroke; as well as impaired wound healing and sepsis14. This is mainly attributed
to the direct cellular injury, disordered coagulation and free radical release in response to toxins such as
nicotine and carbon monoxide. Smoking cessation programs are thus important and should be initiated at any
The concept of prehabilitation moves away from reactive organ-based assessment and optimisation, towards stage in the perioperative process, though the benefits increase proportionally with the length of cessation19.
a proactive, comprehensive and holistic process. A multimodal approach in the prehabilitation program is A Cochrane review suggests that behavioural management in combination with nicotine replacement therapy
proposed6, the core components being medical optimisation, behavioural and lifestyle interventions, exercise, 4-8 weeks prior to surgery has proven to be the most effective in reducing postoperative complications and
nutrition and psychological intervention. ensuring long-term smoking cessation20. The Gold Standard Programme is a highly effective tool and has been
shown to halve postoperative complication rates when commenced 4-8 weeks prior to surgery21,22. It is an
The “marginal gains theory” has been used to describe prehabilitation, with analogies often drawn from the intensive, comprehensive, effective outpatient-led program23 and in Denmark, it is the standard intervention as
preparation of elite sports teams8. The principle is that of multiplicity – what might seem to be insignificant it has a higher abstinence rate compared to other smoking cessation tools24. Table 1 summarises this smoking
improvements and interventions can collectively achieve a far superior output than the individual parts. In the intervention24.
perioperative field, enhanced recovery has been cited as a process where evidence for individual components
is debated but the whole package appears to have had a clear beneficial impact on clinical outcomes and
Table 1. The Gold Standard Programme24.
costs9,10. It would seem reasonable to apply this to the preparation phase for surgery by breaking down every
step or component in the process and identifying improvements or interventions to be made.
Gold Standard Programme
The optimal time frame is uncertain. Programs range from 2-8 weeks with some extending to 12 weeks. A short • Introduction via motivational conversation.
program may be ineffective, while a longer program makes recruitment and compliance challenging. Longer
• 5 meetings in 6-8 weeks depending on date of operation.
delays in cancer surgery may also negatively impact prognosis11-13.
• Structured education on health and financial benefits, training in dealing with risk situations and relapse
Medical optimisation prevention, withdrawal support and future planning.
Along with optimisation of existing co-morbidities, particular attention in prehabilitation is paid to anaemia and • Group or individual sessions.
cognitive dysfunction. • Nicotine replacement therapy tailored to habits, Fagerstrom score and patient preference.
Reduced haemoglobin levels lead to reduced oxygen carrying capacity and thus reduced tissue oxygen delivery. • Hotline availability.
Coupled with a higher metabolic demand in the surgical period, this increased mismatch leads to higher • 3 months after the quit date, a meeting covering relapse prevention is recommended.
postoperative cardiorespiratory morbidity and wound infections. Management should be based on investigating
and treating the underlying cause. Enteral or parenteral iron and multivitamin supplementation may be beneficial, Alcohol misuse is a significant public health issue, with a clear dose-response relationship with postoperative
with blood transfusion used judiciously as a last resort when the above therapies fail or are not feasible, and morbidity, even at lower levels of consumption14. Alcohol excess not only causes disorders of the liver, pancreas
the benefits of transfusion outweigh risks. Reticulocytosis is usually not seen until 7-10 days after commencing and nervous system, but is also associated with increased postoperative complications such as infections,
oral iron supplements, and normalisation of values may take weeks. Furthermore absorption may be limited in cardiopulmonary morbidity and bleeding25. The risk of alcohol withdrawal should be considered. Behavioural
chronic disease states14. Intravenous iron infusion at doses of 1000 mg of elemental iron is a faster option and therapy and alcohol cessation 4-8 weeks prior to surgery is shown to reduce complication rates25.
overcomes issues of patient compliance and bioavailability. Improved efficacy is offset by cost and concerns
Exercise
over anaphylaxis. Ideally a locally agreed protocol should be in place for preoperative anaemia investigation
and treatment. An assessment of physical fitness is essential in the work up to major surgery. Tools such as the Eastern
Cooperative Oncology Group (ECOG) Performance Status and Karnofsky Performance Status are used
Pre-existing cognitive impairment is the strongest predictor of postoperative delirium among those who are frail by physicians to track changes in level of functioning as a result of treatment26. More objective measures for
or have multiple co-morbidities. This leads to prolonged hospitalisation, increased need for institutionalised perioperative purposes include the 6-minute walk test (6MWT), and cardiopulmonary exercise testing (CPET).
care, persistent cognitive decline and increased all-cause mortality14. Assessing a patient’s cognitive function CPET has been studied extensively and offers the most objective tool for measuring aerobic capacity. Lack of
early with screening tools such as the Mini-Mental State Examination15 or Mini-Cog16 is essential for those at adequate fitness, as determined by CPET, has an adverse effect on outcomes after high-risk surgery27,28. The
risk. A coordinated multidisciplinary effort that includes the expertise of geriatricians and general practitioners objectivity of CPET testing allows it to be repeated later to assess the progress of the patient’s prehabilitation.
is essential. With identification of at-risk patients, steps can be taken during anaesthesia and the postoperative
period to prevent, recognise and promptly treat delirium. Regular exercise has been shown to increase functional capacity in patients across ages and conditions,
including cancer. It may also have a broader impact by increasing treatment options for patients. For example, it
has been suggested that a structured preoperative exercise program could increase the numbers of candidates
eligible for curative-intent pulmonary resection29.
Patients should ideally be enrolled into a physical exercise program. The aim is to incorporate aerobic, 1. Nutritional Risk Index (NRI)35. This is a simple equation consisting of serum albumin and amount
musculoskeletal strength and flexibility training. High intensity interval training (HIIT), cycling and walking of recent weight loss.
are examples of aerobic training that have been utilised in multiple studies. Strength training using weights
or resistance may either target all major muscle groups or focus on specific muscle groups to achieve a NRI = (1.519 x serum albumin g/L) + 0.417 (present weight/usual weight x 100).
desired outcome (that is, inspiratory muscle training in lung resection surgery). Moderate intensity exercise
for a minimum of 4 weeks represents an achievable, and likely beneficial intervention, ideally with three to five An NRI > 100 is normal, 97.5-100 mild malnourishment, 83.5-97.5 moderate malnourishment and
30-minute sessions a week, in line with global and national recommendations30. < 83.5 severe malnourishment.
The intensity of exercise can be measured with a rate of perceived exertion (RPE) scale or through heart rate 2. Malnutrition Universal Screening Tool36. This has 5 steps that not only estimate the severity of malnutrition,
monitoring devices. RPE tools are the method of choice, especially for those on beta-blockers and those but also provides management guidelines. The steps include calculating BMI, weight loss
using water based activities where heart rate monitoring is not as effective31,32. The most common RPE tool and acute disease effect scores, which in combination will determine the overall risk of malnutrition and
is the Borg scale. The Borg scale6 is a psychophysical category, 15-grade scale that subjectively estimates its subsequent tailored management.
how strenuous the training is based on how the exercise feels. It has been shown to be reliable and valid in
adult populations and correlates well with exercise physiology markers such as heart rate and blood lactate 3. Nutritional Risk Screening Tool37. This has been validated in surgical populations. It involves two screening
concentration33. It is thus a more cost effective and practical tool compared to heart rate monitors. A scale of stages and the parameters measured include weight loss, food intake, BMI and the severity of medical disease.
12-16 is thought to be adequate for prehabilitation6. The scale is summarised in Table 2.
Intervention should commence about 5-7 days prior and continue postoperatively. Enteral and rarely parenteral
supplementation should be organised in conjunction with a dietician. Appropriate therapy can attenuate the
Table 2. Borg’s RPE 6-20 scale. loss of lean body mass in the postoperative period, lower infection rates, expediate return to baseline functional
status and shorten length of stay38. The aim is to provide patients a macronutrient reserve to limit the effects of
BORG RPE Level of exertion the postoperative catabolism, as well as to increase their lean body mass to fat ratio39. This can be achieved by:
6 No exertion • Ensuring patients are meeting their minimal daily protein and caloric intake.
8 • Giving carbohydrate loading preoperatively.
9 • Using protein supplementation with whey protein extract (1.5 g/kg per day).
10 • Adding immunologically active supplements (Omega-3 and arginine-rich formula) which counteract the
hyperinflammation and immune impairment caused by the surgical stress response40.
11 Light
• Considering multivitamins and calcium supplementation in the elderly.
12
Psychological intervention
13
In the preoperative period, patients and their families can suffer significant levels of stress, depression
14 and anxiety, particular with cancer diagnoses. This is associated with longer hospital stays, more frequent
15 Hard readmissions, increased demand for analgesia and decreased wound healing41.
16 Strategies to consider includes counselling, support groups, breathing exercises, sessions with a psychologist
and relaxation techniques such as music or art. Concentration and visualisation exercises are useful as
17 distraction techniques. Education about the surgery and expectations during the perioperative journey as well
18 as tours around the hospital grounds can be empowering. The aim is to gain the patient’s trust and to motivate
them to engage fully during the perioperative process.
19
The synergy of interventions may be important. In addition to specific psychosocial interventions, the physical
20 Maximal exertion
exercise component of prehabilitation may decrease emotional distress as well as improve physical fitness.
Barriers such as pain, motivation and financial cost should be minimised as much as possible to create a EVIDENCE FOR PREHABILITATION
positive environment to encourage this change. Home-based programs are cheaper and more convenient
as patients do not need to travel nor comply with a timed session. However, hospital-based programs with A wide variety of regimens and specialty specific outcome measures have been used. For example, in
supervised group sessions do increase adherence to the program and provide far better outcomes6,14. Exercise orthopaedics, numerous small studies have suggested effective functional, mental and economic outcomes for
prescription could follow the “FITT” principle: frequency; intensity; time; and type34, but ultimately it needs joint and spinal surgery42-46. A single-centre, randomised control trial (RCT) of 650 elderly patients with severe
to be tailored to the individual. Even in sedentary patients or those who cannot or do not want to partake in osteoarthritis presenting for knee arthroplasty found that a 4-8 week exercise regimen preoperatively improved
a structured program, benefits can be achieved by short sessions of increased activity through light walks, leg strength and functional task ability after surgery47. A small RCT of 60 patients presenting for spinal surgery
gardening or housework. showed that an integrated prehabilitation and early-rehabilitation program led to improved functional outcome
and shortened length of stay without more complications, pain or dissatisfaction48. An RCT of 20 patients
Nutrition undergoing anterior cruciate ligament reconstruction concluded that a 6-week progressive prehabilitation
Malnutrition is a significant risk factor for poor postoperative outcomes including increased infection rates, hospital program improved knee function up to 12 weeks postoperatively49.
length of stay, critical care utilisation, long-term morbidity and delayed wound healing14. The abnormally low BMI
In cardiac surgical patients, a single-centre RCT of 249 patients showed that an intensive 10-week exercise
patient is at greater surgical risk than the obese patient. However both sets of patients are often found to be
program reduced hospital length of stay by 1 day, reduced ICU length of stay and improved quality of life at 6
deficient in micronutrients and lack adequate lean muscle mass, increasing the likelihood of sarcopaenia and poor
months50. A small RCT of 17 patients concluded that a rigorous twice-weekly, 4-week exercise program was
recovery14. Surgery leads to the catabolic breakdown of lean muscle, which further exacerbates that effect.
not only safe for patients preoperatively, but conferred a benefit in functional activity and increased enrolment in
A nutritional screen is encouraged as part of a multi-modal prehabilitation program. There are three screening postoperative cardiac rehabilitation programs51. Another small study suggested that adding a brief, cognitive-
tools recommended in the literature and they are summarised on the opposite page: behavioural intervention therapy to standard nursing preoperative counselling alone was cost effective and
could reduce depression, increase patient satisfaction and improve physical functioning preoperatively and
postoperatively through increased participation in cardiac rehabilitation52. A larger single-centre RCT of
655 patients concluded that preoperative inspiratory muscle training reduced the incidence of pulmonary measured. The generalisability of any results therefore becomes challenging.
complications and length of stay in hospital after cardiac surgery53.
There is a need for larger, high quality studies powered to detect differences in patient centred outcomes.
There is a growing body of literature on major abdominal surgery. An early study of 112 patients undergoing Barberan-Garcia et al recently published data on prehabilitation in elderly or multimorbid patients (ASA 3
colorectal surgery compared functional capacity between two interventional groups54. One was assigned and 4) undergoing major elective abdominal surgery67. The control group received counselling on lifestyle
to walking and breathing exercises, whereas the other underwent a more structured and higher intensity habits, nutrition, physical activity and had anaemia management, whereas the intervention group additionally
intervention consisting of stationary cycling and weight training. The primary outcome measure was functional entered a personalised exercise program. This consisted of simple step-based activity as well as high intensity
walking capacity, measured with the 6-minute walk test 5-9 weeks postoperatively. Subgroup analyses showed training on a stationary bicycle. 144 patients were randomised and intervention was safe, improved aerobic
that regardless of exercise technique, patients whose functional exercise capacity improved preoperatively capacity and reduced postoperative complications by 50%. Length of stay in ICU was also reduced in
recovered well in the postoperative period55. A third of patients interestingly had a decline in preoperative those in the intervention group who went to ICU. This study addresses some of the limitations of previous
exercise capacity, and these patients were at higher risk of delayed postoperative recovery. Poor preoperative literature by targeting a cohort at risk of complications, and being adequately powered to detect differences
physical performance, fatigue, malnutrition, anxiety and depression were predictors of delayed recovery. This in complications. The first multi-centre randomised trial of multi-modal prehabilitation before colorectal cancer
supports the notion that multi-modal prehabilitation may have more significant effects after major abdominal surgery is under way and will study the efficacy of prehabilitation in an ERAS pathway68. Postoperative
surgery, and colorectal cancer in particular has been an area of interest. complications will be a primary outcome measure, and secondary measures will include length of stay, cost-
effectiveness, and quality of life up to 1 year after surgery.
A large proportion of cancer patients are elderly, who already may have significant pre-existing chronic
diseases. Additionally, these patients may have the combination of the underlying malignancy causing cachexia,
reduced functional impairment and malnourishment56. Cancer prehabilitation was first established in pulmonary CONCLUSION
cancer management as early as 1997, when Weiner et al57 conducted an RCT on 32 patients with COPD and Prehabilitation is an emerging field that is built on sound physiological principles. It represents a move to a more
lung cancer awaiting lung resection. They found that preoperative incentive spirometry and inspiratory muscle proactive, holistic approach focusing on the assessment and optimisation of preoperative fitness integrated
training used 2 weeks before and 3 months after surgery significantly improved respiratory muscle strength with management of chronic organ-based co-morbidities. There are a number of components that can be
and lung function. Lung cancer surgery has been used as a model for improving outcomes in other types of addressed from the moment the decision to proceed with surgery is made, with the end objective being a rapid,
cancers. A 5-year secondary analysis of 3 consecutive studies consisting of 185 participants at a single centre complication-free functional recovery.
undergoing colorectal cancer resection found that a structured multimodal prehabilitation program (exercise,
nutritional care and anxiety management) improved functional capacity preoperatively, at 4 and 8 weeks after While there has been encouraging data pointing towards improved objective fitness through the perioperative
surgery compared to those receiving the same therapy after surgery58. period, effect on postoperative morbidity, mortality and quality of life is less robust. Prehabilitation programs are not
as yet standardised within current ERAS pathways. The issues surrounding the implementation of prehabilitation
Cancer patients may have undergone systematic therapies that may also impair their physical and physiological are captured in a recent survey regarding the state of programs in the UK69. Prehabilitation was routinely offered
reserves. These may be given either as neo-adjuvant or adjuvant therapies. A recent pilot study of 39 patients by half of respondents. There was a wide variation in the components offered, with few offering multi-modal
looked at objective measures of physical fitness in patients with rectal carcinoma, aiming to evaluate physical programs. On-going audit or data collection was also rare. The most common challenges identified were lack of
fitness changes following neoadjuvant chemoradiotherapy (NACRT) and a subsequent preoperative 6 funding, lack of consensus within departments and insufficient time allocated to the perioperative period.
weeks structured responsive exercise training program59. Baseline fitness was determined by CPET 2 weeks
prior to NACRT and then repeated immediately post NACRT, then at 3, 6, 9, and 14 weeks, before surgery Gaps remain in the knowledge of which outcome measures should be used, which patients should be targeted,
was performed at week 15. A 19% drop in fitness levels was measured by CPET following preoperative optimal timing for interventions and which “recipe” may be best. It can be assumed that frail, elderly, and
chemoradiotherapy. This decline was reversed in those who partook in a 6-week high intensity interval training multi-morbid patients, particularly those undergoing major surgery would benefit most from a comprehensive
program 3 times per week. At the time of surgery, this fitness was preserved in the intervention group but in the prehabilitation program. It may be the synergy of the different elements rather than the individual components
control group had dropped further, to 34% below initial baseline. Although underpowered to detect differences that lead to telling differences. Research in perioperative medicine is becoming a priority and high-quality trials
in clinical outcomes, the study demonstrates the effectiveness in exercise therapy in preserving functional in prehabilitation should be informative. It promises to be an area where multidisciplinary collaboration and
capacity in this cohort of patients. With any intervention programs in oncology patients, it is imperative to bear multimodal intervention can have a major impact on patient centred outcomes after major surgery.
in mind that delays in surgery may negatively affect prognosis.
Most of the single centre trials cited here have looked at functional capacity as a primary outcome, with many REFERENCES
essentially being feasibility or pilot studies, and underpowered to detect differences in complications and 1. Royal Australasian College of Surgeons (RACS). Australian and New Zealand Audit of Surgical Mortality (ANZASM)
morbidity. Multiple systematic reviews and meta-analyses have been conducted to further establish a role for national report 2016 [Internet]. Adelaide: RACS; 2016 [cited 2019 May]. 80p. Available from: https://www.surgeons.org/
prehabilitation. An early meta-analysis of 1245 patients recruited to 12 randomised controlled trials, concluded media/25514879/2017-10-05_rpt_racs_anzasm_national_report_2016.pdf
that preoperative exercise therapy contributed to decreased postoperative complication rates including pulmonary 2. Khuri SF, Henderson WG, DePalma RG, Mosca C, Healey NA, Kumbhani DJ. Determinants of long-term survival after
complications, and shortened length of stay in surgical patients undergoing cardiac and abdominal surgery60. major surgery and the adverse effect of postoperative complications. Ann Surg. 2005;242:326-41.
3. Derogar M, Orsini N, Sadr-Azodi O, Lagergren P. Influence of major postoperative complications on health-related quality
Prehabilitated joint arthroplasty patients showed no such improvement. The results are in keeping with another
of life among long-term survivors of esophageal cancer surgery. J Clin Oncol. 2012;30:1615-9.
review61 analysing 8 RCTs in cardiac and upper abdominal surgery, which showed that preoperative inspiratory
4. Carli F, Scheede-Bergdahl C. Prehabilitation to enhance perioperative care. Anaesthesiol Clin. 2015;33:17-33.
muscle training improved postoperative respiratory function and halved the risk of pulmonary complications.
5. Desborough JP. The stress response to trauma and surgery. Br J Anaesth. 2000;85:109-17.
Improvement in length of stay in the prehabilitation group was not statistically significant.
6. Banugo P, Amoako D. Prehabilitation. BJA Education. 2017;17(12):401-5.
A recent review62 looking at 15 RCTs of major abdominal surgeries showed that overall as well as pulmonary 7. Carli F, Zavorsky GS. Optimizing functional exercise capacity in the elderly surgical population. Curr Opin Clin Nutr
morbidity was reduced when deep breathing exercises, inspiratory muscle training and aerobic conditioning Metab Care 2005;8(1):25.
were part of the prehabilitation program. Again length of stay was no different. A systematic review and meta- 8. Durrand JW, Batterham AM, Danjoux GR. Pre-habilitation. 1: aggregation of marginal gains. Anaesthesia. 2014;
69(5):403-6.
analysis of 9 studies and 914 patients undergoing colorectal surgery, found that patients receiving at least 7
9. Varadhan KK, Neal KR, Dejong CH, et al. The enhanced recovery after surgery (ERAS) pathway for patients undergoing
days of preoperative nutrition with or without exercise, had length of stay reduced by 2 days63. major elective open colorectal surgery: a meta-analysis of randomized controlled trial. Clin Nutr. 2010;29(4):434-40.
Other systematic reviews have been less conclusive. A review of 8 studies in colorectal cancer patients, 10. Shaughness G, Howard R, Englesbe M. Patient-centered Surgical Prehabilitation. Am J Surg. 2018; 216:536-8.
found that preoperative improvements in fitness through exercise did not translate into improved postoperative 11. Khan MA, Mangold LA, Epstein JI, et al. Impact of surgical delay on long-term cancer control for clinically localized
outcomes64. Two further systematic reviews specifically looking at elderly patients undergoing major surgery prostate cancer. J Urol. 2004;172(5 pt1):1835-9.
were also inconclusive65,66. As many authors have alluded to, performing systematic reviews and meta-analyses 12. Huang J, Barbera L, Brouwers M, et al. Does delay in starting treatment affect the outcomes of radiotherapy? A systematic
review. J Clin Oncol. 2003;21:555-63.
is difficult given the heterogeneity in the study population, study design, intervention received and outcomes
13. Chen Z, King W, Pearcey R, et al. The relationship between waiting time for radiotherapy and clinical outcomes: A
systematic review of the literature. Radiother Oncol. 2008;87:3-16.
14. Durrand J, Hackett R, Yates, D, et al. Prehabilitation. In: Stuart-Smith K, editor. Perioperative medicine – current 49. Shaarani SR, O’Hare C, Quinn A et al. Effect of prehabilitation on the outcome of anterior cruciate ligament
controversies. Cham (Switzerland): Springer; 2016. p.15-47. reconstruction. Am J Sports Med. 2013;41(9):2117-27.
15. Folstein MF, Folstein SE, McHugh PR. Mini-mental state: a practical method for grading the cognitive state of patients for 50. Arthur HM, Daniels C, McKelvie R et al. Effect of a preoperative intervention on preoperative and postoperative outcomes
the clinician. J Psychiatr Res 1975;12:189-98. in low-risk patients awaiting elective coronary artery bypass graft surgery: a randomized, controlled trial. Ann Intern Med.
16. Long LS, Shapiro, Leung JM. A brief review of practical preoperative cognitive screening tools. Can J Anaesth. 2000;133(4):253-62.
2012;59(8):798-804. 51. Sawatzky JV, Kehler D, Ready A et al. Prehabilitation program for elective coronary artery bypass graft surgery patients: a
17. Schmid M, Sood A, Campbell L, et al. Impact of smoking on perioperative outcomes after major surgery. Am J Surg. pilot randomized controlled study. Clin Rehabil. 2014;28(7):648-57.
2015;210:221-9. 52. Furze G, Dumville JC, Miles J et al. "Prehabilitation" prior to CABG surgery improves physical functioning and depression.
18. Turan A, Mascha EJ, Roberman D, et al. Smoking and perioperative outcomes. Anaesthesiology. 2011;114:837-46. Int J Cardiol. 2009;132:51-8.
19. Pierre S, Rivera C, Le Maitre B et al. Guidelines on smoking management during the perioperative period. Anaesth Crit 53. Hulzebos E, Helders P, Favie N et al. Preoperative intensive inspiratory muscle training to prevent postoperative pulmonary
Care Pain Med. 2017;36:192-7. complications in high-risk patients undergoing CABG surgery: a randomized clinical trial. JAMA 2006;296(15):1851-7.
20. Thomsen T, Villebro N, Møller AM. Interventions for preoperative smoking cessation (review). Cochrane Database Syst 54. Carli F, Charlebois P, Stein B et al. Randomized clinical trial of prehabilitation in colorectal surgery. Br J Surg.
Rev. 2014;27(3):CD002294.   2010;97:1187-97.
21. Møller AM, Villebro N, Pedersen T, Tønnesen H. Effect of preoperative smoking intervention on postoperative 55. Mayo N, Feldman L, Scott S. Impact of preoperative change in physical function on postoperative recovery: argument
complications: a randomised clinical trial. Lancet. 2002;359(9301):114-7. supporting prehabilitation for colorectal surgery. Surgery. 2011;150:505-14.
22. Lindström D, Sadr Azodi O, Wladis A, et al. Effects of a perioperative smoking cessation intervention on postoperative 56. Silver JK, Baima J. Cancer prehabilitation: an opportunity to decrease treatment-related morbidity, increase cancer
complications: a randomized trial. Ann Surg. 2008;248(5):739-45. treatment options, and improve physical and psychological health outcomes. Am J Phys Med Rehabil. 2013;92:715-27.
23. Tønnesen H. Surgery and smoking at first and second hand: time to act. Anesthesiology. 2011;7(115):1-3. 57. Weiner P, Man A, Weiner M et al. The effect of incentive spirometry and inspiratory muscle training on pulmonary function
24. Rasmussen M, Fernández E, Tønnesen H. Effectiveness of the Gold Standard Programme compared with other smoking after lung resection. J Thoracic Cardiovasc Surg. 1997;113:552-7.
cessation interventions in Denmark: a cohort study. BMJ Open. 2017;7:e013553. 58. Minella EM, Bosquet-Dion G, Awasthi R et al. Multimodal prehabilitation improves functional capacity before and after
25. Egholm J, Pederson B, Moller AM, et al. Perioperative alcohol cessation intervention for postoperative complications. colorectal surgery for cancer: A five-year research experience. Acta Oncologica. 2017; 56(2):295-300.
Cochrane Database Syst Rev. 2018 Nov;11:CD008343. 59. West MA, Loughney L, Lythgoe D et al. Effect of prehabilitation on objectively measured physical fitness after neoadjuvant
26. Blagden SP, Charman SC, Sharples LD, et al. Performance status score: do patients and their oncologists agree? Br J treatment in preoperative rectal cancer patients: a blinded interventional pilot study. Br J Anaesth. 2015;114(2):244-51.
Cancer. 2003;89(6):1022-7. 60. Valkenet K, van de Port IG, Dronkers JJ, de Vries WR, Lindeman E, Backx FJ. The effects of preoperative exercise therapy
27. Snowden CP, Prentis J, Jacques B, et al. Cardiorespiratory fitness predicts mortality and hospital length of stay after major on postoperative outcome: a systematic review. Clin Rehabil. 2011;25(2):99-111.
elective surgery in older people. Ann Surg. 2013;257(6):999-1004. 61. Mans C, Reeve J, Elkins M. Postoperative outcomes following preoperative inspiratory muscle training in patients
28. Hennis PJ, Meale PM, Grocott MP. Cardiopulmonary exercise testing for the evaluation of perioperative risk in non- undergoing cardiothoracic or upper abdominal surgery: A systematic review and meta analysis. Clin Rehabil.
cardiopulmonary surgery. Postgrad Med J. 2011;87:550-7. 2015;29(5):426-38.
29. Jones LW, Peddle CJ, Eves ND, et al. Effects of presurgical exercise training on cardiorespiratory fitness among patients 62. Hughes MJ, Hackney EJ, Lamb PJ et al. Prehabilitation before major abdominal surgery: A systematic review and meta-
undergoing thoracic surgery for malignant lung lesions. Cancer. 2007. 110(3):590-8. analysis. World J Surg; 2019. Available from: https://doi.org/10.1007/s00268-019-04950-y
30. Geneva (Switzerland): Worlf Health Organisation 2010. Global recommendations on physical activity for health. [Internet]. 63. Gillis C, Buhler K, Bresee L et al. Effects of nutritional prehabilitation, with or without exercise, on outcomes of patients
Available from: http://www.who.int/dietphysicalactivity/publications/9789241599979/en/. Accessed May 2019. who undergo colorectal surgery: a systematic review and meta-analysis. Gastroenterology. 2018;155(2):391-410.e4.
31. Hamer P, Slocombe B. The psychophysical and heart rate relationship between treadmill and deep-water running. Aust J 64. Boereboom C, Doleman B et al. Systematic review of pre-operative exercise in colorectal cancer patients. Tech
Physio. 1997;43(4):265-71. Coloproctol. 2016;20(2):81-9.
32. Scherr J, Wolfarth B, Christie JW, et al. Associations between Borg’s rating of perceived exertion and phsyiological 65. Lemanu D, Singh P, MacCormick A et al. Effect of preoperative exercise on cardiorespiratory function and recovery after
measures of exercise intensity. Eur J Appl Physiol. 2013;113(1):147-55. surgery: a systematic review. World J Surg. 2013;37(4):711-20.
33. Borg G. Perceived exertion as an indicator of somatic stress. Scand J Rehabil Med. 1970;2:92-8. 66. Bruns ER, Van den Heuvel B, Buskens C et al. The effects of physical prehabilitation in elderly patients undergoing
colorectal surgery: a systematic review. Colorectal Dis. 2016;18(8):267-77.
34. Scheede-Bergdahl C, Minnella EM, Carli F. Multi-modal prehabilitation: addressing the why, when, what, how, who and
where next? Anaesthesia. 2019;74(s1):20-6. 67. Barberan-Garcia A, Ubré M, Roca J, et al. Personalised prehabilitation in high-risk patients undergoing elective major
abdominal surgery: a randomized blinded controlled trial. Ann Surg. 2018;267(1):50-6.
35. Cereda E, Klersy C, Pedrolli C, et al. The geriatric nutritional risk index predicts hospital length of stay and in-hospital
weight loss in elderly patients. Clinical Nutrition. 2015;34(1):74-8. 68. Van Rooijen S, Carli F, Dalton S et al. Multimodal prehabilitation in colorectal cancer patients to improve functional
capacity and reduce postoperative complications: the first international randomized controlled trial for multimodal
36. Elia M. Screening for malnutrition: a multidisciplinary responsibility. Development and use of Malnutrition Universal
prehabilitation. BMC Cancer; 2019. Available from: https://doi.org/10.1186/s12885-018-5232-6
Screening Tool (MUST) for adults. [Internet] 2003. Redditch: BAPEN; 2003. Available from: http://www.bapen.org.uk.
69. Carter F, Davies J, Barlow R et al. Prehabilitation in the UK: outcomes of a national survey. Clinical Nutrition ESPEN.
37. Kondrup J, Rasmussen HH, Hamberg O, et al. Nutritional Risk Screening (NRS 2002): a new method based on an
2019;31:118.
analysis of controlled clinical trials. Clin Nutr. 2003;3:321-6.
38. Gillis C, Carli F. Promoting perioperative metabolic and nutritional care. Anesthesiology. 2015;123(6):1455-72.
39. Gillis C, Wischmeyer PE. Pre-operative nutrition and the elective surgical patient: why, how and what? Anaesthesia.
2019;74(s1):27-35.
40. Braga M, Ljungqvist O, Soeters P, et al. ESPEN Guidelines on Parenteral Nutrition: Surgery. Clin Nutr. 2009;28:378-86.
41. Tsimopoulou I, Pasquali S, Howard R, et al. Psychological prehabilitation before cancer surgery: a systematic review. Ann
Surg Oncol. 2015;22:4117-23.
42. Stephensen D, Rodriguez-Merchan EC. Orthopaedic co-morbidities in the elderly haemophilia population: A review.
Haemophilia. 2013;19:166-73.
43. McKay C, Prapavessis H, Doherty T. The effect of a prehabilitation exercise program on quadriceps strength for patients
undergoing total knee arthroplasty: a randomized controlled pilot study. PM R. 2012;4:647-56.
44. Tenforde AS, Shull PB, Fredericson M. Neuromuscular prehabilitation to prevent osteoarthritis after a traumatic joint injury.
PM R. 2012;4(5 Suppl):S141-4.
45. Topp R, Swank AM, Quesada PM, et al. The effect of prehabilitation exercise on strength and functioning after total knee
arthroplasty. PM R. 2009;1:729-35.
46. Neilsen PR, Andreasen J, Asmussen M, et al. Costs and quality of life for prehabilitation and early rehabilitation after
surgery of the lumbar spine. BMC Health Serv Res. 2008;8:209.
47. Swank AM, Kachelman JB, Bibeau W, et al. Prehabilitation before total knee arthroplasty increases strength and function
in older adults with severe osteoarthritis. J Strength Cond Res. 2011;25(2):318-25.
48. Nielsen PR, Jorgensen LD, Dahl B et al. Prehabilitation and early rehabilitation after spinal surgery: randomized clinical
trial. Clin Rehabil. 2010;24:137-48.
298 Australasian Anaesthesia 2019 – Assessment Reifying race in medicine 299
Reifying race in medicine

Alan McLintic MRCP, FANZCA, PGDip Genomic Med
Alan McLintic is an anaesthetist at Middlemore Hospital, Auckland and Honorary Senior Lecturer at the
University of Auckland.
INTRODUCTION
In 2003 the Human Genome Project released this statement:
“DNA studies do not indicate that separate classifiable subspecies (races) exist within modern
humans. While different genes for physical traits such as skin and hair colour can be identified
between individuals, no consistent patterns of genes exist to distinguish one race from another”1.
Despite this, medical journals continue to publish studies describing genetic differences between races as if
races are discrete biological divisions of humans. There is a long precedent. In 1839 Samuel Morton measured
the cranial capacity of skulls and ranked the inherent intelligence of races: Africans were at the bottom,
Caucasians at the top. Morton’s notion of innate racial differences in intelligence extends into the contemporary
work of Murray, Rowe, Rushton and others who advance the idea that those of African ancestry may be
inherently less intelligent than Europeans2-5. This has been thoroughly refuted, but I mention it because such
claims tend to induce in us a sense of wrongness that is in contrast to other claims of inherent racial difference
that pass us by without reflex scepticism6,7. There is far less reaction when genetic causes are proposed to
account for greater sensitivity to propofol in Blacks compared with Whites8,9. Or that Blacks are inherently
different in terms of adrenergic and mu receptors9-11, renin-angiotensin system function12,13, endothelial
nitric oxide availability14, intracellular calcium mechanisms15-17, salt handling15,18, descending inhibitory pain
pathways19,20 and the normal reference level for serum creatinine21. The latter ultimately being the reason we
had to highlight any Black patients we recruited in the ISOS study22. Many more racial genomic differences are
proposed and their authority is strengthened as they are assimilated into our textbooks, including the estimable
Acute Pain Medicine: Scientific Evidence that describes racial differences in drug metabolising enzyme and mu
receptor alleles23.
Running parallel to these proposals is a vociferous commentary that much of this research is misleading, lacks
scientific rigour, lacks clinical utility and reinforces a racial stereotype24-32. This is countered by a vigorous
defence that those who reject claims that there are inherent differences between races are simply left-leaning,
politically-correct, egalitarians who are inhibiting free speech in science33-35.
The aim of this article is to unravel that argument and, in particular, to examine the validity and clinical utility
of claims about genetic differences between races. I concentrate on the categorisation of patients using any
version of five traditional 18th century race categories. It is increasingly common for authors to use these same
categories but to refer to them as ethnicities. The semantic distinction between race and ethnicity is thus
becoming blurred and usage is being governed by author preference rather than objective taxonomy. Moreover,
the issues highlighted can be applied to genomic generalisations about any broad division of humanity,
whatever the label. In discussing the topic, I must use the race terminology that authors use in their papers. This
does not legitimise the categorisation. Lastly, I do not, in any way, denigrate the efforts and motivations of cited
authors who are simply adhering to longstanding medical practice.
RACE AS A SOCIAL CONSTRUCT

Advocates of race as a clinically useful biological categorisation are often met with “Race is a social construct”.
This is true. There is no agreed definition of race in biology and no scientific criteria with which to assign race.
Categorisation is, therefore, at the whim of individual choice and social convention.
Many people appear to readily fit a traditional race category but many do not and, in the absence of measurable
criteria, must be boxed in by a best-fit approach. The result is an ambiguous, inconsistent approach to taxonomy
that has no equivalent in any other field of biology. Thus, you may be classified as White in Brazil but Black
in the USA36. Chinese are classified as Asian in most trials but may be excluded from the Asian category in
British trials37. Indians are classified as Asian in some studies but Caucasian in others38,39. Caucasian has the
imprimatur of science but is the fudgiest of all categories. Some authors use it interchangeably with White
in their papers9, other authors imply Northern Europeans40, and other authors all Europeans, North Africans,
Middle Eastern, South West Central Asia and the whole of the Indian subcontinent39. Can we really define
Caucasian genetic traits when we can’t agree on what a Caucasian is?
Race also changes with time. Forty-two per cent of 6000 Americans in an NHNES1 survey changed their race between populations decreases as geographical distance increases between them50,51. This is termed isolation
or ethnicity over a 10-year period42. One third of subjects in a US Bureau of Census survey changed race or by distance47,48 (see Figure 2).
ethnicity over a 12-month period43. The whole country of Puerto Rico has become more White over the last
century not because of migration, but because of a reassessment of race allegiance44. The genome is fixed but Figure 2. Isolation by distance. Each dot represents a pair of populations. The geographic distance
race is not. between pairs increases from left to right. Genetic distance is a fraction based on allele frequency
differences between populations and can be seen to increase as geographic distance between
“Are Russians considered White?”, “Are Ethiopians truly Black?”, “Are Jews a race?” “If my family is Argentinian,
populations increases. Diagram adapted from reference 48.
what is my race?” These are questions posed on the internet by puzzled bloggers. It is socially ingrained in
us that race is a biological categorisation so it is tacitly assumed there must be correct answers to those
questions. There are no correct answers because there are no measurable criteria with which to assign race.
The squeezing of seven billion people into five 18th century categories is governed by historical precedent and a
varied set of social conventions.
HUMAN GENETIC VARIATION

It is still possible that socially ascribed race categories coincide with discrete genetic divisions of humans. To
test this we must consider how the world was populated and the genetic processes that shaped humans during
that time. The Out-of-Africa hypothesis is the most supported theory to date (see Figure 1).
Figure 1. The Out-of-Africa hypothesis of global colonisation by anatomically modern humans.

Dates are approximate and based on reference 45.
Etched on top of the clines are other patterns of genetic variation from isolations, founder effects, migrations
and adaptive pressures52. Pressures such as latitude temperature, subsistence and ultraviolet intensity that
causes skin colour to vary with gradient distribution53. Such adaptive processes only affect the specific gene
loci under pressure and do not cause general differences elsewhere in the genome47,53. It is tempting to see
stark differences in external appearance, particularly skin colour, as indicating stark differences in the underlying
genome. This is not the case.
ISLAND-SAMPLING, CLUSTERING AND THE RE-EMERGENCE OF RACE

Anatomically modern humans (AMH) first appeared in East Africa at approximately 200,000 thousand years ago The depiction of early AMH splitting into four or five genetically-discrete racial branches is unsupported in
(200ka) and, for the next 100ka, migrated and mixed extensively within Africa45. At ~100ka a very small group research and regarded as morally irresponsible in education47. However, research published in the early 2000s
left Africa, expanded and gradually populated the world at the eventual expense of their archaic ancestors45. challenged established thinking and has been used subsequently to justify races as useful surrogates for
The fact that the group was small has direct bearing on genomic patterns today. As only a small fraction of genetic divisions. Researchers had used Structure software to analyse DNA from global populations and found
African genetic variation populated the rest of the world, today’s non-African genome is a subset of a far more that DNA clustered in similarity into five groups that approximated traditional race categories54,55. This became
diverse African genome45,46. headline news around the world and was interpreted by some as validation of race as a biological division56,57.
What was not publicised was that the software had grouped the data in multiple different ways. The probability
Throughout 200ka of AMH there has been one genetic force that has most shaped our species and that is of each grouping was not analysed yet the model with five divisions gained publicity because it fitted with the
gene flow: genetic exchange between migrating populations47,48. Thus, 200ka of gene flow has meant we traditional view of race58.
remain completely unified as a single species with no evolutionary separation into subspecies and we share a
99.5% identical ancient African genetic code47,49. When the enormous number of nucleotides is considered, the A second criticism has direct relevance to how we treat race in medicine. Rather than being a grid-like
0.5% that does vary leads to considerable human genetic diversity. What form does this take? representation of global populations, sampling was dominated by populations that were geographically distant
from each other47,58,59. This is sometimes called island-sampling because it creates artificial islands of genetic
The vast majority of genetic diversity is between individuals. This is what gives people their uniqueness and variation50. High populace, so-called “intermediate regions” of West-Central Asia and South America were
drives the need for personalised genomics. A small amount of genetic diversity correlates with geography. Gene markedly underrepresented and, in the case of the 1.4 billion people of India, completely absent.
flow and other mechanisms have diffused alleles across landmasses to form smooth gradients called clines.
Human genetic variation thus changes gradually over landmasses and the clines cross continental boundaries Island-sampling is common in medical racial profiling because, when authors are referring to innate
without sharp distinctions46,47. A necessary consequence of clinical variation is that the genetic similarity characteristics of Caucasians, Asians or Blacks, they are often referring to Northern Europeans or their
diaspora, East Asians or their diaspora and West Africans or their diaspora. Because these populations are Individual variability
geographically distant from each other in the old world, we will inevitably find differences in allele frequencies The vast majority of genetic variation is between individuals. The utility of a racial difference in allele frequency is
because of isolation by distance. Thus, when reading these papers, it is important to remember that these swamped by the uncertainty generated by the genetic variability between individuals.
are allele frequency differences between populations isolated by distance, not differences between races. To
continually couch them as such reinforces the illusion that human genetic variation is divided up into a handful Continental heterogeneity
of discrete chunks. Worse, it encourages extrapolation beyond the studied sample to an enormously broad and “Continental ancestry” has become a popular descriptor in medical research but it again divides humanity
varied continental group. If we make that extrapolation, we are stereotyping. simplistically into five groups as if they are genetically homogenous and discrete. Just because we can place
a patient or their ancestor on a certain continent it does not mean that we can predict their genome. Africa, in
AUTHORS’ USE OF RACE particular, is the most genetically and phenotypically diverse landmass on the planet and, within it, Sub-Saharan
Africa is the most genetically diverse region48,51,59. The notion of a general Black or other racial trait is untenable.
Race is a subject where facts rarely settle matters because the science is at the mercy of semantic argument
about what race is in the first place. Admixture
In an increasingly admixed society, mixed race categories are almost never published. Racial genetic traits are
Some authors use physical appearance as the key factor in assigning race while others see people from a usually labelled as if they are attributes of a “pure race” sample with no information on local admixture64. The
handful of regions, isolated by distance, as the races. Others use ancestral continent-of-origin as the racial result is a misleading impression of ethnic and genetic homogeneity that belies the biological reality. Many
division, but then personalise those judgments by, for example, excluding Spanish from Europeans, Indians who are included in studies of apparent “pure race” have admixture that is either beyond the reach of family
and Filipinos from Asians and Ethiopians from African categories. The highly varied populace of Ethiopia have history questionnaire or that is unacknowledged through strong allegiance to one particular category67. The
notable allele patterns but does this make them outliers to be excluded or just one example of the diversity of latter introduces a special bias because society tends to assign those of mixed race, to the category that is
Africans? The same is true of Asia. A prominent survey looking at racial differences in VKORC1 polymorphism socially non-dominant whatever its proportionate contribution46,48,64,68. The degree and nature of admixture also
removed Indian data from the Asian category after the fact because they prevented genomic cohesion60. This varies markedly depending on locale and origins of the diaspora. The net effect is that the allele patterns of
contrasts with other studies that exclude Chinese data from the Asian category and leave Indian data. Why each “race” have considerable variation and overlap36. This interesting and potentially important complexity is
should we expect the 4.5 billion people of the vast and complex continent of Asia to be usefully summarised in obscured behind simplistic racial labelling.
a single, numerical variable?
Allele frequency differences between races do not equal utility
Others see races as population groups with distinctive genetic characteristics. These are better termed demes
and there are many thousands across the globe47. Common disease, common variant theory
Racial differences in common allele frequencies seldom translate to clinical utility because of the natural inter-
Whenever we find cultural, linguistic or geographical barriers we may well find genetic distinctions. If we then relationship between allele frequencies, effect size and geographical distribution.
suggest there are thousands of races, we are being very loose with meaning.
Common, complex conditions such as hypertension, Type II diabetes and obesity are linked statistically with
The way authors get around the problem is to leave us guessing. Table 1 lists surveys on authors’ use of a large number of alleles. These alleles have widespread global distribution but statistical differences in racial
race variables61-65. Between 70-100% of authors do not explain what they mean by race but most still draw frequency can be demonstrated with island-sampling. Utility does not automatically follow because common
conclusions about race, genetics and outcome. Are authors being uncritical about race or are they relying on disease alleles have weak effects and explain a small proportion of disease heritability69,70. Thus, although an
readers being uncritical? individual’s race might give them a higher probability of an allele than someone of a different race, that alone
should not make us treat one differently from the other. Apart from the difficulties of race assignment, admixture
Table 1. Use of race variables in genetic research. and individual variability, the presence of the allele in any individual is still a guess, the allele effect is weak and
environmental factors are usually a more ascertainable and influential trait.
Subject Criticisms Survey
Predictive value of race in rare disease
34 articles on genetic differences Race categories not defined in 25. Shields
between races: nicotine addiction. What of racial differences in the frequency of alleles with strong, Mendelian effects? Given time, natural
28 had no explanation of race assignment. Only two 200563 selection eradicates alleles with strong adverse effects. Those that we see today are, therefore, of relatively
accounted for grandparents’ ancestry. recent origin. Because the variants are recent, they have not had time to be universally distributed and can be
268 studies examining race, 72% had no explanation of race assignment yet 67% Shanawani more population-specific71,72. If those “hot-spots” occur in one continent more than another, racial differences
genotype and health outcome. reached conclusions about race, genotype and health 200662 can be constructed. The utility “catch” is that, because of the rarity, the probability of disease, given the
outcome. apparent race of the patient, remains low.
330 genetic research articles No article defined race or ethnicity. Sankar Sickle cell trait (SCT) is not nearly as rare as most Mendelian conditions because of heterozygote advantage in
involving race/ethnicity. 200766 regions of endemic malaria. Despite common knowledge that SCT is not bounded by race, it is tacitly seen as
an example where race can be useful. After all, African-Americans have 6-10 times the US national average of
30 genetics scientists in race/ No agreed method for assigning race or ethnicity. Hunt SCT. However, because the prevalence of SCT is still relatively low, African-American identity as a screening
ethnicity research. Admixture assumed rare and ignored. 200864 test in new-born babies has a predictive value of only 6.7%31. Because of this, the blurring of categorisation by
204 studies that examined link Race seen as important but 75% studies gave no Lee admixture and the concern for premature diagnostic closure in other ethnicities, race is not used as a screening
between race and cancer. definition of race and most no criteria for assigning race. 200865 tool in US newborn73.
36 researchers in population No standardised criteria for assigning race. Race Bliss Diaspora equivalence
genetics. assignment a personal judgment of researcher. Admission 201161 The traits of a diaspora are not necessarily the same as those of their ancestral populations. Phenotypes
that political correctness plays a part in decisions. change as people move between rural and industrialised societies and genotypes drift as new admixtures
arise74-76. Despite this, it is common for local race data to be generalised across the globe.
The MDRD (Modification of Diet in Renal Disease) equation is used to estimate glomerular filtration rate (GFR).
THE CLINICAL UTILITY OF RACE It was developed in the USA and contains a race adjustment that increases the calculated GFR by 20% if the
Races are clearly not biological divisions of humans but perhaps a person’s “race” can still indicate important patient is African-American21. This stems from data showing healthy African-Americans have a higher serum
genetic characteristics that are therapeutically useful to the clinician? The following are the main obstacles to creatinine than other American racial groups. Whether the higher creatinine is due to greater innate muscle
the clinical utility of race as a proxy for the genome:
mass or whether it is an indication of greater prevalence of subclinical early kidney disease (EKD) is a point SEEING RACE THROUGH A GENETIC LENS
of contention77,78.
A last question is whether there is any harm done in proposing there are important genomic differences
A further concern is that the elevated norm has been recast worldwide as a general Black trait, hence the between races? Disease expression and drug response are the result of complex gene-environment influences
ISOS request. A stark indication of the problem is that the Black adjustment has proved inaccurate in African and, for individuals of different cultures, the environmental influences may be quite different. In studying racial
studies. When the equation was used in the Ashanti of Ghana and Black South Africans, the race adjustment differences in complex disease it is, therefore, very difficult to tease out the relative importance of genes versus
overestimated GFR and potentially under-estimated EKD79,80. The reason was the African groups had markedly life-long environmental influences.
different body mass from the African-Americans of the original MDRD studies. Africa has the tallest and
shortest people on the globe, the greatest phenotypic and genotypic diversity of any continental landmass. Data A common criticism of racial health studies is that authors tend to privilege genetic explanations and give
collected in African-American studies is not generalisable to all Africans and certainly not to all who might be them almost Mendelian significance at the expense of the more complex socioeconomic and behavioural
designated Black across the world. explanations. This was a concern raised over critical care research into Black-White mortality differences in
acute lung injury where authors seemed overly focussed on postulating genetic causes at the expense of
Overlap addressing the life-long health differences between the two groups28. Particularly life-long socioeconomic
Kaufman and Cooper examined the entrenched meme that Blacks do not respond well to angiotensin differences that are almost impossible to adequately control for in the snap-shots used in many papers30,75.
converting enzyme (ACE) inhibitors31. It is true that studies in industrialised countries regularly show Black-
Tidy genetic explanations deflect attention from more complex causes of health disparities but there is another
White differences in blood pressure (BP) response and, although genetic explanations are often given primacy,
concern. Far from deconstructing the notion of race, medical research appears to reinforce it by perpetuating
it is likely that life-long environmental differences are the biggest influence on hypertension disparities75,81.
stereotypes and entrenching a belief in innate differences between races29. We are reifying race through our
Kaufman and Cooper’s meta-analysis of BP response to ACE inhibitors did show a small difference in systolic
simplistic dichotomous labels, our island-sampling and the scientific authority that goes with genetics.
BP between Blacks and Whites, although it amounted to only 4 mmHg (see Figure 3). What was striking was
the variability in responses and the huge overlap between the two groups. Between 85-90% of Black and Our work also influences the public perception of race. Media studies suggest the repeated exposure of the
White patients had similar responses. From the practical point of view this means that judging the race of a public to messages linking race to genetics cements in their minds that race is genetic and immutable and
patient is of no help in predicting how that individual will respond to ACE inhibitors. this becomes a justification for discrimination82. Several authors have proposed a vicious cycle. The genetic
explanations we offer for racial health differences reinforce belief in inherent differences between races
Figure 3. Systolic blood pressure reduction in patients receiving ACE inhibitors. which, in turn, licenses the discrimination and social segregation that is at the heart of many racial health
Adapted from reference 31. disparities32,83,29,49,84.
CONCLUSION
Race may not be real genetically but it is very real socially and that has biological consequences in terms of
health disparities. Even the most vehement critics accept that race variables are appropriate when studying the
health disparities that have been caused by the racial classification itself. This is different from a priori sorting of
patients into racial categories and expecting genetic differences to emerge with therapeutic importance. Few, if
any, such moves have resulted in race-specific therapeutics that have had any impact on health disparities25,85-87.
Again, this is because of the dominance of individual variation, the influence of social and environmental factors
on phenotype, the blurring effect of admixture, the imprecision and ambiguity of the classification and because
the vast majority of our genetic code is identical. For two decades Nature Genetics has asked authors to
refrain from recasting population data as race data. Their requests have been largely ignored88,89. The sampled
population must be described accurately if readers are to apply the information to their patients or replicate the
study. Once the sample has been described precisely the residual information in race is redundant and, warns
Nature Genetics, the legacy of discrimination89.
The point is not that everyone across the world is the same. The point is that mapping people on to a five-
category, 18th century template is misleading, encourages stereotyping and is hopelessly inadequate. Useful
information is on a much finer scale. Geographic allele patterns are fascinating reflections of genetic drift,
migrations, founder effects, adaptive pressures and geographic, cultural and linguistic isolations. Thus, the
geographic origins of an individual may well entail a different probability of a specific allele being present.
This can only be useful if their population is well defined and projects such as 1000 Genomes are revealing
important genomic variation in bounded groups90. All this potentially important detail is completely lost in
racial generalisations. Contemporary medicine is now in an era of intense, optimistic precision. The focus
now is towards identifying molecular biomarkers that accurately predict personal disease risk and therapeutic
response. In contrast race is a fluid, ill-defined, generalisation that cannot serve as a proxy when the genome is
of real therapeutic importance.
Statistical clustering reinvigorated the notion of race as a genetic division of humans. This has been thoroughly
refuted. In an era of increasing political division, there is a poignant addendum to that work. When Structure
was given a more representative group of world populations with all their interesting complexity it came to an
interesting conclusion: it best sorts us into one cluster58.
REFERENCES 36. Suarez-Kurtz G. Pharmacogenomics in admixed populations. Trends in pharmacological sciences. 2005;26(4):196-201.
1. U.S. Department of Energy. Human Genome Project. Minorities, race, and genomics. [Internet]. Human Genome Project 37. Sharma V, Swinson AK, Hughes C, Mokashi S, Russell R. Effect of ethnicity and body mass index on the distance from
Information Archive 1990-2003. [Cited 2013 Nov 12]. Available from: http://www.ornl.gov/hgmis skin to lumbar epidural space in parturients. Anaesth. 2011;66(10):907-12.
2. Rowe DC. Under the skin: on the impartial treatment of genetic and environmental hypotheses of racial differences. Am 38. Debiec J, Conell-Price J, Evansmith J, Shafer SL, Flood P. Mathematical modeling of the pain and progress of the first
Psychol. 2005;60(1):60-70. stage of nulliparous labor. Anesthesiol. 2009;111(5):1093-110.
3. Rowe DC, Cleveland HH. Academic achievement in blacks and whites: are the developmental processes similar? 39. Siffert W, Forster P, Jöckel KH, Mvere DA, Brinkmann B, Naber C, et al. Worldwide ethnic distribution of the G protein
Intelligence. 1996;23(3):205-28. beta3 subunit 825T allele and its association with obesity in Caucasian, Chinese, and Black African individuals. Journal of
4. Rushton JP, Jensen AR. Thirty years of research on race differences in cognitive ability. Psychology, Public Policy, and Law. the American Society of Nephrology: JASN. 1999;10(9):1921.
2005;11(2):235-94. 40. Sachse C, Brockmoeller J, Bauer S, Roots I. Cytochrome P450 2D6 variants in a Caucasian population: Allele
5. Herrnstein RJ, Murray CA. The bell curve: intelligence and class structure in American life. New York: Simon & Schuster; frequencies and phenotypic consequences. Am J Hum Genet. 1997;60(2):284-95.
1996. 41. Bradford LD. CYP2D6 allele frequency in European Caucasians, Asians, Africans and their descendants.
6. Cooper RS. Race and IQ. Am Psychol. 2005;60(1):71-6. Pharmacogenomics. 2002;3(2):229-43.
7. Sternberg RJ, Grigorenko EL, Kidd KK. Intelligence, race, and genetics. Am Psychol. 2005;60(1):46-59. 42. Hahn RA, Truman BI, Barker ND. Identifying ancestry: the reliability of ancestral identification in the United States by self,
proxy, interviewer, and funeral director. Epidemiology. 1996;7(1):75-80.
8. Ortolani O, Conti A, Sall-Ka B, Salleras JP, Diouf E, Kane O, et al. The recovery of Senegalese African blacks from
intravenous anesthesia with propofol and remifentanil is slower than that of Caucasians. Anesth Analg. 2001;93(5):1222-6. 43. Williams DR. Race/ethnicity and socioeconomic status: measurement and methodological issues. Int J Health Serv.
1996;26(3):483-505.
9. Natarajan A, Strandvik GF, Pattanayak R, Chakithandy S, Passalacqua AM, Lewis CM, et al. Effect of ethnicity on the
hypnotic and cardiovascular characteristics of propofol induction. Anaesth. 2011;66(1):15-9. 44. Loveman M, Muniz JO. How Puerto Rico became white: boundary dynamics and intercensus racial reclassification.
American sociological review. 2007;72(6):915.
10. Taylor MR, Sun AY, Davis G, Fiuzat M, Liggett SB, Bristow MR. Race, common genetic variation, and therapeutic
response disparities in heart failure. JACC Heart Fail. 2014;2(6):561-72. 45. Forster P. Ice Ages and the mitochondrial DNA chronology of human dispersals: a review. Philos Trans R Soc Land B Biol
Sci. 2004;359(1442):255-64.
11. Bond C, LaForge KS, Tian M, Melia D, Zhang S, Borg L, et al. Single-nucleotide polymorphism in the human mu opioid
receptor gene alters beta-endorphin binding and activity: possible implications for opiate addiction. Proc Natl Acad Sci U 46. Batai K, Kittles R. Race, genetic ancestry, and health. Race Soc Probl. 2013;5(2):81-7.
S A. 1998;95(16):9608-13. 47. Templeton AR. Biological races in humans. Stud Hist Philos Biol Biomed Sci. 2013;44(3):262-71.
12. Carson P, Ziesche S, Johnson G, Cohn JN. Racial differences in response to therapy for heart failure: analysis of the 48. Relethford J. Reflections of our past : how human history is revealed in our genes. Pbk. ed. Boulder, Colo: Westview
vasodilator-heart failure trials. Vasodilator-Heart Failure Trial Study Group. J Card Fail. 1999;5(3):178-87. Press; 2004.
13. He FJ, Markandu ND, Sagnella GA, MacGregor GA. Importance of the renin system in determining blood pressure fall 49. Rotimi CN, Jorde LB. Ancestry and disease in the age of genomic medicine. N Engl J Med. 2010;363(16):1551-8.
with salt restriction in black and white hypertensives. Hypertens. 1998;32(5):820-4. 50. Serre D, Paabo S. Evidence for gradients of human genetic diversity within and among continents. Genome Research.
14. Exner DV, Dries DL, Domanski MJ, Cohn JN. Lesser response to angiotensin-converting-enzyme inhibitor therapy in black 2004;14(9):1679.
as compared with white patients with left ventricular dysfunction. N Engl J Med. 2001;344(18):1351-7. 51. Barbujani G, Colonna V. Human genome diversity: frequently asked questions. Trends Genet. 2010;26(7):285-95.
15. Aviv A. Cellular calcium and sodium regulation, salt-sensitivity and essential hypertension in African Americans. Ethn 52. Novembre J, Di Rienzo A. Spatial patterns of variation due to natural selection in humans. Nat Rev Genet.
Health. 1996;1(3):275-81. 2009;10(11):745-55.
16. Kimura M, Cho JH, Lasker N, Aviv A. Differences in platelet calcium regulation between African Americans and 53. Jablonski NG. The evolution and meaning of human skin color variation. In: Goodman AH, Moses YT, Jones JL, editors.
Caucasians: implications for the predisposition of African Americans to essential hypertension. J Hypertens. Race: are we so different? Malden, Mass: Wiley-Blackwell; 2012. p.106.
1994;12(2):199-207. 54. Rosenberg NA, Pritchard JK, Weber JL, Cann HM, Kidd KK, Zhivotovsky LA, et al. Genetic structure of human
17. Lindhorst J, Alexander N, Blignaut J, Rayner B. Differences in hypertension between blacks and whites: an overview. populations. Science. 2002;298(5602):2381-5.
Cardiovasc J Afr. 2007;18(4):241-7. 55. Pritchard JK, Stephens M, Donnelly P. Inference of population structure using multilocus genotype data. Genetics.
18. Patel PD, Velazquez JL, Arora RR. Endothelial dysfunction in African-Americans. Int J Cardiol. 2009;132(2):157-72. 2000;155(2):945-59.
19. Campbell CM, Edwards RR. Ethnic differences in pain and pain management. Pain management. 2012;2(3):219-30. 56. Wade N. Gene study identifies 5 main human populations. New York Times; 2002 Dec 20. 5A, p.37.
20. Campbell CM, France CR, Robinson ME, Logan HL, Geffken GR, Fillingim RB. Ethnic differences in diffuse noxious 57. Leroi AM. A family tree in every gene. New York Times; 2005 Mar 14. Op-Ed. contributor.
inhibitory controls. J Pain. 2008;9(8):759-66. 58. Bolnick DA. Individual ancestry inference and the reification of race as a biological phenomenon. In: Koenig BA, Lee SS-J,
21. Levey AS, Bosch JP, Lewis JB, Greene T, Rogers N, Roth D. A more accurate method to estimate glomerular filtration Richardson SS, editors. Revisiting race in a genomic age: New Brunswick, N.J. : Rutgers University Press c2008.; 2008.
rate from serum creatinine: a new prediction equation. Modification of diet in renal disease study group. Ann Intern Med. 59. Campbell MC, Tishkoff SA. African genetic diversity: implications for human demographic history, modern human origins,
1999;130(6):461-70. and complex disease mapping. Annu Rev Genomics Hum Genet. 2008;9:403-33.
22. International Surgical Outcomes Study (ISOS). Frequently Asked Questions. [Internet]. ISOS; 2014 [cited 2017 May 30]. 60. Limdi NA, Wadelius M, Cavallari L, Eriksson N, Crawford DC, Lee MT, et al. Warfarin pharmacogenetics: a single
Available from: http://isos.org.uk/docs/FAQ.pdf. VKORC1 polymorphism is predictive of dose across 3 racial groups. Blood. 2010;115(18):3827-34.
23. Schug SA, Palmer GM, Scott DA, Halliwell R, Trinca J, et al. Acute pain management: scientific evidence. 4th ed. 61. Bliss C. Racial taxonomy in genomics. Soc Sci Med. 2011;73(7):1019-27.
Melbourne: ANZCA & FPM; 2015. 62. Shanawani H, Dame L, Schwartz DA, Cook-Deegan R. Non-reporting and inconsistent reporting of race and ethnicity in
24. Cooper RS, Kaufman JS, Ward R. Race and genomics. N Engl J Med. 2003;348(12):1166-70. articles that claim associations among genotype, outcome, and race or ethnicity. J Med Ethics. 2006;32(12):724.
25. Pena SD. The fallacy of racial pharmacogenomics. Braz J Med Biol Res. 2011;44(4):268-75. 63. Shields AE, Fortun M, Hammonds EM, King PA, Lerman C, Rapp R, et al. The use of race variables in genetic studies of
26. Kahn J. Race in a bottle. Scientific American Mind. 2007 Aug:40-5. complex traits and the goal of reducing health disparities: a transdisciplinary perspective. Am Psychol. 2005;60(1):
27. Duster T. Medicine. Race and reification in science. Science. 2005;307(5712):1050-1. 77-103.
28. O’Brien JM. Why is it always about race with you Americans? Crit Care Med. 2009;37(1):324-5. 64. Hunt LM, Megyesi MS. The ambiguous meanings of the racial/ ethnic categories routinely used in human genetics
29. Outram SM, Ellison GT. Arguments against the use of racialized categories as genetic variables in biomedical research: research. Soc Sci Med. 2008;66(2):349-61.
what are they, and why are they being ignored? In: Whitmarsh I, Jones DS, editors. What’s the use of race?: modern 65. Lee C. ‘Race’ and ‘ethnicity’ in biomedical research: how do scientists construct and explain differences in health? Soc
governance and the biology of difference. Cambridge, Mass; London: MIT Press; 2010. Sci Med. 2008;68(6):1183-90.
30. Roberts D. Fatal invention: how science, politics, and big business re-create race in the twenty-first century. New York: 66. Sankar P, Cho MK, Mountain J. Race and ethnicity in genetic research. Am J Med Genet A. 2007;143A(9):961-70.
New Press; 2011. 67. Yaeger R, Avila-Bront A, Abdul K, Nolan PC, Grann VR, Birchette MG, et al. Comparing genetic ancestry and self-
31. Kaufman JS, Cooper RS. Use of racial and ethnic identity in medical evaluations and treatments. In: Whitmarsh I, Jones described race in african americans born in the United States and in Africa. Cancer Epidemiol Biomarkers Prev.
DS, editors. What’s the use of race?: modern governance and the biology of difference. Cambridge, Mass; London: MIT 2008;17(6):1329-38.
Press; 2010. 68. Feldman MW, Lewontin RC. Race, ancestry and medicine. In: Koenig BA, Lee SS, Richardson SS, editors. Revisiting race
32. Lee SS. Racializing drug design: implications of pharmacogenomics for health disparities. Am J Public Health. in a genomic age. New Brunswick, NJ: Rutgers University Press; 2008. p.89-101.
2005;95(12):2133-8. 69. Visscher PM. Human complex trait genetics in the 21st Century. Genetics. 2016;202(2):377-9.
33. Lahn BT, Ebenstein L. Let’s celebrate human genetic diversity. Nature. 2009;461(7265):726-8. 70. Casals F, Idaghdour Y, Hussin J, Awadalla P. Next-generation sequencing approaches for genetic mapping of complex
34. Wade NJ. A troublesome inheritance: genes, race, and human history. New York: The Penguin Press; 2014. diseases. J Neuroimmunol. 2012;248(1-2):10-22.
35. Ceci S, Williams WM. Darwin 200: Should scientists study race and IQ? YES: The scientific truth must be pursued. 71. Moutsianas L, Morris AP. Methodology for the analysis of rare genetic variation in genome-wide association and re-
Nature. 2009;457(7231):788-9. sequencing studies of complex human traits. Brief Funct Genomics. 2014;13(5):362-70.
308 Australasian Anaesthesia 2019 – Assessment
72. The 1000 Genomes Project Consortium, Auton A, Brooks LD, et al. A global reference for human genetic variation.
Nature. 2015;526(7571):68-74.
73. National Institute of Health. How is sickle cell disease diagnosed? [Internet]. US Department of Health and Human
Services; 2016 [cited 2016 Aug 16]. Available from: https://www.nhlbi.nih.gov/health-topics/sickle-cell-disease.
74. Cooper RS, Rotimi CN, Kaufman JS, Owoaje EE, Fraser H, Forrester T, et al. Prevalence of NIDDM among populations of
the African diaspora. Diabetes care. 1997;20(3):343-8.
75. Cooper RS, Wolf-Maier K, Luke A, Adeyemo A, Banegas JR, Forrester T, et al. An international comparative study of blood
pressure in populations of European vs. African descent. BMC Med. 2005;3:2.
76. Liu E. The uncoupling of race in cancer genetics. Supplement: 6th Biennial Symposium on Minorities, the Medically
Underserved & Cancer. Cancer. 1998;83:1765-9.
77. Arora P, Rajagopalan S, Patel N, Nainani N, Venuto RC, Lohr JW. The MDRD equation underestimates the prevalence
of CKD among blacks and overestimates the prevalence of CKD among whites compared to the CKD-EPI equation: a
retrospective cohort study. BMC nephrology. 2012;13:4.
78. Martin T. The color of kidneys. Am J Kidney Dis. 2011;58(5):xxvii-xxviii.
79. Eastwood JB, Kerry SM, Plange-Rhule J, Micah FB, Antwi S, Boa FG, et al. Assessment of GFR by four methods in adults
in Ashanti, Ghana: the need for an eGFR equation for lean African populations. Nephrol Dial Transplant. 2010;25(7):
2178-87.
80. van Deventer HE, George JA, Paiker JE, Becker PJ, Katz IJ. Estimating glomerular filtration rate in Black south Africans by
use of the modification of diet in renal disease and Cockcroft-Gault equations. Clin Chem. 2008;54(7):1197-202.
81. Ordunez P, Kaufman JS, Benet M, Morejon A, Silva LC, Shoham DA, et al. Blacks and Whites in the Cuba have equal
prevalence of hypertension: confirmation from a new population survey. BMC Public Health. 2013;13:169.
82. Lynch J, Bevanb J, Achterc P, Harrisd T, Condit C. A preliminary study of how multiple exposures to messages about
genetics impact on lay attitudes towards racial and genetic discrimination. New Genet Soc. 2008;27(1):43-5.
83. Caulfield T. Defining ‘race’; as the defining problem. Houst Law Rev. 2009;45(5):1475-82.
84. Bradby H. Race, ethnicity and health: the costs and benefits of conceptualising racism and ethnicity. Soc Sci Med.
2012;75(6):955-8.
85. Weiss KM, Fullerton SM. Racing around, getting nowhere. Evol Anthropol. 2005;14(5):165-9.
86. Kahn J. The troubling persistence of race in pharmacogenomics. J Law Med Ethics. 2012;40(4):873-85.
87. Ng PC, Zhao Q, Levy S, Strausberg RL, Venter JC. Individual genomes instead of race for personalized medicine. Clin
Pharmacol Ther. 2008;84(3):306-9.
88. Nature Genetics Editors. Census, race and science. Nat Genet. 2000;24(2):97-8.
89. Nature Genetics Editors. The unexamined ‘Caucasian’. Nat Genet. 2004;36(6):541.
90. Wellcome Sanger Institute. 1000 Genomes. A deep catalogue of human genetic variation. [Internet]. United Kingdom;
2015. Available from: https://web.archive.org/web/20151230065033/browser.1000genomes.org/index.html.
Education
Human factors in anaesthesia:
Beyond non-technical skills
Stuart Marshall
Feasibility of an open access collaborative

anaesthesia knowledge base
Ryan Juniper, Agnieszka Ganska
Human factors in anaesthesia: Beyond non-technical skills 313
Human factors in anaesthesia: Beyond non-technical skills

Stuart Marshall MBChB, MHumanFact PhD, MRCA, FANZCA
Specialist Anaesthetist, and Director of Clinical Training at Peninsula Health, and Clinical Human Factors Lead
at The Alfred hospital in Melbourne.
Stuart has a Master’s degree and PhD in Human Factors and currently holds an NHMRC Early Career
Researcher Fellowship at Monash University, examining the use of cognitive aids in clinical emergencies. He
has helped develop several crisis management courses including the ANZCA EMAC course.
INTRODUCTION
“Human factors” is a commonly misunderstood term variably describing the errors that humans make, the
interpersonal skills that govern their interactions or the way that humans perform under different circumstances
and organisational situations1. However, the professional bodies representing human factors practitioners take a
more comprehensive view:
“Ergonomics (or human factors) is the scientific discipline concerned with the understanding of interactions
among humans and other elements of a system, and the profession that applies theory, principles, data and
methods to design in order to optimize human well-being and overall system performance2."
In other words, it is the science of optimising the effect of the human in the system to make the system safer
and more efficient. Ensuring the physical environment is comfortable minimises the risk of injury or repetitive
strain. It reduces staff sickness and creates a setting that ensures that clinicians and patients are able to
function at the highest levels. Producing an environment where it is easier to communicate, make the correct,
timely decisions and coordinate critical actions also reduces the rate of adverse events. This ensures that the
safety of the patient is maintained, but even if something does go wrong, that the mitigation strategies are easy
to implement to prevent harm.
Human factors/ergonomics (HF/E) as a discipline is not new. The Chartered Institute for Ergonomics and
Human Factors (CIEHF) in the UK celebrates its 70th birthday this year. At its core the specialty is concerned
with safety and has infiltrated almost every high hazard area of manufacturing, transport and power generation,
yet it lags behind in health. In this article I will outline what HF/E is, what it has achieved and to what extent
anaesthesia might be affected and indeed has already been affected by this area of research.
A SHORT HISTORY OF HUMAN FAILURE

Humans fail for a myriad of reasons, but despite popular opinion, failure is for the most part predictable.
Anaesthesia consists of dichotomous situations that vary between high stress and boredom. Regardless of
whether the setting presents new problems or demands repetitive tasks, the types of mistakes are foreseeable.
With the addition of fatigue, poor lighting, distraction and the requirement to multitask, it is clear why decisions
and actions may occasionally result in an outcome that was the opposite of what was intended. Anaesthesia
inevitably provides all of these preconditions and more. The fabled “hours of boredom punctuated with
moments of terror” that characterise our work environment both pose very different challenges3. During the
low levels of activity, prolonged vigilance is required and this is challenging as humans we thrive on variety
and finding patterns in information. When these low stress times include repetitive tasks such as drawing up
medications, attention can be lacking4. At the opposite end of the spectrum, it is well-recognised that the
information we are able to attend to during emergencies is more selective than normal (“cognitive tunnelling”).
This means that crucial information that might challenge a suspected diagnosis or affect management can easily
be missed in the flood of signals and data that need to be processed. Furthermore, retrieval from memory is
also impaired5, and communication may be degraded under high stress conditions, as the attention must switch
between tasks which have very different cognitive and social requirements6.
Until recently, errors have been classified into groups such as slips, lapses and mistakes4. By classifying errors
and counting the number of times they happen, researchers had hoped to provide a broader understanding of
their nature, and to determine where the solutions might lie. This method of error classification unfortunately
over-simplifies the processes that lead to the issue7. It puts the onus on the human to take more care, rather
than changing the preconditions that the error occurred in. Merely advising more vigilance or providing
piecemeal solutions to complex problems has not had the lasting effect on patient safety that those collecting
data on clinical events had hoped for. This is primarily because of the systemic, rather than individual nature of
errors that lead to adverse events.
314 Australasian Anaesthesia 2019 – Education Human factors in anaesthesia: Beyond non-technical skills 315
When mistakes happen, it is not surprising that they are commonly associated with conditions within the threats and errors (threat and error management) and observing the features of CRM not in simulation but in
broader system that act as contributing factors. The common response to these mistakes is to blame ourselves regular routine flights12. These real-world observations, called Line Oriented Flight Training (LOFT) ensured
rather than to recognise that all decision making processes occur as a result of the entire system rather than an application of CRM principles not just in simulation but into the normal functioning of an airline.
internal cognitive process. Indeed, some HF/E purists believe that there is no such thing as “making an error”,
Although the incorporation of human performance education in anaesthesia has lagged behind the aviation
but that errors are a product of the system rather than the person7. In other words, it should be feasible to
industry, the training in human performance and Crisis Resource Management has followed a very similar path.
produce a system that makes erroneous decisions and actions impossible to commit.
The Anaesthetic Crisis Resource Management course (ACRM) was developed by David Gaba and his team
In 1949 Alphonse Chapanis was a psychologist working for the US air force. Several aircraft had been in Stanford in the early 1990s13. The purpose of ACRM was to teach the hidden curriculum of non-technical
damaged because the undercarriage knob was being activated rather than the retraction of the wing flaps after skills. The ability to plan, communicate, anticipate, make decisions and manage one’s own performance-shaping
landing8. After some initial work, it was clear that the reason for the mistakes was the close physical proximity factors (such as fatigue) were rarely and certainly not explicitly taught in undergraduate or anaesthetic training
of the identical controls in the cockpit for the flaps and landing gear. Chapanis performed several experiments programs. In parallels with aviation, there was a growing recognition that in anaesthesia and perioperative care,
looking at how the controls could be more easily identified by shape and in the process discovered “shape deficiencies in care often happened because of the breakdown of effective teamwork, rather than as a result of
coding”. A round knob was placed on top of the landing gear controls (shaped like a wheel) and a flat surface technical flaws.
on top of the wing flap control (shaped like the wing flap). There were no further reported instances of the
The ACRM course included reference to several “key points” of Crisis Management (outlined in Table 1). Over
mishap occurring thereafter.
the years the number of key points has expanded to reflect perhaps some of the subtleties and subdivisions of
Chapanis’ story is instructive to health professionals and particularly anaesthetists in many ways. As a specialty these broad overarching statements14. The key points represent reminders to the clinician of ideal behaviours.
we are perhaps more aware than other clinicians of the importance of design. There is no doubt that all of Unfortunately, these points are often difficult to translate into observable behaviours. For example, “call for help
the pilots recurrently making the same mistake were well-trained, highly-motivated and keen to avoid any early” might seem to be straightforward, but when variables such as the type of help required, where the help is
disciplinary action – just like clinical staff in a hospital. Consequently, it’s unlikely that further education would located and the time of day are considered, “early” could equate to very different time scales. In a large tertiary
have helped prevent this mishap from occurring. Unfortunately, the standard response to adverse events like centre it might be pressing the emergency bell after a first or second failed attempt at intubation, but in a rural
this in hospitals is further education, or disciplinary action, for not following the protocol. centre, it might be contacting and preparing to transport a patient with a potentially difficult airway to a major
centre. In essence these statements need to be translated into practical actions that can be exercised during
Perhaps the most perfect analogy to Chapanis’ levers is the problem with medication labelling. Medication vials
clinical work.
that can look almost identical can be stored next to each other or even spill into the adjacent receptacle and
be mistaken for another medication. Rather than taking systemic steps to change the cues that prevent these
mix-ups occurring, time after time the corrective measures are punitive to the individual clinician that has been Table 1. Key points of Crisis Resource Management14.
set up to make the mistake. Rather than taking steps to ensure distinctive packaging, clinicians are just advised
to “take more care” by reading the label more carefully9. A substantial failure rate will always remain when Know the environment
education and training solutions are used in place of redesign.
Anticipate and plan
The solution that Chapanis found was not born out of aviation knowledge or education but from engineering and
Call for help early
psychology. This is in effect a parallel situation to health, with solutions to many of our problems found in design
and psychology, not in more extensive education of clinicians or greater knowledge of traditional clinical sciences. Exercise leadership and followership
Nevertheless, there are aspects of human factors that are amenable to educational solutions, at least in Distribute the workload
part. Improvement of teamwork and management of emergency situations can be improved by behavioural Mobilise all available resources
interventions, something that Australia has been at the forefront of.
Communicate effectively
THE EDUCATIONAL SOLUTION Use all available information
In 2001, several simulation centres under the guidance of the Australian and New Zealand College of Prevent and manage fixation errors
Anaesthetists (ANZCA) ran a course for the first time that would change the face of anaesthetic training across Cross (double) check
the region10. The Effective Management of Anaesthetic Crises (EMAC) course had been in development for a
Use cognitive aids
couple of years and had been prompted by a number of events that had occurred in a short period of time. The
first commercial human patient simulator had been displayed at the World Congress of Anaesthesia in Sydney Re-evaluate repeatedly
in 1996 and had generated a lot of interest. The combination of an increasing interest in simulation to improve Use good teamwork
safety (much as aviation had done decades earlier) and the availability of new technology led ANZCA to explore
how simulation could address team issues in anaesthesia. Allocate attention wisely
The core of the EMAC course was (and still is) the human performance module. This module examines the Set priorities dynamically
physical and cognitive limitations of the anaesthetist and the broader perioperative team. The initial structure
of the module and the philosophy behind it was very much aligned with aviation human factors training at the The key points also have considerable overlap. For example, effective delegation of roles by a leader could
time – that humans in complex systems should be aware of the cognitive and physical biases that lead to potentially be included in “Exercising leadership and followership” and “Distribution of the workload”.
errors. Some 20 years earlier, Robert Helmreich, an aviation psychology pioneer recognised that most of the
commercial aviation crashes were not due to equipment failure but to human failings11. Examples such as the Interpretation and recall of (for example) 15 separate statements that reflect the ideal behaviours is not
1977 Tenerife airport disaster, where two 747 passenger jets collided on the runway killing 583 people, were compatible with current theories of working memory. The Psychologist, George Miller’s famous 1956 work
due in the main part to communication deficiencies and organisational process issues. This and other incidents suggested that only seven items (plus or minus two, depending on the circumstances) could be held in working
led to the development of specific, mandatory training of pilots in human performance and “non-technical” or memory15. It is unlikely that these diverse statements could all be recalled during complex clinical work, and
teamworking skills, termed Crew Resource Management, or “CRM”. Initial CRM training consisted of education highly improbable that they would be adequately interpreted and enacted.
around psychological principles such as fixation, risk and management of “difficult personalities”. However, as
The first two generations of the EMAC course were based on ACRM and referenced the key points of crisis
it evolved, it became clear that a more practical approach was required. The training evolved to include specific
management. In the second generation however, these principles were augmented by the emerging concepts
topics such as safe management of automation and speaking up (graded assertiveness) on the flight deck when
of threat and error management being used in aviation CRM. The inclusion of concepts such as situation
mistakes or dangerous conditions were noted. Later versions of aviation CRM involved prospectively identifying
316 Australasian Anaesthesia 2019 – Education Human factors in anaesthesia: Beyond non-technical skills 317
awareness and prospective hazard identification helped to inform topics such as airway management planning Newer theories of safety science include the concept of (organisational) resilience – the idea that organisations
and avoidance of cognitive tunnelling when working under stressful conditions. or systems can withstand stresses and adapt depending on the circumstances19. For example, during the
influenza season a hospital may elect to suspend elective surgery, create additional spaces and resources
A more evidenced-based approach to identification of the non-technical (team working) skills in anaesthesia
for the new clinical load or find new ways to redistribute staffing to minimise the effects of the conditions.
was established by a group at the University of Aberdeen, in developing the Anaesthetists’ Non-Technical Skills
In an organisational sense this resilience is created by individuals making decisions to improve efficiency.
(ANTS) framework16. A comprehensive review of team working failures during critical events was teased out
Other examples include small, individual actions that seek to improve safety but aren’t necessarily codified or
using interviews and focus groups. This created a large number of specific behaviours that were later clustered
recognised by the organisation20. Examples in anaesthesia might be laying out the anaesthesia work surface in
into four categories, each with between three and five elements. In turn, these elements had exemplars of
a particular way to more easily identify the position of syringes or adopting a personal checklist for a particular
behaviour that could be compared with those observed by the individuals in the team.
operation to ensure nothing is missed. These individual actions represent active adaptations to maintain safe
The ANTS framework took the idea of non-technical skills and made them more concrete for anaesthetists. They performance, often in the face of threats that operate to decrease safety margins such as production pressure
were now behaviours that could be observed and perhaps even scored to demonstrate the progression of a and distraction. Prospectively identifying these adaptations has led to a new paradigm in safety science, that of
trainee’s team working skills. However, there were difficulties in standardising these scoring systems and while “Safety II”.
useful for a research study, application into workplace-based training was difficult. Nevertheless, the framework
Safety II works on the principle that humans are not the weakest part of a system but the most adaptable
gave an inventory, a curriculum and a lexicon to help educators understand the main behaviours involved in
and best able to identify risks that need modification. This is a marked change from the traditional model of
anaesthetic teamwork.
safety (Safety I) that aims to remove the human from the processes as the least reliable component. Safety II
recognises that in the majority of instances where the safety of the patient is threatened, it is only by the rapid
Table 2. The Anaesthetists’ Non-Technical Skills framework16. action of a clinician that an adverse event is averted. By capturing and documenting these instances where
a clinician made a change to avert or mitigate a disaster we can as a community place these into practice
Categories Elements guidelines and make the system even safer. Safety II therefore recognises that learning can occur not only
Task management Planning and preparing from adverse events and poor outcomes but also from events where safety was maintained, and no outcome
occurred. It recognises more fully that safety is a “dynamic non-event” – in other words an active process by
Prioritising staff to prevent incidents that are largely invisible to reporting systems.
Providing and maintaining standards
Resilience at an organisational level means that the health system can actively prevent incidents from occurring
Identifying and utilising resources (foresight), can mitigate an adverse event from causing severe harm (coping), and can recover from the event
Team working Coordinating activities with team once it has happened (recovery) and learn from it21. A Safety II approach to anaesthesia can enhance our ability
to create this resilient system by learning from and strengthening the many more preventative actions that
Exchanging information succeeded, rather than just identifying the ones that unfortunately failed.
Using authority and assertiveness
Assessing capabilities THE FUTURE OF HUMAN FACTORS IN ANAESTHESIA
Supporting others Anaesthetists have been at the forefront of safety in health. The advances in technology, processes and training
over the past 50 years has been remarkable. There is every indication that we will continue to lead and become
Situation awareness Gathering information ever safer. Mortality from anaesthesia in high income countries has dropped from about 1:2000 anaesthetics
Recognising and understanding in the 1950s to 1970s22 to 1:57,000 in the latest ANZCA safety of anaesthesia report23. These improvements
have occurred despite increasing numbers of surgical procedures being undertaken on increasingly older
Anticipating
patients with a higher likelihood of coexisting diseases and advanced age. These safety improvements have
Decision making Identifying options resulted from improved technology and training and identification of hazards and their avoidance through design
Balancing risks and selecting options of equipment, processes and education.
Re-evaluating Human factors will increasingly be implemented more formally in designing new interventions. By identifying
when and where we are likely to make poor and difficult decisions, these cognitive processes can be helped
through design of memory aids and equipment. A recent example has been the design of education, cognitive
The third and latest version of EMAC uses an inventory of observable team behaviours17. This list includes a aids and airway equipment storage to prompt anaesthetists to make the difficult decision to transition to
number of suggestions and exercises for the course participants to practise before attending the two-and-a-half- an emergency front of neck airway technique. In this case, a simple visual cognitive aid (the Vortex model)
day simulation program, rather than expecting behavioural change to occur (and be sustained) in a short period reminds the clinicians to try all three options for supraglottic airway management (facemask, tracheal tube and
outside of their normal work environment. Strategies such as speaking up (assertiveness), clinical handovers supraglottic airway) in the optimal conditions (for example, positioning, muscle relaxation). The design of the
and delegation in crises are modelled and the participants given feedback during the course. This reflects best airway trolley and congruence between the symbols of the cognitive aid and trolley help all members of the
educational practice of inducing and maintaining behaviour change when returning to the clinical setting. team identify what is needed24. Supplementing the training of all the team members with this equipment and
documentation helps develop the same understanding of the emergency should it occur. Having other team
BEYOND THE NON-TECHNICAL SKILLS members with the same world-view (that is, a shared “mental model”) allows them to speak up and advocate for
the safety and continued oxygenation of the patient.
As already noted, education alone is unlikely to improve perioperative safety. Careful, user-centred design
of clinical settings, equipment, processes and organisational structures is required to ensure a safe, well- Ensuring a reduction in variation between clinical areas is also important. In the airway trolley example it
functioning system. Regulations, guidelines and standards from professional organisations such as ANZCA makes sense to ensure the same equipment and training of staff occurs wherever airways are managed in an
have to a large degree informed these aspects of safe anaesthetic care over the years. In additional to this, organisation. In that way, if an anaesthetic team are called to assist with a difficult airway in the intensive care
safety alerts are generated and disseminated through professional and regulatory bodies. Mature national and unit or emergency department, the same understanding and equipment is available to the clinicians.
local reporting systems of medical device and pharmaceutical safety exist in high income countries where safety For human factors to be more broadly integrated into anaesthetic practice there needs to be a more
is well established. In low resource countries further safety measures and networks are required, but in richer comprehensive awareness of its scope and ability to solve the difficult clinical safety issues. The Chartered
areas routine anaesthesia is approaching levels of safety associated with ultrasafe industries. Having very safe Institute of Ergonomics and Human Factors in in the UK recently released a white paper calling for human
conditions leads us to the next problem of how we can continue to improve when there are few incidents to
learn from18.
318 Australasian Anaesthesia 2019 – Education Feasibility of an open access collaborative anaesthesia knowledge base 319
factors expertise to be accessible to all health organisations across the country25. Having a designated human Feasibility of an open access collaborative anaesthesia
factors specialist that can take a thorough view of the systemic aspects of safety problems will likely have a
greater effect than traditional education and clinical-only based solutions to problems. Like Chapanis’ aircraft knowledge base
controls, the solutions to improved safety will often lie outside of areas that clinicians traditionally have expertise
in. Our understanding of safety is evolving, and along with it we need to improve our basic knowledge of these Ryan Juniper FANZCA MBBS(Hons) PGCertClinEd
areas and collaborate with human factors practitioners with complementary skills to our own.
Dr Ryan Juniper is a specialist anaesthetist at Royal Perth Hospital. He has a special interest in collaborative
anaesthesia education.
REFERENCES
Agnieszka Ganska FANZCA FRCA MD
1. Shorrock S. Four kinds of ‘human factors’. [Internet]. Humanistic Systems; 2017. Available from: https://humanisticsystems.
com/2017/08/11/four-kinds-of-human-factors-1-the-human-factor/. Dr Agnieszka Ganska is a provisional research fellow at Royal Perth Hospital. She graduated from the Medical
2. International Ergonomics Association (IEA). What is ergonomics? [Internet]. IEA; 2017. Available from: https://www.iea.cc/ University of Gdansk, Poland, and completed her anaesthetic training in Wales, UK, with subspecialty training in
whats/index.html. regional and burns anaesthesia. She has an interest in medical education.
3. Toff NJ. Human factors in anaesthesia: lessons from aviation. Br J Anaesth. 2010;105(1):21-5.
4. Rasmussen J. Skills, rules and knowledge; signals, signs and symbols and other distinctions in human performance
models. IEEE Trans Syst Man Cybern. 1983;13(3):257-66.
BACKGROUND
5. Kuhlmann S, Piel M, Wolf OT. Impaired memory retrieval after psychosocial stress in healthy young men. J Neurosci. Anaesthetists, along with the wider medical community, are “drowning in information, but starving for
2005;25(11):2977-82. knowledge”. The dramatic increase in the quantity of medical knowledge and research has seen around 1
6. Rogers RD, Monsell S. The cost of a predictable switch between simple cognitive tasks. J Exp Psychol Gen. million papers added to the PubMed database each year in the biomedical field alone – around 2 per minute1.
1995;124:207-31.
The personal distillation, critique, and translation of information of this magnitude for clinical practice has
7. Dekker SW. Doctors are more dangerous than gun owners: a rejoinder to error counting. Hum Factors. 2007;49(2):177-84.
become an impossible task. Many techniques have been employed by clinicians in an attempt to surmount the
8. Chapanis A, Garner WR, Morgan CT. Controls for human use, applied experimental psychology. New York: John Wiley
and Sons Inc; 1949. p. 308-15.
insurmountable and stay abreast of current knowledge and practice; limiting sources of subscribed content,
9. Marshall SD, Chrimes N. Medication handling: towards a practical human-centred approach. Anaesthesia. 2019;74:280-4. journal clubs, specials interest groups, conferences, tea-rooms, RSS feeds and Free Open Access Med-
10. Marshall SD. EMAC comes of age. Australian and New Zealand College of Anaesthetists Bulletin [Internet]. 2019 Feb. ucation (FOAM) among others.
Available from: http://www.anzca.edu.au/documents/bulletin-june-2019-final-digital.pdf. The benefits of FOAM have been investigated in this journal previously2, and include a low barrier to entry, a
11. Helmreich RL. Cockpit management attitudes. Hum Factors. 1984;26:583-9. modern adult pedagogy and educational toolset, and the opportunity for disciplinary collaboration – harnessing
12. Helmreich RL, C. MA, Wilhelm JA. The evolution of crew resource management training in commercial aviation. Int J Aviat the power of numbers via crowdsourcing content generation and quality control. Despite the desire among
Psychol. 1999;9(1):19-32.
specialist anaesthetists to both consume and produce content, there is a need for the development of
13. Howard S, Gaba D, Fish K, Yang G, Sarnquist F. Anesthesia crisis resource management training: teaching
anesthesiologists to handle critical incidents. Aviat Space Environ Med. 1992;63(9):763-70. quality anaesthesia FOAM resources. Compared to our peers representing other medical specialties, we are
14. Rall M, Gaba DM, Howard SK, Dieckmann P. Human performance and patient safety. In: Miller R, editor. Anesthesia. 7th languishing in our development of online education material – particularly in the format of an online knowledge
ed. Elsevier; 2009. p. 93-149. database (Radiopaedia3, WikEM4, EyeWiki5, LITFL6, HemOnc7 among others).
15. Miller G. The magical number seven, plus or minus two: some limits on our capacity for processing information. Psychol
The aim of this article is to explore both the features of the ideal FOAM resource and the feasibility of creating a
Rev. 1956;63:81-97.
collaborative open access anaesthesia education resource across Australia and New Zealand.
16. Fletcher G, Flin R, McGeorge P, Glavin R, Maran N, Patey R. Anaesthetists’ Non-Technical Skills (ANTS): evaluation of a
behavioural marker system. Br J Anaesth. 2003;90(5):580-8.
17. Marshall SD, Torrie J, Schnittker R. Human factors. In: Riley R, editor. EMAC course participant manual. 3rd ed. Melbourne CHARACTERISTICS OF THE IDEAL FOAM RESOURCE
(VIC): Australian and New Zealand College of Anaesthetists; 2017.
18. Schnittker R, Marshall SD. Safe anaesthetic care: further improvements require a focus on resilience. Br J Anaesth. Free
2015;115(5):643-5. The ideal FOAM resource would be provided without cost or any form of paywall associated with its use,
19. Carthey J, de Leval MR, Reason JT. Institutional resilience in healthcare systems. Qual Health Care. 2001;10(1):29. institutional or otherwise. Content would be also freely useable by the end-user under a Creative Commons
20. Cook RI, Render M, Woods DD. Gaps in the continuity of care and progress on patient safety. Br Med J. 2000;320:791-4. International License.
21. Hollnagel E, Woods DD, Leveson NC. Resilience engineering: concepts and precepts. Aldershot (UK): CRC Press,
2006. Open access
22. Aitkenhead AR. Injuries associated with anaesthesia. A global perspective. Br J Anaesth. 2005;95(1):95-109. The ideal FOAM resource would provide open-access material globally, without restriction. Aside from
23. Australian and New Zealand College of Anaesthetists (ANZCA). Safety of anaesthesia: a review of anaesthesia-related commenting privileges to avoid abuse, removing the requirement for registration to access material would
mortality reporting in Australia and New Zealand 2012-2014. Melbourne (VIC): ANZCA; 2017. facilitate ease of access.
24. Chrimes N, Bradley WPL, Gatward JJ, Weatherall AD. Human factors and the ‘next generation’ airway trolley. Anaesthesia.
2019;74(4):427-33. Format
25. Chartered Institute of Ergonomics and Human Factors (CIEHF). Human factors health and social care (White Paper). An ideal FOAM resource would be a collaborative “wiki” – a complete compendium of current anaesthesia
Birmingham (UK): CIEHF; 2018.
knowledge and practice where content can be generated, collaborated on, and indexed with some consensus
achieved. Content would cover all of the knowledge base in anaesthesia required for the provision of safe and
competent clinical care, drawn from the Australian and New Zealand College of Anaesthetists 2013 Curriculum.
By covering all anaesthesia-related content, populism and the over-publication of “hot” topics and the bias this
entails would be avoided.
Articles of different “flavour” would be utilised in order to address specific domains of content: “notes” for base
anaesthesia content; “insights” for commentary on controversial or best-practices; and “papers” for critical
analysis of landmark research.
Articles of similar material would be published according to a consistent format for clarity and continuity across
the database. These would include drug references, anaesthesia considerations for specific medical conditions
and surgical procedures, and regional anaesthesia guides.
Content would be organised and easily filtered within the database by multilayered indexing of articles with Promotion of critical appraisal skills
“tags” according to theme and article type. For example, an article describing the anaesthetic implications There is concern that, in its power of distillation, online education content may be of detriment to the
of opioid tolerance may have the tags “perioperative care”, “perioperative medicine”, “core knowledge”, development of skills in critical appraisal, as primary material has often already been appraised and synthesised
and “opioid tolerance”. An article discussing the landmark RELIEF trial may have the tags “anaesthesia”, into a narrative form. This separates learners from the primary literature and deprives them of the opportunity
“resuscitation and fluid”, “landmark paper”, and “RELIEF” (see Figure 1). to develop the required skill of critical appraisal of literature expected of a medical practitioner. An ideal FOAM
resource should present the summation of knowledge for a theme, but also address the primary sources, a
Figure 1. An example of anaesthesia tag taxonomy. discussion of their quality, and any conflict among the evidence base. A discussion of the alternate positions
held and some degree of qualitative analysis of viewpoints should be undertaken. Particularly contentious topics
should be addressed as such, with authors publishing a critical appraisal of the topic explicitly.
Avoidance of simplification
A risk of FOAM content is the tendency toward oversimplification of complex medical knowledge in order
to improve the consumability and popularity of content in a medium associated with short attention times (1
in 3 spend less than 15 seconds reading an online article8). An insufficient depth of knowledge may lead to
erroneous decision-making. The ideal FOAM resource would address this by ignoring said pressures, and
setting a benchmark for content as sufficient for safe clinical practice as a specialist anaesthetist. There should
be no length limit for content.
A balanced approach to novel research and practices
FOAM promotes the rapid dissemination and uptake of new knowledge in the light of emerging evidence. This
has the potential to improve the traditionally slow translation of practice-changing knowledge to clinical practice
(thought to be around 17 years9). The ideal FOAM resource would mitigate any risk associated with the rapid
uptake of novel research and practices by providing an honest and balanced assessment of practices as they
emerge, aiming to reflect accepted community practice, and being cautious in any recommendations provided
without evidence of efficacy or safety. Content should be curriculum-driven rather than trend-driven.
Discoverability
The ideal resource would be easily discoverable for the user; well-known by word-of-mouth within the
anaesthesia community and with high online visibility via Search Engine Optimisation (SEO) without the need
for commercial-style broadcast. The resource should therefore have a blog-style landing page, an associated
RSS feed for subscription, as well as a Facebook and Twitter article feed for social media presence. There
would be access provided for external database searches.
Conflict-free funding
An ideal FOAM resource would be funded by a benevolent source and not seek monetisation. The source of
funding should not carry any conflict of interest; for example, industry funding or advertising.
FEASIBILITY OF AN OPEN ACCESS COLLABORATIVE ANAESTHESIA

EDUCATION RESOURCE
A high level of quality in content produced
Workload
The ideal FOAM resource would provide up-to-date content of exceptional quality and accuracy. To achieve
this, authorship should be restricted, with content generated only by specialist anaesthetists with formal The tacit and theoretical knowledge required of a competent anaesthesia specialist is considerable. A thematic
specialist recognition or anaesthetists-in-training with specialist supervision. Authors should declare any analysis of the ANZCA curriculum performed by the authors has returned 1702 discrete topics across 7 themes
conflicts of interest and affiliations and provide their contact information to the editors. Seeking a broad range of and 48 sub-themes10. Specific topics may warrant several articles to address in their entirety. Furthermore,
practicing clinical anaesthetists and experts from within the anaesthesia community as authors would avoid the this count does not include the need to address landmark research papers, the breadth of specific surgical
bias associated with over-representation by any one author in particular. Seeking authors with special interests procedures, or individual examples of anaesthesia equipment.
from sub-specialty centres or specialist interest groups for authorship of specific topics may produce material A complete database would be a compendium of knowledge across all these topics; conservatively, this may
of higher accuracy and quality. reach up to 3000 articles. For all content to be covered within 5 years, the platform would need to publish
Contributors would list their name, role, and institution for transparency and accountability. Content would be approximately 11 articles per week.
kept up to date by allowing articles to be editable and employing a plan for periodic revision to ensure accuracy Of course, the entire knowledge base does not need to be present upon launch of the platform for it to
as medical knowledge evolves. Articles would require a publication date. be useful educationally and generate discussion, particularly if the priority of topics addressed over time is
Peer-review strategically decided. The experience of similar projects in other medical fields is that of beginning with a small
collection of articles at launch that grows exponentially over months to years as a critical mass of users is
The ideal FOAM resource would have an avenue for both pre- and post-publication review. For example,
gathered. EyeWiki was launched after being seeded with 94 articles, and within 3 months it registered over
content produced by a specialist-in-training would be reviewed by their supervisor, and subsequently reviewed
6500 contributions and edits to articles11.
by another specialist anaesthetist prior to submission for publication. There would be an editorial group of
medical practitioners who ensure content is of sufficient quality prior to publication. There should be an online Revision
avenue for direct feedback and commentary from end-users on published content that notifies both the original Additionally, there is a workload associated with revision of published content to ensure accuracy as medical
authors and the editors to the need for clarification or correction. science progresses. If we accept 24 months as an appropriate lapse in time before revision is necessary, this
equates to ~30 revisions per week. However, the revision of a topic would be associated with a much lower
workload than its initial generation, and would be tied to the original author.
Comment moderation MOVING FORWARD

There will be a workload associated with the moderation and analysis of comments. So where to from here? Development of the ideal collaborative anaesthesia education resource as described in
The 1% rule of internet participation12 suggests that 10% of users contribute to discussion, while only 1% of this article is both overdue and attainable. Chan et al have called for the engagement and participation of three
users generate new content. Based on this rule and the projected traffic, an estimate of comments per article types of modern scholar17:
per day can be generated. The responsibility of moderating comments and incorporating this into revisions of • “Translational teachers” – those authors dedicated to the task of engaging the community in education.
the original content would be a shared responsibility between the editor and the author of the article. • “Critical clinicians” – a digitally-active base of clinicians who provide meaningful critique of material.
Workforce • “Interactive investigators” – researchers who engage with the community to ensure that research findings
There is obviously a significant workload at hand. Do we have a sufficient workforce to realise this vision? are relevant and adapted to clinical practice.
Investigation of models for sustainable, open-educational resources have shown that selection of authors By personally embracing this mantra, and answering the call to collaborative education, we are set to take full
by locality is most likely to lead to success13. With more than 6400 fellows and 1500 anaesthetic trainees advantage of its benefits in advancing anaesthesia practice and improving patient outcome.
registered with ANZCA14, we are well-positioned among specialties with regards to a potential workforce.
Harnessing the global workforce is also possible as the prominence of a database grows. The experience of
REFERENCES
other wiki-style databases15 suggests that content leads to traffic which, in turn, yields more contributions and
content, and so on. 1. Landhuis E. Scientific literature: information overload. Nature. 2016;535:457-8.
2. Juniper R. Free open access online education in anaesthesia. In: Riley R, editor. Australasian Anaesthesia 2017.
The task of gathering an initial critical mass of content and authors is critical to future growth. This is not without Melbourne: Australian and New Zealand College of Anaesthetists; 2017. p. 317-23.
difficulty, however. Intuitively, and as others have described16, medical specialists and specialists-in-training 3. Radiopaedia [Internet]. [cited 2019 May 30]. Available from: https://radiopaedia.org
are time-poor and have many conflicting priorities such as clinical care, teaching, academia and research, 4. WikEM. [Internet]. [cited 2019 May 30]. Available from: http://wikem.org
organisational roles, examinations, as well as personal commitments. Specialists are typically well-compensated 5. EyeWiki. [Internet]. [cited 2019 May 30]. Available from: https://eyewiki.aao.org/Main_Page
for their time, and it would be unlikely that this project would have the resources for a monetary incentive for 6. Life in the fast lane (LITFL). [Internet]. [cited 2019 May 30]. Available from: https://litfl.com
contributions; there is limited prestige associated with an emerging website. 7. HemOnc. [Internet]. [cited 2019 May 30]. Available from: https://hemonc.org/wiki/Main_Page
8. Haile T. What you think you know about the web is wrong [Internet]. California: TIME USA; 2014. [cited 2019 May 30].
Potential models to encourage participation and authorship could include: Available from: http://time.com/12933/what-you-think-you-know-about-the-web-is-wrong/
• Raising awareness and shaping culture; presence at conferences and regional meetings, cross-promotion 9. Morris ZS, Wooding S, Grant J. The answer is 17 years, what is the question: understanding time lags in translational
with other education initiatives, social media. research. J R Soc Med. 2011;104(12):510-20.
• Collaboration across teaching hospitals (a collaborative “community of practice”). 10. Juniper R. SAQs matched to a better ANZCA curriculum [Internet]. Hypnopaedia; 2019 [cited 2019 May 30]. Available
• Collaboration with the relevant anaesthesia college(s). from: https://www.hypnopaedia.org/exams/.
11. Feldman B. The EyeWiki Initiative. Virtual Mentor. 2010;12(12):922-4.
• Collaboration with anaesthesia societies.
12. van Mierlo T. The 1% rule in four digital health social networks: an observational study. J Med Internet Res
• Collaboration with specialist interest groups. 2014;16(2):e33.
• Incorporating production of content into expectations of trainees in training centres; for example, the 283 13. Downes S. Models for sustainable open educational resources. IJELLO. 2007;3:29-44.
provisional fellows in Australia and New Zealand in general or sub-specialist training. 14. White G. Provisional fellows in Australia. E-mail to Agnieszka Ganska, ([email protected]). Interdisciplinary
• Collaboration with trainees preparing for examinations or fulfilling the Scholar Role requirement to critically Journal of E-learning and Learning Objects [cited 2019 May 30].
appraise a paper. 15. Jonathan L, Streeter M, Lu T, Rybicki F. RadiologyWiki.org: the free radiology resource that anyone can edit. Radiological
Society of North America. 2007;27:1193-200.
• Collaboration with presenters who prepare material for departmental meetings, journal clubs, and
16. Warner J, Cowan A, Hall, A, Yang P. HemOnc.org: A collaborative online knowledge platform for oncology professionals. J
conference presentations. Oncol Pract. 2015;11(3):e336-50.
• Recognition as an accredited avenue to generate CPD points. 17. Chan T, Trueger S, Roland D, Thoma B. Evidence-based medicine in the era of social media: scholarly engagement
through participation and online interaction. CJEM. 2018;20(1):3-8.
Platform
The technical requirement for developing an appropriate platform is not significantly troublesome. Wiki source-
code is open-source and freely available. Alternatives for the tech-savvy are widely available, such as the
ubiquitous WordPress©. Alternatives focused on being more easily accessible for the tech novice, like Wix©, are
also widely available.
Cost
There is a cost incurred with hosting online content. This is primarily associated with the costs of domain
registration and the use of third-party servers to store data. Costs are small initially, but would escalate with
increased content size and traffic. The hiring of a website developer, if employed, would be associated with
significant cost.
Sources of funding should be conflict-free and not compromise the need for a free platform for the end-user,
and have been explored14. Costs could be borne or shared across the following models:
• An endowment model with a central benevolent fund where interest gained is used to cover cost.
• A membership model with associated rewards, for example, access to an offline mobile application.
• An institutional/governmental model with annual commitment by relevant bodies (ANZCA, Australian Society
of Anaesthetists, anaesthesia departments) or governmental initiatives.
• Educational grants.
• Altruistic donation by end-users.
• An associated publication fee tied to authorship.
Management
A resilience engineering approach to
out-of-hours healthcare: The SAFE initiative
Tim Bowles, Deepan Krishnasivam,
Katherine Birkett
A resilience engineering approach to out-of-hours healthcare: The SAFE initiative 327
A resilience engineering approach to out-of-hours healthcare:

The SAFE initiative
Tim Bowles BSc MBBS FRCA FCICM
Intensivist, Royal Perth Hospital, Western Australia.
Dr Bowles graduated in London and trained in anaesthesia in Bristol in the UK, before completing training as
an intensivist in Western Australia. He has an interest in patient safety, particularly in the interaction of hospital
systems and staff behaviour to optimise outcomes.
Deepan Krishnasivam FRACMA, MBBS, MHA

Medical Administration/SAFE RPH – Royal Perth Hospital
Dr Krishnasivam has worked in the administration and MET response teams in WA health for 10 years. He has
specialised in change management, and is passionate about critical care and deteriorating patient management
and is a strong advocate for patient safety, and associated models of care.
Katherine Birkett MBA BSc BCom RN

Service Improvement, Royal Perth Hospital
Ms Birkett trained in London and worked for a number of years in intensive care units in the UK and Perth,
Western Australia. She has since specialised in service improvement, supporting clinicians improve patient
safety and in developing innovative models of care.
INTRODUCTION
The difference in the model of care in most hospitals between the standard working day and out-of-hours is
stark. The vast majority of medical manpower and resource is invested in daytime care, where the eyes of senior
medical, nursing and executive staff, as well as funders, are focused. Out-of-hours medical care has traditionally
been delivered by a skeleton staff of junior medical officers with on-call support from off-site seniors.
In recent years increasing attention has been placed on out-of-hours outcomes, and potential harms associated
with the traditional model. A large study in the UK demonstrated an increased risk of death associated with out-
of-hours admissions1. Although this study may have been overinterpreted in the past, particularly by politicians
and healthcare funders, there certainly appears to be an association between admission outside the normal
working week and increased mortality, even after correction for baseline risk. This association has subsequently
been further demonstrated in other healthcare jurisdictions, including Australasia2-5.
In addition to the signal of increased risk of mortality associated with out-of-hours admission, further evidence
exists of harm associated with the out-of-hours model. A large registry study, again from the UK NHS,
demonstrates reduced chance of return of spontaneous circulation and subsequent survival to hospital
discharge after inpatient cardiac arrest6. This association with worsened outcomes persists even after exclusion
of intra-procedure cardiac arrest, which would be expected to occur mostly in-hours and have a good outcome.
Traditional out-of-hours models have been associated with failures of essential care elements. These include
delays to medical review, delayed investigation and follow up of investigation, and delays to commencement of
therapy3,7. Additionally, early warning scores are less consistently applied and escalated out-of-hours8.
Although these results have caused concern, they have become known at a time when, both in Australia and
internationally, healthcare budgets are coming under increasing pressure. This prevents solutions that include
allocation of additional resources out-of-hours. Solutions to out-of-hours healthcare therefore require careful
consideration of alternative care models.
THE SITUATION AT ROYAL PERTH HOSPITAL (RPH)

RPH is a 450-bed inner metropolitan hospital. It acts as the tertiary centre for over 725,000 Western
Australians. In addition, RPH is the major trauma centre for Western Australia, with the provision of most major
medical and surgical specialties. Historically, out-of-hours healthcare was provided by a small number of
Resident Medical Officers (RMOs), normally in post-graduate years (PGY) 2, 3 or 4, with support from offsite
specialist teams, available for phone support or, if needed, physical attendance. The first support for the RMOs
out-of-hours was the medical admissions registrar, normally in PGY 3-6. In 2015, major reconfigurations of
healthcare delivery across Western Australia led to significant changes in the workforce configuration at Royal
Perth Hospital. This created significant pressures on the medical workforce, with severe shortages, particularly
of on-call middle-grade medical staff.
328 Australasian Anaesthesia 2019 – Management A resilience engineering approach to out-of-hours healthcare: The SAFE initiative 329
After reconfiguration, concerns were raised about the safety of the out-of-hours system, particularly in light We also considered why adverse events didn’t occur more often. We identified that the senior cadre of night
of the international literature. Note was made of the fact that although RPH had a Standardised Mortality nurses provided a resilient backbone to the system. Where they were involved, they could often mobilise
Ratio (SMR) of 0.71 overall, the mortality of out-of-hours admissions was much higher, at 0.98 from Health medical resource to proactively manage situations, and understood the organisation well enough to arrange
Roundtable data9. Although as with other centres it was possible to explain this at least partially through escalation to on-call senior or critical care medical staff in order to prevent harm. Although their role was well
unaccounted variation in case mix and acuity, there was further signal of concerns with the out-of-hours model. recognised by nursing staff, it was inconsistently recognised by medical staff, resulting in the loss of their
A series of severe adverse event reports highlighted issues with the delivery of care out-of-hours. valuable assistance in certain circumstances.
Through Root Cause Analyses (RCAs), these issues were investigated. These investigations highlighted Finally, we considered what the differences were between the day and night that resulted in the negative
concerns around uncertain roles, unclear handover, and reactive models of care. Policy interventions focusing outcomes. What was different about the daytime that was protective? Although the superficial answer is that
on roles and responsibilities, and handover processes, including the introduction of standardised iSOBAR more staff are present, we realised that there was more to it than this. Successful clinical teams during the
handovers, were implemented. However, these were ineffective in reducing the rate of adverse events, and so a day have a culture that helps drive good outcomes. They have motivated junior and senior medical staff, who
different approach was required. delegate decisions, both upwards and downwards, appropriately. They have a sense of ownership, and try to
resolve clinical problems and advance care, rather than passively hoping that the next duty shift will resolve the
SAFETY 1.0 AND THE PRINCIPLES OF SAFETY 2.0 problems. Additionally, they knew who their sickest patients were, and focused on these individuals to manage
them proactively, rather than waiting to be told that they have deteriorated.
The described process of identification of an adverse event, with investigation of causative factors through some
form of RCA, followed by recommendations to address these factors, is an example of a Safety 1.0 process.
THE SAFE PROGRAM
Other similar processes include investigations of hospital-acquired blood stream infection and morbidity
review panels. These Safety 1.0 processes share many common features, and have formed the basis of much When redesigning the out-of-hours system into the SAFE (Safety After hours For Everyone) program, we
of the progress on patient safety over the past decades. Particular successes of the Safety 1.0 process have attempted to address the concerning features of existing out-of-hours work by adapting the principles identified
included those where an engineering solution is feasible, including the introduction of enteral syringes, physically in successful daytime teams, and integrating the senior nurses into the medical team. The SAFE team covers all
incompatible with IV access devices, and the use of non-interchangeable anaesthetic gas connectors. inpatient areas at RPH that do not have a dedicated medical team (that is, excludes the emergency department,
ICU, operating theatres, state trauma unit and medical admissions units). The team operates from 4pm to 8am
However, there are limitations to Safety 1.0. For instance, in a study of 5 years of significant investment in RCA
during the week, and 24 hours over the weekend and public holidays. Core features of SAFE that distinguish it
and patient safety in Georgia, there was no significant fall in the rate of critical incidents10. In addition, there are
from existing out-of-hours systems include:
certain situations where adverse events continue, despite repeated attempts to fix the root causes, an example
of this is the RPH out-of-hours situation. This has led to the recognition that although Safety 1.0 processes are • Significant senior executive buy-in to the idea of upgraded out-of-hours care. This allows investment in out-
the mainstay of safety thinking, they are not complete. of-hours care, but also facilitates change management where there may be resistance in some quarters to
established practice.
Safety 1.0 makes several assumptions that may not be reliable. The first is that the system being examined
• The formation of a department of out-of-hours care. This allows:
is decomposable – in other words, it can be broken down into a series of discrete steps, where an error can
– The appointment of a head of department. This provides a single point of contact and accountability
be identified and fixed, then the system reassembled to work correctly. This assumption is normally correct
for out-of-hours care and allows out-of-hours issues to be represented to executive consistently. It also
for simple systems; however, it is often not the case for modern complex healthcare systems. The second
facilitates bilateral positive and negative feedback between the night and day staff.
major assumption is that the way that work is done matches the way that work is imagined – that most work
– Recognition for training. By being recognised for RMO and registrar training, junior medical staff can
in the healthcare environment follows policy and normal procedure, and that therefore safety breaches can be
be appointed to the team for consistent terms. This allows the formation of a team culture of supportive
detected by deviation from policy, and prevented by more rigorous enforcement of policy. However, in practice,
and shared working, consistent hand over and communication. A strong patient safety culture is formed
normal work as done has considerable variability outside policy, much of which actually enhances safety, and
through mutual trust and respect, and transparent reporting and accountability. It also encourages
efforts to prevent this are counterproductive.
understanding of the issues associated with out-of-hours healthcare through repeated exposure and
Safety 2.0 is an alternative approach to safety, where, philosophically, instead of reducing the number of events continuity of care.
that go wrong, as in Safety 1.0, the emphasis is on making as many things go right as possible11. It emphasises – Appointment of permanent staff. The existing cadre of senior nurses were permanently integrated into the
much more a complete understanding of work as done rather than work as imagined, so that the full range of team, allowing clear accountability and shared working, training and development with the medical staff.
variability is understood and that conditions that favour safe working can be reproduced. The method is by – Specific morbidity and mortality sessions addressing out-of-hours issues.
necessity more time consuming but has greater power to change complex systems. – Accountability for process and professionalism – important care process issues such as communication
and hand over can be audited with clear accountability.
Resilience engineering is a related concept, where Safety 2.0 principles are used to design a system that – Development of trust and understanding between in and out-of-hours teams.
adapts to unforeseen circumstances, and acts to restore safe conditions without external input. These systems
need the capacity to self-monitor, respond, learn and adapt without external input. • Development of a clear team structure.
– RMOs are assigned to wards; normally covering about 60 patients each overnight. Although part of
SAFE, and attending the SAFE team handover, they are embedded for their shift in the ward, and are
RESILIENCE ENGINEERING FOR OUT-OF-HOURS HEALTHCARE expected to spend most of the shift present on the ward. After handover, they are expected to make
At RPH, a series of Safety 1.0 investigations and interventions had failed to resolve the safety concerns themselves known to the shift coordinators, and undertake a board round, where the shift coordinator
out-of-hours. It was therefore decided that a Safety 2.0 approach may be more effective. A working group, briefly hands over each patient’s diagnosis and any major concerns at the ward patient board, so that
composed of an ICU consultant, senior nurse, and a medical administrator was formed, who undertook a they are familiar with issues and concerns on the ward.
detailed investigation of overall work conditions out-of-hours. The focus of the investigation was on how work – A dedicated medical registrar provides medical leadership for the team, and provides direct support to
was normally conducted, rather than on rarer adverse events. Several themes emerged. Firstly, the work was the RMOs, reviewing and advising, and where needed liaising with specialists outside the team. The
poorly organised. Some members of medical staff would be so busy that they were unable to safely review medical registrar also leads the hospital wide medical emergency team (MET) response.
patients in a timely fashion, while others may be under-occupied. There was no communication of this between – A clinical nurse specialist supports the ward nursing staff, providing expert advice in the management of
the staff, as there was no overall leadership. There was additionally minimal governance or oversight over the unwell ward patients, including organ support, transfer, as well as leading the nursing team at MET calls.
night junior medical staff, as they often rotated from diverse day teams, or a relief pool that made it difficult to Allocates nursing resource as required between wards.
provide feedback or training. At times workload was extremely high, with no ability to filter or redistribute work.
Additionally, there was limited ability to proactively manage patients; there was no system to identify patients
at risk of deterioration and review them proactively, other than ad hoc handover from the day team to the night
team (a process which was often poorly attended as thought to offer little value).
330 Australasian Anaesthesia 2019 – Management A resilience engineering approach to out-of-hours healthcare: The SAFE initiative 331
– The team is led by the clinical lead, a nurse consultant in after-hours care. The clinical lead maintains Figure 2. SAFEty Check.
oversight of the whole team’s workload, along with a knowledge of patients of concern in the hospital,
and allocates medical resource as required, while ensuring that patients of concern are being proactively SAFE TEAM – SAFETY CHECK
managed, and that forward progress is maintained. They have a role in both supporting the management Date of review:___/___/______ Time of review: ________
of individual patients, and coordinating the team’s response across the hospital. Current ADDS score: ________  No clinical concerns
– The on-site team is supported by the on-call specialist primary teams. Responsibility and governance Reason for check:
of the patients is retained by the parent team. Close liaison is maintained, supported by policy led  Post admission  Post Transfer  Post Op
mandatory consultant notification criteria, such that any significant change in patient condition must be Has been checked:
discussed with the responsible specialist.  Medical/Surgical Plan  Plan actioned
• Formation of an organisation-wide “patient of concern” list. Consultation with a wide variety of ward staff  Usual meds charted  Analgesia charted
resulted in identification of a series of criteria, predicting the patients most likely to deteriorate in the  DVT Prophylaxis  Oxygen
foreseeable future. These criteria are listed in Figure 1. These patients form the basis of the team hand over;  IV fluids  IV cannula
the RMO is expected to see every patient of concern in their area at least once per shift and maintain closed Document below any actions taken
loop communication with the clinical lead to confirm forward progress. If there is any residual concern, the Signature:_________________________________
clinical lead can review the patient in person or assign the registrar to review. Printed Name:______________________________
• Every patient arriving in a SAFE area during operational hours receives a “SAFEty check” (Figure 2). This is
a way for the area RMO to take ownership of the patient, by formally confirming clinical stability, that a senior
is aware of the patient and that a plan has been made and actioned, as well as confirming basic treatment
measures such as DVT prophylaxis are appropriately prescribed. OUTCOMES OF THE SAFE PROGRAM
• The outcome of the combination of formal handover of patients of concern, board round at the start of the SAFE was conceived primarily as a patient safety improvement program, and has widely been regarded as
shift, and SAFEty checks is that the RMOs have a comprehensive picture of the patients in their area, in successful. SAFE was implemented as part of an overall organisational drive to improve safety, and no results
particular those most likely to deteriorate, with a shared mental model with the other members of the team as can be interpreted in isolation. The overall hospital Hospital Standardised Mortality Ratio (HSMR9) has fallen
to where pressure in the hospital exists, so that they may mutually support. from 0.71 in 2015 before SAFE implementation, to 0.54 in 2018, among the lowest in Australia.
• Scheduled shift “catch-ups” where the whole team reconvenes to confirm that all patients of concern are
progressing, discuss any issues, and reallocate workload where required. This also presents an opportunity One of the key focuses of the SAFE initiative was addressing the discrepancy in mortality between admissions
for focused and relevant teaching on current issues by the senior nurses and registrars. in and out-of-hours. Before SAFE implementation, the in:out-of-hours standardised mortality ratio was 0.98.
By mid-2018, the ratio had fallen to 0.38. This improvement in out-of-hours mortality exceeds the overall
• The strong integration of the MET service with the SAFE model results in a MET leadership team with improvement in mortality, suggesting that the SAFE model, and the resultant changes in after-hours care, have
both an active interest in MET management, and significant and rapidly developing experience in MET been key to the overall improvement in mortality.
management even for new team members. All patients undergoing MET activation automatically become
patients of concern, allowing follow up by the MET team members. This has significant advantages Staff satisfaction has been extremely high with the new model. Feedback to postgraduate education from the
over MET teams drawn from other areas who often have little continuity of care after the MET, and less RMOs in SAFE has consistently been positive, with SAFE being rated as among the best terms in the hospital
experience of managing MET activations. for teaching, support and overall experience. Particularly valued are the team-based working and the close
• Strong emphasis on individual and team wellbeing. It was recognised that continuous out-of-hours working relationship with senior nursing staff – this has created a real sense of mutual respect. Also of note, the RMOs
presented risk to the individuals within the team. Support was built into the system, particularly with team feel much more confident in their ability to access senior support out-of-hours.
based rostering and preferential allocation to teams and roster patterns. Nursing staff feedback has identified improved confidence in the after-hours medical team. It is now easier to
• Formal and informal education programs, primarily registrar led, in emergency management and acute care identify and contact the correct doctor, and where required a senior review in more prompt. More confidence
including simulation. is expressed in the ability of the team to identify and monitor deteriorating patients. The presence of the clinical
The SAFE program commenced in January 2016. lead as a single point of contact in the event of uncertainty or conflict was highly rated.
Overall, the feedback was that the overall quality of care had improved since implementation, with a reduction in
Figure 1. Patient of Concern criteria. ADDS = Adult Deterioration Detection Score. the time to review sick patients, and in task response and completion times.
See Midodrine chapter in this edition of Australasian Anaesthesia. Clearly with the implementation of the SAFE program, an initial financial investment was required. However,
due to the consistent presence of an out-of-hours junior doctor, daytime junior medical staff find it far easier to
handover work. As time went on, the registrars also developed confidence handing over clinical problems to
Within 24 hours of:
the SAFE team. The result of this was an immediate drastic reduction in unplanned RMO and intern overtime
• MET call at the time of implementation, with a slower reduction in registrar overtime over the 3 months following
• ICU Discharge implementation. This reduction has been sustained over time. The result of this significant savings in overtime
• Behavioural emergency has been that with the Western Australian medical contracts, the implementation of the model has been near
• CARE phone activation cost neutral.
Modified MET criteria in a patient whose Goals of Care would
support ICU admission
Receiving organ support in non-specialist area

(eg. NIV outside the respiratory ward, oral vasopressor use)
Physical or chemical restraint
ADDS score greater than 4 or rise of 2

332 Australasian Anaesthesia 2019 – Management
CONCLUSION
Through application of resilience engineering principles, out-of-hours care at Royal Perth has been reimagined
into a proactive, team based department. This has been associated with significant improvements in overall
and out-of-hours mortality, and staff satisfaction with out-of-hours work, at minimal marginal cost. Although
the specific features of the system are specific to the hospital, many of the ideas and principles can be
implemented in any equivalent sized hospital.
REFERENCES
1. Aylin PP, Yunus A, Bottle A, Majeed A, Bell D. Weekend mortality for emergency admissions. A large, multicentre study.
Qual Saf Health Care. 2010; 19(3):213-7.
2. Barba R, Losa JE, Velasco C, Guijarro C, Garcia de Casasola G, Zapatero A. Mortality among adult patients admitted to
the hospital on weekends. Eur J Intern Med. 2006:(17):322-4.
3. Beckett DJ, Gordon CF, Paterson R, Chalkley S, Stewart C, Jones CE, Young M, Bell D. Improvement in out-of-hours
outcomes following the implementation of Hospital at Night. QJM. 2009;102:539-46.
4. Bell CM, Redelmeier DA. Mortality among patients admitted to hospitals on weekends as compared with weekdays.
N Engl J Med. 2001;345(9):663-8.
5. Freemantle N, Richardson M, Wood J, Ray D, Khosla S, Shahian D, Roche WR, Stephens I, Keogh B, Pagano D.
Weekend hospitalization and additional risk of death: analysis of inpatient data. J R Soc Med. 2012;105;74–84.
6. Robinson EJ, Smith GB, Power GS, Harrison DA, Nolan J, Soar J et al. Risk adjusted survival for adults following in-
hospital cardiac arrest by day of week and time of day: observational cohort study. BMJ Qual Saf. 2016;25:832-41.
7. Griffiths P, Saucedo AR, Schmidt P, Smith G. Vital signs monitoring in hospitals at night. Nurs Times.
2015;111(36-37):16-7.
8. Gordon CL, Beckett DJ. Significant deficiencies in the overnight use of a Standardised Early Warning Scoring system in a
teaching hospital. Scott Med J. 2011;56(1):15-8.
9. Health Roundtable [Internet]. Available from: http://home.healthroundtable.org. Accessed December 2018.
10. Landrigan CP, Parry GJ, Bones CB, Hackbarth AD, Goldman DA, Sharek PJ. Temporal trends in rates of patient harm
resulting from medical care. N Engl J Med. 2010;363:2124-34.
11. Braithwaite J, Wears RL, Hollnagel E. Resilient health care: turning patient safety on its head. Int J Qual Health Care.
2015;27(5):418-20.
334 Australasian Anaesthesia 2019 – Management

Blue Book 2019 2

Uploaded by

Copyright:

Available Formats

Blue Book 2019 2

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Blue Book 2019 2

Uploaded by

Copyright:

Available Formats

Australasian

OB/GYN 277 Dr Sharon Tivey

Managing airway trauma: Applying logic and

Unanticipated difficult airway events:

Flexible bougies, introducers and

The Vortex Approach to airway management

Declaration Identifying the Green Zone

Figure 4. CICO Status.

SUMMARY Managing airway trauma: Applying logic and structure to the

Blunt neck trauma 3. How should the airway be managed?

Airway burns Patient factors Aspiration risk

Step 1 Step 2 Step 3

FB, flexible bronchoscope. VL, videolarngoscope. FONA, front of neck airway.

Martin Culwick MB BS, FANZCA

HISTORY AND DEVELOPMENT OF THE BOWTIE METHOD

Risk factors aspiration (hazards)

BOWTIE DIAGRAM FOR FAILED INTUBATION

Flexible bougies, introducers and bronchoscopes – Key adjuvants

Wallace Grimmett MBBS, FANZCA

David Shan MBBS (Hons), BPharm

TRACHEAL IMPINGEMENT: THE PROBLEM AND SUGGESTIONS

THE ROLE OF THE HYPERANGULATED BLADE VIDEOLS IN PATIENTS WITH

B. Physiologic effects of Hyperbaric Oxygen Treatment:

Preventing vascular damage during central

Keep calm and know sepsis

Midodrine and its potential role in

Perioperative management of heart transplantation

Sara Jane Allen BHB, MBChB, FANZCA, FCICM

5121 transplants worldwide, Australasia = 149.

T = Temperature, avoid hyper/hypothermia Other complications

Preventing vascular damage during central venous catheter

Andrew Deacon MBBS, FANZCA

Alister Jones MBBS, BSc (Med), FRACS

Table 1. Frequency of mechanical complications, according to the route of catheterisation.

Haematoma <0.1-2.2 1.2-2.1 3.8-4.4

Pneumothorax <0.1-0.2 1.5-3.1 NA

PROPOSED OPTIMAL TECHNIQUE

Step during CVC insertion Prevention strategy Rationale

MANAGING ARTERIAL INJURY

MANAGING VENOUS INJURY

Appendix 1. Central line insertion checklist REFERENCES

DEFINITIONS AND RECOGNITION OF SEPSIS

Midodrine and its potential role in postoperative hypotension

Ian O Fleming FANZCA, FRCA, MBBS, BSc, DipMedEd, EDRA, PGDipClinUS

Tomás B Corcoran MB, BCh, BAO, MRCPI, FCAI, FCICM, MD (RES)

POSTOPERATIVE HYPOTENSION: A POTENTIAL TARGET FOR MIDODRINE

Table 1. Contraindications to midodrine administration.

Absolute contraindications: Relative contraindications/caveats:

Differentiation of preoperative anaemia

It’s about bloody time! The massive transfusion protocol in trauma

Ray Paramalingam MBBS

Christine Grobler MBBCH DA FCA FANZCA

THE ROLE OF MASSIVE TRANSFUSION PROTOCOLS

ACTIVATION OF MTP: HOW ROBUST ARE OUR TRIGGERS?

Table 1. Scoring systems for initiation of an MTP.

Name of algorithm Parameters used Predicting MT Validation Ease of use

Figure 2. An example of a Major Haemorrhage Pack request slip.

Major haemorrhage pack request slip

Pre-arrival request Post-arrival request