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SPECIAL ARTICLE

Interventions for Perinatal Hypoxic–Ischemic Encephalopathy

Robert C. Vannucci, MD*; and Jeffrey M. Perlman, MD, ChB‡

P
erinatal cerebral hypoxia–ischemia remains a necrosis or apoptosis (programmed cell death).4 –7 It
frequent cause of the chronic handicapping is the penumbral area that appears most amenable to
conditions of cerebral palsy, mental retarda- reversal of cellular injury through therapeutic inter-
tion, learning disability, and epilepsy.1 Estimates vention.
suggest that between 2 and 4/1000 full-term new- At the cellular level, cerebral hypoxia–ischemia
born infants suffer asphyxia at or shortly before sets in motion a cascade of biochemical events
birth. Approximately 15% to 20% of such asphyxi- commencing with a shift from oxidative to anaero-
ated infants who exhibit hypoxic–ischemic encepha- bic metabolism (glycolysis), which leads to an
lopathy actually die during the newborn period, and accumulation of nicotinamide-adenine-dinucleotide
of the survivors, 25% will exhibit permanent neuro- (NADH), flavin-adenine-dinucleotide (FADH), and
psychologic deficits. Given these incidence figures, lactic acid plus H1 ions. Anaerobic glycolysis cannot
physicians have searched for strategies to prevent or keep pace with cellular energy demands, resulting in
minimize the long-term consequences of perinatal a depletion of high-energy phosphate reserves, in-
cerebral hypoxia–ischemia. cluding ATP. Transcellular ion pumping fails, lead-
In the past, therapeutic interventions for hypoxic– ing to an accumulation of intracellular Na1, Ca11,
ischemic encephalopathy in full-term newborn Cl2, and water (cytotoxic edema). Hypoxia–ischemia
infants consisted of those drugs that reduced the also stimulates release of excitatory amino acids (glu-
severity of cerebral edema arising from hypoxia– tamate) from axon terminals. The glutamate release,
ischemia.2 Such agents included osmotic diuretics in turn, activates glutamate cell surface receptors,
(mannitol, furosemide), glucocorticosteroids, and resulting in an influx of Na1 and Ca11 ions. Within
barbiturates. One by one, these drugs and other ma- the cytosol, free fatty acids accumulate from in-
nipulations to treat brain swelling have been dis- creased membrane phospholipid turnover and,
carded, such that presently no agent has been proven thereafter, undergo peroxidation by oxygen-free rad-
useful to ameliorate perinatal hypoxic–ischemic icals that arise from reductive processes within mi-
brain damage in the clinical setting (but see below). tochondria and as by-products in the synthesis of
Accordingly, there is no uniform standard of care in
prostaglandins, xanthine, and uric acid. Ca11 ions
the brain-oriented therapy of full-term newborn in-
accumulate within the cytosol as a consequence of
fants sustaining cerebral hypoxia–ischemia, and it
increased plasma (cellular) membrane influx via
remains for future research to uncover new and ef-
voltage-sensitive and agonist-operated calcium
fective strategies for the neurologically compromised
channels and of decreased efflux across the plasma
infant.
membrane combined with release from mitochon-
CHARACTERISTICS OF HYPOXIC–ISCHEMIC dria and the endoplasmic reticulum. Nitric oxide, a
BRAIN DAMAGE free-radical gas, is generated via Ca11 activation in
Hypoxic–ischemic brain damage is an evolving selected neurons and diffuses to adjacent cells that
process, which begins during the insult and extends are susceptible to nitric oxide toxicity. The combined
into the recovery period after resuscitation (reperfu- effects of cellular energy failure, acidosis, glutamate
sion interval).3 Tissue injury takes the form of either and nitric oxide neurotoxicity, free radical formation,
selective neuronal necrosis or infarction, the latter Ca11 accumulation, and lipid peroxidation serve to
with destruction of all cellular elements including disrupt structural components of the cell with its
neurons, glia, and blood vessels. When infarction ultimate death (for review, Reference 3).
occurs, the immediate area surrounding the infarct The therapeutic window is that interval after re-
(penumbra) consists of neurons undergoing either suscitation from hypoxia–ischemia, during which an
intervention might be efficacious in reducing the
severity of the ultimate brain damage. Because of the
From the *Department of Pediatrics, Pennsylvania State University College
of Medicine, Milton S. Hershey Medical Center, Hershey, Pennsylvania; and
slow process of neuronal necrosis and apoptosis in
the ‡Department of Pediatrics, University of Texas Southwestern Medical adult experimental animals and humans, the thera-
Center, Dallas, Texas. peutic window in adults can extend for several hours
Received for publication Jun 8, 1997; accepted Aug 5, 1997. to a day or more.4,8 –10 Such is not the case in perinatal
Reprint requests to (R.C.V.) Department of Pediatrics, Milton S. Hershey
Medical Center, Box 850, Hershey, PA 17033-0850.
animals and presumably in human infants, in whom
PEDIATRICS (ISSN 0031 4005). Copyright © 1997 by the American Acad- the process of cellular destruction is much more
emy of Pediatrics. rapid than in adults.3 Accordingly, in the full-term

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infant, the therapeutic window would be short and ids seem especially prone to peroxidative attack by
possibly no longer than 1 to 2 hours. In this regard, free radicals, which initiate and perpetuate chain
no drug has been found efficacious in reducing the reactions within the hydrophobic core of the lipid
severity of hypoxic–ischemic brain damage in imma- bilayer, leading ultimately to membrane fragmenta-
ture animals when given later than 2 hours after tion. The brain is especially rich in polyunsaturated
termination of the hypoxic–ischemic insult (see below). phospholipids and, accordingly, is susceptible to free
An additional issue that constantly arises regard- radical attack. Free iron (Fe; iron not bound to pro-
ing therapeutic intervention of the asphyxiated full- tein) and nitric oxide (see below) are important con-
term newborn infant is the identification of those tributors to oxidative injury, because they transform
infants at highest risk for permanent brain damage. mildly reactive oxygen species to more toxic free
Given the presumed short therapeutic window, such radicals.17,18 Prevention of the formation of these re-
infants must be identified as soon after birth as pos- active products can be achieved by elimination of
sible so that an appropriate drug is administered on hydrogen peroxide or superoxide, or the catalyst of
arrival in the neonatal intensive care unit. Clinical the reaction, specifically Fe.
investigations suggest that infants at highest risk for Because all biological systems generate oxygen-
hypoxic–ischemic brain damage include those who free radicals even under physiologic conditions, en-
have exhibited progressive fetal heart rate abnormal- zymes are present within the cell to protect its con-
ities shortly before birth, are severely depressed at stituents from the oxidizing effect of hydrogen
birth (very low Apgar scores), exhibit an acidosis peroxide and its metabolic products; these enzymes
with a pH , 7.0 on umbilical cord blood oxygen and include superoxide dismutase, endoperoxidase, and
acid-base analysis, and require major resuscitation in catalase, which convert hydrogen peroxide to either
the delivery room, including cardiac massage and water or stable oxygen. Additional defenses are pro-
intubation.11–14 An additional dilemma relates to the vided by endogenous scavengers, which include
probability that those infants likely to sustain the cholesterol, a-tocopherol (vitamin E), ascorbic acid
greatest hypoxic–ischemic brain damage will benefit (vitamin C), and thiol-containing compounds, nota-
least by any specific therapeutic intervention, ble glutathione. Thus, cells including neurons are
whereas those infants sustaining only mild or mod- capable of rapidly destroying free radicals, once
erate brain damage would benefit most by drug ther- formed, via both enzymatic and nonenzymatic
apy. These issues dictate the need for well-con- quenching.
trolled, randomized experimental trials of specific Oxygen-free radicals are generated during and af-
drugs to determine adequately their efficacy in the ter hypoxia–ischemia in several ways. First, free rad-
clinical setting. Only through such trials will physi- icals are produced within mitochondria when cyto-
cians avoid the pitfalls of routinely treating newborn chrome oxidase is not fully saturated with oxygen,
infants with inappropriate drugs, as has occurred thereby liberating free radicals at more proximal
occasionally. steps. These oxygen-free radicals cannot be con-
sumed further and leak out into the cytoplasm. Other
PHARMACOLOGIC AGENTS UNDER sources of oxygen-free radicals during hypoxia–isch-
EXPERIMENTAL INVESTIGATION emia and especially during the reperfusion interval
of recovery are as by-products in the synthesis of
Given the absence of an effective management pro-
prostaglandins from arachidonic acid19 –21 and the
gram for perinatal hypoxic–ischemic encephalopa-
conversion of hypoxanthine to xanthine and uric
thy, it is important that physicians and scientists seek
acid.16,22,23 Therefore, drugs that inhibit the formation
new approaches to the treatment of fetuses and new-
of oxygen-free radicals or that rapidly destroy free
born infants suffering cerebral hypoxia–ischemia.
radicals, once formed, might be efficacious in reduc-
Drugs currently under intense investigation, espe-
ing the severity of hypoxic–ischemic brain damage.
cially in experimental animals, include inhibitors of
Free radicals and reactive oxygen species (super-
oxygen-free radical generation and free-radical scav-
oxide and hydrogen peroxide) cause tissue injury
engers, antagonists of excitatory amino acids, cal-
only when the radicals exceed the brain’s endoge-
cium channel blockers, and nitric oxide synthase in-
nous antioxidant defenses. The newborn human in-
hibitors, among others.
fant, especially the premature infant, might be par-
ticularly susceptible to free radical injury because of
Oxygen-free Radical Inhibitors and Scavengers a relative deficiency in the brain’s antioxidants, in-
A free radical is an atom or a molecule that con- cluding the enzymes superoxide dismutase and glu-
tains an uneven number of electrons in its outer most tathione peroxidase.24,25 The premature infant also
orbital. A free radical, such as zO22 or zOH2, can has low circulating levels of glutathione and a rela-
combine sequentially with nonradicals, the result of tive inability to sequester Fe because of low trans-
which are new free radicals. This characteristic en- ferrin levels.26
ables free radicals to initiate and perpetuate chain One therapeutic approach to the early destruction
reactions, the peroxidation of unsaturated fatty acids of oxygen-free radicals generated during and after
being a prominent example. In this regard, it is as- hypoxia–ischemia has been the administration of
sumed that the manner in which oxygen-free radicals specific enzymes known to degrade highly reactive
cause or contribute to brain damage relates to their radicals to nonreactive compounds. The administra-
ability to attack the fatty acid moiety of plasma and tion of the antioxidant enzymes superoxide dis-
subcellular membranes.15–17 Polyunsaturated fatty ac- mutase and catalase conjugated to polyethylene

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glycol has been shown to reduce hypoxic–ischemic which blocks glutamate receptors within the calcium
brain damage and to maintain the stability of the (Ca11) ion channel, or by specific glutamate antago-
blood– brain barrier.27–29 The enzymes are conjugated nists.42– 44 Third, direct injection of glutamate or glu-
to polyethylene glycol to prolong their half-life and tamate agonists into specific regions of brain in vivo
to allow improved penetration into and across the produces neuronal injury identical to that seen after
endothelial cell layer of the blood– brain barrier. Un- hypoxia–ischemia.45– 47 Fourth, deafferentation of the
fortunately, these large molecules are restricted pri- glutaminergic excitatory input into the hippocampus
marily to the vascular compartment, where they con- reduces the damage produced by hypoxia–isch-
tribute to the destruction of reactive oxygen species emia.48 These studies provide convincing evidence
generated within blood during reperfusion after hy- that excessive exposure of neurons to glutamate, as
poxia–ischemia. The prolonged interval required for occurs during hypoxia–ischemia, leads to morpho-
the conjugated enzymes to penetrate the blood– brain logic alterations characteristic of ischemic neuronal
barrier into brain parenchyma precludes their clini- necrosis.
cal usefulness in reperfusion injury. In this regard, Given the premise that excessive stimulation of
the enzymes have a narrow therapeutic dosage range neuronal surface receptors by glutamate promotes
and are generally protective only when administered cellular death, and that glutamate release from the
many hours before the hypoxic–ischemic insult. axon terminal into the synaptic cleft occurs during
Drugs potentially efficacious in favorably influenc- hypoxia–ischemia,41,49 –51 it has been rational to search
ing the outcome of hypoxic–ischemic brain damage for pharmacologic agents that would either inhibit
include agents that inhibit specific reactions in the glutamate release or block its postsynaptic action.
production of prostaglandins and of xanthine, the Inhibitors of glutamate release from the nerve termi-
formation of which involves the generation of oxy- nal (eg, baclofen) have not been investigated as po-
gen-free radicals (see above). Both allopurinol and tential neuroprotective drugs, whereas antagonists
oxypurinol, which are xanthine oxidase inhibitors/ of glutaminergic cell surface receptors have under-
scavengers, protect immature rats from hypoxic– gone extensive study in experimental animals.52,53 Of
ischemic brain damage even when the drugs are the several available antagonists, those that affect the
administered early during the recovery phase after NMDA and AMPA/QA receptors or the ion chan-
resuscitation.30 –32 Indomethacin, a cyclooxygenase nels they subserve have received the most attention.
and phospholipase inhibitor, also has been shown to Available compounds include phencyclidine, dextro-
ameliorate ischemic brain damage, at least in adult methorphan, ketamine, MK-801, and NBQX, among
animals,33 and substantially reduces free radical gen- others. These compounds have been found effica-
eration during reperfusion from hypoxia–ischemia in cious in reducing the extent of hypoxic–ischemic
newborn pigs.34 Finally, members of a class of com- brain damage in adult animals even when adminis-
pounds called 21 amino-steroids (lazeroids) have tered up to 24 hours after the metabolic insult.54
been shown to be neuroprotective in both adult and Experimental studies in immature animals have
immature animal models of cerebral hypoxia–isch- shown that, as in adult animals, glutamate receptor
emia.35,36 The compounds apparently prevent Fe-de- antagonists are capable of reducing the severity of
pendent lipid peroxidation by scavenging peroxyl hypoxic–ischemic brain damage. First, systemically
radicals, and their site of action is predominantly administered MK-801 prevents the tissue necrosis
within cerebral blood vessels, thereby reducing produced by the direct injection of the glutamate
reperfusion injury. agonist NMDA into the striatum of 7-day postnatal
Recent evidence also suggests that circulating and rats.55 Second, MK-801 protects against hypoxic–isch-
endogenous inflammatory cells act as mediators of emic brain damage in immature rats even when the
hypoxic–ischemic injury in the immature brain, pre- drug is administered during the course of or up to 1
sumably through the production of oxygen-free rad- hour after the metabolic insult.55–59 Pretreatment of
icals.37–39 Platelet-activating factor, a potent phospho- the animals entirely prevents tissue injury.58 The pro-
lipid inflammatory mediator, is synthesized in the tective effect of MK-801 or MBQX, which exceeds by
brain, and its concentration is increased during cere- far the effect of other glutamate receptor antagonists,
bral ischemia.40 Furthermore, Liu et al40 have shown appears greater in immature rats compared with
in immature rats that the platelet-activating factor their adult counterparts.55,60 The age-related differ-
antagonist BN 52021 attenuates hypoxic–ischemic ence in the efficacies of the glutamate receptor an-
brain damage. The agent was efficacious even when tagonists favoring the immature brain appears to
given immediately after reperfusion and again at 2 reside in the sensitivity of the developing brain to
hours after hypoxia–ischemia. excitatory neurotransmitter toxicity, which in turn
arises from developmental alterations in the density
Excitatory Amino Acid Antagonists and distribution of glutamate receptor subtypes,61– 63
Several lines of research in experimental animals in glutamate binding to its receptors, or in trans-
have implicated a role for the excitatory amino acid membrane biochemical events initiated by receptor
glutamate in the production of hypoxic–ischemic activity. Indeed, it has been suggested that the
brain damage in the immature and adult brain. First, NMDA and AMPA receptor antagonists presently
glutamate is directly toxic to mature neurons in cul- are the most potent drugs available to ameliorate the
ture.41 Second, neurons in culture and hippocampal potential devastating effect of cerebral hypoxia–isch-
slices die on exposure to anoxia, but their death can emia.53
be prevented by the presence of magnesium (Mg11), As noted previously, the divalent cation Mg11 acts

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as a glutamate receptor antagonist to the extent that ous levels, drugs have been developed that inhibit
it blocks the neuronal influx of Ca11 within the ion Ca11 influx into neurons. Of the numerous calcium
channel. In this regard, magnesium sulfate has been channel blockers currently available for experimental
shown to reduce the severity of hypoxic–ischemic and clinical research, flunarizine and nimodipine
brain damage in immature rats.64 – 66 However, the appear most efficacious in reducing the extent of
solution does not improve neuropathologic outcome hypoxic–ischemic brain damage, at least in adult
when administered before and during the course of animals.71–73 Furthermore, several investigators inde-
asphyxia produced by umbilical cord occlusion in pendently have shown an amelioration of neuro-
near-term fetal lambs.67 In this model, magnesium pathologic alterations in immature rats subjected to
caused no greater alterations in systemic blood pres- hypoxia–ischemia and pretreated with the Ca11
sure, heart rate, or cerebral blood flow than that seen channel blocker flunarizine.74 –76 However, the neuro-
in nontreated fetuses subjected to asphyxia. In the protective effect of calcium channel blockers is not
clinical setting, a retrospective study has suggested nearly as great as that of the excitatory amino acid
that premature fetuses whose mothers received mag- antagonists in the experimental setting, and any ef-
nesium sulfate for the treatment of preeclampsia or ficacy of the calcium channel blockers in the clinical
as a tocolytic agent are less likely to develop cerebral setting has been marginal at best.53 Also in the clin-
palsy compared with a gestational age-matched ical setting, Levene et al77 administered the calcium
group of fetuses not exposed to the drug.68 Based on channel blocker nicardipine to four severely asphyx-
the investigation, Nelson and Grether speculated iated newborn infants. Heart rate increased in all
that magnesium sulfate might provide a protective four infants, whereas mean arterial blood pressure
effect against brain damage in immature fetuses and decreased in three. Two infants had a sudden and
newborn infants. Indeed, Levene et al currently are dramatic fall in systemic blood pressure. As a result
conducting a controlled, randomized trial to deter- of their findings, the investigators cautioned against
mine the protective effect of magnesium sulfate in the use of these drugs in asphyxiated infants.
asphyxiated full-term infants.69
Inhibitors of Nitric Oxide Production
Calcium Channel Blockers Recently, experiments suggest that the free radical
Because of its multiple functions, calcium (Ca11) gas nitric oxide (NO) is involved in the cascade of
often is considered an intracellular second messen- metabolic events that causes or contributes to the
ger. The divalent cation is intimately involved as a occurrence of hypoxic–ischemic brain damage.78 – 80
cofactor in numerous biochemical reactions, thereby NO is produced in selective neurons of the brain, and
acting as a regulator of cellular metabolic homeosta- the pathway for its synthesis involves the direct con-
sis. Accordingly, a disruption of intracellular free version of l-arginine to citrulline by the catalytic,
Ca11 concentrations has wide-ranging deleterious cytosolic enzyme NO synthase. NO production is
effects on neuronal function.15,49 linked to the activation of glutamate cell surface
The mechanisms by which alterations in Ca11 bal- receptors, especially NMDA receptors, the activation
ance that occur during cerebral hypoxia–ischemia con- of which leads to Ca11 influx into neurons and its
tribute to brain damage relate to disturbances in those binding to calmodulin (see above). Once formed, NO
biochemical reactions subserved by the cation.70 Ca11 influences numerous metabolic events, primarily
activates numerous intracellular reactions, the contin- through an activation of the second messenger en-
ued stimulation of which by elevated concentrations of zyme guanylate cyclase with the formation of cyclic
free Ca11 compromises the viability of the neurons. GMP. In excessive concentrations, NO can act as a
These reactions include the activation of several lipases, neurotoxic agent and might constitute a final com-
proteases, and endonucleases, all of which attack the mon pathway for amino acid excitotoxicity in the
structural integrity of the cell. Ca11 also activates phos- brain, as has also been proposed for Ca11.15 Experi-
pholipase C, which promotes a progressive breakdown ments in adult animals suggest that NO mediates
in the phospholipid components of the plasma and neuronal death after cerebral ischemia,81,82 and that
subcellular membranes. Ca11 also contributes to the the severity of neuronal loss can be reduced by the
formation of oxygen-free radicals via the formation of previous administration of inhibitors of NO synthase
xanthine and prostaglandins (see above). Finally, in- activity.83– 85 A similar protective effect also has been
creased concentrations of intracellular Ca11 lead to an observed in the immature rat subjected to cerebral
uncoupling of oxidative phosphorylation within mito- hypoxia–ischemia,86,87 but NO synthase inhibition
chondria, because the energy formed during recovery appears to accentuate neuronal injury in fetal
from hypoxia–ischemia is consumed immediately in an sheep.88
attempt to reverse and then maintain the electrochem- The mechanisms whereby NO functions as a neu-
ical (ion) gradient across the mitochondrial membrane. rotoxin are numerous. Being a free radical, NO can
This futile cycling of ions restricts the production and react with other free radicals to form even more
transfer of ATP into the cytosol to be used for structural reactive species, including the hydroxyl free radi-
repair and reestablishment of ion gradients across the cal.18 NO also activates the glycolytic enzyme glyc-
plasma membrane. Taken together, the toxic effects of eraldehyde 3-phosphate dehydrogenase.89 Paralysis
excessive free Ca11 accumulation are adequate to cause of the glycolytic pathway would curtail the cytosolic
membrane disintegration and death of the neuron.49,70 production of ATP and prevent the production of
Given the potential neurotoxicity of Ca11 when reducing equivalents available to mitochondria for
free intracellular concentrations increase to danger- additional energy production. NO also inhibits com-

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ponents of the mitochondrial electron transport neuropathologic outcome and might increase mor-
chain as well as the tricarboxylic acid cycle enzyme bidity and mortality.
aconitase.90,91 Thus, the neurotoxic effect of NO in Remote or chronic administration of glucocorti-
part relates to its capacity to disrupt oxidative me- coids now appears to have a protective benefit. Barks
tabolism. et al104 found a protective effect of dexamethasone on
hypoxic–ischemic brain damage in the immature rat
Monosialogangliosides when the drug was administered $24 hours before
Monosialogangliosides or glycosphingolipids are the metabolic insult. A single low dose (0.1 mg/kg)
found in high concentrations in the brain and are given 24 hours before hypoxia–ischemia prevented
important constituents of cellular membranes. When cerebral infarction. A single dose given 0 to 3 hours
administered systemically, the monosialoganglioside before hypoxia–ischemia was not effective (see also
GM1 crosses the blood– brain barrier and is incorpo- Reference 102). In a more recent study, Chumas et
rated into neuronal cell membranes.92 Recently, it has al105 showed that pretreatment of immature rats with
been demonstrated that both pre- and posttreatment dexamethasone 6 hours before hypoxia–ischemia
with GM1 protects the near-term sheep fetus from also offered protection with no infarction. Additional
hypoxic–ischemic brain damage.93,94 When given as studies by the same research group have shown that
an infusion over 6 hours beginning immediately after the improved neuropathologic outcome afforded to
reperfusion, the ganglioside improves recovery of the dexamethasone-treated immature rats is not the
cerebral edema and reduces neuronal injury, espe- result of improved cerebral blood flow during hy-
cially in cerebral cortex, hippocampus, and striatum. poxia–ischemia.106 Furthermore, the mild hypergly-
The exact mechanism whereby GM1 protects the cemia observed in the steroid-treated animals does
brain from hypoxic–ischemic injury is unknown, but not account for the cerebral protection, and there also
possibly its incorporation into cellular membranes is no induction of antioxidant enzymes.107
results in a stabilization of membrane integrity and The mechanism(s) by which glucocorticosteroid
function.94 therapy protects the developing brain from hypoxic–
ischemic brain damage has yet to be elucidated.
Given the fact that the drug is most efficacious when
Growth Factors
given $24 hours before cerebral hypoxia–ischemia in
Many factors are important for normal growth and the immature rat, the interval between the treatment
maturation of the brain. Accordingly, it is not sur- and the onset of the metabolic stress is adequate to
prising that such growth factors would be altered by allow for some form of molecular or cellular adap-
cerebral hypoxia–ischemia, and that their adminis- tation that offers protection to occur. A somewhat
tration might be neuroprotective. Thus far, nerve analogous situation occurs with hypoxic precondi-
growth factor has been shown to reduce the severity tioning (see below). Additional experiments hope-
of hypoxic–ischemic brain damage in the immature fully will elucidate the mechanism whereby glu-
rat.95 Other growth factors might be similarly effica- cocorticosteroids provide such a dramatic protective
cious. effect on the immature brain subjected to hypoxia–
ischemia. However, it must be kept in mind that an
Glucocorticosteroids: A Special Case interval of 1 day in the developing rat brain is prob-
As briefly mentioned previously, glucocorticoste- ably equivalent to 1 month in the human fetus or
roids have been used previously in human infants, newborn infant. On the other hand, glucocorticoste-
children, and adults to reduce the cerebral edema roids reduce the incidence and severity of respiratory
that arises from hypoxia–ischemia. However, con- distress syndrome when administered to premature
trolled clinical studies on the use of either low- or newborn infants within 24 hours of delivery and—
high-dose steroids, predominantly in adult patients directly or indirectly—reduce the risk of periven-
suffering traumatic coma, indicate that these drugs tricular/intraventricular hemorrhage.108 –111
fail to attenuate increases in intracranial pressure or
improve ultimate neurologic outcome.96 –98 Experi- Phenobarbital: Another Special Case
mental studies also suggest that glucocorticosteroid Numerous investigations have indicated that bar-
therapy is ineffective in reducing either the cerebral biturate pretreatment and even early posttreatment
edema or the ultimate neuropathologic alterations of adult animals subjected to cerebral hypoxia–isch-
that accompany ischemic stroke in adult ani- emia reduces the severity of ultimate brain dam-
mals.99 –101 Relevant to the perinatal brain, Altman et age.112–115 Experiments also suggest that barbiturates
al102 administered dexamethasone (40 mg/kg) to im- protect the fetus and newborn animal against as-
mature rats immediately before the onset of cerebral phyxia by prolonging survival and by preventing or
hypoxia–ischemia. The results showed that not only reducing the subsequent development of hypoxic–
was the extent of brain damage not different in the ischemic brain injury.116 –118 The type of barbiturate
steroid-treated animals compared with nontreated used in all of these experimental studies have been of
controls, but also that mortality in the treated rat the short-acting variety, specifically, thiopental or
pups was greater than that in the control animals pentobarbital. The mechanism(s) of the neuroprotec-
(but see Reference 103). Accordingly, based on both tion relates predominantly to an overall suppression
clinical and experimental data, glucocorticosteroids of cerebral oxidative metabolism, as reflected in a
administered either shortly before or after cerebral reduction in oxygen consumption and a slower de-
hypoxia–ischemia does not improve neurologic or pletion of energy stores during hypoxia–ischemia or

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ischemia.119 –121 Barbiturates might also blunt cerebral ducing the severity of hypoxic–ischemic brain dam-
excitotoxicity by depressing glutamate responses age rather than a single drug. Such might be the case,
within the brain.122 given the observation in experimental animals that a
High-dose barbiturates have been administered to cascade of metabolic events occurs during hypoxia–
newborn infants sustaining cerebral hypoxia–isch- ischemia and during recovery after resuscitation that
emia before or at the time of delivery.123–125 In a collectively result in brain damage.70 However, sev-
controlled clinical study, Goldberg et al124 randomly eral questions arise regarding the use of combination
assigned 32 full-term, severely asphyxiated newborn therapy. First, should the chosen drugs (or other
infants to barbiturate-treated and control groups. All intervention) be given in parallel or in sequence; if
newborn infants exhibited evidence of hypoxic–isch- given in sequence, when? Second, is it possible that
emic encephalopathy and required mechanical ven- one drug will diminish or even abolish the efficacy of
tilation. Thiopental was begun at a mean postnatal another drug? Third, will adverse side effects of two
age of 2 hours and was given as an infusion for 24 or more drugs more likely occur or become more
hours. Despite barbiturate therapy, no significant prominent than of one drug? Clearly, the use of a
difference in the frequency of seizures or in eleva- single agent in the clinical setting is the logical first
tions in intracranial pressure was noted between the step, as these questions are answered in the experi-
two groups. Early treatment with thiopental did not mental laboratory.
improve neonatal mortality or neurologic morbidity
at 12 months of age. Of additional importance was NONPHARMACOLOGIC INTERVENTIONS
the fact that systemic hypotension occurred signifi- In addition to the potentially new pharmaco-
cantly more often in the treated group, requiring logic strategies to protect the perinatal brain from
greater vasopressor support in these infants. The hypoxic–ischemic brain damage, several nonphar-
investigators concluded that barbiturate therapy of- macologic approaches have proved beneficial.
fers little benefit to the previously asphyxiated new- These interventions include hyperglycemia, mild
born infant and might actually perpetuate existing hypercapnia, systemic or local hypothermia, and
cardiovascular derangements. hypoxic preconditioning. These influences on
However, a recent clinical investigation by Hall et perinatal hypoxic–ischemic brain damage are ad-
al126 has demonstrated a beneficial effect of high-dose dressed briefly.
phenobarbital on neurologic outcome in severely as-
phyxiated full-term newborn infants. Twenty as- Hyperglycemia
phyxiated newborn infants received an intravenous Several investigations have indicated that hyper-
infusion of phenobarbital (40 mg/kg) between 1 and glycemia superimposed on cerebral hypoxia–isch-
6 hours after birth. Twenty infants served as controls. emia or isolated ischemia accentuates brain damage
Thirty-one infants successfully completed the study in adult experimental animals and humans.127–130
(15 treated, 16 controls). Control infants received Such is not the case in perinatal animals, at least in
phenobarbital (20 mg/kg) only if and when clinically the immature rat. In this regard, Vannucci and Mu-
apparent seizures occurred. No difference in the fre- jsce131 demonstrated that hyperglycemia to blood
quency of seizures was seen in the two groups. In glucose concentrations in the range of 600 mg/dL
addition, no adverse effects on heart rate, respiratory entirely prevents the occurrence of brain damage in
rate, blood pressure, or arterial blood gases were an immature rat model of cerebral hypoxia–isch-
observed in the high-dose phenobarbital-treated emia. Hyperglycemia with blood glucose concentra-
group. Three-year follow-up revealed normal neuro- tions ranging from 300 to 400 mg/dL has no benefi-
logic outcome in 10 of 15 infants in the treatment cial effect, nor is it deleterious to the brain subjected
group but in only 3 of 16 infants in the control group to hypoxia–ischemia.132 Additional investigations
(P , .05). From the findings, the authors concluded have shown that hyperglycemia superimposed on
that early high-dose phenobarbital therapy to se- cerebral hypoxia–ischemia results in an enhanced
verely asphyxiated full-term newborn infants ap- anaerobic glycolytic flux compared with normogly-
pears to be safe and is associated with significant cemic controls.133 The enhanced glycolysis, in turn,
improvement in neurologic outcome at 3 years of leads to better preservation of cerebral high-energy
age. reserves in the hyperglycemic animals, thus account-
The clinical investigation of Hall et al126 is impor- ing for the greater resistance of these animals to
tant in several respects. First, phenobarbital is a drug hypoxic–ischemic brain damage. However, hyper-
frequently used by neonatologists for the treatment glycemia has been shown to increase hypoxic–isch-
of seizures in newborn infants. Second, no adverse emic brain damage in newborn pigs,134 in contrast to
systemic physiologic effects were noted. Third, the the findings in immature rats. In addition, glucose
drug appeared to be efficacious in ultimately reduc- supplementation during recovery after resuscitation
ing the severity of hypoxic–ischemic brain damage, from cerebral hypoxia–ischemia appears to accentu-
at least from a functional perspective. A controlled, ate brain damage in immature rats.135
prospective study with a larger number of asphyxi- In contrast to hyperglycemia, mild insulin-induced
ated newborn infants would be worthwhile. hypoglycemia is detrimental to immature rat brain
subjected to hypoxia–ischemia.136 However, if hypo-
COMBINATION THERAPY glycemia is induced by fasting the animals for 12
The issue remains as to whether a combination of hours, a high degree of protection is afforded to the
therapeutic agents would be more efficacious in re- brain during hypoxia–ischemia. The fasting is asso-

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ciated with increased concentrations of blood b-hy- ischemia extending over 2.5 hours.141 It is also likely
droxybutyrate and acetoacetate concentrations, that the deleterious effect of hypocapnia seen in hu-
which presumably serve as alternate substrates to man premature infants occurs in the setting of cere-
the immature brain, thereby protecting it from hy- bral hypoxia–ischemia extending over $1 hours. It
poxic–ischemic damage.136 It has been shown that remains to be determined whether hypercapnia is at
ketone bodies enter the immature brain more readily least partially protective in the setting of acute intra-
than glucose;137 their ready availability for oxidative partum asphyxia occurring in full-term human new-
metabolism even under conditions of cerebral hy- born infants. In this regard, Low et al12 found no
poxia–ischemia provides the necessary reducing evidence of newborn complications, including en-
equivalents to preserve high-energy phosphate cephalopathy, in full-term fetuses in whom only a
reserves during metabolic stress. respiratory acidosis was apparent on umbilical blood
Based on the experimental studies described acid-base analysis. A metabolic acidosis was associ-
above, it appears prudent that blood glucose concen- ated with a high rate of newborn complications.
trations be maintained within a physiologic range
Goodwin et al11 showed that full-term newborn in-
during and after cerebral hypoxia–ischemia in fe-
fants with respiratory acidemia at birth did not differ
tuses and newborn human infants. Hypoglycemia
appears to be deleterious, whereas the data regard- significantly with respect to newborn multiorgan in-
ing any potential beneficial effect of hyperglycemia jury compared with infants with similar umbilical
during and after hypoxia–ischemia presently are blood pH, but there was a trend toward a lower
controversial. Clinical investigations are necessary to incidence of hypoxic–ischemic encephalopathy (P 5
determine whether an infusion of ketone bodies .06). In contrast, van den Berg et al143 found more
might protect the perinatal brain from hypoxic–isch- newborn complications, including encephalopathy,
emic injury. in a group of premature and full-term newborn in-
fants born with combined respiratory and metabolic
Carbon Dioxide acidosis than in infants with a metabolic acidosis
Recent clinical investigations suggest that prema- alone. Accordingly, it remains to be determined
ture infants who require mechanical ventilation to whether hypercapnia in the setting of acute asphyxia
prevent or minimize hypoxemia arising from respi- accentuates or reduces perinatal hypoxic–ischemic
ratory distress syndrome are at increased risk for the brain damage.
development of periventricular leukomalacia if hy-
pocapnia occurs during the course of respiratory
management.138 –140 A causal relationship between Hypothermia
low Paco2 and hypoxic–ischemic brain damage was Systemic or focal cooling of the brain by as little as
not established in any of the studies, but given the 3° to 6°C has been shown to reduce the extent of
multiple effects of carbon dioxide (co2) on hemody- tissue injury that follows several cerebral insults in
namics and cerebral metabolism, a cause and effect adult experimental animals, including stroke,
relationship is certainly plausible. The question re- trauma, and hypoglycemia.144 –146 In contrast, hyper-
mained as to the contribution of hypocapnia to hy- thermia to 38° to 39°C accentuates ischemic brain
poxic–ischemic brain damage and whether hyper- damage.147–149 Hypothermia also protects the perina-
capnia is neuroprotective. tal brain from hypoxic–ischemic damage. In this re-
To resolve the issue, Vannucci et al141 subjected gard, Yager et al150 demonstrated in immature rats
immature rats to cerebral hypoxia–ischemia with or that a reduction in systemic temperature by 3°C dur-
without co2 added to the hypoxic gas mixture to ing cerebral hypoxia–ischemia provides partial ben-
which the animals were exposed. The results showed efit, and a 6°C decrease completely protects the brain
that normocapnic (Pco2 5 39 mm Hg) cerebral hy- from injury (see also Reference 151). Presumably,
poxia–ischemia is associated with less severe brain hypothermia reduces cerebral energy demands, such
damage than hypocapnic (Pco2 5 26 mm Hg) hy- that during hypoxia–ischemia, high-energy phos-
poxia–ischemia, and that mild hypercapnia (Pco2 5 phate reserves are maintained at relatively normal
54 mm Hg) is more protective than normocapnia.
levels.152 Systemic hypothermia during the first 3
Additional studies were conducted that determined
hours of reperfusion after hypoxia–ischemia also
that mild hypercapnia is associated with greater
preservations of cerebral blood flow, glucose utiliza- protects the immature rat brain from damage,153 al-
tion, and high-energy phosphate reserves than seen though this observation has not been universal.150
during either hypocapnic or normocapnic cerebral Similar findings have been observed in newborn
hypoxia–ischemia.142 From their findings, the inves- pigs.154,155 Selective cooling of immature rat brain to
tigators recommended additional corroboration in temperatures comparable with that of mild systemic
other animal models as well as as a clinical reap- cooling (see above) also affords protection from hy-
praisal of the ventilatory management strategies of poxic–ischemic injury.156 It has been known for de-
sick newborn human infants, as regard especially the cades that systemic cooling of human infants to tem-
prevention of hypocapnia and the occurrence of per- peratures ranging from 16° to 24°C protects their
missive mild hypercapnia. brains from ischemic damage during total circulatory
It must be emphasized that the apparent neuro- arrest for up to 90 minutes; this intervention is the
protective effect of mild hypercapnia seen in imma- mainstay of the operative correction of congenital
ture rats occurs in the setting of cerebral hypoxia– heart defects.157–159

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Hypoxic Preconditioning the American Pediatric Society/Society for Pediatric
Recently, it has been demonstrated that immature Research and will be discussed again at Hot Topics
rats subjected to cerebral hypoxia–ischemia sustain 1997.
less brain damage if they were exposed previously to
systemic hypoxia alone compared with animals not ACKNOWLEDGMENT
exposed previously to hypoxia.160 The finding is Dr Vannucci’s research is presently supported by National
comparable with the protective influence of isch- Institute of Child Health and Human Development Grant P01
HD30704.
emic preconditioning on subsequent ischemic
brain damage in adult animals.161–163 The underly- REFERENCES
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1014 PERINATAL HYPOXIC–ISCHEMIC ENCEPHALOPATHY


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Interventions for Perinatal Hypoxic−Ischemic Encephalopathy
Robert C. Vannucci and Jeffrey M. Perlman
Pediatrics 1997;100;1004
DOI: 10.1542/peds.100.6.1004
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PEDIATRICS is the official journal of the American Academy of Pediatrics. A monthly


publication, it has been published continuously since 1948. PEDIATRICS is owned, published, and
trademarked by the American Academy of Pediatrics, 141 Northwest Point Boulevard, Elk Grove
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Downloaded from pediatrics.aappublications.org at State Univ Of Ny at Buffalo on January 23, 2015


Interventions for Perinatal Hypoxic−Ischemic Encephalopathy
Robert C. Vannucci and Jeffrey M. Perlman
Pediatrics 1997;100;1004
DOI: 10.1542/peds.100.6.1004

The online version of this article, along with updated information and services, is
located on the World Wide Web at:
http://pediatrics.aappublications.org/content/100/6/1004.full.html

PEDIATRICS is the official journal of the American Academy of Pediatrics. A monthly


publication, it has been published continuously since 1948. PEDIATRICS is owned,
published, and trademarked by the American Academy of Pediatrics, 141 Northwest Point
Boulevard, Elk Grove Village, Illinois, 60007. Copyright © 1997 by the American Academy
of Pediatrics. All rights reserved. Print ISSN: 0031-4005. Online ISSN: 1098-4275.

Downloaded from pediatrics.aappublications.org at State Univ Of Ny at Buffalo on January 23, 2015

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