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Pathophysiology 21 (2014) 3–12

Neonatal necrotizing enterocolitis: Clinical challenges, pathophysiology


and management
Shehzad Huda a , Shabnum Chaudhery b , Hassan Ibrahim c , Arun Pramanik c,∗
a Department of Neonatal-Perinatal Medicine, University of Alabama at Birmingham, Birmingham, AL, United States
b Department of Pathology, LSU-Health, Shreveport, LA, United States
c Department of Pediatrics, LSU-Health, Shreveport, LA, United States

Abstract
NEC remains a major concern for neonatologists, surgeons, and gastroenterologists due to its high morbidity and mortality. These infants
often have poor developmental outcome, and contribute to significant economic burden resulting in marked stress in these families. By
developing and adhering to strict feeding protocols, encouraging human milk feeding preferably from the infant’s mother, use of probiotics,
judicious antibiotic use, instituting blood transfusion protocols, the occurrence of NEC may possibly be reduced. However, because of its
multifactorial etiology, it cannot be completely eradicated in the NICUs, particularly in the extremely premature infants. Ongoing surveillance
of NEC and quality improvement projects may be beneficial.
© 2014 Published by Elsevier Ireland Ltd.

Keywords: Necrotizing enterocolitis; Preterm infant; Prevention

1. Introduction (NICU). It is the commonest gastrointestinal emergency


with high morbidity and mortality, particularly in extremely
The first case report of necrotizing enterocolitis (NEC) premature infants. The terminal ileum and the proximal colon
probably dates back to 1823 when Charles Billard used the are the most commonly affected sites although any segment
term “gangrenous enterocolitis” or “malignant enteritis” to of the small or large intestine may be involved. In a subset
describe necrosis and inflammation of the intestinal tract in of patients it has a rapid and fulminating course wherein the
a small infant. This was followed by a report of 25 patients entire bowel is irreversibly damaged which has been termed
with “gangrenous enterocolitis” in 1850 [1]. During the early as ‘NEC totalis’. The exact mechanism initiating the inflam-
part of 20th century, there were more reports of peritonitis mation and injury to the gut is poorly understood despite
with ileal perforation due to what was then called “infectious extensive clinical and basic research on NEC in the last few
enteritis”. In 1953, Schmidt and Quaiser coined the term decades. The lack of clinically significant progress, and the
“Newborn NEC” [2]. However, the clinical and radiological unchanged prevalence rate of NEC have been attributed to a
features of NEC as currently used were first described in 21 variety of factors which include: increased survival of smaller
such infants by Berndon from New York Babies hospital in and sicker premature infants at higher risk of NEC with the
1964 [3]. advent of modern NICU practices, our inability to differenti-
Necrotizing enterocolitis, an inflammatory bowel disease ate this disease early from ‘feeding intolerance’, alterations
of newborn infants attributed to multifactorial etiology often in gut flora with use of antibiotics and feeding practices, a
presents unexpectedly in the Neonatal Intensive Care Unit possible risk of increased NEC due to blood transfusions
during feeding, and our inability to create an animal model
closely simulating human disease. NEC is estimated to affect
∗ Corresponding author at: Department of Pediatrics, Louisiana State Uni-
approximately one out of 10 premature infants with birth
versity Health, PO Box 33932, Shreveport, LA 71115, United States.
weights less than 1000 g and results in significant morbidity
E-mail address: aprama@lsuhsc.edu (A. Pramanik). and mortality, particularly in extremely premature infants.

0928-4680/$ – see front matter © 2014 Published by Elsevier Ireland Ltd.


http://dx.doi.org/10.1016/j.pathophys.2013.11.009
4 S. Huda et al. / Pathophysiology 21 (2014) 3–12

Fig. 1. Pathophysiological risk factors for necrotizing enterocolitis.

In premature infants, it usually presents several weeks after septicemia in up to 30% of NEC patients [4]. Here we will
birth and the age of onset is inversely proportional to the review the epidemiology, clinical features, pathophysiology,
gestational age at birth, with an exponential increase in its management and prevention of NEC.
rate in infants weighing less than 1000 g. Because NEC has
not been described in a fetus, several investigators have sug-
gested that postnatal factors likely contribute to its etiology.
More than 90% of neonates were enterally fed prior to the
onset of NEC. NEC may occur in full term infants in whom it 2. Epidemiology
clinically presents earlier in life due to a variety of underlying
disease states listed below under epidemiology. Although NEC prevalence varies amongst NICUs. In a report from
the exact mechanism of gut injury remains controversial, the NICHD Neonatal Research Network, NEC had a mean
factors that have been attributed in infants at greater risk are: prevalence of 7% in infants with birth weight less than 1500 g,
immature gut mucosal and barrier function or dysmotility, rising to 15% in infants weighing less than 750 g, with 50%
tissue ischemia secondary to underlying diseases, excessive of them receiving surgical intervention [5]. Overall, NEC
pro-inflammatory cytokines, enteral feeding or medications results in significant morbidity [6–8], and the mortality rates
altering gut flora, and enhanced inflammatory response range from 5 to 24% [9–13]. On rare occasions, NEC may
(Fig. 1). Tissue hypoxia of the affected intestine may further occur in infants born at near-term or term gestation in whom
decrease gut motility, and with continuation of feeding gut it presents earlier. These term infants may have asphyxia,
flora are possibly altered and overgrowth resulting in gut congenital heart disease, polycythemia, exchange transfusion
mucosal damage which may be followed by translocation or underlying surgical condition (e.g. Hirschprung’s disease)
of gut bacteria into the systemic circulation with resulting suggesting a different mechanism of gut injury.
S. Huda et al. / Pathophysiology 21 (2014) 3–12 5

Table 1
Stage Clinical Laboratory Radiological Management
Ia Temperature instability, apnea, Unremarkable Unremarkable Asses frequently to rule out if due to
bradycardia, ↓ SaO2 , ↑ gastric prematurity, CPAP or sepsis, hold feeds if
residuals, abdominal distension, green tinged, increase feeds cautiously
stool-occult blood +ve
Ib Same as above Same as above + bloody Unremarkable Above + rule out fissures. Consider
stools antibiotics to be discontinued in 2 days if
CRP and blood cultures are normal
IIa Stage I + decreased or absent Mild metabolic acidosis, mild Dilated bowel loops, NPO, gastric decompression, X-ray
bowel sound, guarding thrombocytopenia sentinel loops, abdomen q 6–8 h including left lateral
pneumatosis intestinalis decubitus, inform surgeons. Start
antibiotics × 7–10 days after sepsis work-up
IIb Stage I & IIa + absent bowel Metabolic acidosis, IIA + portal venous gas Same as above + supportive treatment
sounds, marked guarding, thrombocytopenia, shadows
abdominal wall discoloration or hyponatremia
cellulitis, Rt. lower quadrant mass
IIIa Stage I & II + hypotension, DIC Respiratory acidosis, Stage II + ascites Same as above + insure adequate coverage
metabolic acidosis, for gram negative bacteria and anaerobes
neutropenia, increased
PT/PTT/INR, D-dimer,
increase CRP
IIIb Same as above Same as above Stage II & Above + emergency surgery
IIIa + pneumoperitoneum

3. Clinical features order to diagnose NEC early, a high index of suspicion should
be maintained in premature infants, particularly those with
In 1978 Bell et al. [14] suggested staging of NEC depend- birth weights less than 1 kg, and in infants with unstable peri-
ing on its severity, which was subsequently modified by natal events who should be monitored closely. Non-specific
Walsh and Kliegman [15]. Table 1 lists the staging along laboratory findings reported in NEC patients are: neutrope-
with suggested management strategies. Feeding intolerance nia, leukocytosis, thrombocytopenia [16,17], hyponatremia,
is a common presentation of NEC which is also observed acidosis or hyperglycemia. Radiological findings of fixed
in premature infants with septicemia, decreased gut motil- dilated bowel loops or ‘sentinel loop sign’ (Fig. 2), pneu-
ity, use of caffeine or indomethacin, and gastro-esophageal matosis intestinalis (white arrows: Fig. 3), portal venous gas
reflux, thus resulting in over-diagnosis of stage I NEC. In shadow (black arrows: Fig. 3) and pneumoperitoneum which

Fig. 2. X-rays KUB with markedly dilated sausage shaped loop (white Fig. 3. X-rays KUB with black arrow depicts portal venous gas shadow and
arrow) and umbilical venous catheter in place. white arrow depicts pneumatosis intestinalis.
6 S. Huda et al. / Pathophysiology 21 (2014) 3–12

Fig. 4. Football sign – black arrow depicts free air under the diaphragm and
white arrow depicts falciform ligament.
Fig. 5. Congested, discolored and thickened bowel due to edema and inflam-
may present as ‘football sign’ (Fig. 4; white arrows: free mation.
air, black arrows: falciform ligament) are helpful in diagno-
sis of NEC. In some patients, pneumatosis, portal venous and/or critically ill at birth are lacking. Therefore, we sug-
gas and pneumoperitoneum are seen in advanced stage of gest a conservative approach in these high-risk infants by
NEC with gut necrosis or ‘NEC totalis’ with poor progno- encouraging breast milk feeding (total or partial), to cau-
sis. Pneumoperitoneum represents bowel perforation and is tiously increase feeds and frequently assess them to minimize
a surgical emergency. Isolated spontaneous intestinal perfo- the occurrence of NEC, and diagnose NEC earlier when it
ration (SIP) is also occasionally seen in premature infants does occur.
who have received postnatal corticosteroids, indomethacin,
or were hypotensive, and these patients have a relatively better
prognosis. The diagnosis of SIP is difficult to make with- 4. Pathology (gross and histopathology)
out laparotomy, and thus some epidemiological studies may
have overestimated the prevalence of NEC. High resolution NEC commonly affects the terminal ileum followed by
ultrasonography has been used to asses gut injury, wherein colon and other segments of the small intestine [21,22].
echogenic dots or dense granular echogenic spots are seen Since pathological specimens are obtained from surgery or
in the bowel wall [18], and color Doppler imaging has been during autopsy, early stages of NEC are not usually acces-
used to diagnose pneumatosis [19], but these techniques have sible for pathological examination. On gross examination,
not received wide acceptance. Some investigators believe that as the disease process continues, the intestines appear con-
due to our failure to diagnose NEC early, infants have seri- gested, discolored and thickened (Fig. 5) due to edema and in
ous adverse outcome with enormous impact on their families advanced cases gas-filled cysts may be visible. These areas
who have to make frequent hospital visits, care for a hand- can progress to appear dark, gray and gangrenous (Fig. 6)
icapped infant and deal with financial burden [20]. Hence and may perforate. Intestinal pneumatosis, the formation of
many NICUs adhere to strict feeding protocols, which have gas bubbles within the intestinal wall is a characteristic find-
been considered to possibly decrease the occurrence of NEC. ing seen in most patients with NEC, likely resulting from
However, randomized, prospective studies with adequate sta- fermentation and gas production by bacteria. The intestinal
tistical power to control for multiple factors in the extremely wall perforates when the disease is severe with transmural
premature infants, particularly those with fetal compromise involvement.
S. Huda et al. / Pathophysiology 21 (2014) 3–12 7

5.1.1. Decrease in mucin production


In NEC, the onset of the inflammatory process may be
gradual, but may have a rapid progression, thus making it
difficult to ascertain the time of its origin. Since most prema-
ture infants do not develop NEC despite immature intestines,
it has been suggested that there may be genetic predisposition
with fewer mucin-producing goblet cells in some infants. The
goblet cells are expressed as early as 9 weeks of gestation,
with peak expression at 23 weeks of gestation. The develop-
mental expression of mucin goes through various stages of
maturation with adult pattern layer observed between 23 and
27 weeks of gestation. Mucin protects the intestinal epithelial
lining and prevents the translocation of the gut microbes into
the circulation [6,25–28].

5.1.2. Cytokines and chemokines


The role of cytokines and chemokines in inflammation
leading to gut injury in NEC has been extensively studied. The
initial process of inflammation in gut injury likely begins with
ischemia leading to the dysmotility of the intestine followed
by excessive distension leading to the damage of the intestinal
mucosal epithelial cells leading to the proliferation of proin-
flammatory bacteria. Lipopolysaccharide (LPS) [29–31] (an
endotoxin present in the outer wall of the gram negative bacte-
ria) may trigger the activation of the inflammatory cascade by
engaging the toll like receptors (TLR), leading to the release
of various cytokines and chemokines, e.g. interferon gamma,
Interleukin-6, interleukin-8, interleukin-12, interleukin-18,
Fig. 6. Dark, gray gangrenous bowel with hemorrhagic foci.
tumor necrosis factor-alpha. These cytokines and chemokines
are regulated by the transcription factor nuclear factor-kB,
which regulates the leukocyte adhesion molecules. The role
of cytokines and toll receptors has been discussed in other
chapters in this issue.
Microscopic examination shows early changes of
microvascular thrombi, submucosal gas-filled cysts (intesti-
5.1.3. Role of endothelium
nal pneumatosis), vascular congestion, edema and a variable
Several researchers have proposed that NEC is an
inflammatory infiltrate in the mucosal and submucosal areas.
ischemia–reperfusion injury with significant reduction in
The inflammatory component may appear relatively less
intestinal blood flow leading to inflammation followed by
compared to the degree of necrosis. Late changes include
cellular necrosis. With compromised blood flow, the tissue
coagulation necrosis with hemorrhage and gangrenous bowel
is deprived of oxygen and nutrients. Endothelium, which
wall susceptible to perforation [23] (Fig. 7a–e).
lines the microvessels plays a pivotal role in controlling
Although there is no histological grading of NEC in
the blood flow to the intestinal tissues via regulation of
humans, using an animal model, Jilling et al. have described
endothelin-1 (ET-1) and endothelial nitric oxide (eNO). ET-1
grading from 0 to 4 with grade 0 representing intact mor-
is a potent vasoconstrictor [32], which acts via binding with
phology, grade 1 showing sloughing of the tip of villi, grade
ETA receptor and eNO, a potent vasodilator, which acts via
2 with mild necrosis of villi, grade 3 with loss of villi, and
ETB receptor. Nankervis and Nowicki postulated that this
grade 4 representing complete destruction of the intestinal
results from imbalance between vasoconstriction and vaso-
mucosa [24].
dilatation properties of the endothelin leading to ischemia of
the affected tissue causing NEC [33]. Thus vascular endothe-
lial cells also play a major role in inflammatory cascade and
5. Pathophysiology acts as an immunomodulator.

5.1. Mechanism of injury 5.1.4. Role of feeding


Although NEC has never been reported in a fetus, Nan-
This has been described in other chapters. We have sum- thakumar et al. found evidence suggesting gut inflammation
marized some of the salient features below. in aborted fetuses [34]. They postulated that because of
8 S. Huda et al. / Pathophysiology 21 (2014) 3–12

Fig. 7. (a) H&E-stained histological sections of a macroscopically unaffected segment, showing early signs of epithelial degeneration at villous tips and
thrombus formation (arrow head) in an underlying vessel, hematoxylin–eosin stain, 100×. (b) Pathologic findings in NEC. Histologic sections of small bowel
showing early stage of intestinal injury with hyperemia of mucosa and loss of epithelial cells at the villus tips (1). Intramural gas is seen as rounded bubbles in
the submucosa (arrows), hematoxylin–eosin stain, 100×. (c) Here the bowel is affected much more severely. There is necrosis of the mucosa and submucosa
with intraluminal necrotic debris on the mucosal side of the bowel wall (m) and loss of villi. The histologic characteristics of NEC include coagulative necrosis
(1), bacterial overgrowth with inflammatory cell infiltration (2), mucosal edema and ulceration (3), hematoxylin–eosin stain, 100× with insert at 400×. (d)
High magnification of a histological section of the necrotic small bowel mucosa showing characteristic vascular thrombi (arrowhead) and necrosis (arrow),
hematoxylin–eosin stain, 200×. (e) Transmural necrosis of mucosa, submucosa, and muscularis propria extending to serosa with potential for perforation.
s = serosal surface of bowel wall.

excessive cytokine production, immature human enterocytes a small group of 10 very low birth weight infants weighing
may be prone to necrosis. In more than 90% of patients, NEC 750–1250 g with formula having composition similar to the
occurs in neonates who received enteral feeds. Although amniotic fluid and found no significant adverse effects in all
there is lack of consensus amongst neonatologists regarding these VLBW infants [35]. They suggested that amniotic fluid
the timing of initiation and the rate of increase of enteral contents including erythropoietin and granulocyte-colony
feedings in premature infants, most physicians administer stimulating factor have antiapoptotic effects. Feeding prac-
trophic feeds which are increased cautiously in extremely tices in many NICUs are dependent on the clinician caring
premature infants, particularly those who had absent diastolic for the infant. However many neonatologists consider that
flow in fetal period, had hypotension or severe intrauterine if the infant does not have a large Patent Ductus Arteriosus
growth retardation. Also, it has been suggested that in utero, or hypotension requiring vasopressors, minimal enteral
these infants produce meconium by swallowing amniotic nutrition, i.e. trophic feedings should be initiated once the
fluid, which possibly has protective chemicals with a role in infant is stable. This concept of priming the gut epithelium
preventing intestinal injury after birth. Christensen et al. fed and develop adaptability may also help in decreasing feeding
S. Huda et al. / Pathophysiology 21 (2014) 3–12 9

intolerance. Clinical trials have been conducted by keeping normal flora and may develop resistant microbes which may
these infants Nil Per Os (NPO) for a week followed by result in NEC and sepsis [34]. Carrion and Egan reported that
introduction of the feeds with no differences observed in the by maintaining an acidic gastric pH less than 3.0 in breast
incidence of NEC in infants weighing greater than750 g at milk, PM 60/40 and PF20, the incidence of NEC decreased,
birth. The Cochrane Systematic Review evaluating 9 trials in contrast to higher gastric enteric bacterial colony counts
does not suggest that the practice of minimal enteral nutrition which strongly correlated with gastric pH greater than 4.0
either increases (or decreases) the risk of definite NEC, [50]. It is unclear whether the absence of harmful contents,
with a typical relative risk of 1.07 (95% confidence interval or the presence of anti-inflammatory factors in the human
0.67, 1.70); typical risk difference of 0.01 (95% confidence milk prevents NEC. It is also postulated that unknown proin-
interval −0.04, 0.05) [36]. Premji et al. reviewed data from flammatory substances in artificial formula milk aggravate
seven different trials in 571 infants on the effectiveness of gut injury in infants with a genetic predisposition.
continuous feedings in premature infants weighing less than Several probiotic strains have been used by researchers
1500 g and concluded that there was no significant difference including: Bifidobacterium bifidus, breve, infantis, lactis and
in the time to achieve the full feeds, somatic growth and the longus; Lactobacillus acidophilus, casei, rhamnosus GG,
incidence of the NEC [37]. A consensus should be developed plantarum and sporogenes; Streptococcus thermophillus and
amongst neonatologists regarding the postnatal age to start Saccharomyces boulardii.
trophic feeds, and the rate of increase of enteral feeds in Although clinical trials have demonstrated favorable result
various subgroups of premature infants. Although studies with use of probiotics treatment, several concerns remain,
have been conducted on rapidity of increasing enteral feeds such as their side effects, optimal organism, dosages and the
in premature infants, there is paucity of data in infants with immature immune response of premature infants. Since, the
birth weight of less than 750 g, and in those with varying actual dosage of pre, pro and postbiotics are unknown, com-
degrees of illness. Since VLBW have a poor gut barrier plications may occur which could be dose related [1,51].
and motility, they are prone to develop feeding intolerance. Rationale for the use of prebiotics and postbiotics in pre-
Under such circumstances, with an increase in gastric venting NEC has been discussed by Dr. Panigrahi and Dr.
residuals even an experienced neonatologist may miss the Denning in this issue.
early signs of NEC and although radiological evidence to
support the diagnosis [38,39] and other criteria listed in table 5.1.6. Transfusion associated gut injury
have been used, they are not definitive. Agwu et al. in 2005 in a case report suggested that blood
transfusion may be a risk factor in inducing gut injury in pre-
5.1.5. Infant formula and breast milk mature infants leading to NEC. Subsequently several studies
The next question is which form of enteral nutrition should documented an increase in NEC among premature infants
be used, i.e. cow milk-based infant formula or human milk receiving enteral feeding during transfusion [52–56]. Stritzke
(either mother’s breast milk or donor breast milk)? The Amer- et al. in 2013 conducted a retrospective chart review of 927
ican Academy of Pediatrics endorses the use of human milk patients with NEC and reported an association of transfusion
[40]. With the use of human milk, a decrease in the inci- associated NEC (TANEC). They noted that 5.5% of patients
dence of the NEC has been reported [41–44]. Lactoferrin, an received transfusion two days prior to the diagnosis of NEC.
iron-binding protein is suggested to be an important factor Majority of these TANEC patients were critically ill during
providing protective barrier and boosting the immune system their initial hospital admission, and developed NEC between
by stimulating the infant’s innate immunity [4]. It is high- 23 and 37 days of life [57].
est in colostrum (7 g/dL) compared to mature milk (1 g/dL)
and is lowest in the mid-lactation milk (0.1 g/dL) [45–47]. 5.2. Long-term outcome
Although in the fetus the gut is sterile, it is colonized by
variety of microbes in the post-natal period. Gut microbiota The prevalence of NEC varies amongst NICUs. Ladd
is also altered by the type of feeding the newborn infant et al. conducted a retrospective study of 249 NEC patients
receives, i.e. breast fed infants get lactobacilli or bifidoba- who underwent surgery to analyze the factors possibly
teria in comparison to formula fed infants that are colonized impacting long-term survival and growth. They reported
with enterobacteria and other gram negative organisms [48]. that survivors were more mature, increased birth weight
In a double-blind placebo controlled randomized trial con- and postnatal age at the time of surgery. There were 112
ducted at eleven tertiary care NICUs involving 472 very low deaths with 36% having NEC totalis, and an additional
birth weight infants (VLBW) infants who were given bovine 30% died of septicemia. The average postoperative survival
lactoferrin (BLF) and BLF plus Lactobacillus rhamnosus GG was 46.9 ± 91.5 days. Significant mortality was observed in
(LGG) from birth to 30 days of life, Manzoni et al. concluded neonates ≤30 weeks gestation (53%). In NEC, those patients
that BLF supplementation alone or in combination with LGG who received surgical intervention had longer hospital stays
reduced the incidence of a first episode of late onset sepsis in comparison to medical NEC. All such babies go through
in VLBW neonates [49]. Additionally, with the use of pro- prolonged periods of parenteral nutrition but the majority
longed use of antibiotics and/or H2-blockers, the gut loses its are on enteral nutrition at the time of discharge. Although
10 S. Huda et al. / Pathophysiology 21 (2014) 3–12

duration of prolonged parenteral nutrition duration depends mass is detected, has signs of persistent intestinal obstruc-
on the intact ileocecal valve, it is also dependent on the tion, sepsis, or has intestinal stricture. Relative indications for
length of the intestine resected. In general, those in whom surgery are: increased abdominal tenderness, distension, dis-
>20 cm has been resected, go through prolong parenteral coloration, or the persistence of portal vein gas [64]. Surgical
nutrition [58]. These infants go through a prolonged period interventions include primary peritoneal drainage, laparo-
of intestinal rehabilitation, depending on the size of viable tomy with resection and enterostomy, resection with primary
gut remaining. The consequences of short gut have been anastomosis, proximal diverting jejunostomy, and “Clip and
discussed by Dr. Peter Minneci in this issue of the journal. Drop” technique. Najaf et al. reported that 24% of their 124
Growth and development remains a major concern in infants with >Stage II NEC developed bowel perforation
infants surviving NEC. Sonntag et al. reported significant with a median interval of 1 day from the appearance of the
neurodevelopmental delay at 12 and 20 months in a small symptoms [65]. In another review of 147 patients with NEC,
group of VLBW survivors of NEC [59]. Salhab et al. reported Kosloske concluded that in addition to pneumoperitoneum
similar findings with neurodevelopmental assessment done which remains the definitive indication for surgery, portal
at 18–22 months [60]. In a large NICHD study cohort, Hintz venous gas and greater than 0.5 mL of brown fluid and/or
et al. hypothesized that ELBW infants with surgically man- bacterial growth in the fluid at paracentesis, surgical interven-
aged NEC are at greater risk for poor neurodevelopmental tion should be considered [66]. Dr. Moss has elaborated on
and growth outcomes than in NEC patients managed med- the surgical management of patients with NEC in this issue.
ically and those infants did not have NEC. They evaluated
2948 infants at 18–22 months. Amongst them, 124 survived
after surgery of NEC, and 121 managed medically. Infants
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