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ADVANCES IN ANESTHESIA
Neurocognitive Impact of
Anesthesia in Children
Susan Lei, MDa, Riva Ko, MDa, Lena S. Sun, MDa,b,*
a
Division of Pediatric Anesthesiology, Department of Anesthesiology, Columbia University Medical
Center, New York, NY, USA; bDepartment of Pediatrics, Columbia University Medical Center, New
York, NY 01132, USA
Keywords
Neurotoxicity Neurodevelopment Children GAS study PANDA study
MASK study Anesthesia
Key points
Review the evidence of anesthetic neurotoxicity in the developing brain from
preclinical studies.
Understand the study design and findings related to effects of anesthesia on
neurodevelopment in children.
How to discuss the risk of anesthesia with parents and clinicians.
RISK FACTORS
Millions of children undergo anesthesia annually and many of them are younger
than 3 years old. Clinicians and parents frequently ask the question: is anesthesia
safe for the developing child and is there an age range that is associated with a higher
risk of anesthesia? The human brain starts developing in the embryonic period and
continues into the adolescent period. Based on animal studies, should anesthetic
agents pose a risk for neurodevelopment, the most susceptible period is believed
to be the period of maximal synaptogenesis. During this vulnerable period, there
is evidence that exposure to anesthetic agents can lead to neurotoxicity at the
cellular level, as well as functional deficits [1,2]. Most large observational studies
have used age younger than 3 years as the vulnerable period, under the assumption
that peak synaptogenesis in most human brain regions is completed by age 3 years.
Disclosure Statement: Dr L.S. Sun is the Medical Director of SmartTots, a Public Private Partnership between
the Food and Drug Administration and the International Anesthesia Research Society.
https://doi.org/10.1016/j.aan.2018.07.010
0737-6146/18/ª 2018 Elsevier Inc. All rights reserved.
126 LEI, KO, & SUN
ANESTHETIC AGENTS
N-methyl-D-aspartate (NMDA)-mediated and c-aminobutyric acid (GABA)-
mediated signal receptors play an important role in neurodevelopment and
neuroapoptosis and their effects on normal neurotransmission and regulation.
Not surprisingly, anesthetic agents that act on these receptors have been impli-
cated in many animal and epidemiologic studies to cause widespread neurode-
generation and long-term neurocognitive disturbances. GABA-binding agents
include volatile anesthetic agents, such as sevoflurane and isoflurane, propofol,
benzodiazepines, barbiturates, and etomidate. NMDA-binding agents include
nitrous oxide and ketamine.
In rodent and nonhuman primate studies, consistent and reproducible
anesthetic-related neurotoxicity and long-term neurobehavioral changes have
been shown (Table 1). Whereas animal studies consistently have demonstrated
brain injury and behavioral changes when exposed to anesthetic and sedative
agents during critical periods of brain development, translating these findings
Table 1
Effects of anesthetic agents on rodents and nonhuman primates
Agents Cellular effects Neurobehavioral findings
Rodents Ketamine Neuroapoptosis Learning
Isoflurane/ Neurodegeneration Spatial memory
Sevoflurane Neuroinflammation Motor activity
Propofol Defects in: Attention
Combined neurogenesis Social behavior
agents growth cone polarization Behavior
cytoarchitecture
dendritic density
Modifiers (þ) Noxious stim (þ) isoflurane Not available
Modifiers () Noxious stim () ketamine () Sevoflurane
Anti-inflammatory agent
Environment enrichment
Nonhuman Ketamine Neuroapoptosis Learning, memory, motivation,
primates Neurodegeneration response speed, color
discrimination
Isoflurane Neuroapoptosis Not available
Propofol Apoptosis in neurons and Not available
oligodendrocytes
NEUROCOGNITIVE IMPACT OF ANESTHESIA IN CHILDREN 127
to humans and clinical medicine has been challenging. The rate of brain matu-
ration varies across species. The human brain is much more complex and un-
dergoes a longer period of development than rodents and nonhuman primates,
thus there may be more extended periods of vulnerability depending on the
brain region, and possibly a greater capacity for neuroplasticity and recovery
from any insult [4]. In addition, the dose and duration of anesthetic exposure
in animal studies often exceed what occurs clinically, further complicating
translation to relevant equivalents in humans. Moreover, in assessing long-
term cognitive and behavioral deficits in children, many other factors may
play an important role, such as social environment, diet, and level of parental
education and involvement. Indeed, the entire concept of anesthetic neurotox-
icity in children is controversial because this was not a clinically suspected issue
before the wealth of data derived from preclinical studies [5–7].
Translation of preclinical studies to humans also needs to consider that
almost all animal studies were conducted in the absence of a surgical stimulus
and associated stress and pain leading to inflammation. Children receiving
anesthesia during surgery also experience inflammatory stress response and tis-
sue damage of surgery and trauma. In addition, they also may have hemody-
namic derangements during surgery related to their underlying disease
conditions. When considering the clinical scenario, it is important to take
into account patient-related factors, including genetic anomalies, disease, under-
lying neurologic disease, prematurity, sepsis, vascular disease, and infection [8].
Dexmedetomidine is a potent a2-adrenoceptor agonist with sedative, anal-
gesic, sympatholytic, and anxiolytic properties, and possesses desirable proper-
ties in maintaining normal respiratory patterns. It has no known interactions
with either GABA or NMDA receptors. Preclinical and epidemiologic studies
have demonstrated that dexmedetomidine possesses significant neuroprotective
properties [9]. Dexmedetomidine, therefore, is a potential alternative as a safe
and effective anesthetic adjunct in the perioperative setting. Dexmedetomidine
has not been approved for use in the pediatric population by the Food and
Drug Administration (FDA), but it already is widely used in the clinical setting
by pediatric anesthesiologists and intensivists. Dexmedetomidine is commonly
used as an opioid sparing agent in tonsil surgery, as a premedication, for pro-
cedural sedation, for prevention of postoperative emergence delirium and as a
component of balanced general anesthetic regimens.
CLINICAL DATA
Because of the growing concern surrounding the potential neurotoxic effects of
anesthetic and sedative drugs, clinicians and researchers have necessarily begun
to explore the clinical relevance of anesthetic neurotoxicity by conducting obser-
vational epidemiologic studies. The early observational studies were almost
entirely retrospective in nature, with the inherent limitations and varying degrees
of confounding and reporting bias. Different studies used different outcome mea-
sures to assess neurocognitive and behavioral deficits. Some of the studies used
population-wide results of academic achievement testing and teacher evaluation,
128 LEI, KO, & SUN
whereas others used birth cohort registries and used diagnostic codes for learning
disabilities or behavioral disorders such as attention-deficit/hyperactivity disorder
(ADHD). In some of the studies, neuropsychological testing results were used to
assess IQ scores and other specific cognitive functions. Cohorts usually consisted
of a group of children who had undergone surgery and anesthesia compared with
an unexposed group of controls. In attempting to assess the possible risks inherent
in exposure to anesthetic agents, areas of interest include single versus multiple ex-
posures, ages of exposure, and the types of surgical procedures (Boxes 1–3).
To date, an association between anesthesia exposure early in life and the
development of adverse neurodevelopmental outcomes has been inconsistent,
and very much dependent on the outcome measures examined [10]. Data from
3 studies (General Anesthesia compared to Spinal Anesthesia [GAS], Pediatric
Anesthesia NeuroDevelopment Assessment [PANDA], and Mayo Anesthesia
Safety in Kids [MASK]) have made and will make important contributions
to our understanding of the clinical effects of anesthesia exposure on neurode-
velopment in children.
The GAS study is an ongoing international, multicenter, prospective ran-
domized controlled equivalence trial randomizing premature and full-term in-
fants undergoing inguinal hernia surgery to 2 different anesthetic techniques,
either general anesthesia with inhaled sevoflurane or a regional anesthetic
[11]. Because not anesthetizing patients is not an option, randomizing to general
versus regional anesthesia is one of the only ways to conduct a randomized
prospective clinical trial in these patients. The study was conducted at 28 study
sites, including hospitals in the United States, Australia, Italy, United Kingdom,
Canada, Netherlands, and New Zealand. Infants with previous exposure to
general anesthesia or with any risk factors for adverse neurodevelopmental out-
comes were excluded. The study aims to determine whether regional and gen-
eral anesthesia resulted in equivalent neurodevelopmental outcomes. The
primary outcome measure is IQ at age 5 (results should be available sometime
in 2018). Secondary outcomes include assessment of neurodevelopmental
outcome at age 2 using the Bayley III scale, and the frequency and character-
istics of postoperative apnea. Reports of the interim analysis at age 2 years did
not show any difference in the composite cognitive score between the 2 groups
of children who received regional anesthesia versus general anesthesia. Howev-
er, age 2 years still may be too early to detect any cognitive deficits or behav-
ioral changes, as the brain is still developing. It is well known that the Bayley
performed at age 2 years is a poor predictor of neurodevelopmental outcome
later in life. Therefore, although the interim results of the GAS study are reas-
suring, they are not the primary outcome of the study, nor are they necessarily
predictive of long-term cognitive functions. The median duration of sevoflur-
ane anesthesia exposure was just less than 1 hour (54 minutes), so the effects
of a longer duration of anesthesia still need to be investigated. Nonetheless,
the GAS study provides evidence that general anesthesia in infancy does not
cause any major injury, particularly with exposure to sevoflurane-based anes-
thesia for short durations.
NEUROCOGNITIVE IMPACT OF ANESTHESIA IN CHILDREN 129
SUMMARY
Although clinical research is ongoing and more results are emerging, because
young children usually do not undergo totally elective surgery or diagnostic
testing, postponing surgery or imaging studies may not be an option for young
children, and delaying the procedures may have negative consequences. As per
the recommendation in the FDA statement from 2016: ‘‘Parents should talk to
their doctors if they have any questions or concerns about general anesthesia
NEUROCOGNITIVE IMPACT OF ANESTHESIA IN CHILDREN 135
and sedation drugs.’’ Moreover, the FDA warning was modified in April 2017
to specifically state that ‘‘surgeries or procedures in children younger than
3 years should not be delayed or avoided when medically necessary. Consid-
eration should be given to delaying potentially elective surgery in young chil-
dren where medically appropriate.’’ [23].
Perhaps because of the assumption that peak synaptogenesis in most human
brain regions is complete by age 3 years, most large observational studies use
age younger than 3 years as the presumptive vulnerable period. Thus, the most
recent FDA labeling change has also used this as the age of ‘‘cutoff,’’ although
there is no evidence to support such an approach.
The minimum dose of anesthetic and sedative drugs that potentially can lead
to neurotoxic effects also is largely unknown. All published data on human
studies to date have involved volatile agents with or without additional use
of one or more intravenous sedative agents. None of these studies have any in-
formation regarding specific drugs administered or the exact doses of drugs
used. Therefore, it can only be inferred that a lower dose is used with a single
episode of exposure and that multiple exposures would be associated with
higher doses from the aggregate of multiple doses.
Brief, single exposures have not been associated with detectable neurodeve-
lopmental effects, but the precise nature of ‘‘brief’’ has not been defined. In the
case of whether to proceed with elective surgical procedures, the risks and ben-
efits in each case must be weighed carefully. Finally, whenever possible, pro-
cedures should be scheduled concurrently to minimize the number of
exposures to anesthesia, and the procedures should be performed by the
most skilled surgeons available to decrease the duration of the exposure.
In conclusion, anesthesia is an integral part of the millions of pediatric sur-
geries and diagnostic studies that take place annually. Despite the abundance
of preclinical data in young animals suggesting a relationship between anes-
thetic agents and neurotoxicity, translation of these findings to human children
is complex. Evidence from several recent large clinical studies has been reassur-
ing, but many questions remain. Hopefully future research endeavors will yield
further insights into this challenging and critical topic.
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