AUSTRALASIANANAESTHESIA2017

AUSTRALASIANANAESTHESIA
2017
Invited papers and selected
continuing education lectures
Editor:Richard Riley
Department of Anaesthesia and Pain Medicine
Royal Perth Hospital
Pharmacology and Anaesthesiology Unit
School of Medicine and Pharmacology
University of Western Australia

Contents
AirwayAwake videolaryngoscopy
Vazira Moosajee, Scott Douglas, Iljaz Hodzovic

3

Airway management after cervical spine surgery: A review of the literatureJonathan Nicholson, William Bradley, Tish Stefanutto, Glen Downey, Lauren Berkow

13

Tracheostomy crisis management
James Anderson, Travis Leahy

21

Breathing / Ventilation
Perioperative lung protective ventilation
Simon Wong, Ajay Kadaliparambil, Hergen Buscher

31

Transnasal Humidified Rapid Insufflation Ventilatory Exchange (THRIVE) technique in paediatric
anaesthesia practiceSusan Humphreys, Derek Rosen, Andreas Schibler

43

Circulation
Heart failure with preserved ejection fraction: Diastole is important too!
Kate Drummond

53

Extra corporeal membrane oxygenation: Anaesthetic perspectives
Elizabeth Winson, Matthew Brain

63

Coagulation
Introducing viscoelastic haemostatic assay-guided blood product transfusion into your hospital
Megha Jain, Erin Chamberlen, Kathryn Santifort, Surbhi Malhotra, Catherine Downs

77

Rotational thromboelastometry (ROTEM®) in obstetrics
Julie Lee, Kerstin Wyssusek, Jeremy Cohen, Andre Van Zundert

95

Fibrinogen concentrate for acquired hypofibrinogenaemia
Hamish Mace, Mansi Khanna

105

Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage 117
Michael C Reade, James Winearls
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Intraoperative cell salvage
Laura Willington, Michelle Roets

135

Regional
What is the role of thoracic epidural analgesia in contemporary anaesthesia practice?
Andrew Deacon, Jennifer Hartley

147

Dissecting epidural failure in the obese parturient: Time to carefully consider the lumbar
interspinous ligament
Sue Lawrence, Adrian Langley, David Sturgess

159

Abdominal wall blocks – steps to quality assurance and managing risk
James Griffiths

169

Pain
Recent insights into the mechanism of opioid tolerance and withdrawal: Implications for the useof remifentanil
David A Jarvis

179

Lidocaine infusions: The golden ticket in postoperative recovery?
Martin Bailey, Andrew Toner, Tomas Corcoran

185

Caution with ketamineDavid A Jarvis

197

Brain / Neuro
Acute management of strokeCandice Delcourt, Pierre Janin

209

Decompressive craniectomy in the management of neurological emergencies: An inconvenient truth? 221
Stephen Honeybul, Kwok Ho, Grant Gillett
Adenosine for transient cardiac standstill in neurovascular surgery: A heart-stopping moment
Shona Osborn

229

Liver / Metabolic
Anaesthesia for patients with liver diseaseTom Fernandez, Chris Nixon

241

Perioperative hyperglycaemia – epiphenomenon or therapeutic target
Alexandra Skubala, Tomas Corcoran

253

Malignant hyperthermia – “Keeping things cool”
Sinéad O’Keeffe, Philip Nelson, Mark Davis

263

Professor Thomas Bruessel
Australian Capital Territory

Dr Brenda Cassidy

Paediatrics
Hypnosis and communication in paediatric peri-operative care
Rob Laing, Allan Cyna

273

Postoperative behaviour change in children
Paul Lee-Archer, Michael Reade, Britta Regli-von Ungern-Sterberg, Deborah Long

281

Faculty of Pain Medicine

Associate Professor Alicia Dennis
Victoria

Dr Thomas Fernandez
New Zealand

Dr Adrian Langley

Assessment
Epigenetics and anaesthesia
Christopher Bain, Kiymet Bozaoglu

Faculty and Regional Sub-Editors

291

Queensland

Dr Priya Nair

College of Intensive Care Medicine

Associate Professor Richard Riley

Education
Preparing candidates for the ANZCA primary examination vivasAndrew Gardner, Ross Macpherson

301

Trainee mentoring – Tips to setting up a program and issues encountered along the way
Ian Balson

309

Free open access online education in anaesthesia
Ryan Juniper

317

It’s more complicated than that: Complexity and anaesthesia
Dave Gillespie, Rod Peadon, John Neal

325

Management
Informed consent in the age of peri-operative medicine: Is it possible?
Scott Simmons, Allan M Cyna

335

The anaesthetist as a leader and manager: Priorities, dilemmas and solutions
Debra SA Coleman343

A guide to the electronic rosterPeter Mulrooney355

Western Australia

Dr Sharon Tivey

New South Wales

Dr Gerald Toh

South Australia

Dr Maurice Vialle
Tasmania

AUSTRALASIANANAESTHESIA2017

Preface
Welcome to the 2017 edition of Australasian Anaesthesia.
I continue to be surprised at the depth and breadth of talent in our fields. Although there is some emphasis inseveral topics, it is always gratifying that we are able to produce a wide range of areas that reflects the diversityof practice in anaesthesia and pain medicine. Airway management, regional anaesthesia, coagulation andcardiac function will always be topical. Articles on education and management also feature to make this edition
well-rounded and deserving of your attention.
In this edition we also welcome the inclusion of several chapters focusing on intensive care medicine. I hopethat you will be similarly impressed to read about some of these developments that our ICU colleagues areleading. Further, a chapter on outcomes following decompressive craniectomy for severe traumatic brain injury
is timely and thought-provoking. Having a family member undergo such an operation years ago made it especiallypoignant.
Several years back a keynote speaker at an international simulation in healthcare meeting described thereluctance of many senior clinicians to ask for feedback on their own clinical and teaching practices. As apracticing surgeon, and clinical educator, he decided to embrace the principles of adult education and began
to seek feedback from his surgical trainees. Thus, at the completion of each day’s operating, he now asks thetrainee, “How’d I do today?” It was a little confronting at first but it became part of his embedded practice andhe now welcomes it. The speaker exhorted us to follow his example and seek feedback from our juniors;
irrespective of their level of training. He suggested that we might be surprised at the feedback.
To follow on this theme, I can let you know that I typically receive one complaint and one to two compliments
for each edition of Australasian Anaesthesia, but this is hardly enough. Thus, if you have bouquets or brickbats
about the “Blue Book”, I would encourage you to give us feedback. An email address below is provided tofacilitate this.
Finally, I wish to thank the authors, the regional editors and ANZCA’s Publications Manager Liane Reynolds fortheir work and support in producing this edition. Please take the opportunity to thank our authors personallywhen you can and also consider writing yourself for a future edition.
Associate Professor Richard Riley
Editor, Australasian Anaesthesia 2017
bluebook@anzca.edu.auAirway
Awake videolaryngoscopy
Vazira Moosajee, Scott Douglas, Iljaz Hodzovic
Airway management after cervical spine surgery:A review of the literature
Jonathan Nicholson, William Bradley, Tish Stefanutto,
Glen Downey, Lauren Berkow
Tracheostomy crisis management
James Anderson, Travis Leahy

Awake videolaryngoscopy 

3

Awake videolaryngoscopy
VAZIRA MOOSAJEE, MBBS BSc (Hons) FRCA

Senior Registrar, Department of Anaesthesia and Pain Medicine, Royal Perth Hospital, Western Australia.

Dr Moosajee graduated from Imperial College, London. She completed her anaesthetic training in London andWales with subspecialty training in regional and airway anaesthesia. She is currently a Fellow at Royal Perth
Hospital, in Western Australia.
SCOTT DOUGLAS, MBBS (Hons) FANZCA

Consultant Anaesthetist, Department of Anaesthesia and Pain Medicine, Royal Perth Hospital, Western Australia.
Dr Douglas is a Consultant Anaesthetist at Royal Perth Hospital (RPH) in Perth, Western Australia. His interests
include difficult airway management, airway management education, airway surgery, apnoeic oxygenation andobstetric anaesthesia, and he is the Director of Audit at RPH. He regularly teaches “Cannot Intubate Cannot
Oxygenate” rescue techniques, is an Advanced Life Support and Effective Management of Anaesthetic Crisis(EMAC) instructor, and is co-author of the new EMAC Airway chapter.
ILJAZ HODZOVIC, MD FRCA

Consultant Anaesthetist and Senior Lecturer at Cardiff University; Royal Gwent Hospital, Wales, United Kingdom.
Following his graduation from Belgrade Medical School, Dr Hodzovic’s career took him to the United Kingdom
where he became a Fellow of the Royal College of Anaesthetists and Senior Lecturer at Cardiff University. His
main clinical interests are major otolaryngological cancer surgery and anaesthesia for gastrointestinal surgery.
He has published in the field of difficult airway management and is an invited reviewer for national and international
peer reviewed anaesthesia journals. He chairs the All Wales Airway Group and is a member of the Innovation
Committee of the Aneurin Bevan University Health Board.
INTRODUCTION
Awake direct laryngoscopy has historically been used in patients with compromised airways, in whom asleep
airway management was anticipated to be difficult. The technique may be tolerated by a moribund patient
without topicalisation or sedation, but the stimulation may still induce airway reflexes making intubation difficult,if not impossible, and cause undesirable autonomic sequelae. Patients with a preserved level of consciousness
are generally unable to tolerate unmedicated awake direct laryngoscopy.
The key advantages of performing awake intubation are the maintenance of upper airway tone and spontaneous
respiration. When anaesthesia is induced, apnoea frequently occurs and airway obstruction may worsen. The
Royal College of Anaesthetists Fourth National Audit Project highlighted inexperience as the main reason forunderuse of awake intubation techniques in the United Kingdom1,2.
Effective topical local anaesthetic (LA) and sedation strategies, along with recent technological advances inairway equipment, has renewed interest in awake laryngoscopy. The introduction of videolaryngoscopes,
particularly those with hyper-angulated blades, has reduced the degree of stimulation required to performawake laryngoscopy.
Video laryngoscopy (VL) is now firmly embedded within the anaesthetic airway management armamentarium.
This is reflected by the inclusion of the technique in “Plan A” of the 2015 Difficult Airway Society (DAS) guidelines
flowchart for the management of unanticipated difficult tracheal intubation in adults3. Similarities between
indirect VL and conventional laryngoscopy have led to faster attainment of proficiency in the skill by novices4,5
and experienced operators demonstrated no difference in technical difficulty, patient discomfort and time toorotracheal intubation between Awake Video Laryngoscopy (AVL) and Awake Flexible Bronchoscopic Intubation(AFBI) in patients with an anticipated difficult airway6. AFBI is the preferred term of the authors as many intubating
bronchoscopes are either hybrids of fibreoptic and digital technology or have no fibreoptics at all. VL’s easeand usability has had the desirable secondary effect of multi-disciplinary familiarity with the technique and theadvent of AVL as an alternative strategy for awake intubation.
The authors of this paper recognise that AVL is an evolving technique and those finessing it encounter many
pitfalls and challenges. We do not claim to be in any way experts in the field of AVL, but we recognise, and in
this article will consider, its evolving role in contemporary airway management practice.
IS THERE A NEED FOR AVL?
A key objective of airway management is to predict difficulties and thereby prevent adverse clinical outcomes.
In the face of an anticipated difficult intubation, it is widely acknowledged that techniques which maintainspontaneous breathing are the safest1. In cases where mouth opening is preserved and oral intubation isessential, there is an emerging interest in using AVL as an alternative to AFBI, the current “gold standard”, AVL
may be perceived (rightly or wrongly) as being simpler and more familiar than AFBI, and in some institutions
equipment for AVL may be more readily available. There is also a growing body of case reports which cite thesuccessful use of AVL in preference to AFBI, or where AFBI has failed (table 1).

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Australasian Anaesthesia 2017

Airway oedema
Several case reports of AVL involve significant macroglossia and laryngeal inlet oedema. These patients
presented in extremis with stridor. AFBI and nasendoscopy failed due to mucosal swelling. AVL displaced theoedematous tongue and provided glottic access with less base of tongue force (5-14 N) compared to conventional
laryngoscopy. Use of a channelled VL was especially advantageous, as it negated the need for an introducer
device, hence avoiding the “cork in bottle” effect7,8,9.
An additional case report documents rescue AVL in a patient where successful awake insertion of a Flexible
Intubating Bronchoscope (FIB) was followed by failure to pass the endotracheal tube (ETT). The FIB did notallow the glottis to be visualised during passage of the ETT and hence identification and rectification of hold-up
was a peripherally blind process above the carina. AVL provided a widescreen view which allowed guidanceof the ETT through the glottis without hold-up10.
Fixed or immobilised cervical spine
AVL has facilitated timely intubation in patients with unstable cervical spines, without the need to remove
immobilisation devices, and also for patients with a fixed neck deformity. The ability of hyperangulated VLs toprovide laryngeal visualisation while maintaining anatomical alignment has been increasingly exploited in trauma
scenarios11,12.
Secretions
Airway secretions may impede the view of any device relying on a transmitted image. AVL may be more forgiving
than AFBI in the presence of secretions in the airway, especially when using VLs with a designated suction
channel or that permit the passage of large bore suction devices via the intubating channel13.
Airway stenosis and obstruction
Rescue AVL was described in a morbidly obese patient with a massive multi-nodular goitre with pressure
symptoms. Perioperative work up revealed a displaced trachea and a compressed airway with a diameter of
2 mm at the glottis. AFBI failed due to the size of the ETT being limited by the diameter of the FIB and extensive
mucosal hypertrophy, which prevented the FIB advancement. AVL provided a Cormack-Lehane grade two
glottic view on screen and allowed a Frova airway intubation catheter (Cook Medical) to be inserted into thetrachea14.
AFBI was considered of limited appeal in managing a case of laser excision of a ball-valving laryngeal mass.
Potential further obstruction was possible from inadvertent trauma caused by the “blind” advancement of theETT over the FIB in the presence of pathologically friable tissue. AVL was considered advantageous, allowing
continuous visualisation of the airway and guidance of the ETT past the friable mass. Importantly, with the entire
team able to follow events, immediate expert advice was provided in real time15.
Morbid obesity
AVL has been successfully used to intubate tracheas in morbidly obese patients presenting with a potentiallydifficult airway. It was found to be comparable in this group to AFBI in terms of time to awake tracheal intubation,
number of intubation attempts and glottic view achieved16,17.
Table 1. Case reports where AVL was used preferentially over AFBI
Airway oedema/swelling

7,8,9,10

Immobilised neck and fixed neck deformities

11,12

Airway stenosis and obstruction

14,15

Morbid obesity

16,17

Cost
Although the exact values will vary by location and device, the cost of single use VL blades and sterilising
reusable VL blades is usually significantly cheaper than the cost of single use FIBs or sterilising reusable FIBs.
NOVEL TECHNIQUESThe Combination Technique
AVL can be used in combination with AFBI. This technique aims to limit the individual disadvantages of the FIB
and VL. Two operators are required to monitor the entire process of intubation. The VL is inserted first and thebest possible screen view is obtained. If Cormack-Lehane grade one or two views are obtained on the VL, the
FIB is used like a stylet with a controlled flexible tip. If grade three or four views are obtained the VL is used toopen the oropharynx and guide (or act as a conduit, if a channelled scope) the FIB to the point where the glottis
can be visualised by the FIB operator. Appropriate views are then maintained on the VL and FIB monitors,
independently, by both operators. This technique offers a wider field of view and a reduced need for ETT
manipulation. It can also be used in the presence of oedema to displace tissue18,19.

Awake videolaryngoscopy 

5

The Tomahawk Technique
Awake intubation in the face-to-face upright position can mitigate some of the disadvantages associated withthe traditional laryngoscopy position, especially in those with a threatened airway. Upright AVL is best performed
with a hyperangulated blade, inserted handle down in the “tomahawk” position. This method has been foundto produce Cormack-Lehane grade one or two views in less than 30 seconds. Optimisation of those glottic
views was then achieved with only minor adjustments to the patient’s sitting position. Note that if a nonchannelled scope is employed, the hyperangulated blade necessitates the use of a preformed introducer20,21.
WHAT ARE THE LIMITATIONS OF AVL?
Not all VLs are equal and it is important to acknowledge their limitations.
Incorrect size/shape to match airway anatomy
Any laryngoscope blade with a fixed length and curvature, video or otherwise, will not suit all mouth to larynx
distances and shapes at the extremes of anatomical variability.
Difficult insertion
Insufficient mouth opening
Although the exact amount varies, for any particular VL there will be a minimum mouth opening distance required
to insert and manipulate the VL, and (if the VL is unchanneled) insert and manipulate an ETT separately fromthe VL. Extremely limited mouth opening may necessitate AFBI via the nasal approach.
Difficult/impossible insertion due to neck/chest wall relationshipIn those with fixed flexion deformities or prominent breast tissue, obstruction due to the chest wall may makeit impossible to insert the VL. Introducing the blade with 90 degrees of rotation before returning to the normalalignment may overcome this problem. For VLs with blades and handles that can be detached from one another,
introducing the blade alone without the handle attached may also be of assistance11.
Traumatic insertion
During VL the operator’s visual attention is directed toward the screen, which can result in damage to soft
tissues or ETT cuff. It is essential that the VL blade is inserted into the mouth under direct observation and not
while looking at the screen. Experienced VL operators have similar minor complication (bleeding and sore throat)
rates to FIB intubation. However, there are reports of VL related palatopharyngeal arch injury requiring surgicalrepair in patients with abnormal upper airway anatomy, prior airway surgery and/or previous radiotherapy22.
Channelled or unchannelled?
Channelled VLs eliminate the need for an ETT introducer, avoiding the “cork in a bottle” phenomenon, reducing
the risk of trauma during insertion of the ETT, simplifying the technique, and creating a protected conduit for
the ETT, however they usually require a greater degree of mouth opening. Unchannelled VLs may require lessmouth opening, but do require an ETT introducer. This is important, as the smallest internal diameter of an ETTthat can be used with a preformed GlideRite® stylet is 5 mm15.
Pharyngeal hyperreflexia
AVL is not simply a skill hybrid of AFBI and VL. Exaggerated gag responses are the most commonly cited reason
for failure of AVL. This can be understood after consideration of the physical differences between the techniques.
VLs have evolved from the Macintosh blade. The pressure of the blade on the tongue and in the vallecular provokes
discomfort and the gag reflex in otherwise well-topicalised airways that are likely to have tolerated AFBI.
The intermittent failure to tolerate AVL has contributed to the use of the “awake look” technique. If a CormackLehane grade of one or two is transiently seen during AVL, conversion to a GA technique occurs. Extreme
caution is recommended with this approach, as grade of laryngoscopy may deteriorate with loss of muscle
tone, and a clear laryngoscopy does not guarantee a straight forward intubation!
SUPPRESSION OF THE GAG REFLEX
Within our specialty there is a belief that dense airway topicalisation alone, particularly of the mucosal surfaces
supplied by the glossopharyngeal nerve, can improve AVL outcomes.
It is hypothesised that those with a persistent gag reflex have deeper submucosal pressure receptors lessamenable to a topicalisation. Therefore, some authors advocate bilateral glossopharyngeal nerve blocks. They
are performed using a spinal needle to inject lidocaine at the bases of the palatoglossal folds. Patient refusal
or disease burden may render this technique inappropriate23.
There is considerable evidence to demonstrate multifactorial aetiology underlying the gag response. Thosepursuing a completely sedation-free AVL technique are now turning their interest towards alternative management
strategies. These include patient selection, behavioural, pharmacological and complimentary therapies24.

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Australasian Anaesthesia 2017

Patient selection
The gag reflex is well recognised within the dental community, where an exaggerated response results in somepatients self-limiting their treatment. The Gagging Severity Index was developed as a predictive scoring system
which takes no more than five minutes to complete and score. This may help anaesthetists minimise negative
AVL experiences for patients most at risk25.
Pharmacological adjuncts
The benefits of conscious sedation during awake intubation were recognised as early as 1975. However, anideal elixir for conscious sedation remains elusive26.
Drugs commonly used for sedation are either anxiolytic or analgesic. Appropriate levels of “sedation” for safe
awake intubation are difficult to standardise, especially as the pharmacodynamics of sedation using opioids
and hypnotics are not directly comparable. Operator preferences tend to lack a firm evidence base. The authorsof this paper would advocate the use of easily reversible drugs, and strongly suggest having their antagonists
readily available.
The relative requirements of anxiolysis and analgesia will vary with the anatomical and physiological conditionof patients and also with the urgency of the situation. The use of sedation is often employed by anaesthetists
who are also mindful to avoid significant morbidity or mortality that over sedation can bring1,27.
Midazolam
Midazolam is a benzodiazepine sedative agent with a rapid onset and short duration of action. It is mostcommonly used in combination with an opioid. It is usually administered as intermittent boluses of 0.5-1 mg
IV, with a recommended maximum limit of 0.05 mg/kg−1. The technique is often favoured by anaesthetists
because of their widespread familiarity with the drug.
The main benefits for the patients are its anterograde amnesia and acute reversibility with flumazenil.
Disadvantages of the technique lie in the potential cumulative effect of multiple intermittent boluses resulting
in unpredicted over-sedation27.
Fentanyl
Fentanyl is a synthetic phenylpiperidine derivative opioid. It is primarily an analgesic with rapid onset and shortduration of action. It is administered as 10-25 mcg intermittent boluses IV up to a maximum of 1.5 µg kg−1. It
is also associated with mild hypnosis and an antitussive effect. Airway instrumentation provokes an intense
nociceptive response, especially during the passing of the tracheal tube, and fentanyl can help mitigate theeffects of inadequate topicalisation. It is also acutely reversible with naloxone. The main risks of it use are
respiratory depression, nausea, vomiting and, very rarely, chest wall rigidity27.
Remifentanil
We advocate the use of remifentanil as an adjunct to topicalisation for awake intubation. It is an ultra-shortacting opioid with an elimination half-time of six minutes which is dependent only on hydrolysis by non-specificplasma and tissue esterases. Target-controlled infusion (TCI) administration allows a stable level of sedation
to be titrated and maintained. Better tracheal tube tolerance during intubation has been attributed to theantitussive and analgesic properties of remifentanil. A testament to its effectiveness is the emergence anduptake of it as a sole agent, for a two-person AFBI technique.
As a single agent with no airway topicalisation, remifentanil is infused to achieve a predicted effect site concentrationof 1 ng mL−1 and then titrated upwards in 0.5 ng mL−1 increments. Effect site concentrations of 6.3 (3.87 SD) ng
mL− 1 for nasal endoscopy and 8.06 (3.52 SD) ng mL−1 for tracheal intubation provided good conditions with noserious adverse events28. When used in combination with midazolam or propofol, a remifentanil effect site
concentration of 3-5 ng mL−1 was considered sufficient27. Rosenstock et al found they gave a median remifentanil
infusion of 0.13 mcg/kg-1 min-1 during AVL intubation, compared to 0.12 mcg/kg-1 min-1 for AFBI, in conjunction
with airway topicalisation, including transtracheal injection, using a maximum dose of 3 mg/kg lidocaine 6.
Propofol
Propofol is an alkylphenol derivative hypnotic sedative and that can be administered as boluses, simple infusion,or as a TCI. Its relatively narrow therapeutic index for sedation makes its safe use demanding. TCI administration
is more pharmacodynamically consistent and may allow for a more predictable level of sedation to be maintained.
Current evidence would suggest that propofol only TCI is used with effect site concentrations ≤3 mcg/mL−1 27,
or ≤1 mcg/mL−1 when used in conjunction with benzodiazepines and/or opioids. Combining TCI propofol withother sedatives may help minimise the side effects and improve efficacy, though may also paradoxicallyincrease the risk of excessive sedation.
Nitrous oxide
N2O is commonly used in dental patients and has been shown to significantly increase tolerance of intrusive
oropharyngeal stimulation. Other beneficial effects include reducing secretions and anxiolysis. Rapid onset andoffset allows easy titration of the nitrous oxide to ensure patients remain fully conscious. It is contraindicatedin patients with chronic lung disease pregnancy (first trimester), previous ear or eye surgery and previous
bleomycin therapy (when co-administered with increased concentrations of oxygen)29.

7

Awake videolaryngoscopy 

In dental practices, it is applied using a nasal mask. Patients are pre-oxygenated and nitrous oxide is introducedin 10 per cent increments. No more than a 50 per cent mix is administered, with an optimal effect noted tooccur at between 30-40 per cent. It is reversed within two to three minutes with 100 per cent oxygen29.
COMPLEMENTARY THERAPY
Acupressure and acupuncture
Acupressure and acupuncture are employed by dentists globally to control the gag reflex. In the UK, the British
Dental Acupuncture Society offers courses for general practice dentists and dental care professionals. It has
been shown to reduce the duration and intensity of the gag reflex on insertion of a Berman airway. Acupunctureuses needling to activate small myelinated nerve fibers in muscle, the midbrain and the pituitary hypothalamus
via the spinal cord. Enkephalin, beta-endorphin, dynorphin, serotonin and noradrenaline are also all involvedin this process30,31.
The horizontal mento-labial groove approximately midway between chin and lower lip is used as an acupuncture
and acupressure site. To control the gag reflex, an acupuncture needle is inserted 0.3-0.5 mm and rotated forfive seconds, or sustained increasing digital pressure is applied for five minutes24.
THE FUTURE ROLE OF AVL
It is the opinion of the authors that no single technique will always work and as such AVL is a useful techniqueto learn. AVL may also confer an advantage over AFBI, in specific situations, such as:
1. Unavailability of a FIB.
2. Unfamiliarity of the anaesthetist with AFBI.
3. Critically stenosed airways, to avoid the “cork in bottle” effect.
4. Friable supraglottic pathology, to provide a panoramic view for passing the ETT.
5. Supraglottic oedema, to displace tissue and form a path for passing of the ETT.
THE AUTHORS APPROACH TO AVL
Preparation for the procedure: Setup and equipment
AVL equipment should be ergonomically placed to ensure optimal viewing and working conditions. We
recommend a semi-recumbent patient with their head in the neutral position. This allows the operator’s eyes,
the patient’s opened mouth, and the video display to all be aligned in one line of sight.
Pre-procedural oxygenation can then commence and be maintained during the procedure via the buccal routeor nasally32. Standard monitoring is applied as per ANZCA guidelines and topical anaesthesia (as described
below) ± sedation are administered.
The intubator stands above the head of the patient holding the VL in their left hand. The semi-recumbent position
ensures efficient performance of laryngoscopy, requiring only a movement of 30-60 degrees against the planeof gravity33.
In addition to standard anaesthetic room equipment, nasal and oral Mucosal Atomisation Devices (MADs)[Teleflex Medical Europe Ltd. Ireland], 4 per cent lidocaine in 5 mL syringes and 2 per cent lidocaine in a 2 mL
syringe should be prepared. Appropriately-sized ETTs should be selected, any flexometallic ETT should beplaced in warm sterile saline or water to soften tube. The patient will need a kidney dish to expectorate into
and also some tissues.
Oral anaesthesia
Lidocaine is the agent most commonly used for topicalisation of the airway. Published maximum doses for
airway topicalisation range from 4-9 mg/kg-1. The maximum dose should not be exceeded to avoid adverse
effects such as arrhythmias and convulsions34.
Sensory innervation of the oral and oropharyngeal mucosa is supplied by branches of the glossopharyngeal,
vagus and facial nerves. Anaesthesia for AVL targets the glossopharyngeal and vagus nerves in particular (table2). The rest of this section will focus on various methods this can be topically achieved.
Table 2. Sensory innervation of oropharyngeal mucosa
TOPICAL ANAESTHESIA TARGET SITESENSORY INNERVATION

Oropharynx, posterior tongue

Glossopharyngeal nerve

Larynx

Vagus nerve

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Australasian Anaesthesia 2017

Glossopharyngeal nerve
The glossopharyngeal nerve travels anteriorly along the lateral surface of the pharynx. It divides into threebranches which provide the sensory innervation to the posterior third of the tongue, the vallecula, the anterior
surface of the epiglottis, the tonsillar pillars,and the posterior and lateral walls of the pharynx. It also provides
motor innervation to the stylopharyngeus muscle, involved in swallowing. Dense anaesthesia of the glossopharyngeal
nerve is key to the success of AVL. This can be achieved using a combination of the following techniques.
Nebulisers
Four mL of four per cent lidocaine can be nebulised at flow rates of between 4-6 Lmin-1. The patient then inhales
the nebulised local anaesthetic for five to seven minutes. Mouth piece nebuliser kits can be used to reduce
environmental losses.
Gargling
Gargling 2 mL of four per cent lidocaine provides dense anaesthesia and only 10 per cent of the dose need beincluded in the total dose calculation.
Aerosolisation
Ten mL of lidocaine can be administered via a McKenzie device (connect the oxygen tubing via a three-way
tap to 20G cannula). With the oxygen flow set at 3 Lmin-1, the patient then inhales the aerosolised local anaesthetic
for five minutes, or the tongue and posterior pharynx are sprayed.
Targeted topicalisation with spray/direct application of LA
Provided there is sufficient mouth opening, the most superficial branches of the glossopharyngeal nerve canbe targeted where they traverse the palatoglossal folds in the posterior tonsillar pillars. Standing contralateral
to the side to be blocked, a tongue depressor held with the non-dominant hand is introduced into the mouth
to sweep the tongue to the contralateral side, creating a gutter between the tongue and the teeth. Lidocaine
10 per cent spray or gauze swabs soaked with lidocaine 10 per cent can then be directed on to the posterior
tonsillar pillars.
Vagus nerve
Blocking branches of the vagus nerve suppresses the gag reflex and the haemodynamic response to laryngoscopy.
This can be achieved under (in)direct vision during VL. The MAD is used to spray 2 mL increments of 4 per centlidocaine directly onto the vallecular, the vocal cord mucosa and through the vocal cords
To more precisely target the superficial laryngeal nerve, the pyriform fossa is identified during AVL lying lateral
to the arytenoid cartilages, and medial to the lamina of the thyroid cartilage bilaterally. This area is then topicalisedwith the MAD and four per cent lidocaine.
STEP-BY-STEP GUIDEThe authors’ technique for AVL is summarised below:

Awake videolaryngoscopy 

9Next, the patient is asked to gargle and swallow 2 mL of four per cent lidocaine.
5. Shape an appropriate length MAD against the facial landmarks. Atomise 10 mL of one per centlidocaine into the oropharynx. Two applications of 5 mL during the initial phase of deep inspiration
will carry it toward the vallecula, epiglottis and glottic opening. Keep it close to the soft palate strictlyin the midline (be aware of the tip rotation).
6. Test the gag reflex with the MAD. If suitably anaesthetised allow the patient to insert the VL blade
into the oropharynx. Lubricate both sides of the blade of the scope using 10 per cent lidocaine prior
to insertion. Wipe the camera eye of the video laryngoscope using a swab if needed.
7. Under direct vision with the video laryngoscope, use the MAD to spray increments of four per centlidocaine directly onto the vallecular, the vocal cord mucosa and through the vocal cords.
8. If significant gagging still occurs after all the 4 per cent lidocaine has been applied, remove the VL
and consider “top up” local application if safe dosing allows, addition of (further) sedation, or change
to an alternate technique (e.g. AFBI).
9. If the patient has comfortably tolerated all of the above, proceed with intubation!
10. Confirm tracheal tube position via visualisation and capnography. Inflation of the cuff is verystimulating and in most cases can be safely done after induction of anaesthesia.
11. Induce anaesthesia and inflate the cuff.
12. The final check of tube position by auscultation is then performed.
TIPS AND TRICKS• Apply LA during initial phase of inspiration; coughing is a sign of effective application.
• Ask the patient to hold in any LA applied to the mouth as long as possible and swallow it.
• Allowing the patient to insert the VL themselves may promote comfort, a feeling of control, and reduce
the risk of triggering the gag reflex.
• Use of a preformed stylet is necessary if using an unchannelled VL.
• Ensure any LA aerosol device nozzles are positioned in the centre of the airway at all times (and not touching
the mucosa).
• The four per cent lidocaine gargle is often better tolerated in an already partially anaesthetised pharynx.
• “Bring the trachea to the tube”: If misalignment between the ETT and the glottis occurs, external laryngeal
manipulation, head flexion, “relaxation” of the laryngoscope arm and bevel tip rotation may help.

1. Equipment and skilled assistance are gathered and checked.

• Inflating the cuff above the cords to push the ETT tip superiorly can help in presence of an anterior larynx.

2. The patient is settled in a semi-recumbent position and the positions of the operator, patient, andscreen are ergonomically optimised.

• The duration of effective LA topicalisation is 20 to 30 minutes post application.

3. Standard monitoring is applied and intravenous access is obtained.
4. One to two sprays of 10 per cent lidocaine are applied intra-orally at each location indicated on
figure 1 with tongue fully out and patient mouth breathing. Xylocaine® 10 per cent pump and nozzle
will deliver a 10 mg dose per spray. LA is applied during the initial phase of deep inspiration. A further
two sprays are directed into oropharynx keeping the tip of the nozzle centralised in the airway. The
total number of sprays typically required is eight to 12.
Figure 1. Oropharyngeal sites for topicalisation

LEARNING AND TEACHING
In order to spread awareness and learn more about the technique, the first and third authors were faculty
members on a pilot AVL familiarisation course (using only LA topicalisation) for a total of 10 senior registrars
and consultants35.
This hands-on method of teaching was found to be beneficial as it allowed colleagues to personally observe,
perform and experience the procedure. Many have since found it helped them significantly during the AVL
consent process and procedure.
The success rate in this group of motivated participants was 50 per cent. All failures were due to an exaggerated
gag response. Once the reflex had been triggered we found it almost impossible to overcome with further
topicalisation.
IS AVL A GAME CHANGER?
AVL is an evolving technique and should be considered an additional tool, rather than a replacement for AFBI
or any other airway management technique. While AVL is not a panacea, the increasing number of case reports
of its success where AFBI has failed, and the potentially superior performance over AFBI in certain clinicalcircumstances, support its ongoing learning and development.
A significant advantage is that the psychomotor skills for AVL are already embedded in the anaesthetic community
and there is multidisciplinary familiarity with the practicalities of VL. The widespread availability of single use
disposable blades for most VLs may have cost and patient safety advantages compared to reusable but very
expensive equipment with infection control risks.

10Australasian Anaesthesia 2017

However, not all VLs are equal in their features and limitations, and further evidence is required to improveguidance on which is best for particular clinical scenarios. Lastly, there is a need for further investigation into
identification of patients with a severe gag reflex and ensuring techniques to supress the gag reflex are safe,
effective and appropriately targeted.
REFERENCES

1. Cook TM, Woodall N, Frerk C. 4th National Audit Project of the Royal College of Anaesthetists. UK: Royal College ofAnaesthetists, 2011.
2. Goodwin M. Management of the anticipated difficult airway: without clinical upper airway obstruction. In: Popat M, editor.
Difficult airway management. Oxford: Oxford University Press, 2009. pp.47–54.
3. Frerk C, Mitchell VS, McNarry AF, Mendonca C, Bhagrath R, Patel A, et al. Difficult Airway Society 2015 guidelines for
management of unanticipated difficult intubation in adults. Br J Anaesth. 2015;115(6):827–848.
4. Ray DC, Billington C, Kearns PK, Kirkbride R, Mackintosh K, Reeve CS, et al. A comparison of McGrath and Macintosh
laryngoscopes in novice users: a manikin study. Anaesthesia. 2009;64(11):1207–1210.
5. Heidegger T, Gerig HJ, Ulrich B, Schnider TW. Structure and process quality illustrated by fibreoptic intubation: analysisof 1612 cases. Anaesthesia. 2003;58(8): 734–739.
6. Rosenstock CV, Thøgersen B, Afshari A, Christensen A-L, Eriksen C, Gȁtke MR. Awake fiberoptic or awake
video laryngoscopic tracheal intubation in patients with anticipated difficult airway management. Anesthesiology.
2012;116(6):1210–1216.
7. Sinofsky AH, Milo SP, Scher C. The awake GlideScope intubation: an additional alternative to the difficult intubation. Middle
East J Anaesthesiol. 2010;20(5):743–746.
8. Bucx MJ, Scheck PA, Van Geel RT, Den Ouden AH, Niesing R. Measurement of forces during laryngoscopy. Anaesthesia.
1992;47(4):348–351.
9. McGuire BE. Use of the McGrath video laryngoscope in awake patients. Anaesthesia. 2009;64(8):912–914.
10. Asai T, Ito I, Kuremoto Y, Kawashima A. Tracheal intubation with Pentax AWS Airway Scope after failed fiberoptic intubationand failed insertion of the intubating laryngeal mask airway. [Japanese]. Masui. 2010;59(4):470–472.
11. Hughes CG, Mathews L, Easdown J, Pandharipande PP. The McGrath videolaryngoscope in unstable cervical spine surgery:a case series. J Clin Anesth. 2010;22(7):575–576.
12. Uslu B, Damgaard Nielsen R, Kristensen BB. McGrath videolaryngoscope for awake tracheal intubation in a patient withsevere ankylosing spondylitis. Br J Anaesth. 2010;104(1):118–119.
13. Xue F-S, Cheng Y, Li R-P. Awake intubation with video laryngoscope and fiberoptic bronchoscope in difficult airway patients.
Anesthesiology. 2013;118(2):460–471.
14. Jeyadoss J, Nanjappa N, Nemeth D. Awake intubation using Pentax AWS videolaryngoscope after failed fibreoptic intubation
in a morbidly obese patient with a massive thyroid tumour and tracheal compression. Anaesth Intensive Care. 2011;39(2):311–312.
15. Bruins BB, Mirza N, Gomez E, Atkins JH. Anaesthetic management for laser excision of ball-valving laryngeal masses.
Case Rep Anesthesiol. 2015;875053:3.
16. Moore AR, Schricker T, Court O. Awake videolaryngoscopy-assisted tracheal intubation of the morbidly obese. Anaesthesia.
2012;67(3):232–235.
17. Abdellatif AA, Ali MA. GlideScope videolaryngoscope versus flexible fibreoptic bronchoscope for awake intubation ofmorbidly obese patient with predicted difficult intubation. Middle East J Anaesthesiol. 2014;22(4):385–392.
18. Sukernik MR, Bezinover DS, Stahlman B, Vaida S, Pott L. Combination of GlideScope with fiberoptic bronchoscope for the
optimization of difficult endotracheal intubation. A case series of three patients. Anesthesia On-Line. 2009. From: http://
www.priory.com/medicine/Glidescope_bronchoscope.htm. Accessed 17 September 2017.
19. El-Tahan MR, Doyle J, Khidr AM, Regal MA , El morsy AB, El Mahdy M. Awake tracheal intubation with combined use of King
Vision™ videolaryngoscope and a fiberoptic bronchoscope in a patient with giant lymphocele. Middle East J Anaesthesiol.
2014;22(6):609–612.
20. Drenguis AS, Carlson JN. GlideoScope vs. C-MAC for awake upright laryngoscopy. J Emerg Med. 2015;49(3):361–368.
21. Lohse JA, Piepho T, Noppens RR. Awake video laryngoscopy – a revolution in the management of the difficult airway.
Trends Anaesth Crit Care. 2016;6:37–42.
22. Dotson M. Awake video laryngoscope intubation: case report of a patient with a nasopharyngeal mass. AANA J.
2012;80(5):347–353.
23. Sanchez T, Morrison D. Preparation of the patient for awake intubation. In: Hagberg CA, editor. Handbook of difficult airway
management. Philadelphia: Churchill Livingstone, 2000. pp. 49–82.
24. Shriprasad S, Shilpashree H. Gag reflex: no more a gag to a dentist the behavioral techniques, pharmacological techniques,acupressure and acupuncture in controlling the gag reflex – a review. Bangladesh J Med Sci. 2012;11(1):12–17.
25. Hearing C, Bind R, Tabacco M, Hallock R. A reliable and valid survey to predict a patients gagging intensity. J Oral Maxillofac
Res. 2014;5(2):e3.
26. Kopman AF, Wallman SB, Ross K, Surks SN. Awake endotracheal intubation: a review of 267 cases. Anesth Analg.
1975;54(3):323–327.
27. Johnston KD, Rai MR. Conscious sedation for awake fibreoptic intubation: a review of the literature. Can J Anesth.
2013;60(6):584–599.
28. Vennila R, Hall A, Ali M, Bhuiyan N, Pirotta D, Raw DA. Remifentanil as single agent to facilitate awake fibreoptic intubationin the absence of premedication. Anaesthesia. 2011;66(5):368–372.
29. Kaufman E, Weinstein P, Somers EE, Soltero DJ. Experimental study of the control of the gag reflex with nitrous oxide.
Anaesth Prog. 1988;35(4):155–157.

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1130. Mitchell J, Jeffrey S, Lochhead V. Use of acupuncture to reduce gagging during the insertion of an oral airway. Anaesthesia.
2008;63(12):1389–1390.
31. Rosted P, Bundgaard M, Fiske J, Pedersen AML. The use of acupuncture in controlling the gag reflex in patients requiring
an upper alginate impression: an audit. Br Dent J. 2006;201:721–725.
32. Heard A, Toner AJ, Evans JR, Aranda Palacios AM, Lauer S. Apneic oxygenation during prolonged laryngoscopy in obese
patients: a randomized, controlled trial of buccal RAE tube oxygen administration. Anesth Analg 2017;124(4):1162–1167.
33. Gupta D, Rusin K. Endotracheal intubation with GlideScope in semi-erect position in morbidly obese population. ASA
Annual meeting abstracts, 2011.
34. Maheshi,P. Awake nasal intubation and topical anaesthesia: how and how much?. Anaesthesia. 2015;70(7):879.
35. The All Wales Airway Group. Awake video laryngoscopy course. 2016. From: https://allwalesairwaygroup.co.uk/event/view/51. Accessed 17 September 2017.

Airway management after cervical spine surgery: A review of the literature 

13

Airway management after cervical spine surgery:A review of the literature
JONATHAN J NICHOLSON, BSC, BMBS, FRCA, FANZCA

Department of Anaesthesia and Perioperative Medicine, The Alfred, Melbourne, Victoria, Australia. Academic
Board of Anaesthesia and Perioperative Medicine, Monash University, Melbourne, Victoria, Australia.

Dr Jonathan Nicholson is staff specialist at Alfred Health and a Monash University Adjunct Lecturer. He also
works for Adult Retrieval Victoria as a retrieval specialist with his main interests being perioperative medicine
and trauma. He leads the Monash Perioperative Medicine Short Course.
WILLIAM PL BRADLEY, MBChB, FANZCA

Department of Anaesthesia and Perioperative Medicine, The Alfred, Melbourne, Victoria, Australia. Academic
Board of Anaesthesia and Perioperative Medicine, Monash University, Melbourne, Victoria, Australia.

Dr Pierre Bradley is a Monash University Adjunct Senior Lecturer, helps manage the Risk Management portfolio
for the Epworth Anaesthetic Advisory Committee and a past chair of the Airway Management Special Interest
Group (SIG). He practices public and privately in the areas of neuroanaesthesia, perioperative medicine andvascular anaesthesia.
TISH STEFANUTTO, MBChB, FRCA, FANZCA

Nepean Hospital and Maquarie University Hospital.

Dr Tish Stefanutto is a former chair of the Airway Management SIG and current deputy chair. She has an interestin spinal surgery, complex orthopaedic anaesthesia and perioperative patient management. She has previously
presented on upper airway oedema post cervical surgery to the Airway Management SIG. She also lectures
and teaches on national and international courses.
GLEN O DOWNEY, MBBS FANZCA, Grad Cert in Clinical UltrasoundDepartment of Anaesthesia and Perioperative Medicine, The Alfred, Melbourne, Victoria, Australia. Academic
Board of Anaesthesia and Perioperative Medicine, Monash University, Melbourne, Victoria, Australia.

Dr Glen Downey is the Deputy Director and Head of Clinical Services of Anaesthesia and Perioperative Medicine
Department at Alfred Health. His main clinical interests are neuroanaesthesia, perioperative management ofpatients with obstructive sleep apnoea (OSA), and patient safety.
LAUREN BERKOW, MD

University of Florida College of Medicine, Gainesville, Florida, US.

Dr Lauren Berkow is an Associate Professor of Neuroanesthesia at the University of Florida College ofMedicine. She is widely published in the field of airway management, and has lectured and taught airway
workshops both nationally and internationally. She serves as the President-Elect of the Society for Airway
Management.
INTRODUCTION
The 2011 Difficult Airway Society (UK) extubation guidelines1 have focused attention on the importance of
postoperative airway management planning to ensure a safe extubation. The Fourth National Audit Project
highlighted that a third of airway complications occur during emergence or recovery and that a common cause
is airway obstruction2. Patients undergoing craniocervical surgery have up to six times higher risk of airway
complications than the average surgical population owing to a combination of anaesthetic and surgical risk
factors. However, the reported rate of postoperative airway compromise after cervical spine surgery (CSS)
varies widely from 1.2 per cent to 30 per cent3 and up to 6 per cent reintubation rate, depending on the typeof cervical surgery performed. Despite this poor reporting in the anaesthetic literature, in a subset of patients,
we believe it to be a significant and predictable event, while being poorly clinically recognised within the first72 hours postoperatively. The complications can be catastrophic, leading to death or severe disability. In
Australia, for the financial year 2015-2016, Medicare reported 4045 billable events (anaesthesia for spinal
surgery; MBS item number 20600) or 17 services per 100,000 population. These figures probably represent
about 45-50 per cent of the cases performed in Australia as they do not include public hospital cases, Department
of Veteran Affairs cases or the more complex spine cases (MBS Item number 20670). So probably, the predicted
magnitude of a serious post-operative airway complication would be between 97 to 2427 cases (1.2 per centto 30 per cent)3 for the 2015-2016 financial year, with up to an estimated 485 cases (6 per cent) requiring
reintubation in the postoperative period. This has implications to any organisation in terms of planning themanagement and consenting of these patients to the potential risks.
Few studies have addressed this potentially life threatening complication in the anaesthetic literature, althoughseveral case reports describe the requirement of emergency re-intubation in the recovery room after complex,
multilevel CSS4-6. An increasing awareness is developing about the extubation risks in the cervical spine patient,

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Australasian Anaesthesia 2017leading some centres to develop protocols for managing these patients postoperatively. However, with a paucity
of information in the anaesthetic literature, these guidelines are ad hoc and patchy in implementation. Anaesthetists
should be aware of the risk factors, identify “high-risk” patients, and plan a safe extubation as part of the surgicalteam. We present a review of the literature and have included an extubation guideline for the safe managementof these patients based on the current evidence.
LITERATURE REVIEW
Three retrospective case reviews were identified in the surgical literature6-8. All three reported a similar incidenceof upper airway oedema (UAO) requiring postoperative re-intubation after anterior-approach CSS [1.9 per cent(n=6/311), 2.3 per cent (n=4/171), and 2.8 per cent (n= 7/174)]. Surgery at multiple cervical levels was associatedwith postoperative complications. Airway deaths occurred because of a failure to re-secure the postoperative
airway in these reviews.
Terao and colleagues reviewed postoperative airway management in 165 patients who underwent various
types of CSS. The group (n=10) undergoing anterior and posterior combined CSS (APCS) had the highest rate
(70 per cent) of emergency airway management, defined as re-intubation or delayed extubation. In comparison,
only 1 per cent of the remaining 155 patients required emergent airway management. Six of 10 had life-threatening
airway complications, with three requiring emergency airway intervention, two requiring awake fibreoptic reintubation (difficult because of pharyngeal swelling/UAO), and one requiring a cricothyroidotomy. After the riskin this subpopulation of patients was identified, the next seven patients presenting for APCS remained intubatedin the intensive care unit (ICU) and were extubated after fibreoptic evaluation of the airway. Interestingly, fourof the seven patients could only be extubated between days five and 10 post-surgery.
3

The Terao findings contrast markedly with those of Epstein and colleagues9, who reported a much lower
complication rate of 6.9 per cent (n=4/58) for postoperative airway complications (re-intubation or tracheostomy)
after APCS. The latter study included an airway protocol in which “high-risk” patients were kept intubated forthe first night after surgery and the airway was assessed for swelling before extubation. These precautions may
have influenced the reported complication rate. Three patients required tracheostomies on postoperative day
seven, as the UAO was unresolved.
In anterior cervical surgery, the risk for UAO is less clear. Emery and colleagues6 reviewed 133 patients undergoinganterior cervical surgery and identified seven who needed re-intubation. All seven patients had pre-existing
myelopathy and underwent a multi-level corpectomy that had a prolonged operating time, with average durationof five hours.
More recently, Nandyala and colleagues10 accessed the American College of Surgeons National Surgical Quality
Improvement Program database and found that only 54 of 8648 patients undergoing CSS required prolonged
intubation (0.62 per cent) and 56 (0.64 per cent) required postoperative re-intubation. Three-quarters of theprocedures were anterior cervical discectomy and fusion, and none used a combined anterior and posterior
approach. The authors found that the incidence of re-intubation was significantly higher among patients who
underwent longer surgery or required blood transfusion.
Their findings concur with those of Sagi and colleagues7, whose retrospective chart review of 311 patients
indicated that operations lasting five hours or more and those in which more than 300mL of blood is lost havea significant correlation with airway complications. Also noted was the relationship with surgical level andoutcome—surgery at or above the fourth cervical vertebra was associated with a higher risk for airway
complications.
Wattenmaker and colleagues11 reviewed 128 patients with rheumatoid arthritis who underwent CSS with aposterior approach. Rheumatoid arthritis can make intubation more difficult. The authors reported postoperative
UAO in eight of 50 (14 per cent) patients who had been intubated directly but in only one of 70 (1.4 per cent)
who had been intubated fibreoptically. However, another study by Manninen and colleagues12 found no association
between the method of intubation and postoperative airway complications.
Several studies have investigated the potential causes of UAO after CSS. Some have shown profound prevertebral
tissue oedema leading to pharyngeal oedema and distortion of the upper airway to be a cause of UAO3,13. In
sequential pre- and postoperative lateral neck x-ray films, Suk and colleagues13 elegantly demonstrated maximal
vertebral soft tissue swelling on postoperative day three. Andrew and Sidhu14 examined vertebral swelling both
before and after anterior cervical discectomy and fusion surgery by using lateral x-ray measurement between
the anterior vertebral body and posterior border of the airway. The largest postoperative change was at thelevel of C2-C4, with an increase in anteroposterior length of up to 329 per cent (4.1 mm to 13.5 mm at C3).
DISCUSSION
The lack of strong evidence identifying high-risk patients makes it difficult to formulate a definitive evidencebased extubation protocol. We have reviewed both surgical and anaesthetic literature and believe that
identification of key risk factors and safe extubation criteria can be formulated based upon current knowledge
and reported experiences.

Airway management after cervical spine surgery: A review of the literature 15

A review of the literature brought to light several factors that appear to increase the risk of postoperative airway
obstruction and other complications (table 1):
1. Combined anterior and posterior cervical surgery.
2. Operative time more than five hours.
3. Surgery involving three vertebral levels, including one of C4 or above.
4. Surgery involving C2 fusion or C1 odontoid peg.
5. Blood loss greater than 300 mL.
6. Preoperative myelopathy.
7. Pre-existing pulmonary disease (asthma, chronic obstructive pulmonary disease, smoking, obstructive
sleep apnoea).
Table 1. Risk factors for airway-related complications after cervical spine surgery
RISK FACTORREFERENCES

Combined anterior-posterior approach

Terao3, Nandyala10, Epstein9Pre-existing myelopathy

Emery6, Wattenmaker11, Epstein9

Prolonged operative time (>5 hours)

Emery6, Nandyala10, Sagi3, Epstein9

Estimated blood loss greater than 300 ml

Epstein9, Sagi3

Multiple cervical levels involved (3+)

Sagi7, Epstein9

C1 or C2 levels involved

Sagi7, Epstein9Pre-existing pulmonary disease

Emery6, Epstein9

The combined anterior and posterior cervical surgery has repeatedly been identified as high risk for patientswith UAO. Thus, a delayed extubation, or extubation followed by close monitoring, would be an importantsafety strategy for these patients and allow for postoperative swelling to resolve.
The aetiology of UAO differs from that of airway compromise seen after thyroid or carotid surgery. Haematoma
formation and cerebrospinal fluid leak are potential complications of CSS that usually present early in the
postoperative period, whereas upper airway obstruction most commonly develops in the late postoperative
period (days rather than hours).
UAO occurs because of prevertebral tissue swelling that evolves late in the postoperative course. The danger
is that the onset can be insidious in a ward environment, leading to late recognition and limited availability ofpractitioners with airway expertise12. Development of prevertebral oedema has been implicated in several nearmisses and deaths, which became the sentinel events that stimulated creation of departmental protocols tosafely manage these patients postoperatively9.
Surgical factors suggested in the aetiology for oedema are prolonged retraction time and manipulation of deep
neck structures, which generate a local inflammatory response6,7. It is theorised that patients undergoingvertebral corpectomies have an increased risk, as they have a large surface area of bleeding cancellous bonethat can lead to lymphatic obstruction, blood clot formation, and higher risk of oedema6.
The combined anaesthetic-surgical literature offers very little information about the contribution of anaesthetic
management to airway obstruction in patients undergoing CSS. A study by Manninen and colleagues12 evaluatedthe choice of intubation technique in 327 patients with a variety of conditions who were undergoing cervicalspine procedures by a mix of anterior and posterior approaches. They found no statistically significant association
between the anaesthetic choice of preoperative airway management technique and postoperative airway
obstruction.
Securing the airway with minimal pharyngeal trauma is particularly important in these patients, as multiple
intubation attempts will add to the surgical prevertebral oedema. In the Manninen study, 71 per cent of thepatients were intubated via fibreoptic intubation12. The presence of cervical myelopathy and decreased neckrange of motion are risk factors for difficult intubation15. Therefore, practitioners should have a low thresholdfor using advanced airway techniques to reduce intubation attempts and thereby minimise pharyngeal trauma
and risk to the cervical spine. The study of patients with rheumatoid arthritis by Wattenmaker and colleagues11
supports the use of fibreoptic intubation to reduce postoperative airway complications.

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Australasian Anaesthesia 2017

Steroid administration is sometimes used in airway surgery to minimise oedema. However, the evidence incurrent literature that steroid prophylaxis is effective in preventing UAO is conflicting. In a small randomised
trial of 66 patients, Emery and colleagues16 found that the administration of dexamethasone (0.3 mg/kg before
incision, 0.15 mg/kg at eight and 16 hours after incision) to patients undergoing two- or three-level anterior
corpectomy procedures did not result in any significant reduction in airway oedema. A more recent study byJeyamohan17 showed a clinical significance in the severity of dysphagia postoperatively and a trend toward
significance in reduction in postoperative airway management when steroids were given, at the expense of thesix-month bone fusion rate. There was no difference in bone fusion rate at 12 months.

Airway management after cervical spine surgery: A review of the literature Figure 1. Recommended cervical spine surgery airway management protocol by the authors,
Nicholson et al
CERVICAL SPINE SURGERY AIRWAY MANAGEMENT PROTOCOL
Does the patient have

• Rheumatoid arthritis

There should be consideration as to whether the institution is an appropriate place for the surgery to be performed
and there is the 24-hour facility to manage re-intubation if necessary. In addition to the anaesthetic factors suchas difficult laryngoscopy grade, the following factors should be considered when deciding to delay extubation:
1. Halo-thoracic brace in situ.

• Predictors of difﬁcult intubation• Signiﬁcant cervical myelopathy

If yes, consider• Awake intubation

2. Obstructive sleep apnoea.

• Fibreoptic intubation

3. Pre-existing respiratory compromise:• Videolaryngoscopy• Severe asthma.
• Chronic obstructive pulmonary disease.
4. Gross facial oedema apparent at end of the case.
Identifying risk factors can be difficult due to the small number of studies, small patient numbers included in
the studies, and lack of prospective data with comparison groups. One consistent factor based on reviews andcase reports appears to be that surgery with the combined anterior-posterior approach is an identifiable highrisk in the development of UAO.

Are there two or more risk
factors for post operative
airway complications

A practice survey of extubation after CSS in Victoria showed that none of the centres questioned used a protocol
and there was significant variation in awareness of all the potential surgical risk factors for the development of
UAO20. Institutions that perform complex cervical surgery should formulate a protocol for the CSS patient toensure that an efficient and safe process is in place, particularly when patients with two or more risk factors
are encountered (table 1). The plan should include a safe extubation protocol as suggested by the Difficult
Airway Society extubation guidelines, with modifications based on the unique challenges of cervical spine
patients1. Increasing the rate of postoperative intubation in high-risk cervical spine patients may affect theavailability of beds for other surgical patients however given the high risk of death from UOA in these patients
it is likely to be justified. We recommend delayed extubation and careful post-extubation monitoring for patients
who have undergone APCS and have two additional risk factors. Figure 1 illustrates an algorithm and figure 2
a cognitive aid that we have developed for patients undergoing CSS.

• C1 or C2 levels involved• Difﬁcult or traumatic intubation• Estimated Blood loss >300 mls• Pre existing myelopathy

Leak testing has been successfully used to determine safety for extubation on postoperative day one. Kwon
and colleagues18 employed a protocol wherein patients undergoing APCS remained intubated overnight
postoperatively. Readiness for extubation was determined by the presence of cuff leak. In that study, risk factors
for delayed extubation included prolonged operative time and higher administered volumes of crystalloid andblood products.
The absence of a leak around the endotracheal tube cuff should preclude extubation. Assessment andconfirmation of a cuff leak before extubation ensures close monitoring of high-risk patients in the post-extubation
period. Extubation over an exchange catheter is another technique that can be considered to minimise the riskof a failed re-intubation attempt. Extubation catheters can be placed through the in-situ tube before removal
and used to re-intubate the patient if necessary19.

• Combined anterior posterior approach• Pre existing pulmonary disease• Prolonged operative time >5 hours• Surgery involving 3 vertebral levels including one C4 or above
If yes, consider• Delayed extubation• Extubation with close monitoring in an ICU setting• Extubation over an airway exchange catheter

Post operative airway obstruction
warning signs• Agitation or restlessness• Difﬁcult talking or altered voice• Difﬁcult or painful swallowing• lnspiratory stridor• Respiratory distress or low oxygen saturations

If yes, consider• Wound haematoma• CSF leak and accumulation• Upper airway oedema• Infection and abscess formation

17

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Australasian Anaesthesia 2017

Figure 2. Cervical Spine Extubation Cognitive Aid

REFERENCES

Combined Anterior &Posterior approach
Procedure

Operating time
>5 hours

Blood Loss
>300mIs

Upper Airway
Odema

Surgery involving
C2 fusion

Preoperative
Myelopathy

3 level surgery
involving I of
C2, C3, C4

1 Risk Factor

Extubate at endof operation

Airway management after cervical spine surgery: A review of the literature 

2 Risk Factors

3 Risk Factors

DelayedExtubation

CONCLUSION
The postoperative management of patients after CSS requires an experienced multidisciplinary team approach.
Therefore, it is important for non-neurosurgical anaesthetists who provide postoperative care for these patients
after hours and all members of the perioperative team (surgeons, anaesthetists, intensive care staff) to be awareof the airway risks associated with CSS and the possibility for UAO. Moreover, it is imperative that the teams
coordinate a safe, appropriate postoperative plan for these patients. Anaesthetists also need to raise awarenessamong the nursing staff in the ICU and, more importantly, on the wards, about the potential for late developmentof oedema. Staff need to recognise the signs of UAO development (stridor, drooling, poor phonation, decreasing
oxygen saturation), call for advanced airway help early, and readily transfer patents to an operating theatre
environment, where experienced practitioners can secure what will be a challenging airway. However, we mustemphasise that these patients should be transferred only if it is safe to do so. If the airway requires emergent
management and it is unsafe to travel, the airway should be managed at the bedside. Ideally these patientsshould only have their surgery at centres with intensive care units that are experienced in managing them.
As awareness of CSS airway risk increases and institutions implement specific protocols based on our review
and guidelines, anaesthetists will be able to identify patients early who are at high risk for post-CSS airway
compromise, employ safe, appropriate management techniques, and potentially avoid significant airway-related
complications. Ultimately, we would envisage an Australasian registry for cervical spine surgery be undertaken
to provide further insight into postoperative airway complications and guide further recommendations to improve
patient safety in those undergoing cervical surgery.

19

1. Popat M, Mitchell V, Dravid R, Patel A, Swampillai C, Higgs A. Difficult Airway Society Guidelines for the management oftracheal extubation. Anaesthesia. 2012;67:318-340.
2. Cook TM, Woodall N, Frerk C. Fourth National Audit Project of the Royal College of Anaesthetists and Difficult Airway
Society. Major complications of airway management in the United Kingdom. Report and Findings. March 2011. From:
http://www.rcoa.ac.uk/system/files/CSQ-NAP4-Full.pdf. Accessed 10 December 2013.
3. Terao Y, Matsumoto S, Yamashita K, Takada M, Inadomi C, Fukusaki M, et al. Increased incidence of emergency airway
management after combined anterior-posterior cervical spine surgery. J Neurosurg Anesthesiol. 2004;16:282-286.
4. Stefanutto TB, Gatt S. Cervical decompression and unexpected soft tissue oedema: case report. Anesth Pain Med.
2012;2:97-100.
5. Morita M, Nobuta M, Naruse H, Nakamura H. Prolonged airway obstruction after posterior occipitocervical fusion: a casereport and literature review. Adv Orthop. 2011;2011:791923.
6. Emery SE, Smith MD, Bohlman HH. Upper-airway obstruction after multilevel cervical corpectomy for myelopathy. J Bone
Joint Surg Am. 1991;73:544-551.
7. Sagi HC, Beutler W, Carroll E, Connolly PJ. Airway complications associated with surgery on the anterior cervical spine.
Spine (Phila Pa 1976). 2002;27:949-953.
8. Fujiwara H, Nakayama H, Takahashi H, Shimizu M, Hanaoka K. [Postoperative respiratory disturbance after anterior cervicalfusion]. Masui. 1998;47:475-478.
9. Epstein NE, Hollingsworth R, Nardi D, Singer J. Can airway complications following multilevel anterior cervical surgery be
avoided? J Neurosurg. 2001;94:185-8.
10. Nandyala SV, Marquez-Lara A, Park DK, Hassanzadeh H, Sankaranarayanan S, Noureldin M, et al. Incidence, risk factors,
and outcomes of postoperative airway management after cervical spine surgery. Spine (Phila Pa 1976). 2014;39:E557-E563.
11. Wattenmaker I, Concepcion M, Hibberd P, Lipson S. Upper-airway obstruction and perioperative management of the
airway in patients managed with posterior operations on the cervical spine for rheumatoid arthritis. J Bone Joint Surg Am.
1994;76:360-365.
12. Manninen PH, Jose GB, Lukitto K, Venkatraghavan L, El Beheiry H. Management of the airway in patients undergoingcervical spine surgery. J Neurosurg Anesthesiol. 2007;19:190-194.
13. Suk KS, Kim KT, Lee SH, Park SW. Prevertebral soft tissue swelling after anterior cervical discectomy and fusion with platefixation. Int Orthop. 2006;30:290-294.
14. Andrew SA, Sidhu KS. Airway changes after anterior cervical discectomy and fusion. J Spinal Disord Tech. 2007;20:577581.
15. Mashour GA, Stallmer ML, Kheterpal S, Shanks A. Predictors of difficult intubation in patients with cervical spine limitations.
J Neurosurg Anesthesiol. 2008;20:110-5.
16. Emery SE, Akhavan S, Miller P, Furey CG, Yoo JU, Rowbottom J, et al. Steroids and risk factors for airway compromise inmultilevel cervical corpectomy patients: a prospective, randomized, double-blind study. Spine (Phila Pa 1976). 2009;34:229232.
17. Jeyamohan S, Kenning T, Petronis K, Feustel PJ, Drazin D, DiRisio DJ. Effect of steriod use in anterior cervical discectomy
and fusion: a randomized controlled trial. J Neurosurg Spine. 2015 23:137-143
18. Kwon B, Yoo JU, Furey CG, Rowbottom J, Emery SE. Risk factors for delayed extubation after single-stage, multi-level
anterior cervical decompression and posterior fusion. J Spinal Disord Tech. 2006;19:389-393.
19. Mort TC. Continuous airway access for the difficult extubation: the efficacy of the airway exchange catheter. Anesth Analg.
2007;105:1357-1362.
20. Nicholson J, Bradley W, Stefanutto T, Downey G. When not to extubate after cervical spine surgery. ANZCA ASM 2014
Poster Presentation.

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Tracheostomy crisis management 

Tracheostomy crisis management
JAMES R ANDERSON, MBBS BMedSci (Hons) GradCertBus
Provisional Fellow, Fiona Stanley Hospital.

Dr James Anderson is an ANZCA Provisional Fellow with an interest in difficult airways. He is a founding
instructor of FSH Tracheostomy Crisis Management workshop.
TRAVIS W LEAHY, MBBS B.Com

Senior Otolaryngology, Head and Neck Surgical Trainee, Fiona Stanley Hospital.
Dr Travis Leahy is a senior Otolaryngology, Head and Neck Surgical Trainee and instructor on the FSH
Tracheostomy Crisis Management workshop. He is interested in human factors during airway crises.
INTRODUCTION
Surgical airways, such as tracheostomy, are infrequently encountered in most anaesthetic practice but represent
a high proportion of airway litigation cases1,2. In New South Wales a catastrophic event involving a tracheostomy
occurs at least every six weeks3. In surgical airway crises there is often not time to wait for treating teams toattend the ward, especially after hours. In most tracheostomy crises an anaesthetist is involved either in theatreor as part of a medical emergency team; as such it is imperative that these and other first responders are
confident in the management of these challenging scenarios.
Surgical tracheotomies have been performed since ancient Egyptian times; however they have not always been
popular. As US President George Washington died from epiglottitis, his physicians refused to perform a
tracheostomy to maintain his airway, as the procedure was known to have unacceptable risks at that time4.
Even with modern techniques, approximately 1 per cent of tracheostomy patients will die due to a complicationof their surgical airway5. Half of all airway-related deaths or brain damage in critical care are a result oftracheostomy complications6.
Complications of tracheostomy occur in 15 per cent of patients and 90 per cent occur greater than a week
after the tracheostomy insertion7. The most common acute complications are listed in table 1 and include
bleeding, dislodgement or obstruction8. Tracheal stenosis is one of the most common chronic complications,occurring in up to two per cent of tracheostomy patients5.
Table 1. Tracheostomy complications6-9
SHORT-TERM

LONG-TERM

Bleeding

Tracheo-innominate fistula

Dislodgement

Tracheoesophageal fistula

Obstruction

Tracheocutaneous fistula

Pneumothorax, pneumomediastinum

Tracheal stenosis

Infection

Tracheomalacia

ANATOMY OF A TRACHEOSTOMY TUBE
There are a few variations to the nature of tracheostomy tubes that can seem complex but after consideration
are not too dissimilar to the variety of endotracheal tubes available (figure 1).
• Cuffed or uncuffed. Cuffed tubes are used for patients requiring ventilation or who are unable to protect
their upper airways due to impaired laryngeal or cough function. The pilot balloon and tubing clearly indicate
the presence of a cuff. Uncuffed tubes are mainly used in chronic upper airway obstruction.

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Australasian Anaesthesia 2017

Figure 1. Shiley-type cuffed tracheostomy tube with fenestration – adapted from J Fong10

Tracheostomy crisis management 

23

TRACHEOSTOMY CRISIS ALGORITHMS
In a threatened surgical airway, immediate interventions can reduce mortality. There is often not time to wait
for a “tracheostomy expert”, such as an ear, nose and throat (ENT) surgeon, to attend. As such all staff caring
for tracheostomy patients must be able to perform safe, simple interventions to restore the airway. The most
likely life threatening tracheostomy complications are bleeding, obstruction and dislodgement of the tube.
Life threatening bleeding greater than 72 hours post-tracheostomy may indicate a tracheo-innominate fistulawhich carries a 90 per cent risk of death. Loss of airway, rather than haemorrhagic shock, is thought to be theprimary cause of arrest in these cases. As such, interventions focus on re-securing the airway as a primary aim
followed by control of haemorrhage. Adjustable flange tracheostomy tubes may be adjusted so that the cuff
sits at the level of the fistula, providing a secure airway and a method of tamponade. Large clots in the airway
can be difficult to remove with airway suction catheters, necessitating larger calibre catheters such as thoseusually procured for rectal suction. Grant has described an algorithm for managing tracheo-innominate fistulas11.
The first steps are cuff hyperinflation and direct pressure, followed by advanced interventions beyond the skill
set expected of first responders.
In the United Kingdom, the National Tracheostomy Safety Project8 (NTSP) is a collaboration of intensive care,anaesthesia, maxillofacial, ENT, resuscitation, nursing and allied health societies. The NTSP algorithm focuseson blocked and dislodged tubes. The NTSP algorithm (figure 2) is designed to be followed by allied health,nursing and medical staff. Initial evaluation comprises assessment of whether the patient is breathing throughthe tracheostomy and/or mouth. Waveform capnography or movement of the Mapleson C circuit bag can assist
in determining whether ventilation is occurring via either route. It is recommended that staff apply oxygen to
the face and tracheostomy, as breathing may occur via either route in the case of a deflated cuff or dislodged
tube.
Removal of any inner cannulae, valves and caps is a simple, safe and reversible intervention, which may restore
the airway in an obstructed tracheostomy tube. A suction catheter is passed beyond the end of the tracheostomy
tube as a “sound” to detect whether the tracheostomy tube is still in the trachea. If the suction catheter canbe passed, then the tube must be in the trachea, and the clinician is prompted to assess other causes for thepatient’s condition. If the suction catheter cannot be passed beyond the end of the tracheostomy tube then
the tube has become dislodged. Deflation of the cuff may restore upper airway or tracheostomy patency if the
tube is partially dislodged. If cuff deflation does not restore an airway then the clinician has demonstrated thatthe tracheostomy tube is no longer providing an airway and may even be obstructing the airway. At this point
the NTSP recommends removal of the tracheostomy tube, a confronting but potentially life-saving intervention.

• Inner cannula. All modern adult tracheostomy tubes have inner cannulae available. These are a major
safety advance, functioning as the “sacrificial anode” in the event of obstruction of the tracheostomy. The
inner tube can simply be removed, restoring patency and without removal of the tracheostomy. Shiley®
tracheostomy tubes are in common use and require an inner cannula be inserted to allow physical connection
to a breathing circuit or bag-valve resuscitator (figure 1).
• Fenestrations. Holes in the superior aspect of the tracheostomy tube are designed to permit speech during
exhalation, as air is directed towards the larynx rather than out the tracheostomy. They are more common
in chronic tracheostomy patients and can be complicated by growth of granulation tissue into thefenestration. Positive pressure ventilation may be possible if a non-fenestrated inner cannula is placed
inside a cuffed fenestrated tracheostomy tube.
• Adjustable flange. Obese patients often have a longer distance from skin to trachea; as such a tracheostomy
tube with a longer anterior-posterior length is required. Adjustable flange tubes enable the length to be
adjusted appropriate for the individual patient. If the locking mechanism releases, the tube can migrate,risking a dislodged tracheostomy.
• Caps and valves. A variety of caps and valves are sometimes used in weaning and to facilitate speech. In
an airway emergency these can be removed to simplify the apparatus.

Following removal of the tracheostomy tube, maintaining patency of the tracheal stoma with tracheostomy
dilators may be possible in a breathing patient. If the patient is not breathing emphasis is placed on performing
familiar (trans-oral) airway manoeuvres first, bearing in mind that this may not be possible if the patient has
upper airway obstruction. While attempting ventilation via oral bag-valve-mask or laryngeal mask airway (LMA),
one must obstruct the tracheal stoma with a gloved hand or other occlusive dressing. When orally intubatinga patient with a tracheal stoma one must be mindful of not catching the endotracheal tube (ETT) on the anteriortracheal defect once the ETT is past the glottis.
In the event of a difficult or impossible upper airway, trans-stoma approaches should be attempted. In ourfaculty’s experience, a size 3 “Classic” LMA placed over the stoma provides the best seal for bag-ventilation.
The NTSP also suggests a paediatric mask, although the semi-rigid paediatric masks in our institution do notseal over a thin neck stoma. If the tracheal stoma needs to be intubated, the use of a flexible fibreoptic scopeis advised to confirm correct placement and position of the airway device. ETTs should only be advanced into
the stoma a short distance past the cuff, to avoid endobronchial intubation.

24Australasian Anaesthesia 2017

Figure 2: Reproduced from McGrath BA, Bates L, Atkinson D, Moore JA. Multidisciplinary guidelines
for the management of tracheostomy and laryngectomy airway emergencies. Anaesthesia. 2012 Jun
26. doi: 10.1111/j.1365-2044.2012.07217, with permission from the Association of Anaesthetists ofGreat Britain & Ireland/Blackwell Publishing Ltd.

Tracheostomy crisis management 

25

INSTITUTION READINESS FOR EMERGENCIESIn a tracheostomy crisis certain equipment is essential and urgently required. For example, if the blocked inner
cannula of a Shiley® tracheostomy tube is removed, a fresh inner cannula of the correct size is required toenable connection to a breathing circuit. Most hospitals have a system in place which ensures that a “tracheostomybox” containing essential equipment (table 2) stays with tracheostomy inpatients at all times, including transfers.
Table 2. Example Tracheostomy Box Contents• Suction catheters (10-14 Fr, 4x each) and rectal tube (40 cm, 40 Fr, 1x)• Yankauer Sucker• Tracheal Dilators• Tracheostomy tubes:• 1x same size and model,• 1x same model, smaller size
• spare inner cannulae (if not included in tracheostomy tube boxes).
• 10 mL syringe• Crisis Algorithm
The algorithm discussed above (figure 2) is unlikely to be remembered in detail by staff. The presence of bedhead signs displaying the algorithm and indicating the nature of the surgical airway are advised for all tracheostomy
patients12.
TRAINING STAFF: TECHNICAL AND NON-TECHNICAL SKILLSThe NTSP recommends training staff in the use of the emergency algorithms and equipment8. There are many
forms this can take. At our institution we have developed a multidisciplinary, one-day, tracheostomy crisis
management course. Doctors, nurses and allied health staff attend the course. The day involves didactic
lectures, hands-on equipment familiarisation and high fidelity simulation. The simulations are performed in a
multidisciplinary team, attempting to replicate those who may attend in real crises.
To achieve a satisfactory (simulated) outcome, we have identified that it is not only the technical knowledge
that needs to be taught. After analysing these multidisciplinary team simulations we have identified a numberof human factors, which are barriers to progression through the algorithm. As more senior staff “arrive” to thesimulated emergency we have seen progress in the algorithm stall and go back to the beginning. We observed
scenarios where nursing or junior medical staff correctly identified a dislodged tracheostomy tube, yet theychose not to remove it, opting to wait for more senior staff to attend whilst hypoxia ensued. While it is notdesirable to remove a tracheostomy unnecessarily, staff should be confident in their actions if they have followed
the algorithm correctly. The algorithm in figure 2 may seem clear to the reader, however in a stressed simulated
environment we witnessed senior anaesthetic team leaders who were cognitively overloaded and unable toprogress in a timely manner. In simulations where a team member was allocated to read the algorithm, andprompt the leader, progress through the scenario was more successful.
There are differing views on the value of inter-professional education13, however we feel that this topic works
well with the mix of staff who would be present in real life. The course at our institution improves staff-reported
confidence in managing surgical airway scenarios and we have anecdotal evidence of ward crises being resolved
due to skills developed at the course.
CONCLUSIONS
Provision of bedside emergency equipment, training staff in the use of emergency algorithms and displaying
NTSP bed-head signs has been shown to reduce the severity and frequency of tracheostomy clinical incidents
in the UK14, which is supported by our experience in Western Australia. We suggest that emergency managementof tracheostomy crises become part of the ANZCA Curriculum and Australasian hospital staff training programs.
REFERENCES

1. Cook TM, Scott S, Mihai R. Litigation related to airway and respiratory complications of anaesthesia: an analysis of claims
against the NHS in England 1995-2007. Anaesthesia. 2010;65(6):556-563.
2. Woodall NM, Cook TM. National census of airway management techniques used for anaesthesia in the UK: first phase of
the fourth national audit project at the Royal College of Anaesthetists. Br J Anaesth. 2011;106(2):266-271.
3. Clinical Safety QaGB. Safety notice 018/09 reducing incidents involving tracheostomy tube care [Internet]. NSW Health,
2009; From: http://www.health.nsw.gov.au/sabs/Documents/2009-sn-018.pdf. Accessed 1 June 2017.
4. Morens DM. Death of a president. N Engl J Med. 1999;341(24):1845-1849.
5. Goldenberg D, Ari EG, Golz A, Danino J, Netzer A, Joachims HZ. Tracheotomy complications: a retrospective study of1130 cases. Otolaryngol Head Neck Surg. 2000;123(4):495-500.

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6. Cook TM, Woodall N, Harper J, Benger J, Fourth National Audit P. Major complications of airway management in the UK:
results of the Fourth National Audit Project of the Royal College of Anaesthetists and the Difficult Airway Society. Part 2:
intensive care and emergency departments. Br J Anaesth. 2011;106(5):632-642.
7. Das P, Zhu H, Shah RK, Roberson DW, Berry J, Skinner ML. Tracheotomy-related catastrophic events: results of a national
survey. Laryngoscope. 2012;122(1):30-37.
8. McGrath D, Moore J, Bates L. National tracheostomy project [Internet]. 2014; From: http://www.tracheostomy.org.uk/
Templates/Resources.html. Accessed 2017.
9. Schindler JS. Tracheotomy. In: Flint PW, editor. Cummings otolaryngology. 6 ed. Philadelphia: Elsevier, 2015. pp. 95-103.
10. Fong J. Fenestrated cuffed curved double lumen tube with unfenestrated inner tube [Internet]. The Chinese University ofHong Kong, 2008; From: https://www.aic.cuhk.edu.hk/web8/Tracheostomy%20tube.htm. Accessed 2017.
11. Grant CA, Dempsey G, Harrison J, Jones T. Tracheo-innominate artery fistula after percutaneous tracheostomy: threecase reports and a clinical review. Br J Anaesth. 2006;96(1):127-131.
12. McGrath BA, Bates L, Atkinson D, Moore JA, National Tracheostomy Safety P. Multidisciplinary guidelines for the
management of tracheostomy and laryngectomy airway emergencies. Anaesthesia. 2012;67(9):1025-1041.
13. Nicol P. Interprofessional education for health professionals in Western Australia: perspectives and activity. Sydney:
University of Technology, 2013.
14. McGrath BA, Calder N, Laha S, Perks A, Chaudry I, Bates L, et al. Reduction in harm from tracheostomy-related patient
safety incidents following introduction of the National Tracheostomy Safety Project: our experience from two hundred andeighty-seven incidents. Clin Otolaryngol. 2013;38(6):541-545.

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27

Breathing/ Ventilation
Perioperative lung protective ventilation
Simon Wong, Ajay Kadaliparambil, Hergen Buscher
Transnasal Humidified Rapid Insufflation
Ventilatory Exchange (THRIVE) techniquein paediatric anaesthesia practiceSusan Humphreys, Derek Rosen, Andreas Schibler

Perioperative lung protective ventilation

31

Perioperative lung protective ventilation
SIMON WONG, BSE (Hon), MBBS, MSc (Hon), MPH

Department of Intensive Care Medicine, St Vincent’s Hospital, Sydney; Conjoint Associated Lecturer, University
of NSW and Honorary Clinical Tutor, University of Wollongong.

Dr Wong is an Advanced Trainee in Intensive Care Medicine with a special interest in medical education, patient
safety, and extracorporeal life support.
AJAY KADALIPARAMBIL, MBBS, MD

Department of Intensive Care Medicine, St Vincent’s Hospital, Sydney.

Dr Kadaliparambil is a Provisional Fellow in Intensive Care Medicine with a special interest in mechanicalventilation and sepsis.
HERGEN BUSCHER, FCICM, DEAA, EDIC

Senior Staff Specialist, Department of Intensive Care Medicine, St Vincent’s Hospital, Sydney; and SeniorLecturer, University of NSW.

Dr Buscher is a Senior Staff Specialist in Intensive Care Medicine with a special interest in extracorporeal life
support, and heart and lung transplantation.
INTRODUCTION
One of the most important developments in the use of mechanical ventilation is the recognition that, while itprovides vital oxygenation to the body, it can adversely contribute to morbidity and mortality of the patient via
a constellation of mechanisms collectively known as Ventilator Associated Lung Injury (VALI). These include,
but are not limited to, barotrauma and volutrauma, caused by exposure to high inflation pressures for prolonged
periods of time, and atelectrauma, sheer stress and strains caused by Repetitive Alveoli Collapse and Expansion(RACE), all of which results in biotrauma, the up-regulation of inflammatory mediators and cytokines leading
to both a localised (via recruitment of neutrophils, increased alveolar-capillary permeability, pulmonary oedema,
pulmonary fibrosis) and systemic responses and a significant contributor to multiple organ failure1. Significant
biomarkers include vWF, IL6, IL8, PAI-1 and Protein C1,2. Macroscopically, damage to lung parenchyma wasdemonstrated with high driving pressures when Webb subjected rat lungs to either 14 cm or 45 cm of water,
leading to significant oedema and haemorrhage3. Dreyfuss et al reproduced the experiment again in 1998 withsimilar results4.
These observations lead to the notion of protecting the lungs from further injury not only by treating the underlying
disease but also by optimising ventilator settings. Recognised as early as 1744 when John Fothergill, describing
a case of mouth-to-mouth resuscitation by William Tossach of a coalminer, stated that “…a pair of bellows
might possibly be applied with more advantage in these cases, than the blast of a man’s mouth. [however]blowing…would seem preferable to the other [because] the lungs of one man may bear, without injury, as great
force as those of another man can exert; which by the bellows cannot always be determine”5. Such observations
were taken to the extremes in a demonstration by d’Etioles in 1834. By showing “the crude use of bellows as
a mechanism of positive pressure ventilation resulted in pneumothoraces and eventual death”, it led to thedetrimental removal of mouth-to-mouth and positive pressure ventilation as a form of medical treatment by theRoyal Humane Society in 18376.
ARDS
Acute Lung Injury (ALI) and its associated phase Acute Respiratory Syndrome (ARDS) was first used by Ashbaugh
et al in a 1967 Lancet paper to describe a cohort of 12 critically ill patients suffering from acute respiratory
failure7. Its diagnostic criteria has varied over the years, involving a combination of factors such as oxygenation,
radiological changes and impaired respiratory mechanics (including but not limited to changes in pulmonary
compliance and pulmonary capillary wedge pressure (PCWP))8. In 1994, Bernard et al definition of ALI wasformally adopted by the American-European Consensus Conference (AECC) as having bilateral pulmonary
infiltrates on chest radiography, a PaO2/FiO2 ratio <300 for ALI and <200 for ARDS, and a PCWP <18 mmHg
without left atrial hypertension9. While it had many limitations, it was the first step to objectivity and worldwide
standardisation. The current Berlin Definition published in 2012 by a consensus panel of experts refined thedefinition of ARDS by eliminating the term ALI, to include a minimum amount of positive end expiratory pressure(PEEP) and to exclude the PCWP criteria and bilateral infiltrates that cannot be fully explained by cardiac
causes10. This recent standard is endorsed by the European Society of Intensive Care Medicine, the American
Thoracic Society and the Society of Critical Care Medicine.

32Australasian Anaesthesia 2017

Berlin Definition10: ARDS is an acute diffuse, inflammatory lung injury, leading to increased pulmonary vascularpermeability, increased lung weight, and loss of aerated lung tissue…[with] hypoxemia and bilateral radiographic
opacities, associated with increased venous admixture, increased physiological dead space and decreased
lung compliance. Meeting all the following criteria:• Within one week of a known clinical insult or new or worsening respiratory status.
• Radiographically confirmed bilateral opacities.

• Not fully explained by effusions, lobar/lung collapse or of cardiac failure in nature.
The severity of ARDS can be classified into:• Mild: PaO2/FiO2 200 to 300 mmHg (previous ALI).
• Moderate: PaO2/FiO2 100 to £200 mmHg.

• Severe PaO2/FiO2 £100 mmHg.

Importantly ARDS describes a syndrome with a multitude of different aetiologies including direct injury to thelung for example by trauma or infections as well as indirect organ involvement during sepsis, pancreatitis andmany other conditions causing multi-organ failure. It is because of such diverse aetiology that any standardised
treatment regime directed for ARDS needs to be validated against multiple patient populations. The 2016 theglobal LUNGSAFE trial11 included more than 12,000 critically ill and mechanically ventilated patients and foundthat almost 25 per cent had ARDS according to the Berlin definition. The criteria were met typically during thefirst 48 hours of mechanical ventilation. However, it was only recognised by the treating physicians in 51 (mild)
to 79 (severe) percent of the cases. The hospital mortality remained high and increased with severity (35, 40
and 46 per cent for mild, moderate and severe disease respectively). Pneumonia (60 per cent), extrapulmonary
sepsis (16 per cent) and aspiration (14 per cent) were the most common risk factors.
STRATEGIES TO REDUCE VALI
Low tidal volume (TV)The ARDSNET trial in 200012 showed that low tidal volume ventilation in ARDS has mortality benefit. It entails
ventilating with TV of 6 ml/kg of predicted body weight and tolerating hypercapnoea (permissive hypercapnoea).
This is mainly due to the fact that in ARDS there is loss of functional alveoli from the underlying disease process,leaving very few ventilatable alveoli. Gattinoni et al13 coined the term “baby lung” as CT studies of lungs in
ARDS showed normally ventilated lung dimensions of a five- to six-year-old.
Low plateau pressure (Pplat)
Plateau pressure ventilation i.e. <30 cm H2O is considered low Pplat. It is measured by an end inspiratory pause.
High Pplat contributes to barotrauma and volutrauma of alveoli and worsens intrapulmonary inflammation12.
Low driving pressures (∆P)
∆ P can be calculated as (Pplat – PEEP). It may be a much better variable than tidal volume in ARDS as the lungcompliance is poor. Amato14 proposed that driving pressure is the key variable in optimisation of ventilation in
ARDS. His analysis of previous nine RCTs has shown that low driving pressures has mortality benefit but further
studies are needed to quantify low driving pressure.
PEEP (Positive End Expiratory Pressure)
In patients with ARDS, the lung comprises areas of aeration and areas of alveolar collapse, the latter producing
intrapulmonary shunt and hypoxemia. Low lung volume ventilation can aggravate lung collapse and potentially
produce lung injury through shear stress at the interface between aerated and collapsed lung and because ofrepetitive opening and closing of alveoli (atelectrauma).
PEEP prevents de-recruitment of alveoli at the end of each expiration thus maintaining functional residual
capacity (FRC). Patients with ARDS often receive PEEP of 5 to 20 cm of water. Higher PEEP levels may improveoxygenation but may also cause circulatory depression and lung injury from over distention. Thus, optimal
PEEP is that which prevents atelectrauma and at the same time prevents over distension of normal alveoli – itneeds to be individualised to the patient’s respiratory mechanics. How to set “optimal PEEP” remains controversial.
The following summarises some techniques suggested:
Above the lower inflection point
Setting PEEP above the lower inflection point (LIP) on the inflation static Pressure-Volume curve markedly
improves PaO2. However, this inflection point under static conditions is challenging to obtain in a clinical setting.
Titrating to trans-pulmonary pressure (TPP)
Oesophageal pressure (Poes) is used to estimate pleural pressure, which is then used to estimate TPP. Becauseof reduced chest wall compliance, oedema or abdominal distension, Poes is often elevated in patients with ARDS
and the calculated TPP can be negative at end-expiration. This may indicate closed or compressed airways oratelectatic lung. Thus, PEEP could be increased until transpulmonary pressure becomes positive at endexpiration to keep the airways open. The usefulness of Poes in guiding PEEP was shown in the EPVent study15.

Perioperative lung protective ventilation

33

It did prove that individualising PEEP based on TPP at end of expiration (PLexp) improved oxygenation and lungcompliance but further evidence is required before it can be widely adopted.
Lung volume measurement using N wash-out/wash-in technique
Direct measurement of lung volume allows the measurement of EELV (end expiratory lung volume) at each
PEEP level and strain i.e. change in lung volume relative to FRC. Comparison of the measured lung volume
with expected change in lung volume for the same change in pressure gives a reasonable estimate by thebedside of the amount of recruitment occurring when changing PEEP16.
Lung ultrasoundAssessing Lung re-aeration in response to PEEP with lung ultrasound is an emerging technique. Bouhemad etal17 have used a specific score based on the repeated examination of six lung regions in each lung, before andafter increasing PEEP. More evidence needed to assess reproducibility and feasibility but its non-invasive nature
makes this modality very attractive.
Oxygenation response to PEEP
A randomised controlled trial on titration of PEEP according to the oxygen concentration alone did not reveal
a mortality benefit18. Since the degree of hypoxia is also determined by the presence of intracardiac andintrapulmonary shunt, haemodynamics and poorly recruitable lung areas, the oxygen concentration required
at a given point in time will only give limited information on the “optimal PEEP”.
Prone ventilation
Prone ventilation was first described in 1976. Initial studies showed improved oxygenation without any outcome
benefit. PROSEVA19, a multicentre RCT conducted in France and Spain over five years showed mortality benefit,
without an increase in adverse outcomes, from proning in early ARDS for about 16 hours a day.
Advantages:
1. Increasing end expiratory lung volume due to recruitment of dorsal lung.
2. Transpulmonary pressure along the ventral-to-dorsal axis is more homogeneously distributed in theprone position than in the supine position – thus recruiting collapsed dorsal lung and reducing the Pplat
and PEEP20.
3. Regional changes in ventilation associated with alterations in chest-wall mechanics.
4. Reduces overinflated lung areas while promoting alveolar recruitment and thus prevents VALI21.
Disadvantages:
1. Trained staff needed to minimise complications – endotracheal tube (ETT) obstruction/dislodgement,
drain dislodgement, and pressure injuries.
2. Difficult ETT suctioning.
3. Feed intolerance.
4. Difficult to perform procedures if needed.
Recruitment manoeuvres
A recruitment manoeuvre is defined as the dynamic process of an intentional transient increase in transpulmonarypressure aimed at opening unstable airless alveoli. It is used as a third way of increasing the end-expiratory
lung volume beyond what is possible to achieve with PEEP or prone ventilation. In general, lung units can be
kept open by airway pressures that are lower than those required to open them leading to the concept ofrecruitment using periodic higher pressure manoeuvres with moderate levels of PEEP to maintain alveolar
patency. Nature and extent of the lung injury affect the success rate and it is generally agreed that not all
inflamed lung areas can be recruited while overdistention can damage relatively normal areas in the process.
Many techniques have been described to achieve alveolar recruitment but no clinically relevant benefits havebeen demonstrated in large clinical trials so far.
APRV (airway pressure release ventilation)
In APRV (also called bi-level) is a newer mode of ventilation where spontaneous breathing is possible in addition
to time-triggered and cycled biphasic pressure levels (high and low CPAP). Conventional time cycling provides
prolonged inspiratory pressure aimed at recruiting slow time constant air spaces while minute ventilation andCO2 clearance are augmented by brief (1-1.5 seconds) periodic cycling to lower level of CPAP (figure 1).

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Figure 1. Pressure-time curve in APRV-ventilation

Perioperative lung protective ventilation

35

Inhaled pulmonary vasodilators
When the lung experiences regional differences in ventilation, the hypoxic pulmonary vasoconstriction reflex
attempts to improve the subsequent ventilation/perfusion (V/Q) mismatch by reducing perfusion to regions of
low oxygen tension. However, in severe inflammatory states such as ARDS and otherwise, inflammatory
cytokines, and bacterial endotoxins, for example, which act as vasodilators, may overwhelm such reflex leading
to increase perfusion to undesirable low oxygen tension regions.
The rationale of using pulmonary vasodilators is to essentially out compete the inflammatory vasodilators andthus improve V/Q mismatch and hypoxemia. Inhaled vasodilators will preferentially reach the well-ventilated
regions and therefore only exert its vasodilating effects to those areas, decreasing shunting and improving V/Qmismatch. Two inhaled vasodilators are commonly used: nitric oxide (NO), via cyclic GMP and its positive
actions on myocin light chain phophatase, and inhaled epoprostenol (prostacyclin), via the increase of cyclic
AMP and its inhibition of myocin light chain kinase, ultimately leading to smooth muscle relaxation. It is expensive,
requires specialised equipment for delivery, and it may carry a risk of pulmonary haemorrhage, nitrogen dioxide
toxicity and methaemoglobinaemia.
Oxygenation does seem to improve against placebo26. However, a Cochrane analysis including 14 RCTs witha total of 1303 adult and paediatric participants showed that while there was improvement in oxygenation in
the first 24 hours, there was no statistically significant effect on overall mortality (40.2 per cent versus 38.6 percent)27.

Potential advantages may include:
1. Improved oxygenation at similar or lower airway pressures compared to conventional ventilation.
2. Improve V/Q matching due to better dependent aeration.
3. Less need of sedation and helps promotes spontaneous ventilation.
4. Less haemodynamic compromise.
An ongoing large multicentre RCT (ClinicalTrials.gov: NCT01862016) will examine the efficacy and safety ofearly spontaneous breathing in ARDS while on APRV.
HFOV (High-frequency oscillatory ventilation)
Lungs are held inflated to maintain oxygenation, and carbon dioxide is cleared by small volumes of gas moved
in and out of the respiratory system at 3-15 Hz. This action is thought to minimise the repeated process of
opening and collapsing of lung units that causes the secondary lung damage during mechanical ventilation.
Recent evidence from OSCAR22 and OSCILLATE23 trials show no outcome benefit and potential harm in ARDS
from HFOV compared to conventional ventilation.
Controlled versus spontaneous mechanical ventilation
Complete inactivity of the diaphragm results in disuse atrophy and muscle weakness, referred to as ventilatorinduced diaphragmatic dysfunction (VIDD), after as little as 18-24 hours of mechanical ventilation. This cancontribute to weaning difficulty and poorer prognosis. Spontaneous ventilation has a role only in mild-moderate
ARDS based on animal studies. Further evidence is required to assess its safety and effect on outcome. Contrary
to this, in severe ARDS muscle relaxants are beneficial. The ACURASYS study24 demonstrated that the earlyadministration of cisatracurium for the first 48 hours of ARDS reduced adjusted 90-day mortality and barotrauma,
and also increased ventilator free days without increasing muscle weakness. Proposed mechanisms include
minimising VALI by minimising the transpulmonary pressure changes during assisted breathing and reducing
patient–ventilator asynchrony, decreasing oxygen consumption of respiratory muscles, and reducing pulmonary
and systemic inflammation.
Extra corporeal membrane oxygenation (ECMO) and extracorporeal CO2 removal (ECCOR)
Veno-venous ECMO may be needed to manage severe hypoxaemia and hypercarbia in refractory ARDS.
Evidence from the CESAR trial25 does establish ECMO as a valid support option but further evidence is required
to determine benefit. It does help to prevent VALI by adhering to lung protective ventilation principles in severe
ARDS with oxygenation and ventilation taken care of by ECMO. Advances in the technology have led to awidespread adoption but the invasiveness and significant risks including haemorrhagic and thromboembolic
complications are still to be overcome.
ECCOR is a method which targets CO2 clearance only. This allows relatively low extracorporeal blood flow
(about 0.5 to 1 l/min as compared to 3-5 l/min in ECMO) and is therefore believed to be less invasive. By
achieving CO2 removal independent of ventilation, it may allow the safe application of low tidal volume andthereby avoid VALI. Two large randomised control trials are currently investigating this modality (REST(ClinicalTrials.gov: NCT02654327) and SUPERNOVA (ClinicalTrials.gov: NCT02282657)).

LUNG PROTECTIVE STRATEGIES IN DIFFERENT SETTINGSARDSThe landmark ARDSNET trial12 published in 2000 was the first multicentre RCT comparing traditional, with low
volume ventilation, strategies. Previously, traditional ventilation strategies targeted a tidal volume between 1015 ml predicted body weight (PBW) with aims to reach normocarbia and subsequent correction of acidemia
as quickly as possible, often at the expense of VALI. It concluded that lower tidal volumes significantly improved
both primary and secondary end points. A serials of follow-up trials, in particular the assessment of low tidal
volume and elevated end-expiratory volume to obviate lung injury (ALVEOLI)18, LOVS28 and EXPRESS29 aimed
to identify the effects of high and low PEEP settings. Separately, while all three trials showed no difference inprimary end point of mortality, there were significant benefits of higher PEEP in the management of hypoxia,
the use of rescue therapies, ventilator free days, ICU stays and multi-organ failure days. A meta-analysis of the2299 patients in these three trials by Briel et al found that while there were statistically significant differences
in mortality between high and low PEEP in patients with moderate to severe ARDS, it did not apply to mild
ARDS30. The ARIES31 trial further suggested that PEEP set just above the lower inflection point of the pressurevolume curve conferred benefit.
There is good evidence for the following strategies:• PEEP: 5-15 cmH2O based on degree of severity.
• No clear evidence of how to determine optimal PEEP.
• Tidal volume: Less than or equal to 6 ml/kg of predicted body weight.
• Plateau pressures: Aim for plateau pressures less than 30 cmH2O.
• Driving pressure: A driving pressure of less than 14 cmH2O is associated with reduced mortality.
• Paralysis: In severe ARDS for the initial 48 hours.
• Prone ventilation: Initiate early in severe ARDS for at least 16 hours a day if tolerated.
The following strategies have been suggested with less evidence:• Though non-invasive ventilation (NIV) has been used in ARDS, there is no strong evidence for its benefit
and is in fact associated with higher mortality.
• Volume and pressure controlled modes or APRV have been suggested with no clear superiority.
• Recruitment manoeuvres: Further evidence required on best technique and effect on outcome.
• Permissive hypercapnia: Except in case of TBI or raised ICPs due to any cause, hypercapnia is permissive
if pH is greater than 7.20.
• FiO2: Titrate to SpO2 90-95 per cent.
• ECMO/ECCOR: If refractory to above mentioned ventilator strategies and adjuncts i.e. remains hypoxic
with SpO2 <90 per cent or hypercarbia with pH <7.15, there may be role for ECMO or ECCOR respectively.
Patient may need to be retrieved to an ECMO centre for specialised care.
LPVS have also been assessed in a number of perioperative settings to evaluate changes in gas exchange andlung physiology (table 1). In addition some evidence supports its use based on clinical relevant endpoints:

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Australasian Anaesthesia 2017

Non-cardiac surgery
The successful adoption of lung protective ventilation strategy (LPVS) found from the ARDSNET trial12 seems
to be equally applicable for non-cardiac surgical patients. In 2013, Futier et al32 demonstrated in a randomised
trial involving 400 abdominal surgical patients that LPVS (VT=6-8 ml/kg; PEEP=6-8 cmH2O) significantly reduced
the likelihood of non-invasive ventilation or intubation for acute respiratory failure (5 per cent versus 17 per
cent; p=0.001). Furthermore, secondary outcomes such as length of stay was also favourable compared to
non-protective ventilation (VT = 10-12 mL/ kg; PEEP = 0 cm H2O). In another prospective randomised open-label
trial, Severgnini et al33 compared protective ventilation measures versus a standard ventilation strategy in 56
abdominal surgical patients, also finding improved respiratory function and a reduction of the modified ClinicalPulmonary Infection Score.
A Cochrane review in 2014 examining a total of 12 studies with a total of 1012 surgical patients showed mixed
results using intraoperative LPVS. There were statistical improvements in post-operative pneumonia rates, needfor postoperative ventilation (invasive and non-invasive), but no consistent difference in 30-day mortality,
pneumothorax, hospital and ICU length of stay34.

Type ofsurgery

Table 1. Perioperative protective lung ventilation(adopted from Coppola et al with modifications40)
Type ofsurgery

AuthorYear

VT (ML/KG)

Patient

Recruitment
manoeuvres

PEEP (CMH2O)

Case Control Case Control Case

Control

OutcomeBenefit?

Abdominal Wrigge41

2000 39

6/6

15

0/10

0

N

N

Inflammatory No
biomarkers

Wrigge422004 30

6

12-15

10

0

N

N

Inflammatory No
biomarkers,
PaO2

Determann43 2008 40

6

12

10

0

N

N

Inflammatory No
biomarkers

Weingarten44 2010 40

6

10

12

0

Y

N

PaO2,

Yes

Respiratory
mechanics,
inflammatory
biomarkers
2012 101

6

12

5

5

N

N

Dynamic
spirometryNo

Severgnini46 2013 56

7

9

10

0

Y

N

CPIS,
respiratory
function

Yes

Treschan45

AuthorYear

Recruitment
manoeuvres

PEEP (CMH2O)

OutcomeBenefit?

Control

6-8

10-12

6-8

0

Y

N

Respiratory
Yes
complications,
Hospital LOS

900

<8

<8

12

≤2

Y

N

Respiratory
Yes
complications

Wrigge422004 32

6

12-15

10

0

N

N

Inflammatory No
biomarkers

Schilling49

2005 32

5

10

0

0

N

N

Inflammatory Yes
biomarkers

Michelet50

2006 52

5

9

5

0

N

N

Inflammatory Yes
biomarkers,
respiratory
mechanics,
LOMV

Yang51

2011 100

6

10

5

0

N

N

PaO2,

Futier2013 400

PROVHILO48 –ThoracicVT (ML/KG)

Patient

Case Control Case Control Case
47

Cardiac surgery
The multitude of studies applying LPVS to cardiac surgery patients have shown either non-inferior or improved
outcomes in terms biochemical inflammatory markers, lung mechanics, hospital and intensive care unit (ICU)
length of stay (table 1). Authors have noted that any improvements in inflammatory markers due to LPVS may
not be detected, resulting in difficulty in demonstrating statistical significance, due to the high backgroundlevels induced by the invasive nature of cardiac surgery and the use of cardiopulmonary bypass circuits. A
single centre RCT study by Sundar et al35 of 149 patients, showed that while the primary endpoint of time to
extubation post-surgery were similar in both groups, LPVS had better secondary outcomes with a higher
proportion of patients extubated at six hours and lower rates of reintubation.
Non-surgical/non-ARDS
LPVS also seem beneficial for out of hospital cardiac arrests (OOHCA) patients. In a cross sectional retrospective
study, Sutherasan et al36 found that higher plateau pressures and tidal volume with lower PEEP were associatedwith adverse outcomes. More recently, Beitler et al37 showed that LPVS independently improved neurologicaloutcomes, requiring less ICU and ventilator days for such patient population. A multicentre RCT38 found that
LPVS increased the number of eligible and actual donors whom were declared brain dead. Fuller et al39 performeda systematic review in 2013 to evaluate the benefit of LPVS in non-ARDS patients, yielding one RCT and 12
observational studies. While the single RCT showed promise of benefit for LPVS, with decreased baseline lunginjury scores and plasma IL-6 levels, no firm conclusions could be found due to the heterogeneity of the patient
populations, and thus recommended a further large scale multicentre RCT specifically targeting the pre/nonARDS patient population.

37

Perioperative lung protective ventilation

Yes

Respiratorycomplications
Cardiac

Chaney52

2000 25

6

12

5

5

N

N

Respiratory
mechanics

Yes

Koner53

2004 44

6

10/10

5

0/5

N

N

Inflammatory No
biomarkers,
LOS,
respiratory
mechanics

Zupancich54 2005 40

8

10-12

10

2-3

N

N

Inflammatory Yes
biomarkers

Reis552005 62

4-6

6-8

10

5

Y

N

Inflammatory Yes
biomarkers

Wrigge56

2005 44

6

12

9

7

N

N

Inflammatory Yes
biomarkers

Sundar35

2011 149

6

10

5

4.9

N

N

LOMV,
reintubation

Yes

Studies are grouped according to specific surgical settings: abdominal, thoracic and cardiac surgery.
Case: lung-protective ventilation group; Control: conventional ventilation strategy group. Outcome results
always refer to the case group. In the Thoracic surgery section, ventilatory parameters refer to one-lungventilation. *PEEP levels set according to ARDSNET strategy. VT: tidal volume; PEEP: positive end-expiratory
pressure; MV: mechanical ventilation; FRC: functional residual capacity; IL: interleukin; TNF: tumour necrosis
factor; IFN: interferon; pts: patients; PaO2: partial pressure of oxygen in arterial blood; LOS: length of stay.
CONCLUSION
Various lung protective strategies have been introduced into clinical practice over the past 20 years. Goodevidence now exists for many of them, in particular for patients with the most severe form of lung injury (ARDS).
There is mounting evidence suggesting that similar strategies are also beneficial in non-ARDS patients. At thesame time the clinical recognition of ARDS is less than optimal and lung protective ventilation is not always
adopted in routine clinical practice.
There is undoubtedly a delay in translating results and conclusions to clinical practice over the past two decades.
While a retrospective multicentre cross sectional study with post cardiac arrest patients found a statisticallysignificant decrease in VT over time (2004: 9.0 ml/kg, 2010: 6.7 ml/kg PBW, p <0.001) suggesting relatively good
penetration and translation36, Needham et al57 found only 41 per cent of the 6240 settings for 485 patients wereadherent to LPVS. 2016 the European Society of Intensive Care Medicine (ESICM) endorsed LUNG-SAFE
study11 (involving 459 ICUs across 50 countries) concluded that “less than two-thirds of patients with ARDS

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Australasian Anaesthesia 2017

received a tidal volume of 8 mL/kg or less of predicted body weight. The adoption of prone ventilation (8 percent) and neuromuscular blockade (22 per cent) was even poorer.
Various reasons have been proposed to explain the slow transition, including citing lack of evidence for somepatient population, ventilator asynchrony, psychological barriers to use lower than usual settings, complexityof protocol, lack of ongoing active monitoring and adjustment as the patient’s respiratory compliance improves,which is even evident at tertiary centres. Understanding and subsequent addressing of such barriers is importantbecause it is estimate that for every 1 ml/kg increase above LPVS protocol recommendations there is up to 18
per cent increase in mortality57.
Future research should increase the evidence of various measures of lung protection in ARDS and target theapplicability of these measures in non-ARDS patients. In the meantime, clinical practice needs to adopt provenstrategies more consistently to avoid harm.
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55. Reis MD, Gommers D, Struijs A, Dekker R, Mekel J, Feelders R, et al. Ventilation according to the open lung concept
attenuates pulmonary inflammatory response in cardiac surgery. Eur J Cardiothorac Surg. 2005;28(6):889-895.
56. Wrigge H, Uhlig U, Baumgarten G, Menzenbach J, Zinserling J, Ernst M, et al. Mechanical ventilation strategies andinflammatory responses to cardiac surgery: a prospective randomized clinical trial. Intensive Care Medicine.
2005;31(10):1379-1387.
57. Needham DM, Colantuoni E, Mendez-Tellez PA, Dinglas VD, Sevransky JE, Dennison Himmelfarb CR, et al. Lung protective
mechanical ventilation and two year survival in patients with acute lung injury: prospective cohort study. BMJ.
2012;344:e2124.

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Transnasal Humidified Rapid Insufflation Ventilatory Exchange (THRIVE) technique in paediatric anaesthesia practice 

43Transnasal Humidified Rapid Insufflation Ventilatory Exchange(THRIVE) technique in paediatric anaesthesia practice
SUSAN HUMPHREYS, MBBCH, FFARCSI, FANZCA

Staff Specialist, Paediatric Critical Care Research Group University of Queensland; and Department of PaediatricAnaesthesia, Lady Cilento Children’s Hospital, South Brisbane, Queensland.

Dr Susan Humphreys is a paediatric anaesthestist with a research interest in oxygenation techniques, paediatricairway management, lung mechanics and was the ANZCA 2017 Annual Scientific Meeting ePoster prize recipientfor “THRIVE in children, a randomised controlled trial”.
DEREK ROSEN, MBBS, DRANZCOG, FANZCA

Staff Specialist, Paediatric Critical Care Research Group University of Queensland; and Department of PaediatricAnaesthesia, Lady Cilento Children’s Hospital, South Brisbane, Queensland.
Dr Derek Rosen is a paediatric anaesthetist and the medical lead of the acute pain service at LCCH with aninterest in airway surgery and TIVA (total intravenous anaesthesia).
ANDREAS SCHIBLER, FCICM, FMH

Senior Staff Specialist, Paediatric Critical Care Research Group University of Queensland; and Intensive Care
Medicine, Lady Cilento Children’s Hospital, South Brisbane, Queensland.

Associate Professor Andreas Schibler is a paediatric intensivist with a research focus in ventilation management
and cardiac intensive care and is the medical lead of the Paediatric Critical Care Research Group at Lady Cilento
Children’s Hospital.
INTRODUCTION
The insufflation of heated and humidified high fresh gas flows via nasal cannulae, exceeding the inspiratory
demand of a patient during spontaneous breathing or used during the apnoeic phase for intubation, has emerged
as a novel addition to anaesthetic practice, particularly for patients with physiologically or anatomically challenging
airways1, 2. There is increasing evidence for its therapeutic use in acute respiratory failure, as an aid topreoxygenation, in the management of the difficult airway and during bronchoscopy3. This review explores the
proposed mechanisms of action of nasal high flow (NHF) and transnasal humidified rapid insufflation (THRIVE)
in the paediatric population, potential clinical applications, and outlines recommendations made on applied
flow rates and use with total intravenous anaesthesia (TIVA).
CURRENT USE OF NASAL HIGH FLOW IN PAEDIATRICS
High flow nasal oxygen been used in both adult and neonatal intensive care units for many years4. The same
technology has recently been adapted for use in clinical anaesthesia during apnoeic oxygenation (THRIVE) andin spontaneously breathing patients (NHF)1, 5, 6. This concept of heated, humidified high flow oxygen therapy
was first introduced in paediatric intensive care as a method of relieving sleep related pharyngeal obstruction
by the compression of air delivered via a nasopharyngeal tube7. It then became an alternative to continuous
positive airway pressure (CPAP) to support babies with respiratory distress syndrome or apnoea of prematurity
and is now commonly used as a form of non-invasive respiratory support for infants, children and adults withacute hypoxic respiratory failure7-9.
NHF oxygen therapy is an innovative modality that has several advantages compared to other standard oxygentherapies. Observational studies in emergency departments and intensive care units have shown that infants
with bronchiolitis respond to NHF therapy by reducing their heart and respiratory rates within the first few hoursof treatment10, 11. Improvement in these vital signs discriminates reliably between responders and non-responders
to NHF therapy and subsequently reduces the need for intubation11, 12. NHF therapy can be used very early inthe disease process and is well tolerated by children thereby avoiding the need for sedation. NHF can also be
safely used in non-critical care settings such as the general wards and lower acuity areas of the emergency
department. The risk of decompensation requires very close monitoring in a setting that is equipped for rapid
implementation of invasive ventilatory support. Discharge from the paediatric intensive care unit and transfer
to a paediatric ward can be considered only once the continued improvement of these children is well underway. The ward admitting the child will nevertheless need to provide close surveillance and be equipped with asystem for early detection of respiratory failure or signs of decompensation9.
The available high-flow nasal cannula sets are open systems with leaks at the mouth and nose and can beused with nasal prongs of varying sizes. It is recommended for safety to use prongs which are no greater thanhalf the diameter of the nares as the degree of leak at the nares prong interface is important. The NHF systemallows a flow rate range of 1-70 L/min, with relative humidity of 100 per cent at a recommended delivery
temperature of 37ºC.

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Australasian Anaesthesia 2017

PHYSIOLOGICAL EFFECTS OF NHF
Several mechanisms have been proposed to explain the physiological effects of NHF in children. These include
flow dependent flushing of the oropharyngeal dead space facilitating carbon dioxide clearance and alveolar
ventilation. High flow rates also create a positive distending pressure on the small airways and lungs of 4-6
cmH2O improving pulmonary conductance, compliance and decrease in the work of breathing by overcoming
the resistance of the nasopharynx13. Humidification of the inspired gases also contributes to the reduction in
the work of breathing, and provides greater comfort, allowing tolerance of higher flow rates and less nasal
mucosal desiccation. Therefore, NHF may play an important supportive role during anaesthesia of the
spontaneously breathing infant or child to improve oxygenation and carbon dioxide clearance, particularly
during anaesthesia for upper airway surgery or during the apnoeic phase of airway instrumentation to improve
FRC and enable improved intubating conditions. The flow rates delivered in paediatric practice are matched
to expected peak inspiratory flows and are weight-related. This allows delivery of a known fraction of oxygen
in inspired gas.
USE IN ANAESTHESIAThe objective of airway management in anaesthesia is to ensure safe and effective strategies to maintain alveolar
ventilation and prevent hypoxia. Even so, hypoxia remains the leading cause of anaesthesia-related morbidity
and mortality14. Pre-oxygenation has been used since 1955 as a mechanism for maximising oxygen reserves
and prolonging the safe apnoeic time during induction of anaesthesia. This facilitates safe airway management
in emergency and difficult intubations15. The displacement of nitrogen by oxygen into the functional residual
capacity of the lungs, achieved by breathing 100 per cent oxygen via a close-fitting facemask for three to four
minutes, increases the oxygen reserves available. Once these reserves are exhausted during the process of
intubation in the setting of apnoea, patients can desaturate quickly because the oxygen supply is interrupted.
Apnoeic oxygenation can prolong this supply by providing an ongoing oxygen source during intubation attempts.
Provided that a patent airway exists between the lungs and the exterior, a negative pressure gradient is generated
by the difference between the rate of oxygen absorption and carbon dioxide replacement allowing aventilatory
mass flow which drives oxygen into the lungs. Also there is a concentration gradient generated between theoxygen concentration in the alveoli and that of the upper airway which enables diffusion of oxygen into thealveoli16. For this purpose it is a common anaesthesia practice to use the upper airway as an oxygen reservoir,delivering constant oxygen flow via an oxygen catheter placed in the nasopharyngeal cavity17, or via nasal
cannulae delivering low-flow dry oxygen at a rate of 5-15L per minute17. Extrapolating from this, THRIVE wasfirst introduced into adult anaesthetic practice in 2015 as a method of delivering humidified oxygen via nasal
cannulae to prolong the apnoeic oxygenation time in those with known difficult airway anatomy or significant
comorbidities, thus allowing unhurried intubation1. Its use in adults has subsequently been expanded topreoxygenation, respiratory support post-extubation, and spontaneously breathing adults with difficult airways
using TIVA as STRIVE HI (SponTaneous Respiration using IntraVEnous anaesthesia and Hi-flow nasal Oxygen) 18.
In infants and children, the incidence of an expected or unexpected difficult airway during anaesthesia isrelatively uncommon compared to adults15. However, the onset of desaturation in apnoeic infants and children
is much faster than in adults and is known to be age-dependent21. Infants and children have a proportionallysmaller functional residual capacity which is just slightly above the closing volume resulting in atelectasis at
normal tidal breathing21. They have a greater metabolic demand, utilising more O2 per kg and generating ahigher carbon dioxide output21 and have a greater tendency to collapse their airways22, 23. Infants rely on a highrespiratory rate with short expiratory times and laryngeal adduction in expiration to increase airway resistance[functional positive end-expiratory pressure (PEEP)] to maintain and dynamically increase their FRC24-26. Thesemechanisms are attenuated under general anaesthesia. Therefore, the time frame to establish a safe airway ininfants and children is much shorter than in adults and these differences become more pronounced during
emergency intubations and intubations for emergency surgery.
THRIVE IN INFANTS AND CHILDREN
In a recent randomised controlled trial of anaesthetised children it was shown that after pre-oxygenation, theuse of THRIVE applied during the apnoeic phase of the intubation could prolong the safe apnoea time without
desaturation up to twice the expected time for age without any complications27. The expected apnoea time inpre-oxygenated children is known to be age-dependent28. The studied children were medically well, appropriately
fasted, ASA 1-3, with normal airways, hearts and lungs, presenting for elective surgery or medical imaging.
This study also demonstrated that the rate of rise of carbon dioxide during the apnoeic period was not reduced
to the same extent by THRIVE as was observed in adult studies. The use of THRIVE for difficult airways in theelective setting of paediatric anaesthesia needs further clinical evaluation and may not have such a big impact
on practice as has been shown in adults, since the incidence of difficult mask ventilation and intubation is much
lower15. However, we speculate that this technique may have a greater impact in the paediatric emergency
intubation setting.
There are several reviews of the effect of apnoeic oxygenation during high-risk elective and also emergency
intubation in the adult population but currently we have no evidence of its efficacy in children17,29. An Australianprospective study of emergency intubations in children at a tertiary paediatric hospital emergency department

Transnasal Humidified Rapid Insufflation Ventilatory Exchange (THRIVE) technique in paediatric anaesthesia practice 

45found that only 78 per cent of intubations were successful at first attempt and of these 14 per cent had asignificant desaturation event with oxygen saturation falling below 90 per cent30. An increasing number ofintubation attempts resulted in a greater incidence of desaturation and further adverse events31. A multi-centre,
randomised controlled trial (Kids THRIVE) is currently underway in several Australian and New Zealand emergency
departments and paediatric intensive care units, to investigate the role of THRIVE in emergency intubation. The
aim of this study is to establish if the use of THRIVE during the apnoeic phase of intubation will reduce theincidence of hypoxia and other adverse events and increase the rate of successful first attempts.
USE OF NHF IN CHILDREN WITH ABNORMAL AIRWAYS
Oxygenation techniques during anaesthesia for children with abnormal airways, not necessarily requiringintubation, have traditionally included oxygen delivery via a nasopharyngeal airway or nasal cannulae delivering
low-flow dry oxygen at a rate of 5-15L per minute, utilising the side-port of a rigid bronchoscope, or lesscommonly via jet ventilation32. Suspension laryngoscopy, rigid bronchoscopy, and flexible bronchoscopy are
the commonly performed diagnostic and therapeutic procedures which require paediatric patients to maintainspontaneous breathing and patency of their own airways to allow investigation and management of complex
congenital and acquired airway anomalies5, 33. Optimal surgical conditions generally preclude placement of an
endotracheal tube in order to provide an unobstructed view of the larynx and trachea34. To allow dynamic airway
assessment, the anaesthetic must achieve the delicate balance between adequate depth of anaesthesia totolerate a highly stimulating procedure and maintenance of spontaneous ventilation, which requires a highdegree of communication and cooperation between surgeon and anaesthetist.
Several different anaesthetic techniques can be employed for tubeless anaesthesia in children and may involve
total inhalational anaesthesia or TIVA, augmented by airway topicalisation with local anaesthetic. Inadequate
depth of anaesthesia may result in laryngospasm, bronchospasm, or barotrauma, requiring muscle relaxationand possibly intubation35. Excessive depth of anaesthesia can lead to hypoventilation or apnoea resulting in
hypoxemia, necessitating rescue intubation or bag-mask ventilation and the consequent interruption of theprocedure, prolonging surgical time.
NHF has been shown to be another minimally invasive oxygenation technique which obviates the need fornasal instrumentation, with a concomitant epistaxis risk, and equipment in the pharynx, a considerable advantage
in these types of procedures. A recent case series in our institution demonstrated that the use of NHF in thissetting allowed prolongation of oxygenation in the context of hypoventilation, and brief periods of apnoea
without desaturation5. A greater depth of anaesthesia can then be achieved when necessary for the moststimulating procedures such as tracheal ballooning.
The children included in this study were considered to have high-risk airway abnormalities and for the purposesof classification in the study were grouped as microlaryngoscopy ± procedure, flexible bronchoscopy, expecteddifficult airway and, lastly, associated comorbidities relating to apnoea risk. Most surgical cases had presentations
with stridor or increased work of breathing due to laryngomalacia, subglottic stenosis or compression of their
upper airway. The children requiring flexible bronchoscopy included those with chronic lung pathology andinhaled foreign bodies. Of the children with expected difficult airways, both had congenital temporomandibular
joint disease with little or no mouth opening and required intubation for their booked procedures. NHF facilitatedoptimal oxygenation conditions for intubation of both of these children, one with a videolaryngoscope and theother via a nasal fibreoptic technique.
Unexpected difficult airways in normal children are rare but in children with congenital disorders, an anticipatedairway difficulty can be more predictable15. Assessing the site of the anatomical airway abnormality can predict
what the difficulty will be. A child with a hypoplastic mandible may have an associated difficult intubation,
whereas a child with a mid-face hypoplasia may be difficult to bag-mask ventilate. Macroglossia can cause
both difficult intubation and difficult bag-mask ventilation. Airway pre-assessment in children is difficult. The
Mallampati score is not practical in small children and doesn’t accurately predict the view at laryngoscopy.
Furthermore, standard thyromental and mandibular lengths do not exist for the paediatric population.
It is not uncommon for children with abnormal airways to be supported with NHF in neonatal or paediatricintensive care perioperatively. With the availability of portable high-flow devices we have successfully maintained
this form of respiratory support during transfer to and from the operating suite. Care should be taken to note
the FiO2 as the addition of a blender allows delivery of oxygen between 21 and 100 per cent. Currently our
paediatric high flow device for anaesthesia does not include a blender and thus our experience of use of NHF
in paediatric anaesthesia practice has been limited to using 100 per cent oxygen. However, with scope for a
blender, there may be improved safety if undertaking cases involving airway laser. A recent audit of airway
procedures by our department (unpublished data) suggests that up to one third of children experience a hypoxic
event during the course of their anaesthetic. An improved oxygenation technique is therefore of vital interest.
The use of NHF in the post anaesthetic setting for those children at risk of hypoventilation and hypoxia is anotherpotential application of its use in paediatric anaesthesia practice but we have no experience with this yet.

46Australasian Anaesthesia 2017

ANAESTHESIA TECHNIQUE AT LADY CILENTO CHILDREN’S HOSPTAL USING NHF
In our experience at the Lady Cilento Children’s Hospital, the majority of patients are induced with sevofluranein oxygen and nitrous oxide or with propofol (2 mg/kg to maintain spontaneous respiration) with a circle ort-piece circuit and then transitioned to TIVA over several minutes. Propofol is commenced at 200 mcg/kg/min(range 200-400 mcg/kg/min, 12-24 mg/kg/h or 1.2-2.4 ml/kg/h) most commonly in conjunction with alfentanil(0.3-0.8 mcg/kg/min) or remifentanil (0.05-0.2 mcg/kg/min). Once adequate depth of anaesthesia is achieved
the epiglottis, larynx and upper trachea are topicalised via direct laryngoscopy with 2 per cent lignocaine to a
maximum of 4 mg/kg. Atropine or glycopyrrolate may be given as an antisialagogue. Age-appropriate nasal
high flow cannulae are then applied and humidified oxygen is delivered at weight related flows (table 1) withan Optiflow device (Fisher & Paykel Healthcare, Auckland, New Zealand). Once NHF is commenced the volatileanaesthetic can no longer be used as it is rapidly dispelled by the high flow of oxygen. Jaw thrust is maintained
to ensure airway patency until the surgeon inserts their laryngoscope or bronchoscope. Close communication
between the anaesthetist and surgeon is important prior to and during the case. In the event of a significant
desaturation, rescue oxygenation can be achieved via either bag-mask ventilation with cessation of NHF or incases of open airway surgery by direct placement of an endotracheal tube by the surgeon until oxygen saturations
are optimised.
Table 1. Nasal high flow rates applied during anaesthesia
WEIGHT

NHF

0-12 kg

2 L/Kg/Min

13-15 kg

30 L/Min

15-30 kg

35 L/Min

30-50 kg

40 L/Min>50 kg50 L/Min

LIMITATIONS
To be effective, nasal high flow oxygen requires a patent airway but is still effective through a single nare when
the other is used as a conduit for a fibre-optic bronchoscope. Nasal congestion may limit its efficacy andexcessive suctioning by the surgeon may impair oxygen insufflation. Another limitation of the use of NHF in
tubeless airway surgery is that it may mask apnoeic periods, since oxygen saturations are maintained for longer
which may lead to higher arterial CO2 levels than those seen with traditional oxygenation techniques5. In or
experience to date with NHF in tubeless airway surgery, the average case duration has been less than an hour.
It is difficult to accurately measure end-tidal carbon dioxide during these cases although NHF is associatedwith some carbon dioxide clearance. The rate of rise in children, of 2.4 mmHg per minute, appears to be higher
than that seen in adults although the clinical sequelae of this in our patient population are unknown1, 27. In an
adult study acute post-operative hypercapnia below 100 mmHg after bronchoscopy was not associated withany adverse effects and did not delay recovery36. In the occurrence of significant desaturation requiring alveolar
recruitment, the CPAP effect of NHF will not deliver sufficient positive pressure, therefore bag-mask ventilation
will be required to recruit regions of atelectasis and hence restore oxygen haemoglobin saturation. Use of NHF
in the operating theatre for brief periods appears safe to date, however morbidities such as pneumothoraces
and epistaxis have been observed with prolonged use in the paediatric intensive care setting, although theincidence is low37.
Introducing new devices into the operating room environment always requires training of staff and the learning
curve can be protracted when the equipment is only used occasionally, as is the case with NHF. This is evenmore challenging when the equipment is new not only to the department but to the specialty area as a whole.
Usage guidelines, especially weight-related flow rates, attached to the device can be invaluable when theexperience levels within the department can be highly variable on any particular day. The education of ourdepartmental staff, including anaesthesia assistants, facilitated the introduction of NHF into our operating
theatre environment.

Transnasal Humidified Rapid Insufflation Ventilatory Exchange (THRIVE) technique in paediatric anaesthesia practice 

47

CONCLUSION
The introduction of this NHF technique into paediatric anaesthesia practice has provided an alternative methodof enabling safe management of children with abnormal airways for dynamic assessment and surgery without
intubation, jet ventilation or nasopharyngeal instrumentation. The advantages include avoidance of epistaxis
risk associated with nasopharyngeal instrumentation, improved surgical access to suspension laryngoscopy
without bulky anaesthesia airway equipment, and prolonged oxygenation during potential periods ofhypoventilation or apnoea. Its portability allows continuation of respiratory support during transfer to and fromthe theatre environment which may avoid the need for intubation. The extension of these advantages into its
use for paediatric emergency intubations outside the operating room is currently under investigation and may
reduce the adverse events associated with this high-risk procedure which is often undertaken by medical
officers with limited experience in airway management.
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increasing apnoea time in patients with difficult airways. Anaesthesia. 2015;70(3):323-329.
2. Mosier JM, Joshi R, Hypes C, Pacheco G, Valenzuela T, Sakles JC. The physiologically difficult airway. West J Emerg Med.
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3. Ashraf-Kashani N, Kumar R. High-flow nasal oxygen therapy. BJA Educ. 2017;17(2):57-62.
4. Corley A, Rickard CM, Aitken LM, Johnston A, Barnett A, Fraser JF, et al. High-flow nasal cannulae for respiratory support
in adult intensive care patients. Cochrane Database Syst Rev. 2017;5:CD010172.
5. Humphreys S, Rosen D, Housden T, Taylor J, Schibler A. Nasal high-flow oxygen delivery in children with abnormal
airways. Paediatr Anaesth. 2017;27(6):616-620.
6. Booth AWG, Vidhani K. Spontaneous respiration using intravenous anaesthesia (STRIVE) facilitates fibreoptic intubation
through supraglottic airway device. Acta Anaesthesiol Scand. 2017;61(6):696-697.
7. Klein M, Reynolds LG. Relief of sleep-related oropharyngeal airway obstruction by continuous insufflation of the pharynx.
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8. Manley BJ, Owen LS, Doyle LW, Andersen CC, Cartwright DW, Pritchard MA, et al. High-flow nasal cannulae in very
preterm infants after extubation. N Engl J Med. 2013;369(15):1425-1433.
9. Milesi C, Boubal M, Jacquot A, Baleine J, Durand S, Odena MP, et al. High-flow nasal cannula: recommendations for daily
practice in pediatrics. Ann Intensive Care. 2014;4:29.
10. Mayfield S, Jauncey-Cooke J, Hough JL, Schibler A, Gibbons K, Bogossian F. High-flow nasal cannula therapy for
respiratory support in children. Cochrane Database Syst Rev. 2014;3:CD009850.
11. Schibler A, Pham TM, Dunster KR, Foster K, Barlow A, Gibbons K, et al. Reduced intubation rates for infants after
introduction of high-flow nasal prong oxygen delivery. Intensive Care Med. 2011;37(5):847-852.
12. Pham TMT, O’Malley L, Mayfield S, Martin S, Schibler A. The effect of high flow nasal cannula therapy on the work ofbreathing in infants with bronchiolitis. Pediatr Pulmonol. 2015;50(7):713-720.
13. Dysart K, Miller TL, Wolfson MR, Shaffer TH. Research in high flow therapy: mechanisms of action. Respir Med.
2009;103(10):1400-1405.
14. Ward DS, Karan SB, Pandit JJ. Hypoxia: developments in basic science, physiology and clinical studies. Anaesthesia.
2011;66(Suppl 2):19-26.
15. Frei FJ, Ummenhofer W. Difficult intubation in paediatrics. Paediatr Anaesth. 1996;6(4):251-263.
16. Bartlett RG, Jr., Brubach HF, Specht H. Demonstration of aventilatory mass flow during ventilation and apnea in man. J
Appl Physiol. 1959;14(1):97-101.
17. Weingart SD, Levitan RM. Preoxygenation and prevention of desaturation during emergency airway management. Ann
Emerg Med. 2012;59(3):165-175, e161.
18. Booth AWG, Vidhani K, Lee PK, Thomsett CM. Spontaneous respiration using intravenous anaesthesia and hi-flow nasal
oxygen (STRIVE HI) maintains oxygenation and airway patency during management of the obstructed airway: anobservational study. Br J Anaesth. 2017;118(3):444-451.
19. Erb T, Marsch SC, Hampl KF, Frei FJ. Teaching the use of fiberoptic intubation for children older than two years of age.
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20. Schibler A, Hall GL, Businger F, Reinmann B, Wildhaber JH, Cernelc M, et al. Measurement of lung volume and ventilation
distribution with an ultrasonic flow meter in healthy infants. Eur Respir J. 2002;20(4):912-918.
21. King W, Petrillo T, Pettignano R. Enteral nutrition and cardiovascular medications in the pediatric intensive care unit. JPENJ Parenter Enteral Nutr. 2004;28(5):334-338.
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breathing newborns and adults is not different. Pediatr Pulmonol. 2009;44(9):851-858.
23. Schibler A HR. Positive end-expiratory pressure and ventilation inhomogeneity in mechanically ventilated children. Ped
Crit Care Med. 2002;3:124-128.
24. von Ungern-Sternberg BS, Frei FJ, Hammer J, Schibler A, Doerig R, Erb TO. Impact of depth of propofol anaesthesia onfunctional residual capacity and ventilation distribution in healthy preschool children. Br J Anaesth. 2007;98(4):503-508.
25. von Ungern-Sternberg BS, Hammer J, Schibler A, Frei FJ, Erb TO. Decrease of functional residual capacity and ventilation
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Australasian Anaesthesia 201726. von Ungern-Sternberg BS, Regli A, Schibler A, Hammer J, Frei FJ, Erb TO. The impact of positive end-expiratory pressure
on functional residual capacity and ventilation homogeneity impairment in anesthetized children exposed to high levels ofinspired oxygen. Anesth Analg. 2007;104(6):1364-1368.
27. Humphreys S, Lee-Archer P, Reyne G, Long D, Williams T, Schibler A. Transnasal humidified rapid-insufflation ventilatoryexchange (THRIVE) in children: a randomized controlled trial. Br J Anaesth. 2017;118(2):232-238.
28. Patel R, Lenczyk M, Hannallah RS, McGill WA. Age and the onset of desaturation in apnoeic children. Can J Anaesth.
1994;41(9):771-774.
29. White LD, Melhuish TM, White LK, Wallace LA. Apnoeic oxygenation during intubation: a systematic review and metaanalysis. Anaesth Intensive Care. 2017;45(1):21-27.
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31. Lee JH, Turner DA, Kamat P, Nett S, Shults J, Nadkarni VM, et al. The number of tracheal intubation attempts matters! A
prospective multi-institutional pediatric observational study. BMC Pediatr. 2016;16:58.
32. Benjamin B. Anesthesia for laryngoscopy. Ann Otol Rhinol Laryngol. 1984;93(4):338-342.
33. Oshan V, Walker RWM. Anaesthesia for complex airway surgery in children. CEACCP. 2013;13(2):47-51.
34. Mausser G, Friedrich G, Schwarz G. Airway management and anesthesia in neonates, infants and children during
endolaryngotracheal surgery. Pediatr Anesth. 2007;17(10):942-947.
35. Thaung MK, Balakrishnan A. A modified technique of tubeless anaesthesia for microlaryngoscopy and bronchoscopy inyoung children with stridor. Pediatr Anesth. 1998;8(3):201-204.
36. Cheng Q, Zhang J, Wang H, Zhang R, Yue Y, Li L. Effect of acute hypercapnia on outcomes and predictive risk factors forcomplications among patients receiving bronchoscopic interventions under general anesthesia. PloS One.
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37. Baudin F, Gagnon S, Crulli B, Proulx F, Jouvet P, Emeriaud G. Modalities and complications associated with the use ofhigh-flow nasal cannula: experience in a pediatric ICU. Respir Care. 2016;61(10):1305-1310.

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Circulation
Heart failure with preserved ejection fraction:
Diastole is important too!
Kate Drummond
Extra corporeal membrane oxygenation:
Anaesthetic perspectives
Elizabeth Winson, Matthew Brain

Heart failure with preserved ejection fraction: Diastole is important too! 

53

Heart failure with preserved ejection fraction: Diastole isimportant too!
KATE DRUMMOND, MBBS FANZCA MMed

Dr Drummond is a staff specialist anaesthetist at the Royal Adelaide Hospital and also works in private practice.
She has special interests in cardiac and thoracic anaesthesia, transoesophageal echocardiography and has amasters degree in perioperative medicine.
INTRODUCTION
Heart failure is a clinical syndrome. Diagnosis depends on the presence of clinical symptoms and signs including
breathlessness, exercise intolerance, and ankle swelling. Heart failure is a result of failure of cardiac function,
which is the end result of many disease processes. While the most common cause of heart failure is impaired
left ventricular systolic function, 40-50 per cent of patients with heart failure have a normal or only mildly reduced
left ventricular ejection fraction (LVEF)1. In these instances, heart failure with preserved ejection fraction (HFpEF)
describes the syndrome of heart failure in the presence of a normal or low-normal LVEF where cardiac dysfunctionis due to a cause other than left ventricular systolic failure2-4.
Previously known as “diastolic heart failure”, recent changes in nomenclature have extended the diagnosis of
HFpEF to include all causes of heart failure in patients with normal systolic function5. Diastolic dysfunctionrefers to an abnormal mechanical property of the myocardium whereas HFpEF refers a clinical syndrome6.
Non-myocardial causes of HFpEF include valvular heart disease (11-22 per cent), pericardial disease, rightheart failure, pulmonary vein stenosis and congenital heart disease5. After excluding non-myocardial causesof HFpEF, echocardiographic evidence of diastolic dysfunction is present in around 70 per cent of patients1.
This review focuses primarily on this group of patients.
EPIDEMIOLOGYHFpEF is prevalent in the elderly and the obese and is more common in women than men. Patients with diastolic
dysfunction often have systemic hypertension (70-88 per cent), diabetes mellitus (17-46 per cent), atrial fibrillation(30-37 per cent), coronary artery disease (37-42 per cent) and/or pulmonary hypertension (83 per cent)7. Thesediseases are very common in the patient population seen in the perioperative period and may herald underlying
diastolic dysfunction.
Despite having normal systolic function, patients with HFpEF have higher mortality rates than the general
population. Annual mortality ranges from 10 per cent to 30 per cent with at least 60 per cent of deaths due toa cardiovascular cause1. Diastolic dysfunction is associated with an 8 to 10 fold increase in mortality8. Other
mortality predictors in this group include age, diabetes mellitus, and severity of ischaemic heart disease8,9.
HFpEF can pose a significant challenge for the anaesthetist in the perioperative period. Diastolic dysfunction
is associated with higher rates of postoperative cardiovascular complications, increased length of stay andsignificantly higher rates of postoperative pulmonary oedema and myocardial infarction10,11. Despite this, diastolic
impairment is often overlooked in preoperative evaluation and there is limited data on the risk stratification ofpatients with HFpEF.
Intraoperatively, patients with diastolic dysfunction often do not respond to the usual treatments for heart failurecaused by systolic impairment. Additionally, there is no single treatment strategy that has been found toconvincingly reduce mortality or morbidity in this patient group. However, by understanding the pathophysiology,
diagnosis and current management strategies as well as effect of anaesthesia and surgery on the physiologyof this patient group, anaesthetists can act to mitigate the risk of perioperative complications12.
DIAGNOSTIC CRITERIA AND DEFINITIONS OF HFpEF
Many of the difficulties in diagnosing and managing this group of patients stem from the lack of consensus in
the definition and diagnostic criteria for HFpEF. Currently, there are two diagnostic criteria in use for HFpEF.
The American Heart Association (AHA) and American College of Cardiology (ACC) criterion relies on a definitionof exclusion. That is, it relies on the presence of heart failure with echocardiographic evidence of not having a
reduced ejection fraction2. As such, patients with all myocardial and non-myocardial causes of HFpEF will be
included using this criterion. Patients with an ejection fraction of 40-50 per cent are considered to be in theintermediate range.
Conversely, the European Society of Cardiology (ESC) criterion requires the inclusion of evidence of both normal
left ventricular size and function and objective evidence of diastolic impairment3 (see table 1). The most recent
European guidelines also include an intermediate group of heart failure with mid-range ejection fraction (HFmrEF)3.
Only patients with diastolic dysfunction will be diagnosed with HFpEF.

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Table 1. Differences between current ACC/AHA and ESC criteria for the diagnosis of HFpEF
ACC/AHA (2013)

ESC (2016)

Symptoms +/- signs

Present

Present

Left ventricular ejection fraction

Not reduced

HFpEF: LVEF ≥ 50%

Natriuretic peptide levels

n/aElevated

Evidence of diastolic impairment

n/a

Present

HFmrEF: LVEF 40-49%

Additionally, the European guidelines use natriuretic peptides as part of the diagnostic criteria and require
evidence of an elevated B-type natriuretic peptide (BNP >35 pg/mL) or N-terminal pro-BNP (NT-proBNP>125 pg/mL). Natriuretic peptides have good negative predictive value but they also have somewhat less reliable
positive predictive value. That is, they are useful for ruling out heart failure, but cannot be used to diagnose
HFpEF on their own3,13.
Importantly, older patients and those with hypertension often have evidence of diastolic impairment but do nothave signs or symptoms of heart failure14. These patients do not have HFpEF as they are asymptomatic anddo not have the clinical syndrome of heart failure.
While these newer criteria have assisted in the standardisation of the diagnosis of HFpEF, the differences
between the two can lead to confusion and present a number of challenges.
Firstly, the differences between the two groups result in either including or excluding some patient groups. For
example, by requiring only the evidence of a normal ejection fraction, the American criterion ensures thatpatients with underlying diastolic dysfunction, with a left ventricle that has been unloaded with diuretics or
those whose diastolic dysfunction is only present during exercise, are correctly included1,14. These patients may
be erroneously misdiagnosed as normal using the European guidelines, as they may not have diastolic impairment
evident on echocardiography at rest.
Importantly, the European requirement of evidence of diastolic impairment ensures that patients who havesymptoms similar to those of HFpEF but due to other causes are not inaccurately diagnosed. Common conditions
such as interstitial lung disease, chronic obstructive pulmonary disease (COPD), obesity or haematologicaldiseases are often confused with HFpEF and unnecessarily or inappropriately treated3,14.

Heart failure with preserved ejection fraction: Diastole is important too! 

55

by raised LA pressure which causes the mitral valve to open too early16.
Phase 2: Early-rapid filling
When the pressure in the ventricle drops below the pressure in the atrium, the mitral valve opens and the relaxing
ventricle sucks in blood during the rapid passive filling phase. The negative pressure gradient between the twochambers drives filling17. Importantly, in the early filling phase ventricular volume increases without an increase
in intraventricular pressure. Filling in this phase is determined by the rate of ventricular relaxation and recoil
and the pressure in the left atrium. Early filling accounts for up to 80 per cent of ventricular filling16.
Phase 3: Diastasis
In mid-diastole, the pressure equalises between the atrium and ventricle and flow into the ventricle slows. Fillingin diastasis is predominantly determined by compliance, which can be affected by myocardial stiffness, ventricularmass and the pericardium that can constrain ventricular filling16.
Phase 4: Late-rapid filling
Finally, atrial contraction occurs. This increases the atrial pressure and creates a positive pressure gradient
between the atrium and the ventricle. This action squeezes more blood into the ventricle15. The atrial contribution
to filling is determined by the left atrial contractility (non-existent in atrial fibrillation) and the compliance of theleft ventricle (LV)18. During this phase, ventricular pressure rises, particularly if the ventricle is stiff and noncompliant or is restrained by conditions such as pericardial constriction or compression18.
Diastolic impairment occurs when filling of the ventricle is impaired and the ventricle is unable to fill completely
with normal pressures. This is because the ventricle either does not relax properly (impaired relaxation) in theearly stages of diastole or is stiff (non-compliant) in the later phases. To maintain a normal cardiac output, aventricle that does not relax properly requires an increase in filling from atrial contraction to compensate forless filling in the early phases. As diastolic dysfunction worsens and the ventricle becomes poorly compliant,a higher atrial pressure is required to maintain the pressure gradient over the higher ventricular pressure. This
increase in left atrial pressure is responsible for the pulmonary congestion that causes symptoms of breathlessness
and results in heart failure12.
In some patients, diastolic impairment only becomes apparent during exercise. While at rest, ventricular filling
occurs at normal pressures. However, during exercise the increase in filling required to provide a higher strokevolume and cardiac output cannot occur without an increase in pressure. These patients present a dilemma forthe anaesthetist in the preadmission clinic as they will give a clear history of exercise intolerance but may havenormal pulmonary function tests. Additionally, their systolic and diastolic function will appear normal on
investigations carried out at rest. In these situations, screening for elevated natriuretic peptides can aid in diagnosis.

Another unintended consequence of changes in diagnostic criteria is the inclusion of patients with normal
diastolic function in newer HFpEF trials. The heterogeneity of patients included in clinical trials in this area has
been implicated in the large number of neutral trials in the management of HFpEF to date5.

As mentioned, the two most commonly described mechanisms for diastolic dysfunction are impaired relaxation
and reduced compliance. Ventricular compliance is inversely proportional to ventricular stiffness and both theseterms are often used to describe the structural changes that affect ventricular filling. Other important factors
in diastolic filling are ventricular-arterial coupling and preload.

Additionally, before the publication of the current criteria, HFpEF has been inconsistently classified using ejection
fractions of >40 per cent, >45 per cent, >50 per cent, and ≥55 per cent. This makes interpretation of older
clinical trials for HFpEF difficult. As patients with mid-range or intermediate LVEFs have some degree of systolic
dysfunction and their disease mechanisms are significantly different from those with normal systolic function,
their inclusion in trials for HFpEF is problematic2. There also remains uncertainty in how to classify patients who
present with a reduced LVEF, which then improves or even normalises with treatment14.

Ventricular relaxation
Ventricular relaxation requires dissociation and removal of calcium from tropomyosin C and is an active process
requiring energy from ATP. This process naturally declines with age. Importantly though, pathological conditions
that impair this ATP-dependent process, such as myocardial ischaemia, will cause impaired relaxation. Impaired
relaxation results in a longer isovolumetric relaxation time, a smaller negative gradient between the atrium andventricle, and is present in nearly all patients with HFpEF14,17.

Finally, while these diagnostic criteria provide a useful way of classifying patients, they are not useful indetermining the underlying cause of the disease14. However, patients with normal systolic function who havesymptoms of heart failure and evidence of diastolic dysfunction have undiagnosed or untreated HFpEF using
either criteria. This makes them a higher preoperative risk, and they will need pre-optimisation prior to surgery.
For this reason, anaesthetists should know how to manage diastolic dysfunction in the perioperative period.

Patients with diabetes mellitus, hypertension, obesity and coronary artery disease are at increased risk of
HFpEF19. This is because all these states produce a systemic inflammatory state that has recently been implicatedin the pathogenesis of diastolic impairment. An important modulator of ventricular relaxation is nitric oxide (NO)produced by the endothelium. Systemic inflammatory states result in coronary microvascular endothelial
inflammation and a reduction in nitric oxide (NO)20. Strategies targeting this proinflammatory state may resultin new therapies for HFpEF14.

PATHOPHYSIOLOGY OF DIASTOLIC DYSFUNCTION
In order to understand diastolic dysfunction and how anaesthesia and surgery affect it, it is important to firstconsider how normal diastole and ventricular filling occurs. Diastole is the time between closure of the aortic
valve and closure of the mitral valve. It is the time during which the ventricle fills and is as important in cardiac
output as systolic contraction. There are four phases of diastole:

Compliance
The reduction in NO production has also been implicated in increased myocardial stiffness. The sarcomeric
protein titin is responsible for both early ventricular recoil and in particular late ventricular distension. Two isoformsof titin have been identified: hypophosphorylated, stiff (N2B); and hyperphosphorylated, compliant (N2BA). An
insufficiency of NO increases the hypophosphorylation of titin (N2B) and causes subendothelial migration ofleukocytes that stimulate myofibroblast formation and collagen deposition, which increases myocardial
stiffness21,22. Studies have demonstrated increased amounts of the stiff isoform N2B in patients with HFpEF21.

Phase 1: Isovolumetric relaxation
When the heart contracts in systole, elastic recoil energy is stored in the myocytes. At the beginning of diastole,
this stored energy is released when calcium is sequestered back into the sarcoplasmic reticulum and this resultsin ventricular relaxation. Sequestering of calcium requires adenosine triphosphate (ATP) so is energy dependent.
This phase of diastole is effectively “set up” by the preceding systolic contraction. Isovolumetric relaxation
occurs over a very short time period and is the time after aortic valve closure but before any filling occurs15.
It can be delayed by conditions such as myocardial ischaemia, which impairs active relaxation, and is shortened

Left ventricular hypertrophy (LVH) further heightens ventricular stiffness. LVH is commonly seen in systemic
hypertension, aortic stenosis, obesity, increased age, and diabetes and is more common in women than men.
Additionally, increased ventricular stiffness can be caused by myocardial fibrosis or other infiltrative disorders(e.g. amyloidosis)12. The presence of any of these medical conditions should alert the anaesthetist to the potential

Australasian Anaesthesia 2017presence of HFpEF.
Finally, as previously mentioned, pericardial constraint from pericarditis, pericardial effusions or mass effectwill also result in reduced ventricular compliance and reduced filling.
Ventricular-arterial coupling
Arterial stiffness is also an important factor in diastolic impairment. Reduced endothelial NO results in impaired
flow-mediated vasodilation and decreased arterial compliance. Normally, ventricular-arterial coupling ensuresthat the cardiovascular system works with maximal efficiency so that an increase in stroke volume is matchedwith increased vascular compliance, with little change in blood pressure. In patients with HFpEF, an increasein arterial stiffness means small changes in blood volume cause significantly larger changes in LV end-diastolicpressure both at rest and during exercise7,15. Consequently, left atrial pressure must also rise to promote forward
flow.
PreloadLeft ventricular preload is another factor that must be considered in diastolic impairment. As the intravascularvolume increases, an increase in preload to the left heart will in turn result in an increase in left atrial pressure15.
Normally, this is well tolerated. However, patients who have evidence of a baseline raised left atrial pressure
are less tolerant of additional fluid boluses as these may trigger pulmonary oedema. Preoperatively, it is important
to distinguish those with HFpEF who will respond well to fluid and those who will not. Grading the severity of
their diastolic dysfunction can help with this.
GRADING DIASTOLIC DYSFUNCTION SEVERITY
Diagnosis of diastolic impairment requires evidence of increased left ventricular filling pressure measured either
directly with a cardiac catheter study or by echocardiography. Invasive haemodynamic parameters consistent
with diastolic impairment include a raised mean capillary wedge pressure (>15 mmHg) or an elevated left
ventricular diastolic pressure (>16 mmHg)3.
Echocardiography has an advantage of being non-invasive and readily available in the perioperative period.
Furthermore, it can also provide information on systolic function, right ventricular function and valve pathology.
Additionally, stress echocardiography can be performed using either exercise or pharmacological stressors(e.g. dobutamine) that could reveal exercise-induced diastolic impairment.
Unfortunately diastolic function is often not documented on routine echocardiography reports as it can be bothdifficult to assess in some patients and under-appreciated in its perioperative significance18. Additionally, whileanaesthetists commonly look at left ventricular systolic function and valvular information on echocardiographyreports, diastolic function parameters are often overlooked or poorly understood even when reported.
When reviewing echocardiography reports, diastolic function is often reported as either normal or abnormal.
However, within the abnormal group, three grades of severity are recognised which have different perioperativerequirements. For this reason, a basic understanding of the echocardiographic parameters used in grading
diastolic impairment is required.
Recent published guidelines include an excellent discussion on the use of various echocardiographic parameters
for diagnosing and grading diastolic dysfunction23. However, for those who have limited echocardiographic
knowledge, a more simplified diagnostic approach is beneficial. A useful way to both diagnose and understandthe underlying physiological state focuses on parameters that measure the blood flow across the mitral valve
and the movement of the mitral annulus in diastole.
Transmitral blood flow velocity
One of the most helpful parameters is the ratio of peak blood flow velocity across the mitral valve in the earlyfilling phase and the atrial contraction phase. Pulse wave Doppler measured at the tips of the mitral valve leaflets
gives a characteristic transmitral waveform that correlates with the phases of diastole described above (figure1). The E wave corresponds to early diastolic filling and the A wave to filling from atrial contraction. The E/A
ratio can then be used to interpret diastolic filling.

57

Heart failure with preserved ejection fraction: Diastole is important too! 

Figure 1. Transmitral Doppler flow waveforms seen using transoesophageal echocardiography withincreasing severity of diastolic dysfunction

Transmitral Flow (m/sec)

56

A

E

Normal
E/A

1–2

Impaired Relaxation(Grade 1)<1

Pseudonormal(Grade 2)
1–2

Restrictive(Grade 3)>2

Normal filling
Normally, the majority of blood flow occurs during the early filling phase, so the peak velocity of early filling (E)will be greater than in atrial filling (A) with a ratio of 1-2.
Grade 1: Abnormal relaxation
In grade 1 diastolic dysfunction, early left ventricular filling is reduced due to impaired ventricular relaxation
and a reduction in the suction effect. As early filling is reduced, the E wave will have a lower velocity and there
is a greater reliance on the “atrial kick” to maintain ventricular preload and cardiac output. Transmitral flow onechocardiography will demonstrate this as a reduced E/A ratio with higher peak atrial filling velocity than earlyfilling velocity (ratio <1). As the filling pressures are normal, this group of patients often respond well to fluid
boluses16.
Importantly, this abnormal relaxation is actually a normal process of ageing and grade 1 diastolic impairment
is common in those over 60 years.
Grade 2: Pseudonormal
In grade 2 diastolic impairment, the left ventricular pressure rises early in filling due to poor relaxation, whichleads to blood backing up into the left atrium and a rise in left atrial pressure. It is this elevation in left atrial
pressure that helps maintain the pressure gradient and drives passive filling. This stage is termed “pseudonormal”
as the transmitral flow profile appears normal (ratio 1-2). It is important to remember that this apparently normal
filling profile is at the expense of an overall elevation in left atrial pressure and this group of patients is at riskof pulmonary congestion18.
Grade 3: Restrictive
Restrictive diastolic function is the most severe grade of impairment. This group of patients has very stiff, noncompliant ventricles and an elevated left atrial pressure is required to assist in early filling. The elevated left
atrial pressure results in very fast blood flow and rapid equalisation of LA and LV pressures so the E wave
velocity is increased. Also, there is reduced filling from the atrial contraction as the left ventricular pressure ishigh and the A wave velocity is slower. The E/A ratio is therefore increased (E/A >2)18. These patients often
respond poorly to fluid due to their high filling pressures.
Mitral annular velocity
While it is easy to determine impaired relaxation (E/A <1) and restrictive (E/A >2) patterns using transmitral
Doppler waveforms, it is impossible to distinguish between normal and psuedonormal (E/A 1-2) patterns ontransmitral Doppler alone. Advances in measuring low velocity but high amplitude signals have allowed
measurement of tissue movement with tissue Doppler. Diastolic impairment is associated with a slowing ofventricular relaxation and therefore a slower mitral annulus movement in early diastole (e’). Normally, the velocityof the annulus adjacent to the septal wall is >7 cm/sec and adjacent to the lateral wall is >10 cm/sec. Patientswith diastolic impairment will have reduced e’ values and ratio of E/e’ is a good marker of LV end-diastolicpressure.

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Heart failure with preserved ejection fraction: Diastole is important too! 

59

A useful algorithm developed by Swaminathan et al uses the tissue Doppler measurements of the mitral valve
annulus and mitral blood flow velocity in early diastole and provides a simple method for diagnosing and grading
diastolic dysfunction (figure 2)16,18,24. Additionally, this algorithm has the advantage that E/e’ ratio is not dependent
on the patient being in sinus rhythm, so is very useful in patients with atrial fibrillation where there is no atrial
contraction and no A wave.

Active prevention and management of ischemic heart disease with optimisation of medication or revascularisation
should be undertaken before elective surgery.

Figure 2. Simplified algorithm from Swaminathan et al for grading diastolic dysfunction

Intraoperative management
Despite attempts to determine the best anaesthetic for patients with diastolic dysfunction, no study has shown
convincing differences between volatile, intravenous or regional anaesthesia techniques25.

TDI e’ velocitye’ ≥ 10 cm/sec

NormalManagement of preload is probably the most important task for the anesthetist caring for a patient with HFpEF.
Patients with normal or grade 1 diastolic dysfunction will respond well to fluid challenges as they have normal
left atrial pressure. Those with grade 2 or 3 have elevated left atrial pressure and are at risk of pulmonary
congestion if too much fluid is administered. The presence of a elevated left atrial filling pressure is also
associated with longer ICU and hospital stays and higher mortality12. Patients with grade 3 (restrictive) diastolic
dyfunction may benefit from preload reduction with diuretics or head up positioning6.

e’ < 10 cm/sec

E/e’ ≤ 8

Impaired Relaxation(Grade 1)

E/e’ = 9 - 12

Pseudonormal(Grade 2)

Obesity and diabetes mellitus and their sequelae can be difficult to optimise in the often limited lead-time tosurgery. However, the perioperative period can provide an opportunity to implement long-term management
strategies through referral to other specialties, with potential long-term benefits for heart function.

E/e’ > 13

Restrictive(Grade 3)

TDI = Tissue Doppler Imaging; e’ = mitral annulus lateral wall early diastolic tissue velocity;
E = transmitral early filling wave
Finally, other echocardiographic features are useful in assessing both the presence and cause of diastolic
function. A dilated left atrium in the absence of any chronic atrial arrhythmia or mitral valve pathology may
indicate diastolic impairment6. In this situation, a dilated left atrium (>34 ml/m2) reflects a high left atrial pressure23.
The presence of left ventricular hypertrophy should increase suspicions of diastolic impairment as it is a common
cause of reduced ventricular relaxation23. Finally, a hyperechoic thickened pericardium (pericarditis) or a pericardial
effusion suggests there could be poor ventricular compliance, which can cause diastolic impairment.
MANAGEMENT OF HFPEF IN THE PERIOPERATIVE PERIOD
Preoperative optimisation
Patients who present in clinical heart failure should be optimised before elective surgery. Diuretics are usefulfor reducing pulmonary congestion and improving symptoms. However, there is limited evidence that they
provide any mortality benefit. Spironolactone alone has been shown to reduce hospital admissions14. Patientsin rapid atrial fibrillation should be rate controlled as tachycardia reduces diastolic filling time.
Unlike in heart failure with systolic dysfunction, very few large multi-centre trials have shown a significant benefit
from long-term treatment modalities in patients with HFpEF. As previously discussed, patients included in trials
in HFpEF are significantly heterogeneous. Differences in diagnostic inclusion and exclusion criteria and in thediverse mechanisms of underlying disease have meant that conducting trials in patients with HFpEF is difficult.
Angiotensin receptor blockers (candesartan) have been shown to produce a small reduction in hospitalisation
but have no effect on mortality14,22. Other large trials have investigated the benefits of beta-blockers and foundinconsistent results for mortality and symptom control. Other potential treatment options that have been
investigated are ACEIs, nitrates, calcium channel blockers and sildenafil. These have also shown conflicting
results. Therefore most treatment strategies are targeted at symptom control and management of underlying
disease22.
Hypertension is likely the most important risk factor to control in HFpEF . While they have not been shown to
be of significant benefit in HFpEF, ACEIs, beta-blockers and angiotensin receptor blockers are all recommended
for the management of hypertension.
14

Myocardial ischaemia impairs the energy-consuming relaxation process of the left ventricle and will worsen
diastolic function as well as causing potentially catastrophic harm to systolic function due to myocyte damage.

Diastolic function is not static during the intraoperative period. Positions such as Trendelenberg or lithotomy
will increase cardiac preload and can increase the grade of diastolic function and trigger pulmonary oedema.
Venodilation associated with anaesthesia may result in an improvement in LVEDP and filling by “off-loading”
the left ventricle16. A patient who was previously fluid intolerant may now respond well to a fluid challenge.
Blood loss may have either a beneficial effect on diastolic function by reducing preload in an overloaded left
atrium, or a harmful effect by further reducing filling if a high left atrial pressure is required to overcome a stiff
ventricle.
It is therefore important to know the current status of diastolic function in the patient. Monitoring of patientswith HFpEF should therefore include methods that allow early detection of changes in heart rate, rhythm, preload
and ischaemia. Invasive haemodynamic monitoring with an arterial line and/or central venous catheter may be
indicated in some circumstances12. Intraoperative echocardiography can also be a useful tool in the diagnosis
of diastolic function, particularly in the presence of haemodynamic instability.
Prevention of sympathetic stimulation from surgery is important because tachycardia reduces diastolic filling
time. Preemptive administration of anxiolytics and multimodal analgesia is important. Judicious use of shortacting beta-blockers can help control tachycardia. Atrial fibrillation also reduces left ventricular filling due toloss of the atrial kick; efforts should be made to maintain sinus rhythm. New onset AF should be aggressively
managed25.
Intraoperative blood pressure should be kept within 10-20 per cent of baseline. The diastolic blood pressureis particularly important and should be kept above the pulse pressure. A high pulse pressure increases left
ventricular wall stress and impairs early filling12. A good rule is the “Rule of 70s”; age >70, diastolic BP >70, HR= 70, pulse pressure <7012.
Postoperative care
Postoperative care should be tailored to the individual patient. Patients with mild or well-controlled heart failure
having minor surgery usually do well. However, those with evidence of severe diastolic dysfunction or thosehaving major surgery may need closer monitoring in a high dependency ward. Initially, these patients may
appear stable and well in the postoperative recovery room; however, rapid atrial fibrillation, acute onset pulmonary
oedema and myocardial ischemia are more common in this patient group. Both sympathetic stimulation due
to inadequately managed pain and iatrogenic fluid overload have been implicated. Good ongoing postoperative
care is essential11,12.
CONCLUSION
The presence of normal systolic function is insufficient to exclude the diagnosis of heart failure. Diastolic function
and ventricular filling are as important as systolic contraction for an adequate cardiac output. HFpEF, whilecommon, is not benign.
Changes in diagnostic criteria to date have only served to confuse the diagnosis and have limited the ability to
conduct clinical trials in this area. Nevertheless, patients who have evidence of diastolic dysfunction, particularly
at rest, are at significantly higher perioperative risk than the general population.
Perioperative care in this group needs to be tailored individually to each patient’s current haemodynamic state,
as treatment is not a “one size fits all” approach. By understanding the physiology of diastole and the mechanisms
whereby ventricular filling is impaired, anaesthetists can mitigate the risk of heart failure and cardiovascularcomplications in this group.

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Australasian Anaesthesia 2017

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uncertainties and dilemmas. Eur J Heart Fail. 2015;17(7):665–671.
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4. Nicoara A, Jones-Haywood M. Diastolic heart failure: diagnosis and therapy. Curr Opin Anaesthesiol. 2016;29(1):61–67.
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of Cardiology/American Heart Association Task Force on practical guidelines. Circulation. 2014;130(24):e278–e333.
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Extra corporeal membrane oxygenation: Anaesthetic perspectives 63

Extra corporeal membrane oxygenation: Anaesthetic perspectives
ELIZABETH WINSON, MBBS BSc (Hons)

Intensive Care Registrar, Launceston General Hospital, Launceston, Australia.

Dr Elizabeth Winson is a senior intensive care trainee. She is progressing through the ASUM Diploma of
Diagnostic Ultrasound (Critical Care). Special interests include ECMO, echocardiography for critical care andpre-hospital/retrieval medicine.
MATTHEW BRAIN, MBBS FCICM FRACP DDU

Intensive Care Consultant Launceston General Hospital, Launceston, Australia.

Dr Matthew Brain is an intensivist at the Launceston General Hospital. He completed the ASUM Diploma of
Diagnostic Ultrasound (Critical Care) while working as an Echocardiography Fellow with exposure to ECMO
and LVADs at The Alfred and continues to utilise ultrasound extensively in day-to-day practice. Matt has several
publications in echocardiography, extra-corporeal support and renal replacement therapy. He has ongoing
research involvement with The Alfred ICU, Monash University and Tasmanian Health System.
INTRODUCTION
Use of extracorporeal membrane oxygenation (ECMO) has dramatically increased in recent years1. The potential
for anaesthetists to be exposed to ECMO is increasing. Opportunities include in an ICU or retrieval position,
at a cardiac arrest proceeding to ECMO-Cardiopulmonary resuscitation (E-CPR) or in the operating theatre. An
understanding of the technology, physiology and clinical management of ECMO is therefore increasingly
important.
This article will describe the scientific principles behind ECMO and the relevant clinical considerations.
HISTORY
ECMO was adapted from cardiopulmonary bypass technology. It was initially used predominantly in neonates,for respiratory and subsequently for cardiovascular support2,3. In the 1970s interest developed in ECMO for
adult acute respiratory distress syndrome (ARDS) and early single centre case series showed promise4. However
the first major randomised control trial (RCT) for respiratory failure in the 1990s failed to show a survival benefit 5.
Interest waned, until the H1N1 epidemic of the early 2000s. Patients with otherwise desperate respiratory failure
were treated with ECMO with apparently positive outcomes. The CESAR trial confirmed a survival benefit andled to the recommendation that patients with potentially reversible respiratory failure be transferred to an ECMO
capable centre6. Simultaneously ECMO has been increasingly used as a bridge to recovery or transplant in
respiratory and cardiovascular disease.
CONFIGURATION TYPESAn ECMO circuit consists of one or more large cannulae draining blood from a patient, a pump, a membrane
oxygenator and another cannula returning the blood. The system often includes a heater7. The configurationof the ECMO cannulae depends on the type of support needed. The most commonly used configurations areveno-venous (VV) ECMO for respiratory support and veno-arterial (VA) ECMO for cardiovascular support –including of the arrested patient for E-CPR8.
Less common configurations include hybrid modes, for example veno-arterial-venous (VAV) or veno-venoarterial (VVA) ECMO, used when moving from primary cardiovascular or respiratory support to supporting both
circulation and ventilation. Veno-Pulmonary artery (V-PA) ECMO supports the right ventricle after insertion ofa left ventricular assist device (LVAD)8. These are beyond the scope of this article and will not be discussed
further.
Whichever configuration, ECMO may further be described as central or peripheral. In central ECMO the cannulae
are surgically grafted directly on to the central vessels in the operating theatre, often at cessation of cardiopulmonary bypass9. In peripheral ECMO, cannulae are inserted via peripheral vessels usually under ultrasoundguidance. They are then positioned appropriately using a combination of x-ray and echocardiographic techniques,
including transoesophageal echocardiography (TOE)8.
VA ECMOIn veno-arterial ECMO, venous blood is accessed from a large central vein. After oxygenation it is returned toan artery, usually the aorta. In this way, returning oxygenated blood flow to the arterial tree provides support
to the failing circulation. This mode will also provide oxygenation support if needed10.
In central VA ECMO, the access cannula is sited in the right atrium. The return cannula is sewn onto the proximal
aorta. Both are tunnelled out through the chest wall. After cannula positioning the sternum is closed8. The
requirement for sternotomy is clearly a disadvantage in many situations. However in the post cardiotomy patient
this mode provides full cardiovascular and respiratory support. It also avoids some potential complications ofperipheral VA ECMO10.

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In peripheral VA ECMO, the most common configuration is femoral-femoral, with the access cannula exiting afemoral vein and the return cannula entering a femoral artery (figure 1a). Ideally these are in opposite legs to
reduce risk to a limb. The access cannula can also be inserted into the internal jugular vein. Echocardiography
and x-rays are used to position the cannula tips: the access cannula in the right atrium, the return cannula
directed to the lower aorta. The cannulae used in the most unstable patients (under CPR) are smaller than inmore elective cannulations, to facilitate ease and speed of insertion8.

Extra corporeal membrane oxygenation: Anaesthetic perspectives 65

Figure 1b. Veno-venous ECMO configuration

The limb with the peripheral arterial return cannula will require a back-flow cannula to perfuse the leg distally.
This anterograde cannula is much smaller than the arterial return cannula8.
VV ECMOIn veno-venous ECMO, blood is again accessed from a large central vein – ideally the vena cava – in the same
way as VA ECMO (figure 1b). Blood is returned to the venous circulation, ideally to the right atrium close to thetricuspid valve. VV ECMO cannulation is almost always peripheral with no requirement for sternotomy and used
for respiratory support10.
Various configurations of the venous cannulae are possible. Femoro-femoral and femoro-jugular configurations
use a single access cannula with the tip in the IVC and a return cannula. In femoro-femoral VV ECMO the return
tip is in the right atrium. In femoro-jugular VV ECMO the (jugular) return tip is positioned in the lower SVC, aiming
flow across the tricuspid valve8. Combined catheters that have access ports designed to extract flow from both
cava and direct return flow at the tricuspid valve also exist8.High-flow VV ECMO, used when flow rates are notsufficient with one of the above configurations, uses both a jugular (SVC) and femoral (IVC) access cannulaand a femoral return cannula.
Figure 1a. Peripheral veno-arterial ECMO configuration demonstrating retrograde flow up thedescending aorta

ECCO2R
Extra-corporeal carbon dioxide removal (ECCO2R) can be considered a specialised form of VV ECMO. When
oxygenation is adequate but hypercapnia uncontrolled the high solubility of carbon dioxide allows ECCO2R atmuch lower blood flows (<1 L/min) than VV ECMO. Therefore much smaller calibre cannulae such as a dual
lumen dialysis catheter will suffice. Very limited oxygenation will be possible11.
PHYSIOLOGY
Like the native cardiorespiratory system, the physiology of ECMO can be considered in terms of gas exchange
and blood flow components.
Gas exchange
Instead of the alveoli, gas exchange occurs at the extracorporeal membrane oxygenator. These consist of ahigh surface area blood path and fresh gas flow path, separated by the membrane itself. The arrangement of
the membrane provides the large surface area, usually by organisation into hollow fibre tubes. Commonly thelumens of these tubes are for gas flow and blood runs between the fibres. Various other configurations exist11.
Diffusive flux of respiratory gases occurs down the partial pressure gradient at the membrane. Continual deliveryof fresh gas (oxygen, without carbon dioxide) maintains these gradients. As in vivo, flux is dependent on Fick’s
Law of Diffusion:

Flux=-D.A ΔC
Δl

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Flux of solute across the membrane is thus proportional to the diffusivity coefficient (D), the area of the membrane(A) and the concentration gradient across the membrane (ΔC) and inversely proportional to membrane thickness(Δl)11. By combining the above with Henry’s Law describing the amount of gas dissolved in a liquid (kO2 =Henry’s Law constant), membrane flux of oxygen (J) can be described by:

J = -kO2.A PO2(Gas) –PO2(Plasma)Δl67

Table 1. Indications for VV ECMORESPIRATORY FAILURE WITH PREDICTED MORTALITY >50 PER CENT DUE TO:• Primary ARDS: infection, aspiration, trauma.
• Secondary ARDS: burns, distant infection.

There will be an optimal duration of blood exposure to the membrane to allow maximum oxygenation without
reaching equilibrium. Oxygenator design considers balancing blood flow rate with membrane length andresistance to flow to optimise oxygen flux11.
Unlike pulmonary gas exchange, the membrane oxygenator is susceptible to build up of protein and clotting
factors, resulting in film formation. Membrane thickness is therefore not uniform and available membrane area
decreases over time11.
The oxygen in a patient’s blood is predominantly carried by haemoglobin, not dissolved in solution. Because
haemoglobin is a saturable oxygen carrier, oxygen delivery is flow limited regardless of oxygen tension achievedat the oxygenator. In VV-ECMO, oxygen delivery relies on achieving circuit flow rates of an adequate proportionof the cardiac output11.
Maximal saturation of Hb for example at 10 g/dL allows a maximum oxygen carriage of ~13 mL/dL . Assuming
a venous saturation of 70 per cent (oxygen content ~9.3ml/dL-1) only 37 mL of oxygen can be added per litre
to typical mixed venous blood. With average oxygen consumption of 300 mL/min-1 ECMO flow and cardiac
output would need to exceed 7 L/min-1. Dropping native cardiac output (in VV ECMO) results in a fall in mixedvenous saturation and allows more oxygen uptake11.
-1

Extra corporeal membrane oxygenation: Anaesthetic perspectives -1

As in vivo, the low [CO2] at the oxygenator promotes oxygen uptake via the Haldane effect11.
In contrast to oxygen, the high solubility and more linear dissociation curve of carbon dioxide means CO2 canbe easily cleared by exposure to the fresh gas flow. In fact in VV ECMO hypocapnia is often encounteredrequiring adjustment of the fresh gas flow rate. This allows clearance of physiological levels of CO2 with much
lower blood flow rates (~500 mL/min-1 versus 5 L/min-1) for example with ECCO2R11.
Haemodynamics and flow
Flow in the ECMO circuit is driven via a pump, most commonly these are velocity pumps such as centrifugal
constrained vortex pumps. A rotor generates a centrifugal force rotating the blood path and generating negative
pressure at the central pump inlet and positive pressure towards the peripherally located outlet11.
Flow of an ideal fluid in a solid conduit will occur from high pressure to low pressure and will be opposed byresistance, described by:

Q = PInlet – POutlet
R

The ECMO circuit can reasonably be considered a solid conduit. However blood is not a uniform fluid as cells
are suspended in solution and plasma proteins may interact with the conduit walls. Blood is significantly moreviscous than water and viscosity increases with haematocrit and lower blood velocities (due to intracellularadhesive forces). This will manifest as an increased resistance to flow11.
Flow rates are displayed by the ECMO console. Flow requirements will vary between patients according toclinical picture. The minimum flow rate possible to support oxygenation or the circulation is selected to reducecomplications such as vascular access insufficiency and haemolysis. 3-6L per minute is typical in adults11.
CLINICAL APPLICATIONS
Indications
While the potential benefits are significant, ECMO remains an expensive, time consuming and potentially risky
medical intervention. It is therefore vital that careful consideration is given to ensure its delivery to the rightpatient under the right circumstances. In order to initiate ECMO there must be a reasonable expectation ofrecovery/reversibility of the underlying condition and withholding ECMO must be deemed higher risk thaninitiating it12.

• Primary graft failure post-transplant.
• Pulmonary vasculitis.
• Pulmonary haemorrhage.
The Extracorporeal Life Support Organisation (ELSO) recommend considering VV ECMO in hypoxic respiratory
failure from any cause where mortality is deemed ≥50 per cent (table 1). Parameters to assess risk of mortality
include PaO2/FiO2 ratios (<150 on FiO2 0.9 suggests a 50 per cent mortality and <100 on FiO2 0.9 suggests 80
per cent mortality) and the Murray Score (PaO2/FiO2 on FiO2 1.0, number of CXR quadrants infiltrated, PEEP
and compliance)13.
Conditions in which ECMO may be beneficial include primary and secondary acute respiratory distress syndrome(ARDS), pulmonary vasculitis, direct injury to the lung by trauma, and primary graft failure after lung transplantation8.
ELSO recommend considering VA ECMO in cardiogenic shock persisting despite optimised resuscitation
including fluid, vasopressors and inotropes or after cardiac arrest due to an easily reversible cause in which
immediate good CPR has occurred (table 2). Causes include acute myocardial infarction, myocarditis, peripartum
cardiomyopathy and post cardiotomy shock14,15.
Table 2. Indications for VA ECMO
Refractory cardiogenic shock due to:• Acute coronary syndrome.
• Acute fulminant myocarditis.
• Acute cardiomyopathy for example peri-partum.
• Pulmonary embolism.
• Toxidromes.
• Primary graft failure.
• Failure to wean from cardiopulmonary bypass.
Cardiac arrest with immediate CPR (from a reversible cause).
Various forms of decompensated chronic cardiac failure may be considered for ECMO if no contra-indications
exist and recovery is expected. Less commonly, ECMO is considered for patients with non-recoverable cardiac
disease as a bridge to VAD or transplant14. In practice this sometimes results in ECMO as a “bridge to decision”
allowing time to consider potential destinations for critically unstable patients.
Contraindications
The boundaries of ECMO contraindications are being continually pushed and each patient is considered on
their own merits. However some “absolute” contra-indications are still widely agreed upon (table 3). These
include advanced age (variable but often >75), severe additional chronic organ failure (emphysema, cirrhosis,
renal failure) and non-recoverable comorbidities such as severe brain injury or terminal malignancy8.
ECMO is contraindicated if prolonged CPR has been on-going without adequate perfusion15. In addition, if aheart is deemed unrecoverable and the patient is not a candidate for a VAD or transplant, VA ECMO isinappropriate as a “bridge to nowhere”14.

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Table 3. Contraindications ECMO
• Advanced age (>75).
• Severe chronic organ failure (cirrhosis, renal failure, emphysema).
• Severe brain injury.
• Advanced malignancy.
• Non-recoverable pathology (and not a transplant candidate).
There are a number of “relative” contraindications in which ECMO is less likely to produce a good outcome.
These depend on ECMO mode. VV ECMO is associated with poorer outcomes in patients who have beenmechanically ventilated with high settings (FiO2, PPlat) for more than seven days and in those showing signsof multi-organ failure including severe myocardial depression, failure of the microcirculation, high lactate andhigh vasopressor requirements8.
Certain respiratory conditions respond less favourably including interstitial lung disease, cryptogenic organisingpneumonia and cystic fibrosis (except as a bridge to transplant)8.
VA ECMO is associated with poor outcomes in severe unrepaired valvular disease and in cardiogenic shockassociated with multiple severe organ failure. Signs include renal failure (anuria >4h), hepatic failure (hightransaminases and INR), microcirculatory failure and high lactate. VA ECMO cannot be successfully initiatedin aortic dissection8.
Initiation
Central ECMO is performed by cardiothoracic surgeons in the operating theatre. Peripheral ultrasound guided
cannulation can involve emergency medicine physicians, intensivists and anaesthetists in the emergency
department or intensive care.
The time critical nature of ECMO requires a rapid response from the ECMO team in order to enable assessment
for eligibility (as described above) and prompt initiation, particularly in the arrested patient. Well-drilled teams
with standardised equipment and bed space set-ups will be able to deliver the timeliest ECMO interventions16.
Maintenance
Patients on ECMO will be cared for on the intensive care unit. In addition to the standard care for any criticallyill patient and treatment of underlying pathology, ECMO patients will require specific management on pump.
The response to ECMO emergencies is described in complications.
Each institution will need clearly defined protocols to guide supportive care on ECMO. Additional parameters
requiring careful monitoring include cannula position, distal limb perfusion, plasma free haemoglobin, CO2 andtherefore fresh gas flow sweep rate, oxygenator pressure gradient and presence of clots anywhere in the circuit.
Pressure area care is important and safe with peripheral ECMO as long as a dedicated person holds the cannulae
throughout. Rolling is not advised with central ECMO8.
Weaning
Assessing patient suitability for weaning from ECMO depends on the type of support. Weaning VV ECMO will
be attempted when signs of lung recovery are present. These may include improved compliance (improving
tidal volumes/reducing PPlat) and resolving pulmonary infiltrates13.
To wean off VV support, the fresh gas flow rate is incrementally reduced until patients have tolerated several
hours of no fresh gas flow. Ventilation will need to be increased to maintain oxygenation and CO2 clearance.
Generally while fresh gas flow is delivered it is at an FiO2 of 1.0. Circuit blood flow usually remains unchanged.
No change in blood flow means there is no increased risk of haemostasis or need for additional anticoagulation8.
In VA ECMO, formal echocardiographic weaning studies are required to assess the heart’s ability to perfuse
the systemic circulation at incrementally decreasing amounts of ECMO blood flow. This reducing blood flow
will require additional anticoagulation. Various protocols are available to guide VA ECMO weaningechocardiographic studies8.
Decannulation
Central ECMO will require a return to theatre to complete treatment, either for decannulation or for transition
to VAD or transplant. Peripheral VV ECMO may be possible to decannulate outside of theatre (on the ICU) withpressure applied to the cannula sites after removal. Many centres will decannulate in theatre with vascularsurgery available to repair vessels. This is necessary for removal of arterial cannulae8.
Transport
Transport of the patient on ECMO is increasing and provides an additional set of challenges to those involvedin transporting any critically ill patient. A patient unstable enough to require ECMO is likely to be extremely
dangerous to move prior to its commencement. As such there may be a need for teams to travel to referring

Extra corporeal membrane oxygenation: Anaesthetic perspectives 69

hospitals without in house ECMO capabilities, cannulate on site and transport the patient back to the ECMO
centre on pump6.
Some non-ECMO centres are able to commence ECMO in extremis, for example in the context of E-CPR.
Outcomes will be improved for these patients if, once stable, they are transported to an ECMO centre6.
Logistical obstacles can be significant when travelling with a patient on ECMO. Standard size road and air
vehicles may not be large enough to accommodate patient, equipment and staff. Adequate oxygen and power
supplies are vital. Experienced ECMO staff with the knowledge and equipment to respond to ECMO emergencies
must accompany patients. While complications are not uncommon, with high volume and experienced teams
intra-hospital transportation is safe, with mortality at 0.5 per cent17.
COMPLICATIONS
Complications on ECMO unfortunately remain common, although with increasing experience their management
is becoming better understood. Complications are patient or circuit related (mechanical).
Patient complications
The most devastating patient related complication is massive intracranial haemorrhage, related to the need forsystemic anticoagulation (table 4). It is therefore important to avoid hypertension. Patients are also at risk ofother haemorrhagic complications, including bleeding around the cannulae (which can be extensive), bleedingat other surgical sites (intrathoracic, abdominal, retroperitoneal), gastrointestinal haemorrhage and pulmonary
haemorrhage10. Overall bleeding and coagulopathy are the most common complications on ECMO, reported
at 5-79 per cent. Careful monitoring of haematological parameters including maintenance of platelet count>100,000 cells/µL can reduce bleeding risk18.
Table 4. Patient complications on ECMO
• Bleeding and coagulopathy.
• Thrombosis.
• Neurological catastrophe.
• Infection.
• Differential hypoxia (VA ECMO).
Conversely, patients on ECMO are also at risk of thrombotic complications, illustrating the delicate balance ofanticoagulating this population. As well as thrombus in the ECMO circuit, patients on VA ECMO with poor or
non-existent native cardiac pulsatility are at risk of forming intracardiac thrombus. This can then result in arterial
embolisation and downstream ischaemia, including ischaemic stroke. Limb ischaemia as a result of the direct
mechanical effects of the large cannulae is also seen9.
Between the bleeding and thrombotic risks, the potential for neurological complications, sometimes disastrous,
is high on ECMO10.
After bleeding and thrombosis, infection is the most common patient-related complication seen on ECMO,
reported in as many as 45 per cent. Many ECMO patients will have an initial underlying infective process. Critical
illness and multi-organ failure increase the risk from infection19.
Risk of iatrogenic infection is also high; these most critically ill patients require a variety of invasive indwelling
equipment including the large ECMO cannulae themselves. Changing invasive lines is difficult and risky on
ECMO and lines often therefore remain in for longer than standard19.
Infection can be difficult to identify on ECMO. Heat loss via the circuit may mask a fever. Native ability to mounta standard immune response may be impaired by altered inflammatory responses due to blood exposure to
the ECMO circuit. Strict aseptic techniques and vigilance in monitoring for infection, including surveillance
blood cultures, is wise. No role has been established for prophylactic antibiotics7.
These patients are critically ill and at risk of cardiac arrest. Management of cardiac arrest depends on the formof ECMO. On VA ECMO the aetiology of loss of cardiac contractility may include ventricular dysrhythmia,
ventricular standstill or asystole. Cardiac compressions will not be required. However ECMO support shouldbe optimised, the cause should be sought (with echo and attention to electrolytes) and dysrhythmias shouldbe treated. Ventricular standstill or asystole should be treated with adrenaline as in standard advanced cardiac
life support (ACLS) care8.
On VV ECMO there is no cardiac support and so cardiac arrest will require immediate ACLS management
including chest compressions as in any other patient. Again specific management of arrhythmias and identifying
and managing reversible causes as in any ACLS algorithm resuscitation (electrolyte abnormality, pneumothorax)

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is required. Access insufficiency is common under arrest on VV ECMO and may necessitate a reduction inpump speeds8.

which cannot be immediately controlled will likely require clamping of the circuit, cessation of the pump andan emergent circuit change whilst life support measures are in progress8.

A complication specific to VA ECMO is differential hypoxia or harlequin man syndrome. This is often seen
following the return of some native cardiac function when pulmonary gas exchange remains poor. The oxygenatedblood from the ECMO circuit, being directed into the distal aorta, will preferentially perfuse the lower body.
Blood coming from the left ventricle, which has been oxygenated via the lungs, will provide the majority ofblood to the coronary and cerebral circulations. If pulmonary gas exchange is poor, these vital circulations may
be inadequately oxygenated10.

Similarly, accidental decannulation while dependent on ECMO support will require life support measures,clamping of the circuit and management of bleeding or assessment for air embolism depending on whether
pre- or post-pump. Advancement may be possible of a partially removed cannula, otherwise emergent
recannulation may be required. Meticulous attention to securing of cannulae and avoiding any tension on thelines is essential to reduce the risk of decannulation8.

Monitoring saturations in the right arm enables surrogate monitoring of coronary and cerebral oxygenation, as
the brachiocephalic trunk supplying the right arm and carotid originates immediately after the coronary arteries11.
Mechanical (circuit) complications
Problems are possible at any point in the ECMO equipment and may be rapidly disastrous if the patient is fully
dependent on ECMO support. A prompt response to any circuit complication is essential. Meticulous attention
to cannula position both at insertion and throughout the ECMO run can reduce the risk of many mechanicalcomplications (table 5)7.
Table 5. Mechanical complications on ECMO
• Access insufficiency.
• Recirculation.
• Vascular injury.
• Circuit breach: air embolism, blood loss.
• Decannulation.
• Thrombus formation: consumptive coagulopathy, oxygenator failure.
• Pump failure.
One of the most commonly seen mechanical complications is some degree of access insufficiency. This
represents inadequate venous flow as compared to the negative pressure exerted on the access cannula by
the pump. The resulting suction of the venous walls into the access ports will result in their occlusion. Depending
on severity, the access line may be seen to shake or “chatter”. Blood flow may fall and not respond to increasing
pump speeds. When significant, this can result in a loss of adequate support7.
A prompt response to access insufficiency including establishing the cause is necessary. Dropping the pumpspeed will reduce the negative pressure and may improve the situation, but this must be balanced carefully
with the need to maintain adequate ECMO support. A cautious bolus of fluid is likely to improve flow; however
this is not possible as a repeated strategy as massive volume overload can ensue8.
Identification and correction of the underlying cause is ideal. The most common cause is hypovolaemia andaccess insufficiency should prompt a careful search for bleeding. Bedside echocardiography can help identify
pneumothorax and cardiac tamponade. Change in patient status such as waking, moving or coughing should
be identified and managed. Intra-abdominal hypertension may be a more subtle cause of access insufficiency8.
If no patient causes are identified, careful assessment of ECMO settings and cannulae position is required.
Excessive revolutions per minute will respond to lowering flow rate, as long as adequate support is maintained.
Suboptimal cannula position (i.e. too distal in the IVC) will require repositioning. If reversible causes have been
ruled out, insertion of a second access cannula (i.e. conversion to high flow ECMO) may be required8.
Another potential cannula position related complication seen in VV ECMO is recirculation. If the tips of the twocannulae are not sufficiently distant from each other, blood may flow preferentially from one cannula to theother, with little oxygenated blood reaching the systemic circulation. Oxygenation will be inadequate and little
colour difference will be seen between the cannulae. Ensuring cavo-atrial direction of flow and a distance ofat least 10-15cm between cannulae tips should minimise the risk of significant recirculation7.
Arterial cannulae are also vulnerable to malpositioning. Too low in the descending aorta and coronary andcerebral blood flow may be inadequate. Too high and the increased afterload may worsen left ventricular failure.
If the cannula migrates through the aortic valve then valvular insufficiency and ventricular rupture are possible7.
Any breach in the ECMO circuit can have immediate and catastrophic consequences. Alcohol containing
solutions must not come into contact with the circuit due to the risk of brittleness and cracking. A breach after
the pump head will result in immediate forceful ejection of blood. A breach before the pump head will cause
massive entrainment of air, which will de-prime the pump and result in a loss of ECMO support. Any breachAir embolism can occur in the absence of an overt circuit breach or decannulation, for example during cannulationof a central vessel while on ECMO support (commonly at conversion to high-flow). The circuit must be clamped
and the pump turned off. The patient should be placed head down while life support measures are in progress.
Either a circuit change will be required or the existing circuit may be “de-aired” and reprimed with the patient’s
blood8.
As described earlier, the ECMO circuit is prone to formation of thrombus and some burden of clot within thecircuit is not uncommon. Small clots may be well tolerated without incident and are often seen in the membrane
oxygenator and other regions of turbulent flow such as at connection points. Careful surveillance of circuit clots
is essential however as large clots can have significant sequalae7.
Thrombus may travel into the patient’s circulation. A large burden of clot can cause coagulation system activationand platelet consumption. Monitoring of platelets, D-dimer and fibrinogen may illustrate the need for an elective
circuit change. More dramatically, a large clot can lead to oxygenator failure, requiring a circuit change. Signsof oxygenator failure include an increased pressure gradient across the membrane, platelet consumption andhaemolysis. Rarely this is acute and requires an urgent circuit change7. An important consideration is if a patient
anticoagulated with heparin develops HITTS while still ECMO dependent; many of the non-heparin anticoagulants
require factor Xa monitoring however this measurement is inaccurate in the presence of haemolysis.
Pump failure represents failure of the pump (itself or the console) to drive forward flow of blood. In a fully
dependent circulation the absence of valves in the ECMO circuit will allow retrograde flow. If some degree ofnative cardiac contractility exists then varying degrees of hypotension +/- hypoxia will ensue. Causes of pump
failure include power failure and pump head disengagement. Interim support is provided via the emergency
drive unit (“hand crank”) while the cause is determined or the patient is transferred to a new console8.
ANAESTHESIA ON ECMO
Why do ECMO patients go to the operating theatre?
Cardiac anaesthetists may be used to transitioning patients to ECMO when they cannot be weaned from CPB.
In addition, theatre may be the location of ECMO cannulation either centrally or peripherally – whether
percutaneously or via cut down. Central ECMO and peripheral VA ECMO will require decannulation in theatre8.
Patients on ECMO may require surgery for procedures unrelated to the cannulae, often due to complications
associated with ECMO. Common surgical problems seen on ECMO which may require operative intervention
include neurosurgical catastrophe, limb ischaemia and GI bleeding or ischaemia7.
Appreciating that in VA ECMO the circulation may be pulseless, the cardiac output fixed and the MAP controlled
by vasopressors is important.
ECMO pharmacology
Generally patients on ECMO in the ICU may be deeply sedated to preserve cannula position by preventing
movement and minimise discomfort. However there is an increasing trend to lighten sedation to reduce thecomplications associated with deep sedation and even allow more active physiotherapy and mobilisation12,20.
As such, patients visiting theatre for surgery may well require additional anaesthesia. It is also not uncommon
for large increases in doses of sedative and analgesic drugs to be required at the commencement of extracorporeal
life support21.
ECMO can alter drug pharmacokinetics and pharmacodynamics, although precise data on this remains scarceand predominantly exists in the neonatal population. This places patients at increased risk of both inefficacy
and toxicity. The ECMO circuit increases effective volume of distribution and can sequester drugs, altering
pharmacokinetics. Highly lipophilic or protein bound drugs are particularly vulnerable to sequestration, especiallyat the oxygenator due to its large surface area. In particular, propofol demonstrates very high levels of circuit
binding, limiting efficacy21.
Other commonly given drugs such as inotropes, vasopressors and antibiotics may also be subject to altereddose requirements on ECMO21. In addition, the anaesthetist must be aware of the current anticoagulation status
and thus bleeding risk of the patient on the table.

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Ventilation strategies
A key aim of VV ECMO is to facilitate lung recovery. As such, ventilation settings are kept minimalistic or
ultraprotective. Evidence is still sparse on the best protocol, but common features include low rate, low tidal
volume (<4 mL.kg-1), low FiO2, low plateau pressure, long inspiratory time and PEEP 5-15 mmHg. Inadequate
oxygen saturations are best addressed not by adjusting ventilation, but by assessing adequacy of extracorporeal
support12.
EVIDENCE
The evidence base for ECMO is growing but limited. Literature review reveals many papers, but the vast majority
detail single centre experiences with significant heterogeneity between patient populations. A Cochrane review
published in 2015 identified only four RCTs comparing ECMO to standard care in the last four decades. These
only covered VV ECMO, not VA, and were too heterogeneous to allow data pooling for meta-analysis22.
Information on ECMO outcomes is increasing with experience however. The ELSO registry collects outcome
data on all ECMO runs submitted. In adult ECMO, survival to discharge rates as of January 2015 for VV support
were 57 per cent and for VA support were 41 per cent. These vary according to indication1.
Although the body of experience and knowledge regarding the use of ECMO continues to grow, it is difficult
to imagine designing robust and ethical RCTs comparing ECMO to standard care in those patients in extremis
with few remaining treatment options.
ETHICAL CONSIDERATIONS
The increasing use of ECMO presents ethical questions. Careful patient selection is vital. Who gets this extremely
resource intensive intervention and who doesn’t? Can the cost of a long ECMO run be justified at all in comparison
to other investment elsewhere in the health system?
Informed consent is often impossible as qualifying patients are likely to be too sick to participate in discussion.
The time critical nature of initiating emergent ECMO support can mean that discussion with families is at riskof being rushed and inadequate23.
One of the most difficult ethical issues is when to cease ECMO support if it has either become clearly futile or
no longer in the patient’s best interests. A frank discussion with family prior to commencement about whatgoals of support and reasonable time frames may look like can reduce subsequent conflict. A recent ethics
committee review concluded that ethical issues surrounding this technology in many ways echo the traditional
ethical concerns around appropriate use of more familiar life sustaining treatments23.
CONCLUSION
Increasing use of ECMO means anaesthetists are likely to see more of this life saving technology. Whilecontroversies and complications remain, this is an exciting time in ECMO provision and understanding thistechnology will be beneficial to all involved in care of the critically ill.
REFERENCES

1. Extracorporeal Life Support Organisation. Extracorporeal life support registry report [Internet]. Ann Arbor: Extracorporeal
Life Support Organisation, 2017. From: https://www.elso.org/Registry/Statistics/InternationalSummary.aspx. Accessed
22 June 2017.
2. Rashkind WJ, Freeman A, Klein D, Toft RW. Evaluation of a disposable, plastic, low volume pumpless oxygenator as a lung
substitute. J Pediatr. 1965;66(1):94–102.
3. Dorson W Jr, Baker E, Cohen ML, Meyer B, Molthan M, Trump D, et al. A perfusion system for infants. Trans Am Soc Artif
Intern Organs. 1969;15(1):155–160.
4. Hill JD, O’Brien TG, Murray JJ, Dontigny L Bramson ML, Osborn MD, et al. Prolonged extracorporeal oxygenation for
acute post traumatic respiratory failure (shock lung syndrome). Use of the Bramson membrane lung. N Engl J Med.
1972;286(12):629–634.
5. Morris AH, Wallace CJ, Menlove RL, Clemmer TP, Orme JF Jr, Weaker LK. Randomised clinical trial of pressure controlledinverse ratio ventilation and extracorporeal CO2 removal for adult respiratory distress syndrome. Am J Respir Crit CareMed. 1994;149(3):295–305.
6. Peck GJ, Mugford M, Tiruvoipati R, Wilson A, Allen E, Thalany MM, et al. Efficacy and economic assessment of
conventional ventilator support versus extracorporeal membrane oxygenation for severe adult respiratory failure (CESAR):a multicentre randomised controlled trial. Lancet. 2009;374(9698):1351–1363.
7. Allen S, Holena D, McCunn M, Kohl B, Sarani B. A review of the fundamental principles and evidence base in the use of
extracorporeal membrane oxygenation (ECMO) in critically ill adult patients. J Intensive Care Med. 2011;26(1):13–26.
8. Pellegrino V, Sheldrake J, Murphy D, Hockings L, Roberts L. Alfred Health extracorporeal membrane oxygenation (ECMO)
guideline [Internet]. 2012. From: www.alfredicu.org.au/assets/Documents/ICU-Guidelines/ECMOGuideline.pdf. Accessed
22 June 2017.
9. Martinez G, Vuysteke A. Extracorporeal membrane oxygenation in adults. Contin Educ Anaesth Crit Care Pain.
2012;12(2)57-61.
10. Makdisi G, Wang I. Extracorporeal membrane oxygenation (ECMO) review of a lifesaving technology. J Thorac Dis.
2015;7(7):166-176.

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11. Brain MJ, Butt WW, Maclaren G. Physiology of extracorporeal life support (ECLS). In: Extracorporeal Life Support for
Adults. Schmidt GA, editor. New York: Springer, 2016. p. 1–60.
12. Extracorporeal Life Support Organisation. ELSO guidelines for cardiopulmonary life support [Internet]. Ann Arbor:
Extracorporeal
Life
SupportOrganisation,
2013.
From:
https://www.eslo.org/Portals/0/IGD/Archive/
FileManager1929122ae88cusershyerdocumentselsoguidelinesgeneralalleclsversion1.3.pdf. Accessed 22 June 2017.
13. Extracorporeal Life Support Organisation. ELSO adult respiratory failure supplement to the ELSO general guidelines[Internet]. Ann Arbor: Extracorporeal Life Support Organisation, 2013. From: https://www.eslo.org/Portals/0/IGD/Archive/
FileManager989d4d4d14cusershyerdocumentselsoguidelinesforadultrespiratoryfailure1.3.pdf. Accessed 22 June 2017.
14. Extracorporeal Life Support Organisation. ELSO adult cardiac failure supplement to the ELSO general guidelines [Internet].
Ann Arbor: Extracorporeal Life Support Organisation, 2013. From: https://www.eslo.org/Portals/0/IGD/Archive/
FileManager/e76ef78eabcusershyerdocumentselsoguidelinesforadultcardiacfailure1.3.pdf. Accessed 22 June 2017.
15. Extracorporeal Life Support Organisation. ELSO ECPR supplement to the general guidelines [Internet]. Ann Arbor:
Extracorporeal Life Support Organisation, 2013. From: https://www.eslo.org/Portals/0/IGD/Archive/FileManager/6713186
7cusershyerdocumentselsoguidelinesforecprcases1.3.pdf. Accessed 22 June 2017.
16. Bernard S. Alfred Health extracorporeal membrane oxygenation during cardiopulmonary resuscitation (ECMO-CPR)
guideline [Internet]. 2012. From: www.alfredicu.org.au/assets/Documents/ICU-Guidelines/ECMO/ECMOCPRGuideline
2012 draft6.pdf. Accessed 22 June 2017.
17. Broman LM, Holzgraefe B, Palmer K, Freckner B. The Stockholm experience: interhospital transports on extracorporeal
membrane oxygenation. Crit Care. 2015;19:278–283.
18. Mehta H, Eisen HJ, Cleveland JC. Indications and complications for VA-ECMO for cardiac failure [Internet]. American
College of Cardiology Expert Analysis, 2015. From: www.acc.org/latest-in-cardiology/articles/2015/07/14/09/27/
indications-and-complications-for-va-ecmo-for-cardiac-failure. Accessed 22 June 2017.
19. Sun HY, Ko WJ, Tsai PR, Sun CC, Ghan YY, Lee CW, et al. Infections occurring during extracorporeal membrane
oxygenation use in adult patients. J Thorac Cardiovasc Surg. 2010;140(5):1125–1132.
20. DeGrado JR, Hohlfelder B, Ritchie BM, Anger KE, Reardon DP, Weinhouse GL. Evaluation of sedatives, analgesics andneuromuscular blocking agents in adults receiving extracorporeal membrane oxygenation. J Crit Care. 2017;37:1–6.
21. Taylor MA, Maldonado Y. Anaesthetic management of patients on ECMO. In: Extracorporeal membrane oxygenation –advances in therapy [Internet]. Firstenberg MS, editor. Intech, 2016. From https://www.intechopen.com/books/
extracorporeal-membrane-oxygenation-advances-in-therapy. Accessed 23 June 2017.
22. Tramm R, Ilic D, Davies AR, Pellegrino VA, Romero L, Hodgson C. Extracorporeal membrane oxygenation for critically ill
adults. Cochrane Database Syst Rev. 2015;(1):CD010381.
23. Makdisi T, Makdisi G. Extracorporeal membrane oxygenation support: ethical dilemmas. Ann Transl Med. 2017;5(5):112–
116.

With thanks to James Farndon at jfarndondesign for the figures.

Coagulation
Introducing viscoelastic haemostatic assay-guided
blood product transfusion into your hospital
Megha Jain, Erin Chamberlen, Kathryn Santifort,
Surbhi Malhotra, Catherine Downs
Rotational thromboelastometry (ROTEM®) in obstetrics
Julie Lee, Kerstin Wyssusek, Jeremy Cohen, Andre Van
ZundertFibrinogen concentrate for acquired hypofibrinogenaemia
Hamish Mace, Mansi Khanna
Evidence, new methods and current practice ofpoint-of-care coagulation testing in major haemorrhage
Michael C Reade, James Winearls
Intraoperative cell salvage
Laura Willington, Michelle RoetsIntroducing viscoelastic haemostatic assay-guided blood product transfusion into your hospital

77

Introducing viscoelastic haemostatic assay-guided blood producttransfusion into your hospital
MEGHA JAIN, MBBS

Department of Anaesthesia, Anaesthesia Fellow, Prince of Wales Hospital, Randwick, New South Wales,
Australia.
Dr Megha Jain is an anaesthesia Fellow in paediatric and perioperative anaesthesia. Her other interests are
obstetric anaesthesia and teaching.
ERIN CHAMBERLEN, B Pharm MBBS FANZCA

Department of Anaesthesia, Consultant Anaesthetist, Prince of Wales Hospital and Royal Hospital for Women,
Randwick, New South Wales, Australia.

Dr Erin Chamberlen is a consultant anaesthetist at Prince of Wales, Royal Hospital for Women and the RoyalPrince Alfred Hospitals in Sydney. She has a particular interest in obstetric anaesthesia, the management ofmajor haemorrhage and the rational use of blood products.
KATHRYN SANTIFORT, BN, GradDipN

Registered Nurse, Prince of Wales Private Hospital, Randwick, New South Wales, Australia.

Kathryn Santifort is an anaesthetic nurse working across general, obstetrics, paediatric and cardiac surgery.
She has a special interest in the management of massive transfusion and anaesthetic emergencies.
SURBHI MALHOTRA, MBCHB, FRCA, FANZCA

Department of Anaesthesia, Director of Anaesthesia, Royal Hospital for Women, Randwick, New South Wales,
Australia.

Dr Surbhi Malhotra trained at the University of Glasgow and Imperial School of Anaesthesia, London. She isan obstetric anaesthetist and has written books and published widely in this field obtaining several national
grants for research.
CATHERINE DOWNS, MBBS (Hons) FANZCA

Department of Anaesthesia, Consultant Anaesthetist, Prince of Wales Hospital, Randwick, New South Wales,
Australia.

Dr Catherine Downs is primarily a cardiac anaesthetist at Prince of Wales Hospital, and Head of Anaesthetics
at Prince of Wales Private Hospital in Sydney. Her interest in improving the management of major cardiac andobstetric haemorrhage has spanned two decades.
INTRODUCTION
There are always challenges when new technology is introduced. In 2015, our hospital campus decided tointegrate thromboelastometry into our practice by way of rotational thromboelastometry, ROTEM®. The term
“viscoelastic haemostatic assays” (VHA) is used to describe the point-of-care coagulation testing used inpatients with clinically significant bleeding to guide whether the patient requires tranexamic acid, cryoprecipitate,
fresh frozen plasma (FFP) or platelets. There are two VHA-technologies in use: ROTEM® and thromboelastography,
TEG®. There was no previous experience of VHA in any speciality across any of the four hospitals that are colocated on the campus (adult, children’s, women’s and private hospital). We were the first centre in Australia
to purchase the new generation ROTEM® sigma machine. With this system, a whole-blood sample is added toa cartridge and a result is available in less than 10 minutes. This test can be performed with minimal training.
This has been very useful on our campus and has added a new dimension to the analysis and management of
the bleeding patient. This article will examine the science of VHA and how it was introduced on our campus.
PART ONEWHAT ARE VISCOELASTIC HAEMOSTATIC ASSAYS?
VHA is not a new concept, it was developed during World War II and was described by Hartert in 19481 when
he used the viscoelastic properties of blood to measure coagulation. The technology has been widely used inEurope for the last 20 years2, initially for hepatic patients3 and later in cardiac surgical patients and today tohelp manage general surgical, trauma and obstetric patients.
ROTEM® analyses whole blood and creates a graphical representation (the Temogram) of clot formation andclot lysis. It provides information more aligned with the cell-based model of coagulation.  
• ROT – refers to the rotational aspect of the test (some technologies use laminated plates rather thanrotational technology).
• TEM – refers to the Temogram that is produced, which is a graphical representation of the viscoelastic
forces produced during clot formation and clot lysis.  

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In 2015, newly developed cartridge-based VHA4 became available, including the TEG6® and ROTEM® sigma
machines. This significant advance in VHA technology means that testing can now be easily performed by staff
present at the point of patient care.
THE BENEFITS OF VISCOELASTIC HAEMOSTATIC ASSAYS
VHA have the potential to reduce the use of unnecessary blood products thereby saving resources, money andpotentially improving patient outcomes. When using massive transfusion protocols (MTPs), most centres use
ratio of 1:1:1 [FFP: platelets: red blood cells (RBC)]. Recent studies suggest higher ratios might be beneficial5,6
as transfusion-related adverse events, such as transfusion-related acute lung injury, are more common withincreasing volumes of blood product transfused7,8. Balancing optimal transfusion ratios with transfusion-related
adverse events is an inherent challenge when using MTPs.

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The TEMOGRAM16: Each of the ROTEM® tests produces a separate Temogram. The key parameters to note ina Temogram are shown in figure 1.
Figure 1. Temogram15, 17

Traditionally MTPs have dictated the products that a patient may need, accompanied by traditional coagulation
testing. In the critically bleeding patient there is still a place for a MTP initially, to allow red cells to be released,with VHA guiding the use of other products. VHA reveal underlying clotting abnormalities that can be corrected
before results of traditional activated partial thromboplastin time (APTT), international normalised ratio (INR) or
fibrinogen testing9 can be made available. The results allow transfusion to be tailored to the individual clinicalscenario.
THE SCIENCE OF VISCOELASTIC HAEMOSTATIC ASSAYS
The following information is sourced from the ROTEM® company, research conducted by the National HealthService in Scotland10 and other supporting documents11-15.
How do you perform a VHA test using the ROTEM®?
A sample of the patient’s blood is added to a blue-top citrate-containing coagulation tube. The tube is inverted
and placed within a cartridge that has five adjacent cuvettes/cups. Blood is channelled along the cartridge tofill the cuvettes, each of which assesses a different aspect of haemostasis, including a control. The cuvettes
contain a reagent that activates clotting. Some also have an additive that inhibits one component of coagulation,
thus isolating and assessing a separate component of haemostasis.
Each cuvette has a pin suspended by a torsion wire. During the test the pin oscillates within the cup. While theblood is liquid this rotational movement is unrestricted, but as the blood clots the rotation of the pin is increasingly
restricted. This resistance to rotation is detected, measured and displayed as a Temogram. The Temogram
displays amplitude versus time. The amplitude is a measure of clot strength – the bigger the amplitude, thestronger the clot.
How do you interpret a ROTEM®?
The ROTEM® sigma tests: Four tests are run simultaneously. Each one assesses a different aspect of
coagulation. For cardiac surgery patients, a HEPTEM cartridge is used (which tests EXTEM, FIBTEM, INTEM,HEPTEM) while the APTEM cartridge is usually used in non-cardiac patients (tests EXTEM, FIBTEM, INTEM,APTEM), see table 1.
Table 1.

PART TWOTESTSIMILAR TRADITIONAL TESTINFORMATION  

EXTEM

PT

Assess EXTrinsic pathway

FIBTEM

Fibrinogen level

Assess FIBrinogen contribution

INTEM

aPTT

Assess INTrinsic pathway

HEPTEM

aPTT with heparin removed

Assess the effect of heparin  
SAME test as INTEM without the effect of heparin  

APTEM

PT with tranexamic acid added

Rapid detection of lysis
SAME test as EXTEM test with antifibrinolytic added

THE INTRODUCTION OF VISCOELASTIC HAEMOSTATIC ASSAYS INTO CARDIOTHORACICTHEATRES AND THE CARDIAC INTENSIVE CARE UNIT, INCLUDING THE DEVELOPMENT OF OUR
LOCAL ALGORITHM
In early 2015 we trialled the TEG6® and ROTEM® technologies. We were guided by haematologists to purchase
the ROTEM® system. The first two ROTEM® sigma machines were installed in the fourth quarter of 2015. The
initial algorithm used was chosen by senior clinicians. This was the Scottish National Health Service (NHS)
algorithm, developed by Professor Nimmo (Appendix 118). No education was provided prior to the arrival of themachines as there was no on-campus expertise, nor any reason to expect that implementation would be
problematic.
In the first quarter, we paradoxically experienced an increase in blood product transfusion rates as clinicians
followed old and new guidelines for transfusion. In response to feedback, a simplified local algorithm (figure 2)
was created with an accompanying traffic light label (figures 3 and 4) for communicating results. This made iteasier for junior staff to make clinical decisions based on test results. The key data is transcribed from the
ROTEM® screen onto the label and the JMO or nurse are then able to circle the range identified and communicate
red zone results with appropriate urgency.

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Figure 2. Cardiac and vascular ROTEM® transfusion algorithm

Australasian Anaesthesia 2017

Introducing viscoelastic haemostatic assay-guided blood product transfusion into your hospital

Figure 3. ROTEM® analysis and treatment plan label

Figure 4. Traffic light guide

TREAT

WAIT &RE-TESTNORMAL

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As education continued and interpretation of algorithms was refined, there was a reduction in transfusion rates
over the subsequent quarters throughout 2016. This reflected acceptance that there was scope for improvement
as well as familiarity by staff with the indications, technology and interpretation of the cardiac transfusion
algorithm.

Introducing viscoelastic haemostatic assay-guided blood product transfusion into your hospital

Figure 6. Pooled platelets transfusion rate – (61/204 (30%) versus 44/231 (19%), Chi2 = 4.24, P=0.04)

Platelets

Specific to the cardiac scenario is the option to check a ROTEM® during rewarming on cardiopulmonary bypass
whereby normal clot strength, as measured at EXTEM and INTEM A5, is reassuring. The ROTEM® test shouldbe performed at least ten minutes after the initial dose of protamine to look for effective reversal of heparin andguide product transfusion.
LOCAL DATA BEFORE AND AFTER THE IMPLEMENTATION OF ROTEM®
To assess if the implementation of ROTEM® had been successful, Ethics Committee approval was obtained
and a local study was conducted. Data was collected on blood product use in all patients undergoing cardiac
surgery from April 2015 to the end of December 2016. We examined the use of RBC, FFP, platelets andcryoprecipitate, and the incidence of reoperation for bleeding. Costs of blood product use were estimated. The
implementation period from arrival of the ROTEM® machine during the fourth quarter of 2015, to the development
and education around our local algorithm took nine months. We compared data for the two quarters prior to
the arrival of the ROTEM® machine, to the two quarters after the nine-month implementation period.
We included a total of 435 patients; 204 in the pre-ROTEM® implementation group and 231 in the post-ROTEM®
implementation group. After implementation of the algorithm, fewer patients required FFP (43/204 (21%) versus
26/231 (11.2%) Chi2 = 7.8, P=0.005) (figure 5) and pooled platelets (61/204 (30%) versus 44/231 (19%) Chi2 =4.24, P=0.04) (figure 6). There was no statistically significant change in RBC transfusion (103/204 (50%) versus
95/231 (41%), P=0.05) (figure 7) or cryoprecipitate transfusion (12/240 (6%) versus 16/231 (7%), Chi2 0.16,
P=0.67) (figure 8) or the number of cases requiring surgical re-exploration for bleeding (6/204 (3%) versus 3/231(1%), P=0.23) (figure 9). The calculated cost of blood products used went from a median of $803.88 to $401.94
per patient (P=0.12).
Figure 5. FFP transfusion rate – (43/204 (21%) versus 26/231 (11.2%) Chi2 = 7.8, P=0.005)

Fresh Frozen Plasma

Figure 7. RBC transfusion rate – (103/204 (50%) versus 95/231 (41%), P=0.05)

Packed Red Blood Cells

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Figure 8. Cryoprecipitate transfusion rate – (12/240 (6%) versus 16/231 (7%), Chi2 0.16, P=0.67)

Cryoprecipitate

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The introduction of a ROTEM®-guided algorithm for blood product transfusion resulted in a statistically significant
reduction in patients receiving FFP and platelets. An increase in cryoprecipitate use was anticipated by the
new algorithm but did not occur. There was no statistically significant change in the transfusion of RBCs. We
found a non-statistically significant reduction both in the number of surgical cases re-explored for bleeding andthe median cost of blood transfusion. Although neither reduction was statistically significant, our estimates ofthe magnitude of these reductions would be clinically significant if confirmed in a larger sample. We recommend
further data be sought in this regard. These results support the use of the ROTEM®-guided blood transfusion
algorithm in management of bleeding patients in cardiac surgery.
PART THREE
THE EVIDENCE FOR VHA IN NON-CARDIAC SURGICAL PATIENTS
Viscoelastic haemostatic assays in obstetrics
There is some evidence to support the use of VHA as an aid to guiding blood product administration in majorobstetric haemorrhage. The obstetric patient is unique in her pro-coagulant state. Traditionally the managementof major obstetric haemorrhage has been the formula-driven MTP – a recommendation based on evidence
extrapolated from observational studies in the non-pregnant population (PROMMTT)19 and the military setting20,21.
This formulaic approach means that obstetric patients receive products from donors with comparatively reduced
fibrinogen levels and other clotting factors.
A group at Liverpool Women’s Hospital22 in the United Kingdom have demonstrated the superiority of VHAguided fibrinogen concentrate administration compared to use of a MTP in the treatment of major obstetrichaemorrhage. The fibrinogen concentrate group received fewer RBCs, FFP, platelets and cryoprecipitate, as
well as less transfusion-associated circulatory overload and a non-significant reduction in hysterectomy. They
have since expanded on their findings with a four-year retrospective analysis of VHA-guided fibrinogenconcentrate, with further convincing evidence of improved clinical outcomes, and reduced transfusion rates
compared to patients who had received blood products directed by a MTP23.

Figure 9. Reoperation for bleeding rate – (6/204 (3%) versus 3/231 (1%), P=0.23)

Reoperation Rate for Bleeding

Viscoelastic haemostatic assays in trauma settings
The trauma patient presents a unique situation where haemorrhage can be complicated by a multi-factorial
trauma-induced coagulopathy (TIC)16,20,24,25. The best transfusion strategy to manage this is still not clear. Similar
to the obstetric patient, MTPs are used, although debate surrounds the optimal ratio of blood products5,6. Morerecently, VHA-guided algorithms have been incorporated. These are used exclusively, or in combination witha MTP, whereby resuscitation begins with a MTP and then transitions to VHA-guided management once available.
VHA can quickly identify the specific coagulopathy, allowing a targeted transfusion approach, and avoiding
transfusion where no coagulopathy exists. Many European trauma resuscitation protocols use factor concentrates
in conjunction with a VHA-guided algorithm. This approach allows correction of coagulopathy, while potentiallyreducing transfusion-related adverse events and volume overload26-28. Gonzalez et al in 2016 found improved
mortality with a VHA-guided versus standard blood test-guided MTP29. A systematic review in 2014 ofobservational studies showed VHA offer early diagnosis of TIC, and may predict transfusion and mortality intrauma30. European and American trauma transfusion guidelines recommend a VHA-guided transfusion
protocol31,32.
THE DEVELOPMENT OF AN ALGORITHM FOR GENERAL SURGICAL AND OBSTETRIC PATIENTSWith data supporting the ROTEM®-guided cardiac transfusion algorithm, the next focus was on developing ageneral surgical and obstetric algorithm ready for the arrival of machines in general areas. In early 2017 thecardiac, general and obstetric anaesthetists collaborated to develop this second algorithm with significant
assistance from the intensivists and haematologists (figure 10). Two new ROTEM® sigma machines have been
installed in the general theatres and obstetric theatres, networked to the intensive care unit and delivery suite
respectively. Furthermore, the machines could eventually be networked to paediatric intensive care where thereis evolving data for the use of ROTEM® in children as young as three months33-35.

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Figure 10. General surgical and obstetric haemorrhage ROTEM® transfusion algorithm

Introducing viscoelastic haemostatic assay-guided blood product transfusion into your hospital87

Our general and obstetric algorithm development centred around algorithms already in place at King Edward
Memorial Hospital (Perth, Western Australia) and Gold Coast University Hospital (Queensland). Since development
we have seen our algorithm implemented for use in other centres in the Sydney area, allowing clinicians working
at multiple sites familiarity and simplicity of interpretation. It will also facilitate collaboration of research andrefinements of the algorithm.
Step-by-step guide to the general and obstetric algorithm
1. PHYSIOLOGICAL TARGETS
Ensure that physiological targets are within standard limits.
2. PRIORITISE THE MANAGEMENT OF HYPERFIBRINOLYSIS
We chose to include a clause allowing tranexamic acid to be given early if there is a high likelihood of hyper
fibrinolysis. It is futile to give fibrinogen if it is going to be rapidly consumed. The WOMAN trial36 supports theuse of early tranexamic acid in post-partum haemorrhage. Early low values of clot strength in the extrinsically
activated assay (EXTEM A5 <35 mm) predicts fibrinolysis, thus assisting in its early detection and management37.
3. GIVE FIBRINOGEN EARLY
Fibrinogen has a key role in coagulation, and is commonly the first to fall to critical levels in major haemorrhage38.
Obstetric patients in the third trimester have a mean fibrinogen of 4-6 g/L, compared to the non-pregnant
patient of 1.5-4 g/L39. A low fibrinogen is strongly predictive of significant postpartum bleeding21,40,41. If theamplitude of the fibrinogen Temogram is less than 10 mm at five minutes, this correlates to a fibrinogen levelof <2 g/L41. We chose a FIBTEM A5 <10 mm as the trigger for fibrinogen administration. We administercryoprecipitate because fibrinogen concentrate is not yet available to us. In Europe, fibrinogen concentrate
as an alternative to cryoprecipitate is widely available for use in the setting of major haemorrhage.
For obstetric haemorrhage some centres22 use a higher FIBTEM figure (A5 <12 mm) to trigger the transfusionof fibrinogen. We chose to use the same FIBTEM trigger (A5 <10 mm) for all patients (obstetric, general andcardiac) based on the premise that adult clotting will be sufficient at that level of fibrinogen (i.e. at 2 g/L). This
also allowed us to use the same ROTEM® analysis/treatment plan labels for both the obstetric/general andcardiac transfusion algorithms.
We have developed a cryoprecipitate dosing schedule (see below) to achieve a FIBTEM greater than 10 mm.
The lower the FIBTEM result, the more cryoprecipitate is required to bring it up to 10 mm. This will then be
audited and reviewed regularly.
TABLE 2. CRYOPRECIPITATE DOSING SCHEDULE

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4. ASSESS THE NEED FOR PLATELETS
Both platelets and fibrinogen contribute to clot strength in the extrinsically activated assay. If the fibrinogenlevel is adequate (FIBTEM A5 >10 mm) and the amplitude of the extrinsic pathway Temogram is less than 35mm at five minutes, then an EXTEM A5 <35 mm demonstrates inadequate platelet contribution to clot strength.
One pooled bag of platelets should be transfused. Ideally a corroborative platelet count should be measured.
Platelets should be maintained at >50x109/L. To achieve this in patients who are actively bleeding, platelets
should be infused when the platelet count falls below 70x109/L42,43.
5. CLOTTING FACTORS – ASSESSED AND TREATED ONLY AFTER NORMALISING CLOT STRENGTH
Clotting factors should be the last to be assessed as they are in the greatest reserve. A low fibrinogen can
prolong the clotting time in the extrinsic pathway Temogram, EXTEM CT, thus it is important to correct the
fibrinogen (FIBTEM A5 >10 mm) before interpreting and acting on the EXTEM CT result. This is why thealgorithm should be followed in a sequential manner. An EXTEM CT greater than 90 seconds in the settingof a FIBTEM A5 >10 mm would suggest deficient coagulation factors. In this case four units of FFP, or
prothrombin complex concentrate (PCC) 10 units/kg is indicated. We chose a low dose of PCC due to thepossible associated risk of a thrombotic/thromboembolic event. The PCC dose could always be repeated if
the EXTEM CT remains prolonged.
6. MAKE A STRONGER CLOT
If bleeding continues despite all parameters being in the “orange zone”, the algorithm recommends further
administration of coagulation products. This creates the truly optimal clot and once this is achieved thesurgeon or obstetrician needs to consider surgical or obstetric causes other than coagulopathy. The
haematologists should also be involved in case of any underlying clotting deficiency or anticoagulant
medications that need to be managed.
PART FOUR
THE JOURNEY TO SUCCESS: TIPS FOR INTRODUCING VISCOELASTIC HAEMOSTATIC ASSAYS INTO
YOUR CENTRE
In early 2015 we trialled two cartridge-based VHA machines: the ROTEM® sigma and the TEG6®. During thetrial phase, transfusion rates trended down, possibly as we reflected on our practice. We were guided by thehaematologists to purchase the pin and cup technology of ROTEM® as opposed to resonance technology of
TEG6® or the old pipetting machines44 (such as the ROTEM® delta) because of the larger body of evidence atthe time and the simplicity of use.
In December of 2015, two ROTEM® machines were installed, one in the cardiothoracic theatres and one in theadjoining cardiac intensive care unit. Following this, the ROTEM® company began running information sessions
with the consultant anaesthetists and intensivists to familiarise them with the technology. The senior clinicians
agreed, following a presentation by Professor Nimmo, to use the Scottish NHS-developed algorithm (Appendix
118)1, for interpretation of the Temograms.
No reduction in transfusion rates occurred in the first quarter of the machine’s use. In fact, there was a paradoxicalincrease, perhaps as we continued with the historical treatment of the bleeding patient, while also transfusing
what the Temogram interpretation was guiding. Education sessions continued and targeted both senior andjunior staff, including anaesthetists, intensivists, surgeons, perfusionists and nurses, which allowed staff tobecome more familiar with the technology. Mentors were identified in the departments, being those who had
shown special interest in the project, allowing for education to continue in the absence of the equipment
representatives.
Despite the education and the evidence published by national and international studies, it still took time for theclinical body to acknowledge that there was room for a reduction in the rates of transfusion. The main area inwhich we could have done better was in the education of medical staff. Because the technology was driven
from cardiac theatres, the initial focus was in the intraoperative setting, with uptake by anaesthetists andperfusionists. We should have engaged the junior staff in the intensive care unit earlier – they are usually
responsible for the decision to transfuse blood products. Some other centres have initiated VHA testing in theintensive care unit. The important learning point is early education of all relevant craft groups. Management of
bleeding in the post cardiac surgical patient can be stressful, and some staff felt overwhelmed by the newconcepts. It was understood that it would take time for staff to feel comfortable with this new technology.
The initial algorithm chosen by the senior staff had been successful in the Scottish centre which had used
ROTEM® for 20 years. Their staff were familiar with ROTEM®-guided transfusion. In 2016, as our transfusion

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data became available and showed an increase in transfusion, we decided to rethink our approach. We reflectedon the cause of the initial worsening transfusion rates. The main problem appeared to be the algorithm that
had been chosen. The NHS algorithm was multi-dimensional and required interpretation of multiple aspects of
the Temogram to create a treatment plan. Senior consultants agreed it was appropriate for our clinical needs,
but some staff struggled to follow it. Subsequently, a local second-generation algorithm was developed, which
was a single dimensional model, similar to other Australian centres. The local algorithm required sequential
interpretation whereby only one Temogram was examined at any given step, simplifying the process ofinterpretation. There was input from anaesthetists, perfusionists, intensivists and haematologists in developmentof this algorithm.
The new algorithm was paired with a label that translated the complicated results from the ROTEM® into a“traffic light” system allowing documentation of results and the accompanying treatment plan. The label visually
represents the escalation ranges, whereby nursing staff complete the label and circle the escalation range.
Results were assigned as green for accepted values, orange for “watch and re-test” values and red for values
requiring action using the algorithm. The label was also an opportunity to document the process of using the
ROTEM® in a systematic way that ensured appropriate goal-directed therapy and good clinical handover. On
our campus, these labels have been placed in the patient’s anaesthetic chart or progress notes. Ideally theywould always be placed in the patient’s progress notes.
The algorithm and accompanying label were developed locally between the anaesthetists and perfusionists inthe context of cardiac surgery. The plan was to optimise the ROTEM® project in cardiac services before rollingout a separate algorithm for general and obstetric cases across the other hospital areas.
Simplifying the algorithm and adding the traffic light labels turned the project into a success. It became apparent
that simply displaying the algorithm was not enough. Therefore, we not only redesigned the cardiac algorithm,
and subsequently developed the general and obstetric algorithm, to be more user friendly, we also created a
ROTEM® workstation (figure 11). The workstation was designed to include a collection of infographics that
relate to the bleeding patient, as well as reminders of things that needed to be considered by clinicians operating
the analyser. In consultation with the haematologists, additional information included the cryoprecipitate dosing
guidelines, a quick reference guide for reversal of anticoagulants, and a series of cartoons that made the wall
more engaging were introduced. Anecdotal evidence has demonstrated that more clinicians, both medical andnursing, are engaged with ROTEM® since the workstations were created.
Figure 11. ROTEM® workstation

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Australasian Anaesthesia 2017

Engaging the nurses was a key part of the success of the ROTEM® project. It was acknowledged early on thatwhile the medical staff needed to engage with the interpretive side of the Temogram, it would mostly fall tonursing staff to physically run the tests and provide the results needed for interpretation. Subsequently, when
education was rolled out to the junior medical staff, it was also offered to senior nurses so that an understandingof the technology and how results are interpreted transcended the specialties. This education was continued
by senior nurse educators to junior nursing staff as the use of ROTEM® became more popular.
By teaching nursing staff to run the ROTEM tests, medical staff are available for other duties, acknowledging
that it is appropriate for a nurse to run the sample. This is particularly true in the case of cardiac surgical patients,
where the times when the tests are run are usually times that require the senior medical officer’s attention, suchas bleeding after separation from cardiopulmonary bypass. As such, delegating nursing staff to run the tests
facilitates the generation of results without compromising patient care. The machines have been networked tothe monitors in the cardiac theatres to facilitate accurate communication of the graphs to clinicians. In muchthe same way as running an arterial blood gas, the creation of a label was a way for nurses to accurately
communicate the results of the test. It has also allowed for some nurses to engage with the algorithms andtherefore understand the reasons behind why products are transfused. This enables them to pre-empt theintervention and prepare equipment necessary for what the Temogram interpretation suggests, particularly
where the results fall in the red zone and need urgent attention; for example, preparing platelet giving sets
where it is recommended that platelets be transfused.
®

Our nursing staff in cardiothoracic theatres and the intensive care unit are responsible for the quality control of
the ROTEM® sigma machine. Testing occurs weekly and is performed early in the day so that the machines areavailable and functioning correctly when needed to assess post-bypass and post-surgical patients. In our unit,
anaesthetic nurses run quality control testing once per week on a Monday. This test takes about 10 minutes
three out of four Mondays. On the fourth week, additional ROTROL testing is done to calibrate the machine by
way of biological solutions45. The process takes half an hour, all of which is documented in a ROTEM® rosterand log book. Quality control would need to be done more frequently if we were doing more tests – some large
centres implement daily testing. Maintaining the machines has given nursing staff ownership over the equipment
and helped remove some of the mystery that occurs with new technology.
KEY POINTS TO FACILITATE INTRODUCING VHA TESTING WERE:• To effect change, the clinician must be convinced that there is scope for improvement, in this casethat there was scope for improving the rates of transfusion.
• Early evidence-based education is important, before the technology arrives.
• An algorithm with sequential logic, using one aspect of the Temogram at a time makes it easier forclinicians without prior experience.
• Engaging the nursing staff is key.
• Encouraging use of the labels and “traffic light” escalation ranges enhances rapid communication ofabnormalities and communication with the intensive care unit.
CONCLUSION
VHA testing is now cartridge-based and can be run at the bedside by any clinician with minimal training. In
2016 we implemented ROTEM® into cardiac surgery and significantly reduced our use of FFP and platelets. A
second local algorithm is now being implemented for general surgical and obstetric patients. The developmentof a sequential algorithm, early education of all staff and pairing the algorithm with our traffic light label systemhave been instrumental in enabling success on our campus.
ACKNOWLEDGEMENTS
The entire ROTEM® project would not have been possible without the generous donation from the McPhersonfamily. Their generosity in purchasing the initial ROTEM® technology for our campus has helped many children
and adults and brought quality improvements which continue day by day.
Dr Alice Whyte, Anaesthesia Provisional Fellow, Royal Prince Alfred Hospital, New South Wales, Australia.
Mrs Vicky Blake, Cardiothoracic Surgery Data Manager, Prince of Wales Hospital, New South Wales, Australia.
Professor Michael Bennett, Academic Head of Anaesthesia, Prince of Wales Hospital, New South Wales,
Australia.
Mr Andrew Lahanas, Director of Clinical Perfusion, Prince of Wales Hospital, New South Wales, Australia.
Ms Sarka Hartmannova, Clinical Nurse Educator, Cardiothoracic Theatres, Prince of Wales Hospital, New South
Wales, Australia.
Dr James Winearls, Intensivist, Gold Coast Hospital, Queensland, Australia.
Dr Roger Browning, King Edward Memorial Hospital, Western Australia, Australia.

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91

Soft copies of the algorithms are available.
Email bluebook@anzca.edu.au.
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23. Smith RMS, Chevannes C, McNamara H. Lessons from four years’ experience in the use of ROTEM-guided fibrinogenconcentrate in major obsteric haemorrhage. Int J Obstet Anesth. 2017;31:S7.
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26. Schöchl H, Nienaber U, Hofer G, Voelckel W, Jambor C, Scharbert G, et al. Goal-directed coagulation management ofmajor trauma patients using thromboelastometry (ROTEM)-guided administration of fibrinogen concentrate andprothrombin complex concentrate. Crit Care. 2010;14(2):R55.
27. Innerhofer P, Westermann I, Tauber H, Breitkopf R, Fries D, Kastenberger T, et al. The exclusive use of coagulation factor
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28. Ponschab M, Voelckel W, Pavelka M, Schlimp CJ, Schochl H. Effect of coagulation factor concentrate administration on
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Australasian Anaesthesia 201730. Da Luz LT, Nascimento B, Shankarakutty AK, Rizoli S, Adhikari NK. Effect of thromboelastography (TEG®) and rotational
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33. Kim J SY, Kil H, Park M, Lee J. Reference intervals of thromboelastometric evaluation of coagulation in pediatric patientswith congenital heart disease: a retrospective investigation. Med Sci Monitor. 2016;22:3576–3587.
34. Oswald E, Stalzer B, Heitz E, Weiss M, Schmugge M, Strasak A, et al. Thromboelastometry (ROTEM) in children: agerelated reference ranges and correlations with standard coagulation tests. Br J Anaesth. 2010;105(6):827–835.
35. Haas T, Goobie S, Spielmann N, Weiss M, Schmugge M. Improvements in patient blood management for pediatriccraniosynostosis surgery using a ROTEM®-assisted strategy – feasibility and costs. Paediatr Anaesth. 2014;24(7):774–780.
36. WOMAN Trial Collaborators. Effect of early tranexamic acid adminstration on mortality, hysterectomy, and other morbidities
in women with post-partum haemorrhage (WOMAN): an international, randomised, double-blind, placebo-controlled trial.
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37. Dirkmann D, Gorlinger K, Peters J. Assessment of early thromboelastometric variables from extrinsically activated assays
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38. Carroll RC, Craft RM, Langdon RJ, Clanton CR, Snider CC, Wellons DD, et al. Early evaluation of acute traumatic
coagulopathy by thrombelastography. Transl Res. 2009;154(1):34–39.
39. Szecsi PB, Jørgensen M, Klajnbard A, Andersen MR, Colov NP, Stender S. Haemostatic reference intervals in pregnancy.
Thromb Haemost. 2010;103(4):718–27.
40. Cortet M, Deneux-Tharaux C, Dupont C, Colin C, Rudigoz RC, Bouvier-Colle MH, et al. Association between fibrinogenlevel and severity of postpartum haemorrhage: secondary analysis of a prospective trial. Br J Anaesth. 2012;108(6):984–
989.
41. Collins PW, Lilley G, Bruynseels D, Laurent DB, Cannings-John R, Precious E, et al. Fibrin-based clot formation as an early
and rapid biomarker for progression of postpartum hemorrhage: a prospective study. Blood. 2014;124(11):1727–1736.
42. Association of Anaesthetists of Great Britain and Ireland, Thomas D, Wee M, Clyburn P, Walker I, Brohi K, et al. Bloodtransfusion and the anaesthetist: management of massive haemorrhage. Anaesthesia. 2010;65(11):1153–1161.
43. Collis RE, Collins PW. Haemostatic management of obstetric haemorrhage. Anaesthesia. 2015;70(Suppl 1):78–86,e27–28.
44. Hildyard C, Curry N. Point-of-care testing: a standard of care?. Anaesthesia. 2015;70(10):1113–1118.
45. ROTEM®. Two levels of control ROTROL N and ROTROL P [Internet]. 2017. From: https://www.rotem.de/en/products/
rotem-delta/controls/. Accessed 17 October 2017.

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APPENDIX 1. SCOTTISH ALGORITHM BY PROFESSOR A NIMMO18

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Rotational thromboelastometry (ROTEM®) in obstetrics 95

Rotational thromboelastometry (ROTEM®) in obstetrics
JULIE LEE, AAGM, BPHARM, MBBS, FANZCA

Staff specialist anaesthetist, Department of Anaesthesia and Perioperative Medicine, The Royal Brisbane and
Women’s Hospital (RBWH), and Senior Lecturer, The University of Queensland.
Dr Julie Lee’s special research interests include regional anaesthesia and obstetric anaesthesia. She is currently
undertaking a PhD on ROTEM® in obstetrics.
KERSTIN WYSSUSEK, MBBS, PHD, FAANAE, FANZCA, PGcertQM

Director of the Department of Anaesthesia and Perioperative Medicine at The Royal Brisbane and Women’s
Hospital (RBWH) and Chair of the Preoperative Patient Blood Management Committee at the RBWH, andAssociate Professor, The University of Queensland.
Associate Professor Kerstin Wyssusek has extensive experience in transplant anaesthesia and intensive care
medicine and has worked in several major trauma centres in Europe and Australia.
JEREMY COHEN, MBBS, BSC, MRCP (UK), FRCA (UK), CICM, PHD

Senior staff specialist intensivist, The Royal Brisbane and Women’s Hospital, and Associate Professor, The
University of Queensland.
Associate Professor Jeremy Cohen qualified from Charing Cross and Westminster Medical School in 1990,
where he also obtained a BSc in Biochemistry. He undertook a postgraduate career in clinical medicine andanaesthesia before moving to Australia to pursue a career in Intensive Care Medicine. He is currently a Senior
Staff Specialist at the Royal Brisbane and Women’s Hospital in Queensland, the Deputy Director of the Intensive
Care Unit of Wesley Hospital and an Associate Professor in the University of Queensland.
ANDRE VAN ZUNDERT, MD, PHD, FRCA, EDRA, FANZCA

Professor in Anaesthesiology, School of Medicine, The University of Queensland. Senior staff specialist,
Department of Anaesthesia and Perioperative Medicine, The Royal Brisbane and Women’s Hospital.

Professor Andre van Zundert is the chair of the Discipline of Anaesthesiology, The Centre of Excellence &Innovation in Anaesthesia (RBWH) and The Burns, Trauma, and Critical Care Research Centre at the Universityof Queensland. He is widely published with special interests in obstetric anaesthesia, regional anaesthesia anddifficult airway management.
INTRODUCTION
Rotational thromboelastometry (ROTEM®) is a point-of-care diagnostic device that provides rapid and specificcoagulation assessment. ROTEM® provides information regarding all coagulation steps and fibrinolysis in one
test and results are made rapidly available on screen in real time. The use of ROTEM® is well established inhepatic and cardiac surgery, but not as yet in the obstetric setting1, 2. Small-scale studies have reported ROTEM®
values in non-pregnant women, normal pregnancies, postpartum and in active labour, but not in obstetricpatients with pre-eclampsia, pregnancy-induced thrombocytopaenia, hepatic disease, haematological diseaseor other pathologies1, 3-7.
Haemostasis is a complex network of interactions between the vasculature, platelets, coagulation factors,
coagulation inhibitors, fibrinolytic factors and natural anticoagulants, all of which contribute to maternal
haemostatic alterations in the peripheral vasculature as well as the utero-placental vasculature8. There is anincrease in hypercoagulability throughout the three trimesters of pregnancy5 and there is good correlation
between FIBTEM (a component of the ROTEM® test panel) results with fibrinogen levels9-11. Only case reports
have described the successful use of ROTEM® to guide intraoperative haemostatic treatment for acute obstetrichaemorrhage. Much of the data is extrapolated from other settings such as trauma or cardiac surgery andhaemostatic derangements in these settings are likely to differ from those in post-partum haemorrhage (PPH)12.
ROTEM® MECHANICS – HOW DOES IT WORK?
ROTEM® was initially developed in 1995 in Munich, Germany. A blood sample is placed into a cuvette and acylindrical pin is immersed and rotated by a spring. As the blood clots, the rotation of the pin is restricted
increasingly with increasing clot firmness. From this, a curve is computed along with numerical parameterssuch as clotting time (CT), clot formation time (CFT), maximum clot firmness (MCF) and maximum lysis (ML).
Various activators or inhibitors are added to the citrated blood sample in order to represent different processesof haemostasis and to provide continuous viscoelastic profiles of blood clot formation.
ROTEM® is a modification and improvement on thromboelastography (TEG®) which was initially described in1948 by Hertert13. Both ROTEM® and TEG® provide a real-time dynamic assessment of viscoelastic clot strength
in whole blood via a point of care device that can analyse both coagulation and fibrinolysis. In contrast to
ROTEM®, the TEG® system comprises a cylindrical cup containing a whole blood sample which oscillates
periodically, while a pin on a torsion wire is suspended in the blood sample, which renders it sensitive to vibration

96Australasian Anaesthesia 2017and must be maintained level on a stable bench13. TEG® has been studied extensively in the obstetric population
including normal healthy parturients and complicated pregnancies, but prior to this, TEG® was underused fornearly six decades due to technological limitations14, poor awareness regarding technique and interpretation,lack of full standardisation, and the unavailability of large clinical studies8.
Both viscoelastic tests utilise different nomenclature to describe the same parameters. CT in ROTEM® andreaction rate (R) for TEG® are defined as the time taken for the trace to reach an amplitude of 2 mm13. CFT for
ROTEM® and kinetics time (K) are defined as the time required for clot amplitude to increase from 2 mm to
20 mm13. MCF for ROTEM® and maximum amplitude (MA) for TEG® are the peak amplitudes (strength) of the
clot13. Lysis index at 30 minutes (LI30) in ROTEM® and LY30 in TEG® represents the percentage decrease inamplitude 30 minutes after MCF or MA is reached respectively. ROTEM® and TEG® provide essentially identicalinformation on clot formation kinetics and strength, but due to differences in operating characteristics, results
are not interchangeable. Different assays are used with each device, with differences between reagents andtheir concentrations for equivalent assays. Also, it has been shown that when the same reagents are used, clot
amplitude results are not consistent across the two devices. Unlike TEG®, ROTEM® has the ability to differentiate
between different causes of coagulopathy. ROTEM® provides the values for the clot amplitude at 5 (A5) and 10(A10) minutes, which are not validated with TEG® technology. For TEG®, the clinician is required to wait for theMA value which may take more than 30 minutes to derive.
THE ROTEM® PANEL
The ROTEM® analysis covers the entire process of whole blood coagulation, from the formation of the first fibrin
strands, to maximum firmness of the clot until fibrinolysis occurs15. The standard ROTEM® panel comprises
the EXTEM, INTEM and FIBTEM. EXTEM assesses the extrinsic coagulation pathway and allows assessmentof factors I, II, V, VII, X, platelets and fibrinolysis. Coagulation is activated by the addition of a small amount ofthromboplastin (tissue factor) which leads to clot initiation within 70 seconds, allowing clot formation to beassessed within 10 minutes. INTEM assesses the intrinsic pathway and allows assessment of factors I, II, V,
VIII, IX, X, XI, XII, platelets and fibrinolysis. Coagulation in INTEM is activated via the contact phase (as in theactivated partial thromboplastin time (aPTT) and activated clotting time (ACT)). The INTEM test is sensitive forfactor deficiencies of the intrinsic system and for the presence of heparin within the sample. The FIBTEM test
measures the effect of fibrinogen by eliminating the contribution of platelets to clot strength, via the additionof cytochalasin D which blocks platelets to allow for assessment of fibrin formation and fibrin polymerisation.
Additional ROTEM® assays include the APTEM and HEPTEM. APTEM allows for rapid detection of fibrinolysis
within 10 to 20 minutes. HEPTEM utilises the addition of heparinase as the reagent which degrades heparin to
detect heparin-related coagulation defects.
ECATEM and NATEM are additional tests that are not available as yet in Australia. ECATEM has been developed
to analyse direct thrombin inhibitor effects16. The ECATEM assay uses the viper venom, ecarin, as an activator,
which directly converts prothrombin to meizothrombin16. Meizothrombin is inhibited by hirudin, argatroban,
bivalirudin, and dabigatran, but not by heparin, warfarin or direct factor Xa inhibitors (rivaroxaban, apixaban)16.
The NATEM assay can be used to detect pathophysiological changes from trauma-induced coagulopathy (TIC)
to disseminated intravascular coagulopathy (DIC), as it is activated by recalcification and is sensitive to any
endogenous activator such as tissue factor expression on circulating monocytes in infection, sepsis, cirrhosis,
and in patients treated with extracorporeal assist devices16.
Currently, both the ROTEM® delta and the newer ROTEM® sigma cartridge modules are in use. Results arecomparable and the same test reagents are used, except that the ROTEM® delta reagents are in liquid form,
while the ROTEM® sigma reagents are freeze-dried accuspheres. All current ROTEM® algorithms have beenvalidated for both ROTEM® delta and ROTEM® sigma instruments. ROSI-EVA, a multicentre trial, has beenregistered, which proposes to perform simultaneous ROTEM® sigma and delta tests in 240 patients, including
both healthy volunteers and patients with expected coagulopathy.
WHAT IS THE UTILITY OF VISCOELASTIC TESTING?
ROTEM®-guided transfusion of blood products has shown consistently significant reduction in bleeding andtransfusion requirements17-19. However, there is a lack of standardisation and data for the definition of normal
values and controls in obstetrics, with existing variability of reagents.
ROTEM® measures the viscoelastic properties on multiple aspects of coagulation in a 3.5 mL sample of citrated
whole blood. Critical blood loss is associated with significant patient morbidity and mortality. Coupled withstandard algorithms for coagulation management, this technology has the potential to enable targeted treatment
to reduce bleeding and blood product wastage in the perioperative setting.
Case reports have described the successful use of viscoelastic testing in the setting of an emergency Caesarean
section. For example, ROTEM® was successfully used to guide transfusion in a patient with acute fatty liver ofpregnancy (AFLP) where prothrombin complex concentrate and fibrinogen concentrate was administered20 andthe use of TEG® in Gray Platelet Syndrome showed a degree of platelet inhibition and an overall borderline
hypercoagulable state21. Interestingly, ROTEM® demonstrated hypercoagulable changes during pregnancy inRotational thromboelastometry (ROTEM®) in obstetrics 97

women with factor XI deficiency, despite prolonged clot initiation22. These patients had increased clot consolidationand clot strength compared to non-parturient controls22. Meanwhile, TEG® revealed prolonged clot initiation ina parturient with haemophilia B, which was corrected with factor IX administration23. Additionally, TEG® wasused in two parturients with lupus anticoagulant receiving heparin to assess the levels of circulating heparinprior to the insertion of an epidural catheter for labour analgesia24. Lupus anticoagulant is an immunoglobulinthat interferes with in-vitro phospholipid dependent coagulant tests such that there is prolongation of aPTT,
but these patients are usually prescribed heparin as they are at greater risk of arterial and venous thrombosis.
Amniotic fluid embolism (AFE) is a rare but catastrophic obstetric complication. The use of TEG® revealed asignificantly decreased time to first clot formation (R time), increased platelet function and no evidence offibrinolysis using in vitro blood samples with the addition of amniotic fluid25. Others have reported hyperfibrinolysis
with TEG® and ROTEM®10, 26. Helviz et al reported on three case studies of suspected AFE with TEG® parametersindicating severe coagulopathy. In one patient, MA on TEG® was low, which reflected reduced clot strength
while in two other patients, the initial TEG® did not show any coagulation activity which correlated with
unrecordable levels for the standard coagulation profile27.
COAGULATION AND NEURAXIAL ANAESTHESIA
Patients with coagulopathies are at increased risk of developing a spinal or epidural haematoma following
neuraxial anaesthesia. Pregnancy also causes engorgement of the venous plexus within the epidural spaceand hence the risk of blood vessel injury is increased with the administration of a neuraxial block28. The use of
ROTEM® to monitor coagulation in obstetric patients with severe factor XI deficiency has been described inwomen who were given recombinant factor VIIa to achieve haemostasis in order to allow for a neuraxial block
to be performed28. It is considered that significant thrombocytopaenia is a contraindication to the placementof an epidural catheter due to the potential risk of an epidural haematoma which could lead to permanentneurological deficit. Attempts to illustrate the utility of TEG® during neuraxial blockade in the parturient withthrombocytopenia have been made by recruiting women with a platelet count of less than 100,000 mm-3 toanalyse the incidence of neurologic complications related to regional anaesthesia29. This case series of 24
women suggested that neuraxial techniques can be performed in parturients with a platelet count greater than
56,000 mm-3 provided that their TEG® results were normal. However, this study was significantly underpowered
and none of the patients experienced any neurologic complication29 which is not unexpected, as the incidenceof a spinal or epidural haematoma in the obstetric population is 0.2-3.7 in 100,000 compared to 1 in 150,000200,000 in the general population28.
The effect of differing anaesthetic techniques on coagulation has also been analysed using TEG® where generalanaesthesia for Caesarean section was associated with accelerated coagulability when compared with spinal
anaesthesia30. Local anaesthetics are widely used in obstetrics, in the form of neuraxial anaesthesia for labour
pain, Caesarean sections or epidural blood patches to treat post-dural puncture headaches. TEG® has also
been used to study the effects of local anaesthetics on coagulation in the parturient. Amide local anaesthetics
such as bupivacaine, lignocaine and ropivacaine are more commonly used in this setting, and they are known
to enhance fibrinolysis31 and inhibit coagulation by stabilizing platelet membranes, inhibiting calcium and alphagranule release, inhibiting activation-dependent change in the conformation of the GPIIb/IIIa complex, protein
kinase C, platelet aggregation and clot stability32. The effects of bupivacaine on coagulation are reflected on
TEG® as a dose-dependent decrease in MA, a measure of clot formation and strength33. Lignocaine has also
been reported to significantly decrease blood coagulation and enhance fibrinolysis in blood samples fromhealthy volunteers33, 34. In contrast, one study used whole blood samples from healthy parturients and did notshow any fibrinolytic changes or hypocoagulable changes from the use of amide local anaesthetics35. Furthermore,modest alterations in MA, coagulation time and alpha angle on TEG® have been seen with varying concentrationsof ropivacaine in the systemic circulation secondary to epidural administration, but these changes were notclinically significant31. The only ester local anaesthetic studied with TEG® in healthy term parturients is
2-chloroprocaine which demonstrated significant fibrinolysis in addition to decreasing coagulation, which is incontrast with previous studies that analysed the effects of amide local anaesthetics32.
POSTPARTUM HAEMORRHAGE
Postpartum haemorrhage (PPH) is still one of the leading causes of maternal morbidity and mortality worldwide36,37.
In Africa and Asia, obstetric haemorrhage accounts for more than thirty percent of all maternal deaths38. Bycomparison, obstetric haemorrhage is responsible for lower rates of maternal death in the developed world:
3.4 per cent in the United Kingdom between 2006 and 2008 and 11.4 per cent in the United States between
2006 and 201038. Overall, PPH remains responsible for over 10 per cent of maternal deaths in high-income
countries39 and 25 per cent of the estimated 358,000 maternal deaths globally each year12. A standardised
multidisciplinary approach, described in locally validated protocols and based on international guidelines isimperative for the prevention of such deaths39. Despite the relatively low rates of death from PPH in wellresourced countries, concern has been raised regarding the rising incidence of PPH, driven by increasing
incidence of uterine atony, increasing maternal age and doubling of the Caesarean section rate40-42.
Primary PPH is blood loss from the genital tract that occurs within 24 hours of delivery and secondary PPH is98

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blood loss occurring over 24 hours postpartum up to six weeks post-delivery. Primary PPH is the most common
form of major obstetric haemorrhage and is defined as greater than 500 mL for a vaginal delivery and greaterthan 1000 mL for a Caesarean section. Despite being able to identify risk factors for PPH in the antenatal andintrapartum period, the majority of women who ultimately develop PPH do not have any such factors and every
pregnancy is at risk12, 43. The coagulopathy associated with massive PPH may be due to haemodilution, failureof liver synthetic function as occurs with acute liver failure of pregnancy, or disseminated intravascular coagulation(DIC)43.
In non-pregnant women, uterine blood flow constitutes less than 1 per cent of their cardiac output, but towards
the end of pregnancy, this increases to 15 per cent12. Given that placental blood flow at term can exceed 750 mL
per minute, obstetric haemorrhage can potentially be rapid and catastrophic. Furthermore, the amount of
bleeding is often systematically underestimated39. Early and aggressive fluid resuscitation with large-bore venous
access should be implemented for rapid and massive transfusion39. The institution of massive transfusion
protocols allows the treating clinician to obtain the necessary blood products quickly in order to enable rapid
empirical treatment of major blood loss when necessary and can decrease the overall number of products
transfused and improve overall patient outcomes44. This resuscitation process needs to be guided by laboratory
results with a rapid turnaround time for optimal management.
During early PPH, it has been shown that hypofibrinogenaemia is an important predictor for the later developmentof severe PPH38. ROTEM® can be used to identify decreased fibrin clot quality during PPH, which correlateswith low fibrinogen levels. Overall, the use of ROTEM® or TEG® can provide increased sensitivity in identifying
deficits in the coagulation cascade in comparison to conventional coagulation tests10. Data from clinical trials
to guide transfusion management in the setting of PPH are lacking, but there are likely to be similarities in severe
PPH and major bleeding in other clinical situations12. However, pathophysiological processes that contributeto a massive PPH may necessitate different transfusion strategies such as the ratio of red blood cells to plasmacomponents, in particular fibrinogen12. Both TEG® and ROTEM® are increasingly being incorporated intotransfusion algorithms for high-risk populations such as trauma patients and patients undergoing cardiac
surgery13. Some evidence suggests that these algorithms might reduce transfusions, but further studies are
required to assess patient outcomes13. Transfusion algorithms need to be developed based on the expected
normal ranges of ROTEM® parameters for the obstetric population rather than the general non-pregnant
population and more specific transfusion targets need to be defined to optimise blood transfusion in thispopulation.
A novel combined strategy of obstetric haemorrhage management during Caesarean section has also beenstudied, using intrauterine balloon tamponade, early surgical haemostasis and TEG®-guided transfusion45. Thiswas only an open controlled trial which included 119 women who experienced a PPH, with 90 patients in thenovel strategy group and only 29 patients in the conventional strategy group45. The novel strategy resulted ina significantly lower number of peripartum hysterectomies45, but the aetiology of PPH can be classified as per
the “four Ts” (tone, thrombin, trauma and tissue) and the management needs to be tailored to the aetiologies
involved. In cases of uterine atony, uterotonics need to be administered as part of PPH management. For
example, oxytocin is a naturally occurring polypeptide which acts on oxytocin-specific receptors in uterine
myometrium promoting uterine smooth muscle contraction. TEG® analysis has demonstrated that exogenous
oxytocin is associated with modest hypercoagulable effects in healthy term parturients46, 47.
COAGULATION IN THE OBSTETRIC POPULATIONIn pregnancy, there is a physiological shift towards hypercoagulation48 despite compensatory mechanisms of
haemodilution and an increase in tissue factor-pathway inhibitor (TFPI) activity. Hypercoagulability in pregnancy
is due to a slowdown of blood flow, a reduction of protein S activity, and increase in prothrombin activity anda higher concentration of some plasma coagulation factors (fibrinogen, factors VII, VIII and von Willebrandfactor)48. This state of hypercoagulability persists during the first three weeks postpartum49.
Several studies have confirmed a hypercoagulable state, slightly shorter clotting time (CT), and significantly
greater clot firmness in pregnancy4, 6, 7, 50, but these studies did not have adequate sample sizes. One study
showed an increase in hypercoagulability throughout the three trimesters of pregnancy5. Huissoud et al compared
ROTEM® results in 20 non-pregnant women, 17 women in their first trimester, 9 in their second trimester and
58 in their third trimester of pregnancy9. Clotting time (CT) and clot lysis index (CLI(30)) were not significantly
different during pregnancy whereas maximum clot firmness (MCF), early clot amplitude at five minutes (CA(5))
and 15 minutes (CA(15)) (INTEM, EXTEM, FIBTEM) increased significantly between the second and third
trimesters9. TEG® parameters have demonstrated hypercoagulability as well as decreased fibrinolysis during
pregnancy in 45 healthy pregnant women at various gestational weeks up to eight weeks postpartum with afaster initiation in haemostasis and a minor increase in clot strength51. TEG® parameters have also been shown
to reflect accelerated clot initiation as well as decreased clot stability and fibrinolysis in women with massive
obstetric haemorrhage exceeding a blood loss of 2000 mL52. Macafee et al confirmed this in 50 pre-operative
pregnant women and also showed similar TEG® parameters before and immediately following LSCS and four

Rotational thromboelastometry (ROTEM®) in obstetrics 99hours post-prophylactic enoxaparin53.
All studies with ROTEM® have been performed in uncomplicated pregnancies, and have found significant
changes towards a hypercoagulable state, especially in the third trimester5, 54. Miscarriage is associated withhypercoagulable changes in TEG®/ROTEM® compared to healthy non-pregnant and pregnant women54. Twentysix case reports concerning women with specific coagulation disorders were identified and TEG/ROTEM® wasused for guiding therapeutic decision making54.
Armstrong et al analysed 54 pregnant women and 54 non-pregnant women. Parturients had significantly lower
haemoglobin values and platelet counts6. Despite this, thromboelastometry exhibited significantly lower INTEM
CT (7.3%), INTEM CFT (11.1%) and EXTEM CFT (18.0%) in the pregnant group6. MCF values were significantly
higher (INTEM (10.9%), EXTEM (10.6%) and FIBTEM (47.1%)) in the pregnant group compared to the nonpregnant group6. Polak et al confirmed that it may not be suitable to use the same reference ranges for pregnant
women as for the general population48. There were statistically significant differences between the healthy
non-pregnant fertile group (n=43) and healthy third trimester group (n=60). Hill et al developed a transfusion
algorithm based on TEG® parameters from 57 healthy, term parturients pre-Caesarean and again confirmed
the presence of relative hypercoagulability in pregnancy and that the reference interval is assay-dependent55.
FIBRINOGEN AND ROTEM® FIBTEM
Fibrinogen levels increase significantly from 28 weeks of gestation and are almost double the levels seen in
non-pregnant women56. These levels remain elevated until 15 days postpartum49. Fibrinogen levels have beenshown to correlate well with the volume of haemorrhage and is one of the most useful markers of developing
haemostatic impairment57. Fibrinogen plays a crucial role in the course of PPH and can be used as an early
predictor of the severity of PPH44, 3. There is good correlation of FIBTEM results with fibrinogen levels in pregnant
women pre- and postpartum 9-11, 58 and FIBTEM values decline even more rapidly than fibrinogen levels3, thus
providing early guidance of necessary interventions. A fibrinogen level less than 2 g/L is associated withincreased risk of severe PPH4 (RR=12)58. Women presenting with lower fibrinogen levels at the time of diagnosis
of PPH have poorer outcomes and might benefit from early fibrinogen replacement44. Huissoud et al studied
91 women in their third trimester, of who 37 experienced a PPH and concluded that ROTEM® might be helpful
in guiding fibrinogen transfusion during PPH9. In the OBS2 trial, which was a multicentre, prospective, doubleblinded, randomised control study, Weeks et al compared fibrinogen concentrate with placebo for the treatmentof postpartum haemorrhage, with 28 patients in each arm59. This trial showed that infusion of fibrinogenconcentrate when the FIBTEM A5 is <12 mm or fibrinogen <2 g/L may be beneficial and should be investigatedfurther59. They also postulated that if FIBTEM A5 is greater than 12 mm, fibrinogen replacement is not needed59.
INDICATIONS FOR ROTEM®
ROTEM® would be of greatest value when obstetric patients are bleeding or at major risk of bleeding but very
few studies have been conducted in the obstetric population. Cortet et al performed a study in 2012 with theaim to determine whether the fibrinogen level at the time of diagnosis of PPH is associated with the severity of
bleeding58. This was a secondary analysis of a population-based study in 106 French maternity units identifying
cases of PPH prospectively. PPH was defined by a blood loss exceeding 500 mL during the 24 hours after
delivery or a peripartum haemoglobin decrease of more than 20 g/L. This analysis included 738 women with
PPH after vaginal delivery. Fibrinogen levels were compared in patients whose PPH worsened and became
severe and those whose PPH remained non-severe. Severe PPH was defined as haemorrhage by occurrenceof one of the following events: peripartum haemoglobin decrease ≥40 g/L transfusion of concentrated red cells,
arterial embolisation or emergency surgery, admission to intensive care, or death. The mean fibrinogenconcentration at diagnosis was 4.2 g/L among the patients without worsening and 3.4 g/L in the group whose
PPH became severe. The fibrinogen level was associated with PPH severity independently of other factors.
Further to this, Zhou et al examined non-pregnant patients with congenital (hypo)dysfibrinogenaemia to suggestthat abnormal TEG® values in the non-pregnant state could be used to predict a higher risk of obstetriccomplications occurring during pregnancy60.
Only case reports have described the successful use of ROTEM® to guide intraoperative haemostatic treatment
for acute obstetric haemorrhage. Much of the data is extrapolated from other settings such as trauma or cardiac
surgery and haemostatic derangements in these settings are likely to differ from those in PPH. Coagulopathy
in placental abruption was described by McNamara et al involving four separate cases utilising ROTEM® toguide fibrinogen replacement therapy61. Prior to this, TEG® parameter changes have also been analysed inplacental abruption, in a larger cohort of thirty patients to confirm a strong correlation between fibrinogen levels
and TEG® parameters (MA and k time)62.
Butwick et al recorded TEG® parameters in 52 patients pre- and post-elective LSCS and showed a weakassociation between clot strength and estimated blood loss in these patients63. It also showed a modest
reduction in the degree of maternal hypercoagulability in the early postpartum period following the elective
LSCS63. Saha et al analysed platelet count, coagulation profiles and ROTEM® in 46 women and demonstrated
a persistent hypercoagulation three weeks postpartum with a low clotting time and clot formation time49.
Maximum clot firmness, alpha angle and amplitude at 20 minutes were raised until day 1949. While, comparing
vaginal delivery against Caesarean section there were no significant increases in thrombotic parameters in
Caesarean section49.

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ROTEM® VERSUS STANDARD COAGULATION TESTS
Very few studies have compared ROTEM® to standard tests. Huissoud et al showed significant correlations
between the results obtained with ROTEM® and those from standard coagulation tests9. Mallaiah et al conducteda prospective observational cohort study comparing cryoprecipitate (n=42) and fibrinogen concentrate (n=51)transfused with a ROTEM® algorithm36. Following the introduction of ROTEM® guided fibrinogen concentrateadministration for PPH, less blood products were given and no circulatory overload was seen36. Fibrinogenconcentrate was given to all patients with a FIBTEM A5 below 7 mm, which is indicative of a fibrinogen levelof 1.5-2 g/L36. Secondary coagulopathy due to PPH or its treatment is often underestimated and subsequently
remains untreated, potentially causing progression to even more severe PPH3. Conventional coagulation test
results are usually not available for 45 to 60 minutes. ROTEM® provides the advantage of a point of carecoagulation test with more rapid turnaround times and potentially greater utility in the setting of an obstetrichaemorrhage. The use of ROTEM® in massive bleeding in non-obstetric patients is widely practiced and it has
been proven to be cost-effective3.
Pre-eclampsia is associated with complex coagulation abnormalities that include altered platelet function andconsumption and activation of the fibrinolytic system64. In 1995, Wong et al demonstrated that TEG® was notan effective means of predicting abnormal coagulation, as diagnosed by routine coagulation tests in preeclamptic parturients, but this was based on normal TEG® values for non-pregnant patients65. This emphasises
the importance of the need to establish normal reference values. Magnesium sulphate is used for the preventionof seizures in pre-eclamptic patients, which was known to have anticoagulant and antiplatelet effects, but
Harnett and Kodali utilised TEG® to prove that there was no effect on overall coagulation64. Recently, Ahmad
et al aimed to correlate TEG® variables with conventional coagulation profiles in patients with pre-eclampsia66.
Mao et al and Sharma et al have shown that there were no significant differences among TEG® parameters
between severe pre-eclamptic patients and normal healthy parturients67, 68. However, there were significant
changes seen in severe pre-eclamptic patients with thrombocytopenia, including a smaller alpha angle (reduced
rate of clot formation), shorter MA value (reduced clot strength) and lower coagulation index (CI), denoting ahypocoagulable state and consequently, a high risk of bleeding67, 68.
One hundred pre-eclamptic patients undergoing a Caesarean section under neuraxial anaesthesia were recruitedand 20 patients demonstrated hypocoagulation. Platelet count showed a strong positive correlation with MA
which was also confirmed by Beilin et al69 and it was concluded that TEG® could lead to improved decisionmaking regarding the safety of using regional anaesthesia. Meanwhile, Bulbul et al also assessed 49 patientswith severe pre-eclampsia and 54 patients with inherited thrombophilia against 31 controls and demonstrated
prolonged clot initiation patterns and shorter clot lysis times compared to controls, indicating a possible
increment in clot turnover, which eventually results in increased depletion of coagulation substrates70. However,
it is difficult to comment on the safety of neuraxial blockade in this setting. For TEG® to be proven as a predictive
assessment for neuraxial safety, a more extensive randomised-controlled trial would need to be completed.
Furthermore, more specific platelet function analysis via PFA-100, Multiplate® or the proposed new ROTEM®
Platelet test would provide greater utility for this purpose.
NORMAL RANGES
Most reviews and experts suggest that each centre evaluates its own normal ranges for TEG® and ROTEM®.
Furthermore, gender, age and oral contraception have been shown to have a significant influence on ROTEM®
parameters71. Sucker et al analysed five different cohorts of healthy patients: males below and above 45 yearsof age, females below 45 years of age with or without oral contraception and females above 45 years of age
without hormone replacement therapy71. Hypercoagulability was seen with increasing age, the female gender
and with the use of oral contraception71. Shortened clotting times and clot formation times, broader clot
amplitudes and wider alpha-angles were seen in higher age-groups, irrespective of gender71. This can be
explained by an increase in coagulation factor activities (factor VIII and von Willebrand factor) with advancing
age that are reflected by a decreased partial thromboplastin time and prothrombin time on the standard
coagulation profile71, 72. Females also had a shorter clotting time and clot formation time, broader clot amplitudes
and wider alpha-angles in comparison to males71. This greater prothrombotic haemostatic profile in women
can be explained by effects of sex hormones and may be further enhanced by exogenous hormone administration
which increases the activity of coagulation factor VII, X and fibrinogen, reduced levels of antithrombin andprotein S and a lower activity of plasminogen activator inhibitor-171.
Although parameters can be variable among healthy people during the same day, from one week to anotherand between different machines, parameters that showed the greatest consistency were MCF, ML and LI3073.
This was demonstrated by Nagler et al who studied 40 healthy volunteers, taking two samples from eachindividual: 20 patients at 8am and 4pm and 20 patients on day 1 and day 2873. However, the highlighted
inconsistencies with ROTEM® results did not take into account, the differences of gender, age and BMI. Formal
baseline parameters need to be established in normal pregnancy and the effect of complex pathologies on
coagulation and changes in ROTEM® findings are yet to be investigated.

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FUTURE DIRECTION
Newer tests based on the ROTEM® ECATEM are planned for release in late 2017 with capabilities to detect thepresence and existing effect of direct oral anticoagulants. ROTEM® Platelet will be available in 2018 which will
provide information on platelet function and in particular, platelet aggregation, in whole blood samples using
impedance aggregometry.
There is increasing use of ROTEM® for point-of-care coagulation monitoring in patients with massive
haemorrhage12, but there still remains limited data on reference ranges in normal pregnancies and subsequently
limited understanding of the effects of complicated pregnancies on ROTEM® interpretation. Additional researchis required to further define the optimal role of viscoelastic testing in major obstetric haemorrhage74.
ACKNOWLEDGEMENTS
The National Blood Authority, ASA PhD Support Grant, and the RBWH Foundation Scholarship.
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62. Moopanar D, Naidu S, Moodley J, Gouws E. Thromboelastography in abruptio placentae. J Obstet Gynaecol.
1997;17(3):229-233.
63. Butwick A, Ting V, Ralls LA, Harter S, Riley E. The association between thromboelastographic parameters and total
estimated blood loss in patients undergoing elective cesarean delivery. Anesth Analg. 2011;112(5):1041-1047.
64. Harnett MJ, Datta S, Bhavani-Shankar K. The effect of magnesium on coagulation in parturients with preeclampsia.
Anesth Analg. 2001;92(5):1257-1260.
65. Wong CA, Liu S, Glassenberg R. Comparison of thrombelastography with common coagulation tests in preeclamptic andhealthy parturients. Reg Anesth. 1995;20(6):521-527.
66. Ahmad A, Kohli M, Malik A, Kohli M, Bogra J, Abbas H, et al. Role of thromboelastography versus coagulation screen asa safety predictor in pre-eclampsia/eclampsia patients undergoing lower-segment caesarean section in regional
anaesthesia. J Obstet Gynecol India. 2016;66:340-346.
67. Mao YJ, Yang ZJ. Significance of thromboelastography in the monitoring of maternal coagulation disorders in preeclampsia.
J Shanghai Jiaotong University Med Sci. 2013;33(12):1612-1615.
68. Sharma SK, Philip J, Whitten CW, Padakandla UB, Landers DF. Assessment of changes in coagulation in parturients withpreeclampsia using thromboelastography. Anesthesiology. 1999;90(2):385-390.
69. Beilin Y, Arnold I, Hossain S. Evaluation of the platelet function analyzer (PFA-100) vs. the thromboelastogram (TEG) in the
parturient. Int J Obstet Anesth. 2006;15(1):7-12.
70. Bulbul M, Atalay MA, Cetinkaya DB, Turker G, Esmer A. Detecting coagulability status by thromboelastography in womenwith a history of pre-eclampsia and inherited thrombophilia. Clin Exp Obstet Gynecol. 2015;42(4):462-468.
71. Sucker C, Tharra K, Litmathe J, Scharf RE, Zotz RB. Rotation thromboelastography (ROTEM) parameters are influenced
by age, gender, and oral contraception. Perfusion. 2011;26(4):334-340.
72. Zotz RB, Gerhardt A, Scharf RE. New approach for evaluation of quantitative risk factors of venous thromboembolism
using individualized reference values. J Thromb Haemost. 2005;3:316.
73. Nagler M, Cate H, Kathriner S, Casutt M, Bachmann LM, Wuillemin WA. Consistency of thromboelastometry analysis
under scrutiny: results of a systematic evaluation within and between analysers. Thromb Haemost. 2014;111(6):11611166.
74. Gehrie EA, Baine I, Booth GS. Pathology consultation on viscoelastic studies of coagulopathic obstetrical patients. Am J
Clin Pathol. 2016;146(2):149-155.

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105

Fibrinogen concentrate for acquired hypofibrinogenaemia
MANSI KHANNA, MBBS

Advanced anaesthetic trainee, Fiona Stanley Hospital.

Dr Mansi Khanna is an advanced anaesthetic trainee with a keen interest in all areas of anaesthesia including
obstetrics, perioperative optimisation and medical education.
HAMISH MACE, MBCHB FANZCA DRANZCOG

Consultant anaesthetist, Fiona Stanley Hospital.

Dr Hamish Mace is a consultant anaesthetist at Fiona Stanley Hospital in WA, and lead clinician for theperioperative anaemia screening clinic. His clinical interests are in coagulation, perioperative transfusion andpatient blood management.
INTRODUCTION
Fibrinogen concentrate is a human fibrinogen extract licensed in Australasia for the treatment of congenital
fibrinogen deficiency. Its use in acquired hypofibrinogenaemia is increasing as a result of a transition towards
point-of-care testing and factor concentrates in the management of bleeding. This article outlines the importanceof fibrinogen in coagulation and explores the use of fibrinogen concentrate as a primary haemostatic productduring haemorrhage.
FIBRINOGEN
Fibrinogen (factor I) is a hepatically-synthesised platelet-bound glycoprotein with a central role in coagulation.
In primary haemostasis, fibrinogen sustains platelet aggregation by binding to platelet surface membrane
receptors (glycoprotein (GP) IIb/IIIa) and crosslinking adjacent platelets1. Additionally, soluble fibrinogen iscleaved to insoluble fibrin monomers by thrombin, trapping platelets and erythrocytes in a fibrin mesh andenhancing clot stability (secondary haemostasis). Fibrin polymers are cross-linked by thrombin-activated factor
XIII, increasing the elasticity of the clot and its resistance to fibrinolysis1-3.
FIBRINOGEN DURING TISSUE TRAUMA
Fibrinogen is present in human plasma at a concentration between 2.0-4 g/L, where it has a half-life of
approximately three days4. Its concentration is increased both during pregnancy and the acute phase response.
Fibrinogen is the first clotting factor to decrease to critically low levels (<1 g/L) during major haemorrhage, when
rapid consumption outstrips hepatic synthesis2,5,6. Tissue trauma, hypoperfusion and hypothermia lead toacidosis, impaired thrombin function, accelerated fibrinogen consumption and contribute to coagulopathy andhyperfibrinolysis. In addition, volume resuscitation causes a dilutional coagulopathy2, while the use of synthetic
colloids (especially starches) impair the polymerisation of fibrin, resulting in reduced clot stability6,7.
Fibrinolysis is regulated by the plasminogen activator system. In response to venous occlusion, and mediatedby thrombin, tissue-derived plasminogen activators (tPA, uPA) are released from endothelial cells. tPA and uPAcleave circulating plasminogen to active plasmin, thereby dissolving thrombus by hydrolysis of the cross-linked
fibrin molecules. Rapid release of tissue factor after severe trauma leads to uncontrolled tPA and activatedprotein C release and is responsible for the hyperfibrinolysis which underpins trauma induced coagulopathy8.
Hypofibrinogenaemia is associated with haemorrhage in numerous perioperative settings, including trauma9,
cardiovascular surgery10 and obstetrics2,11, leading to increased transfusion requirements, morbidity (e.g. sepsis)and higher mortality9.
MEASUREMENT OF FIBRINOGEN LEVELS AND FUNCTION
The Clauss method is the most common laboratory technique for estimating fibrinogen concentration. Plasma
samples are diluted to remove the effects of inhibitory substances, and mixed with calcium, phospholipids anda high concentration of thrombin12. The latter ensures clotting times are independent of the thrombin concentrationin the sample. Clotting time is measured optically and calibrated against a reference sample with a pre-determinedfibrinogen concentration. This assay is time-consuming (30 to 40 minutes), and may overestimate fibrinogenconcentration in the presence of fibrin degradation products and artificial colloids, such as hydroxyethyl starch(HES)7,13,14.
Point-of-care haemostatic assays provide an alternative method of measurement, and can rapidly extrapolate
fibrinogen concentration indirectly from the viscoelastic properties of whole blood14. ROTEM® (TEM internationalGmbH, Munich, Germany) and TEG® (Haemonetics Corp, Braintree, MA, US) display the coagulation process,from initiation and propagation of the clot through to maximum stability and eventual dissolution by fibrinolysis 15.
They are commonly used perioperatively to guide the diagnosis and management of fibrinogen replacementin acquired fibrinogen deficiency7. To estimate fibrinogen concentration, both techniques remove the effectsof platelets on the developing clot; the resultant amplitudes (maximum amplitude (MA) for TEG® and maximum
clot firmness (MCF) for ROTEM®) are well correlated with the Clauss fibrinogen concentration in a number of106

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clinical settings16,17. The functional fibrinogen assay for TEG® prevents platelet aggregation by inhibiting
glycoprotein GPIIb/IIIa with a monoclonal antibody fragment18. In contrast, the FIBTEM assay of ROTEM®
estimates fibrinogen by eliminating the effects of platelets on clot strength through the addition of a potent
platelet inhibitor (cytochalasin D)18,19. The normal range for FIBTEM MCF is 9 to 25 mm20. Amplitudes at fiveminutes (A5) and 10 minutes (A10) have been shown to be closely correlated with MCF16,21; modern point-ofcare based algorithms have thus moved to utilise the A5 or A10 to shorten the latency between blood samplingand decision-making regarding fibrinogen replacement18.
The interpretation of clot strength on viscoelastic assays must take into consideration the presence of anaemia,
which is a common finding in critical haemorrhage. In vivo, anaemia exacerbates microvascular bleeding, as
erythrocytes facilitate platelet aggregation by releasing adenosine diphosphate22,23. However, anaemia enhances
fibrin strand proximity and adherence in whole blood samples, which may lead to a spurious increase in clot
strength on the ROTEM® assays24. Correlation with Clauss fibrinogen is reduced, as dilution of functional
fibrinogen with a high red cell mass affects the viscoelastic properties to a greater degree than in separated
plasma16,25,26.
CURRENTLY AVAILABLE SOURCES OF FIBRINOGEN
Traditionally, fibrinogen has been replaced by the administration of fresh frozen plasma (FFP) or cryoprecipitate.
Fresh Frozen Plasma (FFP)
FFP is an allogenic blood product requiring ABO compatibility testing and thawing prior to use. It is produced
from pooled whole blood donations or single donor apheresis and contains all components of human plasmaat or below physiological concentrations7. Single donor FFP has significant inter-individual variability in theconcentration of fibrinogen (median 2 g/L, range 0.9-3.2 g/L)27.
Cryoprecipitate
Cryoprecipitate is extracted from FFP by centrifugation after a process of precipitation. It is a concentrated
source of fibrinogen, factor VIII, factor XIII and von Willebrand factor (vWF)7. One apheresis dose contains
approximately 800 mg of fibrinogen in 60 mL28. As an allogenic blood product, it requires ABO compatibility
typing and thawing; however, there are no processes for viral inactivation, which pose a potential risk of pathogentransmission. Many European countries have ceased production of cryoprecipitate from FFP, due in part tothese safety concerns7,29.
Fibrinogen concentrate (FC)Fibrinogen concentrate products, such as RiaSTAP® (CSL Behring, Australia), are a highly refined source offibrinogen from multiple human plasma donors. They are heat-treated, lyophilised and virally inactivated. One
vial contains 900-1300 mg of fibrinogen, as well as albumin, L-arginine and sodium citrate30.
FC has several theoretical advantages over both FFP and cryoprecipitate4, notably:
1. Universal compatibility: It does not require cross matching or ABO compatibility testing as it lacks
ABO antigens and cellular components.
2. Storage: FC is present in a lyophilised form that can be stored at room temperature for up to five years.
3. Administration: FC is easily reconstituted with warm sterile water and administered over several
minutes. In the context of critical bleeding, a delay in intervention has been identified as a major risk
factor for poor patient outcome31. A low infusion volume and room temperature storage facilitate rapid
administration of FC7.
4. Risks: FC is pasteurised, enabling the inactivation of viruses. It is further purified to remove antigens
and antibodies, reducing the risk of immunological or allergic reaction (e.g. transfusion related acutelung injury, TRALI) when compared to alternative products7,32.
5. Potency: FC has a higher concentration of fibrinogen (20 g/L) than cryoprecipitate (16-18 g/L) or FFP(2 g/L). As FFP contains relatively low concentrations of fibrinogen, large volumes are required toprovide a substantial increase in fibrinogen plasma concentration7. By contrast, a lower intravenous
volume of FC can be transfused, mitigating the risk of transfusion associated circulatory overload(TACO)5,32.
COMPARISON OF CRYOPRECIPITATE AND FC
Cryoprecipitate is widely available in the United States, United Kingdom and Australia for first-line replacementof fibrinogen33. In Europe, FC is administered “off label”, promoted by guidelines such the Management of
Severe Perioperative Bleeding by the European Society of Anaesthesiology34.
Cryoprecipitate contains several additional haemostatic factors, which are not present in FC as a purified
product7.
1.

Factor VIII is a cofactor in the intrinsic tenase reaction, combining with FIXa and activating FX.
Deficiencies, such as seen in haemophilia A, are associated with severe bleeding35.

Fibrinogen concentrate for acquired hypofibrinogenaemia 

2.

Factor XIII increases the mechanical stability of the clot by cross-linking fibrin chains36. In addition,
FXIII has anti-fibrinolytic properties which protect the clot from premature degradation by the
fibrinolytic system37.

3.

vWF is a glycoprotein which binds, stabilises and increases the half-life of factor VIII in circulation,
while mediating platelet adhesion and aggregation in damaged vascular endothelium38.

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A systematic review of studies comparing FC and cryoprecipitate found a high risk of bias and a paucity ofevidence favouring either product33. Nevertheless, the authors concluded there was equivalent efficacy infibrinogen replacement, although the cryoprecipitate-treated group generated a faster clotting time on the
ROTEM® assay. The difference may be explained by the presence of FVIII, XIII and vWF in cryoprecipitate, while
FC remains a single factor concentrate33. Additionally, there was no demonstrable difference in the efficacy inpreventing perioperative blood loss, thromboembolic complications or reduction in allogenic transfusion. A
pilot randomised control trial (RCT) is underway in Queensland to compare the feasibility and efficacy of FC
and cryoprecipitate in severe trauma (FEISTY)39. This will form the basis for a large multicentre trial.
CLINICAL INDICATIONS FOR FC
Congenital fibrinogen deficiency
Congenital afibrinogenemia and dysfibrinogenaemia are secondary to mutations in one or more of the genes
coding for fibrinogen, resulting in absent, reduced or dysfunctional fibrinogen synthesis. Principal manifestations
include spontaneous bleeding, haemorrhage after minor trauma and excessive bleeding during invasive
procedures40. In patients with congenital fibrinogen deficiency, FC is effective for haemorrhage prophylaxis andin the treatment of spontaneous bleeding40,41. Guidelines from the United Kingdom recommend fibrinogenreplacement to a plasma concentration of 1 g/L for haemostasis and 0.5 g/L for wound healing42. Supplementation
with FC increases the plasma concentration of fibrinogen and enhances the strength and speed of clot formation40.
Fibrinogen supplementation does not appear to confer any further benefit in patients with a plasma concentration
greater than 1.5 g/L, providing additional factor deficiencies are not present43. Congenital fibrinogen deficiencies
are predominantly associated with bleeding; however, there exists a greater risk of thrombotic complicationsin these patients. In these cases, the relative contributions of the underlying fibrinogen deficiency and fibrinogenreplacement therapy have not yet been determined43.
TraumaIn Australasia, trauma is the leading cause of death under the age of 45 years44. In severe trauma, the presenceof consumptive and dilutional coagulopathy is associated with a three- to four-fold increase in mortality5. Despite
surgical haemorrhage control, coagulopathy contributes to increased transfusion requirements, sepsis andmultiple organ failure45. Plasma fibrinogen levels at presentation are an independent predictor of mortality inpatients with severe trauma46. Optimising the treatment of coagulopathy via early fibrinogen replacement has
been shown to improve outcomes and survival for severely injured trauma patients5,6,47,48.
Trauma centres vary in their first line management of coagulopathy, with many administering FFP as the principalmeans of achieving haemostasis49. No conclusive evidence supports this treatment in trauma-induced
coagulopathy and, importantly, the theoretical dilutional effect of FFP must be considered50,51. The potential for
FC as a first line haemostatic agent has been demonstrated in retrospective analyses, which found that
coagulopathy was corrected without the use of alternative products such as platelets or FFP52,54. Evidence
suggests that the replacement of fibrinogen based on a point of care-guided algorithm with coagulation factor
concentrates improves the outcomes for traumatic haemorrhage50. The RETIC (Reversal of trauma-induced
coagulopathy using first-line coagulation factor concentrates or fresh frozen plasma) study compared the effectsof fibrinogen replacement with either FFP or coagulation factor concentrates (combined FXIII, PCC and fibrinogenconcentrate) on multi-organ failure and the need for massive transfusion55. The study was terminated early forsafety reasons when a higher proportion of patients in the FFP arm required rescue treatment with fibrinogen
than in the factor concentrates arm. Moreover, FFP was shown to be ineffective for haemostasis; its use wasassociated with ongoing bleeding, significantly increased transfusion requirements and risk of multi-organ
failure. This finding has been supported by further retrospective studies; Schöchl et al reported that additionaltransfusion was required in 29 per cent fewer patients in a treatment cohort that received FC and prothrombin
complex concentrate than an FFP group53.
Pre-emptive administration of FC in patients with trauma-induced coagulopathy has been shown to enhancesurvival rates. One retrospective Japanese study demonstrated that 56 per cent of patients with severe traumatic
injury had hypofibrinogenaemia, while 25 per cent had critical hypofibrinogenaemia (<1 g/L); pre-emptive
administration of FC effectively increased plasma fibrinogen levels over an apparently critical threshold of 2
g/L, contributing to improved survival outcomes in this group despite no significant reduction in red celltransfusion volume54. A pilot RCT of pre-emptive FC in trauma is ongoing (PRooF-iTH), and may provide insight
into the efficacy of early FC administration56.
However, not all studies have reported positive findings. A retrospective study of 295 severely injured patients(Injury Severity Score >15) compared those who received FC in their initial resuscitation versus those who
received alternative therapies, and demonstrated that although six hour mortality was significantly reduced in

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the FC group, there was no difference in the overall mortality or red cell transfusion rates and there was anincrease in the incidence of multi-organ failure57. This study had significant limitations; dosage, timing and theindications for FC were not recorded, while the administration of antifibrinolytic agents was not controlled for.
Additionally, survivor bias may have contributed to the negative findings.
The European Guidelines for the Management of Major Bleeding and Coagulopathy Following Trauma recommend
3-4 g of fibrinogen replacement (FC or cryoprecipitate) if significant bleeding is accompanied by a fibrinogendeficit on point-of-care monitoring and/or Clauss fibrinogen is less than 1.5 g/L48. Repeat dosing is guided by
viscoelastic testing and standard laboratory tests of coagulation.
Obstetrics
Obstetric haemorrhage (peri-partum blood loss of greater than 500 mL for vaginal delivery, or 1000 mL for
Caesarean section) is a leading cause of maternal mortality worldwide. There is an increasing incidence of
post-partum haemorrhage (PPH) in developed countries; in Australia, the rate of PPH rose from 6.1 per centin 2003 to 8.3 per cent in 201158. Normal physiological changes during pregnancy offer protection by inducing
a pro-coagulable state with an increase in coagulation factors (particularly fibrinogen) and diminished fibrinolysis;
additionally, blood volume and cardiac output increase late in the first trimester59. This is countered by thephysiological anaemia of pregnancy and a relative thrombocytopaenia. Fibrinogen plasma levels rise antenatallyto an average of 5 g/L, which normalises at four to eight weeks postpartum60. Antenatal plasma fibrinogenconcentration was not associated with bleeding and did not differ significantly with post-partum samples in
one large prospective observational study61. In contrast, a fibrinogen concentration of <2 g/L after the onset of
PPH had a positive predictive value of 100 per cent in predicting the severity of PPH11. Fibrinogen concentrationof <1.5 g/L and FIBTEM A5 threshold of 5 mm are closely correlated in pregnancy and enable early decision
making regarding the transfusion of fibrinogen substrates62.
A number of observational studies have demonstrated improved clinical outcomes in PPH with associatedacquired hypofibrinogenaemia following the administration of FC63,64. One retrospective observational study
identified that the use of FC in PPH was associated with significantly reduced blood loss and reduction intransfusion requirements of red blood cells (RBC), FFP and pooled platelet concentrates64. Additionally, following
the institutional implementation of a ROTEM-based algorithm for PPH, Mallaiah et al reported that 3 g of FC
resulted in reduced transfusion of allogenic blood products in patients with hypofibrinogenaemia19.
The FIB–PPH trial assessed the efficacy and safety of pre-emptive FC administration (2g) in PPH65. No differenceswere found in transfusion or morbidity between the treatment or control arms. However, both groups had similar
initial median fibrinogen concentrations of 4.5 g/L resulting in the conclusion that FC did not reduce allogenic
blood transfusion in parturients with normofibrinogenaemia. The OBS2 group randomised 58 women with PPH
to receive either FC or placebo66. In the subgroup of women with lower fibrinogen at enrolment (FIBTEM A5<12 mm) there was reduced blood loss, lower allogenic blood product requirements, and a shorter duration oflevel 2/3 care postoperatively; however, in women with A5 >12 mm there was no apparent difference between
the treatment arms. From this data it may be concluded, perhaps intuitively, that FC appears to have the greatest
efficacy in severely hypofibrinogenaemic parturients, while providing little benefit in women with normal
coagulation substrate.
Cardiothoracic surgery
Perioperative bleeding during cardiac surgery requiring transfusion is associated with increased morbidity andmortality67. Haemorrhage is multifactorial and includes patient-related factors, such as the perioperative useof antithrombotic medication, consumptive and dilutional coagulopathy, and fibrinolysis associated with cardiopulmonary bypass (CPB)68-70. In particular, CPB impairs fibrin mesh formation to a greater degree than platelet
function or thrombin generation71.
A meta-analysis by Forminski et al demonstrated reduced perioperative bleeding and lower RBC transfusion
requirements with the use of FC in cardiothoracic surgery72. Seminally, this meta-analysis demonstrated FC’s
potential benefit in reducing mortality72. The ZEPLAST (Zero Plasma Trial) showed that in high-risk cardiac
surgery the use of an FC-based algorithm resulted in lower postoperative blood loss and reduced transfusion,
when compared to the administration of FFP73.
ROTEM®-guided FC replacement has been associated with a reduction in perioperative bleeding in cardiac
surgery and reduced allogenic blood product transfusion74-77. FC has been demonstrated to be more effective
than placebo, FFP or platelets in reducing intraoperative bleeding and resulted in fewer RBC transfusions inpatients with coagulopathic bleeding undergoing elective cardiac surgery10,78.
In the setting of cardiac surgery, low preoperative fibrinogen is considered a poor predictor of perioperative
blood loss79,80. One meta-analysis of 20 studies found a weak correlation between pre- and postoperativeplasma fibrinogen concentration and postoperative bleeding81. Moreover, preoperative fibrinogen replacementwith 2 g of FC was not shown to influence postoperative bleeding in patients with normal plasma fibrinogen
undergoing Coronary Artery Bypass Grafting (CABG) when compared with placebo68. Therefore, routine
prophylactic fibrinogen concentrate replacement in hypofibrinogenaemic patients undergoing cardiac surgery
cannot be recommended.

Fibrinogen concentrate for acquired hypofibrinogenaemia 

109

The administration of FC has been associated with adverse outcomes in some patient groups 82. In theirrandomised controlled trial, Rahe-Meyer et al compared FC to placebo for the treatment of bleeding following
complex elective aortic arch surgery. Patients randomised to the FC arm had higher requirements for allogenic
products and a greater “return to theatre” rate for the management of bleeding71. This may have been due tovariability in adherence to the complex transfusion study algorithm, or it may be that patients had plasma
fibrinogen levels that would not normally be augmented in routine clinical practice71.
Thrombocytopaenia
Thrombocytopaenia is a risk factor for major bleeding, particularly in association with cardiac surgery83.
Traditionally, platelet transfusion has been the first-line haemostatic agent in patients with thrombocytopaenia
or platelet dysfunction84. However, platelet transfusion is associated with significant risks, including bacterialtransmission, non-haemolytic or allergic transfusion reactions and TRALI85-87. Additionally, platelet concentrates
have a relatively short shelf-life (five days), limiting their storage and use in smaller centres83. In-vitro studies
demonstrated that the addition of FC to patient samples with thrombocytopaenia significantly increased MCF
on ROTEM®, comparable to platelet transfusion83. Low ROTEM® amplitudes are closely correlated with bleeding
and FC may compensate for thrombocytopaenia by increasing the density of the fibrin network and establishing
fibrinogen mediated platelet aggregation88. However, caution must be used when extrapolating these findings
to the clinical setting.
TRIGGER AND TARGETS FOR TREATMENT WITH FIBRINOGEN
The target fibrinogen plasma concentration and the threshold at which fibrinogen replacement is indicated iscontentious and, very likely, context specific (table 1). Fibrinogen replacement to above 2 g/L has been shown
to improve the rate of fibrin polymerisation89. Fibrinogen supplementation improves in vitro clot strength linearly,
even at fibrinogen levels above those observed in normal plasma.
The European Guidelines for Trauma recommend maintaining plasma fibrinogen concentration above 1.5 g/L
to improve haemorrhage control48. Recent data show that at fibrinogen levels below 1.5 g/L there is an increased
risk of perioperative bleeding6. Protocols from the American College of Surgeons Trauma Quality Improvement
Program recommend replacement of fibrinogen at a FIBTEM MCF <8 mm90. Conversely, the definitions utilisedby the RETIC study for trauma-induced coagulopathy associated with low fibrin polymerisation and prolonged
initiation of coagulation were FIBTEM A10 <9 mm and EXTEM >90 sec respectively55. Ponschab et al used acut-off of A10 <7 mm to trigger replacement with FC for management of trauma-related haemorrhage91.
During pregnancy, physiological changes influenced by oestrogen and progesterone result in a hypercoagulable
state with a shorter clotting time and a significantly increased MCF. While this is thought to provide a physiologicalbuffer for partuition rather than being an absolute requirement for haemostasis, many algorithms retain higher
thresholds for fibrinogen replacement in obstetrics to reflect the greater concentrations of fibrinogen at term.
ROTEM® parameters were assessed intrapartum and one-hour postpartum and were found to be analogous,
leading to the conclusion that uncomplicated labour in itself does not induce haemostatic changes17. An
observational study found that FIBTEM A5 <5 mm had 100 per cent sensitivity and 85 per cent specificity todetect Clauss fibrinogen <1.5 g/L in PPH62, while Mallaiah used a FIBTEM A5 <12 mm as indicative of a plasma
fibrinogen level of 2 g/L to prompt replacement19. This was confirmed by subgroup analyses of the OBS2 study
which demonstrated that a FIBTEM A5 >12 mm or Clauss fibrinogen >2 g/L reflected a concentration adequate
to enable haemostasis in obstetric haemorrhage66.
The threshold for fibrinogen replacement in cardiac surgery remains controversial; in particular, uncertainty
exists as to the benefits and potential risks of FC in this cohort82. Historically, a Clauss fibrinogen of <1 g/L wasrecommended as the trigger for replacement2. In contrast, Bilecen et al did not demonstrate a significant
difference in the intraoperative blood loss compared with placebo when plasma fibrinogen levels were maintainedat greater than 2.5 g/L with FC in patients with intraoperative bleeding70. In the ZEPLAST trial the negative
predictive value for severe bleeding was 100 per cent for a plasma fibrinogen of 2.8 g/L and 98 per cent for a
FIBTEM MCF of 14 mm77. For high-risk cardiac surgery, such as aortic replacement, a high normal fibrinogenconcentration of 22 mm on MCF was proposed by Rahe-Meyer and showed significantly fewer transfusions
in the FC group when compared with placebo78.
In our institution, fibrinogen supplementation in critical bleeding is recommended at a FIBTEM A5 of 10 mm.
This figure correlates to a Clauss fibrinogen of 2 g/L and reflects a single pragmatic threshold across a rangeof perioperative settings (figure 1).
DOSING OF FIBRINOGEN CONCENTRATE
Product information for RiaSTAP® recommends an initial dose of 70 mg/kg of ideal body weight, prior toestablishing a baseline plasma fibrinogen level30. European trauma guidelines advocate initial replacement with
3 to 4g of fibrinogen concentrate in traumatic haemorrhage48. Repeat dosing is guided by clinical response,
viscoelastic monitoring and laboratory assessment of fibrinogen levels.

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Australasian Anaesthesia 2017

The ROTEM® MCF has been widely used to calculate an individualised dose of FC via the formula10:111

Fibrinogen concentrate for acquired hypofibrinogenaemia 

Figure 1. Fiona Stanley Hospital ROTEM algorithm for critical bleeding (reproduced with permission)

Fibrinogen concentrate dose (g) = [target FIBTEM MCF (mm) – actual FIBTEM MCF (mm)] x [body weight (kg)/70]
x 0.5 g/mm
A simplified fibrinogen dosing guide (figure 2) adapted from the King Edward Memorial Hospital (KEMH) ROTEM®
algorithm for critical bleeding provides stratified dosing recommendations, and prompts fibrinogen replacement
at FIBTEM A5 <10 mm. FC is administered in preference to cryoprecipitate if the FIBTEM A5 <7 mm, or if there
is a high suspicion of coagulopathy in life threatening or time critical haemorrhage92. While there is a limited
evidence base to guide exact FC dosing in acquired hypofibrinogenaemia, unpublished local data in postpartum
haemorrhage suggests 2 g of FC increases the FIBTEM A5 by 2 to 3 mm, with a 5 g dose leading to an increaseof >9 mm.
ADMINISTRATION
One ampoule of RiaSTAP® contains approximately 1 g of lyophilised fibrinogen30. Fifty millilitres of sterile water
for injection (ideally warmed to 37 degrees Celsius) is transferred into the ampoule for reconstitution. The
product is dissolved with a gentle swirling action; shaking the vial will cause foaming and difficulty in administering
the product. Rapid reconstitution takes approximately five minutes, after which time the solution should betransparent and colourless with no particulate matter93. The manufacturer recommends administering RiaSTAP®
at room temperature at a maximum rate of 5 mL/minute30. In critical bleeding, FC may be given via a syringe
driver over 2-4 minutes per gram30. A ROTEM® should be performed 10 minutes after administration of thesolution as additional fibrinogen replacement may be required.
SAFETYFC has a favourable safety profile; compared with cryoprecipitate there is no reported increase in thromboembolic
events or viral transmission. Extensive post marketing surveillance (1986-2013) of FC found a low incidenceof thromboembolic events (28 reports) at a rate of one event per 23,300 standard doses94. Although an increasein the plasma fibrinogen concentration and clot firmness immediately following administration of FC in aortic
surgery has been demonstrated, this effect was not seen in the first postoperative week95. Other data suggestthat following FC administration in severe trauma, plasma fibrinogen levels over the ensuing seven days are
not higher than that of a control group, irrespective of the dose of FC given96; moreover, FC administration does
not down-regulate hepatic fibrinogen synthesis97. Thus, the use of FC is unlikely to enhance the pro-thrombotic
state in the perioperative period, beyond that occurring naturally due to the acute phase reaction96.

Figure 2. King Edward Memorial Hospital fibrinogen dosing guide (reproduced with permission)
FIBRINOGEN DOSING GUIDEFIBTEM A5 Target: ≥12mm

ECONOMIC EVALUATIONIn Australia, the funding source for blood products varies between states. In Western Australia, cryoprecipitateis provided by the Australian Red Cross Blood Service at no cost to individual hospitals, One unit of apheresis
cryoprecipitate (containing 790 mg of fibrinogen) costs $A325, while 1 g of FC is $A75028,98. A typical adult doseof five apheresis bags (4 g) is thus cheaper than the equivalent dose of FC ($1625 versus $3000). FC is notcovered under the National Blood Authority funding model and must be provided at the hospital’s expense.
A cost-minimisation model developed by Okerberg et al was developed to analyse the economic aspects ofadministering FC or cryoprecipitate99. The model did not include non-transfusion service expenses such as
nursing time or consumables. They concluded that FC remains more expensive than cryoprecipitate in spiteof the inevitable product wastage and transfusion costs associated with the latter99. In order for FC to become
more economically competitive, it would need to either reduce in price by 44 per cent ($750/g to $414/g) orshow tangible additional benefits, such as a reduction in overall blood product use or intensive care unit stay99.
Although the current cost of FC is higher than cryoprecipitate, the difference may not be as pronounced whenclinical efficacy is taken into consideration. In one study, the average dose of FC (2 g) raised plasma fibrinogenby a median of 1 g/L in a 60 kg patient100. In an analogous study, 1 g of FC ($750 AUD) increased plasma levels
by approximately the same amount as ten units of whole blood cryoprecipitate ($A780)101.
CONCLUSION
Fibrinogen concentrate is a promising alternative to cryoprecipitate, with increasing use in Australasia fortreatment of acquired hypofibrinogenaemia. Robust prospective data demonstrating its efficacy alongside
cryoprecipitate is eagerly awaited. While the current evidence base fails to establish superiority overcryoprecipitate, FC has a number of theoretical advantages, most importantly the rapidity with which it can beused to treat hypofibrinogenaemia in time-critical scenarios without input from transfusion laboratories. Despite
these advantages, funding constraints and licensing issues may limit routine uptake of FC in Australasia. The
utility of FC as a bridge to cryoprecipitate in the exsanguinating patient, while awaiting cross-match and thawingof fractionated products, remains significant despite these limitations. Its role in the management of haemorrhage
in settings where cost and logistics limit the provision of frozen products, such as in the rural, prehospital andtransport space should also be considered.

FIBTEM A5

Increase required

Cryoprecipitate*

Fibrinogen Concentrate

9-10 mm

2-3 mm10 Units

2g

7-8 mm

4-5 mm15 Units

3g

4-6 mm

6-8 mm20 Units

4g

<4 mm

≥9 mm

25 Units

5g*Cryoprecipitate dosing is for standard adult units(Cryo 5 units / Fib Conc 1g = Fibtem A5 increase of approx 2mm)

Table 1. Normal values for fibrinogen; thresholds and targets for treatment of hypofibrinogenaemia
NON-PREGNANT

PREGNANTTHRESHOLD

Fibrinogenplasmaconcentration

2.0-4.5 g/L

5.0-6.0 g/L<1.5 to 2.0 g/L
Pregnant: <2 g/L11
Cardiac >2.8 g/L77

Pregnancy: >2 g/L11

MCF

9-25 mm(20)15-19 mm(103)Trauma: <8 mm90
Cardiac <14 mm77

High normal for aortic
surgery: 22 mm76

A107-23 mm(20)20-25 mm(17)Trauma: <7 mm91
Cardiac: <8 mm104>15 mm105>8 mm16
Trauma: 10-12 mm91

A5

(4)

17,60

TARGET
102

Trauma: <10 mm39
Pregnant: <5 mm62,<12 mm19

112

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Evidence, new methods and current practice of point-of-carecoagulation testing in major haemorrhage
MICHAEL C READE, MBBS MPH DPhil DMedSc AFRACMA FANZCA FCICM

Professor of Military Medicine and Surgery, Joint Health Command, Australian Defence Force and Burns, Trauma
and Critical Care Research Centre, University of Queensland, Brisbane.
Consultant Intensivist, Royal Brisbane and Women’s Hospital, Brisbane.

Professor Reade is the Director of the Australian Regular Army’s only field hospital, in addition to his Defence/
Industry Partnership academic position at the University of Queensland. His research interests are resuscitationand coagulopathy in trauma, and in the management of acute cognitive dysfunction in critical illness.
JAMES WINEARLS, BSc(Hons) MBBS MRCP FCICM

Consultant Intensivist, Gold Coast University Hospital (GCUH).

Dr Winearls is an Intensivist at GCUH with a special interest in cardio-respiratory critical care and the coagulopathy
associated with major haemorrhage.
INTRODUCTION
Major haemorrhage causes coagulopathy, although the proportion of patients who become coagulopathic bystandard laboratory indices [prothrombin time (PT), activated partial thromboplastin time (APTT), platelet countand fibrinogen concentration] depends heavily on resuscitation practice. For example, coagulopathy developedin >70 per cent of trauma patients given >10 units of PRBC and crystalloid (in an era when plasma and platelets
were only transfused after coagulopathy developed)1, while whole blood transfused to Vietnam War casualties
resulted in only mild coagulopathy an no observable coagulopathic bleeding2. However, in major bleeding (dueto trauma), coagulopathy occurs in around 25-28 per cent of patients in the absence of dilution3,4. This traumainduced coagulopathy (TIC) is thought instead to be caused by hypoperfusion, thrombomodulin induced
activation of the protein C pathway, causing deactivation of factors Va and VIIIa and initiation of fibrinolysis5.
Hypoperfusion from non-traumatic major haemorrhage possibly activates similar mechanisms. At clinically
relevant levels, patient features traditionally hypothesised to cause coagulopathy (acidemia and hypothermia)
are most likely no more than non-causative associations6.
Coagulopathy in trauma3,4 and other forms of major haemorrhage7,8 is clearly associated with a higher casefatality rate. While most studies statistically isolate an independent effect of coagulopathy from underlying
severity of illness, the superficially attractive notion that coagulopathy causes more bleeding and so more death
is in reality questionable9. Most deaths due to haemorrhage are not due to uncontrolled microvascular bleeding.
Nonetheless, resuscitation strategies that avoid or correct coagulopathy are so appealing that they should not
really be questioned. The relevant question is how best to achieve expansion of the circulating blood volume
and improve coagulopathy rapidly, economically, and without introducing adverse effects from therapy.
RATIO-BASED RESUSCITATION
Resuscitation thinking in major haemorrhage was fundamentally altered by a US military retrospective
observational study showing higher transfused ratios of plasma to red blood cell units were associated withdramatically lower mortality10. Disappointingly, most of this effect is now recognised to be due to survivor bias
(patients had to live long enough to receive plasma)11. A high-plasma-ratio resuscitation strategy seems unable
to prevent coagulopathy after trauma12, and a plasma:platelet:red cell ratio of 1:1:2 versus 1:1:1 resulted in noobservable difference in 24-hour or 30-day mortality13. Observational studies have found high ratios of platelet
administration to be beneficial14,15, but the possibility of confounding remains. Paradoxically, a large observational
study found high ratio plasma to red cell transfusions in major haemorrhage in medical and general surgicalpatients seems detrimental16. Notwithstanding all the above concerns, unlike resuscitation that omits clotting
factors, plasma- and platelet-ratio based resuscitation seems at least not to make coagulopathy worse and sois the default strategy to which alternatives should be compared.
The concern with ratio-based protocols is that they might not achieve the four goals (efficacy, safety, speed,
economy) as well as alternatives. Coagulopathy in major haemorrhage varies between patients, so fixed ratios
will deliver plasma and platelets to some patients who do not need them. Further, the fibrinogen content ofthawed fresh frozen plasma is low, suggesting either cryoprecipitate or fibrinogen concentrate should be added– but there is little evidence to guide their appropriate ratio. Fibrinogen concentrate is quicker to administerthan either FFP or cryoprecipitate, and has a standardised fibrinogen concentration (although this advantage
is moot if there is way to judge appropriate dosing). A diagnostic test that could show within minutes whatclotting factors and platelets a particular patient requires would fix all of these problems.

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POINT OF CARE VISCOELASTIC TESTING VERSUS STANDARD LABORATORY TESTS
Rapid identification of the key components of coagulation dysfunction associated with major haemorrhage has
the potential to facilitate interventions to reduce blood loss, limit blood product transfusion and ultimately
reduce mortality. Standard laboratory tests (SLT) have limited utility in the assessment of the complex,
heterogeneous and multifactorial coagulopathy associated with major haemorrhage17. These tests are performedon platelet-poor plasma and are designed to assess single factor deficiencies and the effects of anticoagulant
therapy, not complex multifactorial coagulopathies. Abnormal SLT can be associated with adverse outcomesbut are poor predictors of bleeding, do not accurately define the various components of the coagulation system
contributing to coagulopathy and give no information on clot strength or stability18. Further, they do not assess
platelet or endothelial function – both major contributors to traumatic and most likely other forms of coagulopathy
in major haemorrhage. Thrombocytopenia undoubtedly worsens coagulopathy, but most major haemorrhage
patients are not thrombocytopenic and abnormal platelet function is not quantified by numerical platelet count.
The major drawback of utilising SLT in major active haemorrhage is the time taken for result availability, which
limits their utility in guiding transfusion of actively bleeding patients19. Rapid, point-of-care Pro-thrombin time
analysis can overcome this time delay issue, but reliability and clinical utility is controversial20-22. Many of these
problems are potentially solved by point-of-care (POC) viscoelastic haemostatic assays (VHA). VHA are performedon whole blood and provide information on clot initiation, amplification, strength and stability. They potentiallyallow differentiation of the various components of the coagulation system contributing to clot kinetics andprovide results more rapidly than SLT23,24.
Current Australian NHMRC Patient Blood Management guidelines make no recommendation on POC VHA
testing. Module 1 (Critical Bleeding Massive Transfusion)25 notes increasing use of POC tests but specifically
excludes them from its systematic review. Module 2 (Perioperative)26 limited its review to TEG, concluding onlythat “in adult patients undergoing cardiac surgery, the use of TEG should be considered (Grade C recommendation– a body of evidence provides some support for the recommendation but care should be taken in its application)”.
A 2015 Cochrane review in trauma patients concluded the paucity of evidence “strongly suggests that at present
these tests should only be used for research”27. Contrary to often-repeated claims, POC tests do not measure
the “whole” of the clotting system. They take no account of endothelial function, and assay blood from large
vessels rather than the more relevant microvasculature, where haematocrit is lower and acidaemia more
profound28. In 2016, only 9 per cent of US trauma centres incorporated viscoelastic testing into their massive
transfusion protocols29. Nonetheless, anyone claiming lack of evidence for POC testing must also concede asimilar lack of evidence supporting improved patient outcomes with standard laboratory coagulation tests inthis context. Despite the lack of evidence to support the use of VHA in terms of mortality, their use is endorsed
by several international guidelines30,31. As the implementation and use of VHA becomes more widespread ineveryday anaesthetic practice it is of critical importance that we are aware of the potential benefits and drawbacks
associated with this technology.
POINT-OF-CARE COAGULATION TESTING: WHAT NEW TECHNOLOGY IS AVAILABLE?
This review will predominantly focus on viscoelastic whole blood POC assays. One of the major drawbacks ofthe currently available viscoelastic devices is the inability to differentiate fully the effects of platelet dysfunction
and its contribution to coagulopathic bleeding. Multiple electrode impedance aggregometry devices (for example,
Multiplate; Roche, Basel, Switzerland) can potentially identify abnormal platelet function associated withincreased bleeding and mortality32,33. However, there is limited data to support the routine use of platelet function
analysis in guiding platelet transfusion34. The HemoSonics Quantra Platform (HemoSonics LLC, Charlottesville,
VA, US) is a new viscoelastic device that assays clot formation from vibration in response to ultrasound. However,
only two manufacturers currently dominate this market: TEM International GmBH, Munich, Germany (maker ofthe ROTEM device) and Haemonetics, Braintree, MA, USA (makers of the TEG device). The physical cup/pin
principles of the original ROTEM Delta and TEG 5000 devices currently in widespread use are described wellelsewhere. The test reagents differ and so indices of clot formation are not interchangeable. Each device uses
various clot initiators and inhibitors allow assessment of platelet, fibrinogen, fibrinolytic and heparin effects onclotting. Both manufacturers recently introduced automated devices that claim to provide the same results: theROTEM Sigma (figure 1) and the TEG 6S (figure 2). The ROTEM Sigma provides two cartridge choices (table1) for use with citrated whole blood. The TEG 6S is also a cartridge-based device that offers the options listed
in table 2. Unlike the TEG 5000, the TEG 6S can use citrated whole blood samples (for the global haemostasis
cartridge) or heparinised whole blood (for the platelet mapping cartridge).

Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage 

Figure 1. ROTEM Sigma

Figure 1. ROTEM Sigma.
Reproduced with the permission of Haemoview Diagnostics, Australia.

Reproduced with the permission of Haemoview Diagnostics, Australia.

Figure 2. TEG 6S
Reproduced
Figure 2.with
TEG the6S permission of Haemonetics ANZ
Reproduced with the permission of Haemonetics ANZ.

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Table 1. ROTEM Sigma Tests

Figure 3. ROTEM and TEG Tracings

INTEM CEXTEM CFIBTEM C

APTEM CHEPTEM C

Intrinsic clotting
pathway(factors VIII-XII)(affected byheparin; alsomeasured by
APTT)

Extrinsic
clotting
pathway (factorVII) (affected by
warfarin; alsomeasured by
PT)

Removes theeffect ofplatelets fromclot formation,consequently
identifying theisolated effectof fibrinogen

Inhibits
fibrinolysis in
the sample,
therefore
identifying theeffect of
antifibrinolytic
drugs

Neutralises
heparin effectin the intrinsic
pathway,identifying how
much clotting
inhibition is dueto heparin

X

X

X

X

-

ROTEM Sigma X
complete + hep

X

X

-

X

ROTEM Sigmacomplete

Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage Both the ROTEM Sigma and TEG 6s produce traces with the same appearance as the older-generation pin/
cup devices (figure 3). The ROTEM Sigma cartridge (figure 4) uses a miniature version of the rotating pin and
fixed cup used in the ROTEM Delta. In contrast, the TEG 6S measures shear stress changes during clot formation
with a resonance frequency technique involving piezoelectric vibrations applied to the blood sample, with theresulting meniscus motion detected using a light passing to a photodetector (figure 5). Identical samples tested
with the old/new TEG and ROTEM devices do not produce identical results, but agreement is consideredsatisfactory35,36.
Table 2. TEG 6S Tests
TEG
FUNCTIONALFIBRINOGENTEGPLATELET
MAPPINGKAOLIN TEG
WITH
HEPARINASE

KAOLIN TEGRAPID TEG

Intrinsic clotting
pathway(factors VIII-XII)(affected byheparin; alsomeasured by
APTT)

Simultaneously
activates theintrinsic andextrinsic
pathways tomore rapidly
assesscoagulation
properties

Removes theeffect ofplatelets fromclot formation,consequently
identifying theisolated effectof fibrinogen

Includesthrombingenerated andplateletreceptor
specific
tracings.
Identifies
plateletinhibition andaggregation
using the Kaolin
TEG as thecontrol.

Neutralises
heparin effect in
the intrinsic
pathway,identifying how
much clotting
inhibition is dueto heparin

Globalhaemostasis
cartridge

X

X

X

–

X

Plateletmapping
cartridge–––(includes four
assays:maximumclotting
potential, clot
strength due tofibrinogen, andclot strengththat would be
inhibited by a.
clopidogrel andb. aspirin.)–

Figure 4. ROTEM Sigma Cartridge
Reproduced with the permission of Haemoview Diagnostics, Australia.

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Figure 5. TEG 6S Cartridge and Mechanism
Reproduced with the permission of Haemonetics ANZ.

GOLD COAST UNIVERSITY HOSPITAL (GCUH) ROTEM GUIDED APPROACH
A ROTEM guided POC model was implemented at GCUH in 2014 initially in cardiac surgery and subsequently
expanded to other forms of major haemorrhage including trauma, obstetrics, vascular surgery and incorporated
into the GCUH Major Haemorrhage Protocol37. Devices are currently located in the ED, OR and ICU with results
streamed to key clinical areas. During significant haemorrhage, ROTEM analysis is performed by a predeterminedclinician, responsible for blood product transfusion and liaison with the blood bank. Strict training, educationand competency policies are followed, as is participation in The Royal College of Pathologists of Australasia
Quality Assurance Program. There are two algorithms in use at GCUH – cardiac surgery and general critical
bleeding (figures 6 and 7). Both have been designed to be simple to teach, understand and follow, with tests
run, interpreted and acted upon in a stepwise manner. The approach is highlighted by the following cases.

Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage 

Figure 6. Cardiac surgery algorithm in use at Gold Coast University Hospital

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Figure 7. Clinical bleeding algorithmin in use at Gold Coast University Hospital

Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage 

125Trauma cases
A 29-year-old male sustained a single gunshot wound to the abdomen at approximately 8.30am (figure 8). He
was rapidly transported to GCUH and arrived at 9am, receiving two PRBC units and tranexamic acid (TXA) en
route. On arrival, he was tachycardic and hypotensive and the “red blanket” protocol was activated, facilitating
his immediate transfer to the operating theatre. His initial ROTEM on arrival to hospital revealed normal parametersin all tests and this was supported by the subsequent normal standard coagulation profile. Damage control
laparotomy revealed significant intra-abdominal injuries. As per the GCUH ROTEM guided Major Haemorrhage
Protocol (MHP), he received PRBC transfusion with repeat ROTEM analysis after four PRBC. Subsequent
ROTEM demonstrated reduced clot amplitude in the FIBTEM test with a normal EXTEM CT, so he was given
4g FC. Further ROTEM analysis post fibrinogen replacement showed improved clot amplitude in the FIBTEM
test but borderline reduced amplitude in the EXTEM test. In view of on-going bleeding he was transfused one
unit of pooled platelets. At completion of laparotomy, haemorrhage control was achieved with normalisationof ROTEM parameters and standard coagulation profile and improvement in metabolic disturbance. Subsequent
ROTEM analysis from ICU admission demonstrated the increased clot amplitude in both the FIBTEM andEXTEM tests that would be expected after significant trauma. It is our standard practice to monitor ROTEM
parameters daily after major trauma and to initiate venous thromboembolism prophylaxis as soon as possible.
Figure 8. GSW Abdomen-3
09:08

SLT:
• PT 14• Plt 280
• Fib 2.3
•
•
•
•
•

ABG:
•pH 7.3•Lact 9•BE – 15
•Hb 100

Intra-peritoneal haemorrhage
IMA and IMV injury
Jejunal and Colonic injury
Ureteric injury
DCS + Abdomen packed and left open

• 6 PRBC• 4g FC• 1 Platelet

12:25

ICU Admission

SLT:• PT 16• Plt 131
• Fib 3.0

ABG:
•pH 7.3•Lact 3
•BE – 6
•Hb 97ABG:
SLT:• PT 1.2 • pH 7.26
• Plt 121 • Lact 2.2• Fib 3.8 • BE -6.7
• Hb 97

SLT:• PT N/A• Plt 130
• Fib 4.5
Day 2

GSW Abdomen

•
•
•
•
•

ABG:
• pH 7.41• Lact 1.3• BE 4.1• Hb 83

29 yo Male
Single GSW AbdomenTachycardic + Hypotensive
Pre-hospital PRBC x2
Red Blanket

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A 38-year-old male was involved in an unwitnessed motorbike accident (figure 9). His trachea was intubatedat the scene and bilateral finger thoracostomies were performed in the setting of clinically apparent significant
chest injuries and hypotension. He was airlifted to GCUH and received PRBC and TXA transfusion en route.
On arrival he was hypotensive, acidotic, coagulopathic and a red blanket protocol was activated. Initial FIBTEM
analysis revealed no clot formation with markedly reduced clot amplitude in the EXTEM analysis. In tandemwith damage control surgery and PRBC transfusion he was transfused 20 units cryoprecipitate (this was prior
to FC availability) and further TXA. The prolonged EXTEM CT corrected with cryoprecipitate transfusion andno purified factor replacement was given. Throughout the resuscitation ROTEM analysis was performed andfurther cryoprecipitate and platelets were transfused in addition to 14 units PRBC. Major thoracic, abdominal,
pelvic and long bone injuries were identified. At completion of damage control abdominal and orthopaedic
surgery his ROTEM parameters and standard coagulation tests had normalised. After arrival in the ICU there
was on-going diffuse bleeding from multiple operative and venepuncture sites. He was transfused further
cryoprecipitate and platelets as per ROTEM analysis and the bleeding ceased; by day one his ROTEM analysis
and standard coagulation profile had normalised.
Figure 9. MBA-3
09:12

ABG:
SLT:
• PT 29 • pH 6.93
• Plt 129 • Lact 8.5• Fib 0.7 • BE -18• Hb 115• 14 PRBC• 50 Cryo• 1 Platelet
•
•
•
•
•

12:28

ICU Admission

MBA

•
•
•
•
•
•

38 yo Male
Unwitnessed MBA
I+V / Thoracostomy at scene
Pre-hospital PRBC + TXA
90 min Pre-hospital TimeRed Blanket

Bilat Rib #’s + Haemopneumothoraces
Splenic Rupture + L Kidney Laceration
Colonic Injury
Complex Pelvic # + Multiple Long Bone #’s
DCS + Abdomen open / Ex-Fix Pelvis

SLT:• PT 19• Plt 84
• Fib 2.3

SLT:
• PT 17• Plt 83
• Fib 2.9

Cardiac surgical case
Blood product transfusion is common in cardiothoracic surgery, but only a small proportion of patients consume
the majority of these blood products38. Blood product transfusion rates and clinical practice vary widely between
centres; higher volume surgical units may have lower transfusion rates39. Excessive post-operative bleeding in
the cardiac surgical patient is associated with worse outcomes and is a major focus for improving morbidity
and mortality. Post-operative surgical bleeding can be surgical (most often requiring re-sternotomy), coagulopathic(multifactorial) or related to pre-operative anticoagulation and antiplatelet agents. One of the main challenges
is to differentiate between the various causes to permit the appropriate and timely intervention. The coagulopathy
associated with cardiac surgery is complex and multifactorial: large doses of heparin; exposure to an
extracorporeal circuit; hypothermia; haemodilution; factor consumption; platelet dysfunction and fibrinolysis
may all contribute. The exact pathophysiological mechanisms are beyond the scope of this article but what isclear is that the rapid identification of the different contributing components can permit timely intervention. The
optimal blood product transfusion strategy in cardiac surgery remains elusive, however, there is increasing
interest in the use of VHA40. Based on clinical information it is difficult to predict which patients require factor
replacement. There can be little benefit to treating those patients that are not factor deficient, so it would seemlogical to identify and treat only those patients in whom coagulopathy is contributing to on-going bleeding. The
ROTEM guided approach to the management of post cardiac surgical bleeding at the GCUH is illustrated in
the following case (figure 10).
Figure 10. Type A Dissection-2
Pre-CPB

On-CPB

ABG:• pH 7.25• Lact 3.2• BE -6• Hb 112

Rewarm1

ABG:• pH 7.24• Lact 3.1• BE -6.7• Hb 114

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Evidence, new methods and current practice of point-of-care coagulation testing in major haemorrhage 

SLT:• PT 17•• Plt 107
• Hb 110 •• Fib 2.2 •

•
•
•
•

AVR + Root
CBP 340
XC 220
DHCA 17• 4 PRBC + Cell Saver• 8g FC• 2 Platelet• 1000U PCC
SLT:• PT 26• Plt 149
• Fib 2.4

Post-CPB

Type A Dissection
71 yo Male
Extensive Dissection
AV to Iliac Bifurcation

ABG:• pH 7.2• Lact 4.0• BE -5.8• Hb 87

ICU Admission• 2 PRBC• 10 Cryo• 1 Platelet
SLT:• PT 17• Plt 94
• Fib 3.6
Day 1

ABG:
• pH 7.4• Lact 2.6• BE -1.0• Hb 80

SLT:• PT 20• Plt 97
• Fib 2.9

1

Day 1

ABG:
• pH 7.4• Lact 1.9• BE -0.7• Hb 831

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A 71-year-old male underwent emergency repair of a Type A dissection. Apart from hypertension, he had beenpreviously well, on no anticoagulants or antiplatelet agents. The dissection extended from the aortic valve tothe iliac bifurcation involving the brachiocephalic trunk, left subclavian artery, left renal artery and superior
mesenteric artery. A pre-operative ROTEM demonstrated marginal clot strength in the FIBTEM test. Total
cardio-pulmonary bypass (CPB) time was 300 minutes with 17 minutes of deep hypothermic cardiac arrest.
The on-CPB and re-warm ROTEM demonstrate markedly reduced clot firmness in both the FIBTEM and EXTEM
tests with a prolonged EXTEM CT. At separation from CPB he was transfused 6g FC and 2x Pool Platelets inaddition to protamine, PRBC and cell saver blood. According to our algorithm we would usually replace fibrinogenfirst and subsequently platelets, after adequate clot strength is demonstrated in the FIBTEM test. However, inview of the long CPB time, complex proximal aortic surgery and high probability of coagulopathic bleeding
associated with Type A dissection repair we instead gave platelets empirically. Subsequent ROTEM analysis
post-CPB demonstrated a normal INTEM CT suggesting adequate reversal of heparin, marginal clot firmness
in the FIBTEM test and a slightly prolonged EXTEM CT; in the context of microvascular bleeding further FC and
PCC were transfused. On return to the ICU the ROTEM parameters had returned to normal with minimal drain
losses.
Major obstetric haemorrhage case
Major obstetric haemorrhage is a significant cause of morbidity and mortality. Rates of post partum haemorrhage
have remained unchanged despite advances in obstetric management41,42. Causes of obstetric haemorrhage areheterogeneous; with each aetiology having different patterns of severity and subsequent coagulopathy. As suchit is difficult to rationalise how a fixed ratio empiric approach to blood product management in major obstetrichaemorrhage would be appropriate for all patients. The ROTEM guided approach to the management of majorobstetric haemorrhage at the Gold Coast University Hospital is shown in the following case (figure 11).
A previously well 33-year-old female developed significant post-partum haemorrhage after normal vaginal
delivery of healthy twins at 33 weeks’ gestation. After urgent transfer to the operating theatre, a ROTEM analysis
demonstrated significant fibrinogen deficiency in addition to prolonged EXTEM CT and reduced EXTEM
amplitude. Resuscitation in tandem with surgical control was performed. Based on the initial ROTEM at 3.39am
15 units of cryoprecipitate were transfused in addition to PRBC and TXA. We would administer TXA in the
pregnant patient population if there were VHA signs of hyperfibrinolysis or in the absence of VHA availability
empiric TXA as per the results of the recently published WOMAN Trial43. The initial ROTEM at 3.39am also
showed a prolonged EXTEM CT of 151 seconds, which could potentially signify a factor deficiency. However,in this situation with significant fibrinogen deficiency we would replace fibrinogen prior to factors and thenreassess. Frequently a prolonged EXTEM CT (in the absence of anticoagulants) can be corrected with fibrinogenreplacement alone. The ROTEM analysis performed at 04:38 demonstrated an increment in the FIBTEM amplitude
but despite cryoprecipitate remained low at 5mm. The EXTEM CT had normalised after fibrinogen replacement.
There was on-going haemorrhage with PRBC requirements and a Bakri balloon was inserted after removal ofretained products. A further 15 units of cryoprecipitate were transfused with normalisation of ROTEM parameters,
and surgical haemorrhage control was achieved.
Figure 11. PPH
03:39

Post Partum Haemorrhage
SLT:• PT 20• Plt 170
• Fib 0.6

ABG:
•pH 7.2•Lact 4
•BE – 9•Hb 97• 4 PRBC• 15 Cryo + 15 Cryo
• Bakri Balloon

05:41

SLT:
• PT 16• Plt 154
• Fib 3.6

ABG:
•pH 7.32•Lact 1.8
•BE – 4
•Hb 92• 33 year old female• SVD Twins• EBL +/- 3L• Hypotensive

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129

Validation of POC testing
In an insightful discussion44, Solomon et al discuss the concept of “validation” of clinical tests. They noteregulatory approval requires only that a test has acceptable accuracy, precision, and reproducibility, and thatthe interpretation of the results with reference to a “gold standard” has acceptable sensitivity, specificity andpredictive value. TEG and ROTEM both meet these requirements and so are CE-marked and FDA approved.
However, “clinical validation” implies that a test is relevant to clinical practice. This is more contentious.
Evidence supporting the use of point-of-care testing +/- factor concentrates in major haemorrhage
POC viscoelastic testing has been studied most extensively in the context of cardiac surgery. A 2017 metaanalysis of 15 trials in 8737 patients found no evidence for any effect of routine TEG/ROTEM use on mortality,
reoperation for bleeding, stroke, ventilation time or hospital length of stay45. However, the incidence of red blood
cell (Risk Ratio 0.88, 95 per cent Confidence Interval 0.79-0.97) and platelet transfusion (Risk Ratio 0.78,
95 per cent Confidence Interval 0.66-0.93) were both reduced. The quality of evidence for these findings wasclassed as low to very low.
The use of factor concentrates guided by VHA in cardiac surgery remains controversial. Some small studies
have suggested reduced blood product requirements and improved mortality but this has not been confirmedby large scale robust clinical trials46. The recently published REPLACE Trial reported no benefit from empiric
Fibrinogen Concentrate (FC) use in bleeding post cardiac surgery47. The FIBRES Study (NCT03037424), a large
multi-centre trial, is currently underway comparing FC to cryoprecipitate in cardiac surgery.
Avoiding transfusion of blood products would be expected to have associated patient-centred outcome benefit,
given the adverse effects associated with transfusion. That no cardiac surgery study has found patient-centred
outcome benefit, despite reduced transfusion, is intriguing. Of course, this may be a consequence of the low
quality evidence. However, there is another possibility. An Australian before-and-after study48 found POC testing
associated with a 25 per cent increase in cryoprecipitate use but substantial decreases in FFP (-74 per cent),
platelet (-63 per cent) and red blood cell (-36 per cent) transfusion in cardiac surgery. It is possible that any
benefit from reduced overall blood product transfusion due to more fibrinogen administration is offset bytargeting POC indices that are theoretically associated with better outcomes, but that in practice result in actions
that are to the patient’s detriment. Theoretical concerns include the possibility that FFP or platelet transfusion
might have benefits, aside from increasing platelet and factor concentrations, that are lost if POC tests indicate
fibrinogen administration alone. Platelet transfusions deactivate activated protein C49, restore PAI150, and provide
enough factor V to overcome any clinically relevant inhibition by activated protein C51. Unique among volumeexpanding alternatives, FFP preserves the integrity of the endothelial glycocalyx52. Second, it is possible that
normalisation of POC parameters (i.e. to levels seen in healthy patients) might not be optimal for a surgicalpatient who is at risk of pro-thrombotic complications as well as bleeding.
POC testing is more sensitive than standard laboratory tests in detecting TIC24. Worse POC results clearly
predict higher mortality in trauma53. However, the most important question for patient management is whether
POC testing in guides treatment that reduces mortality. The “ideal” Major Haemorrhage Protocol and thecomposition of blood product transfusion is one of the most fiercely debated topics in contemporary trauma
resuscitation, with widespread geographical and institutional variation in practice54-57. The incorporation of
VHA-guided algorithms into a MHP might enable more rapid correction of specific coagulation abnormalities24,58.
However, only one clinical trial has found patient-centred outcome benefit associated with POC testing. In thissingle-centre unblinded study involving 111 major trauma patients randomised to a massive transfusion protocol
guided by either TEG or conventional clotting assays, patients in the TEG group had a significantly lower six
hour (7.1 per cent versus 21.8 per cent, p=0.032) and 28 day (19.6 versus 36.4 per cent, p=0.049) mortality59.
This study is remarkable, as trauma is often considered too heterogeneous to allow even effective interventions
to be identified in conventionally designed randomised trials. Haemostasis management in severe trauma is
widely accepted as a fundamental area where more research is required60-62. The currently recruiting STATA Trial(NCT02416817) and iTACTIC Trial (NCT02593877) will add to the evidence base regarding VHA use in severe
trauma.
Factor concentrate administration guided by results of VHA as part of a MHP is another area of significant
controversy in trauma. There are several theoretical advantages to the use of factor concentrates but to datethere is limited high-level evidence to support their use63-65. The FiiRST Trial recently reported that early Fibrinogen
Concentrate (FC) use is feasible and increases fibrinogen levels during traumatic haemorrhage66. A number ofother trials investigating early FC use have recently completed or are currently recruiting; E-FIT (ISRCT67540073),
PRooF-iTH67, FEISTY (NCT02745041)68. Additionally, the recently published RETIC Trial reported improved
patient outcomes with a factor concentrate based resuscitation strategy69.
In obstetric haemorrhage, there is very little evidence-based consensus to guide clinical practice70. Most patientsare significantly pro-thrombotic at term, and by the time standard laboratory tests of coagulation become
abnormal there has been significant blood loss, and coagulopathy is profound71,72. There is increasing recognitionof the key role hypofibrinogenaemia plays in the coagulopathy in obstetric haemorrhage. Fibrinogen is the first
coagulation factor to fall in obstetric haemorrhage, and hypofibrinogenaemia (FibC <2 g/L) is associated with

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severity of haemorrhage and worse outcomes73,74. The use of VHA (TEG and ROTEM) has been studied in the
obstetric population and although reference ranges differ from the non-pregnant patient population they areable to identify rapidly fibrinogen deficiency74-77. As is a recurring theme in the management of major haemorrhage
there is limited high-level evidence to support the use of a VHA guided transfusion strategy in obstetrichaemorrhage. Empiric transfusion of plasma as part of fixed ratio MHP in obstetric patients might be detrimental
in terms of fibrinogen replacement as the fibrinogen content of plasma is dilute compared to that of the patient78.
A single centre study from the Liverpool Women’s Hospital reported significant reduction in blood producttransfusion after the implementation of a ROTEM-guided fibrinogen concentrate-based transfusion strategy insevere obstetric haemorrhage79. However, the blind administration of fibrinogen concentrate in the setting ofobstetric haemorrhage cannot be supported after the publication of the Fib-PPH trial80. Additionally, the OBS
2 trial demonstrated that supplementation of fibrinogen at or to what could be considered supra-therapeuticlevels (FibC 2-3 g/L) is ineffective in reducing haemorrhage81. If a VHA guided algorithm is to be utilised wewould suggest that there is no need to have specific obstetric treatment triggers for the transfusion of fibrinogen.
Two 2017 systematic reviews82,83 examined POC testing in all forms of major bleeding, finding no overall or
subgroup evidence for any patient-centred outcome benefit, but ongoing uncertainty regarding mortality. Further,
they confirmed evidence of reduced overall product usage (with resultant cost-effectiveness84), and no suggestionof increased mortality.
RECOMMENDATIONS
All trials of POC viscoelastic tests to date have been performed with older-generation devices. It is likely thatthe new automated devices will increase the number of patients, and the number of tests per patient, thatfeasibly can be performed. Consequently, evidence-guiding practice is likely to evolve rapidly. In the meantime,evidence of reduced product usage, greater cost-effectiveness, and no suggestion of worse patient outcomes,
all argue POC testing in tandem with an appropriate treatment algorithm should become part of routine care.
This paper describes what we think are examples of the sensible use to which this recommendation might beput.
REFERENCES

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41. Say L, Chou D, Gemmill A, Tunçalp Ö, Moller AB, Daniels J, et al. Global causes of maternal death: a WHO systematic
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43. WOMAN Trial Collaborators. Effect of early tranexamic acid administration on mortality, hysterectomy, and othermorbidities in women with post-partum haemorrhage (WOMAN): an international, randomised, double-blind, placebocontrolled trial. Lancet. 2017; 389(10084):2105–2116.
44. Solomon C, Asmis LM, Spahn DR. Is viscoelastic coagulation monitoring with ROTEM or TEG validated?. Scand J Clin
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47. Rahe-Meyer N, Levy JH, Mazer CD, Schramko A, Klein AA, Brat R, et al. Randomized evaluation of fibrinogen vs placebo
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2016;117(1):41–51.
48. National Blood Authority. Point of care coagulation testing case study: The Prince Charles Hospital Brisbane. Canberra:
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Intraoperative cell salvage 

135Intraoperative cell salvage
LAURA WILLINGTON, MBBS, FANZCA

Staff Specialist, Lyell McEwin Hospital and Women’s and Children’s Hospital, Adelaide.

Dr Willington has an interest in neuroanaesthesia, obstetric anaesthesia, and patient blood management. Sheis passionate about the use of intraoperative cell salvage.
MICHELLE ROETS, MBChB, DA, FCARCSI, FANZCA, MSc

Staff specialist anaesthetist, Department of Anaesthesia and Perioperative Medicine, Royal Brisbane and
Women’s Hospital, Brisbane.

Dr Roets has special interests in equipment, blood management and intra-operative cell salvage and was coauthor (with the National Blood Authority) of the Guidance for the Provision of Intraoperative Cell Salvage
document and appendixes within Australia.
INTRODUCTION
Intraoperative cell salvage (ICS) is a process in which blood lost during a surgical procedure is collected,
anticoagulated, washed, filtered and returned to the patient (figure 1). The surgeon collects the blood via suction,
where it is anticoagulated, before passing into a reservoir where large clots and debris are removed. If blood
loss is low and processing is not required it is possible to use only the collecting part of the consumable set.
If blood loss is significant then processing of the blood occurs where the blood is washed to remove any
contaminants and other blood components (free Hb, platelets, plasma) leaving concentrated red cells suspended
in saline with a haematocrit of 50-70 per cent. The red cells can then be returned to the patient. The salvaged
blood can be reinfused in the theatre, or kept and reinfused within four hours. Some Jehovah’s Witness patients
may accept the use of a continuous reinfusion circuit.
Figure 1. Reproduced from the National Blood Authority (Australia)1

The cell salvage device is operated by an “autotransfusionist”. This can be an anaesthetist, anaesthetist
technician/nurse, perfusionist, or a contractor as long as they have appropriate training in the operation of thedevice. The manufacturer normally conducts initial training and following this, the National Blood Authority
recommend that the operator completes a minimum number of cases per year once accredited to remaincompetent in its operation1. An online autotransfusion course has also been developed by the Australian and
New Zealand Perfusion College.

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The history of cell salvage
The first suggestion about the possibility of cell salvage and autologous transfusion was in 1818, when Blundell
treated patients with post-partum haemorrhage2. The first autotransfusion occurred in 1874 when Hueter
transfused 350 mls of autologous blood into a patient with frost gangrene, in an attempt to re-perfuse the foot 3.
The first successful surgical use of autotransfusion was published by Duncan in 1886 who used the techniqueduring the amputation of a leg4. HJ Thies, a German obstetrician, described autotransfusion in 1914 after
autologous blood was given to three women with ruptured ectopic pregnancy5. The first large case series camefrom the University of Louisville in 1943, where 100 consecutive cases of autotransfusion occurred in patientswith trauma or ruptured ectopic pregnancy5.
By the 1940s there had been a substantial improvement in both blood donation and storage practices, andautotransfusion was largely ignored until the AIDS epidemic in the mid-1980s reignited an interest in autologous
blood transfusion as a means of avoiding donor blood5,6. Autologous blood was considered invaluable andintraoperative cell salvage (ICS) became part of a paradigm shift in transfusion medicine7.
Recently there has been a significant focus on perioperative blood management in patients undergoing major
surgical procedures. Patient blood management (PBM) is an evidence-based, patient-centered, multi-disciplinary
approach aiming to reduce the need for allogeneic transfusion8. The three-pillar concept of PBM was introduced
to allow optimisation and preservation of the patients own red blood cell mass9,10. It also forms part of Standard
7 of the National Safety and Quality Health Service Standards in Australia. ICS is considered an integral partof the second pillar and has now become a well-accepted and safe modality aiming at the reduction or avoidanceof allogeneic blood transfusion (ABT)11,12. In the Cochrane analysis published in 2010 there was a 38 per centreduction in ABT when ICS was used12.
Where can it be used?
ICS is indicated in surgery with:

Table 1. Suggested uses for ICS
CARDIOTHORACICS

ALL MAJOR SURGERY

TraumaMulti trauma (caution when bowel perforation and faecal contamination)

Gynaecology

Ruptured ectopic
Total abdominal hysterectomy
Uterine myomectomy

Obstetrics
Orthopaedics• Patients with multiple antibodies or rare blood types.
• Patients with objections to receiving allogeneic (donor) blood.

Long bone fracture lower extremities
Resection bony tumours
SpinalIn what type of surgery should ICS be considered?
ICS can be used in a number of surgical specialties. Common areas for use are listed below.

Multilevel instrumented spinal surgery (particularly posterior fusion andscoliosis surgery)
Resection tumours

Liver and spleen

Hemihepatectomy
Transplant
Whipples procedure
Ruptured spleen

Vascular

Abdominal or thoraco-abdominal aneurysm
Aorto-bifemoral grafts

UrologyOpen nephrectomy
Radical prostatectomy

ICS should be considered in:• Cases where blood loss is potentially unpredictable.

Revision hipPelvic surgery• Blood loss great enough to induce anaemia.
• Patients with a low haemoglobin or increased risk factors for bleeding.

LSCS (particularly accreta, increta, percreta)
Laparotomy for PPH• Anticipated blood loss of >750 mL or >20 per cent estimated blood volume.
• A surgery where >10 per cent of the patients having that procedure in that institution require transfusion.

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Intraoperative cell salvage 

Cystectomy
Plastics

Major flaps

Who should not have cell salvage?
The manufacturers contraindicate the use of ICS in the presence of bowel contamination unless there iscatastrophic haemorrhage. A number of studies have shown however that postoperative infection rates after
abdominal injury was equal in patients who received allogeneic or cell salvaged blood13,14. While salvage fromgrossly contaminated fields should be avoided, procedures involving bowel resection should be able to use
ICS for part of the procedure. These patients should have a leukodepletion filter used and receive broadspectrum antibiotics14. There is some evidence however that with increasing bacterial load the leukodepletion
filter may be overcome15, so each case must be individually evaluated by the surgeon and anaesthetist for risks
and benefits of proceeding with ICS.
ICS should be temporarily discontinued when substances not licensed for IV use are present in the surgicalfield. These include iodine, topical clotting agents and orthopaedic cement. The area should be washed with
0.9 per cent sodium chloride before resuming ICS14.
Debate continues as to whether patients with Sickle cell disease or trait should have ICS. There remains someconcern about the possibility that cell salvaged blood returned to the patient may sickle, causing significant
haemolysis and further reduce oxygen carrying capacity, as well as adverse outcomes related to free haemoglobin.
Studies have shown a rate of 15-50 per cent sickling with processing11. ICS has been used successfully withoutcomplications in a few instances, but should be discussed with a haematologist on a case by case basis.
ICS should also be avoided during pheochromocytoma surgery, as the vasoactive molecules are still active on
reinfusion, and may result in hypertension11.
Advantages and disadvantages of intraoperative cell salvage
Some of the advantages and disadvantages of ICS are listed in table 2.

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Table 2. Advantages and disadvantages of ICS
ADVANTAGESDISADVANTAGESHigher levels of 2,3-diphosphoglycerate

Possible hypotension on reinfusion (increased risk if
a leukodepletion filter and ACD is used)

Red cells maintain their flexibility in the
microcirculation

Pyrexia

Immediately active in tissue oxygenation

With large blood loss other blood components may
still be needed (for example, platelets, clotting factors)

Normal pH

Unavailability of trained staff

Intraoperative cell salvage 139

Why not just transfuse?
We are all aware that blood is a finite resource, and relies on the generosity of blood donors. There is now also
increasing evidence of harm from transfusion of blood products. A study looking at 48,000 post-op non-cardiac
surgery patients found 4.6 per cent received a transfusion post operatively. Of those transfused there wasincreased 30-day mortality, all cause mortality, and rate of postoperative infections. Hospitals with liberalpractices were two times more likely to transfuse patients, and had higher risk adjusted mortality rates thanrestrictive hospitals18.
Even with a single unit transfusion of donor red cells there is increased odds of mortality, morbidity, perioperativeischaemic stroke and/or myocardial infarction, wound problems, pulmonary complications, postoperative renal
dysfunction, systemic sepsis and postoperative length of stay19,20. Rates of morbidity and mortality increased
in a dose dependent manner with further transfusion of donor red cells20. With an ageing population withincreasing co-morbidities, there is an even greater need to try and avoid donor blood wherever possible.
Despite the known risks associated with allogeneic blood transfusion (ABT), it remains the default position formany clinicians. Ten per cent of patients admitted to hospital will receive a blood transfusion. ABT has been
identified as one of the five most over prescribed medical treatment modalities21.

Normal ATP levels
Increased mean erythrocyte viability and membrane
activity

Cost
The machine routinely used at our institution is the Continuous Auto Transfusion System (CATS) by Fresenius.
Other ICS providers within Australia include Haemonetics and LivaNova. The initial set-up cost involves thepurchase of the machine, and ongoing costs include disposables, training of staff, and maintenance.

Provide a ready source of red cells that are available
and proportional to losses
Reduces transfusion associated risks (ABO
incompatibility, transmission of blood borne
infections, haemolytic transfusion reactions,immunosuppression)

A business case and considerations for implementation are available within the National Blood Authority’s“Guidance for the provision of Intraoperative cell salvage document and appendixes”1.
For the Fresenius Kabi product the cost of the collection system is $85 per patient. This includes the reservoir,
suction tubing, and the heparinised saline. If processing of the collected blood occurs, then the cost increases
to $283 per patient, or $320 if a leukodepletion filter is also required. Currently, the Australian Red Cross Blood
Service costs a unit of red blood cells at $346.8722. This, however, only reflects the manufacturing cost. The
total cost of a unit of blood when considering all direct and indirect costs is likely closer to $7331. The indirect
cost of allogeneic blood transfusion is as high as five times that of the direct cost23.

Avoids or limits allogeneic transfusion and its
associated risks (see table 3)
Acceptable to the majority of patients who may
decline allogeneic blood
Cheaper

The cost of blood is increasing as there is an increased demand for blood, costs of collection storage andprocessing have increased, and there is more stringent testing of blood for viruses24. According to the National
Blood Authority the estimated cost associated with blood transfusion in Australia is over $1 billion per year25.

Table 3. Reported adverse outcomes associated with allogeneic blood transfusion

A cell salvage program was established at a hospital in Cleveland with an economic analysis conducted. Basedon collected data ICS was used in as many as 2500 cases per year. Prior to implementation of ICS the hospital
paid for each unit of donor blood administered to patients. They concluded that they were able to break evenin terms of initial outlay costs (machine purchase, disposables, training, and wages for the technician) in 1.93
months24.

INFECTION

CARDIAC ARREST

Septicaemia

Renal failure

Transfusion-related acute lung injury (TRALI)

StrokeMultisystem organ failure (MOF)

Thromboembolism

Systemic inflammatory response syndrome (SIRS)

Diminished postoperative functional recovery

Acute respiratory distress syndrome (ARDS)

Bleeding requiring re-operation

Prolonged mechanical ventilation

Increased admission to ICU

Vasospasm

Increased ICU length of stayLow-output heart failure

Increased hospital length of stay

Atrial fibrillation

Increased hospital readmission

Source: National Blood Authority1
Is cell salvage safe?
A recent study published in Transfusion reviewed the use of cell salvage in nine hospitals over an 11-year
period16. They found 43,198 patients had ICS for their procedure, and 33,531 had blood returned. There wasfound to be two patient adverse events, both of which made a complete recovery. This resulted in an adverse
events rate of 0.006 per cent. There were 12 equipment malfunctions.
Historical concerns about amniotic fluid embolism are no longer a contraindication in current practice due toa lack of strong evidence17. CMACH, NICE, AAGBI and the Australian National Patient Blood management
Guidelines (module 5 Obstetrics) have endorsed cell salvage in obstetric surgery.

A further study showed from the UK showed that they were able to recover the purchase cost of the ICS machine
within 20 cases when it was used for open radical prostatectomy26.
In the Australian context, there has been a significant change in regard to costs associated with blood productadministration. While previously the expense was absorbed by the individual states, there is a now a shift ofcosts to the individual health network in almost all states except South Australia and Western Australia. With
this shifting of costs there may be increased interest by hospital administrators on ways to reduce expenditure
related to blood products. The National Blood Authority has an extensive document on business case guidancefor hospitals looking to implement a cell salvage service1.
ICS in specific surgical subspecialities
Orthopaedic surgery
A Cochrane review in 2010 found that when ICS was used for orthopaedic procedures there was a relative risk
reduction of 54 per cent of receiving allogeneic blood. This was a larger relative risk reduction than for cardiac
surgery12.
Revision hip arthroplasty is known to be associated with high blood loss. In a study by Herd et al, the use of
ICS for revision hips was investigated27. One group had ICS for their revision hip replacement surgery, while acontrol group did not. There was a 55 per cent reduction in the transfusion rate in the ICS group, with an averageof 0.4 units per patient transfused, versus 3.5 units in the control group.
ICS should be considered in patients undergoing hip fracture repair if they are anaemic preoperatively, or
inadequately reversed from their anticoagulation.
Cancer surgery
The use of ICS for cancer surgery has been controversial for many years. In 1986 the American Medical Council
stated ICS was contraindicated for cancer surgery8. This was because of fear of recurrence or distant metastases
secondary to reinfusion. Early studies that investigated whether this idea had merit were non-reinfusion studies,

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where blood was collected and washed, but not returned to the patient and instead analysed for the presenceof cancer cells. Non-reinfusion studies demonstrated that blood salvaged and passed through a leukodepletion
filter contained only non-nucleated cell fragments of tumour cells that were unable to cause metastases8.
Leukodepletion filters (LDF) are highly effective (around 99.9 per cent) in removing contaminating tumour cells
from cell-salvaged blood11.
Following the results of these studies, reinfusion studies were commenced. The first group to adopt ICS was
urology for patients undergoing radical prostatectomies. In two groups undergoing radical prostatectomy theyfound no evidence of increased risk of recurrence or metastases26. Group A had standard care, whereas GroupB had ICS. There was a significant decrease in the number of units of RBC prescribed (69 versus 16). In the
ICS group there was also no increased risk of early biochemical relapse, and a decreased recurrence rate at
three year. A similar study confirmed these results in 200528.
The benefit of using ICS for oesophagectomy has also been shown. Only 3 per cent of patients received
allogeneic blood when ICS was used, versus 33.7 per cent in the control group. There was also a lower rate of
postoperative infection in the ICS group29.
A meta-analysis conducted in 2011 that looked at 10 studies where ICS had been used versus a control group.
The primary end point was a comparison of the odds ratio for cancer recurrence, or the development ofmetastases in the group who received autologous blood. In most studies there was no significant difference incancer recurrence rates in patients who received autologous blood from ICS, and several studies showed alower recurrence rate. The studies included in the meta-analysis were retrospective or case control studies,and they have suggested that a prospective trial is warranted to demonstrate the superiority of intraoperative
allogeneic transfusion30 (see figure 2).
Figure 2. Literature review comparing research related to cell salvage and cancer recurrence30

Intraoperative cell salvage 

141Immunological changes in donor blood
ABT (allogeneic blood transfusion) is known to promote tumour growth via immunosuppression. Transfusion
related immune modulation (TRIM) occurs after transfusion of allogeneic blood. This involves a decrease in thefunction of natural killer cells, a decrease in the proliferation of T and B lymphocytes, induction of T regulatory
cells, and decreased maturation and antigen presenting activity of dendritic cells34. In contrast autologous blood
results in increased TNFα and complement C3 levels, which strengthen immune ability against infection35.
Ectopic pregnancy
Ectopic pregnancy occurs at a rate of 11 per 1000 pregnancies36. Around 15 per cent of women with ectopic
pregnancy will present to hospital with evidence of hypovolaemic shock37. The reported transfusion rate for
ectopic pregnancy is quoted between nine and 29 per cent38,39.
In a retrospective audit conducted at the Lyell McEwin Hospital of cases of ruptured ectopic pregnancies overa one year period found 26 cases that underwent surgical intervention. On 10 occasions ICS was set up, andin six of those cases there was enough blood collected to allow for reinfusion. These six women all had evidenceof shock prior to induction, and were all found to have significant haemoperitoneum. The mean volume infusedin these cases was 526 mls (min 290 – max 800). In total 3157 mls of autologous blood was returned to thepatients, the equivalent of 13 units of RBCs.
The cell salvage collection suction tubing can be directly connected to the laparoscopic suction outlet, withstudies showing no difference in the quality of the red cells with collection via this method, versus the standard
Yankauer sucker40.
Obstetrics
Blood loss is notoriously difficult to predict in obstetric patients. Maternal haemorrhage remains the third most
likely cause of direct maternal deaths in Australia41. LSCS is reported to have a transfusion rate of five percent42. There has been a recent shift towards the use of ICS for LSCS in high-risk patients. In the 2005-2006
year 38 per cent of obstetric units in Britain were using ICS for obstetrics14. The use of ICS in obstetrics is now
supported by AAGBI, RANZCOG, RCOG, NICE and the National Blood Authority Australia.
Previously it was thought that cell salvage could not be used due to the theoretical risk of amniotic fluid embolus(AFE). However, in a series of 400 cases, there was no increased risk of AFE, and no adverse events. There
have been two case reports of hypotension after reinfusion through a LDF16.
The majority of the early research on this topic has come from the Liverpool Women’s Hospital in the UK43.
They established a protocol where all women undergoing LSCS had ICS set up unless they were considered
low risk. This included women who were having a LSCS for breech presentation, because of a previous vaginaltear, who had only one previous LSCS, or for maternal request. They found that enough blood was collected
for reinfusion in 1/6 cases (A reinfusion rate of 16 per cent). When ICS was used for only “high risk” patients(for example, abnormal placentation) their reinfusion rates were 23.3 per cent43.
In 2010 King Edward Memorial Hospital published their experience of the introduction of an intraoperative cellsalvage program. They chose to target women at high risk of bleeding, and those women who would not accept
donor blood. ICS was used 51 times in just over a two-year period. Twenty-one women had blood reinfused(41 per cent), with a median volume of 359 mls. Seven of these 21 women had only salvaged blood reinfused42.
They also noted that 66 per cent of the women who were transfused started with haemoglobin of less than 120
g/L. For the 30 women who did not receive salvaged blood, the estimated median blood loss was 750 mls.
In a Japanese case series 50 high-risk parturients had ICS used for their LSCS. All 50 women had blood
reinfused. Thirty per cent had ICS blood alone receiving a median volume of 315 mls (range 80-939 mL)44.

A further meta-analysis published in 2014 in The Lancet Oncology journal31 reviewed 30 studies where
patients had cancer surgery for a wide variety of primaries. One thousand nine hundred and ninety threepatients had ICS used during their procedures. In only two cases was there any evidence of tumour cells
after processing and use of a LDF. These were both in patients who had hepatocellular carcinoma that
ruptured during resection. All studies showed either equivalent or better results in the ICS group, with noevidence of worse long term outcomes31.
The spine is the most common place for skeletal metastases. In 2014 a study was conducted looking at 24
patients who had metastatic spinal disease secondary to varied primaries32. Blood samples were taken andtested for the presence of cancer cells at three different points along the collection system. Cancer cells werelocated in 8/24 samples at the operative site, 3/24 samples before the LDF, and 0/24 sample post filter. Spinal
surgery is associated with significant blood loss, and substantial intraoperative blood loss is associated withincreased morbidity and mortality. Given there is no evidence of increased risk of metastatic disease or recurrence,
there should be increased use in this area.
NICE now recommends the use of ICS for urological malignancies, and the evidence would suggest that it canbe safely used in all malignancy surgery33. They stated that they did not consider it likely that further long-term
research would identify metastases that might have been caused by reinfusion of malignant cells. A leukodepletion
filter should always be used.

Using the Liverpool data we set up a similar pilot study at the Lyell McEwin Hospital, with more restrictive
criteria around who was eligible for ICS. Over a three month period in 2015 we found our reinfusion rates to bearound 10 per cent, and noticed a significant decrease in the number of women transfused in the perioperative
period (2.2 to 1.1 per cent). Interestingly our study also showed that the number of women who lost >750 mls
at their LSCS was almost split equally between emergency and elective caesareans despite our eligibility criteria
targeting “high risk” women. Therefore, many women were excluded who may have benefited from ICS.
In our institution it is routine to use a single suction system. All amniotic fluid is collected in the reservoir. The
amniotic fluid is removed during processing, and the collected blood is returned via a leukodepletion filter tofurther aid removal. These filters have a small pore microfiber web and a negative surface charge and remove
foetal squamous cells, amniotic fluid, vernix, tissue factor and alpha fetoprotein. A number of these factors
have been implicated as playing a role in the development of an amniotic fluid embolus syndrome45. Many
hospitals still use a separate suction device to collect amniotic fluid and then another to collect blood. However,
the international movement currently is towards using one suction device as a result of safety evidence available.
One caveat concerning the use of ICS in LSCS is that foetal red cells are not removed with washing or using
a filter, as the machine is unable to differentiate foetal and maternal red cells14. Rhesus negative mothers requirea Kleinhauer to be sent if reinfusion occurs to aid with determining the dose of Anti-D required to prevent
alloimmunisation.

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Currently we are awaiting the full results of the SALVO trial. This RCT conducted in the UK studied 3050 women
undergoing LSCS who were at risk of bleeding. One group received ICS, whereas the other had standard care,including donor transfusion if required46. The study’s outcomes are to review differences in transfusion rates,
morbidity and mortality, and blood loss between the groups. One thousand four hundred and ninety eight
women had ICS used for their LSCS with a reinfusion rate of 50.8 per cent (mean 259.9 ml). Donor blood rates
were lower in the ICS group (2.5 versus 3.5 per cent). The full results should be published by the end of 2017.
CONCLUSION
Patient blood management involves a multidisciplinary approach, with the anaesthetist playing a vital role.
Intraoperative cell salvage is a clinically safe and cost effective intervention. It has been clearly demonstrated
to limit allogeneic transfusion, and the risks associated with donor blood. It has very few adverse effects
associated with its use, and can be used in a wide range of surgical specialties. Its use in clinical practice
should be embraced, and will hopefully form part of a routine care for patients where it is indicated.
ICS should ideally be discussed with the patient before their surgery, and consent obtained. Information sheets
can be downloaded for distribution from the National Blood Authority Australia website. As part of the WHO
recommended “time out” prior to surgery beginning the surgeon is asked to estimate the expected blood loss.
Cell salvage should be implemented for anyone who is likely to lose >750 mL of blood, or is at moderate orhigh risk of requiring a blood transfusion in their perioperative course.
REFERENCES

1. National Blood Authority. Guidance for the provision of intraoperative cell salvage [Internet]. 2014. From: https://www.
blood.gov.au/ics. Accessed 10 October 2017.
2. Blundell J. Experiments on the transfusion of blood by the syringe. Med Chir Trans. 1818;9(Part 1):56–92.
3. Peters E. Die arterielle Transfusion and ihre Anwendung bei erfrierung [dissertation]. Greifswald, DE: Greifwald Univ.; 1874.
4. Duncan J. On re-infusion of blood in primary and other amputations. Br Med J. 1886;1(1309):192-193.
5. Konig G, Waters JH. Washing and filtering of cell-salvaged blood – does it make autotransfusion safer?. Transfus Altern
Transfus Med. 2012;12(3–4):78–87.
6. Vanderlinde ES, Heal JM, Blumberg N. Autologous transfusion. BMJ. 2002;324(7340):772–775.
7. Isbister JP. The paradigm shift in blood transfusion. Med J Aust. 1988;148(6):306–308.
8. Zaw AS, Bangalore Kantharajanna S, Kumar N. Is autologous salvaged blood a viable option for patient blood management
in oncologic surgery?. Transfus Med Rev. 2017;31(1):56–61.
9. Isbister JP. The three-pillar matrix of patient blood management – an overview. Best Pract Res Clin Anaesth. 2013;27(1):69–
84.
10. Clevenger B, Mallett SV, Klein AA, Richards T. Patient blood management to reduce surgical risk. Br J Surg.
2015;102(11):1325–1337.
11. Esper SA, Waters JH. Intraoperative cell salvage: a fresh look at the indications and contraindications. Blood Transfus.
2011;9(2):139–147.
12. Carless PA, Henry DA, Moxey AJ, O’Connell D, Brown T, Fergusson DA. Cell salvage for minimising perioperative
allogeneic blood transfusion. Cochrane Database Syst Rev. 2010:14(4):CD001888.
13. Ashworth A, Klein AA. Cell salvage as part of a blood conservation strategy in anaesthesia. Br J Anaesth. 2010;105(4):401–
416.
14. The Association of Anaesthetists of Great Britain & Ireland. AAGBI Safety Guideline. Blood transfusion and the anaesthetist– intraoperative cell salvage [Internet]. 2009. From: https://www.aagbi.org/sites/default/files/cell%20_salvage_2009_amended.pdf Accessed 15 October 2017.
15. Waters JH, Tuohy MJ, Hobson DF, Procop G. Bacterial reduction by cell salvage washing and leukocyte depletion filtration.
Anesthesiology. 2003;99(3):652–655.
16. DeAndrade D, Waters JH, Triulzi DJ, Alarcon L, Wisniewski MK, Dyga R, et al. Very low rate of patient-related adverse
events associated with the use of intraoperative cell salvage. Transfusion. 2016;56(11):2768–2772.
17. National Institute for Health and Care Excellence. NICE Interventional procedures guidance [IPG144]. Intraoperative blood
cell salvage in obstetrics [Internet]. 2005. From: https://www.nice.org.uk/guidance/IPG144. Accessed 15 October 2017.
18. Abdelsattar Z, Hendren S, Wong SL, Campbell DA Jr, Henke P. Variation in transfusion practices and the effect on
outcomes after noncardiac surgery. Ann Surg. 2015;262(1):1–6.
19. Whitlock E, Kim H, Auerbach A. Harms associated with single unit perioperative transfusion: retrospective population
based analysis. BMJ. 2015:350:h3037.
20. Ferraris V, Davenport D, Saha SP, Austin PC, Zwischenberger JB. Surgical outcomes and transfusion of minimal amountsof blood in the operating room. Arch Surg. 2012;147(1):49–55.
21. Goodnough L. Blood management: transfusion medicine comes of age. Lancet. 2013;381(9880):1791–1792.
22. National Blood Authority Australia [Internet]. 2017. From: https://www.blood.gov.au/national-product-list. Accessed 15
October 2017.
23. Sapere Research Group. Analysis of cost drivers and trends in the blood sector: for the Department of Health and Ageing.
2011. From: https://www.health.gov.au/internet/main/publishing.nsf/Content/foi-disc-log-2012-13/$File/COSTS%20
AND%20TRENDS%20-%20FINAL%2030%20August%2011.pdf. Accessed 23 November 2017.
24. Waters JR, Meier HH, Waters JH. An economic analysis of costs associated with development of a cell salvage program.
Anesth Analg. 2007;104(4):869–875.

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25. National Blood Authority. National blood research and development strategic priorities: 2013–2016, version 4.1[Internet].2013.From: https://www.blood.gov.au/system/files/documents/nba-research-and- developmentpriorities-2013-16.pdf. Accessed 15 October 2017; p. 3.
26. Ubee S, Kumar M, Athmanathan N, Singh G, Vesey S. Intraoperative red blood cell salvage and autologous transfusion
during open radical retropubic prostatectomy: a cost-benefit analysis. Ann R Coll Surg Engl. 2011;93(2):157–161.
27. Herd J, Joseph J, McGarvey M, Tsimbouri P, Bennett A, Meek RM, Morrison A. Intraoperative cell salvage in revision hip
surgery. Ann Med Surg. 2014;3(1):8–12.
28. Muscari F, Suc B, Vigouroux D, Duffas JP, Migueres I, Mathieu A, et al. Blood salvage autotransfusion during transplantation
for hepatocarcinoma: does it increase the risk of neoplastic recurrence?. Transplant Int. 2005;18(11):1236–1239.
29. Kinoshita Y, Udagawa H, Tsutsumi K, Ueno M, Nakamura T, Akiyama H, et al. Usefulness of autologous blood transfusion
for avoiding allogenic transfusion and infectious complications after esophageal cancer resection. Surgery.
2000;127(2):185–192.
30. Waters J, Yazer M, Chen YF, Kloke J. Blood salvage and cancer surgery: a meta analysis of available studies. Transfusion.
2012;52(10):2167–2173.
31. Kumar N, Chen Y, Zaw AS, Nayak D, Ahmed Q, Soong R, et al. Use of intraoperative cell-salvage for autologous bloodtransfusions in metastatic spinal surgery: a systematic review. Lancet Oncol. 2014;15(1):e33–41.
32. Kumar N, Ahmed Q, Lee VK, Chen Y, Zaw AS, Goy R, et al. Can there be a place for intraoperative salvaged blood in spine
tumor surgery?. Ann Surg Oncol. 2014;21(7):2436–2443.
33. National Institute for Health and Care Excellence. NICE Interventional procedures guidance [IPG258]. Intraoperative red
blood cell salvage during radical prostatectomy or radical cystectomy [Internet]. 2008. From: https://www.nice.org.uk/
guidance/ipg258. Access 15 October 2017.
34. Cata J, Wang H, Gottumukkala V, Reuben J, Sessler DI. Inflammatory response, immunosuppression, and cancer
recurrence after perioperative blood transfusions. Br J Anaesth. 2013;110(5):690–701.
35. Long M, Liu Z, Zhu JG. Comparative analysis of autologous blood transfusion and allogeneic blood transfusion in surgicalpatients. Int J Clin Exp Med. 2014;7(9):2889–2894.
36. Newbatt E, Beckles Z, Ullman R, Lumsden MA, Guideline Development Group. Ectopic pregnancy and miscarriage:
summary of NICE guidance. BMJ. 2012;345:e8136.
37. Cohen A, Almog B, Satel A, Lessing JB, Tsafrir Z, Levin I. Laparoscopy versus laparotomy in the management of ectopic
pregnancy with massive haemoperitoneum. Int J Gynaecol Obstet. 2013;123(2):139–142.
38. Hendrix N, Chauhan S, Mobley J, Devoe LD, Smith RP. Risk factors associated with blood transfusion in ectopic
pregnancy. J Reproductive Med. 1999;44(5);433–440.
39. Hutton J, Narayan R. Is ectopic pregnancy too often diagnosed too late?. NZ Med J. 1986;99(794):3–5.
40. Nagarsheth N, Fenske S, Shah A, Moshier E, Stahl R, Shander A. In vitro analysis of cell salvaged blood collection with alaparoscopic suction device. J Minim Invasive Gynaecol. 2013;20(1):104–106.
41. Australian Institute of Health and Welfare. Maternal deaths in Australia 2008–2012 [Internet]. 2015. From: https://www.
aihw.gov.au/reports/mothers-babies/maternal-deaths-in-australia-2008-2012/contents/table-of-contents. Accessed 15
October 2017.
42. McDonnell N, Kennedy D, Long LJ, Gallagher-Swann MC, Paech MJ. The development and implementation of anobstetric cell salvage service. Anaesth Intensive Care. 2010;38(3):492–499.
43. Brearton C, Bhalla A, Mallaiah S, Barclay P. The economic benefits of cell salvage in obstetric haemorrhage. Int J Obstet
Anesth. 2012;21(4):329–333.
44. Morikawa M, Kuramoto A, Nakayama M, Oguchi H, Hasegawa M, Funakoshi T. Intraoperative cell salvage during obstetricsurgery in 50 Japanese women. Int J Gynaecol Obstet. 2015;128(3):256–259.
45. Sullivan I, Faulds J, Ralph, C. Contamination of salvaged maternal blood by amniotic fluid and fetal red cells during
elective caesarean section. Br J Anaesth. 2008;101(2):225–229.
46. Dhariwal S, Khan K, Allard S, Wilson M, Moore P, SALVO study group. Does current evidence support the use of
intraoperative cell salvage in reducing the need for blood transfusion in caesarean section?. Curr Opin Obstet Gynecol.
2014;26(6):425–430.

Regional
What is the role of thoracic epidural analgesia incontemporary anaesthesia practice?
Andrew Deacon, Jennifer Hartley
Dissecting epidural failure in the obese parturient: Time
to carefully consider the lumbar interspinous ligament
Sue Lawrence, Adrian Langley, David Sturgess
Abdominal wall blocks – steps to quality assurance
and managing risk
James Griffiths

What is the role of thoracic epidural analgesia in contemporary anaesthesia practice?

147

What is the role of thoracic epidural analgesia in contemporaryanaesthesia practice?
ANDREW DEACON, FANZCA

Staff specialist cardiothoracic anaesthetist, Canberra Hospital.
Dr Andrew Deacon is a staff specialist cardiothoracic anaesthetist at the Canberra Hospital, Canberra, Australia,
and a clinical lecturer at The Australian National University. He completed a fellowship in perioperative
echocardiography at the Civic Hospital, Ottawa, Canada, and a fellowship in thoracic anaesthesia at Toronto
General Hospital, Toronto, Canada.
JENNIFER HARTLEY, MBBS

Paediatric anaesthetic Fellow, The Children’s Hospital at Westmead, NSW.
Dr Jennifer Hartley is a paediatric anaesthesia Fellow at The Children’s Hospital at Westmead, NSW.
She undertook her basic and advanced anaesthesia training at Canberra Hospital, Canberra, Australia.
INTRODUCTION
Thoracic epidural analgesia (TEA) is an established technique to provide perioperative analgesia to patients
undergoing major surgery of the thorax and abdomen. The continued and welcome expansion of minimallyinvasive surgery has seen a decline in the number of procedures for which thoracic epidural analgesia is
indicated. Further, alternative regional anaesthesia techniques have increased in use e.g. paravertebral blocks,
Transversus Abdominis Plane blocks and wound infusion catheters. The relative benefits of thoracic epidural
analgesia compared to alternate techniques are not well established in the literature. These factors have leadto regional and generational differences in practice, reflected by the removal of thoracic epidural insertion fromthe volume of practice requirements for ANZCA training. This article aims to provide a narrative review of thoracic
epidural analgesia in today’s anaesthesia practice and suggest ways in which the technique’s efficacy can be
optimised.
WHAT IS THE EVIDENCE REGARDING THE EFFICACY OF PERIOPERATIVE THORACIC EPIDURALANALGESIA?
Interpreting the literature in regards to the efficacy of TEA is problematic, and pivotal papers are cited by boththose in favour and those against. Like all areas of anaesthesia, there exists an abundance of small, single
centre trials in favour based on a studied endpoint. These trials are typically underpowered to detect otherclinically important differences. Single centre trials are more likely to have positive findings and caution should
be used in their interpretation1. Further, meta-analyses that suggest the use of TEA reduces mortality andmorbidity2–5, should not be cited as definitive evidence due to the poor agreement between positive metaanalysis and subsequent large randomised trials6.
The MASTER trial7 is a good example of the problems of interpreting the TEA literature. The MASTER trial wasa randomised, multi-centre trial comparing TEA to IV opiate analgesia in high-risk patients undergoing open
abdominal surgery. It showed a statistically significant improvement in pain scores with coughing and a decrease
in respiratory failure in patients receiving TEA. This is an important finding, as pain with movement compromises
coughing and postoperative mobilisation. The MASTER trial also found a non-significant 3.6 per cent absoluterisk reduction in a composite endpoint of major morbidity and mortality. The sample size for the trial was
calculated on the basis of an expected 10 per cent absolute risk reduction of a composite endpoint of mortality
and major morbidity. If the 3.6 per cent reduction was real, the MASTER trial was underpowered to detect it(n=888) and a sample size of 6000 would be required to detect a combined mortality and morbidity benefit ofthis size, and 55,000 for a mortality benefit8. It is unlikely that a sufficiently large randomised controlled trial will
ever be conducted to answer this question.
Although an absolute risk reduction of 3.6 per cent sounds small, it is a similar effect size to other important
medical therapies e.g. aspirin for secondary prevention of myocardial infarction9, tamoxifen in breast cancer
and thrombolysis in acute myocardial infarction7. If the disease and therapy are common, this translates to apotentially large number of patients who benefit from the intervention.
INDICATIONS AND POTENTIAL BENEFITSTEA is one of a number of techniques that can be used to manage acute pain following open thoracic andabdominal surgery, and traumatic rib fractures. The Enhanced Recovery After Surgery (ERAS) Society has
published guidelines recommending the use of TEA for open gastrointestinal10, open colonic11 and open rectal/
pelvic surgery12, gastrectomy13, radical cystectomy14, and pancreaticoduodenectomy15. TEA is not recommended
for routine use in minimally invasive surgery as the benefits (see below) are less pronounced compared to open
procedures16,17. This is probably also true for open surgery with relatively short lengths of stay such as open
general gynaecologic surgery18. ERAS guidelines have been shown to reduce recovery time, reduce the rate

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Australasian Anaesthesia 2017of complications, and improve the quality of care at institutions which adopt them19. It may be that specificaspects of the “bundle” of changes such as TEA are less important than the process of standardisation itself.
Some institutional ERAS protocols do not use TEA for open abdominal surgery. In a meta-analysis by Grecoon ERAS for abdominal surgery, around one in four included studies did not use TEA yet found the introductionof protocolised care improved patient outcomes and length of stay20.
The superiority of TEA over parenteral opioids for analgesia is well documented21. The potential benefits of TEA
appear to be greater than improved analgesia alone however, as TEA has beneficial effects on multiple organsystems. This is potentially due to a modification of the postoperative neurohumoural stress response22.
Compared to patients using systemic opioids, meta-analyses suggest patients with TEA have a lower incidenceof nausea and vomiting, sedation, atrial fibrillation, supraventricular tachycardia, deep vein thrombosis, pulmonary
complications including respiratory depression, atelectasis and pneumonia, ileus and improved bowel function,
insulin resistance, and overall lower mortality5,8. The MASTER trial indicated a number needed to treat (NNT)of 15 to prevent one episode of respiratory failure in high-risk patients7.
The benefits of TEA are probably procedure specific, and may be related to the level of the surgical incision.
For example, although the benefits of TEA in open colonic resection appear clear, there may be less benefit inpatients undergoing hysterectomy, radical prostatectomy, total hip replacement and lower limb vascularsurgery23,24. These procedures require incisions below the umbilicus or outside of the abdomen, are typicallyless painful compared to incisions above the umbilicus, and some have relatively short lengths of stay.
TEA is also beneficial in patients with rib fractures following thoracic trauma. TEA decreases the duration of
mechanical ventilation25 and improves mortality in patients with three or more rib fractures26,27. The use of TEA
in patients with fractured ribs is supported by the fourth edition of Acute Pain Management: Scientific Evidence28.

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tramadol, ketamine. There is concern that the concurrent administration of non-selective NSAIDs and prophylactic
heparin may increase the risk of epidural haematoma. The American Society of Regional Anesthesia suggests
COX-II NSAIDs in this situation as they have minimal effect on platelet function33.
TEA leads to less motor block compared to lumbar epidural analgesia39. Unlike a lumbar epidural, motor blockwith TEA should not be considered normal and leg weakness occurring with a thoracic epidural always requires
further review and possible investigation as it may indicate spinal cord ischemia40. Perfusion of the anterior
spinal cord which contains the motor efferents is via the single anterior spinal artery (figure 1), and is at greaterrisk of compromise than the posterior cord. A space occupying lesion in the spinal canal therefore classicallypresents as lower limb motor block with preserved sensation and pain. Spinal cord ischemia lasting longer thanfour hours increases the risk of permanent neurological injury. Time to decompression is critical, with rapid
diagnosis via MRI and subsequent neurosurgical decompression necessary for a good neurological outcome.
An algorithm for management of leg weakness following a thoracic epidural is suggested at the end of thisarticle (Appendix 1).
Permanent neurological injury may occur due to direct needle trauma at the time of insertion, epidural haematoma
temporarily associated with an epidural catheter, or epidural abscess typically occurring in the days or weeks
after TEA. The incidence of paraplegia or death was estimated to be between one in 5800 cases and one in
12,20041.
Figure 1. Illustration of spinal cord perfusion (courtesy of Dr Benjamin Darby, MBBS). A single anterior
spinal artery supplies the anterior horns which contains the cell bodies of alpha motor neurons

Although a reduction in the neurohumoural stress response by using TEA should theoretically be beneficial indecreasing cancer recurrence, there is currently insufficient evidence to support its use for this indication29-32.
POTENTIAL LIMITATIONS TO USE AND RISKS
Like any technique, there are limitations, risks and complications associated with the use of TEA. These relate
to the procedure of epidural catheter insertion and certain patient and surgical considerations.
Most anaesthetists agree that contraindications to TEA are similar to spinal anaesthesia, and include patientrefusal, infection at the site of injection, sepsis, coagulopathy, indeterminate neurological disease, or impaired
mental state. Relative contraindications include infection in an area distant to the site of injection andhypovolaemia. Relative contraindications require balanced consideration of patient comorbidities and surgicalrisk versus the potential benefits of TEA. A discussion of coagulopathy and TEA is beyond the scope of thisarticle, and is outlined by the American Society of Regional Anesthesia Practice Advisory 201033. The use of
TEA for patients undergoing liver resection and liver transplantation is controversial, primarily due to the potential
for postoperative coagulopathy.
Hermanides and colleagues have reported rates of failure for TEA ranging from 13 to 32 per cent dependingon the definition of failure used34. Considerations that influence epidural failure include: failure to localise theepidural space (approximately 3 per cent7), the insertion level not covering the surgical incision, complete failureof analgesia due to an incorrectly placed catheter, catheter migration and pump failure. Secondary migrationof an epidural catheter is common and occurs during normal patient movement35. An imaging study of failed
epidurals found approximately half were due to the catheter tip lying outside of the epidural space36.
Adverse effects of TEA include hypotension (8.9 per cent for local anaesthetic and opioid containing solution
versus 2.3 per cent IV opioid control, OR 4.19, 95 per cent CI 2.53–6.94), pruritus (OR 1.47 95 per cent CI
1.15–1.88), urinary retention (OR 1.60, 95 per cent CI 1.02–2.51), and motor block rarely5. Hypotension also
has resource implications, as vasopressor use to treat hypotension typically requires higher nursing ratios suchas an admission to ICU/HDU/Surgical Step Down.
As mentioned above, urinary retention is a potential issue because prophylactic urinary catheterisation has
been associated with urinary tract infections and increased length of stay37. There is no consensus as to how
best to manage this issue. Zaouter et al showed that removing a urinary catheter the morning after surgery inpatients at low risk of urinary retention did not result in an increased rate of re-catheterisation, and decreased
the incidence of urinary tract infection and length of stay37. Hu et al however, showed that TEA after thoracotomy
did increase the rate of urinary retention, though this could be managed with an algorithm that included bladderscanning for asymptomatic patients38. It would seem prudent that bladder scanning be used routinely in patientswith TEA who have had a urinary catheter removed early in the postoperative period to screen for urinary
retention.
TEA cannot block the multiple sensory afferents that transmit nociceptive stimuli after thoracotomy or laparotomy.
TEA blocks thoracic spinal nociception only. The phrenic nerve (C3/4/5) innervating the diaphragm will not be
blocked e.g. referred shoulder tip pain, nor will the vagus nerve innervating the mediastinum, oesophagus, gut
and peritoneum e.g. localised peritonitic pain or central abdominal ache. Multimodal systemic analgesia istherefore often required in addition to TEA e.g. paracetamol, a non-steroidal anti-inflammatory drug (NSAID),

ALTERNATIVE REGIONAL AND IV ANALGESIC TECHNIQUESComparison of regional techniques with TEA for open thoracic and abdominal surgery is difficult due to thetypically low quality of evidence with varying surgical procedures, control groups, small study sizes andabundance of single centre trials. An important factor to consider in comparing trials is pain on movement as
this improves the ability to cough and participate in postoperative physiotherapy. Further, the contribution ofsystemically absorbed local anaesthetic rather than regional local anaesthetic blockade may explain the analgesic
effects of some of these techniques42.
Paravertebral block for thoracic surgery
Meta-analyses support the equivalence of analgesia of thoracic paravertebral block, with a lower incidence of
hypotension, urinary retention, nausea and vomiting and pulmonary complications compared to TEA43,44. This
block is an appealing alternative to TEA for single sided surgery and rib fractures, although a well conductedstudy examining patient outcomes is lacking.
Intrathecal morphine
Intrathecal morphine is an efficacious technique that provides early postoperative analgesia only. Comparedto systemic opioids, the incidence of pruritus, urinary retention and respiratory depression (although rare) is
increased45. The technique is appealing in low risk patients undergoing procedures which are likely to haveshort lengths of stay10.

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Transversus Abdominis Plane (TAP) block
TAP blocks can be performed by landmarks, US-guided, or by the surgeon prior to closure of the abdominal
wall, administered either as a single shot or via catheter and continuous infusion. The block improves analgesia
and opioid consumption compared to IV opioids46,47, although a comparison to a postoperative intravenous
lignocaine infusion is lacking. This technique is appealing in laparoscopic or laparoscopic assisted surgery48,
particularly in institutions where postoperative IV lignocaine cannot be administered easily.

What is the role of thoracic epidural analgesia in contemporary anaesthesia practice?

151• Standardise the prescription with use of a patient controlled epidural analgesia (PCEA) using an infusion
rate and bolus volume based on the level of insertion (see Appendix 2 for an example PCEA prescription).
A bolus of local anaesthetic containing the same total local anaesthetic dose results in greater spread in
the spinal canal compared to an infusion, decreasing the probability of a differential block66. The efficacy
and safety of a PCEA delivery system on the ward appears favourable67,68. Institutions in which TEA is rare
are likely to have staff who are less familiar with clinician ordered boluses, potentially increasing the failure
rate of TEA. A standardised PCEA order with infusion rates and boluses based on insertion level avoids
this problem, allowing the patient to control the timing of boluses instead.

Continuous systemic lignocaine infusions
Systemic lignocaine infusions improve postoperative analgesia compared to opiates alone, with reduced opioid
consumption, nausea and vomiting and hospital length of stay, and faster ileus recovery49. Compared to TEA,
intravenous lignocaine provides inferior analgesia and return of bowel function50. It is probably a worthwhile
technique in reducing opioid consumption for minimally invasive surgery, or where regional or neuraxial analgesia
is not used.

• Routine prescription of systemic analgesics including regular paracetamol and a COX-2 NSAID e.g. oralcelecoxib twice daily for three days, unless there is a specific contraindication to a NSAID.

Continuous Wound Infusion (CWI)
There is conflicting evidence as to the utility of CWI of local anaesthetic after open surgery in improving
postoperative analgesia and reducing opioid consumption51-53. Further, if CWI is efficacious, it is unclear if thisanalgesic effect is due to regional or systemic analgesic effects.

• Standardise the duration of placement depending on the surgery to avoid an excessively long period of
use and the potential for epidural abscess formation69.

WHAT IS THE PLACE OF TEA IN CURRENT ANAESTHESIA PRACTICE?
The continued expansion of minimally invasive surgery (video assisted thoracoscopic surgery, laparoscopic
and laparoscopic assisted abdominal surgery) has reduced the indications for TEA. However, older patientswith greater perioperative morbidity are undergoing more extensive operations than in the past, increasing theneed for excellent perioperative analgesia to assist recovery. Although there is currently high regional variability
in the use of TEA, it is likely a new “middle-ground” will be found in which the use of perioperative TEA will
expand for some surgical procedures e.g. open abdominal surgery, and no longer be used in others e.g.
laparoscopic assisted general surgery, abdominal hysterectomy. The adoption of ERAS Society guidelines that
promote TEA may facilitate this change.
A SUGGESTED APPROACH TO IMPROVE THE EFFICACY OF TEA
The number of epidurals inserted by a practitioner or an institution is typically fewer than it has been in the past.
There is therefore the potential for practitioners to be unskilled at their insertion, uncertain about their management,
unfamiliar with how to troubleshoot problems and unaware of important red flags such as motor block.

• Standardised algorithm for the management of excessive pain in the presence of TEA. A patient can still
experience significant pain despite a working epidural due to nociceptive transmission via the un-blockedphrenic and vagus nerves. Appendix 3 outlines a suggested algorithm.

• As serious complications of TEA e.g. epidural haematoma occur rarely, a standardised institutional algorithm
for the management of motor block may aid rapid diagnosis and management. An example algorithm isincluded as Appendix 3.

• Early removal of urinary catheters in patients with TEA appears reasonable if bladder scanning to screen
for urinary retention is available.

• A key message of the ANZCA Acute Pain Management: Scientific Evidence (fourth edition) is that more
effective acute pain management results from appropriate education and organisational structures for thedelivery of pain relief rather than the analgesic techniques themselves70. Use of an acute pain management
service to establish local protocols, follow patients during admission, and be available for consultation in
the event of a complication will improve the efficacy and safety of TEA71.
Figure 2. An example of a commercially available catheter fixation device (LOCKIT PLUS™ regional
anesthesia catheter securement device, Smiths Medical, Bella Vista, NSW 2153, Australia, source:
Dr Andrew Deacon)

This unfamiliarity of thoracic epidural insertion in some institutions is a potential barrier to its increased use.
There is concern among consultant anaesthetists that there are insufficient opportunities for trainees to achieve
competence, and consultants to maintain it. This concern, and resulting lack of confidence, leads to decreased
learning opportunities for trainees54. While there is some evidence for the number of lumbar epidural insertions
required to attain competence, this has not yet been determined for thoracic epidural insertions, which isconsidered a more complex technique55. Simulation of thoracic epidural insertion learning for both midline andparamedian techniques may assist trainee’s initial skill acquisition56. Reassuringly, Siddiqui et al57 found nodifference in epidural failure between consultants and trainees, while Heinink et al58 found no difference between
anaesthetists who inserted few epidurals per year and those who inserted many.
Institutions keen to adopt the ERAS society guidelines for open thoracic and abdominal surgery are likely toincrease the use of TEA. To improve the efficacy and safety of TEA, institutional strategies promoting
standardisation may compensate for this loss of individual and “corporate” knowledge. A suggested standard
institutional approach is as follows;• Fix the catheter following placement with a dedicated fixation device or tunnelling (figure 2). Fixation
decreases epidural dislodgement and rate of failure59-61.

• Standardise the solution. Surprisingly, the optimal concentration (high versus low) of local anaesthetic has
not been found, with contradictory evidence about efficacy and incidence of side effects of varying dosesof bupivacaine, ropivacaine and levobupivacaine34. Local anaesthetics combined with an opioid provide
superior pain relief than either medication alone62. Further, the incidence of hypotension is reduced witha combined solution compared to local anaesthetic only5, presumably due to the lower dose of local
anaesthetic used. Opioids alone via the epidural route are of no analgesic benefit compared to systemic
administration63, although cause less constipation. The addition of adrenaline to the local anaesthetic andopioid solution further improves TEA64, probably due to local vasoconstriction with delayed resorption of
local anaesthetic and a direct antinociceptive action at the spinal cord. Adrenaline does not appear tocause spinal cord ischemia at doses used clinically65. Standardising the solution allows use of a pre-mixed
solution, decreasing the risk of drug mixing errors and solution contamination.

CONCLUSION
Thoracic epidural analgesia is an established technique to provide perioperative analgesia. Its major advantage
over systemic analgesia is the improvement in pain on movement, allowing coughing and participation in
postoperative physiotherapy. Further, it is the only technique to have shown a decrease in respiratory complications
in high-risk patients undergoing open abdominal surgery. Standardisation of management of thoracic epidural
analgesia is likely to improve the effectiveness of the technique, and decision algorithms can assist the
management of pain and leg weakness, which may be due to a rare complication such as epidural haematoma.

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ACKNOWLEDGEMENTS
Thank you to the following people for their proof-reading and input into the article: Penny Deacon, Dr Benjamin
Darby (Anaesthetic Registrar, Canberra Hospital, Canberra), Dr Vaughn Oerder (Cardiothoracic Anaesthetist,
Canberra Hospital, Canberra), Dr Simon Robertson (Paediatric Anaesthetist and ICU physician, Canberra
Hospital, Canberra), Professor Thomas Brussel (Professor of Anaesthesia, Canberra Hospital, Canberra), Dr
Desmond McGlade (Cardiothoracic Anaesthetist, St Vincent’s Hospital, Melbourne) and Professor Peter Slinger(Cardiothoracic Anaesthetist, Toronto General Hospital, Toronto, Canada).
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70. Schug SA, Palmer GM, Scott DA, Halliwell R, Trinca J, APM:SE Working Group of the Australian and New Zealand Collegeof Anaesthetists and Faculty of Pain Medicine. Acute pain management: scientific evidence. 4th ed. Melbourne: ANZCA& FPM; 2015. pp. 61.
71. Faculty of Pain Medicine, Royal College of Anaesthetists. Best practice in the management of epidural analgesia in thehospital setting. London: Faculty of Pain Medicine, Royal College of Anaesthetists; 2010. pp. 3.

What is the role of thoracic epidural analgesia in contemporary anaesthesia practice?

155

Appendix 1. Suggested Management of leg weakness with thoracic epidural analgesia(Source: Modified by Dr Andrew Deacon, based on “Management of leg weakness with epidural analgesia”
by Dr Iain Christie, Anaesthetist, Derriford Hospital, Plymouth, UK, as published in NAP 3, page 142, usedwith permission).

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Appendix 2. Suggested management of pain in the presence of TEA(Source: Dr Andrew Deacon, Department of Anaesthesia, The Canberra Hospital, Canberra, Australia.
Reproduced with permission)

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157

Appendix 3. A suggested PCEA prescription
The solution used is bupivacaine 0.125 per cent, fentanyl 5 mcg/mL and adrenaline 2 mcg/mL (premixed
by BAXTER, Old Toongabbie, NSW 2146, Australia), lockout 20 minutes. The bottom line “other” allows forvariation in unusual circumstances (Source: The Canberra Hospital, Canberra, Australia. Reproduced withpermission).
INSERTION LEVELINFUSION (ML/HR)

BOLUS (ML)

T4–6

3

2

T7–11

4

3

T12–L4

6

3

Other

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159

Dissecting epidural failure in the obese parturient: Time to carefully
consider the lumbar interspinous ligament
SUE LAWRENCE, MBBS, FANZCA

Senior Specialist, Departments of Anaesthesia, Mater Hospital and Royal Brisbane and Women’s Hospital, The
University of Queensland, Brisbane, Queensland.

Dr Lawrence is an anaesthetist with a passion for obstetric anaesthesia. Her clinical experience includes morethan two decades of obstetric anaesthetic practice at the Mater Hospital and Royal Brisbane and Women’s
Hospital, Brisbane. Driven by her clinical experiences, Dr Lawrence has recently embarked upon a researchhigher degree intending to improve understanding of lumbar anatomy, especially the influence of obesity upon
the lumbar interspinous ligament.
ADRIAN LANGLEY, BSc(Hons), MBBS, Clin Dip Pall Med, PGCertCU, FANZCA, FCICM

Senior Staff Specialist, Department of Intensive Care, Mater Hospital and Queen Elizabeth II Jubilee Hospital,
The University of Queensland, Brisbane, Queensland.
Dr Langley is an anaesthetist and intensive care physician with a special interest in obstetric anaesthesia.
DAVID STURGESS, MBBS, PhD, PGDIPCU, FRACGP, FANZCA, FCICM

Associate Professor and Deputy Director (Professional Development and Quality Assurance) of Anaesthesia,
Princess Alexandra Hospital and Mater Research Institute, The University of Queensland, Brisbane, Australia.

Dr Sturgess is an anaesthetist with broad clinical and research interests. His quest for improved perioperative
outcomes encompasses a special interest in obstetric anaesthesia.
INTRODUCTION
Epidural and combined spinal epidural (CSE) techniques have become the mainstay of labour analgesia indeveloped countries, but incidence of epidural catheter failure remains around 5-10 per cent1. Studies indicatethat increasing prevalence of morbid obesity has led to higher rates of Caesarean delivery in this population
cohort. The reliability of epidural catheterisation in these patients is becoming increasingly important for patient
safety. Problems concerning labour epidurals in the obese parturient include difficult insertion due to poorly
defined landmarks, displacement of epidural catheters after insertion, higher failure rates and greater need torevise catheter placement2.
Obesity rates in Australian and New Zealand are increasing. Almost one in three Australian and New Zealanders
are obese, defined as body mass index (BMI) >30 kg/m2. The population averaged BMI for adults is transitioning
from the overweight (BMI 25-30 kg/m2) and into the obese range3, 4. The rising prevalence of obesity is reflected
in all age groups as well as the generalised rising prevalence of obesity with age5-8. These overall trends include
women of child-bearing age.
Obesity has a dramatic impact on pregnancy outcome. Particularly increased prevalence of poor perinatal andneonatal outcomes, and increased risk of pregnancy complications such as postpartum anaemia, hypertension,
pre-eclampsia, preterm delivery, emergency caesarean section, and gestational diabetes9. Epidural and combined
spinal epidural (CSE) analgesia and anaesthesia is also commonly performed for the obstetric population.
Sullivan and colleagues published on behalf of Australasian Maternity Outcomes Surveillance System (AMOSS)
a 2010 cohort of “super-obese” pregnant women as defined by BMI >50 kg/m2 or weight >140 kg. The Caesarean
section rate was 51.6 per cent compared with 31.7 per cent in the comparison group (p <0.01)10. Data from the
Queensland Maternal and Perinatal Quality Council, demonstrate a trend toward assisted vaginal birth andcaesarean section with increasing BMI (figure 1)11. This chapter aims to explore the challenges of epidural
catheterisation in obese parturients. Potential contributions will be discussed, including the potential impactof obesity related anatomical changes.

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Figure 1. Body Mass Index (BMI) versus mode of birth in Queensland 2009 to 2013. Used withpermission from the Queensland Maternal and Perinatal Quality Council, a quality assurancefunctionary of Queensland Health, 2015 Report12

Percentage of births in BMI froup

70
60
50
40
30
20
10
0

<18.5

18.5–24.9

Unassisted vaginal birth

25–29.9

Maternal BMI
Assisted vaginal birth

30–35

36 or more
Caesarean section

THE INFLUENCE OF OBESITY ON OBSTETRIC ANAESTHETIC MANAGEMENT
The prevalence of obese parturients impacts upon healthcare provision in several ways. Anaesthetic management
is potentially associated with requirements for greater time allocation, access to anaesthetic expertise andequipment, as well as altered epidural catheter security.
Time management
Numerous studies confirm that anaesthetic management of the obese parturient demands a greater allocationof time. A retrospective study by Vricella and colleagues examined anaesthetic complications during elective
Caesarean deliveries for morbidly obese women13. It was demonstrated that both the morbidly obese (BMI of≥40 kg/m2) and overweight or obese group had significantly longer total anaesthetic and surgical times comparedto the normal BMI group. Additionally, it was noted that regional anaesthetic was significantly more difficult toplace as measured by “attempts”13. At the Royal Brisbane and Women’s Hospital, Eley and colleagues describedsimilar results in a cohort of women with a booking BMI of ≥40 kg/m2. In parturients receiving neuraxial analgesia
in labour and then progressing to Caesarean section, anaesthetic case time was significantly longer than theircase-control cohort (79 minutes (IQR 26.0) versus 66 minutes (IQR 17))14. The “MUM Size” study published thisyear also echoes these findings15.
Anaesthetic expertise
Obesity has implications for anaesthetic staffing and availability of the appropriate expertise. Eley and colleagues
document the presence of a senior anaesthetist at caesarean section more often in the obese population (40.0
per cent cf 11.1 per cent, p<0.001)14. Ellinas and colleagues conducted a prospective observational study todescribe characteristics of parturients with BMI >35 kg/m2 at time of neuraxial block insertion16. It was foundthat if the BMI was >35 kg/m2 then an experienced physician was more likely to intervene and “take over” theprocedure. This was associated with a significant decrease in the risk of block failure. Butcher and colleagues
also warn that self-discrimination of back midline is less reliable in the obese parturient17.
Equipment
Anaesthetic management of the obese parturient may require access to equipment that is less frequently usedin routine practice.
Ultrasound
Neuraxial ultrasound is a promising adjunct to assist epidural placement. Studies suggest ultrasound-assisted
epidural placement may increase the success rate, reduce the risk of traumatic procedures, and thus may
possibly contribute to increase the safety of lumbar central neuraxial blocks18. The potential benefits of using
ultrasound include improved pre-procedural mapping and identification of lumbar intervertebral levels, moreaccurate prediction of needle insertion depth, location of the midline and interspinous/interlaminar spaces, anddecreasing the number of needle punctures.
Clinkscales and colleagues found that increased BMI was associated with an increase in depth of the L4/5
epidural space (R2 = 0.3646; P <0.0001), but only when adjusted for maternal age, gestational age and vertebral
interspace of epidural catheter placement. They found that all the lumbar interspaces above L4/5 vertebral
level had no statistical difference in depth and the range of depth varied widely, even within BMI sub-groupings19.

Dissecting epidural failure in the obese parturient: Time to carefully consider the lumbar interspinous ligament 

161This is consistent with data published by Palmer and colleagues 24 years earlier and with fewer patients20. Bothstudies would have the majority of epidural catheters successfully sited using a standard 8 cm epidural needle.
Alternative needles
In a study of non-specialist hospital doctors, 78.4 per cent were unaware that lumbar puncture needles longer
than nine centimetres were available and only 13.3 per cent had used one21. Varieties of epidural and combined
spinal epidural sets are available for neuraxial anaesthesia and seem to be generally well appreciated by theanaesthetic community.
Epidural catheter security
The risk of epidural catheter dislodgement is increased in obese patients. Eappen and colleagues noted an
epidural catheter failure rate of 13.1 per cent22. Hamilton, Riley and Cohen divided 255 patients into BMI<25 kg/m2, 25-30 kg/m2 and >30 kg/m2 and found that distance to the epidural space and the magnitude ofcatheter movement with position change from a flexed to upright then lateral position was greater in obese
parturients23. It is possible that the epidural catheter is subject to capture and relative fixation by the elastic
nature of the ligamentum flavum; the observed movement of the epidural catheter into the patient with thesestaged movements was more likely explained by movement of the tissues overlying the interspinous space.
They postulated that, if the epidural catheter was not fixed to the skin, the length of catheter in the epiduralspace was unchanged but if the catheter was fixed at the skin then the only way to accommodate the changesof tissue depth was a relative withdrawal of the catheter from the epidural space.
Archer formalises this concept of altering patient positioning prior to epidural catheter securement as the “Cohen
Manoeuvre”24. An alternative management plan for accommodation of excessive epidural catheter movement
leads other authors such as Bang and colleagues to recommend 10 cm of epidural catheter be left in theepidural space of severely morbidly obese parturient for labour analgesia25.
THE LUMBAR INTERSPINOUS LIGAMENT
Neuraxial techniques are a fundamental component of anaesthetic management of the obese parturient. It is
important to understand the tissues through which the epidural needle passes. Historical descriptions of thelumbar interspinous ligament (LISL) will be discussed before considering anatomical changes associated withobesity.
Historical descriptions
The gross anatomy of the spine outlining key bony, ligamentous, and neural elements was recognised very
early and reflected in anatomical investigation across the globe. The earliest questioning regarding anatomy ofthis area referred to the explanation of posture and movement including a communication system enabling
coordination of the musculoskeletal system26. The anatomical descriptions of the LISL by the 1800s usuallystated the features outlined in table 127. The basic anatomical understanding of the position and nature of theligaments was established in exceptional detail as leading-edge technology at the time included advances in
optical microscopy28.
Table 1. Anatomical origins, arrangements and function of the interspinous ligaments
ORIGIN

Ligamenta flava, laminae, zygapophyseal aponeurosis and spinous process inferiorly

INSERTION

Spinous process superiorly and supraspinous ligament

FABRIC

Fibre bundles irregularly place with an overall arrangement of infero-anterior insertion andsupero-posterior termination. Stronger and thicker the lower their situation is in the spine.

FUNCTION

Structural stability whilst allowing flexibility of the vertebral column and fixation for surrounding
musculature

The study of anatomy has advanced the understanding of pathology and vice versa. In 1825 Professor Mayer
proposed that here were two, yet to be acknowledged, joints of the spine. He described that when examining
the LISLs; there was an articular cavity following the general fibre direction outlined in table 1. He claimed that
it was lined by a synovial capsule and contained synovial fluid. Although he didn’t link this proposed joint tochanges with wear or age he does admit that it isn’t universally present. He states it is most prominent between
the third and fourth lumbar vertebrae, in people who in life had mobile and flexible spines, males, and adults29.
His other proposed joint of the thoracic spine was not accepted by the anatomists at the time but in contrast
Mayer’s “diarthrosis interspinosa vertebrarum lumborum” has long been depicted as part of anatomical alteration
with degenerative spine changes30.

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Dissecting epidural failure in the obese parturient: Time to carefully consider the lumbar interspinous ligament Baastrup, a Danish radiologist, continued this thread by linking localised lumbar pain to radiographic changesof the spinous processes31. It is now accepted that degenerative changes to the lumbar spine may result in theposterior portions of adjacent interspinous ligaments abutting each other and be associated with changes in theinterspinous ligaments. A sagittal section MRI illustrating this posterior cystic change is included in figure 2.

Table 2. The orientation of the fibre bundles of the interspinous ligaments is contentious27,30,32-49

Figure 2. Posterior cystic change demonstrated by a sagittal section MRI. Degenerative changes tothe lumbar spine may result in the posterior portions of adjacent interspinous ligaments abutting eachother and be associated with changes in the interspinous ligaments

163

LUMBAR INTERSPINOUS LIGAMENT DIRECTION

AUTHOR

YEAR

Horizontal or multiple depictions

Ellis and colleagues

2014

Horizontal with reflected convexity anteriorly, “C”

Tandler

1919

VerticalKapandji

2008

Oblique antero-superior to postero-inferior

Fink

1904

Aspden and colleagues

1987

Oblique antero-inferior to postero-superior, linear

Oblique antero-inferior to postero-superior but variable,
complex, decussating or non-linear “S”

Cousins and Bridenbaugh

2009

Rissanen

1960

Heylings

1978

Sharrock1979

Bywaters and Evans1982

Netter2011

Bogduk2012

Paulsen and Waschke

2013

Butt and colleagues

2015Standring

2016

Knox (Cloquet)

1830

Grant

1972

Johnson2002

Scapinelli and colleagues

2006

Agur and colleagues

2013

Mahato2013

Rissanen’s, and later Heyling’s, work describes a ventral gap in the anterior portion of the LISL. This is a functionof the origin of this portion of the ligament as it arises from the bilateral ligamenta flava and zygapophyseal
joint capsules40,50. Rissanen observed in infants and young children that this gap is populated by fat but in adultspines the fat had disappeared. He also observed that it was normal to have fatty lamella either side of the
LISL in infants as well as islets of fat between fibre bundles. With the wider application of both electron andlight microscopy, Yahia and colleagues stated that “occasional lipid droplets were found” but gives no indicationof exact location or proportion of the nine LISLs displayed this feature51,52.
Investigation into back pain, including the origins and possible treatments lead the next phase of anatomicalenquiry. The LISL fibre direction debate started with this phase of study32. As summarised in table 2, descriptionsof the LISL have been inconsistent. The currently accepted description of this small and insignificant ligamentis that the LISL may be divided into distinct portions; anterior/ventral, middle/intermediate and posterior/dorsal.
The fibres are agreed to be arranged as a combination of sheet and fibre bundles with the angle of fibreorientation slightly different in different zones; the fibres pass from infero-anterior to postero-superior in thestyle of an italicised “S” (table 2).

Anatomical changes in the obese individualThis most recent anatomical work on the LISL precedes the change in our population toward a higher prevalenceof obesity. An MRI set to maximise contrast fat with lipophobic and solid tissues is presented in figure 3. Early
studies evaluating lumbar epidural steroid injections warned that the loss of resistance technique could be afalse indicator of needle-tip position. Bartynski and colleagues concluded the position was inaccurate in 30
per cent of lumbar epidural injections by using the loss of resistance to air53. It was concluded that the probablecause of inaccuracy is loss of resistance while the needle tip is positioned within the fat overlying the ligamentum
flavum. Loubert and colleagues refer to false positives when using the loss-of-resistance technique due to fat
pockets in their descriptions of the difficulties and failures of neuraxial techniques in obese women having
Caesarean section54. Hameed and colleagues noted that there was a midline fat density superficial to theligamentum flavum in 25.8 per cent of the interspaces studied [BMI = 28.3 ± 5.0 (mean ± standard deviation)]when investigating anatomic impediments to interlaminar lumbar epidural steroid injection55.

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Figure 3. Epidural trajectory MRI. Image is of a modified transverse plane of a normal BMI adult low
thoracic interspace that aligns with a trajectory of a midline epidural needle. It illustrates the following;
epidural fat protruding through the midline gap in the ligamentum flavum, difference of structure of theanterior portion compared with the posterior portion of the interspinous ligament, fatty lamella outlining
the interspinous ligament laterally and fat infiltration between fibre bundles creating a marbled effect.
Used with permission from Dr DG Cowin, National Imaging Facility, Centre for Advanced Imaging, The
University of Queensland56
Vertebral body

Zygapophyseal joint
Epidural fat inside midline gap
between ligamenta flava
Fat beside interspinous ligament

Fat between fibre bundles ofinterspinous ligament

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New and future technologies
Over the past decade newer technologies have emerged to help proceduralists identify entry into the epiduralspace. These include ultrasound techniques that not only allow pre-procedural imaging of anatomical landmarks
but allow real-time guidance through needle tracking and navigation tools. Ultrasound imaging is largely
dependent on computer processing power and clinical applications are progressing rapidly. The highcomputational speed of modern machines allows rapid image acquisition in real time to generate three or four
dimensional imaging, but currently the techniques are limited in the spine because of complex anatomy, artefacts,and varying bony shadows59. An alternate method is application of an ultrasound transducer to the tip of an
epidural needle. This needle through ultrasound technique allows identification of the both the dura andligamentum flavum. Although providing real time information on the needle tip special equipment is required
and limited to spaces into which the needle fits60.
Electromagnetic tracking systems also exist. These have established value in central line insertion, endovascularsurgery and in radiofrequency ablation of liver tumours. Guidance systems, consisting of a transmitter andsensors, determine the position of the needle with respect to the ultrasound image, allowing a virtual image ofthe needle’s trajectory61. Application to epidural catheter insertion are yet to be manifest and will be challenging
within the constraints of the birthing suite.
Future technologies may include artificial intelligence based software to aid in correct identification of intervertebral
levels, measuring acoustic or bio-impendence of tissues surrounding the epidural space or modifying the lossof resistance technique. Several adjuncts have been described which mostly rely on modification of the lossof resistance syringe or needle but most are not commercially available. Novel techniques including opticalreflectance spectroscopy, optical coherence tomography or the optical analog of B-mode ultrasonography,
electrocardiograph guiding, epidural pressure waveform analysis and near-infra red tracking hold promise but
are currently confined to research applications61.
SUMMARY
The practice of obstetric anaesthesia makes passing a needle through the LISL a work-a-day event. Epidurals
are inserted with such frequency that an appreciation of the structural arrangement of the LISL is crucial sothat anatomical variations may be predicted and accounted for.

THE FUTURE OF NEURAXIAL TECHNIQUES IN OBSTETRIC ANAESTHESIA
The technique of neuraxial anaesthesia is not new. A paper documenting a successful neuraxial block occurredas early as 1885 but it wasn’t until the development of new drugs and delivery devices in the early 1900s thatits use became more widespread in clinical anaesthesia57. Identification of needle entry into the epidural space
using the loss of resistance technique, which was described in 1921, has largely remained unchanged58. Althoughfurther research is required, a number of directions could improve anaesthetic management of the obese
parturient.
Improved anatomical understanding
The increasing rates of obesity and higher than average rates of Caesarean sections in this cohort require an
accurate and up-to-date anatomical knowledge of the lumbar region in order to safely place and trouble shootepidural anaesthesia. Typically, the proceduralist aims to pass through the dense ligamentous structures of thesupraspinous ligament, interspinous ligament and ligamentum flavum. As the epidural needle orifice emerges
anteriorly a “loss of resistance” to injection indicates the epidural needle tip has left the dense ligamentous
structures. This generally means that either the epidural space has been entered or the needle tip has left
anatomical midline. The notion that there could potentially be midline extra-epidural fat is not considered. The
mistaken acceptance of inaccurate needle placement and strongly held unacceptability of an inadvertent dural
tap may contribute to lower success rates for epidural analgesia in labour and conversion of labour epidural
analgesia into epidural anaesthesia for Caesarean section in the obese parturient.
Alternative use of needles
An awareness of alternative needles should not imply the ability to use those needles. Combined spinal epidurals
are usually performed with the goal of enjoying the benefits of the spinal block with the backup potential ofusing the epidural to extend the block height or duration. If loss of resistance has been sensed at a shallower
depth than expected, either clinically or by ultrasound mapping, the clinician might choose to accept theshallower space and proceed with epidural placement. An alternative technique could use a needle throughneedle technique to test if cerebrospinal fluid (CSF) lies closely beyond the tip of the epidural needle. If no CSF
is obtained through the seeking spinal needle, the epidural needle may then be advanced or re-directed towards
the midline. Using the needle through needle technique appears to offer reassurance to the proceduralist thatan inadvertent dural puncture is not imminent as the epidural needle may be progressed anteriorly within thezone tested by the spinal needle. The authors have found this clinically useful but intend further research before
recommending this as mainstream practice.

Anatomical study of the lumbar spine was initially driven by the spirit of discovery. More recently, an understandingof stability, mobility and pain has been sought. The next step must include application of modern imaging
techniques, inclusion of anatomical alterations with morbid obesity and the perspective neuraxial axis accessusing minimally invasive techniques. The incremental gains of improved understanding of anatomy paired withalternative use of needles and techniques, including ultrasound, will hopefully translate into improved performanceof epidural analgesia. This should be realised in terms of both efficacy and safety.
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Abdominal wall blocks – steps to quality assurance andmanaging risk
JAMES GRIFFITHS, MBBS, FANZCA, MEpi, PGCertCU, DipClinHyp
Consultant anaesthetist, Royal Women’s Hospital, Melbourne.

Dr James Griffiths is a consultant anaesthetist at the Royal Women’s Hospital in Melbourne. He has completed
a Masters of Epidemiology and Post Graduate Certificate of Clinical Ultrasound. He has strong involvement inanaesthetic research and has publications on a variety of subjects including post-operative analgesia for
Caesarean section and gynaecological oncology, and the application of ultrasound in clinical anaesthesia.
James is a member of the Executive Committee of the ANZCA/ASA/NZSA Obstetric Anaesthesia Special
Interest Group and the Editorial Advisory Board of the International Journal of Obstetric Anesthesia.
INTRODUCTION
Training in the use of “point of care” ultrasound forms a vital component of any modern critical care education
program. The teaching, assessment and quality assurance issues relating to ultrasound-based techniques
forms a large and growing body of literature. Critical care ultrasonography facilitates a wide range of potential
applications; from trauma and rapid haemodynamic state assessment, regional anaesthesia and vascularaccess, basic transthoracic echocardiography, and more recently, lung, gastric and airway ultrasound. Publisheddata suggest that point of care ultrasound can improve outcomes in regional anaesthesia1-3, including reducing
the risk of local anaesthetic systemic toxicity (LAST)4, improve safety of vascular access5 and guide clinicaldecision making6,7. This article will consider the issues of developing skills in the practice of ultrasound inregional anaesthesia, using ultrasound-guided abdominal wall blocks as an exemplar of a novel invasive
procedure.
Education in basic ultrasound imaging skills must include aspects of probe selection, patient positioning,“knobology”, image acquisition and optimisation. In addition to this knowledge, invasive techniques (particularly
vascular access and regional anaesthesia) require the development of additional technical skills in needle/probe
coordination. This facilitates the safe and accurate positioning of needle tips, either within (in the case of vascular
structures) or adjacent to (in the case of nerves) target structures. Education programs must include theoreticaland practical “hands on” components, where trainees have the opportunity to practice image acquisition skills(for example with volunteers) and then the capacity to practice invasive techniques using simulators gel models(“phantoms”) or cadaveric or animal specimens8.
The development of education programs for critical care ultrasound also requires a framework for assessmentand evaluation of these skills. Experts in adult education have assisted anaesthetists to learn more about
learning styles and skill acquisition in adults. One well-known set of stages were described by Dreyfus andconsist of beginner, advanced novice, competent, proficient and expert levels9. The Accreditation Council for
Graduate Medical Education (ACGME) has adapted these stages to suggest corresponding levels of required
supervision when practising procedures: direct supervision, indirect supervision, conditional independence,and independence. These are analogous to the Australian and New Zealand College of Anaesthetists (ANZCA)
supervision levels 1-4.
The most common statistical tool for assessing skill acquisition in novice proceduralists is cusum analysis10.
This technique consists of observing an individual performing repeated attempts of a specific skill and ratingeach attempt as a “pass” or “fail”. The analysis observes the trend of failures versus successes over time andgenerates a curve predicting the number of attempts required to attain “competence”. Many authors havepublished studies using cusum analysis to assess competence of novice anaesthetists in performing basic
invasive procedures11,12 including peripheral nerve blocks13, labour epidurals14, ultrasound assessment of thelumbar spine15 and gastric ultrasound16,17. It appears that 25-30 attempts are typically required to obtaincompetence in most procedures, although it is important to remember that this varies greatly and that training
must be individualised. There is some evidence to suggest that individuals have differing visuospatial capacities
and that these differences can predict novices who will perform well (or poorly) during ultrasound training
tasks18,19.
Barrington and colleagues observed novices performing sciatic nerve blocks on a cadaveric model and proposeda number of critical Quality Compromising Behaviours as criteria for assessment of competence20. These criteria
included: 1, the ability to visualise needle while advancing; 2, ability to visualise target structures; 3, poor probe
handling (unintentional or ineffective scanning); 4, operator fatigue; 5, failure to correlate sidedness of image
and probe; 6, inappropriate needle insertion site; and 7, failure to recognise intramuscular or maldistribution of
injectate. There is evidence to suggest that standardised assessment tools such as the ANZCA Direct Observationof Procedural Skills (DOPS) are reasonably reliable in rating novice performance in ultrasound guided regional
anaesthesia21.

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Australasian Anaesthesia 2017QUALITY ASSURANCE
Any new skill introduction program, such as the evolution of the use of ultrasound in anaesthesia over the past
two decades or so, should include establishment of a multi-level quality assurance (QA) process. At an individuallevel, case logbooks and audit of outcomes should be undertaken on a regular basis. The majority of ultrasoundmachines are capable of easily recording and storing still images or short video clips and this greatly facilitates
expert review of procedures. At a department level, review of such images could form the basis of a regulardepartment meeting. Acute pain services are also well positioned to undertake clinical audit of outcomes andcomplications of regional anaesthesia within departments of anaesthesia. However, QA activities at an individual
or department level are unlikely to provide sufficient case numbers to accurately delineate the incidence of veryrare outcomes (such as epidural abscess or haematoma). This is where national or international registers ofregional anaesthesia cases are uniquely positioned22,23. By collecting data relating to a very large number ofcases, a baseline level of safety can be assured, and additionally a denominator can be provided for risk
calculations when rare events do occur. This provides invaluable data compared with publication of individual
case reports.
ABDOMINAL WALL BLOCKS
Abdominal wall blocks represent an appealing starting point for the student of ultrasound guided regional
anaesthesia. The past decade of anaesthesia practice has seen a move away from epidural analgesia andanaesthesia and towards more peripheral techniques including nerve blocks and catheters. This has been
driven in part by increased use of low molecular weight heparin and concern regarding the risk of neuraxial
haematoma, and in part a drive towards early mobilisation and enhanced recovery programs after major surgery.
It is possible that the outcome of the MASTER trial, failing to demonstrate a survival benefit of epidural analgesia
after major surgery, also contributed24.
The search for alternative nerve blocks to epidurals in the setting of open abdominal surgery has led to thedescription of a multitude of approaches to the nerves of the abdominal wall. A “fascial pop” technique wasdescribed using short bevel needles for ilioinguinal/iliohypogastric nerve blocks, periumbilical rectus sheathblocks and transversus abdominus plane (TAP) blocks25,26. This has now been essentially replaced by direct
ultrasound imaging of local anaesthetic spread within myofascial planes. The evolution of ultrasound has allowed
the description of many different blocks across the abdominal wall including rectus sheath blocks and numerous
approaches to the transversus abdominis plane (variously described as anterior, posterior, sub-costal andsub-costal oblique). More recently, even further posterior approaches have been described, including thequadratus lumborum block and the transversalis fascia plane block27.
When considering any regional anaesthetic technique, both efficacy and safety rely on a detailed knowledgeof the underlying anatomy (and sonoanatomy), both the neuroanatomy of the target nerves, and the underlying
and surrounding structures at risk of inadvertent trauma. Also, the potential for local anaesthetic injectate tospread beyond the target site and to affect distant unintended nerves should be considered. In addition to this,an awareness of systemic toxicity and the potential for plasma uptake of local anaesthetic relative to thetechnique in question needs to be appreciated. All these issues are relevant to the practice of abdominal wall
nerve blocks. Unlike many regional anaesthetic techniques, when performing abdominal wall blocks, generally
no attempt is made to actually visualise individual nerves. Instead, abdominal wall blocks are “field” blocks,
where large volumes of local anaesthetic are injected into tissue planes allowing distant spread to block small
nerves or plexuses. Abdominal wall blocks specifically often require a long needle traversing a long subcutaneous
passage. As with all regional anaesthesia techniques, it is critical that the tip of the needle can be visualised at
all times.
Risks and complications
While the various abdominal wall blocks are appealing options as a low-risk alternative to neuraxial anaesthesia,
it is still important to be familiar with the potential risks and complications of these blocks. These can be simply
categorised as: 1, trauma to structures within the abdominal wall; 2, trauma to nearby structures (especiallywithin the peritoneum); 3, inadvertent spread of local anaesthetic injectate to more distant sites; and 4, systemic
local anaesthetic toxicity. These will each be considered in further detail.
Trauma to structures within the abdominal wall
The most obvious potential complications related to abdominal wall blocks are bruising and infection. However,there are still no reports in the literature of major abdominal wall haematoma or abscess. This is despite thefact that abdominal wall blocks are often used as an alternative to epidural analgesia in patients with coagulopathy.
It is possible however, that minor (or even major) haematomas or abscesses have occurred and not beenreported in the literature.
Three main arteries supply the abdominal wall: the superior and inferior epigastric arteries and the deep circumflex
iliac artery. These arteries may potentially be visualised using ultrasound (particularly using colour Doppler) andavoided. The superior epigastric artery is particularly vulnerable in an upper subcostal TAP or rectus sheathblock, where it emerges from the costal margin. This vessel usually has a short course running deep to therectus muscle before penetrating into the muscle substance. In addition, the deep circumflex iliac artery turns
from its lateral course on the iliacus fascia to pass into the TAP and run superiorly near the anterior superior

Abdominal wall blocks – steps to quality assurance and managing risk 171iliac spine (ASIS). It is vulnerable to a block targeting the ilio-inguinal nerve in this area. Again, it may be possible
to image this vessel with ultrasound.
Neuropraxia related to abdominal wall blocks has also not been described. This may be because the abdominal
wall nerves are small, robust and mobile and therefore they are likely to slide past rather than be cut by a blockneedle. This may be assisted by the use of block needles which are “short bevel” in shape and relatively blunt.
The clinical presentation of an isolated nerve injury in the abdominal wall is unlikely to result in significant
symptoms and hence is unlikely to be reported. Transient relaxation of abdominal structures has been describedwhen motor block is present as evident by bulging of the abdominal wall28,29. This effect has not been reported
to cause clinical issues.
Trauma to intra-abdominal structures
As with any regional anaesthetic block, there is the risk of trauma to nearby structures. In the setting of abdominal
wall blocks, especially in thin patients, this includes the risk of trauma to structures within the peritoneum.
Reported cases have included trauma to the liver30-33 and bowel wall haematomas34. Colonic perforation has
been described following ilioinguinal block in children35,36. Performing nerve blocks of abdominal wall without
ultrasound has been shown to frequently lead to inadvertent intra-peritoneal needle tip placement37,38. Ultrasounddoes not completely eliminate this risk as needle imaging and identification may be poor and may also be
associated with difficulty precisely identifying the layers of the abdominal wall. The presence of air or surgical
gas in the abdominal wall (such as following laparoscopic surgery) may increase this difficulty. There may begreater risk in the morbidly obese where imaging is more difficult, and also in paediatric patients, where thetransversus muscle may only be a few millimetres in thickness. As with any regional anaesthetic technique, if
identification of the anatomy is uncertain and/or precise needle tip location is undetermined, the needle should
not be advanced further.
Retroperitoneal injection in the inguinal area has been reported and has been associated with retroperitoneal
haematoma from deep circumflex iliac artery damage14,15, 39, 40. The iliaca fascia is related immediately deep tothe transversus abdominis muscle in the area near the ASIS.
Spread of local anaesthetic beyond the abdominal wall
Transient femoral nerve block has been reported following abdominal wall nerve blocks including TAP blockand ilio-inguinal block41-44. This potential must be considered in any block around the ASIS. However, it has notbeen reported after ultrasound guided TAP or ilio-inguinal block. Femoral block has also been described after
posterior TAP injection in the area of the triangle of Petit without ultrasound guidance19. It has been speculated
that spread of injectate may occur from deep to transversus abdominis into the iliac fossa deep to the fascia
iliaca where the femoral nerve is located. Another possible route from injection in this region would be if there
was direct injection into the psoas muscle as this could spread to the psoas compartment and femoral nerve.
While uncommon, the potential for inadvertent femoral nerve block remains an important consideration when
performing nerve blocks of the abdominal wall, especially in ambulatory or day surgery. Patients (and medical/
nursing staff) are unlikely to anticipate leg weakness as a consequence of abdominal surgery, and this may
increase the risk of post-operative falls.
Systemic absorption/toxicity
Abdominal wall blocks are field blocks which involve administration of large doses of local anaesthetic diluted
into relatively large volumes. Efficacy relies on an adequate volume of injectate to allow spread within the
anatomical plane to bathe the required nerves. There is limited published data on the relative importance ofdose, volume and concentration of local anaesthetic in the injectate. Cadaveric studies have been conductedto correlate the spread of injectate within the TAP with the dermatomal anaesthesia achieved45-47. There is a
paucity of dose finding studies in the literature however Beloeil and colleagues demonstrated that large dosesof local anaesthetic were required to achieve ED5048.
Published evidence suggests that local anaesthetic absorption from the transversus abdominis plane isintermediate, similar to other regional techniques such as the axillary plexus block, with peak levels typicallyachieved in approximately 30 minutes and remaining elevated for up to 90 minutes49-52. If the block is administeredfollowing wound closure, it is important to recognise that peak plasma concentrations of local anaesthetic arelikely to occur in the recovery room when medical staff are potentially absent.
Plasma concentrations of local anaesthetic have been studied following TAP block in several settings including
following gynaecological laparotomy and Caesarean section. Peak levels approach those on the threshold of
low-level neurological toxicity as described by Knudsen and colleagues53. Several case reports have described
symptomatic local anaesthetic toxicity following TAP blocks50. Episodes of seizures have been described, mainly
involving large doses of local anaesthetic although one case of post Caesarean section seizures involved only
2.7 mg/kg ropivacaine54-56.
There is some evidence to suggest that the addition of adrenaline (epinephrine) may reduce the systemic
absorption of levobupivacaine. This has not been studied in other local anaesthetics, but would seem to offer
potential, and also could serve as a marker of intravascular injection.

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Australasian Anaesthesia 2017SPECIAL CASES
Morbid obesity
Abdominal wall blocks are significantly more difficult to perform in the setting of morbid obesity. Ultrasoundguidance is difficult due to the increased depth of imaging required, and the narrow imaging window with linear
ultrasound probes. Broadly curved lower frequency probes may be helpful to improve the field of imaging, but
may make imaging the needle more difficult. It may be necessary to displace truncal adiposity with firm pressure
from the ultrasound probe in an attempt to improve image quality. This approach however has several problems.
Firstly, it may be uncomfortable to perform in an awake patient. Secondly, it is difficult to accurately image theneedle through its entire passage as the needle is long (typically 100-150 mm) and may bend within the tissues.
An additional problem when performing these blocks is operator fatigue. Strength and endurance is requiredin the arm holding the ultrasound probe. Image quality tends to deteriorate as the operator gets tired, an issue
which seems prominent in trainees (who generally take longer to perform the block). Helpful strategies may
include having an assistant support the abdominal wall and optimising conditions such as the operating tableor bed height and having the patient close to the operator. Posterior blocks such as the quadratus lumborum
or transversalis fascial plane blocks can be performed in the lateral position and may be an attractive option
in obese patients.
Paediatrics
There is a significant body of evidence supporting the use of abdominal wall blocks in children57. However,studies also demonstrate that the deposition of the injectate in paediatric population is frequently inaccurate.
Higher frequency smaller footprint probes may be required and careful attention paid to dose limits.
Pregnancy
There are many publications involving the use of TAP blocks to provide analgesia following Caesarean section.
The blocks are generally performed following wound closure and therefore the patient still has many of thephysiological changes of pregnancy even though they are technically no longer pregnant. There are a numberof these changes which may be relevant to performing TAP blocks. Dilatation (and potentially varicosities) of
the abdominal wall veins may increase the risk of abdominal wall haematoma. Plasma local anaesthetic
concentrations may be increased due to the decrease in plasma binding proteins and the increase in cardiac
output and tissue blood flow50.
Coagulopathy
Truncal nerve blocks present an attractive alternative for providing analgesia in patients where neuraxial
anaesthesia is contraindicated. This would include patients with coagulopathy, hepatic and renal disease andsystemic sepsis. Patients with coagulopathy must be at increased risk of significant abdominal wall bleedingand haematoma. Also, patients with intra-abdominal sepsis undergoing laparotomy could theoretically be atrisk of providing a locus of infection in the abdominal wall. Impaired clotting and sepsis should not be consideredabsolute contra-indications for abdominal wall blockade or catheters. These cases should be assessed on an
individual basis.
CONCLUSION
The use of “point of care” ultrasound in critical care has expanded rapidly in recent years. Published data
support the utility of ultrasound in vascular access, regional anaesthesia and haemodynamic assessment.
However, data evaluating teaching methods, skill acquisition, and quality assurance are still emerging.
Adequate training, assessment and supervision is needed to facilitate safe performance of all invasive techniques,
including those using ultrasound.
Quality assurance programs should be considered at individual, department and national/international levels.
Safe performance of any regional anaesthetic technique requires detailed knowledge of the relevant anatomy(and corresponding sonoanatomy), including both anatomy of target nerves and also the surrounding structuresat risk of inadvertent trauma.
Abdominal wall blocks have an excellent risk profile, but have a number of potential complications. These
include trauma within the abdominal wall, trauma in the peritoneal cavity, spread of local anaesthetic to moredistant structures and systemic local anaesthetic toxicity.
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45. Barrington MJ, Ivanusic JJ, Rozen WM, Hebbard P. Spread of injectate after ultrasound-guided subcostal transversus
abdominis plane block: a cadaveric study. Anaesthesia. 2009;64(7):745-750.
46. Jankovic ZB, du Feu FM, McConnell P. An anatomical study of the transversus abdominis plane block: location of thelumbar triangle of Petit and adjacent nerves. Anesth Analg. 2009;109(3):981-985.
47. McDonnell JG, O’Donnell BD, Farrell T, Gough N, Tuite D, Power C, et al. Transversus abdominis plane block: a cadaveric
and radiological evaluation. Reg Anesth Pain Med. 2007;32(5):399-404.
48. Lahlou-Casulli M, Chaize-Avril C, Pouliquen E, Desfourneaux V, Mazoit JX, Malledant Y, et al. The median effective analgesic
dose (ED50) of ropivacaine in ultrasound-guided transversus abdominis plane block for analgesia in reversal of ileostomy:
A double-blind up-down dose-finding study. Eur J Anaesthesiol. 2014;32(9):640-644.
49. Griffiths JD, Barron FA, Grant S, Bjorksten AR, Hebbard P, Royse CF. Plasma ropivacaine concentrations after ultrasoundguided transversus abdominis plane block. Br J Anaesth. 2010;105(6):853-856.
50. Griffiths JD, Le NV, Grant S, Bjorksten A, Hebbard P, Royse C. Symptomatic local anaesthetic toxicity and plasma ropivacaine
concentrations after transversus abdominis plane block for Caesarean section. Br J Anaesth. 2013;110(6):996-1000.
51. Kato N, Fujiwara Y, Harato M, Kurokawa S, Shibata Y, Harada J, et al. Serum concentration of lidocaine after transversus
abdominis plane block. J Anesth. 2009;23(2):298-300.
52. Weiss E, Jolly C, Dumoulin JL, Meftah RB, Blanie P, Laloe PA, et al. Convulsions in 2 patients after bilateral ultrasoundguided transversus abdominis plane blocks for cesarean analgesia. Reg Anesth Pain Med. 2014;39(3):248-251.
53. Knudsen K, Beckman Suurkula M, Blomberg S, Sjovall J, Edvardsson N. Central nervous and cardiovasculareffects of i.v. infusions of ropivacaine, bupivacaine and placebo in volunteers. Br J Anaesth. 1997;78(5):507-514.
54. Kato N, Fujiwara Y, Harato M, Kurokawa S, Shibata Y, Harada J, et al. Serum concentration of lidocaine after transversus
abdominis plane block. J Anesth. 2009;23(2):298-300.
55. Landy C, Gagnon N, Boulland P, Raynaud L, Plancade D. Seizures associated with local anaesthetic intoxication. Br J
Anaesth. 2012;109(3):463-464.
56. Sakai T, Manabe W, Kamitani T, Takeyama E, Nakano S. Ropivacaine-induced late-onset systemic toxicity after transversus
abdominis plane block under general anesthesia: successful reversal with 20% lipid emulsion. Masui. 2010;59(12):15021505.
57. Long JB, Birmingham PK, De Oliveira GS, Jr., Schaldenbrand KM, Suresh S. Transversus abdominis plane block in children:a multicenter safety analysis of 1994 cases from the PRAN (Pediatric Regional Anesthesia Network) database. Anesth
Analg. 2014;119(2):395-399.

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Pain
Recent insights into the mechanism of opioid tolerance
and withdrawal: Implications for the use of remifentanil
David A Jarvis
Lidocaine infusions: The golden ticket in postoperative
recovery?
Martin Bailey, Andrew Toner, Tomas Corcoran
Caution with ketamineDavid A Jarvis

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Recent insights into the mechanism of opioid tolerance andwithdrawal: Implications for the use of remifentanil
DAVID A JARVIS, BSc, BMedSci(Hons), MBBS, FFARCS, FANZCA

Clinical Lecturer, Discipline of Acute Care Medicine, School of Medicine, The University of Adelaide and Senior
Staff Specialist, Department of Anaesthesia, Pain and Hyperbaric Medicine, Royal Adelaide Hospital, Adelaide,
Australia.
Dr Jarvis is a Senior Staff Specialist in Anaesthesia at the Royal Adelaide Hospital. Besides his anaesthetic
duties he has had a direct role in the hospital‘s Acute Pain Service almost since its inception in 1989. Prior tothat he was an Acting Assistant Professor in Anesthesia at Stanford University Hospital in Palo Alto, California,
where he participated in the early phase of their acute post-operative pain service. He is very familiar with the
problems of treating post-operative pain, especially in opioid tolerant patients and those with chronic pain.

INTRODUCTION
The mechanism for the development of opioid tolerance, withdrawal and hyperalgesia has never been adequately
explained solely by changes in the classical opioid receptors themselves. Recent work has shown that opioids
act on another set of receptors, the non-stereo-selective toll-like receptors, which reside on macrophages and,in the central nervous system, their derivatives, the microglia. Their activation by opioids and some of their
metabolites is largely responsible for opioid tolerance, withdrawal and hyperalgesia. This has particularimplications for the use of large doses of remifentanil, especially in opioid tolerant patients, and in patients who
consume large doses of codeine.
OPIOID TOLERANCE, WITHDRAWAL AND HYPERALGESIAEver since their clinical use to treat pain, it has been known that the continuing use of opioids induces tolerance
to their analgesic effects, and if abruptly ceased, the development of a withdrawal state, marked by a constellationof “flu like” symptoms: sweats; muscle and joint aches and pains; tremors; lacrimation; rhinorrhoea and piloerection (“goose flesh”). This condition may also include: agitation; anxiety and insomnia; yawning; abdominal
cramps; nausea and diarrhoea. The withdrawal muscle and joint aches and pains are evidence of hyperalgesia,
even allodynia, and can be severe, as almost any search on the internet of descriptions of what heroin withdrawal
feels like will confirm. Opioid withdrawal hyperalgesia has even been measured after acute opioid doses in
non-addicted humans1. The opioid withdrawal hyperalgesia can even temporarily reignite pain in an old, but
recovered site of previous injury2. Thus pain is a prominent feature of opioid withdrawal. More recently it has
been recognised that chronic doses of opioids may even exacerbate pain even while the opioids are continued,
i.e. opioid induced hyperalgesia (OIH)3, although clinical testing for this is difficult4. Recent discoveries asdetailed below reveal a common mechanism to explain the closely related phenomena of OIH, opioid tolerance
and opioid withdrawal hyperalgesia.
DIFFERENCE BETWEEN OPIOID STEREO-ISOMERS
Until recently the mechanism for opioid tolerance, hyperalgesia and opioid withdrawal has remained aphenomenon widely observed but unable to be adequately explained by changes in the expression of classically
identified opioid receptors themselves. In 1960, long before classical opioid receptors were discovered, wheninvestigating the antitussive effects of the different optical isomers of morphine, Takagi et al observed that (+)
morphine is almost devoid of analgesic activity compared to (-) morphine. He also noted that a larger dose of(+) morphine given in combination with (-) morphine will antagonise the analgesic effects of (-) morphine: i.e.
the (+) morphine will induce naive tolerance and antanalgesia5. It was also noted there was no stereo-selectivenessto the antitussive effects. These results suggested that opioid agonists do not only act at the now identified
stereo-selective opioid receptors, which only respond to the (-)-opioid isomer, to cause analgesia, but also at
another set of receptors responsible for the tolerance and antanalgesia/hyperalgesia. Since 2009, M Hutchinson
and colleagues, by an accumulation of theoretical computerised molecular simulation (“in silico”), “in vitro” and“in vivo” experimentation have demonstrated that opioids act in a non stereo-selective manner at the toll-likereceptors (TLRs) residing on microglial cells in the central nervous system (CNS)6.
TOLL-LIKE RECEPTORS ON MICROGLIAThe TLRs, discovered in the 1990s, are an evolutionarily conserved class of “pattern recognition receptors”
which reside on innate immune cells such as macrophages and dendritic cells, but also cells of adaptive
immunity and non-immune cells7. The TLRs play a key role in innate immunity, responding to a wide variety ofmolecules derived from bacteria and other pathogens, or as a result of cell damage, referred to as pathogenassociated molecular patterns (PAMPs). There are about a dozen subtypes of TLR. The principle agonist for
TLR4 is a lipopolysaccharide (LPS), endotoxin, from gram negative bacterial membranes, which induces an
inflammatory response in macrophages. Microglial cells, which share embryological origins with macrophages,
are normal residents in the CNS, and the activation of TLR4 receptors on them leads to induction of gene
expression and production of many mediators of acute inflammation. These then act on neighbouring astrocytes,

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Australasian Anaesthesia 2017disrupting the normal regulation of glutamate transporters and synthesis, and alter the expression of othermediators which impact on the functioning of neurons8. Hutchinson and colleagues have shown that both the(+) and (-) isomers of many opioids, and some of their metabolites, can act as agonists at TLR4, which induces
the changes ultimately resulting in opioid tolerance, hyperalgesia, and if opioids are suddenly ceased, opioid
withdrawal. (That endotoxin, from infection, and opioids are both acting on this same receptor may also explain
much of the commonality of the opioid withdrawal state and “flu like” symptoms.) The biochemical changes
associated with TLR4 activation specifically affecting the action of opioids on neurons are shown in theaccompanying diagram (figure 1) from Grace et al9. (The article by Grace et al9 succinctly concentrates moreon the TLR4 induced effects which antagonise opioid analgesia, whereas the article by Hutchinson, et al8 is amuch more comprehensive review on the neuroimmunopharmacology of opioids, both well worth reading.)
Synaptically released glutamate is removed from the region of the excitatory synapses not by enzymatic
destruction but by uptake by the astrocytic glutamate transporter GLT-1. Although downregulation of thistransporter is only one component of the antanalgesic effect of TLR4 activation, it is consistent with ketamine,even in low doses, occasionally being observed to be very effective in treating pain in opioid tolerant patients 10.
Ketamine pharmacology is complex, acting on many receptors, but one of its principle actions is as a noncompetitive antagonist at the N-methyl-D-aspartate glutamate receptor11. This action would act to counterbalance
the effect of increased synaptic glutamate as a result of transporter downregulation.
Figure 1. Central immune mechanisms of opioid tolerance and opioid-induced hyperalgesia
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Recent insights into the mechanism of opioid tolerance and withdrawal: Implications for the use of remifentanil 

181

THE PROBLEM WITH REMIFENTANIL: ITS METABOLITE REMIFENTANIL ACID
Soon after remifentanil was released for clinical use, it was noted that patients who had received it intraoperatively
often had worse pain postoperatively, and required higher doses of opioid than would otherwise have been
expected i.e. they had rapidly developed opioid tolerance and OIH. This has been confirmed by wide ranging
systematic reviews, which show that hyperalgesia and tolerance, if it is significant, tends to be worse whenlarger doses of remifentanil have been given12,13. Remifentanil is a highly lipid soluble, potent mu agonist opioidwith a very short half-life of between 3-8 minutes that is independent of renal and liver function. It is broken
down by non-specific esterases throughout the body and also undergoes spontaneous degradation by hydrolysis.
Its principal metabolite is remifentanil acid which is almost devoid of mu agonist activity, with only a small
fraction of the potency of remifentanil at the mu opioid receptor14,15. Remifentanil acid is cleared by the kidneys
with an elimination half-life of 80-130 minutes. A prolonged steady state infusion of remifentanil will result in aratio 1:12 of remifentanil:remifentanil acid. Because of its very short half-life and largely mu receptor inactive
metabolite, it is very easy to give large doses of remifentanil intra-operatively to achieve haemodynamic stability,and even hypotension, and yet at the end of the case have the patient spontaneously breathing with rapid
emergence from anaesthesia. The phenomena of acute opioid tolerance and OIH as a result of large doses is
explained by the accumulated metabolite remifentanil acid being a potent agonist at TLR4, as suggested byits binding energies at the MD2 sub-component of TLR416. As it takes much longer to clear than remifentanil,
the patient is left in a state akin to opioid withdrawal, clinically manifested by hyperalgesia and tolerance to mu
agonist. (Over the years there have been several cases in our institution of already opioid tolerant patients
receiving large doses of remifentanil intraoperatively, with minimal other longer acting mu agonist being
administered, and as a result suffering extremely severe pain and/or withdrawal symptoms postoperatively for
up to 48 hours, inadequately relieved even by very large doses of fentanyl and ketamine.) Our advice is thus
not to use remifentanil in opioid tolerant patients, and to minimise its use in cases where there would normallybe moderate to severe pain post-operatively. In treating opioid tolerant patients, besides adequate doses offentanyl (to prevent opioid withdrawal), a low dose ketamine infusion (4 to 8 mg/hr, which minimises the risk of
distressing psychotomimetic or psychedelic phenomena) is more likely to contribute to analgesia, and can becontinued into the post-operative period.
Why is this not such a problem with other mu agonists, nearly all of which will induce tolerance and hyperalgesia
if given over sufficient time? Morphine-3-glucuronide (M3G), one of the major metabolites of morphine, has,like remifentanil acid, almost no mu agonist activity, but is a potent agonist at TLR4, explaining its long known
neuroexcitatory and antanalgesic effects6. But the phenomenon of immediate post dose hyperalgesia andtolerance is not as evident with morphine compared to remifentanil. This is due to the longer clearance time
for the parent morphine which provides continuing mu opioid agonist activity, as well as its other major metabolite,
morphine-6-glucuronide (M6G), which is a potent mu agonist but devoid of activity at TLR4. These features
serve to counterbalance the M3G effect. The very large discrepancy between the half-lives of remifentanil andaccumulated remifentanil acid compared to that of morphine and its metabolites M3G and M6G, would also
explain why the tolerance and hyperalgesia is acutely much worse with remifentanil.

Figure.—Central immune mechanisms of opioid tolerance and opioid-induced hyperalgesia. Activation of Toll-like receptor 4(TLR4) signaling, production of sphingosine-1 phosphate (S1P), and peroxynitrite (ONOO−; formed by the interaction of superoxide[O2−] and nitric oxide [NO]) downstream of ceramide, as well as the purinergic receptors P2X4R and P2X7R have been shown to
induce production of pro-inflammatory mediators such as tumor necrosis factor (TNF), interleukin-1β (IL-1β), IL-6, IL-18,
complement factor c5a, CX3CL1 (also known as fractalkine), and tissue plasminogen activator (tpa) in microglia, astrocytes, andneurons. These immune mediators are also pro-nociceptive, and hence act as an opponent process of neuronally mediated opioid
analgesia. Production is largely mediated by NFκB activation, and phosphorylation of the mitogen-activated protein kinases p38 andextracellular regulated kinase (ERK).Anti-inflammatory signaling via the cannabinoid 2 (CB2) and IL-10 (IL-10R) receptors oppose
opioid tolerance by inhibiting pro-inflammatory mediator production. In addition, S1P and ONOO− dysregulate glutamate homeostasis by downregulating expression of both the glutamate transporter GLT-1 and the processing enzyme glutamine synthase (GS) in
astrocytes. Microglia-derived IL-18 signals at astrocyte IL-18 receptor (IL-18R), leading to D-serine release by astrocytes, which canfacilitate N-methyl-D-aspartate (NMDA) receptor activation. The chemokine receptor CXCR4 can induce heterologous desensitization of μ-opioid receptors (MOR) in neurons, mediated at least in part via activation of Src family kinases (SFK). Neuronal
CXCL12 signaling at neuronal CXCR4 also contributes to opioid induced hyperalgesia. μ-opioid receptor (MOR)-signaling increases
P2X4R expression, triggering brain derived neurotrophic factor (BDNF) release from microglia. Neuronal TrkB receptor activation
by BDNF downregulates the principal neuronal potassium-chloride cotransporter, KCC2, which increases the intracellular Cl−
concentration in lamina I neurons. This leads to disinhibition, where Cl− is effluxed rather than influxed through GABAA and glycine
channels, resulting in opioid-induced hyperalgesia. *Indicates mechanisms specific to opioid induced hyperalgesia.

Figure from Grace P. M. et al, Headache 55:475-489, 2015, reproduced with permission.
production. Hence, disconnects between GFAP
opioid analgesia. Analgesic consequences of opioidCopyright © 1999-2016 John Wiley & Sons, Inc. All Rights Reserved
expression and induction/release of astrocyte
induced central immune signaling are well estabproinflammatory substances are to be expected.
lished following repeated opioid administration, but
Opioid Tolerance.—Opioid tolerance is characterless so following acute administration. For example,

WHY CODEINE IS PROBLEMATIC
Patients who consume moderate to large doses of codeine (such as in combination analgesics paracetamol/
codeine phosphate 500 mg/30 mg) have often been problematic patients to treat for pain, including in the
post-operative period. This has been difficult to understand, as codeine has only about one tenth the potencyof morphine at the mu opioid receptor, and much of its analgesic effect is attributed to it being metabolised tomorphine by CYP2D6. The answer may be in the binding energy studies which suggest that codeine is, molecule
for molecule, as potent an agonist as morphine at TLR4, thus inducing opioid tolerance and hyperalgesia outof proportion to its mu agonist effects17. Medication overuse headache arising from over-consumption of codeinecontaining medicines is a manifestation of this9. On theoretical grounds it would be wise to avoid remifentanilin these patients, for even though their aggregate mu opioid agonist dose may be low, the accompanying
neuroinflammatory effects induced by TLR4 activation causing clinically relevant hyperalgesia and opioid
tolerance are already disproportionately high, and will be further exacerbated by the use of remifentanil.
CONCLUSION
Both opioids and certain of their metabolites induce opioid tolerance and hyperalgesia through activation of
TLR4 on microglia which in the case of remifentanil may be severe. The longer-lasting metabolite remifentanil
acid is a particular culprit in this instance due to its potent activation of TLR4 combined with its near-total lackof mu opioid receptor agonist activity. This not infrequently results in the clinical scenario of a patient having
been given large doses of remifentanil during a given procedure subsequently experiencing worse pain, andpain that is relatively opioid resistant in the post-operative period.
Suggestions have been made whereby remifentanil is avoided in patients in whom there is an expectation ofmoderate to severe postoperative pain; in patients who are already opioid tolerant; and most particularly inpatients with substantial preoperative codeine consumption (due to the disproportionate TLR4 activation bycodeine compared to its mu opioid agonist effect). Alternative non-opioid analgesia regimes may include
judicious doses of fentanyl to provide analgesia to prevent withdrawal.

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REFERENCES

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1. Compton P, Athanasos P, Elashoff D. Withdrawal hyperalgesia after acute opioid physical dependence in nonaddicted
humans: a preliminary study. J Pain. 2003;4(9):511–519.
2. Rieb LM, Norman WV, Martin RE, Berkowitz J, Wood E, McNeil R, et al. Withdrawal-associated injury site pain (WISP): a
descriptive case series of an opioid cessation phenomenon. Pain. 2016;157(12):2865–2874.
3. Mao J. Opioid-induced abnormal pain sensitivity. Curr Pain Headache Rep. 2006;10(1):67–70.
4. Mao J. Clinical diagnosis of opioid-induced hyperalgesia. Reg Anesth Pain Med. 2015;40(6):663–664.
5. Takagi K, Fukuda H, Watanabe M, Sato M. Studies on antitussives. III. Yakugaku Zasshi. 1960;80(11):1506–1509.
6. Hutchinson MR, Zhang Y, Shridhar M, Evans JH, Buchanan MM, Zhao TX, et al. Evidence that opioids may have toll-likereceptor 4 and MD-2 effects. Brain Behav Immun. 2010;24(1):83–95.
7. Wikipedia. Toll-like receptor [Internet]. From: https://en.wikipedia.org/ w/index.php?title=Toll-like_receptor&oldid=
796726968. Accessed 3 September 2017.
8. Hutchinson MR, Shavit Y, Grace PM, Rice KC, Maier SF, Watkins LR. Exploring the neuroimmunopharmacology of opioids:
an integrative review of mechanisms of central immune signaling and their implications for opioid analgesia. Pharmacol
Rev. 2011;63(3):772–810.
9. Grace PM, Maier SF, Watkins LR. Opioid-induced central immune signaling: implications for opioid analgesia. Headache.
2015;55(4):475–489.
10. Bell RF. Low-dose subcutaneous ketamine infusion and morphine tolerance. Pain. 1999;83(1):101–103.
11. Mion G, Villevieille T. Ketamine pharmacology: an update (pharmacodynamics and molecular aspects, recent findings).
CNS Neurosci Ther. 2013;19(6):370– 380.
12. Kim SH, Stoicea N, Soghomonyan S, Bergese SD. Intraoperative use of remifentanil and opioid induced hyperalgesia/
acute opioid tolerance: systematic review. Front Pharmacol. 2014;5:108.
13. Fletcher D, Martinez V. Opioid-induced hyperalgesia in patients after surgery: a systematic review and a meta-analysis. Br
J Anaesth. 2014;112(6):991–1004.
14. Westmoreland CL, Hoke JF, Sebel PS, Hug CC Jr, Muir KT. Pharmacokinetics of remifentanil (GI87084B) and its major
metabolite (GI90291) in patients undergoing elective inpatient surgery. Anesthesiology. 1993;79(5):893–903.
15. Glass PSA, Gan TJ, Howell S. A review of the pharmacokinetics and pharmacodynamics of remifentanil. Anesth Analg.
1999;89(4 Suppl):S7-14.
16. Hutchinson MR, Northcutt AL, Hiranita T, Wang X, Lewis SS, Thomas J, et al. Opioid activation of toll-like receptor 4
contributes to drug reinforcement. J Neurosci. 2012;32(33):11187-11200.
17. Johnson JL, Rolan PE, Johnson ME, Bobrovskaya L, Williams DB, Johnson K, et al. Codeine-induced hyperalgesia andallodynia: investigating the role of glial activation. Transl Psychiatry. 2014;4(11):e482.

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185

Lidocaine infusions: The golden ticket in postoperative recovery?
MARTIN BAILEY, MBBS, BSc, AICSM, FANZCADr Martin Bailey is a specialist anaesthetist at the Fiona Stanley Hospital, an early career researcher and isstudying for an MPH at the University of Western Australia.
ANDREW TONER, BMBCh, FRCA, FANZCA, MD(Res)Dr Andrew Toner is a specialist anaesthetist at the Royal Perth Hospital. He has a strong research interest inperioperative medicine.
TOMAS CORCORAN, MB, BCh, BAO, MRPCI, FCAI, FCICM, MD

Professor Tomas Corcoran is a specialist anaesthetist and intensivist, and is the director of research in the
Department of Anaesthesia and Pain Medicine at Royal Perth Hospital.
INTRODUCTION
The systemic administration of lidocaine (often known by its approved British name, lignocaine) by intravenousor subcutaneous infusion is a practice that is growing in popularity. To date, studies investigating the effects
of lidocaine on the perioperative course provide some evidence that intraoperative lidocaine may be a usefuladjunct to general anaesthesia. They are however, as yet, uncompelling. Systemic lidocaine is administeredprincipally for the purpose of improved perioperative analgesia. There are other outcomes, however, which
potentially may be influenced by systemic lidocaine administration; namely the risk of postoperative infection,
malignancy recurrence, and the incidence of chronic post-surgical pain (CPSP). The mechanisms by which
systemic lidocaine can impair pain pathways, alter inflammation and immune competence, are enlightening
and will be covered in this review. A summary of the evidence investigating the clinical outcomes will also
feature. A number of questions still exist surrounding the practicalities of lidocaine’s intravenous use and thesewill be explored in addition to the potential avenues of research which are required to determine whether alidocaine infusion is simply an intervention that benefits the occasional patient, or whether it provides advantages
too great to ignore.
HISTORY
In the 1940s, a significant breakthrough occurred when Swedish pharmaceutical company Astra introduced anovel local anaesthetic agent. The enthusiasm for the drug, lidocaine, stemmed from the finding that it proved
more effective with less undesirable effects than procaine and it lacked the toxic and addictive effects of its
coca-based predecessors. It was more than 20 years later when Bartlett and Hutaserani took the novel stepof introducing the drug systemically in an attempt to aid the relief of postoperative pain1.
PHARMACOKINETICS OF LIDOCAINE
Lidocaine is a basic amide compound with a molecular weight of 234. It’s pKa is 7.9, lower than other commonlyused local anaesthetics, contributing to it having a greater unionised component and therefore more rapidtransfer towards its intracellular site of action. On administration to the circulation, it initially is distributed tothe highly vascularised tissues (including the brain and the heart where it exerts its toxic effects), before
distributing to the higher capacity and less vascularised tissues shortly after. Its steady state volume of distribution
is about 1L/kg and about 64 per cent is protein bound, largely to the high affinity, alpha-1 acid glycoprotein
molecules. About 90 per cent is metabolised in the liver via the cytochrome P450 system, by oxidation tomonoethylglycine xylidide and much of this is hydrolysed further to glycine xylidide. Both of these by-products
are active and potentially contribute to toxicity, especially in those who have severely limited renal function andtherefore an inability to clear them. The clearance of lidocaine in healthy adults is about 0.85 L/kg/hour and theterminal half-life is 1.5 to 2 hours although this is significantly shorter and therefore context-specific before thedrug has fully redistributed2-4

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Figure 1. Proposed mechanisms of action of systemic lidocaine

Lidocaine infusions: The golden ticket in postoperative recovery? 187neurons and play an essential part in nociceptive transmission9. Individuals with an overexpression of NaV1.7
are known to have a decreased sensitivity to local anaesthetics10 and a strong predisposition to certain pain
syndromes such as erythemalgia and paroxysmal extreme pain disorder11. In contrast, loss of function mutationsof NaV1.7 (also referred to as SCN9A channelopathy) are reported in humans with an inability to experiencepain12. Of particular interest, a recent study in both humans and mice with such loss of function mutations,showed that the administration of naloxone led to profound loss of congenital analgesia in these subjects. Thissuggests that the absence of NaV1.7 function led to alterations in gene expression resulting in endogenous
opioids contributing to the congenital analgesia. This is supported by the findings that specific NaV1.7 channel
blockers do not replicate the analgesic phenotype of those with loss of function mutations13. It also potentially
supports the clinical data suggesting that lidocaine infusions may result in a significant opioid sparing effect.
There is speculation among pain researchers that specific NaV1.7 channel blockers in combination with opioids,
dosed well below the current perceived therapeutic window, could potentially lead to side effect free analgesia 13,14.
Other channels
Other voltage gated ion channels (namely calcium and potassium) have been implicated in contributing tolidocaine’s efficacy as a systemic analgesic agent, although early in vitro studies suggest that this is likely to
be at concentrations significantly greater than is seen safely in humans6.

MECHANISMS OF ACTION: SODIUM CHANNELS AND BEYOND
Lidocaine has multiple systemic effects, most of which appear to be due to actions at specific receptor subtypes.
Its analgesic effects can be explained by its effect on the following receptors and pathways5,6 and are categorised
into site of action in figure 1.
1. Voltage-gated sodium channels
2. Voltage-gated potassium channels
3. Voltage-gated calcium channels
4. NMDA receptor
5. Muscarinic receptors (M1 and M2)
6. G-protein coupled receptors
7. Reduced neurokinin activity
8. Reduced glycine activity
9. Reduced thromboxane
It also has systemic effects which appear to be independent of receptor specificity or which may be the
manifestations of the cumulative effect of lidocaine at multiple receptors.
These are:
1. Anti-inflammatory effects
2. Antibacterial effects
3. Cytotoxic/anticancer effects
4. Antiarrhythmic effects (as a Ib agent)
Sodium channel blockade
The traditional explanation for lidocaine’s analgesic effect is related to its ability to block voltage gated sodium
channels, and hence, to interrupt action potential transmission in nociceptive neurones. These units structurallycomprise a single alpha subunit forming an ion pore and varying auxiliary beta subunits. Local anaesthetics
dose-dependently decrease peak sodium current by selectively binding intracellularly to and stabilising thesealpha subunits in their inactivated state (inactivated block). They can also bind within the ion channel pore toprevent ion flux (open state block). Both of these actions rely on the channel being activated and therefore,
with repeated depolarisation, there is an incremental decrease in Na+ current. This is termed a use-dependentor phasic inhibition7. Given that this is a dose dependent effect, and with intravenous administration theconcentrations at the nociceptive neuronal membranes are likely to be extremely low in comparison, this theory
cannot entirely explain systemic lidocaine’s promising clinical effects. It also fails to explain the findings of areview by Barreveld et al, which concluded that lidocaine is a useful preventative analgesic agent. Ten of the
13 clinical trials studied demonstrated the effect of lidocaine lasting longer than eight and a half hours (which
is five-and-a-half times the half-life of intravenous lidocaine)8.
The voltage gated sodium channel has numerous subtypes which differ in the structure of their homologousalpha subunit. Of the subtypes NaV1.7, NaV1.8 and NaV1.9 are thought to be expressed exclusively in peripheral

NMDA receptors
Further explanation for systemic lidocaine’s anti-hyperalgesia, preventative analgesic and opioid-sparing effects
may come from its ability to influence N-methyl-D-aspartate (NMDA) receptors in a manner similar to ketamine.
Early studies in Xenopus oocytes whereby human NMDA receptors were expressed and then stimulated withglutamate and glycine showed that lidocaine inhibited their function in a dose dependent manner. The fact thatlidocaine dosages to achieve blockade were relatively high does question its contribution to lidocaine’s systemicclinical effect15.
Immunomodulation
A number of studies carried out in humans have strongly suggested that a key contributor to lidocaine’s systemic
analgesia and its positive effects on bowel motility are secondary to its immunomodulatory effects. In 2007 one
study demonstrated significantly lower levels of inflammatory mediators Il-6 and Il-8 in abdominal surgical patients
receiving lidocaine infusions intraoperatively. Another study published data to support this further in 2008, thistime finding a decrease by about 30 per cent in cytokines Il-1ra and Il-8 following similar surgery16. More recently
two further studies show a decrease in Il-1, Il-6, Il-10, IFN gamma, TNF alpha, leukocyte count and CRP in thosewithin the lidocaine arms of the trials17-19. Berger et al studied the effect of neutrophil recruitment in vivo andshowed a marked decrease in chemokine induced neutrophil arrest and transmigration compared to a control
group19. An overproduction of these mediators is thought to be responsible for the development of a number of
perioperative disease states including post-operative pain which may, in part, explain some of lidocaine’s promise
as a systemic analgesic. Theories concerning how lidocaine limits this immune response are numerous and studies
have implicated the inhibition of nuclear factor Kappa B as a likely contributor20,21, with inhibition of inducible nitricoxide synthase22 and direct effects of voltage gated sodium channels on macrophages also implicated23. Thereis also a possibility it results from its ability to target G-protein coupled receptors (GPCRs) on sensory neurons
which are activated by the variety of inflammatory mediators produced by tissue injury. The muscarinic receptors
m1 and m3, platelet activating factor receptors and thromboxane A2 receptors are all examples which have beenshown to be downregulated by the presence of lidocaine6.
Anti-inflammatory effects on pain are clearly beneficial, however, it could be argued they would be detrimental
in circumstances where inflammation is vital to fight disease, namely infection, wound healing and cancer
recurrence. A recent study into wound healing in mice suggested that, despite lidocaine decreasing local
inflammatory factors, they did not impair the rate of healing24. Regarding wound infection, a detailed analysis
recently provided evidence that local anaesthetics are in fact antibacterial with the mechanism of action being
attributed to a disruption of microbial cell membrane25.
Potential targets in preventing chronic post-surgical pain
A review of lidocaine infusions’ use in treating chronic pain is beyond the scope of this article, however theprevention of chronic post-surgical pain (CPSP) is of undoubted relevance to anaesthetists. The mechanismsof lidocaine’s potential effects are not clear nor are the mechanisms which lead to a patient developing CPSP.
What is clear is that long term neurobiological changes are occurring within hours of injury26 and that damage
to nerves trespassing the surgical field is implicated in most cases27. Peripherally, the changes occurring at
molecular level include various substances that sensitize the nociceptor including downregulation of tetrodoxin
resistant sodium channels (Nav 1.8 and 1.9 – both targets of lidocaine)28. The anti-inflammatory effects oflidocaine have potential to exert an influence here as neuroinflammation is thought to be responsible for A(beta)
fibres undergoing a phenotypic switch such that they resemble C-fibres in their function26. When an axon iscut, the distal end degenerates and is engulfed by inflammatory cells. This leads to activation of immune-likeglial cells (microglia and astrocytes) which likely contribute to pain hypersensitivity and, potentially, neuroma
formation. It is known, albeit in a rat model, that a low dose of lidocaine leads to a silencing of ectopic neuroma
discharge29 and given its effect on reducing inflammatory cell recruitment at the time of injury19, lidocaine has
potential to decrease their formation.

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Systemic lidocaine also has potential to limit central sensitisation which otherwise would result in enhanced
excitability at the synapse, expansion of the receptive fields and development of hyperalgesia and allodynia.
NMDA receptors, upon which lidocaine has some effects15, are implicated and upregulation of specific sodium
channels in the dorsal horn are other potential targets where lidocaine may confer benefit. It is known, using
patch clamp analysis, that lidocaine significantly reduces dorsal horn neuronal discharge which helps explain
its acute and chronic analgesic effects30.
Descending pain modulatory pathways are thought to be important in the development of chronic pain. It istherefore of interest that, in rats, hyperalgesia was abolished by intra rostro ventral medullary injection oflidocaine in one study31.
Other theoretical mechanisms for lidocaine reducing CPSP are linked to its reduction in acute pain (linked tothe development of CPSP)32 or a reduction in opioid use which may limit the opioid’s potential for triggering
pro-nociceptive pathways33.
CLINICAL USES AND EVIDENCE BASE FOR INTRAVENOUS USE
There have been several meta-analyses performed since lidocaine’s first intravenous use was documented,
each describing a heterogeneous group of trials.
Two of the earlier meta-analyses examined all of the data obtained regardless of surgical speciality34,35 and one
looked specifically at abdominal surgery shortly afterwards36. Vignault et al included 1754 patients in theiranalysis of which 573 were undergoing cardiac surgery and receiving highly variable doses, often with the aimof assessing cardiac stability rather than pain control. They found that an intravenous lidocaine infusion, at six
hours, reduced pain at rest (weighted mean difference [WMD] on a 100 mm scale was -8.7 mm, (95 per centconfidence intervals [CI] -16.19 to -1.21) during cough -11.19 mm (95 per cent CI -17.73 to -4.65), and during
movement -8.44 mm (95 per cent CI -17.31 to -1.80). They also found a decrease in overall opioid requirements(morphine) by 8.44 mg (95 per cent CI -11.32 mg to -5.56 mg). McCarthy et al, who published their meta-analysis
the same year, included 764 patients, only 22 of which had not featured in the earlier analysis by Vignault.
Rather than focus on the overall group, they divided the patients into specific surgery types and analysed themseparately. Of the seven studies that looked at pain scores post abdominal surgery, five showed a significant
reduction in pain scores. A meta-analysis of the pain scores at 24 hours were significantly lower in the lidocainegroup (WMD -5.93 [95 per cent CI -9.63, -2.23]).
Sun et al more specifically examined abdominal surgical procedures in 2012 and reported on studies including
1108 patients. Of those subjects that had not been included in the above analyses, all were either looking at
IV lidocaine boluses or exclusively post-operative lidocaine infusions. Their analyses demonstrated a reduction
in opioid (morphine) consumption at 48 hours of -7.08 mg (95 per cent CI: -10.40 to -3.68), with a reduction inpain intensity at rest after six hours of -10.56 mm (95 per cent CI: -16.89 to -4.23)36.
In 2015, an up-to-date Cochrane review was published which included 45 trials including 2802 surgical patients37.
This was followed in 2016 by a trial sequential analysis using the same 45 trials38 as the authors examined
specific outcomes, including postoperative pain and opioid requirement, following various specific surgery
types. These included 17 new trials that had not featured in the above meta-analyses. Overall, the analyses
showed a statistically significant overall reduction in pain scores at 1-4 hours, (mean difference [MD] -0.84
centimetres, 95 per cent CI -1.1 to -0.59), and at 24 hours (MD -0.34 cm, 95 per cent CI -0.57 to -0.11) but not
at 48 hours (MD -0.22 cm, 95 per cent CI -0.47 to 0.03). Combined analysis of opioid consumption (Intravenous
morphine equivalents) showed a significant reduction in the lidocaine group in Post Anaesthesia Care Unit
(PACU) (MD -4.17 mg, 95 per cent CI -6.40 to -1.94) and during the whole postoperative period (MD -5.36 mg,
95 per cent CI -7.12 to -3.59).
While there is difficulty in interpreting the clear clinical benefit of reducing morphine equivalent consumptionby 5-10mg during a hospital admission, the findings related to length of hospital stay reduction do potentiallyshow more significant clinical and economic benefits of intraoperative lidocaine infusions. When analysing the
21 studies (n=1424) addressing length of stay in Kranke et al’s review, a reduction of 0.31 days (95 per cent CI-0.56 to -0.07) was noted (about eight hours). Given the cost of a hospital admission and with many hospitals
operating beyond capacity, this finding is likely to be significant to health economists.
One clear observation when assessing these reviews is that the number of patients in each individual trial are
low. In the most recent reviews, the trial (excluding cardiac procedures) with the greatest number of patientsenrolled contained 57 patients in each group and the average number of patients across the trials was 31
patients in each. Eliminating bias in small single centred trials is notoriously difficult and results of well structured,large randomised control trials have been shown to differ significantly when compared to the meta-analyses
that have preceded them39.

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SPECIFIC CLINICAL SITUATIONSOpen abdominal surgery
Of the six studies included in this group in the recent metanalysis37, all demonstrated a mean difference in painscore, at 1-4 hours, of -5 mm or more although in three40-42 this did not reach statistical significance. Thisequated to an overall difference of 7.2 mm (CI 95 per cent -0.96 to -0.47). There were no statistical differencesin pain scores at intermediate (24 hours) and late time points (48 hours). It should be noted that all patientswere given free access to patient controlled analgesia and therefore with the late time points, opioid sparing
data is perhaps more telling. Overall opioid consumption within this subgroup was decreased by 3.26 mg (CI95 per cent -4.80 to -1.71) of morphine equivalents (MEQ). This is a statistically significant result but one ofquestionable clinical significance. Of the three studies (n=140) that looked at length of hospital stay in thisgroup42-44, all found a reduction. When combined, the mean difference was -0.43 days (CI 95 per cent -1.00 to0.14) which was not statistically significant although with greater power these studies may have demonstrated
a difference of economical relevance.
Of particular interest to surgeons is the theory that lidocaine infusions may improve gastrointestinal recovery
and lead to a decrease in rates of ileus. Kranke et al used ileus as an important endpoint in their meta-analysis
and found weak evidence to support the use of lidocaine37. These amounted to reductions in time to first flatus(MD -5.49 hours, 95 per cent CI -7.97 to -3.00), time to first bowel sounds (MD -6.12 hours, 95 per cent CI 7.36
to 4.89) and a decrease in diagnosed paralytic ileus (risk ratio 0.38, 95 per cent CI: 0.15 to 0.99).
Laparoscopic abdominal surgery
Nine studies have reported on pain at one to four hours following laparoscopic abdominal surgery as an
endpoint45-53. Of these, seven showed a marked difference in mean pain scores and two showed no demonstrable
differences. Despite the dichotomy between the two groups of trials, there was an overall significant reduction
in mean pain scores of -1.14 cm (95 per cent CI: -1.51 to -0.78). Opioid consumption intraoperatively wasdecreased by 4.05 mg (95 per cent CI -8.01 to -0.09) MEQ and by a further 4.87 mg (95 per cent CI: -8.17 to-1.58) MEQ in the Post Anaesthetic Care Unit (PACU). Overall opioid consumption was reduced by 7.40 mg(95 per cent CI: -11.41 to -3.38). Mean length of stay was reduced by 0.14 days but again this was not ofstatistical significance. Given the shorter length of stay expected in those undergoing laparoscopiccholecystectomy this is perhaps not surprising although greater numbers may yield more interesting results.
Indeed, the differences are so small that they could arguably be the result of measurement error, bias or a simple
Type I error.
Prostate surgery
Two studies have examined eligible outcomes in patients undergoing open prostate surgery with promising
effects identified. In the first (n=38), total pain index was reduced by a third in the lidocaine group andpostoperative stay was reduced by 1.10 days (95 per cent CI: -2.11 and -0.09)54. In the second, more recent
study (n=76), morphine consumption in the first 24 hours was decreased by a mean of 13.9 mg (95 per centCI 2.2 to 25.7) and again a marked shortening of postoperative stay was demonstrated (-1.30 days, 95 per cent
CI: 0.3 to 2.4)55. Two studies included patients undergoing laparoscopic urological surgery and both found little
improvements with intravenous lidocaine infusion48,52.
Orthopaedics and spinal surgery
The use of lidocaine infusions in the setting of joint surgery has been investigated in only one study, and theauthors did not identify any significant differences in pain control within their cohort of 60 total hip joint
replacement patients56.
In 2013, a study investigated lidocaine infusions during 116 patients’ complex spine procedures. The trial foundthat lidocaine infusions significantly improved pain scores from 5.5 to 4.4 on an 11-point Likert scale. Patients
receiving lidocaine had significantly greater SF-12 physical composite scores than placebo at 1 (38 [31–47]
versus 33 [27–42]; P = 0.002) and three months (39 [31–49] versus 34 [28–44]; P = 0.04) postoperatively57. This
perceived gain may highlight the potential for long term benefits from lidocaine infusions. Another study in 2013
also demonstrated a positive effect in spinal surgery. Their study of 55 patients undergoing lumbar disk operations
found significantly reduced reported pain over the first 24 hours and reduced PCA bolus requests in the lidocainegroup (18.2, 95 per cent CI: 8.32 to 28.09)58. However, in April 2017, a further trial contradicted these findings
when they published a study in 70 patients undergoing posterior spinal arthrodesis where no effect on pain nor
function of perioperative lidocaine with a regime lasting six hours after surgery was demonstrated59.
As part of an opioid-free regime
There are a number of potential benefits to carrying out general anaesthesia without opioids. It has beentheorised that an opioid-free anaesthetic may result in benefits in surgery for the obese (both bariatric andnon-bariatric surgery), cancer surgery, surgery for those with sleep disordered breathing and surgery for thosewith a history of severe postoperative nausea and vomiting (particularly when opioids have been demonstrated
as the likely culprit). Of the studies that have explored the benefits of opioid free anaesthesia in obese patients,
both have achieved it with a regime that involves a lidocaine infusion60,61. Neither of these studies were designed
to show a benefit in clinical endpoints but they did both show significant opioid-sparing effects.

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THE PRACTICALITIES OF LIDOCAINE INFUSIONS FOR PERIOPERATIVE ANALGESIA
Dose
Of the trials available to date, the great majority and all of those that were analysed in the above meta-analyses
were conducted with a bolus dose of 1-3 mg/kg and an infusion between 1 mg/kg/h and 4 mg/kg/h intraoperatively(40 of the 45 studies analysed were between 1.5 mg/kg/h and 2.5 mg/kg/h). Kranke et al divided the studies
into those randomised control trials where the patients were given a lidocaine infusion rate of less than 2mg/
kilogram/hour (low dose) and those greater than or equal to 2 mg/kilogram/hour and compared them both,
independently, with controls. The high dose groups’ mean score at early (one to four hours) and intermediate(24 hours) time points were both statistically significantly reduced but the low dose group were statisticallysignificant in neither37. The most common regime, that of a 1.5 mg/kilogram bolus and a 2 mg/kg/h infusion,
was investigated by Kaba et al with regards to its safety by measuring plasma levels as various intervals
throughout the perioperative period during laparoscopic colectomies. Of their 15 patients, the highest
concentration reached was 4.6 mcg/mL which was recorded after a 24-hour infusion of 1.33 mg/kg/h following
the above intraoperative dosing strategy45. Despite the uncertainty that exists due to the paucity of human trials
in local anaesthetic toxicity, it is thought the mild negative effects of lidocaine are likely to occur at plasma
concentrations greater than 5 mcg/mL with seizures only likely once it is above 10 mcg/mL and significantly
higher concentrations are required to cause life threatening cardiovascular collapse7. None of the studies inany of the meta-analyses outlined above identified any issues with local anaesthetic toxicity.
TimingIn 2016, Kahn et al performed a comparative meta-analysis to establish an appropriate end time for an
intraoperative intravenous lidocaine infusion in bowel surgery. Three studies (n=160) were identified that used
an intraoperative infusion only, and four (n=202) used both an intraoperative and a postoperative continued
infusion. The analysis did not show a statistically significant difference in pain scores between the two. They
failed to comment on opioid dosing during this period and as the individual trials had access to on demand
opioid medication, the failure to find a decreased pain score carries questionable significance62. This is an areathat merits further research input given the challenges, both practically and in terms of safety, that continuing
a 24-hour infusion is likely to create relative to just an intraoperative infusion.
In combination with regional anaesthesia
The majority of the small studies to date either did not include or did not mention regional anaesthesia techniquesin their study. If a clinician is performing regional techniques at the outset of surgery and a lidocaine infusionis planned, a clinician is right to be concerned about the potential for local anaesthetic toxicity. We know fromearly studies in monkeys63 that the toxicity of two amide local analgesics are additive not synergistic. We also
know from Kaba’s study that the maximum level in patients is likely to be about 4 mcg/mL at the point at which
the regional technique local anaesthetic has produced its peak45. From this, a cautious approach may be to
reduce the regional dose by 40 per cent to be confident toxicity was not likely to occur intraoperatively (at alevel similar to 10 micrograms/millilitre of lidocaine). If a regional technique, such as a rectus sheath block, wasto be performed at the end of the case, it is likely to reach its peak concentration at about 45 minutes post
injection64. Given that lidocaine has a terminal half-life of about 90 minutes7 and if an infusion is stopped at thetime of the injection, there is little concern that local anaesthetic toxicity is likely to occur if maximum doses of
local anaesthetic are adhered to. A dose reduction in the local anaesthetic agent used for the block would besensible if an ongoing infusion was planned although by how much is yet to be defined, especially given thata patient may experience negative psychological effects at lower doses which may not present an issue
intraoperatively.
A study by Brydone et al examined 28 patients undergoing total knee arthroplasty to all of whom 400 mg(200 mL of 0.2 per cent) Ropivacaine followed by 20 mg per hour for 24 hours thereafter, was administered.
For some this equated to a dose of greater than 6 mg/kg in the bolus alone. No patients exceeded the toxic
threshold for free plasma ropivacaine in this study and no mild local anaesthetic toxicity was noted65. It is unlikelythat the addition of a lidocaine infusion will contribute to serious toxicity however there is very little evidence
available to confirm or indeed refute this assertion.
The combination of lidocaine administered solely intraoperatively to reduce hyperalgesia and inflammation,
followed by regional techniques at the incision sites (or nebulised via the ports in laparoscopic surgery) seems
one possible pragmatic solution albeit admittedly unproven. A lidocaine infusion or regional anaesthesia catheter
infusion could then be commenced in recovery after an hour (at which point the concentration of the initialregional bolus will have already peaked) and the patient should be closely monitored for at least another hourin recovery before moving to a ward. The strategy of lidocaine infusions combined with regional catheter
infusions, both running on the ward, would need significant dose reduction versus conventional doses before
safety could be assumed.
Special patient groups
There are a number of both strong and relative contraindications that exist to lidocaine infusions. The half-lifeof lidocaine in those with liver failure averages 343 minutes and in those with heart failure it is extended to 136
minutes. Lidocaine infusions should be avoided in those with end stage renal failure, symptomatic heart failure

Lidocaine infusions: The golden ticket in postoperative recovery? 191or anybody with a reduced level of consciousness. Anyone who may have vulnerability in their electrophysiology
should have the potential for complications considered, including those who have suffered a recent myocardial
infarction. Although there is uncertainty surrounding vulnerability of epileptic patients to central nervous systemadverse effects of local anaesthetics, it also seems logical to consider its use in these patients. It is thought tobe probably porphyrinogenic and should only be used on patients with acute porphyria where there are strongor urgent indications66.
Monitoring
If the patient is to receive an intraoperative infusion, inevitably by modern standards, monitoring will include
an ECG and regular blood pressure measurements until they are to leave PACU. The chance of significant
arrhythmias going unnoticed in this period is therefore minimised. As the infusion is ceased at the end of surgery,the plasma lidocaine levels will drop and subsequent complications on the ward are highly unlikely.
In the event that lidocaine is to be continued on the ward, the question is often raised whether ongoingcardiovascular monitoring is required. Given the large window that exists between the initial symptoms of local
anaesthetic toxicity and its potential harmful effects, sudden onset of seizures or cardiovascular collapse areunlikely to occur especially without preceding signs or symptoms when a steady state infusion is used. The
infusions should therefore be reserved for those without cognitive deficit or communication difficulties andnursing staff should be aware of early features of toxicity, and formal protocols should be in place to advise
them on a course of action should each occur. If we were to monitor every patient in a critical care setting withongoing ECG monitoring, we risk wasting valuable resources on something not shown to represent a significant
problem.
Of the recent studies using prolonged infusions (>24 hours), two measured levels and found a peak was reachedslowly at 24 hours45,55. The maximum value in both was 4.96 micrograms/millilitre (The patient was asymptomatic).
Of the four studies that examined postoperative infusions, only one included 24-hour ECG monitoring (and nochanges were noted)45,50,52,55. The rest took place on the ward with nurses monitoring clinical signs only. No
symptoms nor signs of local anaesthetic toxicity were noted. These studies included 120 patients in the lidocainegroups.
In a study of 49 patients with Complex Regional Pain Syndrome, each were given infusions of 1 mg/minute oflidocaine which was titrated upwards to achieve a plasma level of 5 mcg/mL on daily sampling, for five days.
Eight had mild side effects, one had an unspecified atrial arrhythmia all of which occurred after 24 hours andat rates significantly greater than 120 mg/hour of lidocaine67.
Eipe et al have published a detailed review of this topic, where they detail their experience in the Ottawa hospital.
They provide an example of their policies with on-ward infusions and report excellent safety profile with use of
the drug in the ward environment. An audit of 169 patients receiving 0.5 to 2 mg/kg/min showed only six patients
had minor side effects (In four the infusion was continued at a lower dose), all of which were easily detectedby the ward nurses.
Given that levels above 5 mcg/mL is thought to be the point at which mild symptoms become apparent, andno patients in the perioperative period have achieved these levels when measured, there is little to suggest
ongoing monitoring is required as long as patients are well selected, nurses are educated in when to call forhelp and infusion systems are robust and tamper-proof. In fact, the window of safety for lidocaine appears tobe significantly wider than that of opioid based patient controlled analgesia, a common postoperative ward
based treatment regime.
THE BIG QUESTIONS IN ANAESTHESIA – CANCER AND CHRONIC PAIN PREVENTION
Cancer
The influence that the anaesthetist can have on cancer recurrence following surgery is a current topic of muchdiscussion, particularly the way in which different anaesthetic agents interact with the cellular immune system
and influence long-term outcome. In a human tongue model, lidocaine has been demonstrated to have a direct
inhibitory effect on the EGF receptor resulting in tumour cell proliferation inhibition at clinical concentrations68.
It is also apparent that opioids suppress postoperative natural killer cell cytotoxicity, a process essential for
defences against malignant cells. This has been demonstrated in a dose dependent fashion therefore if lidocaine
infusions were to limit opioid use, this could further their anti-cancer effects69. The fact that studies havedemonstrated improved function in these defences with lidocaine administration, shows promise70,71. It is alsoof great interest that voltage gated sodium channel blockade of cancer cell membranes have been shown tolimit metastatic processes in vitro69.
There is growing evidence, albeit far from compelling, to support regional anaesthesia in cancer surgery. Whether
this relates to the nerve block itself or the result of local anaesthetic entering the systemic circulation is yet to
be seen. Studies investigating the recurrence of cancer in those receiving intravenous intraoperative lidocaine
would require significant recruitment but could potentially reveal a significant mortality advantage.

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Chronic post-surgical pain prevention
Four recent studies have investigated the effects of lidocaine infusions in breast surgery and uniquely all included
an analysis of CPSP. The first group to test this, Grigoras et al (n=36), at three months, found two (11.8 percent) patients had persistent postoperative pain in the lidocaine group, versus nine (47.4 per cent) in the control
group (p=0.031). This study looked at secondary hyperalgesia by measuring the area of hyperalgesia anddividing it by the length of the incision. At three months, they found hyperalgesia to be significantly less in thelidocaine group compared with the control group (0.2+/-0.8 versus 3.2+/- 4.5 cm, p=0.002)72. Terkawi et alattempted to answer the same question in 2015 and again found no statistical differences in the acute setting.
When the same group performed telephone follow ups on these patients after six postoperative months, of the
61 (out of 71 original patients) that responded, 8/27 (30 per cent) in the placebo group and 4/34 (12 per cent)in the lidocaine group had developed persistent post-surgical pain (p=0.013)73,74. In 2017, a third small study
was performed which resulted in similar findings, reducing the risk of chronic pain by 50 per cent in a similarsubset (n=42 in the lidocaine arm)75. Recently, the importance of these findings has been questioned by a group
who studied not just chronic pain as a simple dichotomous endpoint but also the presence of chronic pain thatis significant according to the Initiative on Methods, Measurement, and Pain Assessment in Clinical Trials(IMMPACT) criteria. The patients who answered yes to having chronic pain at six months were similar in frequency
to those other trials outlined above, however those who were deemed to have significant pain, according to
the IMMPACT criteria, had a far lower incidence76. The study did not identify a risk reduction in those 121
patients treated intraoperatively with lidocaine infusions who were successfully followed up when these criteria
were considered.
One recent study in robotic thyroid surgery compared lidocaine and placebo infusions. Their conclusion wasthat CPSP was more prevalent in the control group (16/43) versus the lidocaine group (6/41, p=0.025)77.
Perioperative ketamine as a strategy to reduce CPSP has been studied extensively, particularly in small
randomised control trials. The ANZCA Clinical Trials Network has recently set out a plan to investigate thepresence and extent of this preventative analgesia in the ROCKET trial which has received an award of $A4.8
million from the NHMRC. Interestingly, when ketamine and lidocaine were studied separately within the same
trial in open nephrectomy patients, it was lidocaine and not ketamine that was found to have the most significant
effect on the prevention of CPSP78.
These are small studies demonstrating promise in the area of chronic pain development post surgery. If this
could be replicated in a bigger multicentre trial, it could have a significant impact on a large number of individuals
in whom persistent post-surgical pain is a major issue and could go some way to showing the potential of
lidocaine infusions as part of the “holy grail” of CPSP79 prevention.
CONCLUSION
Perioperative intravenous lidocaine administration is a field that has been extensively explored in a number ofsmall randomised control trials and subsequent meta-analyses. Its anti-inflammatory, anti-hyperalgesic andanalgesic properties result in improved perioperative outcomes albeit with great heterogeneity in effect size.
More small trials and meta-analyses in this area are unlikely to help us form clear conclusions. A large, multicentred randomised control trial is the only sensible next step that will help us decide whether lidocaine
intravenously is an exercise in futlilty or a golden ticket in an area in which opioids are currently proving imperfect.
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29. Devor M, Wall PD, Catalan N. Systemic lidocaine silences ectopic neuroma and DRG discharge without blocking nerve
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30. Kurabe M, Furue H, Kohno T. Intravenous administration of lidocaine directly acts on spinal dorsal horn and produces
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35. Vigneault L, Turgeon AF, Côté D, Lauzier F, Zarychanski R, Moore L, et al. Perioperative intravenous lidocaine infusion for
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36. Sun Y, Li T, Wang N, Yun Y, Gan TJ. Perioperative systemic lidocaine for postoperative analgesia and recovery after
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39. Sivakumar H, Peyton PJ. Poor agreement in significant findings between meta-analyses and subsequent large randomized
trials in perioperative medicine. Br J Anaesth. 2016;117(4):431–441.
40. Bryson GL, Charapov I, Krolczyk G, Taljaard M, Reid D. Intravenous lidocaine does not reduce length of hospital stayfollowing abdominal hysterectomy. Can J Anaesth. 2010;57(8):759–766.
41. Grady P, Clark N, Lenahan J, Oudekerk C, Hawkins R, Nezat G, et al. Effect of intraoperative intravenous lidocaine on
postoperative pain and return of bowel function after laparoscopic abdominal gynecologic procedures. AANA J.
2012;80(4):282–288.
42. Herroeder S, Pecher S, Schonherr ME, Kaulitz G, Hahnenkamp K, Friess H, et al. Systemic lidocaine shortens length of
hospital stay after colorectal surgery: a double-blinded, randomized, placebo-controlled trial. Ann Surg. 2007;246(2):192–
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43. Koppert W, Weigand M, Neumann F, Sittl R, Schuettler J, Schmelz M, et al. Perioperative intravenous lidocaine has
preventive effects on postoperative pain and morphine consumption after major abdominal surgery. Anesth Analg.
2004;98(4):1050–1055.
44. Kuo CP, Jao SW, Chen KM, Wong CS, Yeh CC, Sheen MJ, et al. Comparison of the effects of thoracic epidural analgesia
and i.v. infusion with lidocaine on cytokine response, postoperative pain and bowel function in patients undergoingcolonic surgery. Br J Anaesth. 2006;97(5):640–646.
45. Kaba A, Laurent SR, Detroz BJ, Sessler DI, Durieux ME, Lamy ML, et al. Intravenous lidocaine infusion facilitates acuterehabilitation after laparoscopic colectomy. Anesthesiology. 2007;106(1):11–18; discussion 5–6.
46. Kim JE, Choi JB, Koo BN, Jeong HW, Lee BH, Kim SY. Efficacy of intravenous lidocaine during endoscopic submucosal
dissection for gastric neoplasm: a randomized, double-blind, controlled study. Medicine. 2016;95(18):e3593.
47. Kim TH, Kang H, Choi YS, Park JM, Chi KC, Shin HY, et al. Pre- and intraoperative lidocaine injection for preemptive
analgesics in laparoscopic gastrectomy: a prospective, randomized, double-blind, placebo-controlled study. J
Laparoendosc Adv Surg Tech A. 2013;23(8):663–668.
48. Lauwick S, Kim DJ, Mistraletti G, Carli F. Functional walking capacity as an outcome measure of laparoscopic
prostatectomy: the effect of lidocaine infusion. BrJ Anaesth. 2009;103(2):213–219.
49. Saadawy IM, Kaki AM, Abd El Latif AA, Abd-Elmaksoud AM, Tolba OM. Lidocaine vs. magnesium: effect on analgesia
after a laparoscopic cholecystectomy. Acta Anaesthesiol Scand. 2010;54(5):549–556.
50. Tikuišis R, Miliauskas P, Samalavičius NE, Žurauskas A, Samalavičius R, Zabulis V. Intravenous lidocaine for postoperative pain relief after hand-assisted laparoscopic colon surgery: a randomized, placebo-controlled clinical trial. TechColoproctol. 2014;18(4):373–380.
51. Wu CT, Borel CO, Lee MS, Yu JC, Liou HS, Yi HD, et al. The interaction effect of perioperative cotreatment withdextromethorphan and intravenous lidocaine on pain relief and recovery of bowel function after laparoscopiccholecystectomy. Anesth Analg. 2005;100(2):448–453.
52. Wuethrich PY, Romero J, Burkhard FC, Curatolo M. No benefit from perioperative intravenous lidocaine in laparoscopic
renal surgery: a randomised, placebo-controlled study. Eur J Anaesthesiol. 2012;29(11):537–543.
53. Su N, Liu Y, Yang X, Shi Z, Huang Y. Efficacy and safety of mepivacaine compared with lidocaine in local anaesthesia in
dentistry: a meta-analysis of randomised controlled trials. Int Dent J. 2014;64(2):96–107.
54. Groudine SB, Fisher HA, Kaufman RP Jr, Patel MK, Wilkins LJ, Mehta SA, et al. Intravenous lidocaine speeds the returnof bowel function, decreases postoperative pain, and shortens hospital stay in patients undergoing radical retropubic
prostatectomy. Anesth Analg. 1998;86(2):235–239.
55. Weinberg L, Rachbuch C, Ting S, Howard W, Yeomans M, Gordon I, et al. A randomised controlled trial of peri-operative
lidocaine infusions for open radical prostatectomy. Anaesthesia. 2016;71(4):405–410.
56. Martin F, Cherif K, Gentili ME, Enel D, Abe E, Alvarez JC, et al. Lack of impact of intravenous lidocaine on analgesia,
functional recovery, and nociceptive pain threshold after total hip arthroplasty. Anesthesiology. 2008;109(1):118–123.
57. Farag E, Ghobrial M, Sessler DI, Dalton JE, Liu J, Lee JH, et al. Effect of perioperative intravenous lidocaine administration
on pain, opioid consumption, and quality of life after complex spine surgery. Anesthesiology. 2013;119(4):932–940.
58. Kim KT, Cho DC, Sung JK, Kim YB, Kang H, Song KS, et al. Intraoperative systemic infusion of lidocaine reduces
postoperative pain after lumbar surgery: a double-blinded, randomized, placebo-controlled clinical trial. Spine J.
2014;14(8):1559–1566.
59. Dewinter G, Moens P, Fieuws S, Vanaudenaerde B, Van de Velde M, Rex S. Systemic lidocaine fails to improve
postoperative morphine consumption, postoperative recovery and quality of life in patients undergoing posterior spinal
arthrodesis: a double-blind, randomized, placebo-controlled trial. Br J Anaesth. 2017;118(4):576–585.
60. Halls ML, Yeatman HR, Nowell CJ, Thompson GL, Gondin AB, Civciristov S, et al. Plasma membrane localization of the
μ-opioid receptor controls spatiotemporal signaling. Sci Signal. 2016;9(414):ra16.
61. Bakan M, Umutoglu T, Topuz U, Uysal H, Bayram M, Kadioglu H, et al. Opioid-free total intravenous anesthesia withpropofol, dexmedetomidine and lidocaine infusions for laparoscopic cholecystectomy: a prospective, randomized,
double-blinded study. Braz J Anesthesiol. 2015;65(3):191–199.
62. Amatya B, Elmalik A, Lowe M, Khan F. Evaluation of the structured bowel management program in inpatient rehabilitation:a prospective study. Disabil Rehabil. 2016;38(6):544–551.
63. Wear JB Jr, Crummy AB, Munson BO. A new approach to the treatment of priapism. J Urol. 1977;117(2):252–254.
64. Wada M, Kitayama M, Hashimoto H, Kudo T, Kudo M, Takada N, et al. Brief reports: plasma ropivacaine concentrations
after ultrasound-guided rectus sheath block in patients undergoing lower abdominal surgery. Anesth Analg.
2012;114(1):230–232.
65. Brydone AS, Souvatzoglou R, Abbas M, Watson DG, McDonald DA, Gill AM. Ropivacaine plasma levels following highdose local infiltration analgesia for total knee arthroplasty. Anaesthesia. 2015;70(7):784–790.
66. Medsafe. New Zealand Data Sheet - Lidocaine-Claris 2017. From: http://www.medsafe.govt.nz/profs/Datasheet/l/
lidocaineclarisinj.pdf. Accessed 2 October 2017.
67. Schwartzman RJ, Patel M, Grothusen JR, Alexander GM. Efficacy of five-day continuous lidocaine infusion for thetreatment of refractory complex regional pain syndrome. Pain Med. 2009;10(2):401–412.
68. Sakaguchi M, Kuroda Y, Hirose M. The antiproliferative effect of lidocaine on human tongue cancer cells with inhibition of
the activity of epidermal growth factor receptor. Anesth Analg. 2006;102(4):1103–1107.
69. Park JJ, Lang CC, Manson L, Brackenbury ET. Aortic valve replacement in a Jehovah’s Witness: a case of multi-disciplinary
clinical management for bloodless surgery. BMJ Case Rep. 2012;2012:bcr1220115403.
70. Wang HL, Liu YY, Yan HD, Wang XS, Huang R, Lei WF. Intraoperative systemic lidocaine inhibits the expression of HMGB1
in patients undergoing radical hysterectomy. Int J Clin Exp Med. 2014;7(10):3398–3403.
71. Ramirez MF, Tran P, Cata JP. The effect of clinically therapeutic plasma concentrations of lidocaine on natural killer cell
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72. Grigoras A, Lee P, Sattar F, Shorten G. Perioperative intravenous lidocaine decreases the incidence of persistent pain after
breast surgery. Clin J Pain. 2012;28(7):567–572.
73. Terkawi AS, Durieux ME, Gottschalk A, Brenin D, Tiouririne M. Effect of intravenous lidocaine on postoperative recoveryof patients undergoing mastectomy: a double-blind, placebo-controlled randomized trial. Reg Anesth Pain Med.
2014;39(6):472–477.
74. Terkawi AS, Sharma S, Durieux ME, Thammishetti S, Brenin D, Tiouririne M. Perioperative lidocaine infusion reduces theincidence of post-mastectomy chronic pain: a double-blind, placebo-controlled randomized trial. Pain Physician.
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75. Kim MH, Lee KY, Park S, Kim SI, Park HS, Yoo YC. Effects of systemic lidocaine versus magnesium administration on
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randomized, double-blind, comparative clinical trial. PloS One. 2017;12(3):e0173026.
76. Kendall MC, McCarthy RJ, Panaro S, Goodwin E, Bialek JM, Nader A, et al. The effect of intraoperative systemic lidocaine
on postoperative persistent pain using IMMPACT criteria assessment following breast cancer surgery: a randomized,
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78. Jendoubi A, Naceur IB, Bouzouita A, Trifa M, Ghedira S, Chebil M, et al. A comparison between intravenous lidocaine andketamine on acute and chronic pain after open nephrectomy: a prospective, double-blind, randomized, placebo-controlled
study. Saudi J Anaesth. 2017;11(2):177–184.
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Anesthesiology. 2013;118(2):241–243.

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Caution with ketamine
DAVID A JARVIS, BSc, BMedSci(Hons), MBBS, FFARCS, FANZCA

Clinical Lecturer, Discipline of Acute Care Medicine, School of Medicine, The University of Adelaide and Senior
Staff Specialist, Department of Anaesthesia, Pain and Hyperbaric Medicine, Royal Adelaide Hospital.
Dr Jarvis is a Senior Staff Specialist in Anaesthesia at the Royal Adelaide Hospital. Besides his anaesthetic
duties he has had a direct role in the hospital‘s Acute Pain Service almost since its inception in 1989. Prior tothat he was an Acting Assistant Professor in Anesthesia at Stanford University Hospital in Palo Alto, California,
where he participated in the early phase of their acute post-operative pain service. He is very familiar with the
problems of treating post-operative pain, especially in opioid tolerant patients and those with chronic pain.
INTRODUCTION
Ketamine, traditionally used as a single anaesthetic agent in battlefield and disaster situations, has recently
seen increasing interest and use in other fields. These include in pain management: to reduce opioid use andtolerance; to improve post operative analgesia; to reduce neuropathic pain symptoms acutely and possibly
chronically, and in palliative cancer pain management1. It is also being trialled in psychiatry to reduce suicidal
ideation in depression and in post traumatic stress disorder1,2. There has also been a large increase in its
traditional use for procedural analgesia and sedation by emergency physicians and first aid personnel3.
A body of literature comprised of both studies and meta-analyses has provided mixed results on the efficacyof the drug to achieve these goals4-7, and there are as yet no clear guides on what doses and durations ofadministration are optimal, and whether any treatment effects are sustained. What is often not appreciated, oris underplayed, is that ketamine, given with the best of intentions to benefit the patient, may cause in some asignificant dysphoric experience, and for a few, the most terrifying and frightening experience of their life, oftenwith an impending sense of death. That ketamine has the potential to cause dysphoria, variously referred to as
psychotomimetic, psychodysleptic or psychedelic phenomena, which may be similar to symptoms ofschizophrenia, as well as hallucinations and mood changes, has been well known since the original studies ofthe drug, known early as CI-5818. The severity of these disturbing neuropsychiatric phenomena are unlikely tobe recognised at the time of administration as there are no physical outward indicators, nor, when higher doses
are given, are the patients able to express these at the time: the effect of the drug appears to be all that thephysician desires in that the patient lies still and does not complain, keeps breathing and maintains a stable(possibly elevated) blood pressure. It is only by interviewing the patients later that they can describe and expresswith vivid clarity the disturbing and sometimes terrifying experience that the drug induces which they are unable
to articulate at the time. These effects can be so severe that some patients described never wanting to havethe drug again.
The main purpose of this article is to draw attention to two aspects of ketamine pharmacology: 1) it can exert
analgesic efficacy at very low doses; 2) the potential for dysphoria. Although the latter are usually most severe
with intravenous (IV) bolus administration, they may also occur at low plasma levels of the drug in some patients,
as close scrutiny of studies which include assessing these effects reveal. A second note of caution relates to
its potential for abuse in patients with drug dependency.
KETAMINE: A DISSOCIATIVE ANAESTHETIC WITH ABUSE POTENTIAL
The pharmacology of ketamine is complex9. Ketamine is related to phencyclidine (trade name Sernyl), its
precursor, which was eventually withdrawn as an anaesthetic drug due to the severity of its psychotomimetic
effects. The efficacy of ketamine to induce similar effects should not be discounted: it has become a major
drug of abuse for those seeking its mind and mood altering effects. In an excellent review undertaken by theAdvisory Council on the Misuse of Drugs (UK), besides the pharmacology and potential toxicity of the drug,
the acute psychological effects are described: “At low doses, ketamine induces distortion of time and space,hallucinations and mild dissociative effects. At large doses, ketamine induces more severe dissociation commonlyreferred to as a ‘K-hole’, wherein the user experiences intense detachment to the point that their perceptions
appear completely divorced from their previous reality. This is a desired effect for some users, but for others it
can be an unpleasant and frightening experience10.” It is instructive to read a description of the first clinicalstudies of ketamine by Corssen and Domino, for it is here they first termed it a “dissociative anaesthetic”8. They
noted that:“phencyclidine related drugs do not produce true sensory blockade.” ....“These and previous studies
recording visual and somesthetic evoked potentials appear to indicate that sensory input may reach corticalreceiving areas but fail to be perceived in some of the association areas because these are depressed. This
interference in proper association of afferent impulses results in ‘dissociation’. It is therefore suggested
that the state induced by CI-581 be called ‘dissociative anesthesia’.”
Much of the discussion in Corssen and Domino’s article8 relates to the difference, compared to conventional
anaesthetic drugs, in the anaesthetic state induced by ketamine, “a state resembling catalepsy”, and of thepsychotomimetic reactions, described by them as emergence delirium and awakening phase hallucinations:

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“Some of the adult patients had vivid dreams or frank hallucinations during the awakening phase. Some
described the dreams as amusing and pleasant, others considered them frightening. As a rule, such dreaming
episodes lasted from 5 to 15 minutes, after which the patient promptly returned to reality and became clear
and coordinated. The dreams frequently involved outer space. Two patients, both middle-aged, showedsigns of schizoid behavior during awakening. Both experienced travelling in outer space and thought thatthey had died and were flying to hell.”
DISTURBING DESCRIPTIONS OF KETAMINE INDUCED DYSPHORIA
But is it possible that this “dreaming” occurs not just during emergence? It is known that the electroencephalographic
effects of ketamine are very different from conventional anaesthetics, and that the bispectral index, used toindicate depth of anaesthesia induced by volatile agents and propofol, may not decrease, but increase, under
the influence of ketamine11. This may indicate ongoing cortical activity, as evidenced by the following descriptionof the dysphoria from ketamine as experienced by a patient. This account was recorded in the context of thepatient being offered a low dose ketamine infusion for post operative analgesia three days after his injury. The
patient, a healthy 26 year old male who sustained a fractured femur following a fall from a motorbike, without
other injuries or loss of consciousness, distinctly remembered two dysphoric episodes at the time of his retrieval.
He was given 10 mg morphine IV followed by two separate 50 mg IV bolus doses of ketamine four minutes
apart to enable straightening of his leg prior to transport to hospital.
“As I was given the ketamine I slowly lost my grip with reality with no way to communicate with theparamedics. I was just along for the ride and petrified. I was completely paralysed but could hear everything
happening around me but being unable to communicate led me to believe I was dead. Absolutely horrible
feeling. I felt like my conscience was just on a loop and I was stuck in a bad trip just waiting for everything
to be over and go black. Several times I felt like I was being folded into a small cube to just disappear andthen a big white flash and back to the start. The ketamine experience was much worse in itself than any
pain I felt at any point and (I) highly suggest that doses like that are not given as no one should have to feelthat sense of helplessness and pure terror ever in their life!!!”He remembered being able to hear, and felt unable to move, but did not feel pain from his leg manipulations.
It is clear that he was far from comfortable. Not all patients suffer such severe dysphoria. Some have no memoryof any dreams or hallucinations; some may even find it pleasant; others are unable to give a description as it
is so alien to any ordinary conscious experience. Many staff think that by telling the patient that everything is
alright will allay their anxiety3, but this is misconceived. The following is a description of the effect of a 50 mg
IV bolus dose of ketamine given in the emergency department to facilitate the reduction of a dislocated shoulder.
The patient, a 60 year old female, had also sustained a fractured pelvis in a cycling accident but no head injury,
and had been given a penthrox® (methoxyflurane) inhaler and a total of 270 micrograms IV fentanyl by ambulance
staff prior to hospitalisation.
“The experience was alarming in the sense that I was able to converse with and see the staff treating me
and yet I’d been transferred to another dimension.. the fourth dimension, straight out of the movie Interstellar.
The room was psychedelic, the staff had auras and I was convinced my brain had been permanently
changed by a drug. Being reassured by the staff that it was a normal response and would wear off, failed
to stop my anxiety. I was convinced that those treating me were not yet aware of their mistake. I actively
contemplated whether I could work and drive with the special effects, how difficult would it be to hide thebrain dysfunction and how many appointments with neurologists would it take to be diagnosed. My
experience reflected that of fellow patients in the rehabilitation hospital with the consensus being to avoid
the Special K world whenever possible.”(Special K is a slang term for ketamine. The reduction was unsuccessful, as ketamine increases muscle tone,
described in the initial studies8).
LOW DOSE KETAMINE
Emergency physicians often administer sub-anaesthetic or “low dose” IV bolus doses of ketamine in the range
of approximately 0.1-0.3 mg/kg, instead of 1.0-2.0 mg/kg traditionally used for anaesthesia. They report its
effectiveness as an analgesic, its opioid sparing effect and its physical safety3. But such retrospective reports
are unlikely to detect the real incidence and severity of the dysphoric effects, unless they were specificallyassessed and recorded at the time. Ahern et al3 reported a 3.5 per cent incidence of dysphoric reactions, anddeemed most of them mild and transient, whereas a prospective placebo controlled study by Galinski et al
recorded a much higher incidence12. In this trial the ketamine group received 0.2 mg/kg IV bolus, the otherplacebo, both given IV 3 mg morphine five minutely as required. They reported reduced morphine requirementsin the ketamine group, but no significant difference in the pain relief and net patient satisfaction between thegroups. There was a much higher incidence of adverse neurophysiological effects in the ketamine group,
including dysphoria, six out of 33, and hallucinations, four out of 33, with only one out of 32 in the placebogroup reporting dysphoria.

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More comprehensive recent studies by emergency staff have compared low dose ketamine infusions to IVbolus and have measured not only the incidence but also the severity of the dysphoric effects using the Side
Effects Rating Scale for Dissociative Anesthetics (SERSDA), based on work done by Eide et al13. This gives azero to four rating for nine symptoms: fatigue, dizziness, headache, unreality, hearing, vision, mood change,
discomfort and hallucination. Motov et al’s prospective, randomised, double-dummy study comparing the samedose, 0.3 mg/kg, by IV push over 5 minutes to IV infusion over 15 minutes showed that the analgesic efficacy
over 15 minutes was comparable, but the infusion group had a far lower rate of feelings of unreality, 54 percent versus 92 per cent for the push group14. There was also a marked difference in the severity of the feelingof unreality at 5 minutes: 46 per cent with the most severe rating of 4 in the IV push group versus 17 per centin the infusion group. Although there was no statistical difference in the median score for unreality at 15 minutes,
their box and whisker plot reproduced in figure 1 shows that some patients in both groups still scored it as
severe.
Figure 1. Severity of feeling of unreality (according to SERSDA severity score). Reproduced withpermission from Motov S et al, American Journal of Emergency Medicine 35(8):1095–1100, 2017.
Copyright © 2017 Elsevier Inc

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EFFECTS OF KETAMINE: RELATION TO DOSE
The anaesthesia induced by bolus IV ketamine in the range of 1.0-2.0 mg/kg is of rapid onset but only lasts
from five to eight minutes, with the longer times for the elderly and very young8. This is readily explained byketamine’s high lipid solubility, rapid brain penetration and rapid redistribution, as revealed in pharmacokinetic
studies by Clements and Nimmo15 and Domino et al16. In early studies of patients given larger doses of ketamine,
conscious responses returned when plasma concentrations were in the range 700-1120 ng/ml after an initial
2.2 mg/kg IV bolus16,17, and when plasma levels were below 640 ng/ml after an IV infusion was ceased18. The
analgesic effects of smaller doses of 0.125 mg/kg and 0.25 mg/kg in volunteers were almost immediate, butlasted less than 5 and 10 minutes respectively: Clements and Nimmo estimated that the analgesic effects ofketamine were present when the plasma concentrations were as low as 100 ng/ml15. There is evidence thatketamine in “very low” doses, given by infusion at the rate of 1 mg/kg/24 h, can still provide significant analgesic
effects, especially in opioid tolerant patients19. Weinbroum has shown that in many patients a single IV dose of
0.25 mg/kg ketamine combined with 0.015 mg/kg morphine in the post-anaesthesia care unit had an almost
immediate onset and long lasting effect that exceeded two hours, in the context of patients who still had severe
pain despite more than 0.1 mg/kg morphine in the preceding 30 minutes after surgery20. These observations
suggest that extremely low plasma levels of ketamine, especially in opioid tolerant patients or those with opioid
resistant pain, have the potential to be efficacious. Whether Weinbroum would have observed similar resultswith lower doses remains to be studied. Bell et al have conducted a systematic review of perioperative ketamine,given by various routes and at various times, to assess its effectiveness and adverse effects in the treatmentof post-operative pain6. They concluded that in 27 of 37 trials it was beneficial, in 10 it was not. Overall adverse
effects were either mild or absent: in 21 of 27 trials there were no reports of dysphoric effects, bad dreams or
hallucinations, but in four trials there were reports of such effects. In the trial by Burstal et al using patient
controlled analgesia (PCA) post abdominal hysterectomy, the control group had 1 mg bolus morphine and the
ketamine group received 1 mg morphine plus 2 mg ketamine PCA bolus: 10 patients of 37 in the ketaminegroup withdrew prematurely from the trial due to adverse side effects, four of these stating dysphoria as thecause, compared to 1 of 33 withdrawing in the control group due to nausea. They did not report any significant
difference in pain scores, morphine consumption, nausea scores or even patient satisfaction21. Bell et alattempted to estimate from the trials if ketamine exerted a dose related effect, and concluded: “Interestingly
there seemed to be no increased morphine sparing effect on increasing the ketamine dose above an estimateddose of 30 mg/24 hours”6. Thus although the use of ketamine is not always efficacious, there may be little
advantage in using higher doses for effect: 30 mg/24 hours for an average adult would place the dose in the“very low” dose range used in cases reported by Bell19. Other controlled studies have shown beneficial effects
of ketamine for post operative pain relief when given by infusion for 24 hours at the low rate of 2 microgram/
kg/h, albeit preceded by a bolus dose either after induction of anaesthesia, 0.2 mg/kg22, or immediately postoperatively, 0.5 mg/kg23.
The relationship between low doses of ketamine and its psychic effects has been studied by Bowdle et al24 in
10 young healthy male volunteers using a target controlled infusion to achieve steady target blood levels. They
used pharmacokinetic parameters derived from 2.2 mg/kg IV bolus doses in eight male volunteers16. Target
levels of 0, 50, 100, 150 and 200 ng/ml were maintained for 30 minutes each, and subjects asked to give avisual analogue scale (VAS) rating to each of 13 descriptors of the mental experience 20 minutes into each level
period. The conclusion was that even in these very low doses ketamine produces psychedelic effects strongly
correlated with doses above 50 ng/ml for all 13 descriptors, with the average VAS score at the target 200 ng/ml
being highest for the “HIGH”(111), “SURROUNDINGS”(87), “TIME”(84) and “UNREALITY”(79) descriptors.
Close examination of their correlation of the “HIGH” attribute with measured drug levels, shows in figure 2, that
despite the high correlation with the average of the target levels, that any actual measured levels above
100 ng/ml are capable in some subjects of eliciting very high scores on the “HIGH” attribute. Given the opportunity
to describe the experience after the study, subjects included the following responses: “floating, very carefree
feelings throughout entire body”; “felt so different. Wasn’t able to describe the way I was feeling”; “floating inspace”; “almost complete annihilation of physical self, shrunken”; “dizzy, shaky, lightheaded”; “The experience
seems to be a mystical experience, an incomprehensible comprehension of the universe. There seemed to be
no past, present or future, no time, just existence. Life and death at the same time.”

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Figure 2. Visual analogue scores for scale item HIGH (“I felt high”) are plotted versus ketamine plasma
concentrations. Each open circle represents one pair of data points. Mean values (± SEM) are shownfor each target concentration step (closed circles). Targets were 0, 50, 100, 150, and 200 ng/ml. The fitof the data by linear regression is indicated by the line. Reproduced with permission from Bowdle T A
et al, Anesthesiology 88(1):82–88, 1998. Copyright © 1998, Wolters Kluwer

Note: microgm/L = ng/ml

As an indication of what low doses are required for these very low, but still mind-altering blood levels, 10 mgof ketamine infused IV steadily over 30 minutes reaches a mean peak plasma level close to 125 ng/ml25. Predicted
plasma levels calculated using the pharmacokinetic parameters of Domino et al16 show in figure 3 that evenvery low IV bolus doses such as 5 mg are likely to transiently reach much higher peak plasma levels than thoseused in the study by Bowdle et al, and have the potential to cause immediate dysphoria.

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Figure 3. Calculated plasma concentrations of ketamine following an IV bolus of doses ranging from
1 to 40 mg, using the pharmacokinetic parameters derived by Domino et al16

Figure 4. Calculated plasma concentrations of ketamine during constant IV infusions of ketamine at 2,
4, 8 and 12 mg/h, using the pharmacokinetic parameters derived by Domino et al16

Estimated Plasma Concentrations from Ketamine IV Bolus

1000
100
10
1

2 mg/h4 mg/h8 mg/h12 mg/h90

Conc microgram/LConc microgram/L

10000

Estimated Plasma Concentrations from Ketamine Infusions

100

40 mg
30 mg
20 mg
10 mg
5 mg
2 mg
1 mg

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80
70
60
50
40
30
20
10

0

2

4

6

8
10
Time minutes

12

14

16

Contemporaneously with Bells 1999 description19, the Acute Pain Service at the Royal Adelaide Hospital has
used low dose continuous IV infusions of ketamine at a rate of 2, 4 and 8 mg/h to facilitate analgesia, usuallyin combination with opioids delivered by PCA, predominantly in opioid tolerant patients, and after limb amputation,
but also in opioid naive patients whose pain has been difficult to control, often with considerable beneficial
effect. As for side effects, vivid, usually non-distressing dreams when the eyes are closed are commonly the
first manifestation of psychotomimetic effects which are usually only evident in a small percentage patients
receiving 8 mg/hr, but occasionally at lower doses, especially in the elderly where only 2 and 4 mg/hr areprescribed. At 12 mg/h they are more common. Figure 4 shows the calculated blood levels of ketamine fromconstant IV infusions of 2, 4, 8 and 12 mg/h using the three compartment pharmacokinetic parameters derived
by Domino et al16. Doses higher than 12 mg/h are much more likely to induce undesirable dysphoric effects inmany, but not all, patients. Having experienced these effects many patients are reluctant to have the drug again,even at lower doses where some benefit may have been derived. As an indicator of the potency of the drug,at the target level of 200 ng/ml in the study by Bowdle et al, all patients experienced lateral gaze nystagmus24.
After prolonged infusions, the effect of the major metabolite of ketamine, norketamine, which is pharmacologically
active as an NMDA glutamate receptor antagonist, needs to be taken into account, and the infusion rate mayneed to be reduced. Norketamine reaches a stable blood level approximately one third that of ketamine andthere is some suggestion that it may contribute significantly to the relief of pain, especially neuropathic pain26,27.
From figure 4 it is seen that the predicted steady state plasma level of ketamine from an 8 mg/h infusion isabout 65 ng/ml. This is close to the same level achieved by a recent novel sublingual wafer formulation of
25 mg ketamine, with a bioavailability of 29 per cent, developed by Rolan et al25. Unfortunately this is not yet
available for clinical use, as it could offer a very useful adjunct for the control of brief procedural or incidental
pain with minimal risk of dysphoria. Eide et al measured levels of ketamine after prolonged subcutaneous
infusions (which after several days cause painful induration at the infusion site): 0.1 mg/kg/h gave a median of
0.6 micromol/L or 142 ng/ml13, higher than the predicted levels using the parameters of Domino et al.

0

0

200

400

600
800
1000
Time minutes

1200

1400

1600

CONCLUSION
Ketamine is a useful drug as an adjunct for pain control, especially in opioid tolerant patients or in those whose
pain is poorly responsive to opioids. Unfortunately it also has the potential to cause acute and potentially severe
dysphoria which is often unable to be clearly expressed or articulated by patients at the time they are experienced.
This adverse effect is generally dose related, and is usually most severe when larger doses of ketamine areadministered (to unanaesthetised patients) by IV bolus. But it may also occur with very small bolus doses, andalthough less often, with low dose intravenous infusions. Fortunately, the analgesic effects are manifest at very
low blood concentrations. Avoiding bolus doses and starting infusions at very low rates such as 2 or 4 mg/h,
before gradually increasing them to 4 or 8 mg/h if there are no adverse effects may help to achieve the desired
analgesic outcomes, while minimising the risk of the adverse dysphoric effects. Not all patients respond to
ketamine, and increasing the infusions to higher doses where predicted plasma levels exceed 100 ng/ml may
provide little extra clinical benefit with a greater risk of patients subsequently refusing to continue to have anyof the drug due to dysphoria. Providing ketamine to patients to self administer would require caution due to its
abuse potential.
REFERENCES

1. Gao M, Rejaei D, Liu H. Ketamine use in current clinical practice. Acta Pharmacol Sin. 2016;37(7):865–872.
2. Hasselmann HWW. Ketamine as antidepressant? Current state and future perspectives. Curr Neuropharmacol.
2014;12(1):57–70.
3. Ahern TL, Herring AA, Anderson ES, Madia VA, Fahimi J, Frazee BW. The first 500: initial experience with widespread useof low-dose ketamine for acute pain management in the ED. Am J Emerg Med. 2015;33(2):197–201.
4. Schmid RL, Sandler AN, Katz J. Use and efficacy of low-dose ketamine in the management of acute postoperative pain:a review of current techniques and outcomes. Pain. 1999;82(2):111–125.
5. Subramaniam K, Subramaniam B, Steinbrook RA. Ketamine as adjuvant analgesic to opioids: a quantitative and qualitative
systematic review. Anesth Analg. 2004;99(2):482-495.
6. Bell RF, Dahl JB, Moore RA, Kalso E. Perioperative ketamine for acute postoperative pain. Cochrane Database Syst Rev.
2006;(1);CD004603.
7. Jouguelet-Lacoste J, La Colla L, Schilling D, Chelly JE. The use of intravenous infusion or single dose of low-doseketamine for postoperative analgesia: a review of the current literature. Pain Med. 2015;16(2):383–403.
8. Corssen G, Domino EF. Dissociative anesthesia: further pharmacologic studies and first clinical experience with thephencyclidine derivative Cl-581. Anesth Analg. 1966;45(1):29–40.
9. Mion G, Villevieille T. Ketamine pharmacology: an update (pharmacodynamics and molecular aspects, recent findings).
CNS Neurosci Ther. 2013;19(6):370–380.

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10. Advisory Council on the Misuse of Drugs. ACMD ketamine: a review of use and harm [Internet]. London: the Governmentof the United Kingdom, 2013. Available from: https://www.gov.uk/ government/publications/ketamine-report. Accessed
17 October 2017.
11. Hans P, Dewandre PY, Brichant JF, Bonhomme V. Comparative effects of ketamine on Bispectral Index and spectral
entropy of the electroencephalogram under sevoflurane anaesthesia. Br J Anaesth. 2005;94(3):336–340.
12. Galinski M, Dolveck F, Combes X, Limoges V, Smail N, Pommier V, et al. Management of severe acute pain in emergency
settings: ketamine reduces morphine consumption. Am J Emerg Med. 2007;25(4):385–390.
13. Eide K, Stubhaug A, Oye I, Breivik H. Continuous subcutaneous administration of the N-methyl-D-aspartic acid (NMDA)
receptor antagonist ketamine in the treatment of post-herpetic neuralgia. Pain. 1995;61(2):221–228.
14. Motov S, Mai M, Pushkar I, Likourezos A, Drapkin J, Yasavolian M, et al. A prospective randomized, double-dummy trial
comparing IV push low dose ketamine to short infusion of low dose ketamine for treatment of pain in the ED. Am J Emerg
Med. 2017;35(8):1095–1100.
15. Clements JA, Nimmo WS. Pharmacokinetics and analgesic effect of ketamine in man. Br J Anaesth. 1981;53(1):27–30.
16. Domino EF, Domino SE, Smith RE, Domino LE, Goulet JR, Domino KE, et al. Ketamine kinetics in unmedicated anddiazepam-premedicated subjects. Clin Pharmacol Ther. 1984;36(5):645–653.
17. Little B, Chang T, Chucot L, Dill WA, Enrile LL, Glazko AJ, et al. Study of ketamine as an obstetric anesthetic agent. Am J
Obstet Gynecol. 2017;113(2):247–260.
18. Idvall J, Ahlgren I, Aronsen KF, Stenberg P. Ketamine infusions: pharmacokinetics and clinical effects. Br J Anaesth.
1979;51(12):1167–1173.
19. Bell RF. Low-dose subcutaneous ketamine infusion and morphine tolerance. Pain. 1999;83(1):101–103.
20. Weinbroum AA. A single small dose of postoperative ketamine provides rapid and sustained improvement in morphineanalgesia in the presence of morphine-resistant pain. Anesth Analg. 2003;96(3):789–795..
21. Burstal R, Danjoux G, Hayes C, Lantry G. PCA ketamine and morphine after abdominal hysterectomy. Anaesth Intensive
Care. 2001;29(3):246–251.
22. Urban MK, Ya Deau JT, Wukovits B, Lipnitsky JY. Ketamine as an adjunct to postoperative pain management in opioid
tolerant patients after spinal fusions: a prospective randomized trial. HSS J. 2008;4(1):62–65.
23. Guillou N, Tanguy M, Seguin P, Branger B, Campion JP, Mallédant Y. The effects of small-dose ketamine on morphine
consumption in surgical intensive care unit patients after major abdominal surgery. Anesth Analg. 2003;97(3):843–847.
24. Bowdle TA, Radant AD, Cowley DS, Kharasch ED, Strassman RJ, Roy-Byrne PP. Psychedelic effects of ketamine inhealthy volunteers: relationship to steady-state plasma concentrations. Anesthesiology. 1998;88(1):82–88.
25. Rolan P, Lim S, Sunderland V, Liu Y, Molnar V. The absolute bioavailability of racemic ketamine from a novel sublingual
formulation. Br J Clin Pharmacol. 2014;77(6):1011–1016.
26. Grant IS, Nimmo WS, Clements JA. Pharmacokinetics and analgesic effects of i.m. and oral ketamine. Br J Anaesth.
1981;53(8):805–810.
27. Fitzgibbon EJ, Hall P, Schroder C, Seely J, Viola R. Low dose ketamine as an analgesic adjuvant in difficult pain syndromes.
J Pain Symptom Manage. 2002;23(2):165–170.

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Brain / Neuro
Acute management of stroke
Candice Delcourt, Pierre Janin
Decompressive craniectomy in the management ofneurological emergencies: An inconvenient truth?
Stephen Honeybul, Kwok Ho, Grant Gillett
Adenosine for transient cardiac standstill in neurovascularsurgery: A heart-stopping moment
Shona Osborn

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Acute management of stroke
CANDICE DELCOURT, MD FRACPThe George Institute for Global Health, Royal Prince Alfred Hospital, The University of Sydney.

Candice Delcourt is a neurologist specialising in stroke medicine. She is a Senior Research Fellow at The George
Institute in Sydney and a Senior Clinical Lecturer at the University of Sydney. She holds a clinical appointment
at the Royal Prince Alfred Hospital. She obtained her specialist medical qualification in neurology from the
University of Liege (Belgium) and additional qualifications in cerebro-vascular medicine from the University of
Dijon (France) and in neurophysiology from the University of Lille (France). She is an executive committee
member of the Stroke Society of Australasia and the Australian Stroke Trial Network.
PIERRE JANIN, MD FCICM

Royal North Shore Hospital and Sydney Adventist Hospital, The University of Sydney.

Pierre Janin is a French-born intensivist who initially trained in anaesthetics at the University of Liege in Belgium.
He subsequently obtained the Belgian Diploma in Intensive Care and became a Fellow of CICM in 2013. He isa Clinical Lecturer at the University of Sydney and he holds a Staff Specialist appointment in the Intensive Care
Medicine Department at the Royal North Shore Hospital in Sydney. His special interests include echocardiography
and infectious diseases.
INTRODUCTION
This chapter provides an overview of the current practice in the management of acute stroke, including its
definition, epidemiology, pathophysiology and management of both ischaemic and haemorrhagic stroke. The
last section describes the risks factors of peri-operative strokes and the pre-operative considerations.
DEFINITION
Stroke is a broad diagnostic concept, which refers to an acute brain insult of vascular origin. Typically strokepresents as an acute and focalised neurological deficit related to the affected brain area.
The current World Health Organization (WHO) defines stroke as “rapidly developing clinical signs of focal (orglobal) disturbance of cerebral function, with symptoms lasting 24 hours or longer or leading to death, with noapparent cause other than of vascular origin”1.
There are two main types of stroke: ischaemic stroke, which is the most common, and haemorrhagic stroke.
Haemorrhagic stroke includes subarachnoid and intracerebral haemorrhage. Subarachnoid haemorrhage has
different pathophysiology and management, and is not covered in this chapter.
Recent definitions of stroke include not only clinical but also “tissue” criteria2. This allows the differentiation of
ischaemic and haemorrhagic stroke.
According to these new definitions:• Ischaemic stroke is characterised by “evidence of central nervous system infarction based on pathological,
imaging, or other objective evidence or clinical evidence of focal ischaemic injury based on symptoms
persisting ≥24 hours or until death, and the exclusion of other aetiologies”.
• Intracerebral haemorrhage corresponds to “rapidly developing clinical signs of neurological dysfunction
attributable to a focal collection of blood within the brain parenchyma or ventricular system that is notcaused by trauma”.
The WHO definition is based on the duration of clinical symptoms and excludes patients with a brief neurologicaldeficit (<24 hours), which were typically referred as transient ischaemic attack (TIA) instead of stroke. However,many of those patients will have demonstrable infarction or haemorrhage on imaging and will now be classified
as stroke.
STROKE EPIDEMIOLOGY
Stroke is a major health burden. It accounts for 11.8 per cent of the total mortality worldwide3. Stroke is thesecond leading cause of death in people between 15 and 59 years and the fifth leading cause of death in people
aged over 60 years4. There are 15 million people worldwide who suffer a stroke each year, and one in six people
will have a stroke in their lifetime4. In 2017, there will be almost 56,000 new and recurrent strokes in Australia,
equivalent to one stroke every nine minutes (Deloitte Access Economics). Two per cent of Australians have had
a stroke at some stage in their lives and over one third of these have a disability resulting from their stroke(AIWH data).
The most common type of stroke in Western countries is ischaemic stroke which represents 80-90 per cent ofstrokes. In Asia, intracerebral haemorrhages are more common and tend to be of smaller size, representing up
to 40 per cent of the strokes in some regions5-7. This difference has been attributed to diet, lifestyle orenvironmental factors rather than genetics but this remains uncertain.

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PRINCIPLE OF MANAGEMENT OF STROKE
Successful management of stroke relies on a system of care that can detect and fast-track patients to thedefinitive treatment in the shortest possible time. Recovery and postoperative care areas should be protocolised
to enable this objective.
“FAST” is a commonly used algorithm used to raise awareness about stroke in the community, and applied bypara-medical staff. This is a reasonable screening procedure for monitoring in recovery areas. This stands for
Face: unilateral facial weakness, Arm: unilateral arm weakness, Speech: speech disturbance and Time: known
time of onset and time to call the emergency number. Unilateral symptoms should be regarded as possibly
stroke related. Speech disturbance may require a more sophisticated examination as differentiating aphasias
from post-operative confusion and delirium can be difficult. History and clinical examination remains the key
to diagnosis because early first-line imaging is often normal or subtly abnormal. Long periods of observationof patients with suspected stroke are inappropriate as the yield for intervention is very high in the first hours
and reduces rapidly after this.
The subsequent management requires a multidisciplinary team and stroke protocols to ensure early notification,
recognition and treatment of stroke occurring in hospital or presenting to the emergency department. This has
proven to improve patients’ outcomes and most institutions have “stroke teams” in place.

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In the past few years, imaging techniques have evolved to image not only the ischaemic core of a stroke but
also the surrounding penumbra. In a CT perfusion, continuous cine imaging of the brain is acquired following
a bolus injection of contrast. Dynamic change in density of regions centered on arterial and tissue structures
allows to derive a mapped cerebral blood volume (CBV: area under the curve in parenchymal pixels divided byarea under the curve in arterial pixels) and mean transit time (MTT derived from the density curve of the arterial
pixels). The cerebral blood flow can also be calculated (CBF=CBV/MTT).
The penumbra is the area with decreased CBF and normal or mildly increased CBV. These are sometimes
described as area of CBV/MTT mismatch. The ischaemic core is the area with markedly decreased CBF anddecreased CBV.
Similarly, MRI perfusion imaging can identify the penumbra. The ischaemic core is seen on MRI diffusion
sequences (see figure 2).
Figure 2. CT perfusion of a patient with a left MCA stroke, showing a large area of potentiallysalvageable penumbra (CBF and MTT maps), with a small volume core infarction (CBV map)

ISCHAEMIC STROKE
Pathophysiology
In its typical scenario, stroke results from an acute occlusion of a cerebral artery by a thrombotic embolus. This
leads to an irreversible infarction of the supplied brain tissue (core), surrounded by an area of hypo-perfusedbrain (penumbra). The relative size of the core and penumbra depends on the performance of the collateralcirculation.
Following vessel occlusion, cerebral perfusion pressure (CPP) decreases in the affected brain region. Physiologicalautoregulation can maintain cerebral blood flow via dilation of small vessels and recruitment of collaterals.
There is a measurable increase in cerebral blood volume in this area. Beyond maximum autoregulation, cerebral
perfusion falls from the normal level of 50 mL/100 g/min, and oxygen extraction increases. When the perfusion
reaches a level around 18-20 mL/100 g/min, the brain tissue becomes electrically silent8 but remains viable
and salvageable if perfusion is restored9. This is the penumbra whose concept was first described by Astrup
in 19818. If cerebral perfusion further decreases below 10 mL/100 g/min, neuronal cell death occurs. Circulating
cerebral blood volume in this area rapidly diminishes. This is the core infarction. The concept of mismatch
relates to the volume difference between the core and penumbra. If reperfusion does not occur, the penumbra
decreases in size, increasing the core. Figure 1 illustrates these concepts. Modern management of stroke isbased upon urgent confirmation of acute ischaemia with salvageable tissue.
Figure 1. Cerebral physiology in stroke
CPP = cerebral perfusion pressure; CBF = cerebral blood flow; CBV = cerebral blood volume

It is important to outline that current perfusion imaging techniques have many limitations. Processing algorithms
are non-standardised across vendors and reference diagnostic criteria cannot be firmly established. They havea high specificity, but the false negative rate is estimated at about 20-30 per cent and a negative study should
not contraindicate thrombolysis. Those techniques have an important role in research and often have a value
in the assessment of late presentations of strokes.
Delays in obtaining and processing sophisticated imaging techniques should not delay treatment. Where thereis clinical evidence of a new focal neurological deficit and a normal non-contrast CT scan, IV thrombolysis isindicated and should be commenced without delay.
An intra-arterial thrombus can be visualised using CT angiography. MR angiography is an alternative technique
but unless contrast is used, it has a poorer definition than CT angiography for medium and small intracranial
vessels. These modalities are used to detect a potential target for interventional radiology procedures(thrombectomy). They are taking a larger place in the investigation of stroke.
After the acute phase, ischaemic stroke will require additional investigations to determine an underlying etiology
and offer secondary prevention. Typically, these will include imaging of the extracranial vessels, imaging of theheart and in-hospital monitoring of heart rate in a stroke unit to detect atrial fibrillation. In the absence ofconfirmed cause, implantable loop recorders or external portable monitoring devices will often be consideredas these provide a six-fold increase in the rate of detection of atrial fibrillation13,14.
Treatment
Contrary to intracerebral haemorrhage, ischaemic stroke is a rapidly changing area of medicine that has
witnessed important therapeutic advances over the last decade. For this reason, early identification andinvestigation of peri-operative and post-operative stroke is imperative.

Investigations
Whether a patient presents with a suspected stroke in the operating theatre, the recovery ward or the emergency
department, eligibility for thrombolysis should be determined to ensure timely treatment.
Following review of history and confirmation of timing, the initial non-contrast CT scan is primarily aimed at
excluding an intracerebral haemorrhage which will appear as a hyperdensity. Patients with ischaemic stroke
are likely to have a normal CT scan or show early ischaemic changes such as loss of the insular ribbon 10,
attenuation of the lentiform nucleus11, or subtle white matter hypodensity. A hyperdense vessel12 is often
suggestive of an intraluminal thrombus.

The treatment options for acute ischaemic stroke include intravenous thrombolysis and thrombectomy. Patientswith perioperative stroke are ineligible for thrombolysis but are still eligible for thrombectomy.
Thrombolysis
Acute stroke patients with no major bleeding risk identified on history, no proven coagulopathy and a brain CT
scan that excludes a haemorrhage or a non-vascular cause are potentially eligible for intravenous thrombolysis.

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Important contraindications include:• Platelet count <100,000mm3, INR >1.7 (including from warfarin) or novel anticoagulant therapy with thelast dose within 48 hours unless a reversal agent is available.
However, thrombolysis is not delayed while waiting for coagulation testing results; practically, the history
combined with point of care INR if needed is sufficient to initiate thrombolysis.
• Major surgery within the past 14 days, cranial or spinal surgery and major head trauma within three months
are relative contraindications and the risks and benefits have to be assessed by the treating teams.
Recombinant tissue plasminogen (Actilyse® or Alteplase®) is given at 0.9 mg/kg with a maximum of 90 mg.
Usually 10 per cent of the dose is administered as a bolus followed by a one-hour infusion of the remaining
dose.
Current guidelines recommend initiation of thrombolysis within the first 4.5 hours15 after onset of stroke forpatients to benefit. The effect of Alteplase® is time-dependent with an average improvement in disability freesurvival of 10 per cent if treated early (within 3 hours) and 5 per cent if treated between 3 and 4.5 hours16. The
number needed to treat (NNT) to return to independence rises rapidly, from 4.5 to 14 between 1.5 hours and4.5 of onset. The risk of symptomatic intracerebral haemorrhage is approximately 7 per cent17 and there arefew, if any, therapeutic options in this event. Patients with diabetes, those with the presence of a hypodensity
on the initial CT scan and a severe neurological deficit are at higher risk. The average absolute increase in riskof early death due to thrombolysis related intracerebral haemorrhage is 2 per cent16.
Alteplase® is the only drug currently approved for intravenous thrombolysis in Australia. There are ongoing trials
for Tenecteplase®18,19, which is logistically easier to administer.
Alteplase® is potentially beneficial beyond 4.5 hours. The risk of haemorrhagic transformation does not increase
further after 4.5 hours if strict inclusion criteria are applied20. This requires advanced imaging to confirm thepresence of salvageable brain and limited size established infarction.
Thrombectomy
Patients with proximal intracranial occlusion of large blood vessels respond poorly to intravenous thrombolysis
and have a poor prognosis with 69-80 per cent mortality at 90 days21.
Endovascular clot retrieval is a novel approach in carefully selected patients. It can be safely done in large,
highly resourced stroke centres which require a regional organisation of stroke services with inter-hospitaltransfer of patients to a thrombectomy centre. The basic principle of thrombectomy is aspiration of the clot
with a retrieval device (e.g. Solitaire FR® and TREVO®). It sometimes also involves stenting of the affected vessel.
Current selection criteria replicate those used in clinical trials which have included patients with large anterior
circulation vessel occlusions: middle cerebral artery occlusion, or intracranial carotid bifurcation occlusion withinvolvement of anterior cerebral artery and middle cerebral artery segments (also called “carotid T” occlusion).
Since 2015, nine positive trials have demonstrated the benefit of endovascular clot retrieval for large vessel
ischaemic stroke up to six hours after symptom onset22-30. The NNT with endovascular therapy within six hours
is three to reduce disability by one point or more on the modified Rankin scale (a scale of disability ranging
from zero to six, no disability to death); a more powerful effect than most medical interventions today. The
procedure does not lead to an excess of mortality when compared to thrombolysis.
A meta-analysis31 of five of these trials suggested a benefit up to 7.3 hours. This has recently been confirmedin the DAWN trial, which demonstrates a benefit up to 12 hours after stroke onset in selected patients (unpublishedat the time of redaction of this chapter, released at the European Stroke Organization Conference in May 2017).
Endovascular therapy should not prevent the initiation of intravenous thrombolysis where this is indicated, andintravenous thrombolysis should not delay clot retrieval.
Endovascular treatment of acute ischaemic stroke requires that patients are immobilised during the procedure;
either with general anesthesia or sedation. Both techniques have potentials drawbacks. General anesthesia
can introduce avoidable delays and additional risks. On the other hand, there are concerns about patients’
movements interfering with the procedure. Retrospective studies had suggested a worse outcome in the generalanaesthesia group, perhaps due to peri-operative hypotension, hypocapnia and attenuated cerebral
autoregulation32. However, this finding could also be explained by the larger proportion of severe strokes in thegeneral anaesthesia group33. Two recent prospective clinical trials comparing conscious sedation with generalanaesthesia showed no significant difference in terms of neurological outcomes34,35. This supports the choiceof either technique, and conversion from sedation to general anaesthesia if required.
General measures
Prior to thrombolysis, blood pressure target should be <185/110 mmHg (consensus-based recommendation).
There is no evidence to support acute lowering of blood pressure beyond these numbers. However, the question
is being assessed by ongoing clinical trials.

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There is no evidence to prescribe blood pressure parameters during endovascular procedure but maintaining
within the physiological range (systolic 110-160 mmHg) appears reasonable and is recommended by someauthors36.
Following thrombolysis or thrombectomy, most patients will be admitted to a stroke unit or high-dependency
unit for close observation during the first 24 hours. During this period, naso-gastric tube insertion and noncompressible arterial punctures are proscribed; venopuncture and compressible arterial puncture should be
minimised and pressure should be applied for 30 minutes.
Antiplatelets drugs are usually initiated 24-48 hours after intravenous thrombolysis or thrombectomy but might
be required earlier and with dual antiplatelet therapy if a stent is placed. A post-treatment CT scan is usually
performed the next day. This will assess for haemorrhagic transformation and for large size established infarctions
prior to starting antithrombotics.
Special case of malignant middle cerebral artery infarction
A middle cerebral artery stroke occupying at least two thirds of the middle cerebral artery territory and associatedwith brain oedema is defined as a malignant middle cerebral artery stroke. This type of stroke can lead to midline
shift and herniation, and has a poor prognosis with ~80 per cent mortality37,38. None of the attempts to reduce
edema such as hypothermia or mannitol have been successful in altering this outcome.
Decompressive craniectomy with removal of part of the skull to allow the expansion of the brain and prevent
herniation has been shown to halve patients’ mortality. Those patients survive with at least a moderate
disability39,40. The dominance or non-dominance of the affected hemisphere can be an important considerationin the decision making process.
Patients less than 60 years old should be considered for decompressive craniectomy within the first 48 hoursof onset41,42. Surgery might be considered in elderly patients depending on premorbid status and patients’preferences39.
INTRACEREBRAL HAEMORRHAGE
Physiopathology
The rupture of a small diameter blood vessel is the cause of most intracerebral haemorrhages. Common
mechanisms leading to vessel damage are hypertension and accumulation of amyloid protein in cerebral amyloid
angiopathy. Less frequent causes include vascular malformation, drugs, trauma or malignancy.
In the first few hours after the initial haemorrhage, one third of the haemorrhages grow by ~30 per cent insize43-45. This growth is most likely to occur if haemorrhages are of large size46, have an irregular shape,
heterogeneous density47,48 or the patient is on anticoagulants49,50.
Expansion into the ventricles and the subarachnoid space can occur in haemorrhages located in the deep whitematter or basal ganglion region or, in a cortical region of the brain, respectively. Expansion to these structures
is associated with poor outcome related to chemical meningitis and risk of acute hydrocephalus51-53.
On CT angiography, rapid extravasation of contrast54 has led to the description of a “spot sign”55,56, a tiny areaof hyperdensity within the haemorrhage which is thought to relate to ongoing bleeding. This has been shown
to be associated with poor outcome57.
The mass effect of the haemorrhage is increased by the development of oedema secondary to injury to thebrain parenchyma.
Management
Intracerebral haemorrhage is the most severe type of stroke. Therapeutic options are limited. Treatments
strategies have attempted to reduce the haematoma size and growth, reduce the edema, and control the local
or global mass effect.
In large haemorrhage and symptomatic large volume edema, hypertonic saline58 and mannitol are commonly
used59, although the efficacy of the latter is not confirmed60.
Surgery
Surgery is indicated to evacuate the haematoma in posterior fossa haemorrhages, and for acute hydrocephalus.
In other situations, surgery has not shown to improve patients’ outcome61,62. Procedures to evacuate superficial
haemorrhages are sometimes performed as the operation appears potentially less invasive, but there is little
evidence to support this management63. A minimally invasive surgery to evacuate the haematoma through aburr hole is currently investigated in a randomised controlled trial64.
In larger haemorrhage complicated by mass effect, decompression and haematoma evacuation may be lifesaving
but long term disability is a central consideration.
Haemostatic therapy
Despite hope to minimise the effect of haematoma growth, recombinant activated factor VIIa has not shown abenefit in terms of disability65,66.

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Platelet transfusion in patients on antiplatelet therapy has been found to be detrimental67.
Blood pressure control
In the “Intensive blood pressure lowering trial in acute cerebral haemorrhage”, INTERACT pilot trial, bloodpressure lowering showed a promising effect on haematoma growth68. This effect was not confirmed in themain trial. Nonetheless, acute lowering of the blood pressure in the first six hours of onset of cerebral haemorrhage
has shown a modest improvement in disability in survivors69.

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Table 1. Proposed risk groups for peri-operative stroke (adapted from Douketis et al)68,86.
MVR: mitral valve replacement; AVR: aortic valve replacement, TIA: transient ischaemic attack,
CHADS-2: congestive heart failure, hypertension, age≥75y, diabetes, stroke or TIA
RISKMECHANICAL HEART VALVEATRIAL FIBRILLATIONHigh• All MVR

• CHADS-2 is 5-6• Stroke / TIA <6months• Stroke / TIA <3 months

Reflecting this, the American Heart Association and American Stroke Association (AHA/ASA) management
guidelines for ICH were updated in 201568 to support the safety and potential benefit of lowering systolic bloodpressure to 140 mmHg.

(>10%/year)(4-10%/year)• Bileaflet AVR with at least one
CHADS risk factor• CHADS-2 is 3-4

PERI-OPERATIVE STROKE
Epidemiology
A perioperative stroke is defined as one that occurs either intra-operatively or in the post-operative period
within 30 days70. Perioperative strokes are associated with an increased length of stay and a six-fold increased
mortality71,72.

Low• Bileaflet AVR without risk factor• CHADS-2 is <3

Any combination of surgery and anaesthesia is associated with an increased risk of stroke irrespective of thetype of surgery73. This may relate to coagulation changes74,75.

Reintroduction of the bridging heparin and anticoagulants after the procedure is determined by the bleedingrisk associated with the surgery: no early bridging in very high-risk situations (major neurosurgical and cardiovascular surgeries), full 48-72 hours in high risk procedures and 24-48 hours in moderate risk.

The most common type of perioperative stroke is ischaemic stroke of embolic origin (heart or aorta). Hypotension
is rarely the cause of perioperative stroke76,77. Haemorrhagic stroke is uncommon70,78, which probably reflects
the fact that severe hypertension during anaesthesia is a rare event, and anticoagulants have typically been
withheld.

Moderate(<4%/year)• Cage ball & tilting disc AVR• Rheumatic valvular disease

The risk of perioperative stroke varies depending on the type of the surgery and patients’ risk factors.

Limited evidence exists to guide the perioperative management of antiplatelet therapy. Patients with a historyof cerebrovascular disease are considered moderate to high risk for perioperative adverse events. Discontinuationof aspirin prior to surgery is usually not recommended. This might not be applicable to intracranial or prostate
surgery, and in patients deemed at high risk of bleeding.

Procedural risk
Urgent surgery is associated with an increased risk of stroke when compared to elective surgery79.

Clopidogrel and Prasugrel are associated with a higher risk of bleeding and preoperative interruption is usually
recommended86.

Cardiac, vascular and brain surgeries are defined as “high-risk” as these have an increased risk of stroke whencompared to other types of surgery. Valvular and aortic repair surgeries have a stroke risk as high as 8 to 10
per cent70,72,79,80.

Large vessels disease
Patients with carotid stenosis are at risk of peri-operative stroke and treatable causes should be addressed
prior to planning other surgery.

Perioperative strokes in non-high-risk surgery are relatively rare and are estimated to have an incidence ofabout 1/1000 cases80.

In stroke patients with a carotid stenosis of ≥70 per cent, carotid endarterectomy has shown to be beneficial87
and is recommended within the first two weeks after the stroke88.

Patients’ risk factors
Age, a history of previous stroke or transient ischaemic attack, renal failure, atrial fibrillation and a history of
cardiovascular diseases are identified risk factors for perioperative stroke77,80-82. Atrial fibrillation is associatedwith a two-fold increase in the risk of death and stroke after carotid endarterectomy83,84.

Patients with no history of stroke or TIA are not normally candidates for a prophylactic carotid endarterectomy.
However, patients in this group who require cardiac surgery may benefit from prior or concomitant revascularisationin high-grade, especially bilateral, stenosis. The preoperative evaluation should include brain imaging by CT
scan or MRI in a context of significant carotid stenosis to exclude a silent stroke on the corresponding site, as
this would strengthen the argument for carotid revascularisation. Perioperative complications are comparable
when carotid endarterectomy is combined or done prior to cardiac surgery87.

Preoperative consideration
Modifiable risks mostly refer to adequate management of preoperative anticoagulants and antiplatelet drugs,
and evaluation of large vessels atheromatous disease.
Anticoagulants and antiplatelet drugs
Many surgical procedures require withholding of anticoagulants. This decision should carefully consider thebalance between risk of stroke and risk of bleeding.
Minor bleeding risk procedures such as cataract extraction, dental procedures85, cutaneous procedures or
selected cardiac procedures (pacemaker, defibrillator, endovascular procedures) can be done safely on
antithrombotics with adequate local haemostasis.
In most other procedures, warfarin is stopped five days prior to the procedure. Novels anticoagulants have ashorter half-life and therefore can usually be stopped two to three days before the procedure.
The patient’s thromboembolic risk determines the need to use bridging therapy with heparin (see table 1). In
high risk thromboembolic groups, bridging is required. In the intermediate thromboembolic risk category, theincidence of thromboembolism appears low (~1 per cent)86 irrespective of whether a bridging strategy is decided
or not. Guidelines in this category are therefore less clear.

Preventative carotid surgery only prevents 40 to 50 per cent of perioperative stroke in CABG procedures89.
Another common cause is embolisation from aortic plaques. Preoperative imaging of the aortic arch can help
to grade this risk and influence the surgical technique (off-pump or peripheral cannulation).
Timing of surgery after stroke
In the acute phase of an ischaemic stroke, the capacity of the brain to auto-regulate is lowered9. Minor fluctuations
in blood pressure secondary to anaesthesia, bleeding or haemodynamic fluctuations may lead to under or over
perfusion of neurons.
There are sparse recommendations on the timing for elective surgery after a stroke. Some authors suggest thatit should be delayed by three to six months after the initial event90-92. More recent data from the Danish National
Patient Register suggest that patients should be considered at high risk of stroke up to nine months after the
initial event. This register included 481,183 non-cardiac surgeries, of which 7137 surgeries (1.5 per cent) were
performed in patients with a history of stroke93.
CONCLUSION
Appropriate pre-operative assessment of stroke risk and safe management of anti-thrombotic medication are
the keys to reducing perioperative stroke.
The recent advent of thrombolysis, and especially thrombectomy, have changed the potential outcome ofpatients with stroke. These therapeutic advances mean that early recognition of stroke symptoms, and timely
and adequate management, are critical to offering these patients the best chance of disability free survival.
Perfusion imaging techniques can enhance patient selection for interventions and further research.

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Lee TH, Marcantonio ER, Mangione CM, Thomas EJ, Polanczyk CA, Cook EF, et al. Derivation and prospective validationof a simple index for prediction of cardiac risk of major noncardiac surgery. Circulation. 1999;100(10):1043–1049.
Jørgensen ME, Torp-Pedersen C, Gislason GH, Jensen PF, Berger SM, Christiansen CB, et al. Time elapsed after
ischemic stroke and risk of adverse cardiovascular events and mortality following elective noncardiac surgery. JAMA.
2014;312(3):269–277.

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Decompressive craniectomy in the management of neurologicalemergencies: An inconvenient truth?
STEPHEN HONEYBUL, FRCS (SN), FRACS

Department of Neurosurgery, Sir Charles Gairdner Hospital and Royal Perth Hospital, Western Australia.

Stephen Honeybul is a consultant neurosurgeon. His research interests include traumatic brain injury and ethics
of performing life preserving but non-restorative surgical procedures.
KWOK M HO, FCICM, PhD

Department of Intensive Care Medicine, Royal Perth Hospital and School of Population Health, University ofWestern Australia.
Kwok Ho is an intensive care specialist with research interest in clinical epidemiology, traumatic brain injury,
venous thromboembolism and acute kidney injury. He holds an associate professorial appointment at Universityof Western Australia and Murdoch University and is a Raine Clinical Research Fellow, funded by the Raine
Medical Research Foundation and WA Health.
GRANT R GILLETT, FRACS, MPhil

Dunedin Hospital and Otago Bioethics Centre, University of Otago, Dunedin, New Zealand.

Grant Gillett is a neurosurgeon and Professor of Medical Ethics. His research interests draws heavily upon his
training in neurosurgery, post-structuralism, and analytic philosophy. He has a particular affinity for the likes of
Immanuel Kant and Ludwig Wittgenstein as well as Michel Foucault, Aristotle, and Frederich Nietzsche.
INTRODUCTION
It is becoming increasingly apparent that our climate is changing. Notwithstanding some of the ongoing scientificdebate, it is difficult to detract from the observation that many of these changes have come about because ofhuman activity. The term “an inconvenient truth” succinctly captures the sentiment that what we are observing
is in fact the predictable consequences of what may retrospectively be viewed as a relatively short period of
human history.
There are many parallels to be drawn within the field of modern medicine. Despite enormous technologicaladvances that have occurred over recent years there may come a time when consideration must be given to
the long-term consequences of an acute intervention because it may fail to provide significant clinical benefit
and it may leave a person in a condition that the patient, as well as their family, may feel to be overly burdensome
and even unacceptable. In these circumstances, the “inconvenient truth” is that not all lifesaving procedures
are equal, and in certain circumstances, achieving mere survival at all cost may not be beneficial both to thepatients and society as a whole. If this is the case, careful consideration must be given in balancing the benefits
and risk of potentially “lifesaving” therapy for cogent ethical reasons. A contemporary example of this issue
concerns the use of decompressive craniectomy in the management of neurological emergencies.
DECOMPRESSIVE CRANIECTOMY FOR NEUROLOGICAL EMERGENCIES – THE “RUB”
This is a technically straightforward procedure in which a large segment of the skull vault is temporarily removed,
either unilaterally or bifrontally, in order to provide extra space into which the swollen brain can expand. The
rationale is that death can be prevented because the brain is no longer confined within the rigid skull compartment
and raised intracranial pressure (ICP) that is life threatening and unresponsive to the usual medical management
can be successfully controlled.
The procedure first became popular in the early 1970s predominantly in the context of severe traumatic brain
injury (TBI)1-3 and ischaemic stroke4. However, the past four decades has seen its use expanded to include avariety of neurological emergencies5. Overall the results of these studies appear to provide clear evidence that
decompressive surgery can reduce mortality. However, it will not reverse the effects of the pathological condition
that precipitated the neurological crisis and although many patients make a good recovery, a significant number
remain severely disabled and dependent6-9. The acceptability or otherwise of this outcome can difficult todetermine however if the result of a “lifesaving” intervention is a young person with severe neurological impairment
such that they are totally dependent and have limited ability to communicate a question must arise regarding
the wisdom of the clinical decision. The chance of producing such a state has been called the “RUB” (Risk of
Unacceptable Badness) and it has a satisfying resonance with its literary source in Shakespeare’s Hamlet10,11.
In the crucial soliloquy, Hamlet muses: “To sleep, perchance to dream, Aye, there’s the rub”. He is worried
about what he should do having been told by a ghost that his uncle (who has since married his mother) murdered
his father. He is trying to decide whether he should take revenge based on this possibly suspect informationor leave things as they are. He realises that if he acts on demonic information and commits a mortal sin he willof course be damned, but if he fails to avenge his father he cannot live with himself. He thinks about thepossibility of suicide and the release of eternal sleep that that would promise, but then he contemplates thepossibility that in death one dreams. The prospect of spending eternity dead, and therefore, impotent, but

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wracked with the moral torments that have provoked his suicidal thoughts is, to him, an unacceptably badprospect. He recognises that there is a risk of falling into this unacceptably bad state. He therefore faces theRUB.
The difficulties faced by Hamlet can be compared to the decision to offer a decompressive craniectomy to ayoung person with a severe head injury. Patients and relatives are often told that there is a probabilistic chanceof surviving a serious catastrophe if a certain course of action is taken. The image created is a small chanceof life on the one hand and death on the other. Faced with this stark choice many will say, “Any chance is better
than none.” But this decision is not always made in the light of the real probabilities, especially if the possibility(or in certain cases the probability) of survival with severe disability is not acknowledged.
The concept of converting death into an unacceptable level of disability is certainly “inconvenient” and has
been a concern among neurosurgeons for many years12. This led to a number of randomised controlled trials
investigating efficacy of the procedure initially in the context of the ischaemic stroke13-15 and more recently inthe context of severe traumatic brain injury16,17.
Evidence for clinical efficacy
In the early 2000s three major trials were conducted in Europe that compared decompressive hemicraniectomy
with standard medical therapy for patients under 60 years of age, who clinically deteriorated following thedevelopment of “malignant” middle cerebral infarction13-15. Due to difficulties with slow recruitment none of thetrials were fully completed, however each trial independently demonstrated that mortality was significantly
lower in patients randomised to surgical decompression. Thereafter a pooled analysis performed on the 93
patients in all three trials and it was concluded that there was an “increase in the number patients with afavourable functional outcome”18. On initial examination this would appear to provide unequivocal support toongoing use of the procedure, however closer examination of the study design gave some cause for concern
regarding the definition of a “favourable outcome”.
For many years the modified Rankin Scale (mRS) has been the most commonly used tool with which to assess
outcome following stroke. It does have some limitations in that it tends to focus on physical ability rather thanthe cognitive and emotional aspects of recovery. However it is a robust assessment tool that has stood thetest of time. Traditionally, a favourable outcome has been defined as 0-3 on the mRS and the obvious implicationof this dichotomy is that the aim of the procedure is to leave survivors with some degree of independencecompatible with what most people would regard as an acceptable quality of life.
However, in the pooled analysis the favourable outcome category was redefined such that it included patientswith a mRS of 4. This would therefore include those patients who could not walk and who could not attend totheir bodily needs without assistance and were therefore, by definition, highly dependent, an outcome thatmost investigators have previously deemed unfavourable5,19.
By way of justification it was stated that “on the basis of increasing experience of long term outcome in patientswith a space occupying infarction most investigators feel obliged to define a score of 4 on the mRS as favourable”.
However, examining the literature shows no evidence to support this position and ethically it seems highly
questionable in that we are not told the reasons for this change in attitude by the investigators19,20. An alternativeinterpretation would be to accept the “inconvenient truth” that a reduction in mortality achieved by surgicaldecompression comes at a cost of an increase in the numbers of survivors with severe disability and dependency.
These findings were even more striking in the DESTINY II trial that investigated decompressive hemicraniectomy
for patients over 60 years of age21. The trial was stopped for reasons of proven efficacy after the reductions indeaths and severe disability at six months had become significant and it was concluded that “hemicraniectomy
increased survival without severe disability”. This again appears to favour ongoing use of the procedure on thebasis of its lifesaving potential but is again not supported by closer examination of the basic data. There iscertainly a reduction in mortality from 70 per cent at six months in those patients randomised to medical
treatment down to 33 per cent randomised to surgical decompression. However of the 27 patients who survived
following decompressive hemicraniectomy only two patients achieved a mRS score of 3 and therefore hadsome degree of independence. Of the remaining 25 patients, there was an equal distribution of patients between
a mRS of 4 and 5, with 16 of these patients having such severe aphasia or neuropsychological deficits thatthey were unable to answer a relatively simple question regarding retrospective consent. These findings therefore
appear to lend further support for the “inconvenient truth” that surgical intervention almost uniformly translates
into an increase in the number of survivors with severe disability and dependency19.
In the context of severe traumatic brain injury the results of recent randomised controlled trials have been
similar.
Decompressive hemicraniectomy following severe traumatic brain injury
There have now been two large multicentre randomised controlled trials comparing surgical decompression
with standard medical therapy in patients who have sustained a severe traumatic brain injury16,17. The DECRA
study investigated the role of early bifrontal decompressive craniectomy in the context of diffuse cerebral
swelling. The hypothesis upon which the trial was based was that early decompression would optimise cerebral
perfusion and improve clinical outcome by reducing secondary insults. In order to examine this hypothesis,

Decompressive craniectomy in the management of neurological emergencies: An inconvenient truth? 223patients were randomised at the relatively low ICP threshold of greater than 20 mmHg for more than 15 minutes
in the hour after first-tier medical therapy. The findings of the study were that patients randomised to the surgicalarm of the trial had a lower ICP and spent less time in intensive care, however, even though the same proportion
survived in both arms of the trial the neurological outcomes at six months were worse in patients who had been
randomised to the surgical arm.
Given the enrolment ICP threshold (which is a lower threshold than is usually used in clinical practice), it was
unsurprising that there was no survival benefit for those patients randomised to the surgical arm of the trial.
However, what the trial did clearly demonstrate was that at that particular ICP threshold, there was insufficientongoing secondary brain injury to justify intervention and that any potential benefit obtained from improved
cerebral perfusion was offset by surgical morbidity22. Prior to these findings, it was almost assumed that lowering
the intracranial pressure would be beneficial23 but the results highlighted the need for more considered judgement
and a careful assessment of the risks of poor quality survival when making surgical decisions24.
The results of the study evoked considerable debate and one of the key criticisms was that the ICP thresholdat which patients were randomised was not representative of current clinical practice (which is to intervene at
higher ICP thresholds)29,31. With the benefit of hindsight this is a valid observation. However, if the trial had
shown benefit the patients in the trial would have come to represent the clinical practice of the future and thiswould have had a significant impact on neurosurgery if survival (regardless of quality of life or the probablewishes of the patients) were the only valued outcome13.
It is in this regard the results of the recent RESCUEicp Trial are particularly pertinent given the higher ICP
threshold at which patients because this more reflective of the type of practice in most neurotrauma centres17.
The trial was conducted over a 10 year period between 2004 and 2014 and 409 patients were randomised
amongst 2008 eligible patients, at 52 centres in 20 countries. The enrolment threshold was an ICP greater than
25mmHg for one to 12 hours despite maximal medical treatment, except barbiturate therapy. Patients werethen randomised to ongoing medical therapy with the addition of barbiturates or surgical decompression withthe actual technique being at the discretion of the treating surgeon. The results of the study were consistent
with the stroke trials in that a clear survival benefit was demonstrated in those patients randomised to surgicaldecompression. There were further similarities in that this reduction in mortality came as an almost direct resultof an increase in the number of survivors in either a vegetative state or with severe disability. At 12 month follow
up there was a small increase, albeit statistically insignificant in the number of patients with a favourable outcome
from 34.6 per cent in the medical arm of the trial to 42 per cent (p = 0.12) in the surgical arm of the trial. However,this small increase was only seen when one included in the favourable category patients with upper levels of
severe disability in a similar fashion to the stroke trials that deemed a mRS of 4 as favourable. Without thisre-categorisation the number of patients who survived with lower moderate disability or better (traditionallyregarded as a genuinely favourable outcome) was very similar (32 per cent favourable in the surgical arm of thetrial and 28.5 per cent favourable in the medical arm).
Overall the evidence of these trials seems to overwhelmingly support the ethically problematic “inconvenient
truth” that decompressive surgery reduces mortality at the expense of survival with severe disability. However
this in itself does not necessarily mean that the procedure should be abandoned. In the same way that climatechange is requiring society to re-examine some aspects of our everyday lifestyle the time may have come fora nuanced examination of the value society places on an individual life and the acceptability or otherwise of
performing a procedure that converts death into survival with severe disability.
The future role of decompressive craniectomy in the management of neurological emergencies
Given the significant reduction in mortality demonstrated in the aforementioned trials it would seem reasonable
to consider lifesaving surgical intervention for a young person with a catastrophic neurological condition suchas “malignant” middle cerebral infarction or a severe TBI. This is especially the case if a person’s prior wishes
are unknown because they may learn to adapt to a level of disability that they may previously have thought tobe unacceptable27,28.
This position is reinforced by the ethical concept of the rule of rescue that describes the powerful humanproclivity to rescue identified endangered lives, regardless of cost or risk29. The classic examples of this concept
are heroic searches for a sailor lost at sea or daring attempts to rescue someone in a burning building. In suchcases the cost to the community or the risk to those attempting the rescue is extremely high. However, thepsychological and moral imperatives are difficult to resist. In the context of medical care there is always a strong
ethical imperative to save an individual already identified life even when it could be argued from a utilitarian
viewpoint that the money and resources might be more efficiently used to prevent deaths in the wider community.
People obtain social utility and a feeling of security knowing that they live in a compassionate society whichcares for the needs of each constituent member and where those in most desperate need will not be ignored
or abandoned merely on the basis of resource allocation. However, that security is threatened if the rescue
system is seen to be a juggernaut that is insensitive to the way people actually value their lives because there
will always be circumstances where serious consideration must be given to withholding surgical intervention.

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In the context of ischaemic stroke it is difficult to invoke the rule of rescue for patients more than 60 years ofage given that most survivors will be immobile, unable to communicate and be fully dependent on nursing care.
In the context of severe traumatic brain injury, age is one of a number of important prognostic factors that isincluded in some recently developed prediction models that provide a prediction of unfavourable outcome at
six months (defined by the Glasgow outcome scale as severe disability, vegetative or dead)30,31. A number ofstudies have used these models to stratify patients according to injury severity and compared the predictionof unfavourable outcome with the observed long term outcome (figures 1 and 2)32-34. Presenting data in thismanner provides an objective assessment of outcome following surgical intervention and can perhaps form
the basis of more rational and informed discussions among stakeholders when considering surgical intervention.
It must of course be acknowledged that all prognostic models have their limitations and from a purist perspective,
should never be used to guide medical decision-making for individual patients. In addition there will always be
those patients that defy the odds and make a miraculous recovery despite seemingly desperate circumstances.
However as with patients more than 60 years of age with ischaemic stroke, for patients with a severe traumaticbrain injury and a prediction of unfavourable outcome greater that 80 per cent the most likely outcome forsurvivors is either severe disability or survival in a vegetative state.
Prior to surgically intervening in these circumstances a surgeon has an obligation to try and establish that thisoutcome would be acceptable for that individual and the larger community has to determine the value we placeon life at any cost35. There will always be a delicate balance between an individual’s right to survive with severe
disability and the cost to the wider community where healthcare resources may be limited. However, similar to
the arguments for urgent actions to reduce the impact of climate change on our future generations, we have amoral responsibility to consider the long term implications of what is in many cases an acute and emotionallycharged clinical decision. The considerations here are not only financial but also personal and ethical and theyrequire us to exercise well-considered judgment about our actions
Figure 1. The CRASH collaborators prediction model. The prediction of an unfavorable outcome at
six months (x axis) and the observed outcome at 18 months among the 319 patients on whom 18
month follow up was available. Numbers within the bar chart represent absolute patient numbers(Reproduced with kind permission by Elsevier)Observed outcome at 18 months

Good
100%

1

1

80%

Moderate
5
1
3

Severe15760%Vegetative
7
3

4
7

6
18

40%
20%
0%

Dead
8
2

16

13

4

16

20

2

5

13

25

31

30

16

17

5

0-10

11-20

21-30

31-40

41-50

51-60

61-70

71-80

81-90

Predicted risk of an unfavourable outcome at six months

15
1
10
1
91-100n = 319

Figure 2. The IMPACT investigators model. The prediction of an unfavorable outcome at six months(x axis) and the observed outcome at 18 months among the 319 patients on whom 18 month follow up
was available. Numbers within the bar chart represent absolute patient numbers(Reproduced with kind permission by Elsevier)Observed outcome at 18 months

Good
100%

3
4
4

4

80%

Moderate

60%

1
6
16

0%

9
3
14

40%
20%

SevereVegetative
6
1
10
15

6

11
6

5

23

38

38

15

16

0-10

11-20

21-30

31-40

41-50

51-60

3

61-70

Predicted risk of an unfavourable outcome at six months

Dead
10
1
11
1
71-80

14

4

4

1

10

4

2
81-90

91-100n = 319

Decompressive craniectomy in the management of neurological emergencies: An inconvenient truth? 

225

CONCLUSION
There is now clear evidence that surgical intervention can be a lifesaving intervention that converts death into
survival with disability and we can predict this outcome with some degree of accuracy. Is this an “inconvenient
truth”? It is inconvenient in the sense that we do, in rescue medicine, have to act decisively and often quickly
and we certainly have an ethical and legal obligation to act in what we feel to be the patient’s best interests.
But feeling is not enough. What we have highlighted is the need for our actions to be reasonable and informedby the evidence. In most jurisdictions, the clinician who acts with clearly stated intentions, having carefully
considered the ethical aspects of what they are doing, will not be subject to the “damned if you do and damned
if you don’t” mentality that many of us fear that the courts may show in these fraught areas of decision-making.
In fact neither the courts nor ethicists are in the business of making reasonable care more difficult, they are
only concerned that it be truly reasonable.
REFERENCES

1. Kjellberg RN, Prieto A Jr. Bifrontal decompressive craniotomy for massive cerebral edema. J Neurosurg. 1971;34(4):488493.
2. Ransohoff J, Benjamin V. Hemicraniectomy in the treatment of acute subdural haematoma. J Neurol Neurosurg Psychiatry.
1971;34(1):106.
3. Venes JL, Collins WF. Bifrontal decompressive craniectomy in the management of head trauma. J Neurosurg.
1975;42(4):429-433.
4. Greenwood J Jr. Acute brain infarctions with high intracranial pressure: surgical indications. Johns Hopkins Med J.
1968;122(5):254-260.
5. Honeybul S, Ho KM. The current role of decompressive craniectomy in the management of neurological emergencies.
Brain Inj. 2013;27(9):979-991.
6. Aarabi B, Hesdorffer DC, Ahn ES, Aresco C, Scalea TM, Eisenberg HM. Outcome following decompressive craniectomy
for malignant swelling due to severe head injury. J Neurosurg. 2006;104(4):469-479.
7. Holtkamp M, Buchheim K, Unterberg A, Hoffmann O, Schielke E, Weber JR, et al. Hemicraniectomy in elderly patients withspace occupying media infarction: improved survival but poor functional outcome. J Neurol Neurosurg Psych.
2001;70(2):226-228.
8. Leonhardt G, Wilhelm H, Doerfler A, Ehrenfeld CE, Schoch B, Rauhut F, et al. Clinical outcome and neuropsychologicaldeficits after right decompressive hemicraniectomy in MCA infarction. J Neurol. 2002;249(10):1433-1440.
9. Polin RS, Shaffrey ME, Bogaey CA, Tisdale, N, Germanson T, Bocchicchio B, et al. Decompressive bifrontal craniectomyin the treatment of severe refractory posttraumatic cerebral oedema. Neurosurgery. 1997;41(1):84-94.
10. Gillett GR. The RUB. Risk of unacceptable badness. N Z Med J. 2001;114(1130):188-189.
11. Gillett GR, Honeybul S, Ho KM, Lind CR. Neurotrauma and the RUB: where tragedy meets ethics and science. J Med
Ethics. 2010;36(12):727-730.
12. Cooper PR, Rovit RL, Ransohoff J. Hemicraniectomy in the treatment of acute subdural hematoma: a re-appraisal. Surg
Neurol. 1976;5(1):25-28.
13. Hofmeijer J, Kappelle LJ, Algra A, Amelink GJ, van Gijn J, van der Worp HB, et al. Surgical decompression for spaceoccupying cerebral infarction (the Hemicraniectomy After Middle Cerebral Artery infarction with Life-threatening Edema
Trial [HAMLET]): a multicentre, open, randomised trial. Lancet Neurol. 2009;8(4):326-333.
14. Jüttler E, Schwab S, Schmiedek P, Unterberg A, Hennerici M, Woitzik J, et al. DESTINY Study Group: Decompressive
Surgery for the Treatment of Malignant Infarction of the Middle Cerebral Artery (DESTINY): a randomized, controlled trial.
Stroke. 2007;38(9):2518-2525.
15. Vahedi K, Vicaut E, Mateo J, Kurtz A, Orabi M, Guichard JP, et al. Sequential-design, multicenter, randomized, controlled
trial of early decompressive craniectomy in malignant middle cerebral artery infarction (DECIMAL Trial). Stroke.
2007;38(9):2506-2517.
16. Cooper DJ, Rosenfeld JV, Murray L, Arabi YM, Davies AR, D’Urso P, et al. Decompressive craniectomy in diffuse traumaticbrain injury. N Engl J Med. 2011;364(21):1493-1502.
17. Hutchinson PJ, Kolias AG, Timofeev IS, Corteen EA, Czosnyka M, Timothy J, et al. Trial of decompressive craniectomy fortraumatic intracranial hypertension. N Engl J Med. 2016;375(12):1119-1130.
18. Vahedi K, Hofmeijer J, Juettler E, Vicaut E, George B, Algra A, et al. Early decompressive surgery in malignant infarctionof the middle cerebral artery: a pooled analysis of three randomised controlled trials. Lancet Neurol. 2007;6(3):215-222.
19. Honeybul S, Ho KM, Gillett G. Outcome following decompressive hemicraniectomy for malignant cerebral infarction:
ethical considerations. Stroke. 2015;46(9):2695-2698.
20. Puetz V, Campos CR, Eliasziw M, Hill MD, Demchuk AM, Calgary Stroke Program. Assessing the benefits ofhemicraniectomy: what is a favourable outcome? Lancet Neurol. 2007;6(7):580-81.
21. Jüttler E, Unterberg A, Woitzik J, Bösel J, Amiri H, Sakowitz OW, et al. Hemicraniectomy in older patients with extensive
middle-cerebral-artery stroke. N Engl J Med. 2014;370(12):1091-1100.
22. Honeybul S, Ho KM, Lind CR. What can be learned from the DECRA study. World Neurosurg. 2013;79(1):159-161.
23. Vashu R, Sohail A. Decompressive craniectomy is indispensable in the management of severe traumatic brain injury. Acta
Neurochir (Wien). 2011;153(10):2065-2066.
24. Honeybul S, Ho KM. The surgical management of intracranial hypertension following traumatic brain injury. Anaesth
Intensive Care. 2012;40(3):558-559.
25. Servadei F. Clinical value of decompressive craniectomy. N Engl J Med. 2011;364(16):1558-9.
26. Timmons SD, Ullman JS, Eisenberg HM. Craniectomy in diffuse traumatic brain injury. N Engl J Med. 2011;365(4):373.
27. Honeybul S, Gillett GR, Ho KM, Janzen C, Kruger K. Is life worth living? Decompressive craniectomy and the disability

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paradox. J Neurosurg. 2016;125(3):775-778.
28. Larach DR, Larach DB, Larach MG. A life worth living: seven years after craniectomy. Neurocrit Care. 2009;11(1):106-111.
29. Jonsen AR. Bentham in a box: technology assessment and health care allocation. Law Med Health Care. 1986;14(34):172-174.
30. Perel P, Arango M, Clayton T, Edwards P, Komolafe E, Poccock S, et al. Predicting outcome after brain injury: practicalprognostic models based on a large cohort of international patients. BMJ. 2008;336(7641):425-429.
31. Steyerberg EW, Mushkudiani N, Perel P, Butcher I, Lu J, McHugh GS, et al. Predicting outcome after traumatic brain injury:
development and international validation of prognostic scores based on admission characteristics. PLoS Med.
2008;5(8):e165.
32. Honeybul S, Ho KM, Lind CR, Gillett GR. The retrospective application of a prediction model to patients who have had adecompressive craniectomy for trauma. J Neurotrauma. 2009;26(12):2179-2183.
33. Honeybul S, Ho KM, Lind CR, Gillett GR. Observed versus predicted outcome for decompressive craniectomy: apopulation-based study. J Neurotrauma. 2010;27(7):1225-1232.
34. Honeybul S, Ho KM. Predicting long-term neurological outcomes after severe traumatic brain injury requiring
decompressive craniectomy: a comparison of the CRASH and IMPACT prognostic models. Injury. 2016;47(9):1886-1892.
35. Ho KM, Honeybul S, Lind CR, Gillett GR, Litton E. Cost-effectiveness of decompressive craniectomy as a lifesaving
rescue procedure for patients with severe traumatic brain injury. J Trauma. 2011;71(6):1637-1644.

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Adenosine for transient cardiac standstill in neurovascular surgery: A heart-stopping moment 

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Adenosine for transient cardiac standstill in neurovascular surgery:A heart-stopping moment
SHONA OSBORN, FANZCA, BMBS (Hons), B Sc (Hons), PGCertCU, Dip Mus

Department of Anaesthesia, Pain Medicine and Hyperbaric Medicine, Royal Adelaide Hospital.

Dr Shona Osborn is a senior consultant anaesthetist at the Royal Adelaide Hospital and a locum with Adelaide
Anaesthetic Services. She has an interest in neuroanaesthesia and undertook her fellowship in the field. Other
interests include geriatric medicine and ethical issues in anaesthesia. Many years ago she was a clarinettist in
the Auckland Philharmonia Orchestra and in the Adelaide Symphony Orchestra.
INTRODUCTION
Anaesthetists are infrequent users of adenosine. Many of us may have administered it as a junior doctor, perhaps
in an emergency department to terminate supraventricular tachycardia (SVT). Those who undertake regularlists in electrophysiology suites may occasionally administer a dose to test the successful ablation of anaccessory tract or atrial fibrillation. Mostly, though, it is one of many drugs about which we memorise a paragraphor two for our examinations, then mentally shelve all but the most fundamental rules of thumb.
In the past decade or so, another clinical use of adenosine has emerged for anaesthetists. You may be a staff
specialist who seldom practises neuroanaesthesia, substituting on a list for an absent colleague, or perhaps aregular neuroanaesthetist whose surgeon has just returned from an overseas conference. They are now
enthusiastic to try a technical approach increasingly used by their international colleagues. Before a routine
aneurysm clipping, the surgeon asks “Do you have adenosine in theatre? The approach to this aneurysm may
be difficult, and I need you to induce a short period of cardiac standstill if I can’t apply a temporary clip.” You
wonder: How much should I give? What precautions should I take before giving it? Which patients will tolerate
it? Is there any evidence for its use in this manner?
This paper will briefly review the pharmacology of adenosine, then examine the evidence for its use inneurovascular surgery. Reports about the adverse effects of adenosine come largely from the cardiology
literature, but have significant implications for anaesthetists. A summary of practice points will conclude thereview.
PHARMACOLOGY
Adenosine is an endogenous purine nucleoside found both intracellularly and in plasma. It has a simple molecular
structure: a ribose attached to adenine. It acts as an extracellular signalling molecule, produced from precursors
such as adenosine tri-, di- and monophosphate (AMP)1. There are four G-protein-coupled adenosine receptors,
A1, A2A, A2B and A3; their widespread distribution in various organ systems and tissues explains adenosine’s
broad range of physiological and pathophysiological roles2. The A1, A2A and A3 receptors are activated byphysiological concentrations of extracellular adenosine, but A2B activation requires higher (pathological) adenosine
levels, present in hypoxia, ischaemia, or inflammation3. Thus there are numerous potential therapeutic applications
for exogenous adenosine, many of which have only recently undergone investigation2,3.
Adenosine’s intravascular half-life is 5-10 seconds due to its rapid uptake into endothelial cells and erythrocytes,
where it is metabolised and inactivated by adenosine deaminase or adenosine kinase to inosine or AMP
respectively. It enters cells freely and swiftly down a concentration gradient, via a transporter expressed on
many cell types3.
Adenosine mediates vasodilation in most vascular beds, including the coronary circulation, but is a vasoconstrictor
in the kidney, spleen and hepatic veins. It has both pro- and anti-inflammatory actions, and inhibits platelet
aggregation2. It is widely distributed in the brain and spinal cord, where it acts as a neuromodulator, tonically
active in the cerebral cortex and hippocampus. It is considered neuroprotective due to its inhibition of glutamate
release4,5. Table 1 summarises adenosine receptor distribution and the diversity of its functions.

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Table 1. Adenosine receptor subtypes and their mediated functions2-5
A1

A2A

A2B

A3

Negative chronotropy,
inotropy, dromotropy

Decreased platelet
aggregation

Cardiac preconditioing

Mast cell activation,
white cell chemotaxis

Vasoconstriction

Vasodilation

Vascular integrity

Inflammatory pain

Bronchoconstriction

Immunosuppression

Pro-inflammation(in acute injury)

Chronic neuropathic pain

Inhibition: lipolysis,
insulin and glucagon
release, neurotransmitter
releaseRegulation of motor
activity, psychiatricbehaviours, sleep-wakecycle, neuronal celldeath

Anti-inflammation(chronic disease)Anti-cancer (melanoma)

Decreased renal
blood flow andtubuloglomerular
feedback, inhibitionof renin release

Angiogenesis

Airway contraction

Reduced respiration
Cardiac preconditioning
Analgesia
Sleep
Adenosine has been used for decades for the termination of re-entrant SVTs involving the atrioventricular (AV)node. It acts as a negative chronotrope and dromotrope, slowing heart rate and prolonging AV nodal conduction6,7.
It may help to differentiate between broad-complex SVT and ventricular tachycardia. In SVTs which are AV
node-dependent, an adenosine-induced temporary conduction delay can reveal underlying flutter. Adenosine
also reduces the refractory period of atrial myocytes. It terminates only a subset of SVTs because its effect on
any accessory tract depends on whether the tract cells are nodal or atrial myocytes. Mostly, adenosine does
not slow conduction in bypass tracts, and therefore it may unmask hidden accessory pathways in patients with
Wolf-Parkinson-White syndrome. This is the rationale for adenosine’s use after SVT ablation and pulmonaryvein isolation for elimination of atrial fibrillation8,9.
Adenosine is widely administered as an infusion during myocardial perfusion scans as a pharmacologicalstressor. It mimics the vasodilatory effect of exercise on coronary vessels, thereby inducing as much as a fouror five-fold increase in intracoronary blood flow in healthy coronary arteries8,10. Theoretically, in patients withsevere coronary artery disease and well-developed collateral vessels, adenosine can cause sufficient vasodilationof larger coronary arterioles to divert blood from collateral vessels. This potentially causes ischaemia in thecollateral-dependent myocardium, but fortunately this is rarely seen11. Thus adenosine is also used in coronary
fractional flow reserve testing, a method of identifying the culprit stenotic lesion when there is diffuse stenotic
disease, and has been shown to reduce ischaemic-reperfusion injury in ST-elevation myocardial infarction8.
Clinically, peripherally administered intravenous adenosine followed by a saline flush takes effect within seconds.
The heart rate slows over 20 to 30 seconds, and if a sufficient dose for a particular individual is given, a variable
period of asystole ensues, after which the heart rate returns to baseline over 20 to 30 seconds. There is asubsequent period of marked hypotension usually lasting up to two minutes, due to a reduced systemic vascular
resistance (SVR) and a parallel increase in cardiac output (CO). Adenosine’s short intravascular half-life meansthat the brief asystole and hypotension is typically self-limited. There is a large inter-individual difference in thedose required to achieve cardiac standstill13-15.
Following standstill, adenosine causes a reflex increase in circulating catecholamines, inducing a brief
sympathetically mediated sinus tachycardia as well as atrial and ventricular ectopics. These in turn can trigger
conduction via a re-entrant pathway, particularly after the temporary shortening of the atrial myocyte refractory
period. It is this combination of factors which can lead to atrial fibrillation in susceptible individuals9,16.

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ENDOVASCULAR SURGERY
Adenosine has been used since 1996 to reduce aortic blood flow briefly during the deployment of endovascular
stent grafting for thoracic aortic aneurysms17. Although other drugs and pacing-induced ventricular fibrillation
can also produce the brief cardiac standstill required, adenosine is preferred by proceduralists due to its rapid
onset, predictable duration, relatively linear dose-response relationship, the reliability of return of baseline
haemodynamics and a lower imbalance of cardiac demand and supply14.
NEUROSURGERY
Early applications of adenosine in neurosurgery
Adenosine was first used in neurosurgery in the mid-1980s for the induction of profound hypotension during
cerebral aneurysm manipulation18. The rationale was that the reduction in aneurysm wall tension would minimise
the risk of rupture and bleeding. Previously, deep hypothermic circulatory arrest under extracorporeal perfusion
was used to secure giant aneurysms or those with difficult anatomical approaches, but the complication rate
and resources required meant that adenosine was an attractive alternative. Sodium nitroprusside (SNP) was
also used to induce hypotension during aneurysm surgery, although tachyphylaxis and rebound hypertension
were significant disadvantages19.
In early studies, adenosine was infused intravenously until mean arterial pressure (MAP) was 40-50 mm Hg.
Typically, this induced hypotension was maintained for approximately 30 minutes18. Intraoperative cardiac
catheterisation revealed the expected marked decrease in SVR and equivalent increase in CO. Cardiac fillingpressure and acid-base status were unchanged18,20. When glomerular filtration rate and renal blood flow were
measured during adenosine infusion, a profound but rapidly reversible renal afferent arteriolar vasoconstriction
occurred, leading the authors to suggest that adenosine-induced hypotension should be kept relatively brief,
and avoided in patients with impaired renal function. Creatinine levels, however, remained unchanged21.
In 1999, a case report by Groff and colleagues was the first to describe the use of bolus doses of adenosine
to induce transient asystole to facilitate aneurysm ligation. They employed an SNP infusion to maintainhypotension during the dissection of a basilar aneurysm, then added 6- and 12 mg boluses of adenosine toachieve asystolic periods of eight and 13 seconds respectively. The consequent collapse of the aneurysm dome
meant that no temporary clip was required, and the aneurysm was secured without neurological consequences22.
In the same year, transient cardiac standstill with adenosine was also used during embolisation of a cerebral
arteriovenous malformation (AVM)23.
Intraoperative aneurysm rupture
The first description of adenosine used emergently during aneurysm rupture was in 200024. The patient was
unlucky enough to have both a large parietal AVM and a fusiform, multilobulated anterior communicating arteryaneurysm. During the procedure, significant aneurysmal bleeding remained uncontrolled, despite applicationof a temporary clip and barbiturate-induced hypotension. A single 12 mg bolus of adenosine provided a
25-second period of asystole, during which the aneurysm was satisfactorily secured.
In 2010, a Finnish group published a review of 16 cases where adenosine was used to assist with haemostasis
during intraoperative rupture, from a total of 1014 aneurysm surgeries over five years. The dose range was
6-18 mg, with most patients receiving 12 mg. Only four patients required repeat dosing; one patient, however,received a total of 89 mg of adenosine. The duration of asystole achieved in each case was not reported, butthere were no adverse neurological outcomes or cardiac events in this series25.
Adenosine as an adjunct in elective aneurysm surgery
Since 2010, several case series have described adenosine’s elective use during aneurysm surgery13,26,28-33. The
commonest indication is to decrease aneurysm turgor and bulk in order to facilitate clip application, thus
reducing the risk of intraoperative rupture. Some aneurysms are in unfavourable anatomical locations, leading
to a narrow corridor of approach and an inability to apply a temporary clip: for example, paraclinoid or basilar
apex aneurysms. Applying a temporary clip to some vessels may induce an unacceptably high risk of ischaemia,
or impede vision of important structures. Adenosine then provides an alternative means of ‘softening’ theaneurysm sac. Other indications for adenosine include a broad aneurysm neck, a thin wall, atheroma in theaneurysm neck, adjustment of a clip, or previous coiling13,26.
All the case series have much in common. The absolute numbers of patients given adenosine were low: six
patients in the smallest series26, 72 in the largest28. Not all studies provided a denominator (the total number ofaneurysm surgeries during the relevant study period). In those that did, adenosine was used in about 17-21
per cent of aneurysm surgeries. Occasional patients within some series received adenosine for intraoperative
rupture13,27,29,31, but in most patients, the decision to give adenosine was made either preoperatively or early inthe procedure. Patients received a standard general anaesthetic with propofol or volatile (or both) plus remifentanil.
Central venous access was typically in situ and was used for adenosine administration. When adenosine use
was planned, precordial pads were placed before the patient was draped, in case of the requirement fortranscutaneous pacing or defibrillation.

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Adenosine dosing strategies
Clinical experience with adenosine has shown that the duration of cardiac standstill or extreme bradycardia
achieved with a given dose is reasonably consistent within individuals, but exhibits considerable interindividual
difference6,25,34. Three case series attempted to clarify dose-response relationships. The first reviewed fivepatients undergoing endovascular glue embolisation of cerebral AVMs. Each patient received escalating bolus
doses of adenosine, starting with 0.25-0.35 mg/kg. The inter-bolus interval was three to 10 minutes, and thedesired endpoint was 20-30 seconds with MAP below 30 mm Hg. Patients also received a low-rate backgroundinfusion of SNP. The authors found a linear relationship between adenosine dose and duration of both asystoleand hypotension. The mean dose required to achieve the endpoint was 1 mg/kg, or 6 to 90 mg (one patient
was a four-year-old). This dose provided asystole for an average of eight seconds, MAP <30 for an average of
18 seconds, and MAP < 50 for 50 seconds35.
Bebawy and colleagues retrospectively assessed the dose-response relationship in 24 patients given adenosine
for aneurysm surgery28. Fourteen patients required multiple doses to achieve successful ligation. The authors’
clinical aim was to keep systolic blood pressure below 60 mm Hg, and dosing was calculated for ideal bodyweight (IBW). A dose of 0.3-0.4 mg/kg IBW enabled successful aneurysm clipping in all patients. As the authors
suggested, adenosine titration to a haemodynamic endpoint is not feasible when an aneurysm requires imminentcontrol during intraoperative rupture. Titration also exposes patients to repeated episodes of relative hypotension
or flow arrest and the potential for detrimental cardiac or neurological consequences. They concluded that
0.3-0.4 mg/kg IBW (e.g. 18-24 mg in a 60-70 kilogram patient) was a reasonable empirical dose for appropriate
surgical conditions in intraoperative rupture28.
A third study in 27 patients described an escalating dose technique, starting with 3-6 mg then gradually
increasing the dose to attain 30 seconds of bradycardia (defined as heart rate < 40 bpm). This was performed
at a point in the operation “when it was determined that adenosine cardiac arrest was needed to facilitate
aneurysm clipping”29. After the initial dose, further doses were administered only when haemodynamics had
returned to baseline. Once the optimal dose was identified, it was administered as many times as required
during dissection, vessel identification and clip application. The median dose providing up to 30 seconds ofbradycardia was 12 mg (0.16 mg/kg). To achieve 30-60 seconds of bradycardia, the median dose was 30 mg(0.42 mg/kg). However, the inter-patient range was 3 mg to 90 mg, and patients required anywhere between asingle dose and eight doses. One patient received a total of 285 mg before the aneurysm was secured29.
A South Korean group took advantage of an institutional change in their adenosine dosing strategy to compare
strategy effectiveness. Twenty-two patients received adenosine in a four-year period.
The first 11 patients received an initial dose of 6-12 mg, with doses escalated until a satisfactory period ofasystole was achieved. Eight patients required multiple doses. The final dose ranged from 0.16 to 2.67 mg/kg,
and this provided between three and 30 seconds of asystole. With the next 11 patients, a pre-calculated doseof 0.3-0.4 mg/kg IBW was administered, resulting in only one patient requiring a further dose. This dose regimen
provided a range of 13-41 seconds of asystole. The authors concluded that for convenience and safety, thepre-calculated dose method was preferable32.
Adenosine and outcomes after neurosurgery
Bebawy and colleagues performed a retrospective case-control study to determine whether repeated flowarrest from adenosine had neurological consequences in the early postoperative period. Intraoperative adenosine(in 72 patients, compared with 341 patients not given adenosine) was not associated with a poor neurologicaloutcome at 48 hours after surgery or at hospital discharge, as measured by a modified Rankin scale score >2.
The only modifiable risk factor in their study that led to a worse neurological outcome was temporary arterial
occlusion30.
A second retrospective case-control study assessed whether there was a relationship between adenosine use
during cerebral aneurysm surgery and morbidity and mortality. The outcome of interest was a composite ofcardiac complications in the immediate postoperative period and 30-day mortality. Of the 326 patients undergoinganeurysm surgery, 64 were given adenosine, and these were compared with the remaining 262 patients. Cardiac
complications were defined as myocardial infarction or arrhythmias, (the latter being non-sinus rhythm lastingover an hour or requiring cardioversion). Cardiac complications were included if they occurred within sevendays of surgery. The composite outcome occurred in 4.6 per cent of patients in the no-adenosine group and
9.4 per cent of patients who received adenosine. Although this trend was non-significant, the study was probably
underpowered to detect a difference. The two groups were adjusted for their different incidence of coronary
artery disease, but the odds of the composite outcome were still not significantly different between the groups31.
Given that patients with the worst disease were excluded from adenosine use, the influence of adenosine on
cardiac complications may have been underestimated.
Adverse effects and patient selection
The frequency of adenosine use in cardiac settings is far higher than in neurosurgery, and has given cliniciansa more representative idea of the incidence of major side effects, almost all of which are brief and self-terminating.
Most minor side effects are subjective and masked by anaesthesia. The incidence of atrial fibrillation after
adenosine is 8 to 12 per cent36,37, and occurs even in children38.

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There are numerous case reports of other arrhythmias ranging from complete heart block to ventricular fibrillation,and bronchospasm in both healthy and diseased lungs16,39-43. Coronary artery spasm occurs rarely; its mechanism
is poorly understood44-46. There are no reports of death.
A registry of adenosine use during myocardial perfusion imaging in over 9000 patients reported the frequency
of a variety of adverse effects; once again, no deaths occurred. This study, like many of the case reports,
involved a 6-minute infusion of adenosine at 140 mcg/kg/min via a peripheral line, with a total dose of
approximately 0.8 mg/kg. Table 2 summarises the frequency of side effects in this study.47
Table 2. Frequency of adverse effects with adenosine infusion in the Adenoscan Multicenter Trial
Registry47
SIDE EFFECTAPPROXIMATE INCIDENCE

Flushing

36%

Dyspnea35%

Chest pain

35%

Gastrointestinal discomfort

14%

Headache11%

AV block

7%

ST-T changes

6%

Arrhythmias

3%

Bronchospasm

0.1%

Most of the neurosurgical studies excluded patients with certain comorbidities from receiving adenosine:patients with severe coronary artery disease, AV block greater than first degree, and severe reactive airway
disease (active wheezing or hospitalisation in the previous six months)28,32,33. It is therefore unsurprising that
there were very few complications in the 239 neurosurgical patients included. Thirteen patients developed
transient arrhythmias, two had minor troponin elevations without apparent clinical sequelae, one developed
myocardial ischaemia in the postoperative period, and one required chest compressions for refractory severe
hypotension. With the latter patient, adenosine had been rapidly re-dosed to attain control of haemorrhage
during an intraoperative rupture with a 500 mL blood loss. Prolonged hypotension requiring chest compressions
and low-dose adrenaline ensued, with spontaneous return of circulation after three minutes. Tracheal extubation
was achieved uneventfully without troponin positivity29.
Precautions with adenosine
Patients taking dipyridamole or those with a cardiac transplant are likely to be more sensitive to adenosine.
Dipyridamole, a phosphodiesterase inhibitor, potentiates the effect of adenosine by blocking the nucleosidetransporter by which adenosine enters erythrocytes and endothelial cells, and by inhibiting its metabolism withincells48. In a cardiac transplant, the denervated SA and AV nodes have a three- to five-fold greater response toadenosine49,50. Central venous delivery of adenosine is likely to lower the required dose, by reducing theopportunity for uptake and metabolism before the drug reaches the site of action23. Carbemazepine canpotentiate adenosine-induced bradycardia51.
Methylxanthines include caffeine, theobromine (in chocolate), and theophylline. All are adenosine receptor
antagonists. Caffeine has been shown to significantly reduce the efficacy of adenosine if ingested within fourhours of its administration. An increased dose of adenosine may be required for therapeutic efficacy if patients
have recently taken methylxanthines52.
Adenosine is not contraindicated in atrial fibrillation, but if the patient has underlying Wolf-Parkinson-White
syndrome, adenosine’s AV nodal blockade can permit antegrade conduction from atria to ventricles in a 1:1
ratio down the accessory tract, potentially causing ventricular fibrillation. Any clinician using adenosine has tobe prepared for this possibility. In fact, given the high morbidity and mortality of intraoperative rupture, the only
absolute contraindication to adenosine should probably be a confirmed hypersensitivity reaction. That
notwithstanding, careful consideration of adenosine use is warranted in patients with a number of conditions
and taking certain drugs. Table 3 lists the precautions to consider when administering adenosine.

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Table 3. Precautions with adenosine use
HIGH DEGREE OF CAUTION

MODERATE DEGREE OF CAUTION

Severe coronary artery disease (>80% stenosis)

Atrial fibrillation

AV block greater than first degree

Dipyridamole (consider reduced dose)

Pacemaker

Cardiac transplant (consider reduced dose)

Wolf-Parkinson-White syndrome
Atrial flutter
Verapamil, digoxin, carbamazepine
Sinus node disease
Afterload-dependent patients
PRACTICE TIPS
1. In Australia, the intraoperative use of adenosine for transient cardiac standstill is not listed as anindication by the Australian Register of Therapeutic Goods53.
2. If adenosine use is anticipated, defibrillator pads should be applied to the patient, either fortranscutaneous pacing in the event of refractory bradyarrhythmias, or for cardioversion of malignant
tachyarrhythmias. For transcutaneous pacing, a semiautomatic/manual defibrillator will be required, andthe defibrillator’s ECG electrodes should be attached for successful capture.
3. As any period of flow arrest is short, the surgeon should be prepared for the desired neurosurgicalmanoeuvre when adenosine is given. Excellent communication between surgeon and anaesthetist tocoordinate timing is required.
4. Bradycardia with adenosine is unlikely to be reversed by anticholinergics such as atropine39.
5. In the event of aneurysm rupture, a starting dose of 0.3-0.4 mg/kg seems reasonable, but allneurosurgical case series to date have administered adenosine via a central venous line. If using aperipheral intravenous line, higher doses will probably be required.
6. A repeat dose of adenosine should be given only when the patient’s blood pressure and heart rate havereturned to baseline.
7. Where intraoperative adenosine administration is in use, departments of anaesthesia should consider
developing a local guideline, in consultation with departments of neurosurgery and the local drug andtherapeutic committee.
CONCLUSION
Transient cardiac standstill or extreme hypotension induced by adenosine is a well-described neurosurgical
technique to facilitate the clipping of anatomically challenging cerebral aneurysms. Although used relatively
infrequently, the strategy is increasing in popularity. Anaesthetists should be aware of the requirement for dosesof adenosine that are larger than those traditionally used for SVT termination. The brevity of adenosine’s half-lifemeans it is a remarkably safe drug, but rare cases of malignant tachyarrhythmias, refractory bradycardias,
coronary spasm or bronchospasm can occur. Where possible defibrillator pads and linked ECG electrodes
should be applied before administration of adenosine, and its use should be avoided in patients with severe
coronary artery disease, higher-grade heart block, and severe reactive airway disease.
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53. Department of Health, Therapeutic Goods Administration. ARTG Public Summary ARTG ID 49439 [Internet]. 1994. From:
http://www.tga.gov.au. Accessed 28 June 2017.

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Liver / Metabolic
Anaesthesia for patients with liver disease
Tom Fernandez, Chris Nixon
Perioperative hyperglycaemia – epiphenomenonor therapeutic target
Alexandra Skubala, Tomas Corcoran
Malignant hyperthermia – “Keeping things cool”
Sinead O’Keefe, Philip Nelson, Mark DavisAnaesthesia for patients with liver disease 

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Anaesthesia for patients with liver disease
THOMAS FERNANDEZ, BSc (Pharmacology), MBChB, FANZCADr Fernandez is a specialist anaesthetist at Auckland City Hospital. He has an interest in anaesthesia forhepatobiliary and liver transplant surgery. He completed a liver transplant fellowship at the University of California,
San Francisco, US.
CHRIS NIXON, MBChB, FRCA, FANZCA

Dr Nixon is a specialist anaesthetist at Auckland City Hospital and works with the New Zealand liver transplant unit.
INTRODUCTION
Patients with liver disease represent a growing proportion of presentations for surgery. Liver disease arises
from a variety of aetiologies varying in severity from stable sub-clinical disease to End Stage Liver Disease(ESLD). Treatment advances have led to increased survival in these patients. This will result in a growing number
undergoing surgery with diagnosed, as well as undiagnosed, yet stable disease. This patient population requires
special consideration perioperatively due to increased risk of infection, organ dysfunction and morbidity andmortality. This article focuses on the impact to the anaesthetist of adult patients with chronic liver disease.
EPIDEMIOLOGYWith the increasing prevalence of obesity and weight gain, Non-Alcoholic Fatty Liver Disease (NAFLD) has
become the leading cause of liver disease in Australia and New Zealand. An estimated 5.5 million Australians
are affected by NAFLD including 40 per cent of all adults aged over 501. Pharmacotherapy currently indevelopment may change the future for these patients2. Alcohol-related liver disease, hepatitis B and hepatitis
C predominate as the next most common causes of chronic liver disease with hepatitis B being the leading
cause of liver-related mortality. Hepatitis is a major risk factor for the development of hepatocellular carcinoma(HCC) – the most rapidly rising cause of cancer death in Australia3. Viral hepatitis B or C is linked to 30 per centof cases of liver cancer in Australia4. Novel direct-acting antivirals are now available which halt the progressionof Hepatitis B and in the case of Hepatitis C may offer cure. Other causes of chronic liver disease include toxins,
metabolic, autoimmune, vascular and biliary disease (see table 1).
CIRRHOSIS
Cirrhosis represents the end point of chronic liver disease with fibrosis and scarring of liver tissue leading tosignificant liver dysfunction. It is independently associated with increased morbidity and mortality. Cirrhotics
often have concomitant organ dysfunction with portal hypertension, splenomegaly, varices and possible
thrombocytopenia. They are fragile and decompensate easily with higher blood transfusion requirements, longer
lengths of stay, and increased risk of infection and perioperative complications. Del Olmo et al found a significant
increase in 30-day mortality between cirrhotics (16.3 per cent) and controls (3.5 per cent) undergoing nonhepatic operative procedures5. The great majority of patients with cirrhosis are actually unaware of its presence.
A high degree of clinical suspicion is therefore required. Diagnosis is difficult and relies on investigations. The
presence of concomitant hypoalbuminaemia, thrombocytopenia and elevated INR should raise suspicion forcirrhosis. Historically, diagnostic confirmation was through ultrasound and biopsy. It can now be obtained
through use of a Fibroscan (Echosens, Paris) which utilises low frequency ultrasound and elastography tomeasure liver elasticity or stiffness. The Fibroscan is portable, painless, rapid and useful for staging hepatitis
along with the degree of liver fibrosis and cirrhosis6. In all cirrhotics undergoing surgery, careful consideration
should be given to the necessity of the procedure, whether it should be performed in a tertiary hepatobiliary
centre and whether high dependency unit (HDU) care is required. It is therefore important to estimate risk andconsider risk modification, postoperative placement and hepatology input.

Table 1. Causes of liver failure

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CHRONIC

ACUTE

Infection• Viral hepatitis• Cytomegalovirus• Epstein Barr Virus

Infection• Viral hepatitis

Alcohol

Drugs• Paracetamol• Antibiotics• Phenytoin• Halogenated volatiles• Rifampicin• MDMA (Ecstasy)• Idiosyncratic

Biliary obstruction• Congenital• Biliary stones

Toxins• Amanita phalloides

Autoimmune• Primary biliary cholangitis• Primary sclerosing cholangitis

Miscellaneous• Sepsis• HELLP• Reye’s Syndrome• Lymphoma

Metabolic disease• NAFLD• Wilson’s Disease• Haemochromatosis
Vascular• Budd-Chiari• Thromboses
ESTIMATING RISK
Risk stratification in patients with liver disease is an important consideration prior to embarking on surgery. It
is particularly necessary for this patient group as peri-operative outcome is linked closely to the severity ofunderlying liver dysfunction.
Child-Pugh Score
Historically, the Child-Pugh Score was used to predict mortality in patients with liver disease undergoing surgery.
It subsequently became a general overall prognostic tool in patients with liver disease. Developed in 1964, it
calculates a score from the patient’s bilirubin, INR, albumin, degree of ascites and encephalopathy7 (see table2). Scores are then stratified into three groups (A-C) based on increasing severity with A being a score <7 andC >9. Child-Pugh A, B, and C predict a perioperative mortality risk of 10, 30 and 80 per cent respectively8.
Criticism of the Child-Pugh score relates to its subjective nature, limited discriminatory capacity and subsequentlack of accuracy. It places any patient into one of three classes rather than displaying a spectrum of severity9.
A bilirubin score of 55 µmol/L, for example would be scored the same as a bilirubin score of 155 µmol/L – eventhough the degree of elevation in serum bilirubin level is known to be an important prognostic indicator inpatients with cirrhosis9. The Child-Pugh has largely been surpassed by the Model for End Stage Liver Disease(MELD) score.
Table 2. Child Pugh Score7

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CLINICAL/LAB MEASUREMENTPOINTS SCORED
1

2

3

Encephalopathy grade

None

1-2

3-4

Ascites

AbsentMild

Moderate to severeAlbumin (g/L)

>35

28-35

<28

INR

< 1.7

1.7-2.3>2.3

Bilirubin (mmol/L)

<35

36-60

>60

The Model for End Stage Liver Disease (MELD)The MELD was originally developed in 2000 at the Mayo Clinic as a tool to predict three-month mortality inpatients following Transjugular Intrahepatic Portosystemic Shunt (TIPS) procedures10. The score actually turned
out to be predictive of prognosis in chronic liver disease in general. It has become the leading prognostic toolfor estimating disease severity and survival in patients with chronic liver disease. In 2002 following modifications,
it was adopted by the United Network for Organ Sharing (UNOS) and Organ Procurement Transplantation
Network (OPTN) as an objective tool in assigning need for liver transplant. Its principal role is ranking patient’s
mortality risk on the transplant waiting list to aid allocation. It is also shown to have predictive value for mortality
in patients with cirrhosis undergoing a variety of non-transplant surgical procedures11,12. The score ranges fromsix to 40 and is calculated from serum bilirubin, creatinine and INR13.
MELD Score = 10 * ((0.957 * ln(Creatinine)) + (0.378 * ln(Bilirubin)) + (1.12 * ln(INR))) + 6.43
For patients who have had dialysis twice within the past week, or 24 hours of Continuous Veno-VenoHaemodialysis (CVVHD), the creatinine value will automatically be set to 4 mg/dl. The inclusion of serum
creatinine is an important contribution highlighting the importance of renal function in disease severity forpatients with ESLD. A higher MELD score corresponds to a higher preoperative mortality risk. Patients withscores >15 should avoid elective surgery; 30-day post-operative survival decreases exponentially beyond MELD
scores of 10 (see figure 1).
Figure 1. Probability of post-operative survival versus MELD (redrawn11)
Weaknesses of the MELD score include the variability in measurement of INR and that serum creatinine is an244

Australasian Anaesthesia 2017inaccurate marker of renal function in cirrhosis (influenced by muscle mass, protein dietary intake, age, ethnicity,and gender). Overall, the MELD score is based on widely available objective lab values, and is hence a moreobjective and robust predictor of perioperative outcome and mortality than the Child-Pugh score14. Modifications
to the MELD have also arisen over time. The delta MELD (change in MELD score) has shown that an increasing
MELD score predicts a higher mortality risk than a decreasing or stable MELD, even if the overall score is thesame14. Hyponatraemia is a strong predictor of early mortality independent of the MELD score15. Its inclusion
improves the accuracy of MELD particularly in patients with low MELD coupled with severe hyponatraemia16.
PRE-OPERATIVE ASSESSMENT
Liver disease involves multi-system organ dysfunction with secondary manifestations and complications. A
careful preoperative assessment adopting a thorough systems approach is therefore required. History, examinationand investigations should be targeted towards disease aetiology, severity and its stability or progression. The
routine use of liver function tests in the general population is not advised. Testing should instead be on thebasis of history and examination. Deferring surgery is not necessary for mild elevations of transaminases,
however, moderate to severe elevations warrant further evaluation. As always, determination of the necessity
and timing of surgery must be confirmed. Pre-operative consultation with a hepatologist or medical gastrointestinal
team should be considered in patients with advanced or moderately severe disease to facilitate assistance inthe event of peri-operative decompensation. In adopting a systems approach to the patient, anaesthetists
should recall the underlying pathophysiology of liver disease and take this into account when assessing thepatient.
NeurologicalPatients with severe or ESLD display altered brain metabolism and are at risk of developing encephalopathy
with potential cerebral oedema and intracranial hypertension. Presentation ranges from mild confusion with
impaired memory or psychomotor function to complete coma. Assessment can be performed utilising Glasgow
Coma Scale or Conn Score (West Haven Criteria)17. The inappropriate use of sedatives or narcotics canexacerbate CNS depression. Gastrointestinal bleeds, dietary protein overload and sepsis can also precipitate
altered neurological function. Normal bowel function with adequate emptying avoids elevations in gut ammonia
and nitrogenous levels. Lactulose promotes reduction in soluble ammonia due to reduced gut pH along withdirect removal. Rifaximin (an oral antimicrobial agent) also has a protective effect in reducing nitrogen producing
enteric bacteria18.
Respiratory
The respiratory system is rarely affected in early liver disease. Involvement may occur in severe ESLD when
ascites contributes to atelectasis or hepatic hydrothorax. Both conditions reduce the functional residual capacity(FRC) placing patients at risk of desaturation. Patients with advanced liver disease and severe portal hypertension
may also be at risk of pulmonary vascular complications such as portopulmonary hypertension (elevated mean
pulmonary artery pressure secondary to increased pulmonary vascular resistance), and hepatopulmonary
syndrome (HPS), (hypoxaemia due to pulmonary vasodilatation and shunting)19. HPS is diagnosed when portal
hypertension, arterial hypoxaemia (age-corrected alveolar-arterial oxygen gradient of >2-2.7 kPa) andintrapulmonary vascular vasodilation are present in the absence of cardiopulmonary disease20. Desaturation
occurs due to ventilation-perfusion mismatch and worsens in the upright position (platypnoea and orthodeoxia).
Treatment is supportive with resolution seen following liver transplantation. The timing of transplantation
prioritises early treatment as severe hepatopulmonary syndrome is a contra-indication. Medical treatment is
disappointing, and transplantation offers improvement or cure in 85 per cent of patients.21.
Cardiovascular
ESLD patients display a hyperdynamic circulation with tachycardia, increased cardiac output and low SVR.
These compensatory cardiovascular changes may occur due to splanchnic vasodilation, sodium and fluid
retention and increased production coupled with decreased hepatic clearance of vasodilating substances suchas nitric oxide, carbon monoxide, endogenous cannabinoids and Tumor Necrosis Factor alpha22. Clinically,
patients mimic the haemodynamic profile of sepsis. The presence of underlying cirrhotic cardiomyopathy orventricular dysfunction can be masked. Patients are often beta blocked to aid reduction in portal pressuresand reduce the risk of variceal bleeding. For major surgery in those unable to provide satisfactory exertional
history a transthoracic echocardiogram should be considered to assess overall systolic and diastolic ventricularfunction and exclude pulmonary hypertension. QT prolongation is also common and worsens in parallel withseverity of disease23. Hypomagnesaemia is common and may need correction.
Portopulmonary hypertension (PPHTN) is defined by right heart catheterisation showing a mean pulmonary
artery pressure (MPAP) >25 mmHg at rest, Pulmonary Capillary Wedge pressure <15 mmHg and pulmonary
vascular resistance >240 dynes.sec.cm-5 (or three Woods units)24. If present, patients can develop subsequent
right ventricular (RV) dysfunction. These patients pose a high perioperative mortality risk with challenging
haemodynamic management and fluid balance. Surgery should be undertaken only when absolutely necessary.
Liver transplantation itself is contraindicated where MPAP exceeds 50 mmHg; is associated with significant RV
dysfunction or where pulmonary vasodilator therapy fails to reduce MPAP below 35 mmHg24,25.

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Renal and electrolytes
Renal dysfunction is common in patients with advanced liver disease and cirrhosis. Its presence represents ahigher perioperative risk of mortality and morbidity than liver dysfunction alone. Causation is multifactorial andcontributed to by low SVR states leading to an altered renin-angiotensin-aldosterone system and subsequent
ascites, oedema, renal intravascular vasoconstriction and hypoperfusion26. Attention must be given to adequate
preoperative fluid balance, avoidance of nephrotoxins and highlighting patients at risk of requiring renal
replacement therapy in the postoperative period. With progressive reductions in renal function and advanced
hepatic failure, consideration must be given to the presence of hepatorenal syndrome (HRS). Divided into two
types, criteria for the syndrome are shown in table 327.
Table 3. Criteria for hepatorenal syndrome(i)

Cirrhosis with ascites.

(ii) Serum creatinine greater than 133 µmol/L over days to weeks or an increase of greater than 26.5 µmol/Lwithin 48h.
(iii) No improvement of creatinine after 2 days of diuretic withdrawal and volume expansion with albumin.
(iv) Absence of shock.
(v) No current or recent treatment with nephrotoxic drugs.
(vi) Absence of parenchymal kidney disease.
Management of HRS is complex, ideally involving improvement of underlying liver dysfunction. Medical therapy
with terlipressin, octreotide or noradrenaline to elevate mean arterial pressure may be required27. TIPS procedures
can provide short-term benefit, though are considered high risk and utilised only as a last resort. Where areversible liver insult is present or liver transplantation is possible, dialysis may provide bridging therapy whilst
awaiting improvement in liver function. When assessing patients with concomitant renal and hepatic dysfunction
the help of nephrologists should be sought early to aid assistance postoperatively.
Electrolyte and fluid disturbances are common in patients with advanced disease. Ascites, peripheral oedema,
hypoalbuminaemia, hyponatraemia, hypomagnesaemia and hypo-phosphataemia are frequently encountered.
Attention should be given to correction of the “intravascularly deplete, yet extravascularly full” state. Magnesium
and phosphate depletion should be corrected to improve overall cellular function and avoid risk of dysrhythmias.
Hyponatraemia is a common finding in patients with cirrhosis. The degree of severity correlates to that of
cirrhosis and contributes to encephalopathy28. If present, sodium levels should be monitored with avoidanceof rapid over-correction due to risk of precipitating central pontine myelinolysis. For a full description of acidbase and electrolyte disorders in liver disease see Scheiner et al29.
Gastrointestinal
The gastrointestinal features of advanced liver disease include the development of portal hypertension and its
sequelae along with global malnutrition states. Portal hypertension arises principally due to increased vascular
resistance within the portal system. Cirrhosis and scarring is the most common contributor though portal
thrombotic disease may also be responsible. It is often exacerbated by splanchnic vasodilatation due to the
production of endogenous vasodilators. Principal manifestations are; oesophageal, gastric and haemorrhoidal
varices, splenomegaly with thrombocytopenia, and the development of ascites. Oesophageal and gastricvarices are predisposed to rupture and haemorrhage. Severity should be determined preoperatively in any
patient with severe portal hypertension or history of haematemesis. Endoscopic ligation, sclerotherapy andnonselective beta-blocker therapy are undertaken as prophylaxis against bleeding. Sengstaken tube placement
and TIPS procedures are reserved for those with haemorrhage where endoscopic and pharmacological therapies
fail30.
The presence of tense ascites is associated with a 50 per cent mortality at five years31. It predisposes patientsto aspiration, spontaneous bacterial peritonitis and haemodynamic instability arising from impaired venous
return. FRC may be reduced increasing risk of rapid desaturation following induction of anaesthesia. Consideration
should be given to paracentesis preoperatively or immediately following induction of anaesthesia. Treatment
reduces the likelihood of renal impairment and electrolyte derangement. Volume replacement with albumin
solutions should be given to avoid post-paracentesis circulatory dysfunction.
Many patients with liver disease are malnourished with sarcopenia, increasing the risk of sepsis. Patients withascites often require low sodium diets. Pre- and postoperative nutritional plans should be established inconsultation with dieticians to aid overall recovery.
Coagulation system
The coagulation system of patients with liver disease is perceived as being associated with clinical bleeding
due to deficiency in pro-coagulant factors. The reality is more complex involving a balance between coagulopathy

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Australasian Anaesthesia 2017and prothrombotic states. The majority of coagulation proteins are reduced with the exception of Factor VIII
and von Willebrand factor32,33. Reduced levels do not impair thrombin generation until their concentration isextremely low. Preoperative assessment of coagulation should be clinically based and will vary with severityof disease. Laboratory investigations should be supportive of clinical decision making rather than directive.
Hypersplenism and platelet consumption result in thrombocytopenia, while abnormal platelet and endothelial
function, dysfibrinogenaemia, excessive fibrinolysis and renal failure add to the complicated picture33. While
the majority of patients with liver disease have mild to moderate thrombocytopenia and platelet dysfunction,platelet transfusion is rarely required as platelet counts of 50-60 × 10 9/L are sufficient to trigger coagulationand high levels of von Willebrands Factor are protective34. The INR and APTT are measures of secondary
haemostasis that do not correlate directly with bleeding tendency. Assessment of preoperative bleeding risk
using these parameters alone is unreliable as they do not take into account other key components of thecoagulation system such as Protein C and S and vascular endothelium. Normal to high levels of factor VIII canalso normalise APTT despite multiple deficiencies of procoagulant factors35. Preoperative INR has no predictive
value in relation to intraoperative blood loss and the administration of fresh frozen plasma (FFP) solely on thebasis of abnormal INR is not advised.
INTRAOPERATIVE CONSIDERATIONS
As with any patient, the choice of anaesthetic and level of monitoring should be tailored to the nature of surgery
and overall patient assessment. Patients with mild liver disease, Child-Pugh A classification or low and stable
MELD differ little from other patients in intra-operative management. Appropriate care and monitoring should
be exercised postoperatively to ensure no decompensation or deterioration in liver function.
Patients with moderate to severe and ESLD warrant special consideration. Intraoperative management is
influenced by the surgical procedure, risk stratification, disease severity and underlying organ dysfunction.
Airway and ventilation
In patients with severe ascites, rapid sequence induction should be considered due to risk of aspiration resulting
from raised intra-abdominal pressure. Where tense ascites is present, a longer period of preoxygenation in aslight head-up position helps off-set the impact on FRC.
In cases of respiratory impairment due to severe ascites or hepatic hydrothorax, preoperative drainage should
be considered. Post-paracentesis complications of infection, circulatory dysfunction and electrolyte/renal
derangement may arise. Hypoxia, hypercarbia, acidosis and hypothermia increase pulmonary vascular resistance,
worsening pulmonary hypertension and RV dysfunction. Hypocarbia and hypoxia lead to hepatic vasoconstriction,
reduction in hepatic blood flow and subsequent liver ischaemia.
Circulation
Reductions in mean arterial pressure (MAP) lead to a reduction in portal venous and hepatic arterial blood flow.
These changes are exacerbated by IPPV, pneumoperitoneum, head-up position and direct compression during
surgery in and around the liver. A relative fluid restriction is important to preserve the glycocalycx and reduce
fluid extravasation.
In liver resection, fluid requirement is balanced against the potential for liver congestion and blood loss. The
use of low central venous pressure (CVP) to avoid bleeding is a standard of practice to decrease blood loss36.
Techniques for reduction include head up position, fluid restriction during the resection phase, glyceryl trinitrate(GTN) and furosemide to help maintain a state of hypovolaemia and vasodilation. This reduces hepatic veinback pressure and venous bleeding. Haemodynamic instability with reduced cardiac output and an increased
risk of air embolism may be exacerbated by hypovolaemia37,38. Appropriate open communication between
surgeon and anaesthetist is critical in obtaining optimal conditions through reduction in CVP while ensuring
judicious fluid replacement and monitoring end-tidal CO2. In a meta-analysis and systematic review, Hughes
et al found that while a low CVP technique reduced blood loss and transfusion rates after liver resection, thisdid not correspond to improvements in overall terms of morbidity or length of hospital stay39.
Surgical methods for haemostatic control during liver resection have improved greatly over time. Devices suchas the Cavitron Ultrasonic Surgical Aspirator (CUSA, Valleylab), Harmonic Scalpel, Bipolar vessel sealing device(LigaSure) and Argon beam coagulator have led to faster transection times with more effective haemostasis40.
Use of intraoperative ultrasound aids delineation of proper transection planes. Radiofrequency-assisted liverresection and ablation techniques are other relatively new modalities allowing resection of certain tumors with
reduced blood loss41. As a result, the use of vessel occlusion techniques such as the Pringle manoeuvre(clamping of the hepatoduodenal ligament to cease hepatic artery and portal vein flow) and inferior vena cava
(IVC) clamp are less commonly utilised. If such manoeuvres are performed, the anaesthetist must be aware of
the potential for iatrogenic liver injury, liver ischaemia, increased portal/splanchnic pressures, reperfusion injury
and thrombo-embolic phenomena.
Access and monitoring
Access and monitoring is influenced by the nature of surgery, severity of disease, comorbidities and associatedorgan dysfunction. For major surgeries, arterial blood gas monitoring is recommended to enable assessment

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of haemoglobin, electrolytes and acid base status. The clearance of lactate postoperatively is a useful surrogate
indicator of volume status and underlying liver function. In situations of elevated lactate care must be given to
fully investigate all causes before attributing elevations to liver disease alone42.
Thromboelastography (TEG) and Thromboelastometry (ROTEM) are viscoelastic tests providing point-of-care
information on clot formation, strength, and stability. Their use reduces transfusion requirements in livertransplantation and currently is the gold standard for displaying fibrinolysis and hypercoagulability43. Intraoperative
inspection of the wound edges and surgical field is essential in determining the need for administration of
coagulation products. TEG allows guidance and direction of which products are required.
Where significant blood loss is possible large bore IV access must be established with consideration of rapid
infusion devices and cell salvage. Central venous lines (CVL) are standard of care for major liver surgery atmany institutions. Abnormal laboratory coagulation parameters do not require correction prior to CVL placement44,
especially when inserted by experienced clinicians utilising ultrasound guidance. In robust patients undergoing
minimally invasive and less complex resections a CVL is not always necessary44. In centers with extensive
experience, this is also the case, as fluid restriction may be implemented independently of CVP monitoring37.
Patients with severe PPHTN are a significant clinical challenge requiring intraoperative monitoring via TOE or
pulmonary artery catheter (PAC). The use of a PAC can however result in serious complications including PA
rupture, arrhythmias, and death45. Placement should only be performed in appropriate patients by experienced
practitioners. Despite being a poor predictor of fluid responsiveness46 their ability to measure cardiac output
and provide a direct measure of pulmonary artery and capillary wedge pressures guides management. TOE
provides a more useful dynamic assessment of the effects of pulmonary pressures on the right ventricle. Valuable
information on volume status, ventricular/valvular function and the presence of air or clot may be obtained.
Numerous retrospective studies have demonstrated safe placement in the presence of varices and coagulopathy
and this should not be viewed as a contraindication47,48.
PHARMACOLOGICAL CONSIDERATIONS
Sedatives
Sedatives (for example, benzodiazepines) are generally avoided in this patient population due to decreased
metabolism, prolonged clinical effect and the possibility of worsening encephalopathy.
Opioids
The liver is the major site of biotransformation and metabolism of opioids. In patients with cirrhosis the elimination
half-life of morphine is prolonged which can lead to the exacerbation of sedative or respiratory depressanteffects, especially with repeated administration49. If opioids are utilised, appropriate O2 saturation monitoringshould be in place with consideration for dose reduction and longer dosing intervals for increased safety. The
use of intrathecal morphine is increasingly being used following liver resection for its effective analgesia andavoidance of epidural-related sequelae50. Postoperatively, patients are often monitored in HDU due to thepotential for respiratory depression. Numerous studies have shown this is rare at doses <5µg/kg (max 400µg)51,52.
Pethidine should be avoided due to the potential accumulation of norpethidine, a metabolite that causes
seizures. The half-life and bioavailability of oxycodone is increased, hence dose reduction or a longer dosinginterval should also be applied. Methadone is metabolised in the liver resulting in reduced clearance. It does
not however have toxic metabolites and is well tolerated in patients with mild to moderate liver failure if standard
doses are used48. In severe liver failure the half-life increases and it should be used cautiously53. Tramadol ismetabolised to active metabolites in the liver. While the risk of respiratory depression is less than with morphine,dose reduction and care should still be exercised due to its significant side effect profile (seizures, serotonergic
syndrome)49,53. The disposition of fentanyl and remifentanil remain unchanged in severe liver disease and thesecan be used in the same manner as in patients without liver disease49.
Paracetamol
Paracetamol overdose is one of the leading causes of acute liver failure in many parts of the western world
including Australia54. This association has led to many practitioners avoiding the drug in patients with liver
impairment. It is, however, a safe and useful analgesic for this patient population and free of sedative or
nephrotoxic effects. The majority of paracetamol’s metabolism is via sulfation and glucuronidation. A small
proportion is oxidised via the CYP system to a hepatotoxic intermediate, N-acetyl-p-benzoquinone imine(NAPQI), which is then rendered non-toxic by conjugation to glutathione53. While the half-life of paracetamol
may be prolonged in liver disease, CYP activity is not increased (with subsequent less NAPQI formation).
Glutathione stores are also generally sufﬁcient to avoid paracetamol hepatotoxicity. Current recommendations
including those of the FDA are to limit long-term (>14d) doses to 2-3 g/day. Short-term dosing is safe at
4 g/day for adults53,55.
Non Steroidal Anti-Inflammatory Drugs (NSAIDs)
NSAIDs are generally avoided in patients with liver disease due to possible gastrointestinal bleeds, worsening
platelet dysfunction and renal impairment. There is limited study data available for recommendation on the use

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Australasian Anaesthesia 2017of COX-2 selective NSAIDs in the liver disease population. Despite a lower side effect profile than COX-1
inhibitors the potential for renal dysfunction still exists so their use is not recommended56.
Regional/local anaesthetics
The use of regional anaesthesia allows a decrease in patient exposure to sedatives and opioid analgesia avoiding
potential respiratory depression, worsening encephalopathy and other opioid related side effects. Correctionof underlying coagulopathy to facilitate neuraxial approach is not recommended. Where coagulopathy is present,
peripheral techniques may be adopted. The use of continuous bilateral transversus abdominis plexus (TAP) andrectus sheath blocks have been shown to provide effective analgesia and an alternative to epidurals57,58,59.
Plasma local anaesthetic (LA) levels are higher in patients with liver dysfunction due to altered distribution andimpaired metabolism60. The safe amount of long-acting LA in liver disease either by wound instillation or epiduralis unknown. If liver dysfunction is present postoperatively, a limitation of 48h infusion and ropivacaine concentration
no greater than 0.25 per cent has been recommended in order to avoid accumulation and toxicity61.
Muscle relaxants
Atracurium and cis-atracurium are the preferred relaxants for patients with liver disease due to their organ
independent elimination through Hoffman degradation. Plasma cholinesterase levels are decreased in severe
liver failure prolonging the duration of action of suxamethonium though this is rarely a problem clinically.
Rocuronium and vecuronium are metabolised by the liver requiring dose reduction but may be an alternative
since the introduction of sugammadex. A neuromuscular monitor should be utilised in all patients with significant
liver dysfunction to aid clinical decision making for extubation.
Sugammadex
Sugammadex is neither metabolised nor excreted by the liver. The data sheet however advises caution for use
in patients with hepatic impairment accompanied by coagulopathy62 due to changes in coagulation profiles
following administration63,64. None of the studies have shown a clinically significant difference in bleeding
between the control groups and sugammadex groups65,66 and studies have been performed in patients withliver disease demonstrating its safety67.
Propofol/volatile agents
Liver function after resection or transplantation may be better after propofol TIVA68,69 than volatile agents but
there is little evidence for relative benefit in cirrhosis. Drug hapten-induced hepatitis following exposure tovolatile agents is rare. The move from halothane to newer volatile agents has not eliminated the possibility ofan idiosyncratic reaction and this has been described for all halogenated volatile agents including desflurane70.
Thromboprophylaxis
Cirrhosis may be associated with an increase in venous thromboembolic events (VTE) due to an imbalance
between thrombotic and antithrombotic proteins. Enhanced thrombin in association with partial deficiency inendogenous anticoagulants may be responsible71. Studies range between 0.5-6.3 per cent for incidence of
new deep vein thrombosis (DVT) or pulmonary embolus (PE) in patients with cirrhosis72,73. Søgaard et al founda higher relative risk of venous thromboembolism compared to the general population74. In addition, patientsare at high risk of portal vein and other splanchnic thromboses. Patients with cirrhosis having undergone surgery
should receive thromboprophylaxis to mitigate this risk. This is often neglected due to the presence of underlying
coagulopathy and varices. The decision on which prophylactic anticoagulant to utilise should be on a case bycase basis. Options include unfractionated and low molecular weight heparin (LMWH), vitamin K antagonists(Warfarin) and direct acting oral anticoagulants (Dabigatran). This is complicated by a lack of adequate studies
or established guidelines, the absence of an ideal lab monitoring test and the presence of pre-existing elevations
in INR or APTT. Where risk of surgical bleeding is high mechanical therapy should be used. The ability to reverse
unfractionated heparin (protamine), warfarin (prothrombin complex concentrates) or dabigatran (idarucizumab)
is an advantage of these agents over LMWH.
Drug Induced Liver Injury
Drug Induced Liver Injury (DILI) is the commonest cause of acute liver failure (ALF) in Australasia. In most cases
this is an idiosyncratic and unpredictable reaction. Aside from paracetamol overdose, commonly implicateddrugs are antibiotics (particularly amoxicillin/clavulanate), anti-tuberculosis therapies, sulpha-containing drugs,
nitrofurantoin, phenytoin and sodium valproate75. Herbal/dietary medicines are also increasingly implicated.
DILI includes a spectrum from asymptomatic elevation in liver transaminases to acute liver failure. It mostcommonly presents with unexpected jaundice. Management involves cessation of causative agent and earlyreferral to a hepatologist. In cases progressing to ALF liver transplantation may be required.
NEW CONSIDERATIONS FOR PATIENTS WITH HEPATITIS
Australia has embarked on an ambitious path to eradicate hepatitis C disease. This is thought possible due tohigh cure rates (>90 per cent) achieved by short duration (12 weeks) direct-acting antiviral (DAA) combinations.
Sustained virological response is associated with improvement in liver function, reduced rates of HCC76, reduced
portal venous pressure, decreased oesophageal varices and fewer liver transplantations77. Cost estimates show
effectiveness, though barriers to eradication do exist78. Patients presenting for elective surgery with newly
diagnosed hepatitis C should have antiviral treatment considered prior to surgery for risk mitigation. Treatment

Anaesthesia for patients with liver disease 249

regimens are based on the viral genotype which varies with region79. Unfortunately, some trials have reported
a high recurrence rate for HCC after HCV eradication and further studies are in progress to address thecontroversy surrounding this80. Sustained virological response rates for hepatitis B infection are lower andlifelong therapy is required for control.
POSTOPERATIVE CARE
Postoperatively patients require ongoing monitoring and management due to potential for decompensation
with sepsis, encephalopathy and renal dysfunction. An HDU area with access to physicians experienced indealing with these patients is important for successful outcomes in patients undergoing major surgeries andthose with moderate to severe disease. Decompensation is life-threatening requiring early referral to hepatologists
and intensive care for prompt diagnosis and treatment of the underlying cause.
CONCLUSION
In this article we have described the important considerations for the anaesthetist when faced with patientswith liver disease. Approaches to management include risk stratification and a systems based pre-operative
assessment cognisant of the pathophysiological implications of the disease. Intraoperative care involves planningof monitoring, fluid therapy and anaesthetic technique, tailored to the severity of disease and nature of surgery.
Careful consideration should be given to post-operative drug selection with cautious use of agents undergoinghepatic metabolism and avoidance of nephrotoxins. Appropriate postoperative placement is paramount withpatients with moderate to severe disease better cared for in tertiary hepatobiliary centres. Decompensated liverdisease is life-threatening requiring multidisciplinary input in consultation with hepatology and intensive care
physicians.
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253

Perioperative hyperglycaemia – epiphenomenon or therapeutictarget?
ALEXANDRA SKUBALA, BM, FRCADr Skubala is a senior registrar in anaesthesia, and research fellow in the Department of Anaesthesia and Pain
Medicine at Royal Perth Hospital.
TOMAS CORCORAN, MB, BCh, BAO, MRPCI, FCAI, FCICM, MD

Professor Tomas Corcoran is a specialist anaesthetist and intensivist, and is the director of research in the
Department of Anaesthesia and Pain Medicine at Royal Perth Hospital.
INTRODUCTION
Perioperative hyperglycaemia is increasingly recognised as a common occurrence in surgical patients and there
is concern as to its significance and how best to manage it1. This increased recognition is attributable to multiple
factors; awareness of the prevalence of insulin resistance and diabetes in the community (often associatedwith increasingly sedentary lifestyles and an epidemic of obesity), an increase in the frequency of perioperativelaboratory testing, and emerging concern that perioperative hyperglycaemia may be a marker of higher risk
and adverse outcome. The critical care community has been examining these issues with large trials over the
past 16 years, primarily involving patients undergoing cardiac surgery and patients with critical illnesses2-6. The
consensus appears to be that intensive blood glucose control can cause more harm than benefit and is nottherefore recommended for these patients7. However, we are only now turning our attention to this issue in the
broader context of non-critically ill patients undergoing non-cardiac surgery. This chapter limits its discussion
principally to this group of patients.
EPIDEMIOLOGY OF PERIOPERATIVE HYPERGLYCAEMIA
The epidemiology of perioperative hyperglycaemia is clearly dictated by the patient groups examined. Twomain factors; the type of surgery that the patients are undergoing, and the co-existence of diabetes mellitus
dictate the patterns observed. Among patients undergoing general surgery, perioperative hyperglycaemia canbe seen in 20 to 40 per cent of patients at some point during their hospital stay8-10. In one study, clinicallysignificant hyperglycemia (defined as blood glucose >10 mmol/L)11 was observed in 7.9 per cent of non-cardiac
surgical patients before surgery, in 17.2 per cent of subjects on the day of surgery, and in 9.9 per cent of patientsduring the postoperative period (days 2-10)8. Forty per cent of those patients had a blood glucose concentration>7.8 mmol/L, with 25 per cent of those patients having a blood glucose concentration >10.0 mmol/L. This figure
rises to 80 per cent among patients undergoing cardiac surgery4,5. Umpierrez et al have reported a 38 per centincidence of hyperglycemia (26 per cent known diabetics, 12 per cent undiagnosed diabetes) in a sample of2000 hospital admissions12 – the undiagnosed diabetics had a longer length of stay and ICU admission rate13,14.
In one study after major colorectal surgery, 66 per cent of non-diabetic patients developed postoperative
hyperglycaemia during their hospital stay1. Hence, perioperative hyperglycemia is very common, and is not
restricted to patients with diabetes mellitus.
PREVALENCE OF DIABETES MELLITUS
Glucose regulation is a complicated process and highly orchestrated, involving principally the liver, pancreas,
muscle, brain, adipose tissues and sensors in the hepatoportal area and in the kidneys. This has been extensively
reviewed and summarised elsewhere15. Type 1 diabetes mellitus (T1DM) is caused by autoimmune-mediateddestruction of pancreatic beta cells. Type 2 diabetes mellitus (T2DM) is initially characterised by tissue insensitivity
to insulin. The longer the duration of T2DM, the less responsive the beta cells become, and over time are nolonger able to release enough insulin. Hence, at a certain point in the progression of diabetes, insulin therapy
may be necessary to control blood glucose levels.
Diabetes mellitus is the most common metabolic disorder and although there are international variations in theprevalence of diabetes, it is estimated that it has a global prevalence of 9 per cent of the population. Approximately
90-95 per cent of those individuals have T2DM, and 46.5 per cent of adults with diabetes are undiagnosed. In
2011 it was estimated that 366 million people on earth had diabetes, projected to increase to 522 million by
2030. The majority of this increase is an increase in the prevalence of T2DM, attributable to an ageing population,
increased in obesity levels, lack of exercise, and migration of susceptible populations. Patients with T2DM can
expect a 10-year reduction in life expectancy. In 2010, 6.8 per cent of all deaths globally were due to diabetes(Types 1 and 2), and it is one of the top five global causes of premature death16.
UNDIAGNOSED DIABETES MELLITUS IN HOSPITAL PATIENTSIn one small study, it was determined that almost 20 per cent of hospitalised patients had undiagnosed diabetes
mellitus, based on a HbA1C cut off value of 6.1 per cent17. In other studies, comprising non-cardiac surgicalpatients, 14-19 per cent were known diabetic patients9,18, 10 per cent had undiagnosed diabetes mellitus while
11 per cent had undiagnosed impaired glucose tolerance18. The prevalence of hyperglycaemia in hospital

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patients has been estimated at 40 per cent19, and among surgical patients, 25 per cent of patients presenting
for elective surgery were diabetic based on fasting blood sugar concentrations20. An Australian study has
identified the prevalence of diabetes in hospital patients at 24.7 per cent21. Overall, therefore, up to a quarterof all hospital patients will be diabetic, and in the perioperative period, up to 40 per cent will have deranged
glucose metabolism, attributable either to diabetes (diagnosed or undiagnosed), impaired glucose tolerance,or pure stress hyperglycaemia (see below). Hence, diabetes is a very common comorbidity in hospital patients,
and those patients that are undiagnosed diabetics represent a further cohort that will experience greater risk.
PATHOPHYSIOLOGY OF STRESS HYPERGLYCAEMIA
Stress hyperglycemia (SH) is the term that has been coined to describe what used to previously be called“hospital hyperglycaemia”. It is now defined as the development of (clinically significant) transient hyperglycemia
in association with an acute illness which resolves with resolution of the acute illness, and it is implicit thatthese patients do not have previous evidence of diabetes22,23.
The stress response to surgery is mediated largely by the hypothalamic-pituitary-adrenal (HPA) axis and thesympatho-adrenal system. In general, there is a graded response to the degree of stress. Adrenal cortisol output
increases up to 10-fold with severe stress. In patients with shock, plasma concentrations of epinephrine increase
50-fold and norepinephrine levels increase 10-fold. The adrenal medulla is the major source of these released
catecholamines. The increased release of stress hormones results in multiple effects (metabolic, cardiovascularand immune) aimed at restoring homeostasis during stress. The HPA axis, sympatho-adrenal system andproinflammatory cytokines (TNF-α, IL-1 and IL-6) act collectively and synergistically to induce stresshyperglycaemia.
The endocrine response to stress is characterised by excessive gluconeogenesis, glycogenolysis and insulin
resistance​. Postoperative insulin resistance can persist for up to 21 days postoperatively24. Stress hyperglycaemia,
however, appears to be caused predominantly by increased hepatic output of glucose rather than impaired
tissue glucose extraction. The metabolic effects of cortisol include an increase in blood glucose concentration
through the activation of key enzymes involved in hepatic gluconeogenesis and inhibition of glucose uptake inperipheral tissues such as the skeletal muscles. Both epinephrine and norepinephrine stimulate hepatic
gluconeogenesis and glycogenolysis; norepinephrine has the added effect of increasing the supply of glycerol
to the liver via lipolysis. Inflammatory mediators, specifically the cytokines TNF-α, IL-1, IL-6, and C-reactive
protein, also induce peripheral insulin resistance. In addition, the altered release of adipokines (increased zincalpha2 glycoprotein and decreased adiponectin) from adipose tissue during acute illness is thought to play a
key role in the development of insulin resistance.
Perioperative hyperglycaemia may thus be encountered in three broad categories of patient:22
1. Hyperglycaemia in a patient known to be diabetic.
2. In these patients, the hyperglycaemia is due to a combination of SH, and alteration of the patientsdiabetes medication or insulin regimen.
3. Hyperglycaemia in a patient who is not known to be diabetic (but subsequent testing identifies either
impaired glucose tolerance or diabetes mellitus).
4. In these patients, the hyperglycaemia is due to a combination of SH and their underlying untreatedinsulin resistance/deficiency. This group of patient represents an “occult” group of high risk. They may
already have started to develop some of the chronic complications of diabetes, and they are likely tohave more extreme excursions in blood glucose values in the perioperative period. They also run therisk of developing diabetic crises. These crises may be well advanced before suspected by clinicianssince the patients are not known to have deranged glucose homeostasis.
5. Hyperglycaemia in patients who are not known to be diabetic and on testing are found to have normal
glucose metabolism.
6. In these patients, the hyperglycaemia is often an incidental finding, tends not to reach dangerous
levels, and resolves in tandem with resolution of the acute surgical insult.
The prevalence of perioperative hyperglycaemia has led to calls for all patients undergoing major surgery toundergo HbA1c testing prior to surgery25, and this is particularly relevant for those in category 2 above.
Paradoxically, however, there is evidence that this perioperative hyperglycaemia may have greater clinicalrelevance for non-diabetic patients than for patients with established diabetes9,10,18. Hence, all episodes of inpatient hyperglycaemia, particularly perioperative hyperglycaemia, in patients not known to be diabetic mustbe followed up with further testing.

Perioperative hyperglycaemia – epiphenomenon or therapeutic target? 255

MECHANISMS OF HARM THROUGH HYPERGLYCAEMIA
The adverse consequences of chronic hyperglycaemia, and the benefits of treatment, are unquestionable, andthe mechanism has been attributed to overproduction of superoxide radicals by the mitochondrial electron
chain26. The typical chronic complications of diabetes take several years to develop; therefore, the explanation
for a rise in harm that is related to stress hyperglycaemia needs further consideration. Diabetic patients areoverrepresented in the hospital population, and are more likely to undergo surgery. They often have extensive
comorbidities, including atherosclerosis, renal impairment, coronary artery disease, peripheral vascular diseaseand cerebrovascular disease. In comparison to non-diabetic patients, the surgical patient with diabetes
demonstrates an increase in associated costs and more adverse outcomes in virtually every surgical specialty
in which this question has been examined8,20,27-33. Patients with diabetes should therefore be considered as
high-risk patients, with higher overall risks of morbidity and mortality, longer length of stay and death34,35.
Whether this risk is further modified by the acute changes of stress hyperglycaemia is unknown.
Stress hyperglycaemia is mediated by much greater inflammatory and neuroendocrine derangements than are
expected in chronic hyperglycaemia associated with diabetes. Possible mechanisms of harm from acute
hyperglycaemia are impaired leukocyte functions36,37, poor wound healing38, increased proinflammatory activation
with increased endothelial permeability and platelet activation and these actions appear to be worse with surgesof hyperglycaemia rather than sustained hyperglycemia15. Some evidence suggests that chronic hyperglycaemia
sets up a pattern of cellular conditioning that might actually be protective of acute hyperglycaemia-mediateddamage during critical illness. One mechanism for this effect might be the preferential downregulation of glucose
transporters under conditions of chronic rather than intermittent hyperglycaemia. GLUT-1 and GLUT-3 arefacilitative glucose transporters that allow glucose to enter cells independently of insulin. Several factors that
upregulate these transporters are elaborated during critical illness, potentially allowing glucose to enter cells
unchecked by normal down regulatory responses. Thus, a wide range of tissues might be susceptible toenhanced glucose toxicity as a result of acute illness. Whether patients with chronic hyperglycaemia are able
to compensate by downregulating glucose transporters is unknown. Various oxidative stressors prevent the
downregulation of GLUT-1 transporters in vascular endothelial cells.
Acute fluctuations in glucose concentrations are associated with mortality in acutely ill patients, independentlyof mean glucose concentration. Repetitive acute glucose fluctuations induce more endothelial apoptosis andgreater endothelial dysfunction and oxidative stress responses compared with the less variable excursions
both in vitro and in patients with or without known diabetes. Furthermore, oxidative stress seems to have aunifying causal role in the stimulation of classic intracellular pathways that mediate chronic complications ofhyperglycaemia. Therefore, increased oxidative stress during acute hyperglycaemia (by contrast with chronic
hyperglycaemia or diabetes) would seem to be a plausible mechanism for additive adverse effects of stresshyperglycaemia.
STRESS HYPERGLYCAEMIA – AN EVOLUTIONARY PROTECTIVE RESPONSE?
There is an emerging view that SH may be an evolutionarily preserved survival mechanism to maximise immune
system energetics and protein synthesis in the setting of acute stress23. In order for glucose to reach a cell with
reduced blood flow such as in the setting of ischaemia or sepsis, it must diffuse down a concentration gradient.
Stress hyperglycaemia results in a new glucose balance, allowing a higher blood glucose diffusion gradient tomaximise cellular glucose uptake in the face of maldistributed microvascular flow. Acute hyperglycaemia may
protect against cell death following ischaemia by promoting anti-apoptotic pathways and favouring angiogenesis.
In a murine model, Malfitano and colleagues demonstrated that hyperglycaemia increased cell survival factors39.
Other studies have shown that cardiomyocytes exposed to insulin free medium supplemented with high glucose
concentration are resistant to ischaemia, hypoxia and calcium overload. Macrophages play a central role in thehost response to injury, infection and sepsis. Metabolism of glucose provides metabolic intermediates necessary
for this process. Additionally, these mechanisms ensure adequate glucose uptake by neuronal tissue in thesetting of decreased microvascular flow. Iatrogenic normalisation may therefore impair immune and cerebral
function during periods of stress. Most of these theories remain highly speculative and have not been tested
in the human clinical domain. They do, however, provide useful caveats to overzealous correction of deranged
blood glucose concentrations unless it is clearly safe to do so.
EVIDENCE OF HARM IN STRESS HYPERGLYCAEMIA
SH in critical illness
The clinical relevance and correct approach to dealing with SH is both topical and contentious40,41. Much of
our understanding of the adverse consequences of hyperglycaemia in the hospital population comes from theextensive critical care and cardiac surgical literature on the topic. The results of some of the salient studies
now frame much of the thinking in the field of perioperative hyperglycaemia. The association between highblood glucose concentrations and adverse outcomes (mortality, infection and length of stay) in both ICU andnon-ICU hospital patients42,43 led to the belief that the relationship was causal, and provoked a series of trials
that examined the effects of intensive insulin therapy (IIT) to control blood glucose concentrations in a varietyof ICU populations. Despite initially promising results3,13, a subsequent definitive high-quality randomised
controlled trial found that tight glycaemic control was associated with an increased risk of mortality44, and that

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this was strongly linked to hypoglycaemia in a dose-response fashion2. Hence, it is now generally acceptedthat admission hyperglycaemia in the critically ill is a marker of adverse prognosis45, and that aggressive
treatment to normalise blood glucose may actually cause harm. Most blood glucose therapeutic targets havenow been relaxed to reduce the risk of harmful hypoglycaemia, but there remain many unknowns in this group,particularly as to whether there is a blood-glucose treatment sweet spot40.
SH in other patient groups
Whether hyperglycaemia in the non-critically ill, non-cardiac surgical, perioperative or trauma patient causes
harm, or whether it is simply a marker of severity of inflammatory response is unknown. However, the putative
harm from acute hyperglycaemia, particularly in the surgical non-critically ill population, and whether theseeffects are different for diabetic patients, has been the subject of recent work. Although diabetes mellitus is a
confounding factor, it does appear that hyperglycaemia has an effect upon morbidity and mortality independentof diabetes status46. It also appears perioperative hyperglycaemia may be more harmful for non-diabetics thanfor those with established diabetes mellitus – the so-called “diabetes paradox”8,9. The relationship is therefore
complex, and some of the data is quite compelling. However, causality has been difficult to demonstrate, andwithout a large-scale randomised controlled trial, it is unlikely that we can unravel these relationships.
While the worst outcome associated with hyperglycaemia occurs in critically ill and cardiac surgical patients,
as mentioned previously3,4,28,47,48, the medical and non-cardiac surgery literature also indicates that medical
admissions, surgical and trauma patients may also be at risk. Post-hoc analysis of the IHAST patient population
by Pasternak revealed that patients having a blood glucose in the upper quartile ( > 152 mg/dL) at the time thata cerebral aneurysm clip was being applied, had a greater three-month adverse neuropsychological outcome
than those having blood glucose in the upper two quartiles ( > 129 mg/dL)49. Hyperglycaemia on admission isassociated with greater mortality8, particularly in trauma patients50,51, and these patients also suffer higher
infection rates52. Orthopaedic trauma patients have a seven-fold higher risk of infection if they develop in-patient
hyperglycemia53. In a retrospective case-control study, Noordzij et al examined the relationship between
admission blood sugar and mortality in non-cardiac, non-vascular surgery patients, and identified that preoperative
blood glucose concentrations > 11.1 mmoll-1 were associated with a 2.1-fold increased risk of overall mortality
and a fourfold increased risk of cardiovascular mortality54. In general and vascular surgery patients, Ramos etal calculated that the risk of mortality was directly related to blood sugar in the range 6.1-11.1 mmoll-1 and forevery 1 mmoll-1 rise in glucose concentration, the mortality risk increased 19 per cent55. This study observedthat every 2.2 mmol/L rise in postoperative blood glucose concentration above 6.1 mmol/L resulted in an
increase in the infection rate by 30 per cent55. Hence, the actual degree of perioperative elevation of blood
sugar may determine the increase in risk.
The influence of diabetes status in stress hyperglycaemia and the “diabetes paradox”
As indicated above, diabetes status confounds the relationship between perioperative hyperglycaemia andoutcome. However, the nature of this confounding is not clear and there are trials with contradictory results.
Non-diabetic general medical patients with admission hyperglycaemia have an increased length of stay, 28-day
mortality and readmission rate56. In the study by Ramos, increased postoperative blood glucose was associatedwith increased infection rates independent of diabetic status of the patient55. In major orthopaedic surgicalpatients, preoperative hyperglycaemia was associated with postoperative pulmonary embolism (risk increaseby four in elective joint replacement patients), and not affected by the diabetic status of the patient57. Kerby
specifically addressed the interaction of diabetic status and blood glucose in trauma patients, and concluded
that SH rather than diabetic hyperglycaemia was responsible for the increase in mortality51. Conversely, in the
study by Frisch et al, multivariate analysis showed that mortality risk was related to hyperglycaemia only in the
non-diabetic patients8.
Three large retrospective observational studies, totalling 114,005 patients (21,597 patients with diabetes – 18.9
per cent) have confirmed many of the findings of Frisch. Kwon demonstrated the relationship between
perioperative hyperglycaemia and mortality, infection and operative complications in both patients with diabetes
and those without10. The occurrence of blood glucose >10mmoll-1 increased mortality by 2.7, and increased
both operative reinterventions and anastomotic failures. The effect of hyperglycaemia in non-diabetic patientswas twice that for patients without diabetes, but treatment of hyperglycaemia with insulin in both those withand without diabetes mitigated these effects, particularly the infection risk. In a large retrospective analysis ofabdominal, vascular and surgical patients, Kotagal identified that perioperative adverse event risk was increased
by 33 per cent for diabetics, but that PH increased the risk of adverse outcomes only in the non-diabetic
patients. In the largest study of its kind, Abdelmalak et al examined the records of more than 61,000 patients,and established that one year mortality in non-cardiac surgical patients was strongly associated with preoperative
blood glucose, and was greater for patients with diabetes58. At euglycaemia, patients with diabetes had a higher
one year mortality than non-diabetic patients. However, at hyperglycaemic blood glucose concentrations, themortality in non-diabetic patients rose compared to the diabetic patients, further underlining the “diabetes
paradox”.

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There are several tentative conclusions that can be drawn from this literature:
1. The association between admission blood glucose and adverse outcomes seems to be substantial
and it may in fact represent a modifiable risk factor for adverse outcomes. Even a single elevation of
postoperative blood glucose in non-diabetic surgical patients increases the risk of death andcomplications – this risk appears to be proportional1.
2. These episodes in patients not known to be diabetic are under-investigated and poorly followed up56.
3. It is also theorised that at the same degree of hyperglycaemia, non-diabetic patients are experiencing
greater systemic stress than their diabetic counterparts, which may explain the worse outcomes fornon-diabetic patients at a given blood glucose concentration.
4. We cannot therefore consider perioperative hyperglycaemia to be a benign entity59, and theendocrinology community is actively urging perioperative clinicians not to underestimate it41.
UNANSWERED QUESTIONSThere are many questions in this area of relatively recent research. The most important of these are outlined
below. Most of them concern the perioperative management of blood glucose in patients with diabetes mellitus.
These key questions will only be answered with high quality trial data.
1. Is there a preoperative blood glucose level above which one should postpone elective surgery?
Insufficient data exist to provide a pre-operative fasting blood glucose, or HbA1c above which surgery should
be postponed. Elective surgery should be postponed in patients demonstrating significant complications fromhyperglycaemia such as dehydration, impending ketoacidosis or hyperosmolar non-ketotic states.
2. Should glycaemic control be optimised before elective surgery?
It has been suggested that the quality of preoperative glycaemic control positively influences outome29,30.
However, the evidence to support this is at best very weak. Although some observational studies have pointed
to an association between HbA1c level and postoperative outcomes29,30, a meta-analysis of the current literature
has indicated that this evidence is also weak, largely due to the heterogeneity and retrospective nature of thecurrently available studies60. In chronically poorly controlled diabetic patients, the decision to proceed withambulatory surgery should be made in conjunction with the surgeon while taking into consideration the presenceof other comorbidities and the potential risks of surgical complications (e.g., delayed wound healing and wound
infection). Nonetheless, the current recommendation is that patient with a HbA1c level in excess of 9.0 per cent(69 mmol/L) should have their elective surgery deferred until preoperative glycaemic control can be improved61.
3. What is the optimal intraoperative period blood glucose level?
Again there is a lack of evidence regarding optimal perioperative blood glucose values. Blood glucose targets
are based on consensus guidelines. Most guidelines now recommend an upper target of 10mmol/l. National
Health Service Diabetes Guideline recommends blood glucose concentrations between 6.0-10.0 mmoll-1,
while accepting 4.0-12.0 mmoll-1 34. The Australian Diabetes Society currently recommends a blood glucose
target of 5.0-10.0 mmoll-1 in both the ICU and non-ICU settings. The American Diabetes Association currently
recommend commencing insulin therapy for critically ill patients with persistent hyperglycaemia (>10.0
mmoll-1), and to aim for a blood glucose target range between 7.8-10.0 mmoll-1 in all hospitalised patients62
while the American College of Physicians recommends 7.8-11.1 mmol/L for critically ill patients. All documents
do however acknowledge that the evidence for a specific range is weak, and for the moment these targets seemto sensibly balance potential risks and benefits.
For poorly controlled diabetics, blood glucose levels should be maintained around their normal rather than
temporarily lowering them to “normal” levels. Patients with poorly controlled type 2 diabetes have an alteredcounter-regulatory response (i.e., release of epinephrine, norepinephrine, growth hormone, cortisol, andpancreatic polypeptide), resulting in hypoglycaemic symptoms at normal blood glucose levels. Also, significant
fluctuations in blood glucose levels caused by acute reduction in chronically elevated blood glucose levels canlead to detrimental biochemical effects including increased oxidative stress response and may increase
perioperative morbidity and mortality. In the critically ill and surgical patients, tight in-hospital glycaemic control
does not appear to confer advantage, and may cause harm, as detailed above63.
4. Is SH in non-diabetic patients harmful and should it be treated?
This is an intriguing question. It appears that perioperative hyperglycaemia in non-diabetic patients is aphysiological epiphenomenon, and indeed some believe that it may be protective. It is unknown whether it
confers protection, causes harm, and whether it should be treated. These are important questions that will
require data from large registries and larger RCTS to answer.
5. How do we maintain optimal blood glucose levels?
There is insufficient evidence to recommend a method of insulin administration. Most consensus guidelines
still advocate the use of a variable rate insulin infusion (VRII) to treat hyperglycaemia. The SAMBA guidelines
state that subcutaneous insulin may be used in patients undergoing ambulatory surgery and as the benefits ofbeing less labour intensive, more cost effective, reduced duration of post-operative observation required.

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6. Should an insulin-naive patient receive insulin to optimise blood glucose levels?
There is again insufficient evidence in this area to guide practise. Patients with T2DM who do not usually requireinsulin to control blood glucose, may require the short-term use of insulin while the SH response is subsiding.
However, if perioperative blood glucose values are very high in a patient not known to be diabetic, then it would
seem prudent to check a HbA1c ( if not already performed) to establish the patient’s status. If the patient isthen confirmed as non-diabetic, it would seem prudent to measure blood glucose mores frequently, ensurethat there is no ketonuria, and in the face of persistent and potentially dangerous hyperglycaemia (i.e., if there
are concerns of severe dehydration, ketoacidosis, and hyperosmolar non-ketotic states) to commence lowdose short acting insulin in these patients to control blood glucose until it starts to resolve.
7. What are the areas for future research?
The following are a list of as yet unanswered questions, many of which relate to ambulatory surgery, and which
are currently guided by consensus opinion and best practice guidelines:• Does scheduled time of the surgery (i.e., early versus late) have any significant influence on outcomes,
and if so, is there a patient subpopulation for which it does particularly?
• What is the impact of use of various preoperative regimens on short-term (e.g., morbidities and durationof recovery room, hospital stay and quality of recovery) and long-term (e.g., unplanned hospital admission,
30-day unexpected hospitalisation, morbidity, and mortality) outcome in the ambulatory setting?
• What is the effect of preoperative insulin therapy on outcome after ambulatory surgery?
• Is there any benefit to aggressive preoperative glycaemic control?
• Are there differences in optimal target blood glucose levels for high-risk outpatients versus low risk
outpatients?
• Are there differences in optimal blood glucose management in T1DM versus T2DM in the ambulatory
setting?
• Are there differences in patient outcome between the various routes of administration of insulin?
• Are there any predictors (e.g., blood glucose levels, HbA1c levels, and other comorbidities) that suggest
avoidance of ambulatory surgery or need for overnight hospital admission?
• What is the impact of anaesthetic technique (local/regional anaesthesia, sedation/analgesia technique,general anaesthesia) on blood glucose control?
CONCLUSION
Perioperative hyperglycaemia is very much more common than previously expected, and carries serious
implications for risk of adverse outcome. It is expected to occur in patients with diabetes, but it should be
anticipated in all patients. However, patients with elevated blood glucose levels peri-operatively and who arediabetic or have impaired glucose tolerance, but are not yet diagnosed, represent a very high risk group. Stresshyperglycaemia should no longer be considered a benign entity and protocolised management of hyperglycaemia
should exist as it does for diabetic patients. Follow up and further investigation with HbA1c will be required.
Consideration should be given to checking HbA1c in all patients pre-operatively to identify this high risk group.
Once identified, appropriate glucose management plans can be undertaken with the aim of reducing perioperativerisk. It remains unknown whether it should be treated, at what level of blood glucose intervention should beinitiated, and what exactly that intervention should be. Until high quality RCTs are performed is seems prudent
to follow best practice and consensus guidelines.
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Malignant hyperthermia – “Keeping things cool” 

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Malignant hyperthermia – “Keeping things cool”
SINÉAD O’KEEFFE, MB BAO BCh, MRCPI, FCAI

Malignant Hyperthermia and Senior Anaesthetic Fellow, Department of Anaesthesia and Pain Medicine, Royal
Perth Hospital (RPH).

Dr O’Keeffe has recently arrived from Ireland, and is undertaking the malignant hyperthermia fellowship in RPH
under the supervision of MH director Dr Phil Nelson. She graduated from University College Dublin and completed
basic specialist training in internal medicine before changing to the dark side of anaesthesia and intensive care
medicine.
PHILIP NELSON, MBChB, FRCA, EDICDr Nelson is a Consultant Anaesthetist and the Director of the Malignant Hyperthermia Investigation Unit,
Department of Anaesthesia and Pain Medicine, Royal Perth Hospital, WA. He is something of a traditionalist
so he spends his time trying to complete cryptic crosswords.
MARK DAVIS, PhD, FFSc (RCPA)

Dr Davis heads the Neurogenetics Laboratory within the Department of Diagnostic Genomics, PathWest
Laboratory Medicine WA, QEII Medical Centre, Nedlands WA. He has a long standing interesting in the genetics
of MH, having been foolish enough to do his PhD on the subject many years ago.
INTRODUCTION
Malignant hyperthermia (MH) is a rare, potentially fatal, pharmacogenetic inherited disease of skeletal muscle.
It can manifest as a hypermetabolic crisis on exposure to halogenated volatile inhalational agents, including
halothane, isoflurane, sevoflurane, desflurane, methoxyflurane, and/or the depolarising neuromuscular blocking
agent, suxamethonium1. Case fatality was as high as 70 per cent in the 1970s, however, with the introductionof dantrolene sodium and increased understanding of clinical manifestations with more modern anaesthetic
techniques, this has fallen to <6 per cent2.
Prior to 1960, death under general anaesthesia was not uncommon. In 1960 at the Royal Melbourne Hospital,
anaesthetist Dr Jim Villiers cared for a patient, in whom 10 members of his family had died under generalanaesthesia, attributing the cause to ether. The patient developed a hypermetabolic crisis on exposure to
halothane, but with due care survived the ordeal. Dr Villiers’ medical colleagues, Dr (later Professor) Michael
Denborough and Dr Richard Lovell published a letter in The Lancet in 1960, titled “Anaesthetic deaths in a
family”, describing the clinical picture, postulating an autosomal dominant inheritance and requesting thejournal’s readers for any knowledge of cases similar to the one reported in the letter3. Subsequently, the condition
has become known as malignant hyperthermia and today, their work continues under the auspices of theresearch and testing group MHANZ (Malignant Hyperthermia Australia New Zealand)4.
Epidemiology
Malignant hyperthermia affects all ethnic groups, with males twice as likely to have a reaction than females, andchildren less than 19 years of age accounting for 45-52 per cent of reported cases2. Given the variable andincomplete penetrance of this rare condition, the actual incidence is difficult to quantify and varies geographicallydepending on the concentration of malignant hyperthermia families in a given area. It is reported that the incidenceof MH reactions ranges from 1:10,000 to 1:250,000 anaesthetics1, and prevalence rates at 1 in 100,000 in-patient
operations.
Pathophysiology
Dysregulated, excessive cytoplasmic Ca2+ in skeletal muscle, on exposure to a halogenated volatile agent and/or depolarising neuromuscular agent, is pathognomonic of MH. The aetiology of the mechanism is still underinvestigation2. However, what is known is that under the above conditions, there is a gain of function andproclivity of the receptors involved in Ca2+ homeostasis, which maintains their release of calcium from thesarcoplasmic reticulum into the cytoplasm, and impedes Ca2+ re-uptake. This results in sustained excitationcontraction coupling, with exhaustion of oxygen and adenosine triphosphate stores, heat production, andconversion to an anaerobic metabolic state, that is, the hypermetabolic crisis. There is widespread striatedmuscle cell death/rhabdomyolysis6, consequent to the loss of cell membrane integrity with release of potassium
and creatine kinase.
ClinicalThere is variability in the clinical manifestations from no reaction to mild, atypical or fulminant hypermetabolic
syndrome with multi-organ failure. This is as a result of variable expressivity and the advent of more modern
anaesthetic techniques. Thus, uneventful anaesthesia does not exclude the possibility of MH susceptibility.
Consequently, the definitive diagnosis of MH by clinical criteria is practically impossible. Events representing
a true MH crisis can be estimated using the MH Clinical Grading Scale. This was initially developed by Larach
et al7, and in 2010 the European MH Group and the MH Association of the United States collaborated to produce
the downloadable MH app featuring the clinical grading scale. The multi-factor scale ranks the qualitative

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likelihood of an adverse event being MH from one (MH likelihood almost never) to six (MH likelihood almost
certain)8.
The classic clinical features, consequent to the hypermetabolic skeletal muscle response, include tachycardia,
inappropriately elevated end-tidal carbon dioxide concentration, hyperthermia, muscle rigidity (particularly
following administration of suxamethonium, in which case masseter muscle spasm can be an early sign), mixed
respiratory/metabolic acidosis, hyperkalaemia and associated arrhythmias, hyperCKaemia and myoglobinuria.
Additionally, there may be evidence of disseminated intravascular coagulopathy. Creatine kinase levels rise
exponentially with levels above 10,000 IU not uncommon, plateauing according to the severity of the crisis andmuscle mass. Typically, MH features appear within 30 minutes of commencement of anaesthesia, but can bedelayed for several hours, even after the anaesthetic has stopped. With fulminant malignant hyperthermia, thehyper-metabolic syndrome culminates in multi-organ failure and potential death if left untreated2,9.
Many of the clinical features are non-specific, so the differential is quite broad. These include inadequate
anaesthesia, sepsis, thyrotoxicosis, phaeochromocytoma, neuroleptic malignant syndrome, anti-dopaminergics,
and drug overdose (for example, amphetamines and related drugs).
Greater than 50 per cent of cases are reported from the paediatric population. Their clinical presentation
exemplifies the non-specific nature of MH and characteristics vary according to age. A retrospective analysisof data of patients under the age of 18 from the North American Malignant Hyperthermia Registry showed thatthe most consistent findings across all age groups was sinus tachycardia (73.1 per cent), hypercarbia (68.6 percent), and accelerated temperature rise (48.5 per cent), all of which were more common in the 12-18 years age
group. The 0-24 months age group experienced a greater degree of metabolic acidosis and associated skinmottling, however, were less likely to develop muscle rigidity with lower peak creatine kinase. Higher peaktemperatures, diaphoresis and greater peak serum potassium levels were found in the older age group. There
was no difference in outcome across the age groups10,11.
Genetics
Malignant hyperthermia is a heterogeneic disease, inherited in an autosomal dominant fashion and exhibiting
variable penetrance. The proportion of individuals who are MH susceptible due to a de novo mutation is
unknown. The genetic basis of MH has not yet been fully characterised and remains elusive, despite advances
in DNA sequencing technology enabling the identification of many new variants. Currently known MH-associatedmutations involve genes encoding two of the receptors responsible for skeletal muscle calcium homeostasis.
These include the ryanodine receptor (RYR1) gene encoding the calcium release channel of sarcoplasmic
reticulum, and the alpha-1 subunit of the dihydropyridine-sensitive L-type voltage dependent calcium channel
receptor (CACNA1S) gene.
The primary gene responsible for 50-70 per cent of MH susceptibility is the RYR1 gene located on chromosome
19. More than 400 variants have been identified in this gene, however the clinical significance of some of thesehas yet to be determined. Mutations associated with malignant hyperthermia are miss-sense mutations andsmall in-frame deletions clustering in three hotspots. Thirty mutations have been classified by the EMHG as
being definitively causative, however polymorphic variants which modulate the RYR1 function may result ingenotype/phenotype discordance9.
Less than one per cent of MH is associated with mutations in the CACNA1S gene, which was first characterised
in a French family and reported by Monnier et al in 1997.
DNA sequencing and linkage studies have excluded RYR1 and CACNA1S mutations as the cause in 30 per
cent of MH susceptible (MHS) patients and predictive genetic testing can only test for the known mutation thathas been identified in an index case in MH susceptible families. Importantly, even in these cases MH susceptibility
cannot be ruled out with a negative genetic test as evidence has shown a 5 per cent discordance between
genetic and in-vitro contracture testing (IVCT)10.
In a number of MHS cases, more than one mutation/variant has been identified. Mutations in a number of othergenes have been shown to be associated with MH-like clinical reactions and abnormal IVCT results, but whether
these are in fact real (i.e. potentially hypermetabolic) MH cases is not clear. The remainder of MH susceptible
patients is presumed to have mutations as yet to be determined. Other potential putative Ca2+ modulators underinvestigation include calsequestrin, a major storage protein in the sacroplasmic reticulum, calmodulin anddifferent subunits of the dihydropyridine (DHP) receptor.
Identifying the at-risk patient
Anaesthetic history, family history of adverse events including unexplained peri-operative death, a history of
post-operative rhabdomyolysis or unexplained or exertional rhabdomyolysis and inappropriate heat strokeshould raise the suspicion of potential MH susceptibility.
The following are considered at risk groups according to the European Malignant Hyperthermia Group12 andtherefore should have a trigger-free anaesthetic:• Confirmed MH susceptible.
• MH equivocal.

Malignant hyperthermia – “Keeping things cool” 265• Family history of MH in individuals who have not yet been tested.
• Pregnant woman who is MHS or whose partner is MHS – fetus must be treated as MHS.
• RYR1 associated myopathies: central core disease (CCD), King Denborough Syndrome, Multiminicore
myopathy (MmD) and Native American myopathy.
• Unexplained/ recurrent rhabdomyolysis including heat or exercise induced.
Central core disease is a rare non-progressive myopathy with autosomal dominant inheritance. Typically, it
presents in infancy and is characterised by hypotonia and proximal muscle weakness. Causative mutations are
clustered in similar hotspots to MH on the RYR1 gene. As a result, the single RYR1 mutation can cause: (a) MH
only; (b) MH with variable CCD penetrance; (c) CCD only2. Affected individuals must therefore be treated as MHS.
Multiminicore disease is another rare myopathy characterised by muscle weakness. Recessive RYR1 mutations
are a major cause of MmD, and some of these are also associated with MH. MH susceptibility may therefore
be associated with MmD.
King Denborough syndrome is a rare myopathy characterised by dysmorphic facial features, some skeletal
abnormalities, hypotonia, diffuse joint hyperextensibility and mild proximal muscle weakness. Such patients
have MH susceptibility.
Mutations/variants of the RYR1 gene have been identified in patients with exertional myalgia and rhabdomyolysis
which have previously been associated with MH13. Indeed, there is an increasing body of evidence to support
an association between exercise induced rhabdomyolysis and malignant hyperthermia14. There is also asuggestion of a link between MH and heat stroke, in the presence of rhabdomyolysis.
Patients with the X-linked recessive muscular dystrophies, Duchenne and Becker although not at risk ofdeveloping the hypermetabolic syndrome may experience exacerbation of their disease with hyperkalaemia
and muscle breakdown on exposure to MH triggering agents and thus should have a trigger-free anaesthetic2.
Any individual at risk of myotonia should avoid depolarising agents to avoid the potential for hyperkalaemia.
Management of the peri-operative MHS (or potential MHS) patient15
Pre-operative
The pre-operative assessment provides the opportunity to identify those with risk factors for MH or associatedconditions, while any patient with a diagnosis of MH should ideally be seen in the pre-assessment clinic toreview the diagnosis and to discuss the anaesthetic options. Individuals with a diagnosis of MH, or at risk of
MH should be scheduled for a trigger-free anaesthetic with an appropriately prepared anaesthetic workstation.
It is worthwhile advising the patient that their risk of an MH crisis is essentially zero if they are not exposed tothe triggering agents. Pretreatment with dantrolene is neither recommended nor required.
Peri-operative
Ideally the patient should be first on the list. The anaesthetic workstation is prepared in order to minimise thepotential exposure to triggering agents. The aim is to achieve volatile agent concentrations of less than 5ppm.
This is based on level five evidence and an arbitrary upper safe limit described by Hall et al in 1996 where theauthors sought to investigate if halothane concentrations of 5ppm could induce an MH crisis in susceptible
swine16.
1. Flush and prepare anaesthesia workstation according to manufacturer’s recommendations; this may
take 10 to >90 minutes. Disconnect vaporisers and remove from the operating theatre; use a new,disposable breathing circuit; and replace the carbon dioxide absorbent. During the case, fresh gas
flow should be kept at 10L/min to avoid “rebound phenomenon” which is the increased release ofresidual volatile anaesthetic agent when fresh gas flow is reduced.
Alternatively:
2. Use commercially available activated charcoal filters that have been shown to remove trace levels ofvolatile anaesthetic agents following a 90-second flush with high fresh gas flows. It is only necessary
to place one on the inspiratory limb of the breathing circuit, but to avoid error, they are marketed inpairs with instructions to place one each on both the inspiratory and expiratory limbs. These filters
have been demonstrated in one in-vitro study to be effective for 12 hours17.
Alternatively:
3. If available, use a dedicated “vapour-free” machine for MH-susceptible patients.
Intra-operative
Core body temperature and end tidal CO2 should always be monitored, as with all patients. All triggering agentsshould be avoided including the inhalational agents sevoflurane, desflurane, isoflurane, enflurane and halothaneand the depolarising muscle relaxant, suxamethonium (succinylcholine). Safe anaesthetic agents include all
local anaesthetics, all intravenous anaesthetic agents, all non depolarising neuromuscular agents, nitrous oxide,
xenon and helium.

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Treatment of MH18
Prompt recognition is the key to a safe outcome. Complications occur in 20 per cent of patients who survivea fulminant crisis, most commonly renal dysfunction. MH is a true operating emergency. A state of emergency
should be declared. Task cards should be available on an MH trolley to help prompt treatment and delegatetasks. Treatment protocol focuses on:• Discontinuation of triggering agents (commence iv anaesthesia).
• Maintenance of adequate oxygenation and ventilation (100 per cent O2 at >15lpm fresh gas flows
and 3-4 x normal minute ventilation).
• Administration of dantrolene – initial loading dose of 2.5 mg/kg, repeated as 		
needed; stabilisation of an MH episode may take some time and multiple doses of dantrolene.
• Treatment of hyperkalaemia – 8.4 per cent NaHCO3, 50 per cent dextrose, Actrapid insulin.
• Instituting aggressive cooling measures- stop heating, remove drapes or linen, ice packs, cold iv fluid,
insert urinary catheter +/- cold bladder washout.
• Treatment of acidosis – for example, 8.4 per cent NaHCO3, THAM.
• Treatment of arrhythmias – lignocaine, amiodarone.
• Insertion of arterial and central line.
For more detailed information, including task cards, see here:
http://www.anaesthesia.mh.org.au/mh-resource-kit/w1/i1002692/
Arrange transfer to an Intensive Care Unit and then refer to an MH Investigation Unit for testing at
a later stage.
Diagnosis
The diagnosis of MH is two-tiered, based on strong clinical suspicion and confirmed by in-vitro contracture
testing (IVCT). The main criterion for referral to a MH centre is when MH cannot be excluded12.
Initial assessment and review of past medical, anaesthetic and family history guide the next step. The gold
standard with the highest sensitivity of greater than 99 per cent and a specificity of 94 per cent is the IVCT witha turnaround time of approximately five hours. Although genetic screening is less invasive, sensitivity remains
at 60 per cent and its role is in the investigation of index cases and subsequent family screening.
In-vitro contracture testing in Australasian centres adheres to the European Malignant Hyperthermia Group
protocol12. It is not performed in children under four years and is not advised in children under the age of 10
years or under 30 kg. It is a day-case procedure, a 4 x 3 x 1cm biopsy is taken from the quadriceps muscle –either the vastus lateralis or vastus medialis – under a non-triggering GA or regional anaesthesia. The live muscle
is transported to the laboratory without delay and the result is available same day. Muscle viability is maintainedby carboxygenation and demonstrated with repetitive electrical stimulation. Muscle tension is measured andrecorded, as caffeine and halothane concentrations are incrementally increased. The potential laboratory results
are: MHShc (formerly MHS), MHSh (formerly MHE), MHSc (formerly MHE) or MHN (normal), depending on the
degree of contracture generated on exposure to caffeine and halothane. The previously used MHE (Equivocal),is now obsolete and been replaced by MHSh or MHSc; it referred to an abnormal response of uncertain clinicalsignificance to either halothane or caffeine respectively. Caffeine is a pharmacological stimulant of calcium
release from the sarcoplasmic reticulum, however, muscle exposed to caffeine from persons of MHS has alower threshold for force generation than those who are not susceptible.
The laboratory diagnostic classification as per the EMHG is as follows:• MHShc: a caffeine threshold at a caffeine concentration of 2.0 mmol/L or less, and a halothane thresholdconcentration at 0.44 mmol/L (2 per cent) or less.
• MHSh: a halothane threshold concentration at 0.44 mmol/L or less and a caffeine threshold at a caffeine
concentration of 3 mmol/L or more.
• MHSc: a caffeine threshold at a caffeine concentration of 2.0mmol/L or less and a halothane thresholdconcentration above 0.44mmol/L.
• MHN: a caffeine threshold at a caffeine concentration of 3 mmol/L or more and halothane thresholdconcentration above 0.44 mmol/L.
The threshold is defined as the lowest concentration of either caffeine or halothane required which producesa sustained increase in tension of at least 2mN (0.2g) from baseline force.

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FUTURE DEVELOPMENTS
Ryanodex
Ryanodex is a formulation of dantrolene sodium, manufactured by Eagle Pharmaceuticals, NJ, US. It is alyophilised suspension and therefore more water-soluble than previous formulations (Dantrium in Australia and
New Zealand), thus facilitating a more expedient preparation time and avoiding the large fluid load. It isreconstituted with 5mL of sterile water and with a pH of 11, it is advisable to infuse into a large peripheral vein
to avoid extravasation and subsequent tissue necrosis. The dosage of Ryanodex is the same as other formulationsof dantrolene. Vials contain 250 mg of dantrolene (compared to 20mg of dantrolene per vial of Dantrium) andthe recommended initial dose remains 2.5 mg/kg. Therefore, one vial is adequate as an initial dose for a 100-kg
patient. The median Tmax is one minute post injection and its T1/2 is 8.5-11.5 hours regardless of dose administeredin the 1-2.5 mg/kg dose range. Dantrolene, unsurprisingly, can cause skeletal muscle weakness, dysphagia,
reduced inspiratory capacity and drowsiness. Concomitant use with calcium channel blockers can lead tomarked cardiovascular compromise in the setting of hyperkalaemia, and in the setting of neuromuscular blocking
agents, dantrolene will potentiate their effects15,19.
At the time of writing, Ryanodex has not been formally approved by the TGA (Therapeutic Goods Administration)
in Australia or by Medsafe in New Zealand. However, following a recent shortage of Dantrium, Ryanodex has
been imported and supplied to some hospitals in Australia and New Zealand under the relevant provisions
allowing for supply of non-approved drugs in exceptional circumstances.
GENETIC ADVANCEMENTS
The advent of whole exome sequencing has certainly facilitated the routine analysis of the very large RYR1 and
CACNA1S genes; however it has not yet resulted in the identification of any new “primary” MH genes – morefamilies with multiple affected individuals across multiple generations are required to facilitate this. These next
generation sequencing methods are, however, allowing the connection between MH and other diseases to beclarified.
CONCLUSION
Malignant hyperthermia is a rare entity and is potentially life threatening for the susceptible individual undergoing
general anaesthesia, or, exposed to implicated environmental stressors. Despite advances in genetic screening,
identifying the MH susceptible individual by routine DNA analysis alone remains elusive. Thus, the gold standard
in diagnosing MH is the in-vitro contracture test (IVCT). Early identification, removal of the precipitant, supportive
measures and dantrolene continue to be the mainstay of management.
REFERENCES

1. Rosenberg H, Pollack N, Schiemann A, Bulger T, Stowell K. Malignant hyperthermia: a review. Orphanet J Rare Dis.
2015;10:93.
2. Litman Ronald S. Malignant hyperthermia: Clinical diagnosis and management of acute crisis. [Internet]. 2016. From:https://www.uptodate.com/contents/malignant-hyperthermia-clinical-diagnosis-and-management-of-acute-crisis.
Accessed 4 October 2017.
3. Denborough MA, Lovell RRH. Anæsthetic deaths in a family. Lancet.1960;276(7140):45
4. Hockey B, Gillies R. Malignant Hyperthermia. [Internet]. From: http://www.anaesthesia.mh.org.au/malignant-hyperthermia/
w1/i1001286. Accessed April 2017.
5. Brady JE, Sun LS, Rosenberg H, Li G. Prevalence of malignant hyperthermia due to anaesthesia in New York State, 20012005. Anesth Analg. 2009;109:1162-1166.
6. Bjorksten AR, Gillies RL, Hockey BM, Du Sart D. Sequencing of genes involved in the movement of calcium across humanskeletal muscle sarcoplasmic reticulum: continuing the search for genes associated with malignant hyperthermia. Anaesth
Intensive Care. 2016;44(6):762-768.
7. Larach MG, Localio AR, Allen GC, Denborough MA, Ellis FR, Gronert GA, et al. A clinical grading scale to predict malignant
hyperthermia susceptibility. Anesthesiology. 1994; 80(4):771-779.
8. Rosenberg H, Girard T. MHApp. [Internet]. 2010. From: iTunes Apps Store. Accessed February 2017.
9. Klinger W, Heidrich S, Girard T, Gravino E, Heffron J, Johannsen S, et al. Functional and genetic characterization of clinicalmalignant hyperthermia crises: a multi-centre study. Orphanet J Rare Dis. 2014,9:8
10. Larach MG, Allen GC, Brandon BW, Lehman EB. Temperature changes are not late signs of malignant hyperthermia: a
NAMH registry of MHAUS study. Anesthesiology. 2008;109:A374.
11. Nelson P, Litman RS. Malignant hyperthermia in children: an analysis of the North American malignant hyperthermia
registry. Anesth Analg. 2014;118(2):369-374.
12. Hopkins P, Ruffert H, Snoeck M, Girard T, Glahn P, Ellis F, et al. European Malignant Hyperthermia Group Guidelines forinvestigation of malignant hyperthermia susceptibility. Br J Anaesth. 2015;115(4):531-539.
13. Diamini N, Voermans NC, Lillis S, Stewart K, Kamsteeg EJ, Drost G, et al. Mutations in RYR1 are a common cause ofexertional myalgia and rhabdomyolysis. Neuromuscul Disord 2013;23(7):540–548.
14. Capacchione JF, Muldoon SM. The relationship between exertion heat illness, exertion rhabdomyolysis, and malignant
hyperthermia. Anesth Analg 2009;109:1065-1069.
15. Malignant Hyperthermia Association of the United States. MHAUS recommendations. [Internet]. 2013. From: http://www.
mhaus.org/healthcare-professionals/mhaus-recommendations. Accessed April 2017

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16. Maccani RM, Wedel DJ, Kor TM, Joyner MJ, Johnson ME, Hall BA. The effect of trace halothane exposure on triggering
malignant hyperthermia in susceptible swine. Anesth Analg. 1996;82:S287.
17. Bilmen JG, Gillies RL. Clarifying the role of activated charcoal filters in preparing an anaesthetic workstation for malignant
hyperthermia-susceptible patients. Anaesth Intensive Care. 2014;42(1):51-58.
18. Wardle K. Malignant hyperthermia (MH). [Internet]. 2015. From: www.anaesthesiawa.org/mh.html. Accessed August 2017.
19. Eagle Pharmaceuticals. Ryanodex. [Internet]. From: www.ryanodex.com. Accessed April 2017.

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Paediatrics
Hypnosis and communication in paediatricperi-operative care
Rob Laing, Allan Cyna
Postoperative behaviour change in children
Paul Lee-Archer, Michael Reade, Britta Regli-vonUngern-Sterberg, Deborah Long

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273

Hypnosis and communication in paediatric peri-operative care
ROB LAING, BM; BS FANZCA, Dip Clin Hyp

Women’s and Children’s Hospital and Pulse Anaesthetics, Adelaide, Clinical Senior Lecturer University of
Adelaide South Australia.

Dr Rob Laing is a Senior Consultant Anesthetist with an interest in the sub-conscious motivation of behaviour.
He has a mixed paediatric and adult anaesthetic practice with clinical interests in craniofacial anaesthesia,
massive blood loss, difficult airways, neonatal anaesthesia, teaching and welfare in the workplace.
ALLAN CYNA, DRCOG, FRCA, FANZCA, PhD, Dip Clin Hyp

Women’s and Children’s Hospital, Adelaide, University of Adelaide and Nepean Hospital, Clinical Associate
Professor University of Sydney.

Dr Allan Cyna is a Senior Consultant Anaesthetist with a special interest in paediatric burns anaesthesia andanaesthesia in pregnancy and childbirth. He is Director of Studies of the South Australian Society of Hypnosis
Diploma course and Inaugural Chair of the Communication in Anaesthesia SIG. Dr Cyna has published widely,
including as editor-in-chief of the Handbook of Communication in Anaesthesia & Critical Care, 2010 by Oxford
University Press.
INTRODUCTION
Hypnosis and hypnotic communication allow the anaesthetist to give suggestions to children that can enhancetheir peri-operative care, reframe negative expectations and teach new skills to manage symptoms such as
pain, anxiety and nausea1,2. The language of hypnosis can be particularly effective in children as they live in aworld full of imagination and fantasy.
WHAT IS HYPNOSIS?
Hypnosis is a state of mind that we have all experienced, but are often unaware of. It may arise and fall away
spontaneously, particularly when people are affected emotionally, for example while watching an engaging
movie. It can also be deliberately induced by hypnotherapists or by activities such as meditation, yoga, exercisingand mindfulness. Children who are anxious or in pain frequently experience hypnosis or trance-like states
spontaneously making them highly responsive to suggestion. Suggestions are verbal or non-verbal
communications that can alter perceptions, mood and/or behavior3.
Spontaneous hypnosis in the peri-operative setting results in increased suggestibility so there may be no needfor formal hypnosis as suggestions combined with specific language and communication structures may be
all that is necessary. The utilisation of communication techniques allows the anaesthetist to enhance rapport
and facilitate the effective delivery of therapeutic suggestions to improve peri-operative care.
CASE HISTORIES
Case one illustrates how skilled communication enhances peri-operative care for children. Introducing specificlanguage into our everyday practice can be helpful for patients and their families, as we produce positive change
in a period where negative expectations and anxiety can become overwhelming. Case 2 shows how formal
hypnosis may be used in the peri-operative period to manage anxiety and specific fears such as needles andmask induction. Hypnosis can enhance analgesia, reduce peri-operative adverse effects such as nausea andallow patients to envisage recovery, healing and return to normal function.
CASE ONE. LANGUAGE AND COMMUNICATION
An eight-year-old girl, Lily, is booked for a tonsillectomy for recurrent tonsillitis. She had a general anaesthetic
two years previously for a fractured forearm. Both Lily and her parents appear anxious and they are concerned
about pain, nausea and breathing problems following surgery. Negative expectations abound.
Lily and her family are reassured that you will be looking after Lily and ensuring she is as safe and comfortable
as possible for when she wakes up in the recovery room. You check what name Lily prefers to be called, ask her
permission to talk to her mum, and note her expression and demeanour. Matching vocal tone, body position andlanguage to that of the family, listening to their concerns and confirming understanding and meaning enhances
rapport. An acceptance of their reality (at least for that moment) opens up the possibility of a shift in mind set.
Reframing and providing alternative perspectives as suggestions can shift negative thoughts to a focus on
therapeutic goals.
On examining Lily, she is asked, “If you could go to your favourite place or do your favourite activity, sport,
movie – what would that be?” This exploration allows the anaesthetist to take note of her likes and dislikes andthe language she uses. As she (and her parents) begin to relax, you discuss the choice of anaesthetic induction.
“And when you go to sleep for your operation, you can either breathe on the gas or we can put some creamon your hand to make it numb and then place a cannula into the vein and let you go to sleep that way”. “And
when you come to theatre, would it be OK if you take yourself back to your favourite place? Perhaps you could

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stay there, in your special place, while we take care of you, and you can look forward to waking up comfortably
having something nice to eat, with mum and dad there to look after you? Would that be OK?”
Turning to the parents, the remainder of the anaesthesia can be described in terms of providing medications
to ensure Lily is comfortable and able to eat and drink after her surgery. “And when she is coming out of theanaesthetic she will be watched closely in recovery by experienced nurses and you can look forward to seeing
her soon after the surgery finishes. In fact, you may be pleasantly surprised at how well she recovers after
surgery.” You offer Lily and her parents the opportunity to ask questions and you answer them. Although asedative pre-medication is rarely required, it is available. However, the expectation is that she will be able tocooperate well.
When Lily comes to theatre she is asked several short questions designed to elicit a yes response such as “Is
it OK to bring your toy in to theatre?” Then she is asked if she can climb onto the operating table or if she would
like mum/or dad to help (double bind – a choice of comparable alternatives, as either way she will be on thebed). When lying comfortably, she is asked to “Take yourself to your favourite place” and given verbal cues tohelp relive the experience, “Notice the colours, the shapes, the sights, listen to the sounds, take a deep breathin and really step into it, really be there…”. You begin a mask induction – “as you go to sleep with the mask,
would you like to breathe quietly or would you prefer to take deep breaths and blow the balloon up?” As breaths
are taken the sevoflurane is introduced and you provide a suggestion of a smell, colour, feeling or sound that
relates to her favourite place.
Hypnotherapeutic communication is frequently used by many anaesthetists during induction of anaesthesia4.
The specific language and persuasive techniques to be discussed are:
1. Establishing rapport.
2. Persuasive language techniques.
3. Social proof.
4. Lived-in imagination.
5. Direct suggestions.
6. Informed consent.
1. Establishing rapport
Many anaesthetists rapidly establish rapport with anxious patients. A useful framework for building rapport is the
LAURS acronym which provides a structured approach of listening, accepting, utilising, reframing and suggestion3.
Introduction: “Hi – I’m ..……., I’m the doctor who is going to take care of you during your operation”.
Reframe to caring and personalisation.
Name: “Is it OK to call you Lily or do you prefer another name?” This acknowledges Lily as an individual.
Control and autonomy: Anaesthesia care frequently engenders feelings of loss of control and it isimportant to give some autonomy back to the patient and family. Asking “Is it OK if I talk to yourparents?” may seem trite at first glance, but it acknowledges the child as an individual, gives them afeeling of control and builds rapport.
Surgery: “Do you know why you have come to hospital? Tonsillectomy – won’t it be nice when you
don’t have tonsillitis anymore – are you looking forward to that?” A reframe focusing on the goal ofsurgery.
Mirroring
Rapport can be facilitated by adopting the patient’s or parent’s vocal tone, posture and language in amanner congruent to that of the family. You can ask Lily what she likes doing or comment on an item ofclothing or a possession.
2. Persuasive language techniques“Yes sets”, “compliance sets” and “no sets” – by asking two or three simple questions early in the interaction,
each question eliciting a “yes” answer increases the success of the compliance set that follows. For example:
Would you like to bring your toy into theatre with you? – yes
Are you looking forward to having something to eat after the operation? – yes
Would you like mum to hold your hand? – yes
Then move to a compliance set:
Can you lie comfortably on the operating table? – yes
Can you make sure you are in the middle of the bed? – yes

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Can you hold the mask for me? – helpfully holds the mask
If the child is negative and disinterested you can substitute a “no set” and segue to a “yes set”. The “no set”
also acknowledges the child’s feelings and builds rapport.
You don’t want to be here today, do you? – noYou don’t want to have an operation do you? – noYou don’t want Mummy to be here either? – noNow flip to a “yes set”:
But you are here – yes
And your Mum is here – yes
And I’m here to help you – yes
And now a “compliance set”:
So you can sit on mum’s lap as you go to sleep.
Can you take some deep breaths and blow the balloon up?
That’s great.
Double binds and presuppositions“As you go to sleep, you can breathe on the mask or just blow it away”. This sentence presupposes that Lilyis going to sleep, and that she has a choice of comparable alternatives; either to breathe or blow. Anotherexample of a double bind combined with presuppositions is:“When you are lying still on the bed, would you
prefer to hold mummy’s left hand or her right hand?”
Negatively valenced words, sabotage, and negative suggestion
Words with a negative connotation are best avoided unless the patient uses them first. They can act as negative
suggestions and fuel potential negative emotional responses. These words include pain, vomit, sting and needle,
which are commonly used in peri-operative settings.
Rather than ask post-operative patients how much pain they have on a one to 10 scale, they can be asked
whether they are comfortable or how comfortable they are. When describing the anaesthetic process you cansay “We will give a combination of medications to help you be comfortable after your operation, and you may
be pleasantly surprised how well you feel”.
Nausea and vomiting can be replaced by “We will give you medications which will help you to feel hungry so
you can look forward to enjoying something to eat this afternoon”. Asking a patient to imagine eating theirfavourite food acts as a distraction or a pattern break but also as a suggestion to be hungry on emergence.
Minimising words are unhelpful as they draw attention to the issue that you hope to minimise. So “Just a little
sting” when inserting a cannula draws attention to the sting and acts as a negative suggestion. This has a
nocebo effect, worsening the discomfort of cannulation. Negative suggestions can be replaced with a neutralor positive suggestion, such as “We’ll use some local anaesthetic to numb the skin to make it more comfortable”5.
Negating words can have the opposite effect. “Don’t worry” or “Don’t move” may have the unintended but
opposite effect of causing worry or movement. Using “not” or “don’t” in a phrase first requires that attention
is drawn to the aspect that you hope to prevent. An alternative to “don’t move” is “stay still”.
Avoiding failure words. Asking someone to “try” to do something implies an acceptance of failure. “Just try torelax” often fails. If you want someone to relax, use either a direct suggestion “As you breathe out, you canblow away some tension and feel yourself relax”” or an indirect suggestion such as “Many children notice how
slow breaths out allow them to feel relaxed”.
3. Social proof can increase the likelihood of suggestions being accepted. “I am always amazed at how soon
kids are able to eat after surgery these days” or “Most kids really enjoy an ice block a couple of hours after
their tonsillectomy”. These are indirect suggestions which imply Lily can do this too.
4. Lived-in imagination is a form of visual imagery that can be used to recall a previous experience and replace
the current anxious state with the state of mind that was present in a favourite place or activity. The request
for Lily to talk about her favourite place acted as a pattern break, a distraction and a means to access a moreresourceful state from her past. Lived-in imagination may be enough to induce a hypnotic state that can allow
suggestions to be given at the time of assessment and at induction in theatre. Hypnotic techniques such as
lived-in imagination have been shown to be superior to midazolam premedication prior to inhalational induction7.
5. Direct suggestions
Throughout the pre-anaesthetic and induction encounters Lily is in a suggestible state. This is due to anxiety,the use of persuasive language and lived-in imagination to access a hypnotic state. Suggestions are used276

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throughout this interaction. The general themes are of safety, caring and good recovery from surgery with thegoal of reducing anxiety. There are also specific suggestions for pleasant smells, hunger and comfort. Prior toinhalational induction of anaesthesia, awake suggestions can be given to change the smell of the volatileanaesthetic agent from sevoflurane to a pleasant smell, ideally one that matches a child’s likes, such as
strawberries or chocolate. The possibilities are limitless and can be modified to suit the circumstances6. If thesmell of strawberries is suggested and accepted, another suggestion of “looking forward to eating strawberries
when you wake”, can be given to enhance appetite and reduce the risk of nausea.
7. Informed consent
Instead of informed consent being a check list of possible complications and adverse effects which may act
as negative suggestions8, we endeavour to reframe informed consent as an opportunity to explain how we aregoing to help avoid complications. So instead of negative suggestions we give positive suggestions of comfort,
appetite and caring. For example: “As part of Lily’s anaesthesia care she will be given a number of medicines
to make her feel comfortable as she awakens and returns to the ward. She can be given more medications inrecovery or on the ward if needed to ensure she is comfortable”. More serious but less common adverse effects
can be put into a context of safety, for example – “One of my other concerns is ensuring Lily has a good airway
both during the surgery and as she recovers. She will be watched carefully throughout the operation and as
she wakes up”. For a child we can also explain the anaesthetic in simple terms that emphasise therapeutic
goals suggestive of rapid recovery. Suitable goals include eating and drinking when she feels like it or gettingback to drawing or other favourite activity.
Approaching informed consent in this manner achieves the goals of providing truly informed consent without
the nocebo effect produced by a list of negative outcomes. It is also likely that improved rapport leads to lessrisk of medical litigation.
CASE TWO. PERI-OPERATIVE HYPNOSIS FOR RUBY
A seven-year-old girl, Ruby, with a genetic predisposition to endocrine tumours was referred for hypnosis prior
to prophylactic thyroidectomy. Ruby has developed anticipatory anxiety and distress with repeated venous
access procedures. She was offered hypnosis to help manage her needle phobia9-11 and to reduce pre-operative
anxiety and post-operative pain.
The structure of a hypnotic session for perioperative care and needle phobia involves:
1. Assessment.
2. Rapport.
3. Suggestibility tests.
4. Induction and deepening of hypnosis.
5. Suggestions.
1. Assessment
Information was gathered during a phone interview with Ruby’s mother. The paediatric hypnosis process was
described and she was keen for her daughter to proceed. Dealing with these aspects during the phone callmeant that the initial session could focus on solutions and positive outcomes.
2. Rapport
In a similar manner to Case 1, rapport was established using the LAURS approach3.
3. Suggestibility tests
Ruby was offered a trial of formal hypnosis to check that she was comfortable with the technique. The “balloon
and dictionary” suggestibility test was used to give a brief experience of hypnosis.
“Close your eyes, and place both arms out in front of you, one palm up and the other down. Great, now I am
going to place the biggest book in your house (press gently on their palm) and I would like you to balance thatlarge heavy book in your hand. While you keep holding that large heavy book, I would like you to notice metying a large helium balloon to the other wrist, you can use your imagination to picture that balloon – It’s colour,
it’s size, it’s shape, you can feel the ribbon tied to your wrist and you can feel the balloon starting to pull yourarm upwards…”

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4. Induction and deepening of hypnosis
After checking with Ruby, the balloon and dictionary suggestibility test was used as a hypnotic induction.
“And now begin to focus on the arm, effortlessly floating, suspended by three helium balloons, and imagine
what will happen as I push your arm down, it just pops back up, pulled up by that balloon, it just pops backup each time I push it down, and as your mind relaxes it can be open to suggestions”.
When you stop pushing the arm down, it usually remains suspended, which is a hypnotic phenomenon of acataleptic limb and “arm levitation”. The cataleptic limb can be used to further deepen hypnosis – “As that limb
begins to slowly sink down, you can allow yourself, to become even more relaxed, and as it comfortably restson your lap you can be even more deeply relaxed and begin to…” Adapted from video demonstration12.
There are many ways to induce hypnosis in children including “lived-in imagination” as described in the firstcase study, or guided imagery, for instance: “imagine flying up to the sky and finding a very comfortable cloudto lie down on”. The choice of technique will depend on the child’s individual likes and dislikes, age, developmental
stage and the hypnotherapist’s preference. The actual induction technique is not important. The predictors ofsuccess are rapport, engagement and development of focused attention.
Deepening of hypnosis may be required in adolescents and is almost universal in adults, however with children
the induction is often all that is needed to achieve an adequate depth of hypnosis. There are a variety ofdeepening techniques, with children these can be simply using a series of inductions such as lived-in imagination,
visual imagery or muscle relaxation stacked upon each other. In adolescents and adults deepening may involve
utilisation of catalepsy, fractionation – which involves partially awakening from hypnosis and then re-inducing
hypnosis several times or the use of indirect techniques such as metaphor or story.
The depth of hypnosis may be tested by observing the response to suggestions and by observing hypnotic
phenomena such as muscle relaxation, catalepsy, slowing of breathing, eye movement and posture.
Further reading13-17.
5. Suggestions
Once hypnosis has been induced suggestions are given to achieve the goals of hypnotherapy. As with Case
1, specific language is important. Suggestions can be given directly – “As X happens then Y can follow”, orindirectly with the use of a story, an illustrative example which relates to the child’s interests and development
stage, or citing the experience of others. Suggestions for peri-operative care for Ruby may include relaxation,
pain management, symptom relief and prevention (nausea and itch), ego-strengthening, envisaging a time when
they can return to their favourite activities and teaching self-hypnosis.
Relaxation
Suggestions to promote relaxation include muscle relaxation, breathing techniques such as awareness ofbreathing, slowing breathing and blowing away tension and anxiety, and the use of metaphor. For example,
filling a basket with all of your cares and worries then floating this away.
Pain management
Strategies for using hypnosis and suggestion to manage pain include managing anxiety, altering perception ofpain, dissociating from pain, substituting feelings that are antithetical to pain, distraction techniques andenvisaging a time in the future when they have healed and are comfortable17.
Hypnosis is used to suggest altered pain perception, such as suggesting numbness or presence of local
anaesthesia, or loss of sensation. Common techniques are the magic glove or anaesthetic glove – “picture
putting on a fantastic glove, of the most comfortable material that is soaked in local anaesthetic”1.
Another suggestion utilises the analogy of the wiring to the lighting in a house, and using switches to turn off
sensation to a limb or part of the body20.
Dissociating suggestions include moving one’s self away from the pain – “Take yourself away on your bike ride,leave all the discomfort as you go to that favourite place (lived in imagination from Case 1)…” utilised with
self-hypnosis.
Suggestions for feelings antithetical to pain include replacing pain with comfort, laughter, relaxation, strength
or confidence.

“Now open your eyes and see where your arms are.” One arm will almost always be 10-20 cm higher and theother 10-20 cm lower than the starting position. “That’s fantastic… You are good at using YOUR imagination!”

Distraction can be achieved by using lived-in imagination, or by techniques such as a “Trip around the body”.
This technique uses a metaphoric story of shrinking down and travelling around the body to check all theorgans. Taking a repair kit but also noting the strong heart and lungs pumping blood and delivering oxygen.

At this stage, we have achieved four essential elements for hypnosis – a belief that hypnosis is real, a realisationthat they can use their imagination, a conviction that it will do something and an expectation that hypnosis willhelp.

Ego-strengthening
Drawing on the child’s previous experiences and capacities, direct suggestions of their ability to overcome
challenges and use their strengths can be given.

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Forward progression
Re-focusing the patient on the goal of surgery and envisaging a time when they are fully healed moves themaway from their negative expectations of surgery to a time when they have overcome obstacles and life isnormal again.
Post hypnotic suggestions
While in hypnosis a suggestion can be given to allow the child to go rapidly into hypnosis at a later time. Thiscan be anchored with an action such as gently pressing the shoulder along with a suggestion of going rapidly
into hypnosis at a later time when they wish to go into hypnosis and the shoulder is pressed by the hypnotist.
This can be utilised for subsequent sessions or on arrival in theatre.
Teaching self-hypnosis
Self-hypnosis can be taught within hypnosis and later practiced. While in self-hypnosis the child is taught touse the techniques that were part of the suggestions and metaphors used previously by the hypnotherapist.
“In a moment, I will ask you to focus on a spot on the ceiling. When your eyes go blurry or start to tire, I would
like you to take a deep breath in, and then count backwards from five. As you breathe out, shut your eyes anddrift down into hypnosis. Allow your whole body to relax with each breath out and feel strong with each breathin. As you relax take yourself to that safe place, see all the sights, the colours, the shapes…”
Then suggest that they use one of the techniques to manage anxiety or pain that they have learnt, such as
lived-in imagination, the magic glove or floating up to a cloud full of comfort.
MANAGING NEEDLE PHOBIA WITH HYPNOSISAs part of her peri-operative hypnosis Ruby was taught self-hypnosis and the use of lived-in imagination todissociate from pain and anxiety. She also used suggestion of an anaesthetic towel to create numbness andcomfort, and she rehearsed successful venepuncture using these techniques. She used these techniques in
the first session and had her pre-operative bloods taken without distress or discomfort.
Other approaches to needle phobia include graded exposure to needles during hypnosis, modifying memories
of previous distressing needle events and rehearsing success in the future19.
SURGERY
Arriving in theatre Ruby appeared calm, and voluntarily climbed onto the operating table. She kissed her motherand as her shoulder was pressed she was asked to count backwards from five and take herself back into
hypnosis. “Take yourself into that beautiful relaxing rainforest as we look after you”. Breathing on the gas, she
received suggestions to smell the damp leaves in the rainforest (as the sevoflurane was turned to 8 per cent)and look forward to something really nice to eat in the afternoon. Further reminders for self-hypnosis were given
after she woke up. She had an uneventful recovery with minimal analgesic requirements20.
CONCLUSION
Hypnotherapy can be useful to improve pain management, nausea and anxiety about surgery, anaesthesia andvenipuncture. The goal is to allow patients to use their own capabilities to manage the challenges of the perioperative journey and to enhance their care and recovery. Essential features of this process are establishingrapport and using the language of the subconscious. Paediatric anaesthetists are in the fortunate position of
being able to practice hypnotic inductions for many routine patients. This equips us with very useful skills for
managing problems which benefit from a hypnotic approach.
REFERENCES

1. Kuttner L. Pediatric hypnosis: pre-, peri-, and post-anesthesia. Paediatr Anaesth. 2012;22(6):573–577.
2. Sugarman L. Therapeutic hypnosis with children and adolescents. 2nd ed. London: Crown House Publishing, 2014.
3. Cyna AM. Handbook of communication in anaesthesia and critical care a practical guide to exploring the art. New York:
Oxford University Press, 2011.
4. Carlyle AV, Ching PC, Cyna AM. Communication during induction of paediatric anaesthesia: an observational study.
Anaesth Intensive Care. 2008;36(2):180–184.
5. Lang EV, Hatsiopoulou O, Koch T, Berbaum K, Lutgendorf S, Kettenmann E, et al. Can words hurt? Patient-provider
interactions during invasive procedures. Pain. 2005;114(1–2):303–309.
6. Zoanetti DC, Cyna AM. Distorting the perception of smell during gaseous induction. Paediatr Anaesth. 2005;15(12):1148;
author reply 1149.
7. Calipel S, Lucas-Polomeni MM, Wodey E, Ecoffey C. Premedication in children: hypnosis versus midazolam. Paediatr
Anaesth. 2005;15(4):275–281.
8. Krauss BS. “This may hurt”: predictions in procedural disclosure may do harm. BMJ. 2015;350:h649.
9. Uman LS, Chambers CT, McGrath PJ, Kisely S. A systematic review of randomized controlled trials examining
psychological interventions for needle-related procedural pain and distress in children and adolescents: an abbreviatedCochrane review. J Pediatr Psychol. 2008;33(8):842–854.

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10. Birnie KA, Noel M, Parker JA, Chambers CT, Uman LS, Kisely SR, et al. Systematic review and meta-analysis of distraction
and hypnosis for needle-related pain and distress in children and adolescents. J Pediatr Psychol. 2014;39(8):783–808.
11. Uman LS, Birnie KA, Noel M, Parker JA, Chambers CT, McGrath PJ, et al. Psychological interventions for needle-related
procedural pain and distress in children and adolescents. Cochrane Database Syst Rev. 2013;10:CD005179.
12. Wicks G. Hypnosis with children. Adelaide: SA Hypnosis Society, 2007.
13. Lyons L. Using hypnosis with children. New York: WW Norton & Company, 2015.
14. Hudson L. Scripts and strategies in hypnotherapy with children. Wales: Crown House Publishing, 2009.
15. Olness K, Kohen DP. Hypnosis and hypnotherapy with children. 4th ed. New York: Routledge, 2011.
16. Tiers M, Woods K. Integrative hypnosis for kids and teens. North Charleston: CreateSpace Independent Publishing
Platform, 2016.
17. Thomson L. Harry the hypno-potamus metaphorical tales for the treatment of children. Wales: Crown House Publishing,2005.
18. Cyna AM, Tomkins D, Maddock T, Barker D. Brief hypnosis for severe needle phobia using switch-wire imagery in a 5-year
old. Paediatr Anaesth. 2007;17(8):800–804.
19. Weigold C. The use of hypnosis in the management of needle phobia. Aust J Clin Exp Hypnosis. 2011;39(2):189–195.
20. Lobe TE. Perioperative hypnosis reduces hospitalization in patients undergoing the nuss procedure for pectus excavatum.
J Laparoendosc Adv Surg Tech A. 2006;16(6):639–642.

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Postoperative behaviour change in children
PAUL LEE-ARCHER, BMedSci, MBBS, FANZCA, MMed(ClinEpi)

Dr Paul Lee-Archer is a staff specialist paediatric anaesthetist at the Lady Cilento Children’s Hospital, Brisbane.
He is currently doing a PhD on postoperative behaviour change in children, which includes a randomised,
controlled trial examining the effect of dexmedetomidine given intraoperatively or as a premedication.
MICHAEL READE, MBBS BSc MPH DPhil DIMCRCSEd DMCC FANZCA FCICM ADF

Professor Reade is a specialist anaesthetist and intensivist in the Australian Defence Force, seconded to theRoyal Brisbane and Women’s Hospital and the University of Queensland to lead a research program focussed
on trauma resuscitation and on the acute cognitive dysfunction that commonly accompanies surgery and critical
illness. He recently completed the 15-hospital DahLIA trial of dexmedetomidine as a treatment for agitateddelirium, and is an investigator in three ongoing sedation-related clinical trials.
BRITTA REGLI-VON UNGERN-STERNBERG, MD, PhD, DEAA, FANZCA

Professor Britta Regli-von Ungern-Sternberg is a specialist paediatric anaesthetist at Princess Margaret Hospitalfor Children and holds the Chair of Paediatric Anaesthesia at the University of Western Australia. Her research
focusses mainly at directly translational research projects striving to improve outcomes for children undergoinganaesthesia.
DEBORAH LONG, BNurs, MNurs, PhD

Dr Debbie Long is a PICU Nurse Researcher at the Lady Cilento Children’s Hospital, Brisbane where she coleads the Paediatric Critical Care Research Group. Debbie’s program of research investigates delirium, sedationand long-term outcomes in paediatric critical illness.
INTRODUCTION
Children who undergo surgery under general anaesthesia may subsequently develop changes in their behaviour.
These changes can occur acutely during recovery from anaesthesia, or they can be delayed and occur in thedays and weeks after surgery. Acute behaviour change is known as emergence delirium and is characterisedby a dissociated conscious state where the child is unaware of his or her surroundings. Delayed behaviourchange (known as post-hospitalisation behaviour change) is characterised by sleep and eating disorders,temper tantrums, nightmares and anxiety. It has been reported that Post-Hospitalisation Behaviour Change(PHBC) occurs in more than 50 per cent of children undergoing a general anaesthetic1. The effect is usuallyshort-lived (two to four weeks), however in 5-10 per cent of children these behaviours can last up to 12 months2.
The risk factors for developing PHBC include underlying anxiety in the child or parent, a previous bad hospital
experience, emergence delirium and pre-school age. PHBC leads to increased general practitioner visits,parental time off work and reduced compliance with future episodes of health care3. PHBC after surgery andanaesthesia can be a significant problem for children and parents. The cause of negative behaviour change
may be related to the psychological impact of the experience and there may be other pathophysiology directly
related to brain changes from the anaesthesia, the stress response to surgery and pain associated with theprocedure.
INCIDENCE OF POST HOSPITALISATION BEHAVIOUR CHANGE
The true incidence of PHBC is unknown with wide ranges reported in the literature varying from 24 to 80 per
cent on days one to three and between nine and 28 per cent one month after surgery (table 1). The different
incidences reported may be due to variations in the age of subjects and the type of surgery and the definitionof PHBC used. One study followed up children for a year and found 20 per cent had behaviour change at six
months and 7.3 per cent still had some negative changes at one year2.

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Table 1. The incidence of PHBC reported in various studies

PHBC
Incidence
Day 14​

PHBC
Incidence
Day 28​PHBC
PHBC
Incidence
Incidence 12
6 Months​ Months​

Study​

Year​

SampleSize​

PHBC
Incidence
Day
Age(Years)​ 1 to 3​

Kain et al2​

1996​

163​

2-10 ​

​

54%​

​

20%​

7.3%​

Kotinemi et al​4

1997​

551​

0-13​

46%​

​

9%​

​

​

Kain et al5​

1999​

91​

1-7​

​

30%​

​

​

​

6

Keaney et al​

2004​

120​

0-14​

58.3%​​

38.3%​​​

Stargatt et al​

2006​

1250​

3-12​

24%​

​

16%​

​

​

Fortier et al​1

2010​

260​

2-12​

80.4%​

29.8%​​​​

Power et al8 ​

2012​

131​

2-12​

73%​

​

32%​

​

​

7

MEASUREMENT OF POST HOSPITALISATION BEHAVIOUR CHANGE
There are a number of reasons to explain the wide range of incidences reported in the literature. There may be
cultural and institutional differences between the study populations and some of the studies only looked at one
type of procedure or a subset of the general paediatric population. Another reason is that there are methodologicaldifferences in the selection, allocation and analysis of subjects. One major difference is how the Post
Hospitalisation Behaviour Questionnaire (PHBQ) is used. The PHBQ is the most commonly used measurement
tool for studies examining PHBC after surgery and anaesthesia. It has been used multiple times in the psychology
and anaesthesia literature. The tool was developed in the 1960s and consists of 27 items of behaviour that are
rated by parents. Vernon et al developed the tool based on six studies of children’s behaviour after hospitalisationin the 1950s9. Symptoms that were mentioned in two or more of the studies were included in the questionnaire9,10.
The items on the questionnaire can be grouped into six subscales: general anxiety, separation anxiety, sleep
anxiety, eating disturbance, aggression towards authority and withdrawal/apathy. The original study by Vernon
et al administered the PHBQ on 387 children aged six months to 16 years. The internal consistency (Cronbach’s
alpha) varied from 0.45 to 0.73 for the subscales and was 0.82 for the overall score. The construct validity wastested by comparing PHBQ scores with ratings of 20 children by a child psychiatrist one week after tonsillectomy(r=0.47)9. In addition it was found that there were no significant differences in the test result when the parents
were interviewed, filled out the form without interview and filled out the form with interview9,10. Test-retest
reliability was established in 37 children aged three to 11 (r=0.63). A more recent study by Karling et al foundthe PHBQ to have better internal consistency than the original study with Cronbach’s alpha of 0.81-0.87 forthe sub-scales and 0.92 overall. It also confirmed the face validity of the factors by consensus of a panel ofchild psychologists10. Another study by Karling et al examined the correlation between the PHBQ and the Child
Behaviour Checklist (CBCL). The CBCL assesses 100 items for children aged two to four and 113 items forolder children. It divides problem behaviours into internalising behaviours (withdrawn, somatic complaints,
anxious-depressed) and externalising behaviours (delinquent behaviour, destructive behaviour and aggressive
behaviour). The study found moderate correlation for children aged two to seven, but no correlation for children
aged seven or above11. The authors suggest that perhaps the PHBQ reflects more subtle changes in behaviour
after a stressful event whereas the CBCL may represent more general behavioural problems. However, it doessuggest that the PHBQ is more suited to a younger age group and that perhaps school age children are not asaffected by surgery and anaesthesia, or that the PHBQ may not reflect the behaviours of school age children11.
One of the major limitations of the PHBQ is that no cut-off score was described in the original study. The
definition of PHBC varies between studies with some defining PHBC as any deterioration in behaviour whileothers set a minimum number of negative behaviours that need to be observed for PHBC to be present. For
example, the study by Stargatt et al that found a PHBC incidence of 24 per cent on day three post procedure,
defined PHBC as seven or more negative behaviour changes. The mean number of negative behaviour changes
on day three was 4.47. Another difference is that some studies use the relative version of the PHBQ and others
use the absolute version. The relative version asks parents to rate each of the 27 behaviour items relative tothe child’s behaviour preoperatively on a five-point Likert scale (much less than before, less than before, thesame, more than before, much more than before). The absolute version uses a four-point scale (never to always)
and is administered preoperatively to get a baseline score and then again at various time points postoperatively.
It has been suggested that the relative version, as originally described by Vernon et al, is more sensitive but
may be more subjective11.

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283Jenkins et al have recently developed a revised PHBQ that reduces the number of items from 27 to 11. The
Post Hospitalisation Behaviour Questionnaire for Ambulatory Surgery (PHBQ-AS) was developed by examining
the California Irvine School of Medicine database of children who had been assessed using the PHBQ in 17
studies over 15 years (n=1064, mean age= 5.88)12. A factor analysis was performed which could not replicate
the original six subscale structure of the PHBQ. A Principal Components Analysis then identified potential itemson the questionnaire that were redundant and a panel of experts decided which items should be retained basedon content validity. The reliability was found to be high for both the PHBQ and the PHBQ-AS (Cronbach’s alpha0.82 and 0.8 respectively) and concurrent validity was assessed by correlating both questionnaires with the
Functional Disability Inventory (Pearson’s r=0.48 and 0.49 respectively). The authors suggest that the revised,shortened questionnaire may be more relevant for day case procedures as well as being more efficient andmore valid12. However, the authors also state that until further validation of the revised questionnaire occurs, it
may not be suitable for use in postoperative behavioural research. The PHBQ-AS has not been validated against
other child behaviour measurement tools such as the Strengths and Difficulties Questionnaire (SDQ) and theChild Behaviour Checklist (CBCL). The SDQ is well-validated in the child psychology literature and consists of
25 items in five domains. When compared to the CBCL, the SDQ was found to be significantly better at detecting
inattention and hyperactivity and at least as good as detecting internalising and externalising problems. It wasalso preferred by parents13. A study underway at the Lady Cilento Children’s Hospital in Brisbane is using the
PHBQ-AS to assess behaviour change in preschool age children and concurrent validity will be measured
against the SDQ. If further evidence for the validity of the instrument is established then we would recommendthat researchers studying behaviour change in day-case surgery use this tool. To obtain a score on the PHBQAS each item is scored from 1 to 5 (much less than before, less than before, same as before, more than before,much more than before) then the total divided by 11 to obtain a continuous variable. Values above 3 indicate
negative behaviour change, values below 3 indicate improvement in behaviour and a score of 3 indicates nochange in behaviour.
Figure 1. Post hospitalisation behaviour questionnaire for ambulatory surgery
Does your child make a fuss about eating?
Does your child spend time just sitting lying and doing nothing?
Is your child uninterested in what goes on around him or her?
Does your child get upset when you leave him or her alone for a few minutes?
Does your child need a lot of help doing things?
Is it difficult to get your child interested in doing things (like playing games with toys)?
Does your child have temper tantrums?
Is it difficult to get your child to talk to you?
Does your child have bad dreams at night or wake up and cry?
Does your child have trouble getting to sleep at night?
Does your child have a poor appetite?
Each item scored:
Much less than before, less than before, same as before, more than before, much more than before.

RISK FACTORS FOR POST HOSPITALISATION BEHAVIOUR CHANGE
Many studies have explored risk factors associated with PHBC after surgery and anaesthesia. Younger age,anxiety of the child, anxiety of the parent, previous bad hospital experience and longer hospital stay have all
been shown to be associated with PHBC3,4,7,8. Postoperative pain was found to be not significantly correlatedwith PHBC in studies by Stargatt et al and Fortier et al7,14 but pain on the day of operation was found to bepredictive of PHBC up to four weeks post-operatively by Kotiniemi et al (OR 4.44, 95 per cent CI 3.4-5.48,
p=0.0005)4. According to most studies there is no association between the type of procedure and PHBC4,8,14.
However, one study by Kain found that PHBC was less frequent with minor ENT procedures compared to other
ENT and general surgical procedures16. There does not appear to be any association between the type of
induction and the development of PHBC. This is supported by the results of multiple studies6,7,15,17,18. The useof premedication has conflicting results. Studies by Kain et al and McCluskey et al show significantly less PHBC
with the use of premedication5,19, however other studies show no difference or even increased PHBC whenmidazolam premedication is used7,20. Other risk factors that have been reported to increase the incidence of
PHBC include two or more older siblings, a higher level of parental education and having a discussion with theanaesthetist preoperatively7,8.

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Figure 2. Risk factors for post hospitalisation behaviour change

Figure 3. Cornell Assessment of Paediatric Delirium (CAP-D)

GOOD EVIDENCEMIXED OR CONFLICTING EVIDENCENO EVIDENCE

Pre-school age

Postoperative pain

Type of induction

Anxiety in child

Type of procedure

Anxiety in parent

Midazolam premedication

285

Postoperative behaviour change in children Previous negative hospital experience
CONSEQUENCES OF POST HOSPITALISATION BEHAVIOUR CHANGE
Behaviour changes after hospitalisation can be distressing for both the child and the parents. It has also beenshown to increase general practitioner visits and parental time off work8. This may have significant public healthand economic implications considering the large number of paediatric anaesthesia episodes worldwide eachyear. Furthermore, when these behaviours do not resolve quickly, they can interfere with the child’s education,social interactions and development3. It has also been shown that a child’s compliance with future episodesof heath care is reduced following a distressing experience and that a negative medical experience as a childcan result in an increase in pain and anxiety surrounding medical events as adults1.
EMERGENCE DELIRIUM
Emergence delirium is a specific subtype of paediatric delirium that occurs during emergence from generalanaesthesia. Current definitions of emergence delirium include features such as combative behaviours, motor
agitation, inability to recognise familiar objects and people and an inability to be consoled21. A comprehensive
review of emergence delirium by Costi featured in the previous edition of Australasian Anaesthesia22.
The incidence of emergence delirium varies in the literature depending on the type of anaesthetic medication
used, other medications administered before or during the anaesthetic, the age of the child and whichmeasurement scale is used23. A propofol-based anaesthetic results in a lower incidence of emergence delirium
compared to a sevoflurane anaesthetic according to a meta-analysis performed by Kanaya et al24. It has also
been shown that the administration of fentanyl, alpha-2 agonists (clonidine or dexmedetomidine) or propofol
during or at the end of anaesthesia reduces the incidence of emergence delirium3,25,26. Some of the risk factorsthat have been identified for emergence delirium are similar to those for PHBC. For example, preschool age
children are at higher risk of both emergence delirium and PHBC27. Similarly, Kain et al found an association
between the preoperative anxiety level of the child and the risk of developing emergence delirium and PHBC28.
There are a variety of scales used for the detection and measurement of emergence delirium. Bajwa et alcompared the Pediatric Anesthesia Emergence Delirium (PAED), Watcha and Cravero scales and found they
all correlated well with each other but each scale had its own limitations29. One issue in diagnosing emergencedelirium is distinguishing true delirium from other sources of distress, such as pain and separation anxiety.
Furthermore, none of the currently used scales are able to detect hypoactive delirium, a type of delirium where
the child is unaware of his or her surroundings but is quiet and withdrawn. These children are easier to care forin recovery than those with motor agitation, but they may still have similar long-term behaviour change issues
and apprehension regarding future episodes of health care. There has been an increasing amount of work
investigating hypoactive and mixed delirium in children in the intensive care unit. It is felt that younger children,
like elderly people, are at a higher risk for delirium. The reason for this is that the developing brain is in someways similar to the ageing brain. As people get older brain volume decreases with a loss of neurons anddecreased levels of noradrenaline, acetylcholine, dopamine and gamma-aminobutyric acid. Children’s developing
brains are similar except that there are an increasing number of neurons and neurotransmitters and psychologicalmaturity depends on activation of various synapses and pathways30. Patients at the extremes of age have lessneurocognitive reserve and therefore are more susceptible to any central nervous system insult. In the hospitalsetting these insults include stress, inflammation, pain and medications. Further support for this theory comesfrom evidence that children with developmental delay or an abnormal brain are at greater risk of delirium, as
are elderly people with dementia31. These groups of patients have even less neurocognitive reserve.
Currently, there is no evidence regarding whether or not hypoactive delirium exists in the recovery room settingin the context of emergence delirium. However, given that none of the emergence delirium scales in use areable to detect hypoactive delirium and the fact that staff are not trained to detect it, then it is possible thatchildren are experiencing this form of delirium. The Cornell Assessment of Paediatric Delirium (CAP-D) was
developed as an extension of the PAED scale and is a rapid screening tool for paediatric delirium (figure 2). It
is able to detect both hyper- and hypoactive delirium and has been validated in the intensive care setting32. To
date, it has not been used in children recovering from general anaesthesia, but it may be a valuable tool in thisenvironment, particularly in identifying hypoactive delirium. A score of 9 or greater indicates delirium, however
this has only been validated in intensive care patients. The Lady Cilento Children’s Hospital in Brisbane iscurrently evaluating the CAP-D in its recovery and auditing the results.

NEVER RARELY SOMETIMES OFTEN ALWAYS
Does the child make eye contact with the caregiver?

4

3

2

1

0

Are the child’s actions purposeful?

4

3

2

1

0

Is the child aware of his/her surroundings?

4

3

2

1

0

Does the child communicate needs and wants?

4

3

2

1

0

Is the child restless?

0

1

2

3

4

Is the child inconsolable?

0

1

2

3

4

Is the child underactive – very little movement
while awake?

0

1

2

3

4

Does it take a long time to respond to interactions?

0

1

2

3

4

INTERVENTIONS
A variety of interventions have been assessed to determine their effect on postoperative behaviour change.
These include midazolam premedication, type of induction, type of anaesthetic agent, preparation packages,
distraction at induction and parental presence at induction or in recovery. Other medications given either before
or during surgery may be of benefit, the most promising of these are the alpha-2 agonists clonidine anddexmedetomidine.
Midazolam
The use of premedication has conflicting results. Some studies have shown a reduction in PHBC with the useof midazolam premedication5,19 while others have shown no difference or even an increase in its incidence7,20.
A study by Kain et al randomised 86 children to receive midazolam 0.5 mg.kg-1 orally or placebo preoperatively.
They found less incidence of PHBC in the midazolam group in the first week but no difference after two weeks4.
Conversely, McGraw and Kendrick randomised 70 children to receive midazolam 0.5 mg.kg-1 or placebo
preoperatively and found that while the children who had midazolam were less likely to cry at induction, they
had more than double the incidence of PHBC one week after surgery (54 per cent versus 23 per cent)20.
Induction
Intravenous versus inhalation induction has been suggested as a possible factor in perioperative anxiety inchildren. Anaesthetists who are more familiar or comfortable with one technique will most likely be able tominimise the anxiety caused to children using that technique. However, there are some children who may havean exaggerated fear of needles or a fear of something being placed over their face. In these cases there will
be an obvious advantage in using one technique over the other. In general, there does not appear to be any
association between the type of induction and the development of PHBC. Many studies that have looked at
PHBC as an outcome have reported no association with the method of induction6,7,15,17,18.
Anaesthetic agent
The choice of inhalational agent has been studied with respect to PHBC. Kain et al randomised 102 children
to receive either sevoflurane or halothane maintenance and then measured the incidence of PHBC in the week
following surgery. There was no difference between groups33. Similarly, Keaney et al examined the difference
between sevoflurane and halothane in a randomised, controlled trial and found more emergence delirium inthe sevoflurane group but no difference in PHBC in the month following surgery6. In contrast, a retrospective
study by Foesel and Reisch found that 25.7 per cent of children who received sevoflurane developed behaviourchanges that lasted longer than a week compared to 16.1 per cent in children who received halothane15.
Preparation packages
The effect of preoperative preparation on behaviour change has been investigated. One study randomised
children and their families to receive limited preoperative information or extensive information consisting ofvideos, operating theatre tours and coping strategies. It found that the children and parents who received
extensive preparation were less anxious on the day of surgery in the holding area, but this did not translate toany difference in PHBC at two weeks34.
Distraction and parental presence
Many studies have evaluated distraction techniques in terms of reducing anxiety at induction of anaesthesia,
however few studies have looked at its effect on PHBC. A study by Kim et al randomised children to have avideo playing during induction or parents present at induction or both. There were no differences in the incidenceof PHBC at day one and day 14 post surgery35. While there is no clear evidence that parental presence at
induction reduces PHBC, there may be a role for parental presence in recovery. Lardner et al randomised 300
children to have a parent present or absent upon eye opening in recovery and found that at two weeks after
surgery there was a 29.3 per cent incidence of PHBC in the parent present group compared to 45.8 per cent

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in the parent absent group36.
Dexmedetomidine
Dexmedetomidine is a highly-selective alpha-2 agonist that produces drowsiness, anxiolysis, and analgesia.
It causes minimal respiratory depression and it has a shorter duration of action than clonidine. It has poorbioavailability when given orally (around 15 per cent) but is effective and well tolerated when administeredintranasally or bucally. A recent meta-analysis by Pickard et al showed that an intraoperative dose ofdexmedetomidine reduced the incidence of emergence delirium in children (OR 0.22, 95 per cent CI 0.14-0.33,
P<0.001). Clonidine was also effective, although the size of the effect was lower (OR 0.50, 95 per cent CI 0.260.95, P=0.04)3. There were no differences in time spent in recovery or time to discharge. There was also a
reduced need for rescue analgesia and this finding has been replicated by another meta-analysis by Schnabel
et al which found decreased post-operative pain in children following an intra-operative dose of dexmedetomidine37.
A meta-analysis by Pasin et al comparing dexmedetomidine and midazolam as a premedication in children
found the incidence of emergence agitation in children given dexmedetomidine was 10 per cent and in thosegiven midazolam group was 40 per cent (RR=0.31, 95 per cent CI 0.13-0.73, p=0.008). Furthermore, the needfor rescue analgesia in the dexmedetomidine group was 20 per cent compared to 39 per cent in the midazolam
group (RR=0.52, 95 per cent CI 0.39-0.70, p<0.001)38. There is also growing evidence that dexmedetomidine
is neuroprotective in both animal and human models. A meta-analysis by Man et al found adults who had an
intraoperative dose of dexmedetomidine had better neurocognitive outcomes compared to placebo andmidazolam39. Another meta-analysis by Pasin et al examined critically ill patients in an intensive care setting
and found dexmedetomidine reduced the incidence of agitation, confusion and delirium compared to control40.
Other interesting findings from recent meta-analyses have shown decreased levels of interleukin-6, interleukin-8,
tumour necrosis factor-alpha, serum catecholamine levels and serum cortisol levels in patients who received
perioperative dexmedetomidine41,42. In summary, dexmedetomidine reduces anxiety and pain in the perioperative
period which may have an influence in reducing negative behaviour change post-operatively. It also has
neuroprotective effects, anti-inflammatory effects and an ability to modulate the stress response. All of theseeffects may also contribute to longer term benefits.
SUMMARY
Children may experience early and delayed behaviour change after general anaesthesia. Development of thesebehaviours may have long term detrimental effects on future episodes of healthcare. Children, especiallypreschool age children, are particularly susceptible to central nervous system insults due to psychologicalimmaturity and a developing brain. A variety of insults to the central nervous system occur during the perioperative
period, including stress, inflammation, pain and anaesthetic medications. Attempts should be made to reduce
perioperative anxiety in children using both pharmacological and non-pharmacological methods. Dexmedetomidine
may be a useful adjunct to general anaesthesia for its anxiolytic, analgesic, anti-inflammatory and neuroprotective
effects. It has been shown to be effective at reducing emergence delirium but longer term outcomes such as
PHBC are yet to be assessed. The results of current studies should provide some evidence for the role ofdexmedetomidine in the prevention of PHBC.
REFERENCES

1. Fortier MA, Kain ZN. Treating perioperative anxiety and pain in children: a tailored and innovative approach. Paediatr
Anaesth. 2015;25(1):27–35.
2. Kain ZN, Mayes LC, O’Connor TZ, Cicchetti DV. Preoperative anxiety in children: predictors and outcomes. Arch Pediatr
Adolesc Med. 1996; 150(12):1238–1245.
3. Pickard A, Davies P, Birnie K, Beringer R. Systematic review and meta-analysis of the effect of intraoperative alpha(2)adrenergic agonists on postoperative behaviour in children. Br J Anaesth. 2014;112(6):982–990.
4. Kotiniemi LH, Ryhänen PT, Moilanen IK. Behavioural changes in children following day-case surgery: a 4-week follow-up
of 551 children. Anaesthesia. 1997;52(10):970–976.
5. Kain ZN, Mayes LC, Wang SM, Hofstadter MB. Postoperative behavioral outcomes in children: effects of sedative
premedication. Anesthesiology. 1999;90(3):758–765.
6. Keaney A, Diviney D, Harte S et al. Postoperative behavioural changes following anesthesia with sevoflurane. Pediatr
Anesth. 2004;14(10):866–870.
7. Stargatt R, Davidson AJ, Huang GH, Czarnecki C, Gibson MA, Stewart SA, et al. A cohort study of the incidence and risk
factors for negative behavior changes in children after general anesthesia. Paediatr Anaesth. 2006;16(8):846–859.
8. Power NM, Howard RF, Wade AM, Franck LS. Pain and behaviour changes in children following surgery. Arch Dis Child.
2012;97(10):879–884.
9. Vernon DT, Schulman JL, Foley JM. Changes in children’s behavior after hospitalization: some dimensions of response
and their correlates. Am J Dis Child. 1966;111(6):581–593.
10. Karling M, Stenlund H, Hagglof B. Behavioural changes after anaesthesia: validity and liability of the Post-Hospitalization
Behavior Questionnaire in a Swedish paediatric population. Acta Pædiatrica. 2006;95(3):340–346.

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11. Karling M, Hagglof B. Child behaviour after anaesthesia: association of socioeconomic factors and child behaviour
checklist to the Post-Hospital Behaviour Questionnaire. Acta Paediatr. 2007;96(3):418–423.
12. Jenkins BN, Fortier MA, Kaplan SH, Mayes LC, Kain ZN. Development of a short version of the modified Yale Preoperative
Anxiety Scale. Anesth Analg. 2014;119(3):643–650.
13. Goodman R, Scott S. Comparing the Strengths and Difficulties Questionnaire and the Child Behavior Checklist: Is small
beautiful?. J Abnorm Child Psychol. 1999;27(1):17–24.
14. Fortier MA, Del Rosario AM, Rosenbaum A, Kain ZN. Beyond pain: predictors of postoperative maladaptive behavior
change in children. Paediatr Anaesth. 2010;20(5):445–453.
15. Foesel T, Reisch HJ. Postoperative behavioural changes in children: comparison between halothane and sevoflurane.
Paediatr Anaesth. 2001;11(6):719–723.
16. Kain ZN, Wang SM, Mayes LC, Caramico LA, Hofstadter MB.. Distress during the induction of anesthesia and postoperative
behavioral outcomes. Anesth Analg. 1999;88(5):1042–1047.
17. Kotiniemi LH, Ryhänen PT. Behavioural changes and children’s memories after intravenous, inhalation and rectal inductionof anaesthesia. Paediatr Anaesth. 1996;6(3):201–207.
18. Aguilera IM, Patel D, Meakin GH, Masterson J. Perioperative anxiety and postoperative behavioural disturbances inchildren undergoing intravenous or inhalation induction of anaesthesia. Paediatr Anaesth. 2003;13(6):501–507.
19. McCluskey A, Meakin GH. Oral administration of midazolam as a premedicant for paediatric day-case anaesthesia.
Anaesthesia. 1994;49(9):782–785.
20. McGraw T, Kendrick A. Oral midazolam premedication and postoperative behaviour in children. Paediatr Anaesth.
1998;8(2):117–121.
21. Olympio MA. Postanesthetic delirium: historical perspectives. J Clin Anesth. 1991;3(1):60–63.
22. Costi D. Strategies to reduce emergence agitation in children. In: Riley R, editor. Australasian Anaesthesia. Melbourne:
Australian and New Zealand College of Anaesthetists, 2015. pp. 115–122.
23. Dahmani S, Delivet H, Hilly J. Emergence delirium in children: an update. Curr Opin Anaesthesiol. 2014;27(3):309–315.
24. Kanaya A, Kuratani N, Satoh D, Kurosawa S. Lower incidence of emergence agitation in children after propofol anesthesia
compared with sevoflurane: a meta-analysis of randomized controlled trials. J Anesth. 2013;28(1):4–11.
25. Cravero JP, Beach M, Thyr B, Whalen K. The effect of small dose fentanyl on the emergence characteristics of pediatricpatients after sevoflurane anesthesia without surgery. Anesth Analg. 2003;97(2):364–367.
26. Aouad MT, Yazbeck-Karam VG, Nasr VG, El-Khatib MF, Kanazi GE, Bleik JH. A single dose of propofol at the end of
surgery for the prevention of emergence agitation in children undergoing strabismus surgery during sevoflurane anesthesia.
Anesthesiology. 2007;107(5):733–738.
27. Aono J, Ueda W, Mamiya K, et al. Greater incidence of delirium during recovery from sevoflurane anesthesia in preschool
boys. Anesthesiology. 1997;87(6):1298–1300.
28. Kain ZN, Caldwell-Andrews AA, Maranets I, McClain B, Gaal D, Mayes LC, et al. Preoperative anxiety and emergencedelirium and postoperative maladaptive behaviors. Anesth Analg. 2004;99(6):1648–1654.
29. Bajwa SA, Costi D, Cyna AM. A comparison of emergence delirium scales following general anesthesia in children.
Paediatr Anaesth. 2010;20(8):704–711.
30. Martini DR. Commentary: the diagnosis of delirium in pediatric patients. J Am Acad Child Adolesc Psychiatry.
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31. Silver G, Traube C, Gerber LM, Sun X, Kearney J, Patel A, et al. Pediatric delirium and associated risk factors: a singlecenter prospective observational study. Pediatr Crit Care Med. 2015;16(4):303–309.
32. Traube C, Silver G, Kearney J, Patel A, Atkinson TM, Yoon MJ, et al. Cornell assessment of pediatric delirium: a valid,
rapid, observational tool for screening delirium in the PICU. Crit Care Med. 2014;42:656–663.
33. Kain ZN, Caldwell-Andrews AA, Weinberg ME, Mayes LC, Wang SM, Gaal D, et al. Sevoflurane versus halothane:postoperative maladaptive behavioral changes: a randomized, controlled trial. Anesthesiology. 2005;102(4):720–726.
34. Kain Z, Caramico L, Mayes L, Genevro J, Bornstein M, Hofstadter M. Preoperative preparation programs in children: acomparative examination. Anesth Analg. 1998;87(6):1249–1255.
35. Kim H, Jung S, Yu H, Park S. Video distraction and parental presence for the management of preoperative anxiety andpostoperative behavioral disturbance in children: a randomized controlled trial. Anesth Analg. 2015;121(3):778–784.
36. Lardner D, Dick B, Crawford S. The effects of parental presence in the postanesthetic care unit on children’s postoperative
behavior: a prospective, randomized, controlled study. Anesth Analg. 2010;110(4):1102–1108.
37. Schnabel A, Reichl SU, Poepping DM, Kranke P, Pogatzki-Zahn EM, Zahn PK. Efficacy and safety of intraoperative
dexmedetomidine for acute postoperative pain in children: a meta-analysis of randomized controlled trials. Paediatr
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38. Pasin L, Febres D, Testa V, Frati E, Borghi G, Landoni G, Zangrillo A. Dexmedetomidine vs midazolam as preanesthetic
medication in children: a meta-analysis of randomized controlled trials. Paediatric Anesthesia. 2015;25(5):468–476.
39. Man Y, Guo Z, Cao J, Mi W. Efficacy of perioperative dexmedetomidine in postoperative neurocognitive function: a metaanalysis. Clin Exp Pharmacol Physiol. 2015; 42(8):837–842.
40. Pasin L, Landoni G, Nardelli P, Belletti A, Di Prima AL, Taddeo D, et al. Dexmedetomidine reduces the risk of delirium,
agitation and confusion in critically Ill patients: a meta-analysis of randomized controlled trials. J Cardiothorac Vasc
Anesth. 2014;28(6):1459–1466.
41. Li B, Li Y, Tian S, Wang H, Wu H, Zhang A, Gao C. Anti-inflammatory effects of perioperative dexmedetomidine
administered as an adjunct to general anesthesia: a meta-analysis. Sci Rep. 2015;21(5):123–142.
42. Wang XW, Cao JB, Lv BS, Mi WD, Wang ZQ, Zhang C, et al. Effect of perioperative dexmedetomidine on the endocrine
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Assessment
Epigenetics and anaesthesia
Christopher Bain, Kiymet Bozaoglu

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Epigenetics and anaesthesia
CHRISTOPHER BAIN, BSc (Hons), MBChB, FANZCA

Department of Anaesthesia and Perioperative Medicine, Alfred Hospital and Monash University, Melbourne,
Victoria, Australia.

Dr Christopher Bain is a specialist anaesthetist and researcher. His research interest is in the field of perioperative
genomics, and the impact of epigenetic mechanisms on the perioperative inflammation.
KIYMET BOZAOGLU, BSc (Hons) PhD

Bruce Lefroy Centre for Genetic Health Research, Murdoch Children’s Research Institute and Department ofPaediatrics, University of Melbourne, Parkville, Victoria, Australia.

Dr Kiymet Bozaoglu is a senior research fellow at the Murdoch Children’s Research Institute. Her researchinterests are understanding the genetics and epigenetics of complex diseases and its implications on perioperative
genomics.
INTRODUCTION
The human genome consists of approximately 25,000 genes. However, not all of these genes are active at thesame time. The genetic material in a cell is found mostly in the nucleus as multiple long deoxyribonucleic acid
(DNA) molecules that are packaged up with proteins, such as histones, to form chromosomes. The genes withinthese chromosomes are the cell’s “nuclear genome” that promote cell function including gene expression andprotein translation. Therefore, the nucleus is said to be the control centre of the cell. Human cells contain of 23
pairs of chromosomes (22 autosomal pairs and the sex chromosomes) that is essentially an enormous fixedsequence of three billion DNA base pairs (Adenine, Thymine, Guanine, Cytosine) called the genetic code.
Genetics is the science that investigates how the inherited DNA sequence itself contributes to different phenotypes
or traits. In anaesthesia, important phenotypes are clinical events such as pain, postoperative cognitive
dysfunction or adverse drug reactions. Perhaps the most well known, but rare, example in anaesthesia ismalignant hyperthermia (MH)1, in which inherited variants (or mutations) within the DNA sequence change thestructure and function the ryanodine receptor causing MH2.
Another important example of anaesthesia related pharmacogenetics relates to genetic variants that alter drug
metabolism. The cytochrome P450 enzyme, CYP2D6, metabolises codeine, oxycodone, tramadol, and othercommonly prescribed opioid analgesics. One form of variation duplicates the CYP2D6 gene increasing thelevel of activity of the enzyme. This so called “gain of function variant” results in high levels CYP2D6 activity
and ultra-rapid drug metabolism (UM). It has been associated with increased conversion of codeine (pro-drug)
to morphine. UMs are at increased risk of opioid side effects (respiratory depression, nausea and sedation)
and, in the of case of codeine specifically, high (potentially fatal) levels of morphine are transferred to neonates
during breastfeeding3,4. While this variant is uncommon (2 per cent in Caucasians) the impact of altered drug
metabolism may be significant in specific clinical settings5,6 and The Clinical Pharmacogenetics Implementation
Consortium Guidelines7,8 provides further guidance for a wide range of CYP450 variants on pharmacotherapy.
In contrast to genetics, epigenetics refers to different marks “over DNA” that impact on the function of DNA.
These marks are a form of non-genetic variation that fundamentally determines whether the molecular machinerythat drives gene expression (transcription: creation of messenger ribonucleic acid (RNA)) and therefore protein
production (translation) can proceed. Unlike the genome, the epigenome of any cell is highly dynamic, differing
between cell types, and continually changing throughout development and life as a result of environmental
exposures. The epigenome of a cell is the status of specific epigenetic mechanisms known as chromatin
modifications/remodelling, DNA methylation and non-coding RNA (e.g. shRNA/siRNA/miRNA) (figure 1).
These mechanisms often determine cellular development and function and may effectively regulate the responseof the brain and central nervous system to anaesthesia. Specific epigenetic patterns are required in hippocampal
neurons for synaptic plasticity, learning and memory formation9, and aberrant changes can be associated withage related cognitive decline and impairment10,11. Distinct similarities in the cellular processes regulating
hippocampal gene expression during memory formation (known as long term potentiation (LTP)) and spinal
central sensitisation12 would point towards epigenetic mechanisms as prime research targets to further understandthe biological processes contributing to phenotypes like postoperative cognitive dysfunction and chronic pain.
This review aims to inform the reader of recent research involving a range of epigenetic mechanisms that may
contribute to further understanding important, but complex, clinical phenotypes associated with anaesthesia.
EPIGENETIC MECHANISMS
DNA exists within the chromosome as a tightly folded structure known as chromatin. Chromatin is made up of
nucleosomes, packets of DNA wrapped around octamers of packing proteins called histones (figure 1-A).
Histones are categorised into five major families, H1/H5, H2A, H2B, H3 and H4. The N-terminal of the histone
protein forms a tail that protrudes from the nucleosome where it is accessible to chemical modification (e.g.
acetylation (Ac), methylation (Me) (figure 1-B)). Histone modification remodels the three dimensional structure

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Australasian Anaesthesia 2017of chromatin resulting in changed gene expression. Histone acetylation occurs by the addition of an acetylgroup from acetyl coenzyme A and is tightly involved in the regulation of many cellular processes includingtranscription, gene silencing, cell differentiation, DNA replication and apoptosis. The enzymes involved in histone
acetylation are called histone acetyltransferase (HAT) which play an essential role in controlling histone H3 andH4 acetylation. Histone deacetylase (HDAC) catalyse the removal of the acetyl groups from the histone lysine
residues. Acetylation relaxes chromatin allowing for increased gene expression whereas deacetylation compacts
chromatin silencing gene activity.
DNA methylation is another form of epigenetic modification that dramatically impacts gene expression. Mediatedby DNA methyltransferase (DNMT), a methyl group can be added to cytosine residues that are adjacent toguanine residues. These are known as a CpG sites. There are regions within DNA with high concentrations of
CpG, known as CpG islands (G-G Island), that are located near the start of genes (figure 1-C). Methylation
physically interferes with gene expression by preventing the binding of transcription factors (TF) that are required
to activate transcription. Methylated DNA also serves as a docking site for methy-CpG-binding domain (MBD)
proteins that may bind methylated CpGs in promoter areas near genes, acting either as an attractant for otherco-repressor proteins or transcription activator proteins.
Recent studies have uncovered a further complexity to the classical epigenetic mechanisms as describedabove. While the vast majority of the human genome is transcribed, only ~2 per cent of these transcripts aretranslated into protein. The remaining 98 per cent of transcripts, termed non-coding RNA (ncRNA), do not codefor proteins and were thought of as experimental artefacts. However, more recently it has come to light thatthese ncRNAs can be functional and play a critical regulatory role. Further, ncRNA consists of small (10-200
nucleotide) lengths of microRNA (miRNA) and more complex molecules of long ncRNA (lnRNA). Gene expression
can be regulated post transcriptionally by binding directly to mRNA, inducing degradation and silencing gene
expression (figure1-D)13,15.
Figure 1. Epigenetic mechanisms

Epigenetics and anaesthesia 

PAIN AND ANALGESIA
Pain sensitivity is an extremely complex phenotype with contributory underlying biological, psychosocial andemotional factors. Indeed accurately quantifying pain sensitivity17 is critical to understanding the significanceof genetic, environmental and other distinct factors that affect the efficacy of analgesic therapy or the processof transition from acute to chronic pain. Analyses of discordant identical twins for different pain phenotypes
has highlighted that genetic contributions alone are at most modest18,19. This fundamentally implies that, inmost cases, chronic pain is not related to the underlying DNA sequence, and is therefore a dynamic process
at the genomic level, and will be occurring in different tissues. This reflects the inherent plasticity of epigenetic
mechanisms to regulate and modify gene expression, in a tissue-specific manner, in response to specificenvironmental stressors effectively resulting in an acquired phenotype (figure 2).
Figure 2. Epigenome and chronic pain

Early Epigenome A

Late Epigenome A

No painSurgery

Late Epigenome B

Pain

Twin A and B have an identical DNA sequence and similar patterns of histone methylation (ME) and acetylation(AC) at birth. Exposure to different environmental factors (social interaction, medication, trauma) throughout
development and life drives dynamic changes the pattern of histone acetylation and methylation, remodelling
chromatin structure and the transcriptional response to surgery. For twin B the response results in increased
risk of central sensitisation and pain16.

Chromosome
B)(Source: US government)

HistoneHistone tailRNAD)

C-G island

shRNA / siRNA / miRNA4
C)

Transcription factor

A) The nucleosome: DNA wrapped around an octamer of histone proteins.

B) Histone/chromatin modification by acetylation of histone tails resulting in relaxation of chromatin and increased
gene expression.
C) DNA methylation of cytosine residues in the promoter region of a gene preventing transcription factor binding
suppressing gene expression.

D) Short non-coding RNAs such as short hairpin (shRNA), silencing (siRNA) and microRNA (miRNA) bind tomRNA causing degradation16.
(Source: US government)

Surgery

Environment B

Early Epigenome BDNA

DegradesEnvironment A

Twin A

Twin BA)

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One experimental method to investigate the association between the status of the epigenome and chronic pain
is to conduct an epigenome wide association study (EWAS). By utilising powerful DNA sequencing technology(Next Generation Sequencing (NGS)), it is possible to examine the status of chromatin modifications or DNA
methylation across the entire genome in a specific cell type (usually whole blood), at a specific point in time,in specific cohorts of affected individuals. Bell and colleagues20 conducted an EWAS of DNA methylation forheat pain sensitivity in a cohort of 50 discordant identical twins and 50 unrelated individuals. This identified
specific areas within the epigenome termed pain Differential Methylation Regions (pain DMRs) that wereassociated with heat pain sensitivity. They discovered a strong signal for increased CpG island methylationnear the promoter region of the ion channel gene TRPA1 in individuals with lower pain thresholds. They also
observed nominally increased levels of TRPA1 gene expression in the skin of individuals with high pain thresholds
indicating a link between TRPA1 promoter methylation, suppressed gene expression and thermal sensitivity.
EWAS are an extremely powerful method to investigate epigenetic contributions to complex traits and may
highlight either important links in known pain genes21 and pathways or provide for the discovery of novel
biomarkers of pain sensitivity. While TRPA1 is not a known mammalian thermosensor, it is possible that its
activity is linked to other ion channel pain genes that are differentially expressed in skin (e.g. TRPV1)22. Epigenetic
mechanisms are increasingly recognised as important therapeutic targets to modify pain responses. Research
now examines the impact of reversing epigenetic changes on known neurobiological processes that underlie
peripheral and central sensitisation and chronic pain23.
Animal-based evidence in rats and mice, indicate that inflammatory pain may be related to the level of activityof specific HDAC enzymes in the spinal dorsal horn and brain, and treatment with HDAC inhibitors (e.g.
Suberoylanilide hydroxamic acid, SAHA) can reverse the effect. In a model of Complete Freunds Adjuvent (CFA)
induced peripheral inflammatory pain, intrathecal SAHA prevented spinal HDAC changes and attenuated thermal
hyperalgesia24. Zhang and colleagues then demonstrated that CFA induced inflammatory pain was related to
the level of H3 acetylation in the promoter region of GAD2 in critical central pain modulating neurons in the294Australasian Anaesthesia 2017

nucleus raphe magnus. They were able show that increasing H3 acetylation with SAHA restored GAD2 expression
and relieved sensitised pain behaviour25. Increased histone acetylation is also involved in the development of
opioid tolerance and opioid induced hyperalgesia (OIH). In a model of morphine OIH, it appears that the effectis determined by the balance of HAT versus HDAC activity in mice. Co-administration of a HAT inhibitor (Curcumin)
reduces the effect whereas SAHA increases OIH26. Furthermore it appears that OIH is related to changes in H3
acetylation in the promoter regions of the genes for Brain-derived neurotrophic factor (BDNF) and Prodynorphin(PYDN)27. It now appears that the same mechanisms are associated with enhanced postoperative pain andanalgesic tolerance (in mice), and this can be reduced by HAT inhibition (anacardic acid) or drugs that block
the receptors of BDNF (ANA-12) and PYDN (nor-binaltorphimine)28.
MEMORY AND COGNITION
Early childhood exposure to anaesthesia is associated with transient postoperative cognitive impairment29 and,while much debate surrounds the issue, may increase the risk of long term neurocognitive dysfunction30,31-34.
Animal studies have highlighted the developmental neurotoxicity and cognitive deficits resulting from exposure
to anaesthetic agents acting at γ-aminobutyric acid type A and N-methyl-D-aspartate glutamate receptors35.
There is now evidence to suggest that epigenetically mediated changes in the balance of the expression of
BDNF may underlie this process.
The BDNF gene (BDNF) is a memory and neuronal plasticity related gene with increased expression being
associated with enhanced memory formation10. BDNF plays a critical role in stimulating developmental pathways
involved in synapse formation and brain maturation. Isoflurane anaesthesia, administered at the time of peak
brain development (e.g. Rat postnatal day 7 (P7)) induces neuroapoptosis via a BDNF modulated apoptotic
cascade36. Sen and colleagues have recently demonstrated that isoflurane (1.4 per cent for two hours) inducestranscriptional inactivation of cyclic AMP response element-binding (CREB) by increasing the activity of HDAC4
in the rat P7 brain, resulting in reduced BDNF expression and loss of dendritic growth37. Wu and colleagues38
investigated specific epigenetic modifications that alter hippocampal BDNF signalling following isoflurane (1.5
per cent for six hours) anaesthesia, again at rat P7. They demonstrated that isoflurane increased the interaction
between specific transcriptional repressors (MeCP2, HDAC2), condensed chromatin structure and reduced
hippocampal BDNF expression. Cognitive deficiency was associated with significantly reduced histone (H3)acetylation and methylation in the promoter region of BDNF.
Decreased BDNF activity may therefore underlie cognitive dysfunction associated with anaesthesia. Anaesthesia
induced changes in HDAC activity mediate chromatin remodelling silencing BDNF. This makes inhibitors ofspecific HDAC enzymes attractive targets for future translational research. However strategies to protect thedeveloping brain by preventing epigenetically mediated changes need not necessarily rely on newpharmacotherapy. Wu and colleagues further examined the therapeutic potential of exposing rats to highlysocial (6 pups/cage) and novel (toys and running wheels) environments, termed environmental enrichment (EE).
Impressively they demonstrated that EE mitigated the epigenetic changes and corrected the cognitive impairment
induced by neonatal anaesthesia.
Neurodevelopmental interventions in human infants to optimise the sensory experience and reduce stress, isa commonly practiced clinical application of EE. Infant massage is widely used in neonatal intensive care units
to provide a higher level of tactile stimulation to counter the stress of environmental lights and noise. Indeed,
there is evidence that massage in pre-term infants approaching term favours maturation of EEG activity that is
consistent with increased synaptic density and connectivity39.
ANAESTHETIC PRECONDITIONING
Volatile anaesthetic agents are known to protect the myocardium from reversible and irreversible ischaemic
injury. This was first described when halothane was shown to attenuate ST-segment elevation after coronary
occlusion in dogs40. The concept of preconditioning arose with the observation that pre-administration of
isoflurane before myocardial ischaemia reduced infarct size in rabbits41. There has since been a large body ofresearch into the potential benefits of anaesthetic preconditioning in animals and humans, particularly in thesetting of coronary artery bypass graft (CABG) surgery. Numerous clinical trials and meta-analyses indicatethat volatile anaesthetics most likely reduce the severity of myocardial necrosis associated with CABG whencompared with intravenous (propofol) anaesthesia42-44.
The mechanism for anaesthesia induced preconditioning is an area of continued investigation. Initial studies
highlighted the activation of adenosine A1 receptors and the opening of mitochondrial adenosine triphosphatesensitive potassium channels (KATP). This process triggers multiple signal transduction pathways involving protein
kinase C (PKC), mitogen-activated protein kinases (MAPK), extracellular-regulated kinase (ERK) and phosphatidyl3-kinase/AKT. Ultimately there is increased expression of preconditioning mediators such as inducible nitricoxide synthase (iNOS) and heat shock protein resulting in decreased reactive oxygen species and increasing
cellular viability45-48.

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However, more recent investigations suggest that microRNA plays a critical regulatory role in this pathway. An
analysis of cardiac myocytes during myocardial infarction in rats revealed one particular microRNA (miR-21)
was significantly down regulated in infarcted areas and up-regulated in the border zone areas49. It was thendemonstrated that ischaemic preconditioning specifically inhibited down regulation of miR-21 suggesting its
involvement in the preconditioning pathway. Investigators confirmed the protective effect of miR-21, bydemonstrating reduced cell apoptosis in the border zone, after treatment with an adenovirus expressing miR2149. Olsen and colleagues then investigated the effect of isoflurane on miR-21 mediated cardiac myocyte
protection in rats and observed that, isoflurane induced up-regulation of miR-21 protected cardiac myocytes
from oxidative stress (using Peroxide in vitro) and ischaemia reperfusion injury (coronary artery occlusion invivo)50. To further characterise the impact of loss of miR-21 on anaesthetic preconditioning, Qiao and colleagues
utilised a miR-21 knockout mouse model (genetically engineered mice with no miR-21 expression). They foundthat the absence of miR-21 ablated the ability of isoflurane to protect the heart from ischaemia reperfusion withthe activity of known downstream mediators (AKT/NOS) being specifically affected51.
This work, although preliminary, is an example of a new and enticing area of investigation into the impact ofanaesthetic induced changes in miRNA on organ function and dysfunction. There is increasing understandingof the central role miRNA has in essentially every aspect of cellular and organ function in health and disease
that may interact with anaesthesia52. Therefore, the clinical importance of therapeutically targeting miRNA,
either by inhibition or as mimics, is an emerging concept that future studies will undoubtedly focus on.
CONCLUSION
Epigenetic mechanisms fundamentally determine cellular activity and the response of cells to changed
environmental conditions. Much of the work described in this review is preliminary and pre-clinical with theprimary aim of informing the reader of the methods being utilised to discover and understand how different
epigenetic mechanism may interact with anaesthesia to affect outcomes. Importantly, clinical phenotypes
related to anaesthesia are extremely complex, difficult to define and represent a dynamic interaction between
the environment and thousands of cellular processes and pathways. Therefore, understanding the contributionof epigenetic mechanisms to acquired phenotypes offers an opportunity to further understand the biologicalresponse to anaesthesia and surgery, always with the hope of creating new interventions to improve outcomes.
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31. Wilder RT, Flick RP, Sprung J, Katusic SK, Barbaresi WJ, Mickelson C, et al. Early exposure to anesthesia and learning
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42. De Hert SG, Broecke ten PW, Mertens E, Van Sommeren EW, De Blier IG, Stockman BA, et al. Sevoflurane but not propofol
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44. Pagel PS. Myocardial protection by volatile anesthetics in patients undergoing cardiac surgery: a critical review of thelaboratory and clinical evidence. J Cardiothor Vasc Anesth. 2013;27(5):972-982.
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Education
Preparing candidates for the ANZCA primary
examination vivas
Andrew Gardner, Ross Macpherson
Trainee mentoring – Tips to setting up a programand issues encountered along the way
Ian Balson
Free open access online education in anaesthesia
Ryan Juniper
It’s more complicated than that: Complexity andanaesthesia
Dave Gillespie, Rod Peadon, John NealPreparing candidates for the ANZCA primary examination vivas 

301

Preparing candidates for the ANZCA primary examination vivas
ANDREW GARDNER, MB BS, PGDipEcho, FANZCA, AMusA

Department of Anaesthesia, Sir Charles Gairdner Hospital, Nedlands, WA

Associate Professor Andrew Gardner is a senior staff specialist anaesthetist with an interest in cardiothoracic
and liver transplant anaesthesia. He is the immediate past chair of the ANZCA primary examination committee.
ROSS MACPHERSON, BPharm, MSc, DHP(Syd), BMed(Hons), PhD, FANZCA

Department of Anaesthesia and Pain Management, Royal North Shore Hospital, St Leonards, NSW

Associate Professor Ross MacPherson is a senior staff specialist anaesthetist with an interest in peri-operative
assessment and acute pain management. He is also Clinical Professor at the Northern Clinical School, University
of Sydney, and past chair of the ANZCA primary examination committee.
INTRODUCTION
The ANZCA primary examination viva (“viva voce”, an oral examination) is a constant source of anxiety, bothto the candidates who are desperate for practice vivas prior to their examination, and to consultants and moresenior registrars who are asked to provide these practice vivas.
Giving practice viva examinations offers several rewards to those who prepare them and undertake them; firstly
giving Fellows the opportunity to refresh and update their knowledge of the physiology and pharmacology of
their every day practice, secondly attaining continuing professional development points in the knowledge andskills category, and if the information gained is then applied to clinical protocols, potentially in the practiceevaluation category, and thirdly the appreciation of junior colleagues who are sitting the examination, who
hopefully on passing will follow this example and provide practice vivas to the next cohort of trainees who will
follow them to the examination.
For many primary candidates, the examination will be their first experience of a viva examination, as opposedto the more structured OSCE (objective structured clinical examination) examinations they have previously
experienced.
Being exposed to practice vivas allows candidates to:• Experience a simulated examination situation.
• Perform under pressure.
• Determine if they are able to verbally explain their understanding and the clinical relevance of thebasic sciences.
• Allow reflection on the application of strategies that allow for improved performance1.
Fellows’ memories of the primary examination are not always pleasant, which may cause some reluctance toproviding practice vivas. However, the examination continues to evolve, and it is hoped that this chapter will
provide appropriate guidelines to allow even the most reticent to engage in the process.
THE PURPOSE OF VIVA EXAMINATIONS
Oral examinations or vivas have been a traditional part of undergraduate and postgraduate medical assessment.
Compared to written forms of assessment, they are not easy to organise, relatively expensive to facilitate, andin the past may have been relatively unstructured leading to what may have been well-deserved criticism of
examiners and this form of assessment. As a result they have been well reviewed, processes improved, andbeen demonstrated to allow examiners to assess areas that are not particularly well assessed in other forms
of assessment. In particular, vivas:• Mirror the form of communication that dominates professional practice.
• Test the limits of a candidate’s knowledge and understanding, applying especially to the candidate whose
weaknesses may not otherwise be clearly exposed.
• Are thought to be effective in assessing the cognitive processes which constitute professional thinking2.
Having stood the test of time, vivas are likely to remain for the foreseeable future as an assessment technique.
THE ANZCA PRIMARY VIVAANZCA defines the primary examination as a test of knowledge and understanding of the scientific foundationsof clinical anaesthesia, and advises that candidates are expected to demonstrate an understanding of thesubject matter and show their ability to integrate the relevant information so that it is applicable to the practiceof clinical anaesthesia. The scientific foundations are divided into applied physiology, pharmacology, anatomy,
measurement, equipment, and quality and safety3. It is not necessary to incorporate all the foundations into

302Australasian Anaesthesia 2017any single viva, but there will be many occasions when an integrated approach will result in a more searchingviva that enables the candidate to show how various ideas can be brought together.
Within the current examination format, each viva topic (the opening question and follow up questions) lasts forapproximately five minutes. Examiners take great care in viva design such that their question list should be
able to be completed within the allocated five minute time slot. When undertaking viva practice however, strict
adherence to such a time frame is generally unnecessary, except if more formal mock vivas are to be undertaken.
Each group of questions should where possible allow a candidate to demonstrate knowledge of a basic science
concept, an understanding of that concept, and how this relates to clinical practice.
TYPES OF VIVAS
Although no two vivas are exactly the same in their structure, there tend to be three general viva structures that
progress in different ways. If you can decide at the outset on your viva structure, you can tailor the questions
accordingly. The actual examination vivas tend to be a balance of these three different viva structures.
The first viva structure may be described as the “oil well” type viva. This has a narrow opening but it drills deep!
This style of viva is used to examine a single topic, but in depth. It should be kept for examination of key
concepts where a high level of understanding is expected, such as volatile agent pharmacokinetics orneuromuscular blockade monitoring. Some examples of this style of viva are shown in figure 1.
Figure 1. Examples of “oil well” type vivas
EXAMPLE A

EXAMPLE B• Draw a wash-in curve for sevoflurane.

• What is the formula for nitrous oxide?

• Superimpose desflurane on this graph.

• Why is that important to us?

• Why is the curve shaped as it is?

• Why is it drawn above sevoflurane?
• How is solubility measured?

• Why do less soluble agents reach equilibrium
faster?

• How is it manufactured?
• How is it supplied?

• Why do we use it in anaesthesia?

Figure 2. Examples of “funnel” type vivas
EXAMPLE A

EXAMPLE B

Can you give me some examples of beta adrenergic
blocking drugs?

Write down the blood gases for both an arterial andmixed venous blood gas breathing room air.

• Why is cardioselectivity important?

From here, a number of directions can be takensuch as:• How can we classify them?

• Is the distinction between cardioselective andnon-cardioselective agents absolute?
From here, a number of directions can be takensuch as:a. Why does esmolol have a short half life?

• What other cholinesterases do you know of apartfrom red cell esterase?
• The metabolism of remifentanil by non specificesterases contributes to its favourable “context
sensitive half life”. What does that mean?

a. How would these numbers change if the patient
had an FiO2 of 1.0?

• Using the oxygen content equation to assist you,can you explain why there is a large difference inthe arterial oxygen but not the mixed venous?

• What are the factors that determine mixed venous
oxygen?
• What therapeutic manouevres can you use toincrease mixed venous oxygenation?

ororb. What are the clinical indications for using
selective beta blockers?

b. How would these numbers change in a pregnant
woman at term?

• What are the other determinants of myocardial
oxygen consumption?

• What underlies these changes?

• In myocardial ischaemia, why is it useful to lower
heart rate?

• There are concerns about toxicity, can you tellme about those?

The second viva structure is the “funnel” type viva – a wide opening but a narrow spout. These vivas commencewith a broad area concept. It may be a brief list (be wary of lists that are too long) or a definition. From there
questions are gradually refined down to a specific end point that can be examined in more depth. One of thegreat advantages of this style of viva is that you can have just one “mouth” to a funnel, but prepare many
“spouts”. Thus by branching off at an early stage in the viva, a single introductory question can lead to multiple
end points. Examples of this style of viva are shown in figure 2.

303

Preparing candidates for the ANZCA primary examination vivas • What are the major cardiovascular and respiratorychanges that contribute to this?
• How do these affect oxygen delivery to the
foetus?

The third viva structure is the “paint the wall” type viva – only one coat, but you cover a lot of area. This is acommon viva style, and very much suited to the modern concept of examining knowledge in an integrated
fashion. You are able to cover a large amount of material, sometimes half a dozen or more learning objectives,
but because of time constraints, in a somewhat more superficial fashion that the preceding two approaches.
You can see from the examples in figure 3 that in just a few questions quite complex interrelationships between
physiology, pharmacology, equipment and anatomy may be explored.
Figure 3. Examples of “paint the wall” type vivas
EXAMPLE A

EXAMPLE B

What is the “normal” pH of arterial blood?

(Shown an ABG of metabolic acidosis with anincreased anion gap.)

You are in the process of undertaking a spinal
anaesthetic. At which level will you insert the needle
and why?

• What conditions might cause theseabnormalities?

• You successfully enter the intrathecal space, andCSF drips from the needle. Why does that happen?

• This is due to diabetic ketoacidosis. How does
the kidney normally handle glucose?

• What is normal CSF pressure?

• Here is a blood gas. Can you point out any
abnormalities?

• As you insert the needle what structures will you
pass through?

• What is meant by anion gap?

• What is the definition of “pressure”?

• How do we assess renal function in a patient?

• Can you draw a graph relating GFR and serum
creatinine?

• Why is it pressurised?

• What are the determinants of CSF pressure?

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Australasian Anaesthesia 2017

WRITING A VIVA
The basic key to those seemingly effortless vivas that you see performed by experienced examiners is segue.
The dictionary definition of this term is either to proceed without pause from one musical number or theme toanother; or to make a transition without interruption from one activity, topic, scene, or part to another. Your viva
should have a series of questions where one builds on the information gained earlier. You know you have agood viva when you can see the candidate using knowledge from a previous question to answer the nextquestion. Your viva should not be just a series of questions blasted out machine gun style!
Choosing a topic
It is a common misconception that primary examiners know everything about every learning outcome. Primary
examiners are everyday practising anaesthetists who all have areas of expertise in their clinical practice in which
they have extra knowledge and feel comfortable about examining, and it is from these areas that they tend towrite their viva questions. Those who take practice vivas are no different. One strategy is to choose a topic
with which you are extremely familiar or interested (e.g. an anaesthetist who specialises in regional techniques
may wish to discuss local anaesthetic toxicity, nerve blockade, or the effects of a sympathetic block), or a topic
in which you wish to revise or update your knowledge (e.g. the interactions between the newer anti-depressant
medications and anti-emetics and analgesics, or the anaesthetic interactions of herbal medications and illicit
drugs). Most importantly, there should be some clinical relevance to the basic sciences examined.
ANZCA publishes a list of all the learning outcomes that are assessed in the primary examination on the College
website, http://www.anzca.edu.au/documents/curriculum-appendix-two.pdf, and this is regularly updated4. In
addition to the published learning outcomes, ANZCA also publishes a reading list, and indicates that the majority
of information is found in the texts on this list5. These texts are freely available online to all College Fellows andtrainees. It is critical that when writing vivas, the first port of call should be the ANZCA learning outcomes. Thisis especially so if a viva is designed to assess anatomy, or equipment topics. It is somewhat disheartening towrite a “brilliant” viva on upper limb blocks, only to find that unfortunately this topic is not part of the primaryexam syllabus!

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Preparing candidates for the ANZCA primary examination vivas 

DELIVERING THE VIVA
Trainees often fail to understand that it is often as stressful, if not more stressful, to deliver a viva than it is tohave to receive one! A viva can go in many directions, be on a topic that a trainee may have limited knowledge,
be quickly exhausted by an exceptional trainee, and at the same time there is an expectation that feedback
will be given after the viva.
Survival suggestions include having:• Clear unambiguous questions.
• Rescue questions – questions that revert back to the basic concepts of the viva, to enable the poorly
performing candidate the chance to re-engage with the subject matter.
• More difficult questions for the candidate who is excelling.
• Pre-prepared material. For example, it takes time to draw and label an oxygen-haemoglobin dissociation
curve. Depending on the area you which to examine it might be more appropriate to give the candidate apre-drawn curve and ask them to either label the axes and/or point out salient points on the graph.
• Examiners are not out to trick candidates in the vivas. As a general rule of thumb, an examiner will not ask“Are you sure?” with respect to a correct answer given. If a candidate provides an answer about which
you may have your doubts as to whether it was a guess or not, it is much more appropriate to ask the
candidate the reasoning that supports this answer. “Are you sure?” in this situation may only lead a nervous
candidate to change their answer to the complete opposite, and then be thrown for the following questions.
If the candidate has said something that is completely unreasonable, or you suspect it has been a slip,
then it may be appropriate to ask “Are you sure?”.

No subject is too simple to be examined in a viva. Examiners’ reports continue to mention that candidates
failed to perform well on some of the most basic and simple concepts in physiology and pharmacology. A viva
examining simple concepts is often the most discerning viva. Do not think that all concepts examined need tobe difficult.

FEEDBACK
Trainees will nearly always request feedback after a practice viva. In the actual examination, the examiners
have the luxury of examining in pairs, allowing a second person to assist in determining the standard that beenachieved by the candidate. It is very difficult for the novice practice examiner to be able to ask questions, listen
to the answers, direct the flow of the viva, and mark the candidate simultaneously. When starting off it is probably
best to have a mark sheet for your viva, where you can give marks for each question within the viva. This isuseful as you can clearly state to the candidate what parts were done well, or not so well.

Opening question
The opening question should clearly identify the topic, and should be one that should enable the candidate tostart gaining marks. Examples of these are:Trainees will continue to gain knowledge as they prepare for the examination. Feedback regarding technique
may be just as welcomed and as valuable as the actual standard achieved by the trainee as they continue toprepare for the examination.

• Define hypoxaemia, and classify the physiological causes.
• List the various classes of drugs that may be used in the treatment of hypertension.
• Draw and label a lead II ECG for one cardiac cycle.
It is important that the opening question be unambiguous – it must have a clear correct answer, and allow fora quick transition to the next question. If you wish to discuss the drugs that may be used in the treatment of
intraoperative hypertension rather than those used in the management of chronic hypertension, then this should
be clearly stated. The opening question generally assesses knowledge rather than understanding or clinicalrelevance. A “list”, “classify” or “draw” opening question often puts both the novice candidate and the novice
practice examiner at ease.
Follow up questions
The concept of segue should apply to all follow up questions. It is important that in the eyes and ears of theperson receiving the viva, there should be some logical connection and transition between the opening question
and the follow up questions.
Some general guidelines for follow up questions are:
• Questions should move from simple to more complex, so that candidates are given the maximal opportunity
to score marks before they are asked extremely difficult concepts (and which may not need be known fora pass) which may throw them.
• In the case of physiology-related questions, questions should commence with normal physiology before
moving on to altered physiology or pathophysiology (for example normal respiratory mechanics should
be considered before moving on to one-lung ventilation). This does not apply to basic concepts such ascommenting on an arterial blood gas.
• Placing questions in a clinical concept may assist in gaining the appropriate answers (for example, using
Virchow’s triad, can you explain the principles of how we prevent venothromboembolism under anaesthesia?).
• In discussing monitoring or equipment it may be worth giving candidates a choice (for example, in discussing
processed EEG monitoring, ask the candidate which form of monitoring they are most familiar with andwish to discuss. The major principles can be discussed with any of the proprietary systems available).

The information in figure 4 may serve as a useful guide to the areas in which feedback may be given.
Figure 4. Proforma for providing viva feedback
PRACTICE VIVA FEEDBACK
KNOWLEDGE
Basic sciences

Adequate / Inadequate

Understanding

Adequate / Inadequate

Clinical application

Adequate / Inadequate

Overall Impression

Fail / Pass / Good PassTECHNIQUE
Engagement with examiner (e.g. eye contact, interaction, posture)

Adequate / Inadequate

Responses (e.g. answers questions appropriately, avoids, does not answer thequestions asked)

Adequate / Inadequate

Avoiding distracting habits (e.g. fidgeting, covering mouth when speaking)

Adequate / Inadequate

Communication (e.g. speech delivery, clarity of thought)

Adequate / Inadequate

Written (e.g. drawing and labelling of graphs)

Adequate / Inadequate

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CONCLUSION
No means of assessment is ever perfect, but ANZCA remains committed to ensuring that its assessment
processes are fair. Assisting trainees with practice vivas may enable them to perform in the actual viva to theirhighest potential, allowing those who have the appropriate knowledge and who should pass the examination,
to do so. As the old adage goes, practice makes perfect, for both the practice examiners and the candidates.
Start off with a bank of six or seven vivas and keep working on them to improve their structure. After you havegiven the same viva a few times, you will soon work out its strength and weaknesses and can make adjustments
accordingly. If things do not go well initially, persevere – every examiner has struggled with their vivas – and as
you become more comfortable in delivering your vivas, seeing improvement in both candidates’ performancesand yours may be very rewarding!
REFERENCES

1. Selzer R, Ellen S, Rotstein L, Roseby R. Twelve tips for performing well in vivas. Med Teach. 2014;37(5):428–432.
2. Memon M, Joughin G, Memon B. Oral assessment and postgraduate medical examinations: establishing conditions forvalidity, reliability and fairness. Adv Health Sci Educ. 2010;15(2):277–289.
3. Australian and New Zealand College of Anaesthetists. Primary examination. n.d. From: http://www.anzca.edu.au/training/
examinations/primary-exam. Accessed 29 August 2017.
4. Australian and New Zealand College of Anaesthetists. Learning outcomes mapped to the primary examination. 2017.
From: http://www.anzca.edu.au/documents/curriculum-appendix-two.pdf. Accessed 29 August 2017.
5. Australian and New Zealand College of Anaesthetists. Library guides primary examination: overview. n.d. From: http://libguides.anzca.edu.au/primary. Accessed 29 August 2017.

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Trainee monitoring – Tips to setting up a program and issues
encountered along the way
IAN F BALSON, MBBS, GDipCousellingPsychotherapy, FANZCA

Dr Ian Balson has been a consultant anaesthetist at The Royal Women’s Hospital (The Women’s) Melbourne
for more than 25 years. He established The Women’s mentoring program in 2012 and coordinates the program.
He has a strong interest in the welfare of trainees and this interest led to him obtaining a Graduate Diploma inCounselling and Psychotherapy in 2012. In 2016 he was awarded the Australian and New Zealand College ofAnaesthetists Dr Ray Hader Award for Pastoral Care.
INTRODUCTION
There are currently more than 107,000 medical practitioners in Australia, of which more than 5200 are
anaesthetists. In 2013 there were 1484 registered anaesthesia trainees1,2. These are big numbers, and big
numbers occasionally lead to individuals not receiving the care and mentoring that the College, the community
and the trainee expects. Recent headlines in our local papers point out a number of suicides among juniordoctors and highlight the increasing stress our trainee doctors are under3,4. It is important, given the large
number of junior doctors in anaesthesia, that appropriate care and support is given to these people.
Mentoring has been shown to be an effective tool in the support, both emotionally and professionally of juniordoctors. In 1997 the Anaesthetists Association of Great Britain and Ireland (AAGBI) published a document titled
Stress in anaesthetists that outlined mentoring as part of the “stress support system”5. Since then there has
been an increasing number of mentor programs introduced into anaesthetic departments in Australia.
Unfortunately, however, we still lag behind the US and Canada in the provision of such important programs forthe support of our trainees.
This article will outline a system of mentoring that we have established at The Women’s hospital, Melbourne,a tertiary referral hospital and a major training hospital of anaesthetic registrars in Victoria and national andinternational anaesthesia Fellows. It will also explore some of the major issues that have presented themselvesin the five years the program has been running.
MENTORING
Mentorship can be described as “a relationship in which a person with useful experience, knowledge, skills,
and/or wisdom offers advice, information, guidance, support, or opportunity to another for that individual’s
professional development”6. It is based on the relationship in Greek mythology that Mentor – an older, wiser
friend of Odysseus – had with Telemachus, who was Odysseus’ son. Telemachus developed a strong relationshipwith Mentor based on his guidance and support. The term mentor is now used to encompass terms such as
counsellor, coach, motivator and friend and in medical world a “safe space” or like in childhood games, “barley.”
The business world in the US was the first to set up mentoring systems in the 1970s and the benefits of improved
productivity, personal development leadership skills and job satisfaction were quickly identified by forwardthinking companies7. Medical mentoring was much slower to emerge in the literature with mentoring in theanaesthetic literature lagging behind many of the other medical specialties.
I began my anaesthetic training in the late 1980s when mentoring was only considered for those that were indifficulty professionally. I watched and learnt from those that I admired for their style or skill. The medical world
was not an empathic environment and poor outcomes, personal issues and life stresses were generally not
openly addressed within the workplace environment. Trainees often felt vulnerable and occasionally alienatedwhen there was little official support in the system. The development of trainee welfare and mentoring withinanaesthetic departments has greatly improved the workplace for anaesthetic trainees.
In 1998 the Subcommittee of Post Graduate Medical Education in the UK stated “there should be local analysisof the need for support for doctors, and local decisions made about the provision of such support” and soformal medical mentoring began to emerge.
Although it is difficult to quantify the exact emergence of mentoring in anaesthetic departments it appears the
US is best represented with 88 per cent8 of anaesthetic departments having a mentoring/welfare program
compared with Canada 68 per cent9 and Australia 37 per cent10.
SETTING UP A MENTORING PROGRAM
Mentees
The decision as to who should be the mentees at an institution is important, as the robustness of a mentor
program, is determined by the success of the program as measured by the feedback of the trainees and thedegree of satisfaction of the mentors. If a program involves all junior and senior trainees, medical students, andallied health professionals, it may be too cumbersome and not sustainable.

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It has been shown that mentoring programs in institutions particularly benefit mentees who are new to theinstitution, mentees encountering personal or professional difficulties, mentees unsure of their career opportunities
and those mentees going on to leadership roles11. Mentees need to be at an institution at least three months
minimum to benefit from a mentor program.
Mentors
The inclusion of the right mentors in a mentoring program is fundamental to the success of the program.
Determining who should be involved in the mentoring program can be a difficult and controversial question. At
one level it could be argued that all staff can be mentors as the qualities you need to be a mentor are goodinterpersonal skills, time, non-judgmental listening and a passion to be a mentor. Many people may have thesequalities and thus a voluntary mentor program is an ideal way for these people to nominate themselves. While
being involved in a mentoring program may have benefits for the mentor such as increasing the chance ofpromotion in the business world or achieving required continuing professional development points, these should
not the be driving forces behind wanting to enter a mentoring program.
Important benefits for the mentor include engaging with trainees who may be of a different generation andtherefore having a different world view, feeling more relevant, reconsidering established ways and increasing
communication skills. These advantages should not be sought after but arrive as a surprising side effect of
being part of a mentor program.
The issue of whether mentors should have formal training in mentoring is an interesting and controversial topic.
In 1998, the Standing Committee on Postgraduate Medical and Dental Education (UK) (SCOPME) recommended
that medical mentors should have formal training in mentorship12. Most mentoring programs do not require all
mentors be formally trained, however, it is advantageous for the coordinator of the mentoring program to haveformal training. There may be a time when formal mentoring training becomes mandatory, but at this stage, it
is a long way off.
Finally there are certain members of a department who should not be involved in the mentoring program due
to a conflict of interest. The supervisor of training (SOT), director of department and others with official trainingroles may have the interests of the mentee at heart but need to report to department, College or the hospitaland so may have significant conflicts of interest.

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Communication
A hospital and departmental positive approach to a mentoring program is instrumental in the success of aprogram. Open and inclusive communication without feeling obligated to become involved is important. A
program of Respectful Workplace Behaviours is in place at The Women’s. This is a hospital-wide program thatevery staff member is required to undertake on a yearly basis. Respectful behaviours are therefore a fundamental
part of day-to day life at the hospital. It is within this respectful workplace that the mentoring program takes
place.
Mentoring is a skill that is both innate and learnt and one of the most important components of mentoring iscommunication. Medical practitioners spend years learning to diagnose and treat illnesses in patients.
Communication with our patients and relatives uses the “medical model” where medical practitioners are theexperts and patients are given the answers or what medical practitioners believe are the answers.
Mentoring requires another type of communication that involves “active listening” or “empathic listening”. This
is where practitioners treat their mentee with an unconditional positive regard and engage in listening to themwithout trying to solve their issues. It may involve summarising and paraphrasing, and allowing the full story to
evolve. Early interrupting and claiming to know the answer are often counter- productive in a mentoring roleand being real and genuine are important positive characteristics of being a mentor. One fundamental componentof mentoring is respect with a strong mentor-mentee relationship developing through mutual respect.
THE WOMEN’S HOSPITAL EXPERIENCE
The Women’s hospital can present trainees with certain challenging situations and experiences. Most trainees
are in their third year of anaesthetic training, which means they are beginning to move towards consultant leveland so are given more responsibility and more afterhours work by themselves. They can sometimes also be
exposed to traumatic situations such as maternal haemorrhage, neonatal and even maternal deaths and theother many emotional situations that arise in a women’s hospital.
The effects of increased responsibility and exposure to some traumatic events can have a deleterious effecton some of our trainees, and so in 2012 a mentoring program was established to help with trainees who were
struggling with work or other issues.

Formal versus informal mentoring
Mentoring is often described as being “informal and invisible”13. It is true that the best form of mentoring isvoluntary and takes place without a structured program. However, not all trainees establish a mentoring
relationship and some can miss out on the benefits and possible safe environment mentoring has to offer. It isbetter to be mentored than not and informal mentoring is associated with a higher rating by the trainee, however,it comes at a cost that some trainees may miss out on mentoring completely. Formal mentoring leads to a more
likely development of a mentor relationship (82 per cent versus 17 per cent)14.

The program
The Women’s trainees comprise of six third-year trainees that stay for both four or eight months, and five Fellows
that stay for six to 12 months each. A formal system has been most appropriate for the trainees that stay for
four month rotation. The mentors are volunteers with no pressure placed on anyone to be in the mentor program.
The Director of Anaesthesia, Supervisor of Training and College representatives are not involved in the program.

Allocated versus choice of mentor
The decision as to whether a mentee should have a choice of mentor as opposed to being allocated a mentor
also remains a controversial area. Higher satisfaction levels are reported from the mentee when a mentee hasa choice of a mentor. This however does have its own problems for the organisation in that one mentor may
be the “favourite mentor” and have too many mentees to work with or that particular mentor may be the“favourite” as a person but not necessarily the best mentor.

There is no specific plan given to each mentor or mentee but both are encouraged to catch up within the firstweek and have a relaxed meeting outside the theatre complex. Meetings should be regular without seeming
overly onerous for mentor or mentee. The format of the meetings is not dictated and is at the mentor’s discretion.
A more regulated format of mentor-mentee meetings is used at other hospitals such as The Royal Children’s
Hospital in Melbourne where the Bolton Box is used16. This encourages conversation along three certain
headings namely “Skills/attributes”, “Your job” and “Life away from work”. There are many templates to aid in
the discussion between mentor and mentees and it is up to each institution to decide whether to formalise theprocess or not.

There are a number of factors to consider when determining whether an organisation allocates or allows voluntary
selection of mentors.
The first is the time that trainees spend at an institution. The shorter the stay the more important it is to allocate
a mentor to the trainee early in the rotation as it is important not to waste weeks trying to determine the mentee’s
favourite mentor.

The mentor is allocated to the mentee in the first week of the trainee’s rotation according to no specific criteria.
The trainee and mentor both know whom they have been allocated.

The mentors are encouraged to report anything they are concerned about to the coordinator of the program
first, and depending what the issue is, may be escalated to the coordinator seeing the trainee personally. The
follow up after this would depend on the issue encountered.

The number of suitable mentors in the department is the second factor to consider in the decision to allocate
a mentor or not. A small department cannot have the majority of mentees selecting one mentor and monopolising
their time, so allocated mentoring may be best for a small department.

Confidentiality is crucial and should be explained to the trainee in the first meeting. The mentor and thecoordinator have a duty to the trainee and not the hospital, college or the department unless the issue is subject
to mandatory reporting.

A third factor that is mentioned in mentoring literature (especially from the US) is whether mentors and mentees
should be gender matched. There is little information on this in the Australian context. It is interesting that in
the University of California, San Francisco (UCSF) Anesthesiology Department where they had assigned mentors
for the first six months of their program, just over 70 per cent changed their mentor when allowed15.

There must be a mechanism for an alternative mentor if the relationship between the allocated mentor and thementee breaks down. Our program has not experienced this however it remains a possibility.
The feedback to the trainee should be balanced and presented in a non-threatening way, with negative feedback
discussed with the coordinator, or others, before being presented to the trainee.

One alternative solution to the issue of formal allocation of mentors is to provide a form of “speed-mentoring”,
similar to “speed-dating”, in the first week at an institution allowing all the trainees to meet the consultantsbriefly. This could be a solution to the mentor finding a mentor quickly, however, it may also mean that there isunequal distribution of trainees to mentors.

The assessment of our mentoring system is difficult as the end points are often intangible and can be difficult
to quantify. Monitoring the effectiveness of mentoring systems is an area for all hospitals to work on in the
future as medical workforce welfare will come under increased scrutiny in the future by the media, the government
and the public.

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Common issues discussed at mentor-mentee meetings
Future employment
One of the major issues that came up in trainee discussions was the concern about the possibility of finding a
consultant position in the public system or finding enough work in the private system. A recent survey of trainees
who had gone through The Women’s training scheme from 2008-2013 and were three years post-fellowshipwas conducted. Out of the 60 trainees 76 per cent were working in Victoria, 19 per cent interstate and five percent overseas. Sixty-six per cent were working in the public system and 34 per cent in the private system. Noneof the anaesthetists surveyed were working only in the private system. The mean number of hours worked per
week was 38 hours which provides encouraging information for future trainees. The mean level of job satisfaction
was 8.5/10; suggesting a positive future for those trainees about to gain fellowship.
Stress in the workplace
Stress at work and how individual trainees deal with it seems to be a very common discussion point at mentormentee meetings and between mentors and their supervisors. It is a complicated area with many factors thatneed to be examined to try to assist the trainee in dealing with the various stresses that they confront and haveto deal with at work.
It is interesting that medical practitioners are over represented in the general population in the abuse of alcohol,
incidence of depression and the number of psychiatric admissions. Anaesthetists are over represented in theabuse of drugs and level of suicide relative to the medical practitioner population.
Some of these issues relate to the selection process at medical school where students are selected that havea voracious appetite for succeeding regardless of personal cost. This can lead to some of these students having
a lack of personal and professional support systems and leaving them prone to personal anxiety, feelings ofinadequacy and self-doubt and often not being able to share their feelings with their peers or even mentors17.
Medical training further fosters an excessive work ethic with long unsocial hours, particularly once the training
enters registrar years. The “physician culture” denigrates and ignores the adverse effect of sleep deprivationand fatigue and relegates social and recreational activities needed for successful stress management to a lesser
worth. This can lead to unbalanced and unhealthy lifestyles in those that may be susceptible. Self-regard is
not respected leading to impaired resilience and emotional blunting17.
It is interesting to note that a medical practitioner is generally thought of as a caregiver where the patient andthe doctor are on the same level of mutual appreciation. Should the doctor become a caretaker and feel the
responsibility of necessity to look after a patient completely this can lead to problems of workplace stress andeventually burnout if this happens regularly18.
Anaesthetic training has its own specific stresses. Anaesthesia provision involves continuous intense vigilancewith ongoing physiological arousal. This sounds very like the definition of the word stress. The traits of ananaesthetist include perfectionism, self-sacrifice, a heightened sense of responsibility and being prone to guilt.
These traits can all be exacerbated with even minor harm to a patient.
The anaesthetic trainee faces issues such as a high level of responsibility early in their career, sleep deprivationand physical fatigue, a possible culture of negativism where there is a focus on mistakes and a period of
uncertainty in their own ability, especially when learning new techniques and skills17.
Female trainees face a further level of stress relative to their male counterparts. They face the added stress ofbalancing a career with possible family commitment. Nineteen per cent of female trainees interrupt their training
for parenting compared with less than one percent for male trainees19. Female medical practitioners have a 40
per cent higher divorce rate than male counterparts and the suicide rate of female trainees is four times thatof women in the general population17.
Tips to help manage stress in the workplace
Seeking support
Trainees in their training should seek out a number of “support crew” to help them now and into the future. It
is important to try to seek out and establish four levels of assistance during training.
1. A senior member of an anaesthetic department which they work in. This person can be used for
professional anaesthetic advice and to discuss/deal with difficulties that occur in our profession suchas mishaps, errors and even patient death.
2. Establishing or joining a journal club or a group of likeminded anaesthetists who meet regularly to discusscases and incidents. This provides a non-threatening, safe environment to discuss any anaesthetic issues
without the fear of department/hospital management overseeing proceedings. It is also a rich source ofexperience to call on about difficult cases and scenarios, which helps to provide a sense of relief thatyou are not alone in anaesthesia!

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3. It is critical to develop a mentor during training, or shortly after, to be there for the individual when things
get tough. The mentor can be of similar age or older and will have the role of guiding, advising, and more
importantly being with the individual when difficulties arise both professionally or outside medicine. Thisis the person who will be there when an anaesthetic mishap occurs, and will look after the individual,
and perhaps their family, during this tough time. This is the person who advises them not to continue thelist after a disaster, and to look after themselves, even when they feel guilty and want to keep working.
4. Anaesthetic colleagues also provide a gentle support system and can be used almost daily when we seethem in a tearoom, corridor or socially.
Time management
Anaesthetists are highly skilled at time management within an operating theatre setting and generally are theones that control the daily throughput of those theatres. Unfortunately this skill is not reflected in the time
management of many anaesthetists’ lives and the life balance often weighs heavily on the work side of thework/life balance. This is particularly true in the first few years of being an anaesthetic consultant when there
is huge pressure to establish your practice which may be to the detriment of the rest of your life and family.
The ability to say no is a critical skill and a skill that is not well developed in an anaesthetist who has comethrough the “physician culture” of rewarding a strong work ethic and denigrating “time off “. There are two goodreasons for saying no.
Firstly, at some stage early in a new consultant’s career it is best to work out where the work/life balance isgoing to sit best. This will enable the person to work out how much they wish to work and when to say no to
the extra work should it become available. Secondly, saying no to an individual case or a list, in an unfamiliar
hospital with an unknown surgeon, doing unfamiliar surgery is OK. Saying no enables stress control and helps
determine when situations are beyond one’s command. The skill of saying no is an important one to help toavoid burnout, a common end point from working in a stressful environment for a prolonged period.
Nurturing a sense of humour
Humour is another very useful tool to counter stress as it not only can change the direction of a serious discussion
or situation but is associated with the release of endorphins critical to protection against prolonged stress. We
must learn to take our work and responsibilities seriously while taking ourselves lightly. It is important not tobecome afflicted with AADS – “Acquired Amusement Deficiency Syndrome”. Don’t forget a baby smiles 400
times a day compared with an adult smiling only 15!
Physical and mental well being
It is important that trainees look after themselves physically and mentally so that they are at their best to face
the challenging anaesthetic workplace. Exercising three times a week or playing team sports are both associatedwith stress reduction with team sports having the further advantage of a commitment and communication withfellow team mates. A healthy diet and allowing time for meals, especially breakfast, is all part of trying tomaximise wellbeing and longevity in anaesthesia. Writing your thoughts in a diary and mindfulness activities
such as meditating or focusing on the immediate surroundings in an appreciative way may also assist withrelaxation and are useful tools in fighting stress.
Substance use and suicide
Unfortunately, as anaesthetists we have a 1.5 relative risk of suicide and a 2.2 relative risk of drug-related suicide
relative to other physicians. The increasing representation of propofol in substance use and suicide in Australianand New Zealand anaesthesia needs highlighting. The over representation of trainees and particularly female
trainees in both substance use and drug related suicide is highly concerning and needs addressing at a national
level10. This is an area that may come up in mentor mentee discussions and requires great tact and consultation
with the mentor coordinator or even external counselling assistance. A full discussion of these two areas arebeyond the realm of this chapter but are areas that do come up in discussion at mentor-mentee meetings so
a few points do need to be made. Both of these issues may present as medical emergencies or there is grave
concern for the person’s life. In conjunction with the person, obtaining help is a key priority. The Welfare ofAnaesthetists Special Interest Group Website has a range of important resources available: www.anzca.edu.
au/fellows/special-interest-groups/welfare-of-anaesthetists#resources. The Doctors’ Health Advisory Service,
which has regional helplines in all Australian states and territories, and New Zealand (http://dhas.org.au/contact/
contact-dhas-in-other-states-territories-and-new-zealand.html) is an excellent contact point for anaesthetists
and trainees who you may think need assistance in these two areas.
Other discussion areas
1. Anaesthetic complications: Anaesthetic complications are rare and in contemporary practice the patient
often expects a perfect anaesthetic. This means that a complication is often very heartfelt by theanaesthetist and particularly a trainee having a complication for the first time. A tooth knocked out atintubation or a dural tap experienced for the first time needs to be discussed gently in a supportive
environment as the trainee may not have had any serious complications until now and will be feelingparticularly guilt ridden.

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2. Death during anaesthesia or resuscitation: Nothing can prepare a trainee or anaesthetist for such acatastrophic event. Everyone involved obviously needs support and if the trainee was the main anaesthetist
involved then that person needs full counselling not only from their mentor but from the department andpossibly external counselling. The incident needs to be discussed in a very supportive way with no blame
attached and gentle positive feedback. The trainee needs full support both internally and also outside
the hospital and it is important to make sure there are people outside the hospital to help the trainee –friends, family and colleagues. The trainee should never have to deal with this situation by themselves.
3. Other areas of discussion: Trainees competence and resilience are other difficult areas of discussion, as
are conflict with others and coping with life events, but if the foundations of a mentor are adhered to anda strong mentor-mentee relationship is allowed to grow then these areas can be discussed fully and withgreat benefit to the trainee.
CONCLUSION
A mentoring program within an anaesthetic department is an invaluable asset not only for the mentee withproven benefits around research, continuity and professional development but also for the mentor with improved
communication skills and being exposed to new techniques and being challenged about old ways. There aremany combinations of setting up a mentoring program such as formal versus informal mentoring, allocatedversus chosen mentors and the decision as to who will be the mentees and the mentors in your institution.
The Women’s hospital has set up a formal, allocated mentoring program for junior and senior trainees basedon the time the trainees are there but this may not be the best set up for other hospitals with less staff or shorter
trainee rotations.
Finally the act of mentoring should not be feared, as everyone has the ability to listen, be non-judgemental andcare about someone else. The real ability is to sit back and listen and not always have the answer.
REFERENCES

1. Australian Health Practitioner Regulation Agency (AHPRA) 2017. The AHPRA Annual Report 2015/16. From: http://www.
ahpra.gov.au/annualreport/2016/. Accessed 17 July 2017.
2. Australian and New Zealand College of Anaesthetists (ANZCA) 2017. ANZCA Annual Report 2014. From: http://www.anzca.
edu.au/documents/anzca-annual-report-2014-final.pdf. Accessed 17 July 2017.
3. Three of my colleagues have killed themselves. Medicines dark secret can’t go on. The Sydney Morning Herald. 2017
Feb 10.
4. Swanson SP, Roberts LJ, Chapman MD. Are anaesthetists prone to suicide? A review of rates and risk factors. Anaesth
Intensive Care. 2003;31(4):434-445
5. The Association of Anaesthetists of Great Britain and Ireland (AAGBI) 2017. Stress in Anaesthetists 1997. From: https://www.aagbi.org/sites/default/files/stress97.pdf. Accessed 17 July 2017.
6. Berk RA, Berg J, Mortimer R, Walton-Moss B, Yeo TP. Measuring the effectiveness of faculty mentoring relationships. AcadMed. 2005;17:66-71
7. Roche GR. Much ado about mentors. Harv Bus Rev. 1979;1:14-31
8. Gonzalez LS, Donnelly MJ. A survey of residency program directors in anesthesiology regarding mentorship of residents.
J Clin Anesth. 2016;333:254-265
9. Ergun S, Busse JW, Wong A. Mentorship in anesthesia: a survey of perspectives among Canadian anesthesia residents.
Can J Anaesth. 2017;64:402-410
10. Fry RA, Fry LE, Castanelli DJ. A retrospective survey of substance abuse in anaesthetists in Australia and New Zealandfrom 2004 to 2013. Anaesth Intensive Care. 2015;43:111-117.
11. Feldman MD, Arean PA, Marshall SJ, Lovett M, O’Sullivan P. Does mentoring matter: results from a survey of faculty mentees
at a large health sciences university. Med Educ Online. 2010;15:5063.
12. Standing Committee on Postgraduate Medical and Dental Education. Supporting doctors and dentists at work: an enquiry
into mentoring. London, United Kingdom: SCOPME, 1998.
13. Bligh J. Mentoring: an invisible support network. Med Educ. 1999;33:2-3.
14. Zakus P, Gelb AW, Flaxman AM. A survey of mentorship among Canadian anaesthesiology residents. Can J Anaesth.
2015;62:972-978.
15. Flaxman AM, Gelb AW. Mentorship in anesthesia. Curr Opin Anesthesiol. 2011;24:676-681.
16. Howe P. The mentor case: a proposed model for mentoring in anaesthesia departments. Australasian Anaesthesia. 2007;
103-110.
17. Jackson SH. The role of stress in anaesthetists’ health and wellbeing. Acta Anaesthesiol Scand. 1999;43:583-602.
18. Corke C. The courage to act on burnout. Medical Journal of Australia: Insight. 2017; 27 February. From: https://www.
doctorportal.com.au/mjainsight/2017/7/have-the-courage-to-act-on-burnout/ Accessed 17 July 2017.
19. Australian and New Zealand College of Anaesthetists (ANZCA). 25 years of ANZCA Leadership 1992-2017. 2017:44. From:
http://v3au.zone-secure.net/drive/5022/271542/. Accessed 17 July 2017.

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317Free open access online education in anaesthesia
RYAN JUNIPER, FANZCA, PGCERTCLINED, MBBS(HONS)

Provisional anaesthesia Fellow, St Vincent’s Hospital, Melbourne, Australia.

Dr Ryan Juniper is a self-confessed internet addict with a special interest in modern anaesthesia educationand the Free Open Access Medical Education (FOAM) movement.
INTRODUCTION
To say that the internet has had a dramatic impact on society is an understatement. Estimates from 2015
suggest that 85-90 per cent of Australian and New Zealanders report making use of the internet regularly1. The
information age is showing no denouement, but continuing to shape the ways we communicate, learn, relate,trade, and live.
The digital revolution has also disrupted the norms of medical education2-6. Medical educators have harnessed
the internet to produce and broadcast their own educational material, subverting the established control of
published print. The internet has allowed the “flipped-classroom” to become a mainstream pedagogy; where
the core elements of the traditional education model are reversed with the digestion of educational material
occurring outside of the learning environment, and subsequent discussion and application of concepts withthe guidance of a mentor at the workplace or university. The ability for asynchronous learning is also facilitated,
where information can be shared outside the constraints of time and place among a network of educators andlearners4,7,8.
The wealth of online material has also allowed the novice learner to venture outside of prescribed educational
material for independent co-curricular or extra-curricular learning and the qualified physician to pursue authentic
lifelong education4,7,8. In the earliest days various online forums and journal clubs emerged, with subsequent
proliferation of amateur altruistic educational resources and collaborative wikis, organisational resources, andpaid (and at a later point) free formal online courses9. Most recently the widespread adoption of social media
has been a potent catalyst for online education through blogs, podcasts, YouTube videos, Twitter feeds andFacebook groups continuing to grow globally10. In addition to the frank translation of knowledge, social media
has become a useful medium in which to discuss, scrutinise, and ruminate over current medical practice andresearch7. Greater than 90 per cent of Canadian emergency medicine trainees were found to utilise online
educational resources, and both trainees and program directors reported that this use increased the amountof peer-reviewed literature they consumed4. The widespread and popular use of online resources by physiciansat all career levels suggests that this phenomenon is not simply a passing novelty11. Formal recognition of online
educational resources as scholarly work is increasing; establishments such as The Mayo Clinic now recognise
FOAM content in their criteria for academic advancement12,13. The distinction between traditional journals andonline publishing is predicted to lessen14.
FREE OPEN ACCESS MEDICAL EDUCATION (FOAM)
In 2012 the handle Free Open Access Medical education (FOAM, #FOAMed) was created by Australian criticalcare practitioners attending the International Conference on Emergency Medicine in Dublin7. As these physicians
describe it, “FOAM should not be seen as a teaching philosophy or strategy, but rather as a globally accessible
crowd-sourced educational adjunct providing inline (contextual) and offline (asynchronous) content to augment
traditional educational principles”15. The acronym is a moniker describing the array of free resources, social
fora and online users that focus on delivering free medical education, and in doing so bypass entrenchedbarriers to knowledge acquisition and dialogue in medical education7,9,. FOAM has no official leader; it is amedium, a community, and an ethos. Content is crowdsourced worldwide from a heterogeneous mix of individuals,
the standard of which is evaluated by end-users. The FOAM educational model supports lifelong education,and realises the command for free education given by the Hippocratic Oath itself;“To teach them this art – if they desire to learn it – without fee and covenant; to give a share of precepts
and oral instruction and all the other learning”7.
As the definition of FOAM is somewhat nebulous there can be difficulty in deciding whether a resource is strictly
a FOAM resource. Most visibly there are resources, often with a strong social media presence, that adopt thelabel FOAM explicitly. However there are also a multitude of online resources that are free and open access,for example publications of renowned medical organisations such as WHO, UNICEF, and prominent teaching
institutions, that don’t explicitly use the FOAM label. Research journals have recently begun to embrace an
open-access model to varied degrees, and some have also recently begun to develop the capacity for end-userinteraction and discussion through the use of online forums or social media. Although somewhat arbitrary thedistinction between open-access research and open-access education has been made in defining the boundaries
of FOAM.

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Strengths of FOAM
With the adoption of a new and disruptive educational paradigm it is fundamentally important to understandits strengths and limitations. As for any educational system, demonstrating benefit is onerous. Current researchhas documented the rapid global uptake of FOAM resources via surveys and internet traffic data, and its utility
in passing examinations clinical problem-solving and continuing medical education has been asserted bypersonal testimony16. Similar to proponents of simulation-based training, enthusiasts see the benefits as obvious
however there has been limited high-grade research reporting its outcomes.
One of the central benefits of FOAM is the low barrier to entry. Access to FOAM resources is almost universal
in all healthcare settings, given the high rate of internet access achieved with personal devices and institutional
computers. The ease of access to FOAM is of great utility to trainees who are in isolated or remote locationsof high income countries (HIC), and those in low and middle income countries (LMIC), where access to medical
education through contact with specialist peers may be less at hand. FOAM is platform independent and cloudbased, executable across all browsers, all smart devices, and social media subscriptions. Given the widespreadfamiliarity with use of the internet and social media, FOAM is easy to navigate and use for the contemporary
doctor. There is little financial barrier to FOAM; the cost of smart devices and computers is at its lowest in
history, social media accounts are free, and entry-level web-hosting costs for wikis or blogs are generally low
or absent.
FOAM promotes asynchronous learning and supports the “flipped classroom” model16. Asynchronous learningmaterials facilitate information sharing outside the constraints of time and place among a network of people.
In the flipped classroom model, learning resources are studied by learners prior to a clinical session, allowing
the high-value clinical time to be dedicated to more educationally rich peer discussion and practical experiencein contrast to didactic teaching sessions. In this model clinically-based guidance by experts facilitates thecorrect interpretation and application of asynchronous FOAM material, with the teacher correcting and guiding
the inexperienced learner in their understanding of the nuances of the material. Asynchronous material is easily
adaptable to local needs and training curricula, and supports self-directed lifelong learning. The flipped classroom
meets the needs of adult learners; providing authentic and personalised material in a convenient and efficientmanner. This style of learning is suited to the healthcare setting, where shift-work is common, learners frequently
have differing depths of knowledge for a given topic, and one-on-one time with clinical experts is scant andinvaluable7.
FOAM employs a collaborative approach by exploiting digital connectivity. Through the power of crowdsourcing,an ever-changing user base, and with a route of direct and open commentary, a level of refinement of FOAM
material is achieved7,17. An exhaustive critique of resources and thorough peer review of new research is possible
through the insights and perspectives of a global community of specialist practitioners. New research andknowledge can be identified and discussed efficiently through the large networking capability of online discussion
groups. Thus inaccuracies in FOAM content as a result of error, new knowledge, or a shift in real-world practice
are able to be identified with great sensitivity. Post-publication review is both continual and rapid. Corrections
to material and the dissemination of new knowledge can be achieved almost instantaneously without the needfor a new publication cycle, in comparison with traditional educational resources. The power of a collaborative
approach and a digital platform leads to the generation of material that is up-to-date, accurate, distilled,
comprehensive, and reflective of a global consensus.
FOAM has a greater capacity for the sharing of tacit knowledge7,18. Knowledge that is difficult to communicate
in text or lectures can be transferred. Solutions to clinical problems that research has not yet answered, or thattexts have no space to discuss, can be shared.
The collaborative nature of FOAM promotes interaction between clinicians of differing specialties, institutions,and nations, fostering improvement in relations for collaboration in research and clinical practice7,19,20. The
vibrant interaction and commentary on emerging knowledge engages scientists and promotes clinical research10.
In comparison with traditional resources, FOAM more commonly exploits the wide variety of effective educational
tools available; interactive written content, infographics, video, podcasts and forum based discussion. FOAM
education is thus more dynamic, engaging and more likely to be effective. As FOAM material is universally
accessible and broadcast to a wide audience, an economy of scale is attained offsetting any investment cost19.
Weaknesses of FOAM
The major criticism of FOAM education concerns the lack of formal quality control governing FOAM-produced
resources10,11,21-23. This is a direct consequence of the free dissemination of information through FOAM-capable
media, with no requisite qualifications for authors or approval process for content produced. Some FOAM
producers have attempted to incorporate adaptations of editorial management or formal peer-review to raise
the credibility of their content, however in general there is minimal or no such process evident for the majorityof material currently available23. Post-publication feedback can allow the corrections of errors andmisunderstanding, but these corrections are often not as visible as the original publication. History has
demonstrated that “disruptive”, innovative, user-oriented products and solutions are at the outset often
economical and of low-quality20. After establishing popularity and destabilising the status quo they then begin
to improve in quality. The popularity and utility of FOAM is already evident, however to earn acceptance withinFree open access online education in anaesthesia 319

the medical establishment it needs to now reach a level of credibility that meets that of traditional educational
media. A systematic review published in 2015 by Paterson et al showed that there are currently no standardised
methods to measure the quality of medical education resources online; learners are consuming online medical
education resources with fervour despite a current inability to critically appraise these secondary literary
resources24. The authors highlighted that the lack of quality metrics has negative implications for all stakeholders
who share an interest in producing and consuming quality material: learners, educators, academic leaders, andcontent producers. At this time various methods of critiquing content quality have been proposed (checklists,
modified Delphi method, METRIQ-5, METRIQ-8, ALiEM AIR), but none so far has reached widespread acceptanceor use10,20-22. Experimental systems of peer-review have arisen to improve the quality of online resources, suchas “coached peer review”23.
Ideally clinicians should develop a working knowledge of clinically relevant primary literature, critically appraising
the evidence base and integrating knowledge into practice. FOAM has the potential to allow learners tocircumvent this process leaving them without the skills to critically appraise research and only able to makereference to blogs, podcasts and other secondary literature. This increases the risk of clinical practice that is
not evidence-based. Importantly FOAM should help to distil a broad evidence base with the assistance of one’s
peers, and that FOAM resources should ideally include a discussion and critique of the current evidence base,adequate references to source material, and updated in the light of new evidence. FOAM augments learning
but should not replace development of skills in appraising research.
A further criticism of FOAM education is the potential for oversimplification of medical knowledge. Medical
concepts can be at times nuanced and difficult to conceive, however a thorough understanding assists inclinical decision-making, particularly in scenarios where patients deviate from the norm and practice guidelines
are not appropriate. The FOAM platform may tend toward reductionism, limiting explanations in length andcomplexity to suit the audience and the limitations of the delivery medium24. This has the potential to be of
detriment to a training clinician.
One of the strengths of FOAM is the rapid dissemination and uptake of new knowledge in the light of emerging
evidence. Paradoxically this strength is also a potential weakness. Concerns have been raised over the risk of
new research being incorporated clinically prior to confirmation of validity, safety and efficacy10. Conversely, adelay in the clinical uptake of new research findings can lead to patient harm.
A cornerstone of internet search algorithms and social media is that the most popular resources become more
visible. In this way the most potentially useful information is provided to the consumer. However, the assumptionthat the most popular resources are the most useful may lead to unwanted consequences in medical education.
Firstly, a note about populism and subject matter. Concerns have been voiced about the observable imbalanceof resources dedicated to topics of current and popular interest, such as research with only positive findings,
novel clinical techniques without proven efficacy or safety, and the most popular medical conditions9,27. This
imbalance is at the expense of a broad education covering all essential knowledge for the true scope of clinicalpractice. Learners motivated by formal assessment combat this by utilising FOAM as extra- or co-curricularsupport; however this does not negate the long-term impact of this issue. The second issue is populism inauthorship. The emergence of particularly popular resources results in the associated promotion of particularauthors. Accompanying this is the risk of certain authors possessing an undue influence on learners, and hence
clinical practice9. This has the potential for harm through unintentional or intentional bias.
The monetisation of FOAM resources through advertising is a potential source of income for authors, whether
to cover the costs associated with maintaining resources or specifically for the financial benefit of authors.
Concerns have been raised about the inappropriate courting of medical advertising with medical education,
where there is a risk of influencing medical practice through the promotion of particular drugs, equipment orservices26. A conflict of interest in this context does not legally need to be made explicit.
FOAM by nature often involves the reproduction of existing content, albeit distilled, integrated with otherknowledge, or directly promoted. Authors need to by weary of the plagiarism of content from other sources.
This may be a greater problem with FOAM resources due to the lack of oversight in the publication process.
International copyright code should be followed and sources referenced. The copyright code set by peerreviewed medical journals may restrain authors; publishing original content on FOAM sites can jeopardise an
author’s ability to submit content for publication. The rise of open-access medical journals may mitigate thisissue. The provision of medical education resources must not be confused with medical advice; if not madeexplicit this has the potential to engender medico-legal liability. Patient confidentiality and consent must be
respected as set out by our professional code of conduct.
FOAM in non-anaesthesia specialties
The proliferation of FOAM has been dramatic. In February 2016, 356 FOAM providers relating to emergency
medicine and critical care were counted26. Within critical care medicine, 30 blogs of higher standing have beenformally recommended as quality FOAM resources in a peer-reviewed journal7. The global aggregate of FOAM
content focuses mainly on the practice of emergency medicine and critical care, however its uptake across thefull gamut of specialty groups is evident with high-quality resources serving the disciplines of radiology28,
paediatrics29, ophthalmology30, general practice31, haematology32, oncology33, orthopaedic surgery34, cardiology35,

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Free open access online education in anaesthesia 321and dermatology36 among others. There also exists a diverse array of online resources that meet the criteria ofa FOAM initiative but that do not overtly adopt the label, for example in public health and internal medicine.

by relevant institutions such as affiliated universities, professional colleges or professional societies is likely to
be most appropriate to avoid conflicts of interest.

FOAM in anaesthesia
In the quest for specialist education anaesthesia trainees can certainly profess to be “drowning in data, starving
for knowledge”. And yet any embrace of the FOAM education specifically serving the specialty of anaesthesia
is still in its infancy.

An ideal FOAM resource for anaesthesia should also address and mitigate the criticisms that have been held
against FOAM education model, not only to improve its intrinsic scholarship value but also to improve theperception of FOAM education by employers, academic institutions and specialty colleges.

The most widely known and embraced resources are produced by formal anaesthesia bodies, with various
education initiatives forming part of their online publication;
1. The British Journal of Anaesthesia Education (previously Continuing Education in Anaesthesia, Critical
Care & Pain)37
2. The New York School of Regional Anaesthesia (NYSORA) 38
3. The Difficult Airway Society39
4. The World Federation of Societies of Anaesthesiologists40
5. The Association of Anaesthetists of Great Britain and Ireland41
6. The American Society of Anesthesiologists42
Educational resources produced by these bodies are generally of exceptionally good standard, however they
are mostly non-user oriented, targeted institutional publications that are reproduced online according to theagenda of the institution, and are associated with minimal platform discussion. They do not reflect much of themantra of FOAM.
The most active online forum for the discussion of anaesthesia-related knowledge is seemingly the anaesthesiaspecific sub-forum on the site doctors.net.uk43. However this site requires General Medical Council registrationin the UK for access and is therefore not open access. The site does not produce educational material.
In anaesthesia the internet was embraced early as a medium for dedicated sharing of specific examination
preparation resources, and as expected this has been wildly popular among anaesthesia trainees. The mostprominent, the Black Bank Wiki44, however, is not open access (a token login required), and oriented specificallyto aid candidates in the passing of exams as opposed to assisting the learner in the pursuit of an education inclinical anaesthesia.
The remaining compendium of online endeavours considered to be somewhat reflective of FOAM principles
are severely lacking in quality content, have stalled with infrequent updates, or have been abandoned
altogether45-52. There is a paucity of anaesthesia-specific education podcasts with ongoing production. A searchon the social media platforms of Twitter, Facebook and Reddit, with the terms “FOAMed” or “FOAM” and“anaesthesia” or “anesthesia” unearths sporadic results generated by a handful of enthusiasts.
In Australia and New Zealand ANZCA has generated an online education community through its portal ANZCA
Networks53, however it is not open access, requiring College membership for a means of entry, restricting its
ability to generate an assembly of learners, a fundamental principle of FOAM. Despite being in its infancy theanaesthesia community is particularly well positioned to take advantage of the benefits of FOAM. As a specialty
anaesthetists are generally tech-savvy and embrace new technological advancements.
Anaesthetists have a high level of smartphone and computer-based internet access and are frequent consumersof social media. Shift-work patterns are well served by asynchronous learning, and the existence of easily
accessed, distilled, up-to-date resources would be advantageous. Anaesthesia is a large specialty group, withthe potential for cost-effective and rich online discussion due to a significant crowd size54. There is a large
requisite bank of both theoretical and tacit knowledge in our day-to-day work.
THE DEVELOPMENT OF AN ANAESTHESIA FOAM RESOURCE
The present time is fitting for the expansion of our global anaesthesia FOAM community, which will only occur
with the personal embrace of FOAM by teachers, students and researchers in anaesthesia. This growth would
be catalysed by the development of a successful and authentic anaesthesia-centric FOAM venture. An ideal
FOAM initiative would truly embrace the aforementioned principles of FOAM; a free, online, globally-accessible,
crowdsourced educational adjunct, providing a platform for the dissemination of quality educational content
as well as instantaneous peer review, feedback, and sharing.
Free and open access means by definition without charge, globally accessible, and without restricted login.
The provision of a gratuitous resource can be problematic as an important impediment to the proliferation of
FOAM is the “cost of free” to authors7. FOAM resources are mostly generated by philanthropic, enthusiastic
individuals, at their own financial and temporal expense. However costs can be significant, including the costof web hosting and development. Various solutions have been adopted, all of which carry some form ofcompromise to the integrity or function of the resource; these include charging for continuing professional
development (CPD) points, allowing advertising, permitting donations, or institutional funding. Of these, funding

An ideal resource would cover core anaesthesia knowledge, based on published College curricula. A wiki
system has much to offer in this type of large-scale content management. A vulnerability of the wiki system isthe open access to submissions and editing, which without a strong moderating team can lead to problems
with quality control. A closed-author wiki mitigates this problem. A small, team-based, core author group not
only allows control of quality, but also spreads the cost of time and effort in knowledge translation andcommunication which competes with clinical practice and other commitments. Restricted authorship also
mitigates the accusation of populism or self-promotion in authorship. An open access comment and discussion
capability would still be essential to capture the benefits of larger scale crowdsourced peer-level review. Specificrequests to review material by specialists in each field of knowledge would serve as additional peer-review. A
structured, associated teaching program for trainees would also facilitate review and revision of core material
at a trainee level with each calendar year.
The standard of material published through this FOAM resource should be of exceptional quality. It should besourced from peer-reviewed publications and recommended textbooks, and referenced. Content should befree from plagiarism, up to date when published and under continual review.
The incorporation of a blog-like capability would be of use to address novel and emerging literature in anauthentic context, and to highlight recent practice-changing advancements. This would enhance the appraisal
and translation of research into practice, however there should be little commentary on novel practices not
likely to be widely translated to clinical practice.
EMBRACING FOAM
The development of an anaesthesia FOAM community is more importantly catalysed by the personal embraceof FOAM by clinicians, teachers, and researchers in anaesthesia. The individual embrace of FOAM by end-users
is of utmost importance, creating a vibrant and productive community through online participation and interaction.
Chan et al have called for the engagement and participation of three types of modern scholar10. Firstly“translational teachers”; educators who work to translate new knowledge, dedicated to the task of engaging
the community in education through traditional and modern platforms are required. Secondly, there should be“critical clinicians”; a digitally-active base of clinicians who provide meaningful critique of material in an open
forum of debate. Thirdly, “interactive investigators”; researchers who do not only produce new knowledge, butalso engage with the community to ensure that findings are relevant, and work with translational teachers toensure findings are adapted to clinical practice. The individual embrace of FOAM by end-users is vital, creating
a vibrant and productive community through online participation and interaction.
CONCLUSIONFOAM is a conglomeration of enterprising free educational resources that are globally accessible, crowd-sourced,
and a philosophy that embraces freely accessible high quality education material. FOAM complements the
traditional teaching model, has a low cost to entry, and can be integrated into an asynchronous “flipped”
classroom model of education. It complements traditional teaching models and does not replace the value ofan experienced clinical mentor. It is an adjunct in the aid of knowledge translation. FOAM resources allow rapid
and purposeful interaction among peers via an online community. FOAM has the challenges of maintaining
high-quality medical education, expected by end-users, and concurrently achieving sustainable financial support.
With appropriate structures in place these challenges can be mitigated.
All healthcare providers need to collaborate, whether they be online or in real life so that we can progressively
educate the next generation of healthcare providers. The internet has revolutionised much in our everyday life;
now is the time to embrace online medical education for anaesthetists through FOAM as a complementary andprogressive form of adult learning.
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33. OzRadOnc [Internet]. 2017. From: http://ozradonc.wikidot.com. Accessed 17 June 2017.
34. The Bone Surgeon [Internet]. 2017. From: http://www.thebonesurgeon.com/orthopaedic-notes. Accessed 17 June 2017.
35. Textbook of Cardiology [Internet]. 2017. From: http://www.textbookofcardiology.org/wiki/Main_Page. Accessed 17
June 2017.
36. DermNetNZ [Internet]. 2017. From: http://www.dermnetnz.org. Accessed 17 June 2017.
37. The British Journal of Anaesthesia Education (previously Continuing Education in Anaesthesia, Critical Care & Pain)[Internet]. 2017. From: https://academic.oup.com/bjaed. Accessed 17 June 2017.
38. The New York School of Regional Anaesthesia (NYSORA) [Internet]. 2017. From: http://www.nysora.com. Accessed 17
June 2017.
39. The Difficult Airway Society [Internet]. 2017. From: https://www.das.uk.com. Accessed 17 June 2017.
40. The World Federation of Societies of Anaesthesiologists [Internet]. 2017. From: http://www.wfsahq.org/resources/
anaesthesia-tutorial-of-the-week. Accessed 17 June 2017.
41. The Association of Anaesthetists of Great Britain and Ireland [Internet]. 2017. From: http://www.aagbi.org/publications.
Accessed 17 June 2017.

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42. The American Society of Anesthesiologists [Internet]. 2017. From: https://www.asahq.org. Accessed 17 June 2017.
43. Doctors.net.uk [Internet]. 2017. From: https://www.doctors.net.uk. Accessed 17 June 2017.
44. BlackBankWiki [Internet]. 2017. From: http://www.anaesthesiamcq.com. Accessed 17 June 2017.
45. The University of Sydney Nuffield Department of Anaesthetics Lectures and Study Notes Listing [Internet]. 2017. From:
http://sydney.edu.au/medicine/anaesthesia/resources/lectures/. Accessed 17 June 2017.
46. OpenAnesthesia [Internet]. 2017. From: https://www.openanesthesia.org. Accessed 17 June 2017.
47. OpenAirway [Internet]. 2017. From: http://openairway.org/anaesthesia-foam/. Accessed 17 June 2017.
48. GasExchange [Internet]. 2017. From: http://gasexchange.com. Accessed 17 June 2017.
49. GasDoc [Internet]. 2017. From: https://gasdoc2857.wordpress.com. Accessed 17 June 2017.
50. Propofology [Internet]. 2017. From: http://www.propofology.com. Accessed 17 June 2017.
51. Virtual Anaesthesia Textbook [Internet]. 2017. From: http://www.virtual-anesthesia-textbook.com. Accessed 17 June2017.
52. PedsAnesthesia [Internet]. 2017. From: http://www.pedsanesthesia.net/wiki/index.php?title=Main_Page. Accessed 17
June 2017.
53. ANZCA Networks [Internet]. 2017. From: https://members.anzca.edu.au/networks/. Accessed 17 June 2017.
54. The Department of Health. Australia’s Future Health Workforce - anaesthesia report [Internet]. 2016. From: http://www.
health.gov.au/internet/main/publishing.nsf/Content/B10EC836A6CBDB91CA257FFC001897A1/$File/Anaesthesia%20
Report%20Updated.pdf. Accessed 17 June 2017.

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It’s more complicated than that: Complexity and anaesthesia
DAVE GILLESPIE, FRCA FANZCAVMO Anaesthetist, Coffs Harbour Health Campus, PhD Candidate, Southern Cross University.
Dr Gillespie’s interests include development of cognitive expertise in anaesthesia.
ROD PEADONManager iSIM Centre, Coffs Harbour Health Campus, PhD Candidate, Southern Cross University.

Mr Peadon’s interests include the impact of professional courtesy on patient safety and permissioning behaviours
within medical teams.
JOHN NEAL, FANZCA, FCICM

VMO Anaesthetist and Intensivist, Coffs Harbour Health Campus.

Dr Neal’s interests include choice architecture and metacognition ability.
“That science can be overwhelmed by nature’s ‘messiness’ seems like an admissionof vulnerability to us – and a bridge to our own” – Rhonda Roland Shearer1.
INTRODUCTION: A COMPLEX TALE
As a group of clinicians we became slightly obsessed, that despite increasing innovation, technology andeducational opportunities, outcomes in health are driven by the interactions of the agents within. From the early
1960s, studies have continued to demonstrate the contribution of medical error to human morbidity andmortality2-10.
Much like Arthur Dent, our paranoia that something was happening in the universe we didn’t really understand,proved correct. The fact we are never fully in control, perceive little of our reality and serendipity helped more
frequently than we would care to admit, was not paranoia. Descartes’ dualism theory, in its simplest form,suggests there are two worlds; the actual world and the one we perceive in our mind. No human being canperceive everything in their reality and be aware of all the influences, on or of, their decisions and actions.
Marylin Bogner stated “There is no evidence in the empirical literature to support the premise that to err is an
inherent human trait, rather, that statement is literary11”. If humans aren’t inherently fallible then is it complexitythat provides the excuse?
Our journey into philosophy, safety science, cognitive, social, educational and organisational psychology began.
We are not experts in this field, or any domain, nor will we ever be. So please indulge us in our mischief, as webriefly describe complexity theory and our first play using one model of complexity in our clinical practice.
SCIENTIFIC THEORY AND NEWTONIAN-CARTESIAN REDUCTIONISM
The philosophical and practical debate of this area is well beyond the scope of this document. However, it isimportant to introduce this as concept when using complexity in practice.
Human beings have always sought to categorise and promote order while reducing chaos. Many mythological,
creationist, contemporary, fictional and non-fictional stories are concerned with restoring order from chaos.
Agents of disorder are perceived as evil or mischievous, needing to be controlled, cast out or even destroyed.
Individuals, cultures and societies find “chaos” so abhorrent that they will accept conditions that are almost
universally unacceptable in an attempt to avoid it12. Poor decisions are made in attempts to reduce the risk ofchaos.
Two titans of the scientific revolution, Isaac Newton and Rene Descartes, developed models of scientific analysis.
These models, that are still held by the scientific community and society in general, are to analyse, understandand solve. Attempts to understand the laws of nature, describe them mathematically and predict future eventswere motivated by the effects of a chaotic and cruel natural world on the human race, when natural events
such as weather, plague and famine had massive impacts on human lives. By understanding the laws of nature,
we would predict, model and control13.
In Newtonian-Cartesian thinking there is a perception that given enough time and resources we will eventually
understand all the relationships in a complex system. Max Boisot, elegantly and arithmetically showed why
this is not the case with his “link the dots” demonstration (figure 1) which has been used to defend thosecriticised by reductionist models such as the US intelligence community following 9/1114.

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Figure 1. Max Boisot “Dots, links and patterns”14
NUMBER OF DOTS

NUMBER OF POSSIBLE LINKS
L= N(N-1)/2

NUMBER OF POSSIBLE PATTERNS
P=2L

N=4

L=6

P = 64

N = 10

L = 45

P = 3.5 Trillion

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327

Complicated versus complex“Complicated” and “complex” are terms used ubiquitously in anaesthetic practice. “Complex” is defined by
the Oxford English Dictionary as “not easy to analyse; complicated or intricate” whereas “complicated” isdefined as “consisting on many interconnecting parts or elements; intricate”. We use these terms interchangeably
while not appreciating the differences. Complicated systems are ultimately knowable closed systems. Thereis a clear boundary where a complicated system begins and ends, for example a continuous flow anaesthetic
machine is a complicated system, as is an aircraft15. We also use words synonymously, such that “complicated”
is used to describe medical “mishaps”, for example “the laparoscopic cholecystectomy was complicated bybowel perforations”.
Complex systems
Complexity science originated in the study of emergent natural patterns that are self-forming and self-organisingand found in many ecological phenomena; snowflakes, termite mounds, bird-flocking.
Complex systems evolve from interactions between their components (agents) and the environment. There are
a number of issues with humans acting as agents within systems beyond the scope of this article. They include
humans having multiple identities within a system, not being limited by predetermined rules and are not limitedby acting on local patterns12.
However, complex systems have a number common features, that have been described15,16,17. They include:• Open systems: in which it is hard to discern the boundaries of the system and environment. The environment
influences the system and the system reciprocates.

Dekker eloquently describes the issues with this form of rationality in approaching problems and failure in an
increasing complex world13. Look for the broken component within a system. If the broken part cannot be foundor the parts are too complicated, then further dismantling will reveal the issue. If still not apparent reduce thecomponents further or get more data. Repeat as necessary until the broken part is discovered and fixed. Thisis Newtonian-Cartesian reductionism.

• Components: the components of the system interact but are independently ignorant of the system as awhole, and possibly of other components. The behaviour of the system cannot be described by the
behaviour of individual components and arises from the changing relationships and interactions of, known
and unknown, components.
• Dynamic: the system is greater than the sum of its components.
• Emergence is the phenomena of solutions created by circumstance rather than a solution imposed on thesystem.

However, even if we do discover “a broken part”, we cease to look further in the understanding of the processes
that lead to the broken part. This reductionist model is used across many domains including aviation, NASA,
construction, industry and medicine. It is seen in morbidity and mortality meetings, case-based discussions,clinical reviews, root cause analyses and coroner’s reports.

• History: the past influences and is integrated with the present behaviour of the system. It evolves with thesystem and is irreversible.

The search for a broken part gives us closure on both an individual and societal level. As Dekker states, it has
become a demand of society that we find the cause; be it a person, object or abstraction. We seek justice,revenge and change. Furthermore, we struggle when no component is identified as the culprit13. Fixing a brokenpart gives us comfort, but also risks false reassurance. The complexity of the situation that leads to failure is
likely to never happen again and may ignore other factors that played a role. Solutions themselves will inevitablychange a system through effects that may result in other failures – the law of unintended consequences.

• Non-linear: input and outputs are not equal. Small events can produce large results. Feedback loops canresult in multipliers leading to amplification and cascade effects (butterfly effect).

We describe these issues as we have found them to be the biggest barrier in bringing complexity theory into
clinical practice. We have conducted cognitive airway teaching in simulation and “hands off” mental modellingin the operating theatre and are repeatedly asked “What should I have done differently?” We have found, to aclinician, a complexity-driven approach is not perceived as helpful in improving aspects of skills or decisionmaking. The biggest challenge with complexity in clinical practice is to identify and challenge this 300-year-old
model of rational thinking.
THE SYSTEMS
Anecdotally and colloquially we describe the systems in which we practice; “today was nice and simple”, “nocomplications today” or “it was chaos”. We use them indiscriminately. A system is a network which is coherent
and governed by constraints; the constraints create the coherence. System taxonomy itself can be seen ascomplicated, but in terms of complexity it is possible to characterise them into three different systems:
1. Ordered: fully constrained behaviours with predictable and repeatable patterns. Aggregation is clear(the whole is the sum of the parts). Interventions such as checklists will work.
2. Chaotic: examples include accidents and crises. In chaotic systems, there are no effective links within
the system. Chaotic systems can be can be good for innovation, they are not easy to create and thesystem rarely contains enough energy to sustain itself.
3. Complex: Variable links, influences from external, whole is not the sum of the parts, real-time
feedback, can be modulated.
A component, or agent, in a system does not need to be a physical construct (person, group, equipment) but
can be abstract such as perceived ideal, values or motivations (culture).

• Dysequilibrium: Inputs are needed to maintain the system. Inputs are required to ensure the survival of thesystem in response to changes in environment and its components

These features explain why more than one description of a complex system is possible and often necessary.
Luhman states complex systems contain more possibilities than can be actualised as such they are not fully
understandable18. This is echoed in David Snowden’s Cynefin Framework which states that the inherent
uncertainty in complex situations means that there are a number of possible realities. Complex systems may
evolve while attempting to understand or describe the situation15. It is important to emphasis complexity is afeature of the system not the components.
Dekker describes elements of the features of the complex system that have the ability to result in failure13.
These features make decision-making in all complex dynamic situations, including healthcare and anaesthesia,
challenging. Practitioners in complex systems are vulnerable to the negative aspects of all decision-making
frameworks.
CYNEFIN – A CONCEPTUAL MODEL
Cynefin was first developed by David Snowden in 1999, the then European Director of Knowledge Management
at IBM, as part of a project to manage intellectual capital12. Through a narrative-based action research approach,the project assessed organisational knowledge exchange, decision-making strategies and policies. Cynefin is
described as a conceptual challenge to the universal applicability to three basic assumptions that pervade
practice, decision making and organisational policy, these being:
1. The assumption of order: past experience and evaluation produces causal links which allows us topredict and model. It results in a sense of “best practice” and that there is a correct or ideal answer.
2. The assumption of rational choice: humans will make rational decisions based on minimising gain andavoiding loss. Individuals or collective behaviour can be managed through education and manipulationof these outcomes.
3. The assumption of intentional capability: the acquisition of a capability indicates an intention to usethat capability. The actions of any collective identity thus are a result of intentional behaviour; “weaccept we do things by accident, but assume others do things deliberately”12.

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Snowden and Kurtz admitted that while these assumptions may be true in some contexts, they are not universallycorrect but are the most common tools and techniques used to manage situations.
Cynefin in practiceDavid Snowden, as a passionate Welshman, says that the literal English translation of cynefin being “habitat”
or “place” does not embody the Welsh sentiment. He states “a place of our multiple affiliations” is a more
appropriate descriptor. Cynefin embodies the idea that we have many roots, many of which we may be unawareof, but still affected by. Human interactions are influenced and determined by patterns of multiple experiences;direct personal and collectively expressed through stories.
Cynefin is not a categorisation tool but phenomenological sense-making framework which supports thedecision-making capabilities of those using it. It does not provide logical or empirical solutions and unlike acategorisation system there is not an optimal, preferred or valued domain in which to exist or attempt to achieve.
The framework is used to consider the components, decisions, conflicts and changes in situations of uncertainty.
Indeed, one of its advantages is promoting collective sense-making by facilitating shared understanding.
Cynefin has been used in a variety of domains to encourage novel ways of thinking including organisational
knowledge management and policy strategy in healthcare, government infrastructure and homeland security
as well as immediate operational strategies in situations of urgency including police and special forces teams.
Figure 2. Domains of the Cynefin framework19

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Complex domain
The complex domain represents the unknown-unknowns of the unordered side of the framework. The causeeffect relationships are present but the number of agents and connections between them are too great tounderstand, as demonstrated by the “link the dots” figure shown previously. Patterns may be recognised but
are unpredictable, as such more than one “correct” solution may exist.
Retrospectively, patterns may appear logical once the system has stabilised. These patterns may appear torepeat over time, but they cannot be guaranteed as interventions, actions or observations may change thesystem in unpredictable ways. Cynefin suggests an appropriate probe (scrutiny of the situation), sense (identify
facts) followed by safe to fail responses. Probes make patterns more visible which assists in stabilising thesituation and aiding with their identification; desirable and undesirable. Multiple perspectives are required toassist in identifying patterns. Techniques associated with the ordered domain including relying on experiencebased, expert opinion do not work in this arena.
Chaotic domain
This is the domain of the unknowable-unknowns; cause and effect are unclear where no patterns can berecognised. The search for the “answer” is pointless. The aetiology of chaos includes the inappropriate applicationof best practice models. The system is too unstable to allow analysis and the immediate response is act (toestablish order), sense (stabilise) and respond by moving chaos into complexity. Kurtz and Snowden discuss
this in terms of an uncanny domain (order is possible but few see or act) and canny operators who can use thesystem to their advantage (shrewd but safe). Interventions can take different forms – creating constraints that
reduce turbulence or using multiple options to create and enhance patterns which moves chaos into complexity.
Some disciplines use chaos to create innovative environments.
Disordered domain
Disorder occurs when there is no clarity as to which domain the situation is in. However, it is important to avoid
situational categorisation. It is the domain of conflict among decision makers where people will tend to prefera course of action aligned with their personal preferences; rule-based, research-orientated, data-driven, or
networking. It is the arena where individuals submit to avoid chaos. However, collaboration, consensus andnegotiation can reduce the size of the disordered domain.
Domain dynamics, boundaries and movement in clinical practice
We do not have the capacity to include descriptions of the dynamics, boundaries and movements with the
Cynefin framework. In the following we aim to provide the reader with a sense of our current experience ofusing this in our clinical practice. We work every day in the complex domain and fall to traditional fail-safe
interventions for assumed knowns. Simulation-based and crisis resource management (CRM) training heavily
weight toward a complicated environment with fail safe protocols. In contrast Cynefin framework advocate forsafe-to-fail interventions in managing complex situations.
The following are examples we have encountered, with a discussion around the dynamics involved.
Example 1. Chaotic to complex: peri-arrest patient
Patient is in a peri-arrest situation. No obvious cause. Multiple competing priorities; haemodynamic instability,
respiratory distress and need for intubation. Patient arrests during initial management.

The Cynefin framework (figure 2) consists of five domains which can divided in to two ordered (obvious/simple
and complicated) and two unordered (complex and chaotic) with a fifth central domain – disorder. Within the
Cynefin framework knowns and unknowns refer to the societal, organisational or a collective, not the knowledgeof the individual. Clearly when using this framework clinically we use it in the context of both the individual andthe collective decision-making. We describe the Cynefin framework based on two of the most cited papers12,17.
Simple/obvious domain
This domain represents the known-known of the ordered side of the framework. Situations are stable with clear
causality between components; linear cause-effect. Repeatability allows for prediction and the developmentof structured and objective best practice models in the form of effective standard operating procedures, policy
and protocols. Cynefin suggest that the appropriate response in this situation is to sense (establish facts),
categorise and respond by applying best practice (figure 2).
A “boundary of compliancy” exists between the obvious/simple and chaotic domains. Inappropriate assumptionsin the simple domain may lead to decreased situational awareness and the evolution of a simple to a chaotic
scenario.
Complicated domain
This is the known-unknowns or knowable ordered side of the framework. Causality is not clear, but is present
and stable. It requires analysis or intervention, which may be time or resource dependent, to move these to
known-knowns. The decision model in the complicated domain is to sense, analyse and respond as guided
by experimentation, fact-finding, scenario planning, expert opinion and artificial intelligence. Entrained behaviours
are hazardous in this domain; a simple assumption can lead to a false conclusion and error.

A chaotic system requires a large amount of energy to maintain. Chaos is usually short-lived unless external
influences maintain input. This scenario underlies the clinical situation which is unknowable – there are too many
agents and connections in a time-restrained environment. While it appears a full cardiac arrest shows a deteriorating
clinical state; a level of control is gained by the cardiac arrest (a recognisable pattern with a known response).
We enter a situation which is familiar, through training and experience, to use algorithms, aids and tools.
A “sense of relief” occurs when patient goes from the peri-arrest situation to full cardiac arrest as we unconsciously
recognise the movement from the chaotic to the complex situation. We have noted interesting use of language
and behaviour skills in both clinical and simulated scenarios when moving between these two domains. Further
probes and intervention may guide the clinician further around to the ordered side of framework.
Example 2. Order to chaos: airway management
A frail elderly lady undergoes an open reduction and fixation of a fractured neck of femur. She has significant
gastro-oesophageal reflux disease and is on anti-coagulation for mixed mitral and aortic valve disease.
Following intubation her systolic blood pressure falls to 75 mmg and the oxygen saturation falls to 83 percent. She only partially responds to boluses of vasopressors, maintaining a systolic blood pressure of
80-90 mmHg. Increasing FiO2 to 1.0 and manually ventilating with normal airway pressures and adequate
volumes increases the saturations to 88 per cent.
Help is called for. Right heart failure is considered, presumably due to unappreciated pulmonary hypertension.
Multiple possible treatment options are considered. After approximately five to seven minutes in the same
clinical situation, a repeated head-to-toe review of the patient reveals a left sided endobronchial intubation.
The endotracheal tube is withdrawn and the blood pressure and ventilation parameters return to baseline
with no perceived long-term harm to the patient.

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This example illustrates the loss of control associated with the boundary between the simple/obvious andchaotic domains; the boundary of compliancy. It illustrates that the situation evolved from the chaotic towards
a complex but more stable scenario, though there was still no understanding of the situation. Patterns appear
to have multiple possible causes. In this situation, the repeat head-to-toe examination was the probe to sense(unequal air entry) and gave the team the appropriate action.
Retrospective sense-making makes it difficult to understand how such an error could occur with a specialist
anaesthetist. All the features of a complex system must be appreciated before condemning. Some agents andinteractions may not be easily perceived, or may never be able to be. Components, such as non-technical,
emotional and cognitive skills have been, and still are considered by many, to be irrelevant to clinical decision
making.
Example 3. Anecdotes and stories in formal and informal education – the power of narrative and intention
During a teaching session, examples of spinal cord injury from lumbar puncture are given. Anatomy andissues relating to spinal cord termination are discussed. The issues relating to lower insertions sites arealso discussed. Following the session there are a number of failures associated with insertion: the oppositeof the intention of the teaching session.
During post-failure discussions about location of site of insertion, trainees emphasised concerns about theinsertion of spinal needles at or higher than the level of spinal cord termination. While they could recall discussions
about low insertion sites they placed higher utility on information related to high insertion site risks. However,the failure to successfully perform and feelings of inadequacy and incompetence became the issue.
“Hangar talk” has been shown to be a useful naturalistic method of teaching, however, its effects on priming
and framing must be considered in complex systems where they can cause a trophic cascade of unintended
consequences19. As such the power of anecdotes and stories in medical education and later decision making
should not be underestimated as a feature of complex systems
Example 4. Complicated with safe-to-fail: airway management
A trainee conducts an intubation for a BMI 41 kg/m2 patient under ANZCA Level 3 supervision. On the
consultant’s return to the operating theatre after intubation the trainee states that oxygen levels had
decreased to 93 per cent despite an FiO2 of 0.8, and that peak airway pressures are 29 cmH2O with a tidal
volume of 560 mL. On enquiry from the specialist, the trainee lists a number of appropriate causes ofdesaturation immediately post-induction. The trainee states they feel the most likely aetiology is that theperiod of apnoea during intubation, patient position and patient habitus have resulted in a degree ofatelectasis. The trainee has already increased the positive end expiratory pressure. The specialist preparesto leave the trainee after a discussion of the plan if the patient does not improve.
A copy of the Cynefin framework is on theatre wall. The specialist notices this and takes the frameworkfrom the wall. The anaesthetic team proceeds to work through the framework, knowns and unknowns, toaid decision-making, specifically the boundary of compliancy. Endobronchial intubation is considered andthe tube length examined: 22 cm at the lip. It is deemed unlikely that the clinical situation is due to tube
placement. Does tube length at the teeth determine position tip adequately on all occasions? This isdiscussed, as is the possibility of tube movement during patient positioning.
The team agree that this is a knowable unknown, either via auscultation or by fibreoptic bronchoscopic
observation. Auscultation is performed with decreased air entry noted on the left side. The endotracheal
tube is withdrawn to 19 cm at the teeth before air entry becomes equal. Peak airway pressure drops to 23
cmH2O and the oxygen saturation increases to 97 per cent with a drop in FiO2 to 0.5. The need for fibreoptic
bronchoscopic confirmation is discussed and discounted at this moment, but the need for it to be available
in case of any further issue is made by the trainee (a safe-to-fail plan).
The Cynefin framework has been used as a cognitive aid to discuss and plan immediate complex situations
including hostage rescue teams and military special forces units. Its use as a cognitive aid, as with difficult
airway management or allergy guidelines, helped the team to work through the issue and avoid compliancy
affecting decision making. The action to the probe – withdrawing the endotracheal tube to 19 cm – was surprising.
It also gave us a framework in which to identify and manage possible changes and develop safe-to-fail plans.
In an informal debrief it was discussed that a recently published article concerning the tracheal accordion may
have unconsciously acted as an agent in our situation22.
Finally, to truly consider complexity, we need to ask what events occurred to bring about the presence of acomplexity framework, designed by a Welsh ex-senior IBM director, on a wall of on operating theatre in Coffs
Harbour to be used by a mediocre UK-trained specialist anaesthetist. That is the beauty of complexity.

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CONCLUSION
Complexity has been described in healthcare in terms of organisation, coordination and leadership22-24. Its use
appears scarce in clinical practice or medical education. Hopefully we have increased the reader’s awarenessand interest in complexity theory and its possible application to anaesthetic practice.
Medicine has a habit of colonising domains such as safety science (patient safety), decision-making theory(medical decision making) and error management (medical error). The common injunction to interventions
proven in other domains from the medical establishment is that the medical sphere is somehow different. We
hope that we have shown the possibility of using a tool originally designed for policy strategy, knowledge andorganisation management, without modification, in several aspects of clinical practice and education.
While there is an increased awareness of human and cognitive factors, we are not the first to suggest that a“Lake Wobegan” or Kruger-Dunning effect has a larger effect on anaesthetic practice than anyone would liketo accept25,26. Human factors affect my colleagues, not me. In terms of complexity theory there is no plausible
way that can be true; a fact we should be able to admit. We continue to pursue linear Newtonian-Cartesiansolutions to clinical issues, but cry “it’s more complex than that” when it goes wrong. Can we change practiceat such a level? We will see.
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23. Plsek PE, Greenhalgh T. Complexity science: the challenge of complexity in health care. BMJ. 2001;323(7313):625–628.
24. Matlow, AG, Wright JG, Zimmerman B, Thomson K, Valente M. How can the principles of complexity science be applied
to improve the coordination of care for complex pediatric patients?. Qual Saf Health Care. 2006;15(2):85–88.
25. McIntosh CA. Lake Wobegon for anesthesia… where everyone is above average except those who aren’t: variability in the
management of simulated intraoperative critical incidents. Anesth Analg. 2009;108(1):6–9.
26. Kruger J, Dunning D. Unskilled and unaware of it: how difficulties in recognizing one’s own incompetence lead to inflated
self-assessments. J Pers Soc Psychol. 1999;77(6):1121–1126.

Management
Informed consent in the age of peri-operative medicine:
Is it possible?
Scott Simmons, Allan M Cyna
The anaesthetist as a leader and manager: Priorities,
dilemmas and solutions
Debra SA Coleman
A guide to the electronic roster
Peter MulrooneyInformed consent in the age of peri-operative medicine: Is it possible? 

335

Informed consent in the age of peri-operative medicine:
Is it possible?
SCOTT SIMMONS, BSc, BMBS, FANZCA, MBA

Clinical Associate Professor, University of Melbourne; Clinical Director Anaesthesia, Perioperative and Pain
Medicine; Head of Anaesthesia, Mercy Hospital for Women, Heidelberg, Victoria.

Associate Professor Scott Simmons is Clinical Director of Anaesthesia and of Clinical Safety and Risk for Mercy
Health in Melbourne. He has been chair of the Obstetric Anaesthesia SIG and now executive member of theCommunication in Anaesthesia SIG and Editor for Anaesthesia and Intensive Care. Clinical and research interests
are obstetric anaesthesia and design of safety systems in health care.
ALLAN M CYNA, FRCA, FANZCA, PhD

Department of Women’s Anaesthesia, Women’s and Children’s Hospital, Adelaide; Clinical Associate
Professor, University of Sydney.

Dr Allan Cyna is a Senior Consultant Anaesthetist with a special interest in paediatric burns anaesthesia andanaesthesia in pregnancy and childbirth. He is Director of Studies of the South Australian Society of Hypnosis
Diploma course and inaugural chair of the Communication in Anaesthesia SIG. Dr Cyna has published widely,
including as editor-in-chief of the Handbook of Communication in Anaesthesia & Critical Care, 2010 by Oxford
University Press.
INTRODUCTION
Increasing demands of throughput pressure, greater complexity of surgery and older patients with multiple
medical problems have required a response as to how we provide anaesthesia and surgical care. The conceptof perioperative medicine is emerging as both a philosophy and a pragmatic approach to redesigning carearound the needs of the patient in a truly holistic sense. The underlying concept is one of continuity based onrecognising and managing the specific requirements and individual needs of patients as unique individuals.
Entirely new concepts with attendant fields of clinical practice and research are evolving, including “frailty”,“pre-habilitation” and “patient-reported outcomes”. At a practical level, whole new specialties of peri-operative
medicine and protocols for enhanced recovery after surgery are becoming the norm across a range ofsubspecialties1,2. The typical models that have emerged consist of multidisciplinary teams, including anaesthetists,
internal medicine specialists, surgeons, geriatricians, physiotherapists, and dietitians, among others. Increasingly,
the direct engagement of the patient’s primary care physicians will also assume greater importance in theseprocesses as we move from the focus of surgery being what the acute hospital wants to do to patients, versus
what the patient and resource providers want from our healthcare system as a way of optimising overall healthoutcomes.
Within this new paradigm of organised care delivery, there are many challenges for each of the team members.
Role delineation around such traditional tasks of acute pain management and drug and fluid prescribing arebeing revisited and there are entirely new areas such as oversight of fitness training and health optimisation
pre-surgery which have had no traditional custodians. A number of questions arise: who will have the discussion
around the merit of having a surgical intervention or not in the context of the potential adverse impact on overall
quality of life? Is anyone discussing and documenting those important factors in the patient’s life that may be
impacted by the stay in hospital that are not on the standard list of potential complications? And in the eventof something going wrong, who in the team is going to be held accountable for what was said or not said should
there be a mismatch between the patient’s expectations and the outcome? More importantly, who listened towhat those expectations were in the first place? In this context, the concept of informed consent becomessomething more than a pre-operative recitation of potential complications. It is a more focused and individualised
process that requires all members of the healthcare team to have a common understanding of what the patient
views as important at each phase of the journey from initial referral, through preoperative workup, inpatient
stay and resumption of daily life.
It is very clear that central to the success of this model of care is effective communication. This applies not
only to that between an increasingly diverse group of healthcare providers each with their own jargon andmental models, but also for each member of the peri-operative team with the patient and their support network.
Content must be consistent and at all times cognisant of the specific needs of each individual patient. Staying
on message requires a straightforward generic skill set which each member of the team can use which
incorporates the core quality of effective listening to what the patient is saying, not only in terms of the content
but the underlying emotional and psychological drivers. This paper presents a brief summary of the concept
of informed consent and then one such model which may be helpful in providing the perioperative team witha simple and relevant tool for effective communication.

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INFORMED CONSENTOver the past two decades there has been increasing demand by regulators and medico-legal forces to impose
ever-greater complexity through the introduction of exhaustive checklists, and protocols. The recently publishedguidelines on informed consent of the Association of Anaesthetists of Great Britain and Ireland (AAGBI) and insome jurisdictions in Australia are illustrative of this philosophy, in which a seemingly endless list of things thatmight possibly go wrong must be discussed and documented pre-operatively3. This approach has four significant
problems: 1) it fails to address individualised priorities, 2) it can create, or exacerbate, information anxiety
through content overload, 3) when negative communications are presented they can have nocebo effects withthe potential to adversely affect patient perceptions, emotions and behaviour, and 4) it does not in practiceabsolve the healthcare provider from any future claim of negligence should something go wrong, just because
someone said it could happen. Collectively, these elements seem counter to the fundamental principle ofmedical practice which still remains primum non nocere, first, do no harm. It would appear that the interpretationof “harm” has to a large degree been hijacked by forces which have focused entirely on technical misadventureand essentially ignored the harm that is done to people who are unnecessarily alarmed or confused by theprovision of information that is of little or no relevance to them.
The recent Montgomery case in the United Kingdom4 has been cited as supporting the view that the processof providing information about medical complications in some way reduces the likelihood of successful litigation3,
i.e. it constitutes the creation of a form of waiver for any future action should something go wrong. This
interpretation has been directly rejected by numerous jurisdictions, including in the United States which is
generally perceived as a highly litigious environment. As one example, a recent ruling of the Supreme Court ofMissouri, found that the provision of informed consent as evidenced by a signed consent form was not only
irrelevant, but in fact was at risk of confusing the jury. It was the fact of the injury itself and the standard of carebeing established as being below an acceptable standard that were important. Indeed, the court noted that its
ruling was consistent with other similar higher courts as follows, “This Court joins the chorus of other statesupreme courts and holds that evidence of alleged informed consent is irrelevant and can only mislead the jury
in a medical malpractice case based on negligent performance of care and treatment5.”
This interpretation reinforces the principle that the most effective component of risk management is in fact
good quality clinical care. Simply providing a list of things that could go wrong to someone is no defence andmay lead the practitioner to the false conclusion that they are safe from litigation as any complication that
subsequently occurs has been pre-empted. The provision of information then becomes relevant where theindividual patient has an express wish to proceed or not with a medical intervention based on an adequate
discussion of the issues of value and relevance to that individual.
These considerations are further complicated by the legal concepts of “material risk” and the somewhat
challenging notion of the “reasonable person”. Material risk is one that a reasonable person would wish to know
in that particular patient’s circumstances. This clearly strikes at the nature of defining what is important on an
individualised basis. We also question whether it is appropriate to define a “reasonable person” as this will
always be idiosyncratic, and open to speculation or even abuse. Secondly, even if one accepts that a reasonable
person can be identified, patients cannot always be expected to behave in a reasonable fashion, or thinklogically, when ill, stressed or distressed. A “reasonable person” may have little capacity to appreciate future
realities until actually presented with the situation, such as the person refusing blood products until they are
actually about to die.
These complexities invite the need to find a simple and effective means of reaching a shared understanding.
LAURS OF COMMUNICATION
Effective interactions can be seen to conform to the LAURS of communication:• Listening reflectively• Acceptance• Utilisation• Reframing• Suggestion
These LAURS of communication are an easy structured way to remember the key concepts of effective
therapeutic communication when our usual strategies or words are either not working or not coming to mind
easily. The application of the LAURS concept may occur as individual components or as a whole.

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Listening reflectively
The three steps to improving communication skills:
Step 1: Listen
Step 2: Listen
Step 3: Listen
What is reflective listening?
Learning how to teach and utilise communication more effectively in clinical practice requires one skill above
all others, namely to listen6-8.
What are the steps for effective listening?
1. Ensure you have heard the words correctly.
2. Note whether you are thinking about your response to the patient rather than listening to what thepatient is saying.
3. Resist the temptation to interrupt or second guess what the patient needs to hear.
4. Be comfortable with silence or pauses.
5. Check in to seek clarification regarding your understanding of what the patient means, and theirunderstanding of what you mean (see below).
As doctors, we are used to telling patients what we need them to do rather than listening and responding totheir needs. Listening to what patients or colleagues are saying involves more than hearing what one thinks
has been said. It is not just about being silent while the patient is talking.
There are four questions to ask when listening reflectively. First, did you hear what was said? Second, did you
understand what was meant? Third, does the patient know that he/she has been heard? Finally, does the patientknow he/she has been understood? To determine the answer to these questions requires a ‘checking in’ process.
Please note: this takes seconds rather than minutes.
How to listen
Patient: “I don’t want to feel anything during the Caesarean. Will I feel any pain?”Anaesthetist: “By saying ‘you don’t want to feel anything’ does this mean that if you don’t feel any pain andare comfortable will that be OK for you?”
Patient: “Yes.”
Anaesthetist: “Once the spinal anaesthetic is working, I expect you to be comfortable throughout the procedure
but if not, let me know and we will do everything we can to help things proceed as easily and safely as possible
for you! Have you any questions or other concerns?”
Listening for content
This concept involves hearing the words. For example, a woman came for elective Caesarean section – forgrade IV placenta praevia – with a list of demands, as she had desperately wanted “natural childbirth”. Her
demands included: “I want three support people in the room during my operation,” having been told that it was
hospital policy only to have one person in the OR during a Caesarean; “I want the drapes down for the entire
procedure”, having been told that this was not sterile and wouldn’t be allowed for safety reasons. She wanted
her partner “to video the procedure and birth” despite video cameras being prohibited in the theatre.
The content of these statements was interpreted by the anaesthetic registrar as having to meet these demands
literally or else...!
Listening for process
How could these words be reconciled with hospital policy and safe clinical practice? The answer began bylistening not only to the actual words but their meaning and what was really being asked. The woman was infact asking for some sense of control and choice over what was happening to her and her baby.
Listening and “checking in” for meaning
For this woman, the meaning of the various statements began to be understood by gaining patient rapport.
The first step was accepting the importance to her of having any concerns and wishes addressed as fully as
possible in the context of her and the baby’s safety.
“I want three support people in the room during my operation.” When the woman was asked what the role ofeach person was, she said that she wanted her partner to “see the baby being born”, and her two best friends
to be with her to “provide support” through the operation.
These requests were addressed by asking: “Would it be OK if one friend was with you for part of the operationand the other could take over at a time you decided was best for you?” It transpired that the partner did notwant to be in the operating room and the woman was informed that “he could still be there to see the baby
being born” as there was a glass partition where he could observe the baby being born.

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When asked why she wished the drapes to be down she replied that she wanted this so as “to see the baby
being born”. This was easily addressed as this is standard practice and she was informed that as soon as thebaby was about to be born, “we will lower the drapes for you so that you can see the baby being born”. Finally,
she was informed that as many still pictures as she liked could be taken by her partner or support person.
There was no further mention of video.
AcceptanceAcceptance of another person’s alternate reality is sometimes a difficult concept for anaesthetists to grasp. It
is the concept of being open-minded and having a non-judgmental attitude to other people. This can be a hard,
philosophical issue, especially if the patient’s beliefs run counter to those of the anaesthetist and seem illogicalor even stupid. There is little point arguing with patients logically if they are stressed or distressed, as their
responses are primarily subconscious. They are frequently unable to accept reason or logic at this time.
Patients may present to the anaesthetist with behaviours and perceptions which run counter to our own beliefs
and experiences. Take for example patients with tattoos and body piercings who state that they have a needle
phobia. One might be tempted to dismiss the patient’s concern by saying, “We’ll only use a small needle andin any event the tattoos and piercings would have been much more painful! So don’t worry, you’ll be fine”, or“There is nothing to worry about”. Such statements invariably are unhelpful as there is disparity between theanaesthetist’s and the patient’s perception of the experience. Acceptance of alternate realities is a fundamental
prerequisite for communicating effectively and is a core communication skill when attempting to gain patient
rapport. In this example, the anaesthetist by accepting the patient’s reality of having a severe fear of needles
can then explain strategies to finish the procedure as safely and comfortably as possible taking into account
this issue. The concern can be addressed by saying something like, “There are lots of strategies we use in thissituation that can be helpful so you can feel more relaxed about this – is that OK?” or “A lot of people with thisproblem have concerns. However, they are usually surprised how much easier it is finishing up placing the drip
than they had previously thought.”
Another example is the patient who may have an “irrational” fear that they will certainly die if they have ananaesthetic. Acceptance of alternate realities is a fundamental prerequisite for communicating effectively andis a core communication skill when attempting to gain patient rapport. In this example, the anaesthetist invariably
has usually accepted that there is some element of risk during anaesthesia. It is implicit in the pre-anaesthetic
check of drugs and equipment that, no matter how simple the procedure or healthy the patient, an adverse
life-threatening event can occur at any time. However, one might be tempted to dismiss the patient’s concern
by saying something like, “Don’t worry, you’ll be fine”, or, “There is nothing to worry about”. Such statements
invariably are unhelpful as there is disparity between the anaesthetist’s and the patient’s perception of risk. The
concern can be addressed by saying something like, “Is there anything I can do to help you feel more relaxedabout this?” or “A lot of people have these concerns. However, you are fit, the surgery is minor, and my job isto ensure your safety and comfort in a way that allows you to relax and wake up in recovery surprised that it
is a little easier than you might have thought.” A truism would be that the patient would not be advised toundertake the surgery if it was not believed that the benefits outweigh any risks. In contrast, in a patient witha recent myocardial infarction having a Whipple’s procedure, the realities of anaesthetist and patient will be
congruent and it is therefore much easier to accept the patient’s concern. Acknowledging the same concern
and engendering empathy is harder when there is discordance between the patient and anaesthetist or thesurgeon and anaesthetist’s differing realities, as this frequently leads to miscommunication and conflict. Thisis particularly so when there is a strong emotional attachment to a belief. Anger is usually a demand for recognitionof emotions, and the patient or a colleague may be indirectly expressing that they do not feel that they havebeen listened to or their viewpoint appreciated. When appropriate, venting of the patient’s emotions can be
encouraged. The anaesthetist’s emotions may also need recognition as a subconscious response such asanger or frustration. Once recognised, the anaesthetist can interrupt a usual behavioural pattern and make achoice as to whether to continue with their own current behaviour or not. This break in the normal pattern of
one’s own subconscious behaviour allows logical consideration as to whether some other more usefulcommunication strategy could optimise patient care (a third reality).
Awareness, mindfulness, emotional intelligence, self-reflection and taking responsibility for communications
that are not going well, are all fundamental techniques that can be used to gain mastery of the challenging
situations that anaesthetists increasingly find themselves confronted with.
A temporary acceptance of the patient’s beliefs or emotions, no matter how strange they appear, allows theanaesthetist to gain rapport and then move on to a situation that is more therapeutic for the patient. For example,
a patient in established labour was shouting at the anaesthetist as he entered the room. She stated that there
was no way she could sit up to allow epidural catheter placement for analgesia. The dialogue continued:
Woman: “I can’t sit up. It’s too painful!”Anaesthetist: “That’s OK, you don’t have to sit up during this contraction but in a moment when you are readyfor the epidural to be placed as comfortably and as quickly as possible, you will find you can do this.”
Woman: “I can’t, I can’t, I can’t!”

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Anaesthetist: “I know you can’t just now, but knowing that the epidural can be working for you sooner, you willfind you can sit up and stay still as soon as you are ready to feel comfortable.”
The anaesthetist acknowledges the present reality of the patient’s inability to sit still and, has utilised an alternate
reality focusing on the patient’s goal of comfort. In addition, the anaesthetist is expressing a belief in the patientthat she can do more than she thinks she can in the very near future, within one or two contractions, without
her necessarily appreciating consciously this future reality herself until she finds herself doing it!
Another example is the pain patient who is severely distressed and expressing pain, despite having no obviousorganic basis or diagnosis for being in this position. Unless we accept the patient’s reality of being in pain andbelieve that what they are saying is true, we are not allowing ourselves the opportunity to engage with themand treat their problem.
Utilisation and speaking the patient’s language
Our perceptions are frequently communicated in the form of sensory perceptual language, usually of the threemain senses: visual, kinaesthetic, and auditory. Visual language incorporates phrases such as “I’m not looking
forward to my surgery” or “I see what you mean”. Kinaesthetic phrases include “It doesn’t feel right” or “It’slike a weight off my shoulders”. Examples of auditory language are “I hear what you say” or “That sounds clear
to me.” Much less commonly, gustatory or olfactory language is utilised, such as “It leaves a bad taste in mymouth” or “It doesn’t smell right.”
Utilising the patient’s perceptual world is likely to increase rapport and allow the anaesthetist to reframe negative
perceptions and experiences. For example, a patient might say that he/she is not looking forward to ananaesthetic and is worried about not waking up. Rather than respond with a platitude such as, “Of course you
will wake up” or “It’s very unlikely that will happen”, the anaesthetist can use this perceptual language andreframe it into something useful such as, “You may not be looking forward to the anaesthetic but you can lookforward to waking up in recovery.”
Developing an ear for patients or colleagues preferred communication modality and style can lead to engagementwith other people in a way that increases the chances of being heard and understood. Almost anything a patientor colleague says or does can be utilised therapeutically. The only limiting factor here is the anaesthetist’s
imagination.
For example, when the anxious patient asks whether you will be in theatre there all the time or asks: “How will
you know if I’m asleep?” These concerns can be utilised by explaining all the different types of monitors insome detail and then utilising the experience. For example:
Utilising patients’ concerns
Patient: “How will you know I’m OK?”
Anaesthetist: “When you are lying in the operating room we will position a number of monitors to ensure you
are as safe and comfortable as possible throughout the procedure, for when you wake up in the recovery room.
For instance, we will place some ECG stickers on your chest and a blood pressure cuff on your arm to monitor
your heart, a pulse monitor on the finger to check the oxygen level in the blood. Knowing how closely we arelooking after you will help you relax.”
Utilising patient strengths
All patients will have strengths and abilities, qualities and experiences that have been used effectively in othercontexts such as at work, at school or playing sports. These can be utilised and emphasised in the context ofthe challenge anaesthesia and surgery represents. If patients have had good or successful experiences while
in hospital previously, these can be focused upon. For example, the patient who has managed to mobilise
effectively on the day of previous similar surgery. This success can be encouraged by saying that now thepatient knows what to do for this success to be repeated.
Reframing
The reframe is a concept whereby a patient’s concern that is generating a thought, perception or behaviour
that is unhelpful, for example, anxiety is reframed in a way that generates a thought, perception or behaviour
that is helpful or therapeutic, for example, relaxation. If an anxious patient is stating that he is very stressedthat there will be “too many people” in the operating room, the anaesthetist can reframe this concern by utilising
this perception. A reframe can be communicated that “Every person in the operating room will have a job toensuring your safety and comfort”. Then, no matter how many people there are in the room the patient can bereassured that there will be only enough people to do their job and no more.
Principles of suggestion
Suggestions are verbal or non-verbal communications that lead to subconscious, non-volitional responses inmood, perception or behaviour. Patients and people generally are in large part subconscious beings. At times,
the ability of people to respond to communications in a subconscious way is termed suggestibility. Suggestibility
increases when patients are highly anxious, distressed or in pain. It also increases in pregnancy9,10 and is higher
in the paediatric population11. We tend to focus on and associate with what is being suggested. This is highly

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relevant in the recovery room after surgery, when the patient is repeatedly asked what their pain scores are.
This encourages an association of the surgery with injury, rather than the healing process of recovery.
The importance of expectancy and how positive expectancy can enhance the anaesthetic experience is a highly
relevant communication tool in the practice of anaesthesia.
Positive suggestion
A positive suggestion is a communication that elicits a positive therapeutic response. For example: “Mostpeople find it is more comfortable than they thought” is an indirect positive suggestion to elicit the perceptionof comfort.
Negative suggestions
Lang et al have shown that the ubiquitous use of language with negative emotional content is likely to increase
patients’ anxiety, pain and distress12. There is increasing evidence that the current paradigm for the delivery of
informed consent is not working in the best interests of patients or their carers.
CONCLUSION
Words can hurt but they can also help. Using LAURS as a basis of informing patients in a way that is therapeutic
to them is likely to enhance their anaesthesia care and focus on aspects that are important to the individual
patient in front of the anaesthetist. As we move further into the world of peri-operative medicine, communication
skills will be increasingly important. One particular challenge will be to ensure that the peri-operative care teamcommunicates with each other and has the capability to listen to the individual needs of patients.
REFERENCES

1. Rawlinson A, Kang P, Evans J, Khanna A. A systematic review of enhanced recovery protocols in colorectal surgery. Ann
R Coll Surg Engl. 2011;93(8):583–588.
2. Melnyk M, Casey RG, Black P, Koupparis AJ. Enhanced recovery after surgery (ERAS) protocols: time to change practice?.
Can Urol Assoc J. 2011;5(5):342–348.
3. Yentis SM, Hartle AJ, Barker IR, Barker P, Bogod DG, Clutton-Brock TH, et al. AAGBI: consent for anaesthesia 2017:
Association of Anaesthetists of Great Britain and Ireland. Anaesthesia. 2017;72(1):93–105.
4. Montgomery v Lanarkshire Health Board. UKSC 11 [Internet]. 2015. Available from: https://www.supremecourt.uk/
decided-cases/docs/UKSC_2013_0136_Judgment.pdf. Accessed 30 March 2017.
5. Wilson v Patel. MOSC No. SC95890 [Internet]. 2017. Available from: https://www.courts.mo.gov/file.jsp?id=112955.
Accessed 28 July 2017.
6. Cericola SA. Communication skills: the art of listening. Plast Surg Nurs. 1999;19(1):41–42.
7. DiBartola LM. Listening to patients and responding with care: a model for teaching communication skills. Jt Comm J Qual
Improv. 2001;27(6):315–323.
8. Willen J. The skills of listening: a review of helpful communication techniques. Am J Hosp Care. 1986;3(4):39–41.
9. Tiba J. Clinical, research and organisational aspects of preparation for childbirth and the psychological diminution of pain
during labour and delivery. Br J Exp Clin Hypn. 1990;7(1):61–64.
10. Alexander B, Turnbull D, Cyna A. The effect of pregnancy on hypnotizability. Am J Clin Hypn. 2009;52(1):13–22.
11. Olness K, Gardner GG. Some guidelines for uses of hypnotherapy in pediatrics. Pediatrics. 1978;62(2):228–233.
12. Lang EV, Hatsiopoulou O, Koch T, Berbaum K, Lutgendorf S, Kettenmann E, et al. Can words hurt? Patient provider
interactions during invasive procedures. Pain. 2005;114(1–2):303–392.

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The anaesthetist as a leader and manager: Priorities, dilemmas
and solutions
DEBRA SA COLEMAN, MB ChB, FRACGP, FANZCA, MPH, MHM

Dr Debra Coleman is a specialist anaesthetist who has worked in several Australian states in metropolitan,
regional and rural areas as well as in the UK. She has been head of various anaesthesia departments as wellas having experience as a medical director and had leadership roles in clinical redesign, patient safety andquality and perioperative medicine.
INTRODUCTION
Development of professional and leadership attributes by clinicians is essential for the promotion of quality
patient services and care1-4. Establishing an understanding of organisational and management issues provides
insight into the conflicting priorities of hospital executive, managers, clinician managers and clinicians. Similarly,
executive and managers must appreciate the importance of engaging clinicians in decisions that affect service
delivery and patient care. This article will examine principles of, and evidence supporting, the professional
aspects of anaesthetic practice, the conflicting priorities of clinicians and managers and the importance ofclinical engagement in organisational decisions and management.
BACKGROUND
In 2004 the Australian and New Zealand College of Anaesthetists (ANZCA) introduced professional attributes
and practice modules into the anaesthesia curriculum including: medical expert, communicator, collaborator,
manager, health advocate, scholar and professional5
The 2013 ANZCA curriculum defines these competencies as “Roles in Practice” and outlines learning outcomes
within each domain of the framework6. This is underpinned by the CanMEDS framework, developed by theRoyal College of Physicians and Surgeons of Canada in the 1990s, its most recent revision being in 20157.
The recently released ANZCA guide, Supporting Anaesthetists’ Professionalism and Performance: A guide forclinicians expands on these roles indicating behavioural aspects that are consistent with each domain (table1)8. The Royal Australasian College of Surgeons (RACS) and the Royal Australasian College of Physicians(RACP) introduced performance frameworks in 2008 and 2011 respectively9,10. This indicates a growing
appreciation of the requirement for an understanding of the professional attributes and behaviours that areconsidered essential for competent medical practice.
Competence in these areas provides a framework for clinical practice as well as equipping clinicians with insightto deal with broader institutional management issues and regulatory frameworks. The clinician as a manager
is a role that is often perceived as unpalatable by those who choose to enter medicine to be clinicians11, however
they are not mutually exclusive. These roles are important at many levels:• Day-to-day clinical anaesthetic practice.
• Responsibilities in anaesthetic department portfolios.
• Participation in hospital organisational and safety and quality initiatives.
• Head of department.
• Anaesthetists with executive roles within hospitals and health services.
• Sole specialists in rural and regional hospitals without ANZCA input.
• Insight into industrial relations and conflicts.
• Development of leadership skills.

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Table 1. ANZCA Roles in practice and patterns of behaviour8
ROLE

PATTERN OF BEHAVIOUR

Medical expert

Demonstrating medical skills and expertise
Monitoring and evaluating care
Managing safety and risk
Proactively making decisions

Communicator

Developing rapport and trust
Eliciting and synthesizing information
Discussing and communicating options
Effectively communicating information

Collaborator

Documenting and exchanging information
Establishing a shared understanding
Playing an active role in clinical teams
Working to prevent and resolve conflict

Leader and manager

Setting and maintaining standards
Leadership that inspires others
Supporting others
Promoting efficiency and cost effectiveness

Health advocate

Caring with compassion and respect for patient rights
Promoting health and responding to patient needs
Responding to community and population needs
Demonstrating cultural awareness and sensitivity

ScholarShowing commitment to lifelong learning
Facilitating the learning of others
Critically evaluating and applying information
Fostering scientific inquiry in anaesthesia

Professional

Having awareness and insightObserving ethics and probity
Maintaining health and well-being
Adhering to regulatory framework of practice

FRAMEWORKS
Frameworks provide structure, guiding principles and a common language to support and develop skills andcompetence in practice12. The emergence of frameworks internationally for the inclusion of non-technical skills
into medical education for both medical students and specialist training is a development that acknowledges
the importance of these skills for safe patient care. Individual frameworks exist in many countries for leadership,
for performance and for inter-professional collaboration3,13,14. Considering the crowded curricula for medical
and specialist training the need for an integrated framework incorporating all of these attributes must be
considered.
Health LEADS Australia is the leadership framework that has been adopted by Health Workforce Australia15. It
outlines the capabilities that are required for leadership development: Leads self, Engages others, Achieves
outcomes, Drives innovation, Shapes systems, while emphasising that all health workers should strive to achievethese capabilities with a move to distributed leadership in health. The ANZCA Professionalism and Performance
Framework encourages this by describing a desired behaviour as “(recognising) the benefits of shared leadershipmodels where all members can assert their individual leadership qualities”8(p11). This is a shift away from earlier
leadership models where “heroic” leaders made and implemented decisions either by not recognising theimportance of engaging clinicians or by not being able to engage them11. Contemporary leadership andmanagement in health has shifted from hierarchical models with attempts to promote clinician engagement12.

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MANAGERS AND LEADERSManagement and leadership are terms that are often used together although there are differences between thefunctions and attributes of each role16, recognising that there is much debate as to how to differentiate theseterms17. However, effective managers need leadership skills. Anaesthetists should be encouraged to develop
leadership and management skills and become competent in the behaviours set out in the ANZCA Professionaland Performance Framework8 acknowledging the evidence that this promotes improved levels of quality careand patient safety and better organisational outcomes1,17,18. It is recognised that not all anaesthetists will become
managers as involvement in management roles tend to be resisted by clinicians11.
The clinical anaesthetist has a role as a leader and manager in daily practice and service development andsome clinicians will have portfolios such as supervisors of training, administration and rostering, safety andquality, drugs and therapeutics. Others may undertake the transition into roles that have greater leadership andmanagement responsibilities, while maintaining part-time clinical duties. These roles include head of department
and directorate leadership responsibilities within the hospital executive team.
THE CLINICIAN MANAGER
In Australia in the 1990s hospitals were restructured into clinical directorates providing opportunities for clinicians
to have a greater role in hospital management19. While there is some debate as to whether this restructuring
has increased efficiency20, engagement of clinicians in organisational decisions has been shown to have apositive effect on organisational outcomes including patient safety and financial performance21,22. Braithwaite
and Westbrook demonstrated that this desired effect of clinical engagement has not necessarily been achieved
among doctors, with a perception that the development of clinical directorates has created greater division
between doctors and managers23. Negative attitudes towards clinicians in management roles develop as they
are perceived by their clinical colleagues to be more focused on budgetary matters than quality care24,25.
The transition from clinician to manager, whether as a “hybrid” clinician manager or in a non-clinical capacity
has the advantage of affording the opportunity to influence system change, while providing some challenges.
These challenges include the different tasks, roles, relationships and skills that are required in management
settings. In 1993 Prideaux undertook a qualitative study investigating the difficulties associated with the clinician
to manager transition26. He concluded that there was some “surprise about aspects of the new job (and that)most of the surprises were disappointments”26(p47). He suggested that facilitation of the transition could be
improved with:• Supportive organisational systems.
• Supportive colleagues.
• Formal courses in management.
• Supportive groups.
Despite the contemporary shift to distributed leadership, and the recognition that clinicians have a significant
role to play in management, the health management literature continues to highlight and affirm the ongoingchallenges24,25,27-32. Chan et al propose that there should be international collaboration to introduce leadershiptraining into medical curricula, for both everyday leadership competencies in clinical practice and as preparation
for leadership roles3. A conceptual paper published by Kippist and Fitzgerald highlighting the differences
between manager and clinician roles arose out of their representation on an expert panel at the 2008 ANZCA
Annual Scientific Meeting in Sydney where hybrid clinician managers expressed concern at their lack of training
for and reluctance to take up managerial roles29. The need for succession planning to prepare clinicians for
management roles has been advocated with a view to attracting clinicians who have enthusiasm for the role33.
Mintzberg argues that in order to be an effective manager and leader there must be both a “will” and a “zest”
to manage34. The reluctance by clinicians to enter into management roles along with their lack of preparationand conflicting priorities must be addressed in order to enhance clinician engagement and improve health caremanagement33.
Training and competence in leadership and management along with the other roles described in professionalframeworks, such as collaborator and communicator, are not sufficient to address the conflicting priorities ofclinicians and managers. An understanding of the structural, economic and political context in which healthservice delivery decisions are made is required to address the conflict that is associated with the clinician
manager role. A study undertaken in Norway, Canada and Uganda demonstrated that many clinicians lacked
knowledge of priorities that were set at government or hospital executive level35.

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CONFLICTING ROLES AND PRIORITIESThe rising cost of healthcare precipitated by improved technology and treatments, the ageing population,
increasing community expectations and a broadening in the number of treatable diseases continues to put
pressure on hospital budgets36. Despite health funding reforms and restructuring of hospital management
Australian hospitals continue to suffer from budget and performance issues33,36. Inevitably clinicians inmanagement roles whether as clinical directors, heads of department or other management portfolios will havethe responsibility of assisting with budgetary compliance. This, along with the need to ensure compliance withother imposed regulatory requirements creates an environment in which there may be conflict between theclinician and managerial role28. The complex relationships in which clinician managers are engaged include
demands from the organisational executives, the expectations of the clinicians within their unit and the requirement
for collaboration with other units28. These complex relationships are summed up in figure 1. In addition to this,clinicians in dual roles tend to see themselves as clinicians primarily, with the managerial role as secondary33.
Figure 1. Schematic diagram of some lateral and hierarchical power and relationship issues facing
clinician-managers28,37
Corporate level managers requiring efficiency, improved performance, increased productivity,
reduced waste, monitoring of clinical processes and outcomes

Organisationalpressure fromabove

Organisationalpressure fromabove

Organisationalpressure fromabove

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Table 2. Paradoxes of the hybrid clinician-manager role38
CLINICAL ROLEMANAGERIAL ROLE

ClinicianManager

Professional language

Management language

Medical career

Management position

Clinical values

Management objectives

Individuality

Collaboration

Clinical colleague

Clinician manager

Clearly defined role

Lack of role clarity and structure

Clinical qualifications

Lack of management education

Full/part-time position

Part-time position

Medical community

Management community

The challenge of conflicting priorities that influence decision making and prioritisation are inherent in understanding
the nature of the difficulties of the dual clinician and manager role24. Tensions that exists between clinicians
and non-clinicians in executive roles within the hospital system promote a “them and us” culture and inhibits
cooperation25,39. This originates from a difficulty in reconciling the practice of healthcare with the business ofhealthcare particularly when setting priorities29. Table 3 outlines the conflicting influences on priority setting.
Table 3. Clinician manager conflicts in priority setting

Clinical manager,
Unit A

Organisationalpressure from
below

Competition
betweenunits

Clinical manager,
Unit B

Organisationalpressure from
below

Competition
betweenunits

Clinical manager,
Unit C

Organisationalpressure from
below

Clinicians within clinical units requiring clinician-managers to advocate the clinical position,
secure more resources, recognise and not curtail clinical autonomy
Prideaux lists categories in which there are differences between the responsibilities of clinician and of manager26.
These include tasks, role, relationships, orientation, decision processes and skills. The ambiguities inherent in
the dual role of clinician and manager are summarised in table 2.

CLINICAL ROLEMANAGERIAL ROLE

Individualised care

Distributed care

Patient care focus

Budget focus

Practice of healthcare

Business of healthcare

Social focus

Market driven

Quality

VolumeEvidence based

Empirically driven

Individualised versus distributed care
The medical expert role arising from years of medical and specialist training promotes concentration on individual
patient care with the desire to provide the best care possible for each patient, whereas managers have a
responsibility to ensure that resources are distributed effectively for all patients. Skirbekk et al demonstrated
that managers were more concerned with the resources available for future patients while doctors, understandably
were concerned about current cohort of patients in their care24. This is particularly apparent with the managers’
emphasis on throughput to ensure that there are available beds and resources for future patients.
Patient focus versus budget focus
Clinicians seldom consider cost when choosing patient treatment, however, when in management positions
they are required to be mindful of budget constraints, show accountability and ensure equitable distribution of
resources24. This causes tension between the clinician manager and the clinicians with whom they work. The
literature on variation in healthcare delivery and low value care suggest a need to address priority setting andreflect on individual practice36,40,41, but the autonomous nature of clinicians encourages resistance to imposed
disinvestment and attempts at rationing of resources by managers42.
Practice of healthcare versus business of healthcare
The responsibility of managers in healthcare to ensure adherence to regulatory requirements and budget
considerations tends to put them at odds with clinicians who have an individual patient focus and tend to view
management from a clinical rather than organisational perspective24,43. The transition from this patient focus toan organisational and strategic focus requires a change in the mindset of clinicians who take up management
roles44. Mintzberg argues against treating healthcare as a business and suggests that co-operation is required,not competition45, citing the American experience where the cost of healthcare administration is twice that of

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other OECD countries46. Contemporary healthcare organisational models, particularly in the context of activity
based funding (ABF), promote this business approach to healthcare.
Market driven versus social focus
The growth of neoliberalism has led to the introduction of market forces into healthcare, the theory being that
this promotes efficiency29,47. However, there is an argument that this leads to an increase in administration costs46.
An example of the market system is ABF, also known as casemix funding which was first introduced in the US
in 1983 and has been adopted by Australia, the UK and several other European countries48. Hospitals are paid
according to the number of patients they treat based on a unit price, which is weighted according to complexity49.
The aim of this form of funding is to reduce hospital costs, promote efficiency and transparency, reduce lengthof stay and promote shorter waiting times50. This focus on the patient as a revenue generator for the hospital50
is at odds with the focus of clinicians who tend to use social worth criteria for prioritising patient care35.
Quality versus volume
In order to promote the efficiencies that are intended with ABF there is a focus on increased patient throughput
and decreased length of stay, although studies that have analysed the effect of ABF on these parameters havebeen inconclusive50. This focus on volume and throughput is perceived by clinicians as detrimental to patient careand could possibly increase the patient readmission rate24,50. Skirbekk et al demonstrated that clinicians felt thatthey were under pressure to spend less time with patients than they believed necessary24. The context of this foranaesthetists is that there is perceived pressure from management to minimise preoperative assessment andoptimisation, reduce cancellations and encouragement of rapid theatre throughput which may affect patient safety.
While managers also have the responsibility to ensure that safety and quality regulatory requirements areadhered to, the measurable nature of patient throughput, the pressure of budgetary constraints and therequirement to meet performance targets influences the prioritising of activity measures. Moral distress is
experienced by both clinicians and managers when faced with prioritising scarce resources51,52. It is understandable
that those in a dual clinician manager role experience low job satisfaction and problems with commitment to
the organisation53.
Evidence based versus empirically driven
The practice of evidence-based medicine based on randomised controlled trials is the gold standard in theclinical setting54. It is recognised that randomised controlled trials are not feasible for the study of clinician
manager complexities, but there is a dearth of evidence to guide management practices28,54. Where evidence
is available, it appears that managers do not often use this to guide their decisions, the main barrier being thatmuch of the research is considered to be irrelevant to their practice54,55. Liang et al have developed a framework
to support evidence-based decision-making that requires the involvement of government departments, healthcareorganisations, professional and training organisations, research institutes and universities55. Clearly this would
require significant integration of these organisations to translate the evidence into guiding management practices
in the domain of resource allocation. Robinson et al demonstrated that when evidence-based frameworks areused for priority setting this promotes transparency and enhanced clinician engagement, although engagementof the acute sector was problematic56.
THE WAY FORWARD
Having considered the challenges, conflicts and ambiguities faced by clinicians in the complex field of healthcareorganisational management, investigation of strategies to mitigate the conflict is essential for ensuring safe andefficient delivery of care. By recognising that those who work in the healthcare sector have a common goal weshould ensure that we focus on co-operation rather than differences. The introduction to the ANZCA performanceframework for anaesthetists claims that the purpose of this framework is “to assist (anaesthetists) in improving
their practice of anaesthesia, perioperative medicine and pain medicine”8(pii). There is, however, a much broader
focus within the attributes described in the framework (table 1) and consideration of solutions to the dilemmas
described so far will provide some context to this broad focus.
Leadership
Leadership theory has evolved over the past century from one that concentrates on individual traits to current
theories of transformational, authentic and collective or distributive leadership that have a more holistic view57,58.
Contemporary leadership research examines not only the individual traits that are inherent in good leadership,
but also the relationships between leaders and followers along with a move towards collective or distributive
leadership58-60.
In healthcare there are benefits to doctors having medical management and leadership positions contributing
to the development of clinical directorates as discussed previously1,34,61. The doctor manager’s authoritative
position as a medical expert provides clinical input into the prioritisation of services as well as allowing an interface
between non-clinician managers and clinicians43. While this requirement for clinicians in management has been
acknowledged, it is accompanied by a recognition that heroic leadership in healthcare is outdated.45 In order forgovernance of health services to be effective there needs to be distributed or collective leadership, justifying theneed to encourage all clinicians to develop leadership attributes3,60,62. These leadership attributes are consideredessential for day to day clinical practice3,8 along with the recognition that collaborative leadership and decision-

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making strengthens the professional bureaucracy with respect to clinician input into organisational concerns43,60.
The American College of Healthcare Executives has identified leadership development as one of the core domains
for promoting a culture of safety in healthcare63, recognising that safety and quality in patient care is dependent
on the broader aspects of healthcare organisational considerations, and are not merely process driven.
West et al, in advocating collective leadership in healthcare in the NHS describe it as a culture in which“responsibility and accountability function simultaneously at both individual and collective levels”60(p14). The
promotion of enhanced medical leadership, both in leadership positions and collectively, which in effectencourages engagement of medical staff, has been shown to improve organisational outcomes in the UK60.
Medical engagement
An engaged medical workforce creates a high performing organisation and safer more productive patientcentred care21,22. Medical workforce engagement must be seen as reciprocal, being defined as:“The active and positive contribution of doctors within their normal working roles to maintaining andenhancing the performance of the organisation which itself recognises this commitment in supportingand encouraging high quality care”21(p115).
West and Dawson include motivation, commitment and satisfaction as characteristics of workforce engagement64
and this could be used to advantage in ensuring that engagement strategies are aligned with professional
goals43. These characteristics are more difficult to measure than those used by Spurgeon et al in their Medical
Engagement Scale (MES)21, a tool that has been shown to have a reliable relationship with organisational
outcomes in the UK and Australia17. Parameters measured in this scale are presented in table 3.
Table 4. Medical Engagement Scale21(p115)
Metascale 1

Working in a collaborative culture

Subscale 1

Climate for positive learning

Subscale 2

Good interpersonal relationships

Metascale 2

Having purpose and direction

Subscale 3

Appraisal and rewards effectively aligned

Subscale 4

Participation in decision-making and change

Metascale 3

Feeling valued and empowered

Subscale 5

Development orientation

Subscale 6

Work satisfaction

It is clear from this MES that engagement of the medical workforce requires more than just being involved indecision making. It is necessary to consider the job dimensions that lead to motivation including meaningful
work with skill variety65. Job design has been shown to influence motivation66, emphasising the importance ofjob plans, particularly for clinicians working in the public sector. Annual appraisal of clinicians should be viewed
as a meaningful aspect of engagement, not as a “box-ticking” exercise. Effective performance monitoring withgoal setting, evaluation of previously set goals and meaningful data-driven feedback is a significant driver of
employee engagement18,22. Consideration of areas of interest and expertise should be explored to shape job
design and work plans as well as identifying opportunities for involvement in service improvement.
Ensuring aspects of engagement are acknowledged requires leadership, not just at executive level, but also
within departments to ensure that trusting relationships are developed, staff contributions are recognised,innovation is supported along with helpful feedback and transparent information sharing60. This will contributenot only to the performance of the organisation, but will also promote success in the implementation of change
and innovation at the organisational level43,67. Kippist and Fitzgerald demonstrated that engagement of clinicalcolleagues by doctors in management positions, mainly at the head of department level, promotes collaboration
and assists with change initiatives43. However, they advocated for more clarity and definition within the headof department role.
Education
The promotion of the development of leadership skills for all doctors, makes it essential that leadership training,along with inter-professional considerations is embedded in medical training at the undergraduate andpostgraduate level3. The debate as to whether leaders are born or made continues in the leadership development
literature and it is acknowledged that the evidence base for leadership development is lacking58. There is anargument, however, that teaching leadership theories promotes leadership development58. It is necessary to350

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distinguish between “leader development” and “leadership development”, the former focusing on the individual
attributes and competencies required for leadership positions and the latter being more about the process ofleadership, the relationships and team influences within this process and the context in which it occurs59,68,69.
It is in the realm of collective leadership that leadership development for all doctors is promoted, recognisingthat formal leadership positions require a different focus. Ham states that leadership development for collective
leadership “entails refocusing on the education and training of clinicians to achieve a new equilibrium between
autonomy and accountability”4(p1979).
The admission by doctors in management positions of their lack of preparedness for the task29,31,33 has prompted
the call for formal education of clinicians who enter into management positions along with the introduction of
credentialing processes61,70. Mintzberg argues that because there are natural leaders in society, leadership andmanagement are not sciences that can be taught34, but the evidence to support this argument is contradictory46,58.
Considering that the skill and knowledge requirements for managing within the complex healthcare system arequite different from the clinical domain of doctors, lack of knowledge of systems, budgets, regulatory requirements,
management language and policies are barriers to effective management by clinicians29,33,55. This, along withthe lack of application of evidence-based decision-making and priority setting55 would support the need forformal training. Considering the reluctance of clinicians to enter into management positions, the “them and us”
discourse between clinicians and managers25 and the unfortunate language around management being perceived
as “the dark side”71,72, succession planning and mentoring must be embedded within management training33.
Inter-professional collaboration
The need for inter-professional education and collaboration and the breaking down of professional barriers forsafe and effective healthcare is recognised internationally18,60,73,74. In order for progress to be made in this realm,
it is essential to recognise and break down professional barriers between clinical professions and between
clinicians and managers, acknowledging that there is a tendency towards “tribalism” within professional groups75.
The clinician/manager divide needs to be addressed by acknowledging that managers need insight into theprofessional identity of clinicians, while clinicians need to have some appreciation of the organisational objectives
faced by managers. Clinicians in dual roles should be at the forefront of this inter-professional engagement
process43, but the role of all clinicians in this process should not be ignored76. In an exploration of the qualitative
literature on high performing hospitals, Taylor et al identified seven themes contributing to this high performance,
two of which are, “receptive and responsive senior management” and “interdisciplinary teamwork”77(p7,16).
A systems approach to change36,43 along with priority setting35 and relationship-buiding62 within a culture oftransparency and trust are required to enhance engagement and collaboration between professions.
Communication to clinicians of the rationale behind policy decisions and implementation is vital for enhancing
co-operation and engagement24,35. This could be achieved with the practice of evidence informed decision
making, recognising the complexity of this55, and the provision of opportunities to revise and challenge thesedecisions35.
CONCLUSION
This article has sought to contextualise the attributes in table 1 from the ANZCA publication Supporting
Anaesthetists’ Professionalism and Performance: A guide for clinicians8, while highlighting the complexities andambiguities that relate to this. The behavioural markers that are exemplified within the guide, particularly within
the domains of collaborator, scholar and professional support this point. These include contributing to healthservice management processes, the promotion of shared leadership and having awareness and insight.
Awareness of the contribution of leadership, clinician engagement and inter-professional collaboration towards
quality patient care and a positive workplace culture in contemporary practice is essential for both trainee andspecialist anaesthetists.
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A guide to the electronic roster
PETER MULROONEY, MB ChB, FRCA

Consultant Anaesthetist, Department of Anaesthesia and Pain Medicine, Royal Perth Hospital, Perth, WA.

Dr Mulrooney is a consultant anaesthetist and has extensive experience in managing departments of anaesthesia
having previously been chair of the anaesthetic department at the University Hospitals Coventry and Warwickshire
NHS Trust for eight years. In addition he was co-clinical director of surgery and oncology at the same hospital.
He developed an interest in the role of computers in rostering in the mid-1990s and conceived the role of therelational database with respect to skills-based anaesthesia rosters.
DECLARATION OF INTERESTDr Peter Mulrooney has an interest in an e-rostering program and the company that has developed it.
BACKGROUND
Rostering is the process of appropriately assigning individuals to individual tasks. Integral to this process isdue consideration of availability, job plan, contractual obligation, skills, training and safe working hours.
There is a compelling case for automating these tasks to control the high number of constantly moving variables
to achieve high levels of consistency. Rostering software exists, but unfortunately the appropriate software is
hard to find. Clinical governance demands skills-based solutions.
In 2010, the National Audit Office in the United Kingdom emphasised the need for e-rostering in order to improve
efficiency in the NHS1. That this has not been reliably adopted was made clear in a more recent report on
operational productivity and performance again in the UK2.
Two recent reports demonstrate the serious consequences of poor rostering. In one, the coroner highlighted“an unsatisfactory and casual attitude to rostering” following two deaths in Adelaide3. The second report was
the working hours report by the Australian Medical Association published in July 20174 that concluded that
there are still too many doctors working unsafe shifts. It highlighted that fatigue and stress remain prevalent inpublic hospitals.
HISTORY
The roster is seen as a time-consuming impost. Pen and paper have been the mainstay of rostering for many
years. In a surprising number of manpower-heavy environments this is still the case. This includes clinicaldepartments and ward nursing. Surprisingly, major hotel chains also fall into this category.
The arrival of the basic software spreadsheet was regarded as the answer, but it was slowly recognised thatthe relative inflexibility of the options available meant that a high degree of knowledgeable manual interaction
was still required. In other words, an experienced practitioner had to be removed from their primary duties toattend to this.
Unfortunately, the population of the relevant field in the spreadsheet is often regarded as the binary measureof success. The effectiveness of the roster so produced is difficult to monitor in its entirety (clinical governance,
training and supervision etc.). It also ignores the effort required to achieve this end and moreover it also fails
to comprehend that this manual input is subjective and not reliably reproducible.
Basic programmable software has subsequently become available in an attempt to increase the flexibility ofthe spreadsheet approach, such as Microsoft Access for the Excel spreadsheet. Unfortunately, this approach
is limited by the underlying architecture of the spreadsheet itself. Effectively the rostering issues must fit thelimited spreadsheet capability and does not allow the skills-based diary approach that is required.
THE CURRENT SITUATION
Specific electronic rostering (e-rostering) systems are now proffered, but their quality and functionality is highlyvariable. Moreover, clinicians (even departmental enthusiasts) are ill-equipped to critically evaluate them.
Superficially similar software may appear to offer what is required, but the entirety of the process must be
considered from the departmental input, the hardware requirements, the security, the setup requirements, theIT issues, the data access and availability, the automaticity and the reliability in maintaining clinical governancestandards.
The spreadsheet approach has much to commend it on the basis of familiarity. The limited options with respect
to the variables make the set-up relatively straightforward and rapid. However, these very limitations preclude
the full functionality that a clinical department realistically needs to manage and record the required information
for full automation and clinical governance. Just as relevantly, it inhibits the delegation of management of theroster to a non-clinician.
The financial implications of this latter point can be defined on the basis of the loss of clinical time engenderedby the need for input from clinicians. At the most basic level half a day per week of consultant time would be356

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required to run a clinical roster. This cost is easy to calculate. If a senior trainee is also required, then there isa further cost. If this time can be released back to clinical activity, the cost advantages are obvious.

tasks. This lends itself to automation, which is best controlled within an electronic diary as either a standalone
tool or a feed into the full electronic roster.

The executive appreciates that their massive staffing costs are ill-defined but have no objective tool for theirmeasurement. Departments have lacked the ability to provide the relevant data. The executive and the department
have to square this circle.

The diary approach minimises the task of assignment to fixed or float sessions, on call, or shifts. Identificationof non-clinical sessions can be built in. This enables identification of individuals on non-clinical duties who canbe re-assigned in an emergency. Pre-rostering alone provides the basis of a semi-automated system with atleast 30 per cent automation. Achieving more requires incremental levels of data entry. Up to 95 per centautomation is possible.

A searchable relational database can address all these issues. Fully programmable database “languages” suchas Oracle© (Oracle Corporation) and 4th Dimension© (4D SAS) have long been available and are utilised bymajor organisations and industries. For example, 4th Dimension has been relied upon by the US Air Force, IBM
and major retailers all of whom require flexibility, reliability and security. Indeed functional relational databasedevelopments should have consigned the spreadsheet roster approach to history. However, this is still doggedly
pursued because of the apparent ease of use. Rules, targets, skills, availability, shift/on-call duties, training andrecords together with all the disparate elements of the departmental “tribal” memory are essential to managing
the electronic roster, but they are too complex to address in a spreadsheet.
DATA IMPLICATIONS
The manual approach, be it pen and paper or the spreadsheet, generates a pattern of assignments that are
subjective and generate very limited usable data.
The semi-automated spreadsheet approach suffers from many of the same data limitations of the manualapproach, particularly with respect to reproducibility. In addition, neither approach allows meaningful datainterrogation.
With some of the early relational databases, data remained inaccessible to the user and was difficult even forthe software producer to mine. The vendor also took advantage of the user’s naivety in not having defined thedetail of the data access required. Access was also almost on the basis of a ransom.
Allowing data to remain at the whim of the vendor limits security. Data must remain 100 per cent in the handsof the user. It can potentially be utilised in manning, efficiency and payroll reports. It also enables projection of
the effects of service changes. A locked system denies the purchaser from accessing the data and, therefore,
prevents analysis of that data. The purchaser should have unfettered access to all data by right.
Well-designed fully automated systems, while being demanding in the set-up phase, by definition, generate
useful data as a by-product. If an outcome is reproducible, then the data associated with this process is relevant.
The information generated will detail individual staff records, departmental performance, skill mix and training.
This type of information addresses the current accountancy approach to departmental management by providing
the full story.
Similarly, systems for accurate collection of operating suite case data can be used to predict operating roomdemand and enhance staff resource allocation5,6. Security and data protection for such software programs isvital. A single, standalone un-networked computer may appear to be secure, but strict password security isrequired and the loss of multi-user access severely inhibits any useful function. Security could be afforded via
the hospital intranet run via on-site servers and/or virtual servers. Initial analysis might suggest that this is theideal, however, the very security required leads to rigidity of such a system and may prevent a user access fromoutside the hospital and thus denying the potential efficiencies of universal access by the department. Moreover,as demonstrated in the UK, the intranet is still vulnerable to ransomware denying data access. Additionally, thecosts associated with maintaining the latest hardware, software and data backup within an individual internal
environment may be prohibitive.
A newer option is the “cloud”. There is understandably a degree of nervousness regarding the security of thisapproach, however, it should be borne in mind that the cloud is a generic term and does not describe the many
features available. For instance, the security levels of banking payment systems are taken as read. This same
security is available for an e-rostering system. This is simply a matter of coding the feature into the relational
database. The security reservations are valid but they are controllable.
GUARANTEEING GOVERNANCE
As mentioned above, fatigue and stress remain prevalent. Reports suggest that cancellation due to doublebooking can be ameliorated by integrating staffing processes. Corporate reinsurance rates can be reducedwith governance compliant rosters produced in advance, as experienced in a 700-bed hospital in the northMidlands of the UK. Defined rules prevent unconsciously (or consciously) breaching governance standards.
The software needs to be able to handle the detail involved.
Departments must consider individual’s skills, availability and the task complexity. The key is self-evident – theappropriate control of the available resources and the management of unexpected unavailability. Assigning a
name to a duty or task is insufficient, the individual must be available and the skills appropriate.
A pre-rostering strategy is vital. Controlling specialist staff availability by limiting planned absences based on
individual’s skills (e.g. paediatrics, neurosurgery, obstetrics, cardiothoracics) helps protect coverage of required

MANAGING THE IMPLEMENTATION OF AN E-ROSTERING SYSTEM
Specifications
The spreadsheet has the advantage of familiarity, however, even utilising software modification, there are too
many variables in matching multiple skills to many complex tasks at different locations on different days andtimes for this approach to work. Especially when training modules, absences, on-calls and shifts need to be
integrated.
The “one size fits all” software has the advantage of simplicity in setting up. However, the easier the set-up,
the lower the degree of automation and the greater the need for day-to-day direct specialist input. These
programs are designed for apparent ease of use and low or zero maintenance; however, they do not truly caterfor the skills, specialties, training modules and governance that are essential elements in rostering.
The other major issue with such programs is the nature of the data produced and what access is provided. In
the absence of relevant data being inputted during the set up, such data will, by definition, be wholly absent
for future reporting. Hence, future data requirements should form part of the assessment of such programs.
In addition, the generic one size fits all hospital-wide rostering system cannot satisfy the complexities of many
clinical departments where unique skill sets must be accommodated. Moreover, the generic version will be
subject to the committee approach where a “democratic” view will emerge that does not meet the skill
requirements of particular specialties. Specifying local requirements to ensure governance will be necessary.
However, this does not preclude linking to a hospital wide system where it is available, if a relational databasestructure is utilised.
Dedicated relational database software is designed from the ground up to enable multiple elements to be
defined and brought into play simultaneously when generating a roster. The structure lends itself to a modular
approach such that additional functionality can be added as required. In addition, every defined element isavailable as data from which reports can be generated.
The software should include many agreed reporting requirements, but should also remain open to data mining
software such as Crystal Reports© (SAP SE).
Data delivers transparency. However, some thought may be required to simplify a barrage of data from a complex
high-end SQL database. Some suppliers deliver elements in spreadsheet form, which means the data can be
reprocessed for reports. For the rostering output, it is possible to go further by linking part of the database toa spreadsheet such that a finished roster is run into a spreadsheet format that can be modified by users withpassword controlled access. Every time a change is saved it can ripple back to the database thus maintaining
the core data integrity for reporting purposes.
The specification of an e-rostering system must be clear. Advice should be sought since the widespread
unfamiliarity with relational databasing and network/cloud issues diminishes the chances of success. Guidanceby the vendor alone may not be ideal. Policing the functionality of the project is vital.
THE ENGINE
Departmental stand-alone computerStandalone desktop PCs have the necessary power, but with disadvantages. Secure access necessitates
repeated log ins if multiple users are involved. Inevitably shortcuts will be taken, compromising security andaudit. The integrity of the system information must be guaranteed. However, the data should be accessible
from multiple locations. Networking is preferable, but is only the first step. Unless one is using a single machine
to run pre-rostering and a diary system, the lack of networking is a liability.
In addition, where rostering solutions are controlled by a single departmental enthusiast and a single unnetworked system, then the critical safety paradigm exists: that of the single point failure (the failure of a single
element destroying the functionality of the entire system).
In-house network and the cloud
The move from the stand-alone desktop to the intranet may mean loss of control and the data retreating behind
the walls of the IT department, however, it makes some security sense to run a “closed” conventional client/server within the in-house system. Data security is not merely a preference; it is a legal requirement. However,this results in loss of flexibility in terms of access and achieving a usable interface with the program from outside
the intranet is often nigh on impossible, for example, access from home.

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The browser based approach (Internet Explorer/Edge, Chrome, Safari etc) is the norm on the internet, but
security reservations exist when utilising the common “http” addresses. Safety may mean staying away frombrowser delivery systems that have gained popularity in the recent past in favour of applications designed towork in the cloud. Most Microsoft applications now run on the cloud without a browser. The likes of ebay andAmazon persist with browsers because the cost per user is negligible. However, browsers can still be safely
utilised to deliver reports where rostering information is published to the net rather than allowing access to theprogram itself.
The cloud provides many advantages. Secure access can be provided via “https” access i.e. credit card levelsafety. Systems that sit on secure servers out in the “ether” can access software system out of hours sevendays a week. Information from the roster system can be published to “the net” and accessed for general
departmental use. For example, leave requests can be managed remotely. To apply, staff can use a form or
e-mail a request to a server address monitored 24 hours a day by the system and picked up. Provided noprogram rules are breached, automatic notification of approval can occur.
The cloud also offers cost reductions, adaptability, and accessibility. External virtual servers can maintain highdata security with low cost options. Round the clock external back-up and support combined with the ability
to increase speed and hard drive space make a compelling argument.
The advantages of the cloud are clear. It offers users the opportunity to utilise low cost hardware updated,maintained and supported by reliable providers with secure servers. The IT department involvement is negligible.
Users can also negotiate free updates and software costs in an annual cost. The goal, predictable overheads
for hardware and software with ability to change as required.
The potential downside to the cloud approach is that it depends on the internet speeds locally available.
The IT department
What is needed from the IT department is installation of the software and a server or gateway to a cloud server.
It is vital to have support from the hospital executive for the project.
The IT department may be a bottle neck when seeking to install software. Allowable software must make it on
to a “white-list” before being installed on hospital systems. One malfunctioning piece of software can bring
down the whole system. The cloud approach using servers and software “off-site” decreases the IT load andcosts. Security must be maintained and IT must ensure this with external and highly secure external filtering.
In addition, the workload associated with a true ODBC/SQL relational database is not appreciated. Hence,
integral to setting up a functional automated system is the manual data input resource required. IT departments
are often self-funding and may charge for this kind of resource. Upgrades and support is far cheaper outside
the rigid world of the in-house department. In addition, they are busy managing legacy programs or integrating
disparate/incompatible Windows systems.
Testing
There can never be enough testing prior to adoption. Once again, the advantage of automation becomesapparent. Automated software never tires or gets bored.
WHY DO PROJECTS FAIL?
Projects fail at a departmental level when high expectations flounder on the high investment in time necessary.
Accountability is paramount and timelines and milestones must be defined. Task management from outside
the department may be advisable as multitasking clinicians cannot concentrate on the detail of the project.
There are multiple reasons for the failure of IT projects within the health/public sector. The executive may notgrasp the complexity of the issues and may not identify the need for qualified experts to facilitate such a project.
While individuals may grasp the essential concepts, the process fails because their enthusiasm may not beshared.
The lack of detailed specification provides a potential vendor with a wide target. Additionally, the project team
may be permanently on the back foot addressing a system not properly specified whilst themselves notunderstanding the technical complexities. Failure to ensure that adequate time and resources are provided
during the set-up will inhibit reaching agreed milestones.
It should also be appreciated that determined individuals within a department can inhibit the progress of
implementation of such projects.
MANAGEMENT OF THE FUNCTIONING E-ROSTER
An e-roster must be designed such that a non-clinical administrator can run the system. The software should
be sufficiently comprehensive to automatically enforce the departmental clinical governance standards andshould seamlessly integrate with a powerful departmental e-diary. A relational database allows all of this.
All departmental events, commitments, absences, etc., need to be entered into this diary. Having set absence
limits on the basis of skills or seniority, the administrator is immediately informed as to adverse repercussions

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of a booking. The roster should remain live at all times even if already published, so late unavailability can thenbe identified and addressed without having to re-generate the entire roster. This approach ensures the accuracyof the data.
Every member of the department should have access privileges linked to passwords to provide control. Eachdepartment will have its own priorities.
Ultimately, whoever manages the day-to-day e-roster, a clinician must ultimately underwrite all activities. A
comprehensive automated software package will be able to reflect the detail needed by the department andwill highlight any problem that defies automation. Anaesthesia departments frequently have a clinician withresponsibility of overseeing or assisting with theatre management. Such clinicians have the corporate knowledge
and a detailed understanding of the complexity of operating room resourcing7 and are logical choices to become
custodians of these systems.
E-ROSTER OUTPUT
Relevant data can be disseminated in multiple report forms. All delivery systems are available from texting ande-mails to mobile apps. These can be driven from the software and auto-updated. Immediacy is delivered byauto-texting. Emailing has the advantage of economy.
Individuals can be informed directly as to their future assignments and late changes can be automaticallyforwarded. Departments can receive the complete roster via email or by linkage to a TV screen in the relevant
areas. This reduces the administrative requirements considerably.
DATA FOR DEPARTMENTAL MANAGEMENT
The priority is total access and control of data. Consider a supplier going bankrupt or a more attractive system
becoming available. The historical data must be available for migration to the new system.
Powerful relational data bases generate an incredible amount of information which must remain available forthe user to access. One hospital in the midlands of England was able to save a major management consultancy
firm two days’ work by mining the data in their rostering system and thus justified the entire project.
The data needed to achieve full automation also enables more accurate projections of the implications consequent
to changes of duties/commitments or staffing numbers.
Obviously backups of data needs thought and the cost advantage of the cloud again becomes clear. Exporting
data for departmental reports and spreadsheets is a major advantage.
DATA FOR HOSPITAL MANAGEMENT
Automation via e-rostering enables the rapid projection of the effects of either a net increase of tasking or a
net decrease of manpower. Multiple variations can be generated in minutes and the statistical output generated
in seconds. In effect, “real time” simulations can be demonstrated to the executive. More importantly, with askills-based e-rostering program, the projections take into account clinical governance, training needs and theeffect of historical absence rates (sick leave, study leave, etc.).
Moreover, with the generation of increasing numbers of projected rosters (dozens or tens of dozens) at the clickof a button, the cumulative effect of minor discrepancies will become apparent. The ability to assign reasonsfor any cancellation of a task automatically generates relevant statistics and sometimes surprising results, forexample, the anaesthesia department is not always the source of all problems.
DATA FOR LINKING TO OTHER HOSPITAL APPLICATIONS
Hospitals have myriad software program spanning multiple generations of operating systems. For example,
MS-DOS applications and even Windows 3.0 software programs still operate today. Bridging these types ofprograms, some of which may be used for payroll and human resource applications, with an e-rostering programin order to automatically feed in data is realistically only possible with ODBC/SQL type software. A modified
spreadsheet will not manage this.
When assessing a system, users should ensure that the control of data output remains in their hands and not
only be available on request and at a cost. The minimum requirement should be data output to recognised
spreadsheet with an agreed format. Better still, a data mining utility should have to accessor interrogate thedatabase. The ultimate solution is an SQL link. However, some constraints for reasons of commercial sensitivity
may be imposed.
CONCLUSION
Anaesthetists have much to contribute to the safe and efficient use of operating suites and other dedicatedareas wherein anaesthesia services are required. Computerisation and implementation of the anaesthesia
record, theatre management and decision-support systems, and even educational activities, have been developed
and adopted by our specialty. Clearly, E-rostering has unarguable advantages over historic pen and paper

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systems. Identifying the appropriate functionality of the software presents the potential end-user with a multiplicity
of choices with many traps for the uneducated purchaser. Choosing the best platform to run the software alsopresents a number of challenges that need to be addressed. However, armed with the appropriate informationand knowing which questions to ask, the user now has a better chance of success.
GLOSSARY
Access privileges are the delegation of authority over a computer system. This allows a user to perform anaction.
Additional functionality (tasks) can be applied as and when required (see also Modular approach).
Amazon is the most widely known site for buying commodities and services across the internet. They are also
leaders in the push for “cloud” services using their own worldwide virtual server network at attractively low
prices.
App is short for “application” – which is another name for a computer program usually run on a mobile device.
Back-up is the copying and archiving of computer data.
Browser with Internet Explorer or Chrome. A web browser is a software application for retrieving, presenting
and passing information resources on the Internet. Because of its ubiquity, it is an obvious target for hacking
notably via use of plug-ins, small Java-based mini applications. Microsoft’s Internet Explorer and Google’s
Chrome are the best known browsers.
Clinical governance is a framework through which hospitals are accountable for continually improving thequality of their services and safeguarding high standards of care by creating an environment in which excellencein clinical care will flourish.
Crystal Reports is a business intelligence application, currently marketed to small businesses by SAP SE. It
is used to design and generate reports from a wide range of data sources.
Data mining is the practice of re-using data extracted from a database in different ways typically in Excel
spreadsheets or reports.
ebay is a massive internet auction site that is accessible worldwide.
e-diary is a computerised diary of varying complexity ranging from a series of logged events to an interactive
diary that provides feedback in the form of interactive advice on the implications of actions such as allowing arequested leave breaks safety rules.
Emailing is the act of communicating text messages between computers, smart phones, tablets and otherdevices anywhere in the world or in this case around the hospital. A universal format ensures that any machine
can read and respond to messages.
e-rostering is the act of generating a roster from a set of rules defined on a computer. These range from thesimple to advanced systems that approach 100 per cent automation.
Ether is computer speak for out on the internet.
Gateway is a term to describe a link to another network or the internet. IT departments look to control thesepoints to maintain security.
Generic rostering systems are simple “do it all” systems aimed at the general market. Hospital skills forexample particularly when “batched” are beyond their capabilities. Medical rostering particularly in the larger
specialist departments such as radiology and anaesthesia need many more variables than are found in such
systems.
Hospital wide intranet is a private network accessible only to an organisation’s staff. A wide range of informationand services from internal IT systems are available that would not be available to the public from the internet.
Http and https is a hyper text transfer protocol. The “s” at the end of “https” stands for “secure”. Both are theprotocol over which data is sent between your browser and the website that you are connected to. It means
all communications between your browser and the website https files are encrypted or sometimes known as
credit card level.
Legacy-based systems are frequently tied to an older specific version of an operating system.
Milestones are a significant stage or event in the development of something in this case goals set to be achieved
before moving forward.
Modular approach is the ability to progress as far along the road to automation as desired at a pace to suite.
An e-diary is the first step then the ability to allocate manually from available and qualified staff. The next stage
would be to add higher levels of automation firstly through fixed sessions then then training modules, shifts
and on calls on to full automation.

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MS-DOS was the main operating system for IBM PC compatible personal computers during the 1980s andthe early 1990s, when it was gradually superseded by operating systems offering a graphical user interface(GUI), in various generations of the graphical Microsoft Windows operating system.
Multiple generations of operating systems. In hospitals, most computers run a version of Microsoft Windows.
The most recent is Windows 10 but the most widely adopted was Windows XP from a few generations back.
Networking is the act of connecting computers to allow the various pieces of equipment to communicate with
one another, as well as with other networks. In the UK there is still a reliance on N3 a national standard for
networking between hospitals.
ODBC stands for Open Database Connectivity and is a standard application programming interface for accessing
database management systems. It is independent of database systems and operating systems. By using ODBC
statements in a program, you can access files in a number of different databases, including Access, dBase,
DB2, Excel, and Text.
Off-site refers to sites, services or facilities outside the hospital environs.
Pre-rostering describes the numerous activities, normally diary based, that contribute to allowing maximum
flexibility of staff by controlling leave to ensure that as far as possible suitably skilled staff are available to carryout the tasks required in any one day. Targets or maximum away limits can be set to avoid the embarrassmentof having enough staff but without the necessary qualifications.
Ransomware is a type of malicious software virus that threatens to publish the victim’s data or perpetually
block access to it unless a ransom is paid.
Real time simulations are provided via fully automated software systems that can be generated quickly andin volume to identify the snowball effect of absences and its effect on safe working hours and consequent
availability.
Relational database is structured to recognise relations between stored items of information.
Spreadsheet is an interactive computer application for organisation, analysis and storage of data in tabularform. Most people are familiar with the market leader Excel.
Server is software or hardware that provides functionality for other programs or devices, called “clients”. Thisarchitecture is called the client–server model, and a single overall computation is distributed across multiple
processes or devices. Servers can provide various functionalities, often called “services”, such as sharing dataor resources among multiple clients, or performing computation for a client. A single server can serve multiple
clients, and a single client can use multiple servers.
Skills-based systems exploit an ability to define skill sets and then to define those necessary for a particulartask. Staff are assigned manually or automatically according to those defined skills.
Software is all information processed by computer systems, programs and data. Computer software includes
computer programs, libraries and related non-executable data, such as online documentation or digital media.
Computer hardware and software require each other and neither can be realistically used on its own.
Standalone PC is a desktop or laptop computer used on its own without requiring a connection to a network.
Texting is the act of composing and sending electronic messages, in rostering this should be the last resort tocommunicate change as costs can mount up unnoticed.
The cloud is a series of internet links to hardware and offered as a utility via the internet.
Virtual server is a server (computer and various server programs) at someone else’s location that is shared bymultiple website owners so that each owner can use and administer it as though they had complete control ofthe server as if it is many servers.
Whitelist is a list of items that are granted access to a certain system or protocol. When a whitelist is used, allentities are denied access, except those included in the whitelist.
Windows systems or simply Windows, is a family of operating systems developed by Microsoft. It consistsof several families of operating systems, each of which cater to a certain sector of the computing industry.
Windows 3.0 originated in 1989 and is the third major release of Microsoft Windows, and was released on May
22, 1990. It became the first widely successful version of Windows and a rival to Apple Macintosh and its
graphical user interface (GUI) front. It was followed by Windows 3.1.

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REFERENCES

Australasian Anaesthesia 2017

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