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Journal of Intensive Medicine 1 (2021) 71–80

Contents lists available at ScienceDirect

Journal of Intensive Medicine


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

Review

COVID-19-Associated Pulmonary Aspergillosis (CAPA)


George Dimopoulos 1,∗, Maria-Panagiota Almyroudi 2, Pavlos Myrianthefs 3, Jordi Rello 4,∗
1
Department of Critical Care, University Hospital ATTIKON, National and Kapodistrian University of Athens, Athens 12462, Greece
2
Department of Emergency Medicine, University Hospital ATTIKON, National and Kapodistrian University of Athens, Athens 12462, Greece
3
Department of Critical Care, Agioi Anargyroi Hospital, National and Kapodistrian University of Athens, Athens 14564, Greece
4
Universitat Internacional de Catalunya, Barcelona 08035, Spain

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

Keywords: Invasive Pulmonary Aspergillosis (IPA) has been recognized as a possible secondary infection complicating Coro-
COVID-19 navirus disease 2019 (COVID-19) and increasing mortality. The aim of this review was to report and summarize
Aspergillosis the available data in the literature concerning the incidence, pathophysiology, diagnosis, and treatment of COVID-
Diagnosis
19-Associated Pulmonary Aspergillosis (CAPA). Currently, the incidence of CAPA is unclear due to different def-
Treatment
initions and diagnostic criteria used among the studies. It was estimated that approximately 8.6% (206/2383) of
Intensive care unit
Severe acute respiratory mechanically ventilated patients were diagnosed with either proven, probable, or putative CAPA. Classical host
syndrome Coronavirus 2 (SARS-CoV-2) factors of invasive aspergillosis are rarely recognized in patients with CAPA, who are mainly immuno-competent
Voriconazole presenting with comorbidities, while the role of steroids warrants further investigation. Direct epithelial injury
and diffuse pulmonary micro thrombi in combination with immune dysregulation, hyper inflammatory response,
and immunosuppressive treatment may be implicated. Discrimination between two forms of CAPA (e.g., tra-
cheobronchial and parenchymal) is required, whereas radiological signs of aspergillosis are not typically evident
in patients with severe COVID-19 pneumonia. In previous studies, the European Organization for Research and
Treatment of Cancer/Mycoses Study Group (EORTC/MSG) criteria, a clinical algorithm to diagnose Invasive Pul-
monary Aspergillosis in intensive care unit patients (AspICU algorithm), and influenza-associated pulmonary
aspergillosis (IAPA) criteria were used for the diagnosis of proven/probable and putative CAPA, as well as the
differentiation from colonization, which can be challenging. Aspergillus fumigatus is the most commonly isolated
pathogen in respiratory cultures. Bronchoalveolar lavage (BAL) and serum galactomannan (GM), 𝛽-d-glucan (with
limited specificity), polymerase chain reaction (PCR), and Aspergillus-specific lateral-flow device test can be in-
cluded in the diagnostic work-up; however, these approaches are characterized by low sensitivity. Early treatment
of CAPA is necessary, and 71.4% (135/189) of patients received antifungal therapy, mainly with voriconazole,
isavuconazole, and liposomal amphotericin B . Given the high mortality rate among patients with Aspergillus
infection, the administration of prophylactic treatment is debated. In conclusion, different diagnostic strategies
are necessary to differentiate colonization from bronchial or parenchymal infection in intubated COVID-19 pa-
tients with Aspergillus spp. in their respiratory specimens vs. those not infected with severe acute respiratory
syndrome Coronavirus 2 (SARS-CoV-2). Following confirmation, voriconazole or isavuconazole should be used
for the treatment of CAPA.

Introduction ization in the intensive care unit (ICU) [4]. Different studies
showed that these patients are at increased risk of secondary
Typically, patients with Coronavirus disease 2019 (COVID- infections [5].
19) are immunocompetent, of advanced age, and with comor- The syndromes of pulmonary aspergillosis complicating se-
bidities (mainly hypertension, diabetes, chronic heart, and vere viral infections are distinct from classic invasive pulmonary
renal disease) [1–3]. Approximately 5% of those will develop aspergillosis (IPA). IPA, particularly that associated with hema-
a severe form of the disease with respiratory failure, complex tologic malignancies and transplantation, is most frequently
immune dysregulation, and cytokine storm, requiring hospital- encountered in patients with neutropenia and other immuno


Corresponding authors: Jordi Rello, Universitat Internacional de Catalunya, Barcelona 08035, Spain; George Dimopoulos, Department of Critical Care, University
Hospital ATTIKON, National and Kapodistrian University of Athens, Athens 12462, Greece. Email addresses: jrello@crips.es; gdimop@med.uoa.gr
E-mail addresses: gdimop@med.uoa.gr (G. Dimopoulos), jrello@crips.es (J. Rello).

https://doi.org/10.1016/j.jointm.2021.07.001
Received 22 February 2021; Received in revised form 2 June 2021; Accepted 7 July 2021. Managing Editor: Jingling Bao
Copyright © 2021 Chinese Medical Association. Published by Elsevier B.V. This is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/)
G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

compromised individuals. Numerous studies have recognized (doses) in the early stage of COVID-19 and that of tocilizumab
influenza-associated pulmonary aspergillosis (IAPA) associated in the development of a cytokine storm warrant further investi-
with respiratory epithelium damage. Of note, local anosoparal- gation [10,44,45].
ysis may render patients with influenza more susceptible to
IPA [6,7]. Since the first evidence of secondary aspergillosis re-
ported in China, several studies have shown that steroid and Possible Pathophysiologic Mechanisms
other immune-modulatory therapies are linked to an increased
risk of a similar syndrome associated with severe COVID-19, Currently, the pathogenesis of CAPA is not well defined. In
termed COVID-19-associated pulmonary aspergillosis (CAPA). influenza, disruption of the lung epithelium with dysfunctional
Actually, the first reports referred to post-mortem results rais- mucociliary clearance, local immuno-paralysis due to influenza-
ing concerns regarding this infection as an additional factor induced hypoxia, treatment with corticosteroids, acute respi-
contributing to patient mortality [7–12]. Three different grades ratory distress syndrome, and suppression of the nicotinamide
(e.g., possible, probable, and proven CAPA) have been suggested adenine dinucleotide phosphate oxidase complex favor tissue
by an international panel of experts [13], enabling investigators invasion by Aspergillus spp. In addition, invasive Aspergillus tra-
to stratify patients in research registries and clinical trials. cheobronchitis has been described in approximately 55% of pa-
This review focused on key controversies in CAPA due to its tients with IAPA. Examination through bronchoscopy has re-
contribution to mortality among patients with COVID-19. An vealed the presence of epithelial plaques, pseudo membranes,
analysis of the available literature (reported until January 2021; and ulceration, as well as sporulating heads of Aspergillus spp.
search list presented in Appendix) was performed to identify dif- inside the bronchi [46]. Similar to influenza, in severe COVID-
ferences in the incidence, pathophysiology, diagnosis, and treat- 19 pneumonia, destruction of the bronchial mucosa and alveolar
ment of CAPA and IPA. injury caused by the virus create favorable conditions for fungal
growth [47]. The main histo-pathological findings in 14 patients
Incidence and Risk Factors with COVID-19 were diffuse alveolar damage in the acute or or-
ganizing phase of the disease, with the virus located in the pneu-
Owing to differences in diagnostic criteria, methods, defini- mocytes and tracheal epithelium, and scarce focal pulmonary
tions, and local practices, the incidence of CAPA varies. There- micro thrombi. This observation indicated that the increased
fore, the estimation of CAPA incidence is challenging due to pulmonary epithelial and vascular permeability facilitates the
the lack of a gold standard and limitations in diagnostic tests. invasion of Aspergillus spp. [2,48].
For this reason, definitions used for IAPA were applied in most It is well established that Aspergillus spp. live in the environ-
studies; however, this approach generated a wide degree of vari- ment, and the inhalation of its spores (conidia) leads to pul-
ability in the incidence of CAPA among ICU patients (range: monary disease depending on the host immune status. Severe
3.8–34%) [7–10,14–32]. In general, the diagnosis of CAPA is COVID-19 is frequently associated with immune dysregulation,
delayed vs. that of IAPA, and the incidence of the angioinvasive characterized by a decrease in the number and functionality of
parenchymal form is lower. Table 1 shows all published stud- CD4+ T and CD8+ T-cells and a hyper inflammatory state. Over-
ies describing the incidence of CAPA and associated comorbidi- expression of pro- and anti-inflammatory cytokines contributes
ties until January 2021. The majority of those studies suggested to a highly permissive inflammatory environment that enhances
that CAPA mostly occurs in severely ill, mechanically ventilated fungal growth [49,50]. Furthermore, damage-associated molec-
patients with COVID-19. Among them, three prospective stud- ular patterns, which are implicated in the pathogenesis of as-
ies reported an incidence ranging 14–20%, while more recently pergillosis, are released during infection with severe acute respi-
published studies indicated a lower incidence ranging 3–15% (a ratory syndrome Coronavirus 2 (SARS-CoV-2), thereby leading
total of 2407 patients were included) [8,11,26,28,33–41]. Ex- to an excessive inflammatory response and lung injury [49].
cluding seven case reports, the diagnosis of CAPA has been con- COVID-19-associated immune dysregulation and immuno-
firmed in 223 of 2400 ICU patients (incidence of 9.2%). Nev- suppressive treatment, rather than the pathophysiology of IPA,
ertheless, this percentage may be slightly lower since two stud- are host factors for CAPA. Except for corticosteroids (a known
ies did not report the total number of patients admitted in the risk factor for IPA), tocilizumab (monoclonal antibody against
ICU during the investigation period. Thus, by deducting 17 pa- the interleukin-6 [IL-6] receptor), interferon 1𝛽 (IFN1𝛽), and
tients from those two studies, the total number of ICU patients a combination of tocilizumab with corticosteroids were more
with COVID-19 and a diagnosis of proven/probable/putative frequently administered in patients with CAPA than in those
CAPA is 206 (incidence: 8.6%). Interestingly, among eight stud- without aspergillosis (71.4% vs. 33.3%, P = 0.050; 71.4% vs.
ies involving >100 patients each, the incidence of CAPA ranged 20.9%, P ≤ 0.050; and 57.1% vs. 28.7%, P = 0.180, respectively)
from 3.3% to 27.7%, though six of them reported an incidence [51]. Blockage of IL-6 inhibits the development of protective
<10%. This is in accordance with evidence from Chinese studies T-helper cells (Th17 cells), leading to a defective immune re-
[42,43]. Notably, the majority of CAPA cases were documented sponse against infection with Aspergillus fumigatus (A. fumigatus).
in European countries (26/32 studies); one and two studies were In addition, it has been reported that IL-6 enhances epithelial
performed in the USA and China, respectively. integrity during injury while the wide use of dexamethasone
The medical history, underlying conditions, comorbidities, in critically ill patients with COVID-19 renders these patients
and risk factors related to the development of CAPA are shown more susceptible to IPA [52]. The maturation of phagosomes
in Table 1. Two previous studies have identified long-term treat- that degrade A. Fumigatus spores via the process of phagolyso-
ment with corticosteroids as a risk factor for infection with somal fusion is impaired by corticosteroids compromising the
Aspergillus spp. [8,28]. Moreover, the role of dexamethasone host defense against the Aspergillus spp. [53].

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G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

Table 1
Incidence and risk factors for CAPA (31 studies identified in the literature).

Study Country Environment, n (%) Comments Comorbitities

Bartoletti et al. [8] Italy ICU, 108 (27.27) Prospective study Obesity, AH, DM, Coronary disease, COPD, CReF,
Hemodialysis, Cerebrovascular disease, Malignancies,
Solid-organ transplant, Chronic steroid treatment
Alanio et al. [9] France ICU, 27 (33.3) Putative IPA mainly AH, Obesity, DM, BA, Cardiac disease
Rutsaert et al. [10] Belgium ICUs, 20 (35) None AH, DM, Hypercholesterinemia, CReF, Obesity, AML,
HIV
Chen et al. [14] China ICU, 48 (27.1) Mixed fungal infections High DM, AH, Heart disease
IL-6 levels
Lescure et al. [15] France 5 patients None Gout, AH, Thyroid cancer
Koehler et al. [16] Germany ICU, 19 (26.3) None AH, COPD, DM, Obesity OSA
van Arkel et al. [17] Netherlands ICU, 31 (19.4) 3 probable/3 possible CAPA Cardiomyopathy, COPD, BA
Blaize et al. [18] France ICU Case report Putative aspergillosis MDS, AH, Hashimoto disease
Prattes et al. [19] Austria ICU Case report 69-year-old patient COPD, OSA, Obesity, DM, AH, Cardiac disease
Antinori et al. [20] Italy ICU Case report None DM, AH, Atrial fibrillation, obesity
Wang et al. [21] China Hospital, 104 (8.5) Mainly elderly patients DM, AH, Cardiac disease, COPD, CReF
Meijer et al. [22] Netherland ICU Case report None Reflux, polyarthrosis
Mohamed et al. [23] Irelend ICU Case report Triazole-resistance DM, AH, Hyperlipidaemia, Obesity
Ghelfenstein-Ferreira France ICU Case report Triazole-resistance DM, AH, Hyperlipidemia, Obesity
et al. [24]
Santana et al. [25] Brazil ICU Case report Autopsy confirmed CAPA AH, DM, CReF
Nasir et al. [26] Pakistan ICU, 23 (21.7) 4 patients with colonization DM, AH, Atrial myxoma, Recent stroke
Lamoth et al. [27] Switzerland ICU, 118 (3.8) None AH, DM, Obesity, Pulmonary fibrosis, BA
Van Biesen et al. [28] Netherlands ICU, 42 (21.4) None COPD, DM, AH, Chronic steroid treatment,
Neutropenia, Stem cell transplant, Immunodeficiency
Flikweert et al. [29] Netherlands ICU, Unknown 7 CAPA cases AH, DM, CReF
number of included
patients
Falces-Romero et al. [30] Spain ICU, Unknown 10 CAPA cases MDS, HIV, DM, COPD, Ankylosing spondylitis,
number of included Acquired hemophilia A, Hypothyroidism, CLL, Cardiac
patients Disease
Helleberg et al. [31] Denmark ICU, 8 (25) Patients under ECMO AH, BA
White et al. [32] UK ICU, 135 (14) None DM, AH, CReF, Obesity, Cancer, CRF malignancy,
Hyperlipidaemia, Cardiac and vascular disease,
Autoimmune disorders
Gangneux et al. [33] France ICU, 45 (15.6) 8 patients with colonization DM, AH, Cancer, Hemopathy, CRF, Cardiovascular
disease
Lahmer et al. [34] Germany ICU, 2 cases None Pulmonary fibrosis
Borman et al. [35] UK ICU, 719 (20) 15 possible/probable CAPA
cases
Machado et al. [36] Spain ICU, 239 (3.3) 5 patients with colonization DM, AH, BA, Obesity, COPD, CReF, CLL, Non-alcoholic
fatty liver disease, CNS disease
Dellière et al. [37] France ICU, 366 (5.7) None Kidney transplant recipient, HIV, Cancer, Steroids
treatment
Brown et al. [38] UK ICU, 62 (20) (+) GM test: 6 patients (+)
PCR 5 patients
Fekkar et al. [39] France ICU, 145 (4.8) 6 CAPA cases, 1 fusariosis DM, AH, Obesity, Tabagism, Kidney and liver
transplantation, Steroids treatment, Dyslipidemia
Razazi et al. [40] France ICU, 90 (11) Probable (8%), Putative (2%) DM, AH, COPD, Dialysis, Stroke, CHF (NYHA
Aspergillus tracheobronchitis classification 3–4), Arrhythmias, CReF
(1%)
Chauvet et al. [41] USA ICU, 46 (13.3) None Atrial fibrilation, COPD, AH, OSA, DM, CRF, Coronary
Disease, CHD, ESRD, Nephrectomy, Vasculitis,
Junctional tachycardia, Bipolar disorder,
Hypercholesterolemia, Obesity, Hypothyroidism,
Gastric ulcer, Atherosclerosis, Sarcopenia
The incidence includes proven/probable and putative cases of CAPA, while patients with colonization are mentioned in comments.
AH: Arterial hypertension; AML: Acute myeloid leukaemia; BA: Bronchial asthma; CAPA: COVID-19-associated aspergillosis; COPD: Chronic ob-
structive pulmonary disease; COVID-19: Coronavirus disease 2019; CHD: Congenital heart disease; CHF: Congestive heart failure; CLL: Chronic
lymphocytic leukemia; CNS: Central nervous system; CRF: Chronic respiratory failure; CReF: Chronic renal failure; DM: Diabetes mellitus; ECMO:
Extracorporeal membrane oxygenation; ESRD: End stage renal disease; GM: Galactomannan; HIV: Human immunodeficiency syndrome; ICU: In-
tensive care unit; IL-6: Interleukin-6; IPA: Invasive pulmonary aspergillosis; OSA: Obstructive sleep apnea; MDS: Mylodysplastic syndrome; NYHA:
New York Heart Association; PCR: Polymerase chain reaction.

Imaging filtrates, complicating the identification of surrounding halos


in the scans. Radiological characteristics of IPA (e.g., solitary
The use of computed tomography (CT) imaging may be or multiple pulmonary nodules, halo sign, reverse halo sign,
unsuitable in these patients. It may be difficult to document ground-glass opacity, air crescent, and cavitation) may not be
changes indicative of CAPA in the parenchyma through CT distinct in severe COVID-19 pneumonia, which presents in CT
imaging. This is because mechanically ventilated COVID-19 scans with bilateral, peripheral ground-glass opacities, crazy-
patients without invasive aspergillosis often have nodular in- paving pattern, consolidation, and broncho vascular thickening.

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G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

Table 2
Mycological results.

PCR (BAL, (+) culture (BAL, NBL,


Study (+) serum GM (+) serum BDG Bronchoscopy GM (BAL/TA) TA, serum) TA, sputum) Aspergillus spp. (n)

Machado et al. [36] 4/8 2/8 2/8 2/8 NA 8/8 A. fumigatus (6),
A. citrinoterreus (1), A. lentulus (1)
Koehler et al. [16] 2/5 NA 3/5 3/3 4/5 3/5 A. fumigatus (3)
Nasir et al. [26] 0/5 1/5 NA NA NA 5/5 A. flavus (4), A. fumigatus (1),
A. fumigatus (1),
Alanio et al. [9] 1/9 4/9 9/9 2/9 4/9 7/9 A. fumigatus
Dupont et al. [61] 1/12 NA 9/19 5/8 NA 16/19 A. fumigatus (14),
A. calidoustus (1), A. niger (1)
Prattes et al. [19] 0/1 0/1 0 /1 NA NA 1/1 A. fumigatus (1)
Wang et al. [21] NA NA 4/8 NA NA 8/8 A. fumigatus (8)
Bruno et al. [64] 0/1 NA 1/1 1/1 NA 1/1 A. fumigatus (1)
Meijer et al. [22] 0/1 1/1 0/1 1/1 NA 1/1 A. fumigatus (1)
Santana et al. [25] 1/1 NA 0/1 NA NA NA A. penicillioides (1)
Borman et al. [35] 5/15 13/15 5/15 4/5 3/11 5/8 A. fumigatus
Segrelles-Calvo et al. [51] NA NA 6/7 NA NA 7/7 A. fumigatus (3), A. flavus (2),
A. niger (2)
Patti et al. [54] 0/1 NA 0/1 NA NA 1/1 A. flavus (1)
White et al. [32] 2/4 14/18 0/25 17/19 15/15 11/11 A. fumigatus (11), A. versicolor (1)
Helleberg et al. [31] 1/2 NA 1/2 2/2 NA 2/2 A. fumigatus (2)
Trujillo et al. [65] 0/1 1/1 0/1 0/1 NA 1/1 A. fumigatus (1)
Spadea et al. [66] 1/1 1/1 0/1 0/1 NA NA
Van Biesen et al. [28] NA NA 0/9 9/9 NA 7/9 A. fumigatus (5), A. flavus (1),
A. terreus (1)
Lamoth et al. [27] 1/3 NA 0/3 NA NA 3/3 A. fumigatus (3)
Mitaka et al. [67] 1/3 NA 0/4 NA NA 4/4 A. fumigatus (4)
Nasri et al. [68] 1/1 NA 0/1 NA NA NA NA
Gangneux et al. [33] 2/7 NA 0/7 NA 7/7 6/7 A. fumigatus (6)
Roman-Montes et al. [58] 6/14 NA 0/14 8/14 NA 9/14 A. fumigatus (6), A. flavus (2),
A. niger (1), A. versicolor (1),
Aspergillus spp. (1)
Blaize et al. [18] 0/1 0/1 0/1 0/1 1/2 1/1 A. fumigatus (1)
Schein et al. [55] 1/1 NA 0/1 1/1 1/1 0/1 NA
Fernandez et al. [69] 1/1 NA 0/1 NA NA 1/1 A. flavus (1)
Ghelfenstein-Ferreira et al. [24] 0/1 0/1 0/1 NA 1/2 1/1 A. fumigatus (1)
Falces-Romero et al. [30] 1/2 NA 1/8 1/1 NA 8/8 A. nidulans (1), A. fumigatus (7)
Mohamed et al. [23] 1/1 1/1 0/1 1/1 NA 1/1 A. fumigatus (1)
Antinori et al. [20] 1/1 NA 0/1 NA NA 1/1 A. fumigatus (1)
Lahmer et al. [34] 1/2 NA 2/2 2/2 NA 2/2 A. fumigatus (2)
Chauvet et al. [41] NA NA 3/6 2/3 1/1 4/6 A. fumigatus (4)
Bartoletti et al. [8] 1/30 NA 30/30 30/30 20/30 19/30 A. fumigatus (15), A. niger (3),
A. flavus (1)
van Arkel et al. [17] 0/3 NA 3/6 3/3 NA 5/6 A. fumigatus (5)
Rutsaert et al. [10] 1/6 NA 6/7 6/6 NA 6/7 A. flavus (1), A. fumigatus (5)

BAL: Bronchoalveolar lavage; BDG: 𝛽-d-Glucan; GM: Galactomannan; NA:Not available; NBL: Non directed BAL; PCR: Polymerase chain reaction; TA: Tracheal
aspirate.

Patti et al. [54] reported a mechanically ventilated patient directed bronchoalveolar lavage (NBL) was performed; although
with COVID-19, whose CT analysis showed bilateral periph- this method is less invasive and safer than bronchoscopy, it is
eral ground glass infiltrates, with newly formed thin-walled linked to a higher risk of sample contamination by upper respi-
cavitary lesions occupied by fungal ball-like lesions. Aspergillus ratory flora [28,55]. Table 2 presents the total number of pos-
flavus was isolated in respiratory cultures. Moreover, a CT itive respiratory cultures for Aspergillus spp. (155 of 189 tested
is not always feasible due to the risk associated with the patients [82%]), including bronchoalveolar lavage (BAL), NBL,
transportation of critically ill patients. White et al. [32] pro- tracheal aspirate (TA), and sputum cultures. In the majority of
posed a diagnostic algorithm for CAPA that, along with clini- these cultures (e.g., 105), A. fumigatus was the most commonly
cal and mycological criteria, incorporated typical radiological isolated pathogen.
signs of IPA, the presence of new infiltrates, and evidence of Other mycological methods, including polymerase chain re-
sinusitis [36]. action (PCR) and the lateral flow test, require validation. The
Aspergillus-specific lateral-flow device test detects an extracellu-
Mycological Criteria lar glycoprotein antigen secreted by Aspergillus spp. only dur-
ing active growth. This method has been validated in serum
Regarding the mycological criteria for the diagnosis of CAPA, and BAL; it has shown a 79% sensitivity and 85% specificity
85 of 208 (42%) patients included in all studies underwent for probable or proven IPA in non-COVID-19 ICU patients [56].
bronchoscopy [Table 2] (one study did not report the num- The lateral-flow device test was used in two cases in the litera-
ber of patients who underwent bronchoscopy) [26]. At the start ture and is currently being evaluated in patients with influenza
of the epidemic, the use of bronchoscopy was avoided due to and COVID-19 IPA [19,22] (AspiFlu study ISRCTN51287266;
shortages in personal protective equipment. In two studies, non- https://doi.org/10.1186/ISRCTN51287266); however, it re-

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G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

quires validation. Serial assessment of serum galactomannan Diagnosis


(GM) (despite its low sensitivity) and serum 𝛽-d-glucan in com-
bination with multiple cultures of TA/bronchial aspirate or NBL The presentation of CAPA is variable and involves two dis-
and PCR testing of serum and respiratory specimens have been tinct forms, namely tracheobronchial and parenchymal CAPA.
included in the diagnostic work-up [50]. Multiple and repetitive It is important to distinguish between these two forms, as
positive mycology tests in combination with typical radiological this may impact the diagnostic and therapeutic approaches.
and clinical criteria contribute to the diagnosis of CAPA. In tra- Discrepancies in the onset of CAPA could be due to differ-
cheobronchial cases suspected of CAPA, bronchial biopsies are ences between these forms, and examination through bron-
required. Biomarkers are often negative. The use of different di- choscopy may be required. The currently available literature
agnostic criteria may contribute to the varying mortality rates suggests that some patients with CAPA survive without receiv-
reported in the literature. Indeed, the mortality rate is higher ing antifungal therapy. This indicates a potential distinction
among patients with positive cultures than those with probable between angio-invasion and minimal invasive disease/tissue
CAPA detected using GM. Moreover, the mortality rate is higher invasion.
in patients with multiple positive Aspergillus spp. results than in The diagnosis of CAPA is challenging. The discrimination be-
those with a single positive biomarker. tween invasive infection and colonization is difficult. This is be-
cause the available diagnostic tests, except for histopatholog-
Biomarkers ical examination, do not yield absolute evidence of infection.
There is considerable clinical uncertainty regarding the accu-
Systemic markers are suboptimal for the diagnosis of CAPA, rate identification of “probable” cases of CAPA [7,46,59,60].
with sensitivity <50%. Furthermore, some techniques require Thus far, 213 (including 7 case reports) cases of CAPA have
validation. The GM assay has been validated in BAL and serum, been reported in the literature [Table 3]: 6 proven and 31
although numerous studies have also used endotracheal aspi- probable according to the EORTC/MSG criteria [59]; 133 pu-
rates. The specificity of GM in BAL is suboptimal and does not tative according to the AspICU algorithm [7,60]; 38 proba-
satisfactorily discriminate infection from contamination. In six ble according to the IAPA criteria proposed by Verweij et al.
patients with COVID-19 acute respiratory distress syndrome and [46]; and 5 according to the criteria proposed by White et al.
a positive value for GM in BAL, the diagnosis of probable CAPA [32]. Four studies reported 24 cases of Aspergillus spp. colo-
was not confirmed post mortem [29,46]. Thus, the identifica- nization that did not meet the clinical, mycological, and radio-
tion of some “probable” cases through this approach remains logical criteria for classification as proven/probable or putative
uncertain. infection.
Serum GM is a sensitive biomarker for IPA in patients with The EORTC/MSG criteria [Table 4] are targeted toward
neutropenia; however, in non-neutropenic critically ill patients, immuno-compromised patients. Host factors that are a prereq-
serum and BAL GM exhibited a sensitivity of 25% and 88– uisite for the diagnosis of probable IPA are not typically present
90%, respectively [47,57]. Similarly, in a prospective multicen- in ICU patients [59]. Additionally, histopathological confirma-
ter study, 28% of ICU patients who were screened for CAPA tion in critically ill patients is difficult either due to coagulation
and 100% of those classified as probable CAPA had a posi- abnormalities or the risk of complications caused by mechani-
tive BAL GM-index >1; only 1% and 3% of those had pos- cal ventilation (e.g., pneumothorax). Blot et al. [60] developed
itive serum GM [8]. Overall, the GM index in serum (>0.5) an AspICU algorithm concerning ICU patients. In contrast with
and respiratory samples (BAL, NBL, TA) was positive in 37/144 the definition established by the EORTC/MSG, where the pres-
(26%) and 100/129 (78%) patients [Table 2]. Antifungals and ence of host factors and specific radiological signs (e.g., halo
chloroquine/hydroxychloroquine, which exhibit in-vitro activ- sign, air-crescent sign, or a cavity) is required, the AspICU al-
ity against A. fumigatus, may interfere with the GM measurement gorithm includes general radiological abnormalities observed
and decrease its sensitivity [52]. Furthermore, the reduced re- on CT or chest X-ray examination; host factors must be present
lease of serum GM may reflect that CAPA is characterized by in case of negative mycological criteria in BAL. Schauwvlieghe
more pronounced pulmonary invasion and less fungal angioin- et al. [7] proposed a modified AspICU algorithm for patients
vasion. Therefore, a negative serum result cannot exclude the with influenza and IPA, in which the GM indices for BAL and
diagnosis of CAPA. serum are included in the mycological criteria along with a pos-
Although 𝛽-d-glucan is more sensitive than serum GM, it itive BAL culture and histo pathologic or direct microscopic ev-
lacks specificity because it is detected in various invasive fungal idence of Aspergillus spp. [Table 4]. A positive BAL culture was
infections [58]. Its levels were elevated in 38/62 (61.3%) pa- found in 60% of patients with IAPA; in the remaining patients,
tients with CAPA [Table 2]. Although PCR is mainly performed the diagnosis was based on a positive GM index for BAL [32].
for patients with hematologic malignancies and hematopoietic In a prospective cohort study including 135 ICU patients with
stem cell transplants, it has shown higher sensitivity for the diag- COVID-19, 8 patients were classified as putative IPA based on
nosis of CAPA compared with cultures using respiratory samples the AspICU algorithm. Twelve more patients were identified fol-
[30,33]. PCR using serum and/or respiratory samples was pos- lowing the application of the modified version of this algorithm
itive in 57/81 (70.4%) patients with CAPA [Table 2]. Based on [8]. Limitations of the aforementioned studies include the small
these findings, the revised European Organization for Research number of patients and the different diagnostic algorithms used.
and Treatment of Cancer/Mycoses Study Group (EORTC/MSG) Larger prospective studies are needed to elucidate whether in-
mycological criteria include PCR using BAL and serum samples; fection with SARS-CoV-2 predisposes patients to aspergillosis, as
this method is recommended for screening and confirmation of well as the participation of other risk factors in the development
the diagnosis of probable IPA [59]. of IPA.

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Table 3
Diagnostic criteria used for CAPA diagnosis and all cause mortality.

Study Study design Diagnostic criteria Proven Probable Putative IAPA criteria Colonization Mortality

Machado et al. [36] Prospective EORTC/MSG modified AspICU 0 8 0 0 9 8/8


Koehler et al. [16] Retrospective Modified AspICU algorithm 0 0 5 0 0 3/5
Nasir et al. [26] Retrospective Modified AspICU algorithm 0 0 5 0 4 3/5
Alanio et al. [9] Prospective EORTC/MSG modified AspICU 0 1 8 0 0 4/9
Dupont et al. [61] Prospective Modified AspICU algorithm 0 0 19 0 0 7/19
Prattes et al. [19] Case report AspICU algorithm 0 0 1 0 0 1/1
Wang et al. [21] Retrospective EORTC/MSG 0 8 0 0 0 NA
Bruno et al. [64] Case report Modified AspICU algorithm 0 0 1 0 0 0/1
Meijer et al. [22] Case report Modified AspICU algorithm 0 0 1 0 0 1/1
Santana et al. [25] Case report Post-mortem histopathology 1 0 0 0 0 1/1
Borman et al. [35] Retrospective Modified AspICU algorithm 0 0 15 0 0 NA
Segrelles-Calvo et al. [51] Prospective EORTC/MSG 0 7 0 0 0 5/7
Patti et al. [54] Case report IAPA criteria 0 0 0 1 0 0/1
White et al. [32] Prospective AspICU algorithm, modified 0 0 25 0 0 13/25
AspICU algorithm, CAPA criteria
Helleberg et al. [31] Case series AspICU algorithm 0 0 2 0 0 2/2
Trujillo et al. [65] Case report EORTC/MSG 0 1 0 0 0 0/1
Spadea et al. [66] Case report EORTC/MSG 0 1 0 0 0 0/1
Van Biesen et al. [28] Cohort study AspICU algorithm 0 0 9 0 0 2/9
Lamoth et al. [27] Cohort study Modified AspICU algorithm, IAPA 0 0 2 1 0 1/3
criteria
Mitaka et al. [67] Retrospective AspICU algorithm 0 0 4 0 3 4/4
Nasri et al. [68] Case report EORTC/MSG 0 1 0 0 0 1/1
Gangneux et al. [33] Prospective AspICU algorithm, Modified 0 0 7 0 8 2/7
AspICU algorithm
Roman-Montes et al. [58] Prospective Modified AspICU algorithm 0 0 14 0 0 8/14
Blaize et al. [18] Case report AspICU algorithm 0 0 1 0 0 1/1
Schein et al. [55] Case report EORTC/MSG 0 1 0 0 0 1/1
Fernandez et al. [69] Case report EORTC/MSG 0 1 0 0 0 1/1
Ghelfenstein-Ferreira et al. [24] Case report AspICU algorithm 0 0 1 0 0 1/1
Falces-Romero et al. [30] Retrospective EORTC/MSG, AspICU algorithm 0 1 7 0 0 6/8
Mohamed et al. [23] Case report AspICU algorithm 0 0 1 0 0 1/1
Antinori et al. [20] Case report EORTC/MSG post mortem 1 0 0 0 0 1/1
Lahmer et al. [34] Case report AspICU algorithm 0 0 2 0 0 2/2
Chauvet et al. [41] Retrospective EORTC/MSG, AspICU algorithm, 0 1 5 0 0 4/6
Modified AspICU algorithm
Bartoletti et al. [8] Prospective IAPA criteria 0 0 0 30 0 13/30
van Arkel et al. [17] Cohort study IAPA criteria 0 0 0 6 0 4/6
Rutsaert et al. [10] Case series AspICU algorithm 4 0 3 0 0 4/7
Total 6 31 138 38 24 105/190 (55%)

Cases according to AspICU algorithm is 133, EORTC/MSG criteria is 37, IAPA criteria is 38, CAPA criteria is 5.
AspICU algorithm: A clinical algorithm to diagnose Invasive Pulmonary Aspergillosis in intensive care unit patients; CAPA: COVID-19-associated aspergillosis;
EORTC/MSG: European Organization for Research and Treatment of Cancer/Mycoses Study Group; IAPA: Influenza-associated pulmonary aspergillosis; ICU:
Intensive care unit.

Finally, a group of international experts proposed consensus worsening hypoxemia, and clinical deterioration. Although
criteria for a definition of CAPA [13]. The diagnosis includes screening could be useful, surveillance is not possible for some
three different grades (e.g., possible, probable, and proven) large hospitals or those unable to perform onsite testing. Biopsy
based on host factors, clinical factors, and mycological evi- should be performed for tracheobronchial CAPA to confirm it is
dence. Proven CAPA is based on direct microscopic detection or caused by Aspergillus spp. Tracheobronchial airways appear as
histopathological analysis of fungal elements morphologically white plaques; thus, physicians should exercise caution to avoid
consistent with Aspergillus spp., showing invasive growth into misdiagnosis of infection with Candida.
tissues and associated tissue damage. In non-proven CAPA, clas-
sification relies on respiratory cultures or biomarkers detected Treatment
using BAL or NBL in case of probable and possible CAPA, respec-
tively. PCR and lateral flow assay using BAL or NBL are also con- Voriconazole (VRC) or isavuconazole (ISV) have been used
sidered useful in the diagnosis of CAPA along with GM in BAL, as the first-line treatment options for possible, probable, and
NBL, and serum. The recognition of probable tracheobronchitis proven CAPA; liposomal amphotericin B (L-AMB) has also been
relies on characteristic lesions observed through bronchoscopy administered as an alternative agent. In all reported studies thus
in conjunction with positive mycological evidence. In this con- far, 135 of 189 (71.4%) patients received treatment [Table 5],
text, distinguishing between invasive infection and colonization whereas data regarding treatment were not reported for 24 pa-
is challenging, and probable/possible definitions may lead to tients. The main reason for not administering antifungal treat-
overdiagnosis. ment was early death. The most commonly antifungal agent was
A more comprehensive diagnostic work-up should be pur- VRC, followed by ISV and L-AMB. Dupont et al. [61] reported
sued for mechanically ventilated COVID-19 patients with a pos- a non-statistically significant lower mortality rate among pa-
itive TA culture, plaques (if bronchoscopies are performed), tients with putative aspergillosis who were treated with VRC

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G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

Table 4
Diagnostic criteria and algorithms used for the diagnosis of CAPA.
EORTC/MSG criteria, 2020 revision [59]
Proven Aspergillosis: 6/213 (2.8%) CAPA cases
Histopathologic, cytopathologic, or direct microscopic examination of a specimen obtained by needle aspiration or biopsy in which hyphae are seen accompanied by evidence of associated
tissue damage.
Culture on sterile material: recovery of Aspergillus spp. by culture of a specimen obtained by lung biopsy. Amplification of fungal DNA by PCR combined with DNA sequencing when molds
are seen in formalin-fixed paraffin-embedded tissue.
Probable Aspergillosis: 31/213 (14.6%) CAPA cases
At least 1 host factor, a clinical feature and mycologic evidence.
Host factors
1. Recent history of neutropenia (<0.5 × 109 neutrophils/L [<500 neutrophils/mm3] for >10 days) temporally related to the onset of invasive fungal disease.
2 .Hematologic malignancy.
3. Receipt of an allogeneic stem cell transplant.
4. Receipt of a solid organ transplant.
5. Prolonged use of corticosteroids (excluding among patients with allergic broncho pulmonary aspergillosis) at a therapeutic dose of ≥0.3 mg/kg corticosteroids for ≥3 weeks in the past
60 days.
6. Treatment with other recognized T-cell immuno suppressants, such as calcineurin inhibitors, tumor necrosis factor-a blockers, lymphocyte-specific monoclonal antibodies,
immunosuppressive nucleoside analogues during the past 90 days.
7. Treatment with recognized B-cell immuno suppressants, such as Bruton’s tyrosine kinase inhibitors, e.g., ibrutinib.
8. Inherited severe immunodeficiency (such as chronic granulomatous disease, STAT 3 deficiency, or severe combined immunodeficiency).
9. Acute graft-vs.-host disease grade III or IV involving the gut, lungs, or liver that is refractory to first-line treatment with steroids.
Clinical features
The presence of 1 of the following 4 patterns on CT:
1. Dense, well-circumscribed lesions(s) with or without a halo sign.
2. Air crescent sign.
3. Cavity.
4. Wedge-shaped and segmental or lobar consolidation.
Mycological evidence
1. Aspergillus recovered by culture from sputum, BAL, bronchial brush, or aspirate.
2. Micro scopical detection of fungal elements in sputum, BAL, bronchial brush, or aspirate indicating a mold.
3. GM antigen detected in plasma, serum, BAL. Any 1 of the following:
- Single serum or plasma: ≥1.0.
- BAL fluid: ≥1.0.
- Single serum or plasma: ≥0.7 and BAL fluid ≥0.8.
4. Aspergillus PCR. Any 1 of the following:
- Plasma, serum, or whole blood 2 or more consecutive PCR tests positive,
- BAL fluid 2 or more duplicate PCR tests positive,
- At least 1 PCR test positive in plasma, serum, or whole blood and 1 PCR test positive in BAL fluid.
Possible Aspergillosis
A host factor and a clinical feature but not mycological evidence
AspICU algorithm, 2012 [60]

Putative (all four criteria must be met): 133/213 (62.4%/) CAPA cases
1. Aspergillus-positive lower respiratory tract specimen culture (entry criterion)
2. Compatible signs and symptoms (one of the following)
- Fever refractory to at least 3 days of appropriate antibiotic therapy.
- Recrudescent fever after a period of defervescence of at least 48 h while still on antibiotics and without other apparent cause.
- Pleuritic chest pain or pleuritic rub.
- Dyspnea.
- Hemoptysis.
- Worsening respiratory insufficiency in spite of appropriate antibiotic therapy and ventilatory support.
3. Abnormal medical imaging by Chest X-ray or CT scan of the lungs
4. Either 4a or 4b
4a. Host risk factors (one of the following conditions)
- Neutropenia (absolute neutrophil count < 500/mm3) preceding or at the time of ICU admission
- Underlying hematological or oncological malignancy treated with cytotoxic agents
- Glucocorticoid treatment (prednisone equivalent, >20 mg/day)
- Congenital or acquired immunodeficiency
4b. Semiquantitative Aspergillus-positive culture of BAL fluid (+ or ++), without bacterial growth together with a positive cytological smear showing branching hyphae
Colonization
When ≥1 criterion necessary for a diagnosis of putative IPA is not met
Modified AspICU algorithm, 2018 [7]

AspICU algorithm 1,2,3


Mycological criteria
One or more of the following:
- Histopathology or direct microscopic evidence of dichotomous septate hyphae with positive culture for Aspergillus from tissue
- A positive Aspergillus culture from a BAL.
A GM optical index on BAL of ≥1
A GM optical index on serum of ≥0.5.
IAPA criteria 2020 [46]

Probable: 38/213 (17.8%) CAPA cases


A: Pulmonary infiltrate and at least one of the following:
Serum GM index > 0.5 or BAL GM index ≥ 1.0 or
Positive BAL culture
B: Cavitating infiltrate (not attributed to another cause) and at least one of the following:
Positive sputum culture or
Positive TA culture

AspICU: A clinical algorithm to diagnose Invasive Pulmonary Aspergillosis in intensive care unit patients; BAL: Bronchoalveolar lavage; CT: Computed tomography;
CAPA: COVID-19-associated aspergillosis; EORTC/MSG: European Organization for Research and Treatment of Cancer/Mycoses Study Group; GM: Galactomannan;
IAPA: Influenza-associated pulmonary aspergillosis; ICU: Intensive care unit; IPA: Invasive pulmonary aspergillosis; PCR: Polymerase chain reaction; TA: Tracheal
aspirate.
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G. Dimopoulos, M.-P. Almyroudi, P. Myrianthefs et al. Journal of Intensive Medicine 1 (2021) 71–80

Table 5
Treatment of CAPA patients.

Study Patients treated (n) Type of antifungal drug (n)

Machado et al. [36] 5/8 ISV (4), L-AMB (2), VRC (2)
Koehler et al. [16] 5/5 VRC (4), ISV (1)
Nasir et al. [26] 5/5 L-AMB (2), VRC (3)
Alanio et al. [9] 2/9 VRC (1), Caspofungin (1)
Dupont et al. [61] 9/19 VRC (9)
Prattes et al. [19] 1/1 VRC (1)
Wang et al. [21] NA NA
Bruno et al. [64] 1/1 VRC (1)
Meijer et al. [22] 1/1 VRC (1)
Santana et al. [25] 0/1 NA
Borman et al. [35] NA NA
Segrelles-Calvo et al. [51] 4/7 L-AMB (1), Itraconazole (3)
Patti et al. [54] 1/1 VRC (1)
White et al. [32] 17/25 VRC (16), L-AMB (6), Caspofungin + VRC (2), L-AMB + Anidulafungin (1)
Helleberg et al. [31] 2/2 VRC (2)
Trujillo et al. [65] 1/1 ISV+ neb L-AMB (1)
Spadea et al. [66] 1/1 L-AMB (1)
Van Biesen et al. [28] 9/9 L-AMB + VRC (9)
Lamoth et al. [27] 3/3 VRC (3)
Mitaka et al. [67] 4/4 VRC (3), Caspofungin (1)
Nasri et al. [68] 1/1 L-AMB (1)
Gangneux et al. [33] 7/7 VRC or ISV
Roman-Montes et al. [58] 12/14 VRC (10), Anidulafungin (2)
Blaize et al. [18] 0/1 NA
Schein et al. [55] 1/1 VRC (1)
Fernandez et al. [69] 1/1 VRC (1)
Ghelfenstein-Ferreira et al. [24] 0/1 NA
Falces-Romero et al. [30] 6/8 VRC (4), VRC + Caspofungin (1), L-AMB (5), ISV (2)
Mohamed et al. [23] 1/1 L-AMB (1)
Antinori et al. [20] 1/1 L-AMB (1)
Lahmer et al. [34] 2/2 L-AMB (2)
Chauvet et al. [41] 4/6 L-AMB (2), VRC (1), VRC + ISV (1), Caspofungin (1)
Bartoletti et al. [8] 16/30 VRC (13)
van Arkel [17] 6/6 VRC + Anidulafungin (5), L-AMB (1)
Rutsaert et al. [10] 6/7 VRC (5), ISV (2)

CAPA: COVID-19 associated aspergillosis, COVID-19: Coronavirus disease 2019; ISV: Isavuconazole; L-AMB: Liposomal am-
photericin B; NA: Not availableVRC: Voriconazole.

(three deaths in nine patients [33.3%]) vs. those not treated merly termed SCY-078), which inhibits 1,3-𝛽-d-glucan synthase,
(five deaths in 10 patients [50%])]. VRC is hepatically metab- have shown in-vitro activity against Aspergillus spp., including
olized, and patients should be monitored for possible drug in- azole-resistant A. fumigatus isolates. The antifungal agents olo-
teractions with cytochrome P450 family 2 subfamily C member rofim and fosmanogepix, which have also demonstrated activity
19 (CYP2C19) and CYP3A. Therapeutic drug monitoring is re- against Aspergillus spp., are currently under development [62].
quired as toxic levels may lead to hepatotoxicity and neurotox- The diagnosis of CAPA is challenging, and patients with se-
icity. ISV exhibits a safer profile with less severe adverse events vere COVID-19 pneumonia complicated by IPA may be associ-
and fewer drug–drug interactions, while the role of L-AMB is ated with a worse prognosis. Therefore, the administration of
limited by acute kidney injury complicating severe COVID-19 prophylactic treatment with posaconazole, VRC, itraconazole,
[51]. ISV should be preferred in patients for whom liver toxic- or inhaled amphotericin B (recommended for prophylaxis in pa-
ity is a concern. tients with hematological malignancies and transplants) is cur-
Patients should also be monitored for the development of re- rently under debate. Rutsaert et al. [10] after finding an unex-
sistance by Aspergillus spp. to azoles. Triazole-resistant A. fumi- pected number of COVID-19 patients with suspected IPA, sub-
gatus was isolated in a patient who was possibly exposed to or- sequently used nebulized L-AMB (12.5 mg) for prophylaxis in
ganic matter. The patient expired due to massive pulmonary em- every mechanically ventilated patient they treated. Neverthe-
bolism shortly after the diagnosis of putative aspergillosis [24]. less, this approach was linked to a risk of sudden complications
The second case reported in the literature was also a patient in ventilated patients due to obstruction of expiratory filters. In
with daily exposure to fungicides [23]. The TR34L98H mutation this study, the rate of all-cause mortality was 55%, while a sig-
in the CYP51A gene, which is associated with resistance, was nificantly higher 30-day mortality rate was observed in patients
identified in Aspergillus strains isolated from both patients. Sus- with CAPA vs. those without CAPA (44% vs. 19%, P = 0.002 and
ceptibility testing is recommended in regions with a resistance 74% vs. 26%, P< 0.001 for probable and putative IPA, respec-
rate >5%. In case of azole failure or in regions with a resistance tively) [8]. Indeed, there is a general consensus against the use
rate >10%, VRC/ISV in combination with an echinocandin or L- of prophylactic therapy in patients with COVID-19. This posi-
AMB or monotherapy with L-AMB should be administered. New tion was supported by a recent randomized clinical trial, which
antifungal agents are currently evaluated in clinical trials. Reza- failed to show significant benefit after the administration of pro-
fungin, which belongs to echinocandins, and ibrexafungerp (for- phylactic therapy [63].

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