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Journal of Pediatric Surgery 55 (2020) 39–44

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Journal of Pediatric Surgery


journal homepage: www.elsevier.com/locate/jpedsurg

Low postnatal CRI values are associated with the need for ECMO in
newborns with CDH☆,☆☆,☆☆☆
David K. Leopold a,⁎, Ryan C. Phillips a, Niti Shahi a, Jason Gien b,c, Ahmed I. Marwan a,c, John P. Kinsella b,c,
Jane Mulligan d, Kenneth W. Liechty a,c, Steven L. Moulton a,d
a
Department of Surgery, Division of Pediatric Surgery, University of Colorado School of Medicine, Aurora, CO
b
Department of Pediatrics, Division of Neonatology, University of Colorado School of Medicine, Aurora, CO
c
Colorado Fetal Care Center, Children's Hospital Colorado, Aurora, CO
d
Flashback Technologies Inc., Louisville, CO

a r t i c l e i n f o a b s t r a c t

Article history: Introduction: Accurate, real-time technology is needed to predict which newborns with congenital diaphragmatic
Received 8 September 2019 hernia (CDH) will require ECMO. The Compensatory Reserve Index (CRI) is a noninvasive monitoring technology
Accepted 29 September 2019 that continuously trends an individual's capacity to compensate from normovolemia (CRI = 1) to decompensa-
tion (CRI = 0). We hypothesized that postnatal CRI values would be lower in CDH newborns that required ECMO
Key words: than those who did not require ECMO.
Compensatory reserve index
Methods: Newborns with a CDH were prospectively monitored with a CipherOx® CRI M1 device. We compared
Congenital diaphragmatic hernia
Extracorporeal membrane oxygenation
CRI values from delivery to ECMO (ECMO group) versus delivery to clinical stabilization (non-ECMO group).
Photoplethysmography Results: Postnatal CRI values were available from 26 newborns. Eight underwent ECMO within 33 h of delivery,
and median CRI prior to ECMO was 0.068 (IQR: 0.057, 0.078). Eighteen did not require ECMO. Median CRI
from birth to 48 h was 0.112 (IQR: 0.082, 0.15). CRI values were significantly lower in newborns that required
ECMO versus those who did not (p = 0.0035). Postnatal CRI had the highest AUC (0.85) compared to other
prenatal prognostic measures.
Conclusion: Humans from newborns to adults share elemental features of the pulsatile waveform that are
associated with progression to decompensation. CRI may be helpful when deciding when to initiate ECMO.
Level of evidence: Level III.
Type of study: Diagnostic test.
© 2019 Elsevier Inc. All rights reserved.

Congenital diaphragmatic hernia (CDH) is a complex syndrome with with a CDH require extracorporeal membrane oxygenation (ECMO)
a wide spectrum of severity, depending on the degree of pulmonary hy- for postnatal cardiopulmonary support [2]. Various prognostic and risk
poplasia and pulmonary hypertension [1]. Improvements in standard- stratification schemes, which rely on prenatal imaging, genetics, or
ized protocols, advancements in neonatal management, and the postnatal factors, have improved the ability of clinicians to predict the
implementation of various prognostic models have decreased morbid- likelihood of a newborn requiring ECMO and its overall mortality
ity and mortality in this population. Approximately 30% of newborns [1–9]. Once the newborn is delivered, however, the utility of these

Abbreviations: CDH, Congenital Diaphragmatic Hernia; CRI, Compensatory Reserve Index; ECMO, extracorporeal membrane oxygenation; IQR, Interquartile Range; SBP, Systolic blood
pressure; HR, Heart Rate; O/E, Observed to Expected; LHR, Lung to Head Ratio; PPLV, Percent Predicted Lung Volume; TLV, Total Lung Volume; ROC, Receiver Operator Curve; AUC, Area
Under the Curve.
☆ Disclosures: Drs. Mulligan and Moulton, together with Greg Grudic, developed the Compensatory Reserve Index (CRI) algorithm utilized in this study. The underlying intellectual
property is assigned to Flashback Technologies, Inc. and the Regents of the University of Colorado. Drs. Mulligan and Moulton have an equity interest in the company and receive royalty
payments through the University of Colorado. Drs. Leopold, Phillips, Shahi, Gien, Liechty, Marwan and Kinsella have declared no conflicts of interest.
☆☆ Disclaimer: Development of the CRI algorithm was supported in part by funding from the US Army Medical Research and Material Command (USAMRMC) under Grant Nos. DM09027,
W81XWH-15-2-0007, W81XWH-09-1-0750, W81XWH-09-C-0160, W81XWH-11-2-0091, W81XWH-11-2-0085, W81XWH-12-2-0112, and W81XWH-13-C-0121. The views, opinions, and/
or findings contained in this report are those of the authors and should not be construed as an official position, policy or decision of the Department of the Army unless designated by other
documentation. Supported by Children’s Hospital Colorado Foundation and NIH/NCATS Colorado CTSA Grant Number UL1 TR002535. Contents are the authors’ sole responsibility and do
not necessarily represent official NIH views.
☆☆☆ How this paper will improve care: Humans, from newborns to adults, share features of the pulsatile waveform that are associated with progression to decompensation. CRI trends
these features and may aid in earlier initiation of ECMO, before newborns with a CDH experience prolonged hypoxemia and hypotension.
⁎ Corresponding author at: Department of Surgery, University of Colorado School of Medicine, 1640 Oneida Street, Denver, CO, 80220. Tel.: +1 303 818 4749.
E-mail address: David.Leopold@ucdenver.edu (D.K. Leopold).

https://doi.org/10.1016/j.jpedsurg.2019.09.050
0022-3468/© 2019 Elsevier Inc. All rights reserved.
40 D.K. Leopold et al. / Journal of Pediatric Surgery 55 (2020) 39–44

indices diminishes as the clinical team adapts to the rapidly changing 1.2. Data collection
scenario of stabilization and resuscitation [10]. To date, no current tech-
nology accurately predicts which newborns will require ECMO after Continuous CRI measurements were collected using CipherOx® CRI
delivery. M1 monitors (Flashback Technologies Inc., Louisville, CO), from the time
The Compensatory Reserve Index (CRI) is the first FDA-cleared tech- of birth or enrollment until after initial stabilization and resuscitation
nology in the “adjunctive cardiovascular status indicator” class. CRI uses were performed and subjects were considered reasonably stable by
signals from continuous noninvasive sensors to estimate the proportion the clinical team, or the subject was placed on ECMO. Caregivers and
of additional volume loss a patient can tolerate before reaching the clinicians were unaware of the CRI values since they were not visible
point of hemodynamic decompensation (systolic blood pressure on the investigational device's screen. A CipherOx® CRI M1 device
(SBP) b 80 mmHg) in adults [11]. The technology is based on advanced was placed on the middle fingers or palm of the left hand which is the
signal processing and data analytics applied to an extensive raw signal da- best place for determining postductal oxygen saturation. Clinical
tabase from a simulated hemorrhage lower body negative pressure information, such as laboratory values and the timing of significant
(LBNP) model, in which subjects were taken in a stepwise fashion from events, was retrospectively collected from electronic medical records.
normovolemia to cardiovascular collapse [11]. The intent was to develop
a noninvasive, real-time technology to quickly identify and monitor those
at risk for cardiovascular collapse due to acute blood loss. CRI values range 1.3. Statistical methods
between 1 and 0, where CRI = 1 indicates supine normovolemia in adults,
and CRI = 0 indicates the point of decompensation (SBP b 80 mmHg in Demographic variables were summarized using medians and inter-
adults, loss of consciousness, or neurologic symptoms associated with de- quartile ranges (IQR). Counts and proportions were used for categorical
creased perfusion). CRI values between 1 and 0 indicate the proportion of variables. Comparisons of the ECMO and non-ECMO groups were
remaining volume reserve before the onset of decompensation. performed using Wilcoxon rank sum, Chi-square, and Fisher's exact
CRI has proven to be a sensitive and specific, noninvasive method for tests. The average CRI for each subject was calculated from (i) the
monitoring acute volume loss in adults [11–14]. Although the algorithm time of birth/ enrollment to the time of (ii) ECMO flow initiation or
was developed and FDA-cleared based on sensor data from adults clinical stabilization. The “low CRI” for the ECMO group was the mini-
[11,12,14–22], it has been shown to correlate with fluid requirements mum of the hourly CRI averages from the time of birth/ enrollment to
and the extent of burn injury in children [23]. CRI has also been the time of ECMO flow initiation. The “low CRI” for the non-ECMO
shown to identify hypovolemia and trend fluid resuscitation in children group was the minimum of the hourly CRI averages from the time of
with dengue shock syndrome [24]. Recent work by Choi et al. [25] birth/ enrollment until clinical stabilization. CRI values were also
showed that CRI is able to detect the difference in physiologic reserve separated into sequential ten-minute segments from birth to one hour
due to hypovolemia and peritonitis in children with perforated versus of life and the average of these segments was used for comparative
non-perforated appendicitis. This study showed that this difference analysis.
diminished after surgical intervention and fluid administration. Receiver operator curves (ROCs) were calculated using the low CRI
The physiology and hemodynamics of newborns are entirely and prenatal prognostic factors as the predictor and ECMO initiation
different from those of adults or children. While a heart rate of 120 to as the outcome. Area under the curve (AUC) and corresponding CI
160 is normal in newborns, the same values would be a clinical concern were used to compare the fit of the different models. The threshold
in adults and children [26]. All humans, however, newborns to adults, was determined by overall accuracy, meaning the combination of
share elemental features of the pulsatile waveforms that are associated sensitivity and specificity. The AUC was considered significant when
with progression to decompensation. Due to the infrequency of the confidence interval (CI) was greater than 0.5. R version 3.5.1
cardiovascular collapse in newborns and the unethical nature of software (R Foundation for Statistical Computing, Vienna, Austria,
subjecting newborns to controlled models to simulate decompensation, http://www.R-project.org) was utilized. Significance level was set at
CRI has not been validated in this population. To validate if CRI would ef- 0.05.
fectively trend the ability of a newborn to compensate up until cardio-
vascular decompensation, we chose to investigate the use of CRI in the
setting of newborns with CDH. We hypothesized that postnatal CRI 2. Results
values would be lower in newborns with a CDH who required ECMO
than those who did not require ECMO. Thus, the aims of this study 2.1. Demographics and clinical information
were: 1) determine whether CRI can discriminate the range of physio-
logical compromise in newborns with CDH, and 2) evaluate the associ- A total of 28 subjects were enrolled over a 30-month period between
ation between post-natal CRI values and the need for ECMO in 2016 and 2019. Two subjects, who were enrolled and placed on ECMO
newborns with CDH. at 46 and 48 min after delivery, were not included in the analysis.
Data were analyzed for the remaining 26 subjects, who had a confirmed
diagnosis of CDH, of which 8 eventually required ECMO support.
1. Methods Demographics and prenatal information are presented in Table 1.
Comparing the ECMO and non-ECMO newborns, there were no signifi-
1.1. Study population cant differences in baseline demographics such as gender distribution,
gestational age, birth weight, delivery method, or prenatal diagnosis of
The Colorado Institutional Review Board approved this prospective CDH prior to delivery. Comparing prenatal imaging MRI and ultrasound
observational study. Informed consent was obtained from all subjects' findings between the two groups, lung–head ratio (LHR) and the
parents before data collection, when able. If consent was not able to observed-to-expected (O/E) LHR were not significantly different.
be obtained at the time of delivery or transfer, a parent of each subject There was a nonsignificant higher incidence of left-sided diaphragmatic
consented as soon as possible, given the clinical situation. Newborns hernias in the non-ECMO group, as the ECMO group had two right-sided
delivered at Children's Hospital Colorado or transferred within the defects and the non-ECMO group had none (p = 0.16). The median
first 24 h of life with a prenatal or postnatal confirmed diagnosis of percent predicted lung volume (PPLV) and total lung volumes (TLV)
CDH were eligible for the study. Newborns with a CDH, with planned were significantly higher in the non-ECMO group, measuring 20.3
ECMO immediately after delivery or ECMO initiation within one hour (IQR: 18, 26) and 26.9 (IQR: 21.6, 34) versus 15.2 (IQR: 13, 16.8) and
of birth were excluded. 16.0 (IQR: 14.2, 21.5), respectively (p = 0.007, p = 0.021).
D.K. Leopold et al. / Journal of Pediatric Surgery 55 (2020) 39–44 41

Table 1
Demographics and clinical information. Numbers reported are medians and interquartile
ranges for continuous variables and counts and proportions for categorical variables, un-
less otherwise specified.

Non-ECMO (n = 18) ECMO (n = 8) p=

Gender (male) 10 (55%) 5 (63%) 1


Left Diaphragmatic 18 (100%) 6 (75%) 0.16
Hernia
Estimated Gestational 38.00 (IQR: 36.47, 37.43 (IQR: 36.5, 0.16
Age 38.14) 38.00)
Birth weight (kg) 3.04 (IQR: 2.5, 3.5) 3.00 (IQR: 2.88, 3.11) 0.68
Vaginal Delivery 12 (66%) 3 (38%) 0.38
Prenatal Diagnosis 17 (94%) 8 (100%) 1
O/E LHR 0.49 (IQR: 0.41, 0.53) 0.41 (IQR: 0.28, 0.47) 0.14
LHR 1.3 (IQR: 1, 1.5) 1.1 (IQR: 0.88, 1.35) 0.3
PPLV 20.3 (IQR: 18, 26) 15.15 (IQR: 12.95, 0.007
16.75)
TLV 26.9 (IQR: 21.6, 34) 16.00 (IQR: 14.11, 0.021
21.45)

2.2. CRI values

Average CRI values were significantly lower in neonates who


required ECMO, with a median of 0.068 (IQR: 0.057, 0.078) compared
to average CRI values in the non-ECMO group with a median of 0.112
(IQR: 0.082, 0.15) (p = 0.0035). The “low CRI” was significantly lower
for the neonates who required ECMO with a median of 0.035 (IQR:
0.024, 0.046) compared to the “low CRI” values in the non-ECMO
group with a median of 0.084 (IQR: 0.049, 0.106) (p = 0.005). The 10- Fig. 1. Boxplot of average CRI values of CDH newborns.
minute averages in the first hour were not significantly different
between the ECMO and non-ECMO group, except for the CRI averages
from 50 min to 60 min of life (p = 0.049). The CRI average from birth 2.4. CRI and ROC
to the first hour of life was not significantly different between the
groups, with a median CRI for the non-ECMO group of 0.102 (IQR: Fig. 2 shows the ROCs of the “low CRI”, O/E LHR, LHR, TLV, and PPLV
0.081, 0.118) and a median of 0.083 (IQR: 0.048, 0.121) in the ECMO with the corresponding AUC and CI. AUC values from the “low CRI”,
group (p = 0.438). CRI medians and IQRs are listed in Table 2. Fig. 1 il- PPLV, and TLV were considered significant. The “low CRI” had the
lustrates the difference in distribution of average CRI values between highest AUC (0.85, 95% CI: 0.6856–1) compared to O/E LHR (AUC =
the two groups. 0.69, 95% CI: 0.48–0.90), LHR (AUC = 0.63, 95% CI: 0.38–0.88), PPLV
(AUC = 0.84, 95% CI: 0.62–1) and TLV (AUC = 0.79, 95% CI:
2.3. Missing values 0.61–0.98). For the “low CRI” metric, we explored different thresholds
to understand potential application of this metric in the clinical setting.
There were missing CRI values at various time points among subjects A threshold of 0.054 was associated with the highest level of accuracy
from either birth to ECMO or from birth through resuscitation due to among potential thresholds, resulting in a sensitivity of 0.875, specificity
accidental sensor dislodgement or removal of the sensor by the clinical of 0.72, positive predictive value of 0.583, and negative predictive value
team. Values were missing within one hour of birth or transfer in four of 0.929 (95% CI: 0.69–1).
subjects: three subjects in the non-ECMO group and one subject in the
ECMO group. Median recording duration was 160 min (IQR: 83, 697) 3. Discussion
for the ECMO group versus 348 min (IQR:118, 700) for the non-ECMO
group. The overall range of recording time was 39 to 2880 min. The The management of newborns with a congenital diaphragmatic
differences in recording time between the two groups were not statisti- hernia, especially those with poor prognostic features, remains
cally significant (p = 0.49). There was a wide range of time from birth to challenging. Advancements in prognostic indices have provided insight
ECMO, with a mean time of 665 min (SD: 702) and a median time of and understanding into the likelihood of physiological decompensation
362 min (IQR: 130, 1021). after delivery. These prognostic models are based on retrospective data,

Table 2
CRI values over time. Numbers reported are medians and interquartile ranges.

Non-ECMO (n = 18) ECMO (n = 8) p=


a
Average CRI 0.112 (IQR: 0.082, 0.15) 0.068 (IQR: 0.057, 0.078) 0.0035
Low CRI 0.084 (IQR: 0.049, 0.106) 0.035 (IQR: 0.024, 0.046) 0.005
10 min CRI average 0.148 (IQR: 0.123, 0.205) 0.342 (IQR: 0.272, 0.351) 0.136
10–20 min CRI average 0.113 (IQR: 0.087, 0.165) 0.149 (IQR: 0.122, 2.12) 0.692
20–30 min CRI average 0.106 (IQR: 0.09, 0.161) 0.105 (IQR: 0.082, 0.128) 0.844
30–40 min CRI Average 0.097 (IQR: 0.062, 0.113) 0.044 (IQR: 0.035, 0.104) 0.225
40–50 min CRI Average 0.099 (IQR: 0.069, 0.121) 0.039 (IQR: 0.03, 0.166) 0.431
50–60 min CRI Average 0.093 (IQR: 0.089, 0.135) 0.068 (IQR: 0.05, 0.092) 0.049
1st Hour CRI Average 0.102 (IQR: 0.081, 0.118) 0.083 (IQR: 0.048, 0.121) 0.438
a
Average CRI was calculated from (i) the time of birth/ enrollment to the time of (ii) ECMO flow initiation or clinical stabilization.
42 D.K. Leopold et al. / Journal of Pediatric Surgery 55 (2020) 39–44

Fig. 2. AUC ROC of CRI and prenatal prognostic factors.

however, which can limit their utility, especially when prenatal factors between the two groups over time, as those that went on to ECMO
are not readily available. Currently, there is limited technology to showed progressively more muted responses in their CRI values with
continuously trend a newborn's capacity to compensate for hemody- resuscitative measures. Moreover, the overall trend in CRI in neonates
namic insults or measure the future risk of deterioration. The physiology that required ECMO was a decline in CRI values after the first few
of a newborn with a CDH is dynamic and can rapidly change; other hours of birth and the persistence of low CRI values subsequently. A sin-
diagnostic measures such as arterial pH, base deficit, and lactate take gle low CRI value, which represents a five second time interval, was not
time to result. CRI is immediately and continuously available, and it predictive in this study. The presence of a single hourly average value,
requires no baseline or calibration measurement. CRI was developed “low CRI”, below the threshold of 0.054 had the highest level of accuracy
based on adult physiology, but our study suggests that humans, from to identify those newborns with a CDH who required ECMO. A “low CRI”
newborns to adults, share elemental features of the pulsatile waveform below this threshold was predictive whether it occurred hours before or
that are associated with progression to decompensation. This prospec- immediately preceding ECMO initiation. The trend towards a decline in
tive pilot study showed that these features, and CRI's ability to detect CRI values in the ECMO group is illustrated by the finding of this study
them, may be utilized as an adjunct to aid in earlier initiation of that both the average CRI and “low CRI” values were significantly
ECMO, potentially before newborns with a CDH experience prolonged lower in the ECMO group than in the non-ECMO group. This trend is
periods of hypoxemia and hypotension. In the present study, we likely indicative of clinical deterioration of the newborn's ability to com-
observed lower postnatal CRI values among newborns with a CDH pensate in response to resuscitative interventions.
that required ECMO, compared to those that did not require ECMO. Due to the wide range of abnormalities in the CDH population,
We believe these lower CRI values reflect the reduced physiologic certain abnormalities will need to be taken into consideration in the
reserve of these newborn to compensate and respond to resuscitative analysis of CRI data. In this study, CRI, which was developed to monitor
interventions, which ultimately necessitates ECMO. hypovolemia in adults, detected the significant difference between
The individual-specific nature of CRI may be particularly helpful in newborns with CDH that required ECMO and those that did not require
the newborn CDH population, whose response to resuscitative inter- ECMO. This likely indicates that CRI can identify hemodynamic deterio-
ventions can vary greatly between individuals. The present study ration in newborns with CDH, and has the beneficial feature of being
shows that CRI values were significantly lower in newborns with a based on postnatal real-time data versus prenatal prognostic factors.
CDH who required ECMO, compared to those that did not require Furthermore, our study suggests that CRI may be comparable if not
ECMO. More striking was how the difference became more apparent superior to prognostic models based on prenatal imaging. This study
D.K. Leopold et al. / Journal of Pediatric Surgery 55 (2020) 39–44 43

does not, however, address CRI's relevance for newborns with other that because we agree that that's an important thing to
congenital diseases. look at.
CRI has several clear advantages for its use as an adjunctive car- Q. Stan Adkins, Columbia, South Carolina Were you guys blinded to the
diovascular status monitor. The CipherOx® CRI M1 rapidly pro- CRI when you were making the decisions to go on ECMO?
duces initial values and provides real-time monitoring at the Ryan Phillips Yes, we were.
bedside in any acute setting. It is noninvasive and intuitive to use, Q. Jack Langer from Toronto, Canada As a person that comes from a
as it only requires applying a finger sensor and reading the CRI de- place that hardly ever uses ECMO and still has the same
vice display. Lastly, it generates data that are easy to comprehend kind of survivals that ECMO centers do, the term ECMO is a
for healthcare providers and may allow clinicians to evaluate the relative term. You're really saying those are the patients that
individual's responsiveness to certain clinical interventions, such you chose to put on ECMO based on clinical criteria. So you're
a pressor administration or fluid boluses. now correlating that with another measurement, which re-
There are several limitations in this study. First, there were missing ally just echoes the decision making that you made based
CRI values at various time points when the device was accidentally on the other stuff. So I'm not sure how it's actually going to
dislodged or removed by the study participants. These episodes were help you. You're still going to put those patients on ECMO
random, however, and the average recording length was not statistically based on the clinical criteria that you chose in the first place.
different between the two groups. Second, we simplified the CRI data by Ryan Phillips Thank you for your comments and question. I think the
using averages of CRI values over time, which reduces the amount of main thing is that it would help potentially to get you on ear-
power to detect meaningful differences. Third, the time from birth or lier before the labs change. Because we've seen the labs
enrollment to stabilization or ECMO in the study was variable among change after the CRI values.
the study subjects, resulting in some subjects receiving various inter-
ventions, such as pressor administration or fluid boluses, prior to enroll-
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