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British Journal of Anaesthesia 99 (1): 1017 (2007)

doi:10.1093/bja/aem140

Cerebral protection
S. Fukuda1 and D. S. Warner1 3*
1
Department of Anesthesiology, 2Department of Neurobiology and 3Department of Surgery, Duke University
Medical Center, Box 3094, Durham, NC 27710, USA
*Corresponding author: Department of Anesthesiology, Duke University Medical Center, Box 3094,
Durham, NC 27710, USA. E-mail: david.warner@duke.edu
Ischaemic/hypoxic insults to the brain during surgery and anaesthesia can result in long-term
disability or death. Advances in resuscitation science encourage progress in clinical manage-
ment of these problems. However, current practice remains largely founded on extrapolation
from animal studies and limited clinical investigation. A major step was made with demon-
stration that rapid induction of mild sustained hypothermia in comatose survivors of out-
of-hospital ventricular fibrillation cardiac arrest reduces death and neurological morbidity with
negligible adverse events. This provides the first irrefutable evidence that outcome can be
favourably altered in humans with widely applicable neuroprotection protocols. How far
hypothermic protection can be extended to global ischaemia of other aetiologies remains to
be determined. All available evidence suggests an adverse response to hyperthermia in ischae-
mic or post-ischaemic brain. Management of other physiological values can have dramatic
effects in experimental injury models and this is largely supported by available clinical data.
Hyperoxaemia may be beneficial in transient focal ischaemia but deleterious in global ischae-
mia. Hyperglycaemia causes exacerbation of most forms of cerebral ischaemia and this can be
abated by restoration of normoglycaemia. Studies indicate little, if any, role for hyperventilation.
There is little evidence in humans that pharmacological intervention is advantageous.
Anaesthetics consistently and meaningfully improve outcome from experimental cerebral
ischaemia, but only if present during the ischaemic insult. Emerging experimental data portend
clinical breakthroughs in neuroprotection. In the interim, organized large-scale clinical trials
could serve to better define limitations and efficacy of already available methods of interven-
tion, aimed primarily at regulation of physiological homeostasis.
Br J Anaesth 2007; 99: 1017
Keywords: brain, ischaemia; complications, cerebral ischaemia; recovery, neurological
Cerebral ischaemia/hypoxia can occur in a variety of peri- However, it has become increasingly clear that an
operative circumstances. Outcomes from such events range ischaemic/hypoxic insult does not simply constitute energy
from sub-clinical neurocognitive deficits to catastrophic failure with consequent interruption of ongoing metabolic
neurological morbidity or death. Although certain surgical events. Indeed this does occur. In addition, though, ischae-
procedures present greater risk for ischaemic/hypoxic mia and hypoxia stimulate active responses in the brain,
brain injury, most insults are not presaged but instead arise which persist long after substrate delivery has been
as unintended complications of either the surgical pro- restored. These responses include activation of transcrip-
cedure or the anaesthetic. tion factors which up-regulate expression of genes contri-
It has been the investigative interest of surgeons and buting to apoptosis and inflammation, inhibition of protein
anaesthesiologists to reduce perioperative brain injury synthesis, sustained oxidative stress, and neurogenesis.
for more than 60 yr.12 Classically, such intervention has Although some of these responses may have a teleological
been categorized as either neuroprotection or neuro- advantage [e.g. elimination of dead or dysfunctional
resuscitation. Neuroprotection was defined as treatment tissue or increased tolerance to a subsequent insult ( pre-
initiated before onset of ischaemia, intended to modify conditioning)], most responses aggravate damage caused
intra-ischaemic cellular and vascular biological responses by the primary insult. Consequently, the concept that neu-
to deprivation of energy supply so as to increase tolerance roprotection can be extended well into the reperfusion
of tissue to ischaemia resulting in improved outcome. phase seems appropriate, albeit with different targets other
Neuroresuscitation, in contrast, implied treatment begun than preservation of energy stores. This possibility may, in
after the ischaemic insult had occurred with the intent of part, explain the efficacy of various experimental post-
optimizing reperfusion. ischaemic interventions, which have manifested either as

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Cerebral protection

Table 1 Evidence-based status of plausible interventions to reduce perioperative ischaemic brain injury. , Repeated physiologically controlled studies in
animals/randomized, prospective, adequately powered clinical trials; , consistent suggestion by case series/retrospective or prospective small sample size trials,
or data extrapolated from other paradigms; 2/, inconsistent findings in clinical trials; may be dependent on characteristics of insult; 2, well-defined absence of
benefit; 22, absence of evidence in physiologically controlled studies in animals/randomized, prospective, adequately powered clinical trials; 222, evidence
of potential harm; *, out-of-hospital ventricular fibrillation cardiac arrest

Intervention Pre-ischaemic Post-ischaemic Pre-ischaemic Post-ischaemic Sustained Sustained


efficacy in efficacy in efficacy in efficacy in protection in protection
experimental experimental humans humans experimental in humans
animals animals animals

Moderate 2/ *
hypothermia
Mild 222 222 22 22 222 22
hyperthermia
Hyperventilation 22 22 22 22 22 22
Normoglycaemia 22 22
Hyperbaric 22 22 2/ 22 22
oxygen
Barbiturates 2 2 22 22
Propofol 2 22 22 2
Etomidate 222 22 22 22 22 22
Nitrous oxide 2 22 22 22 22 22
Isoflurane 22 22 22 22
Sevoflurane 22 22 22 22
Desflurane 22 22 22 22 22
Lidocaine 22 22 22 22
Ketamine 22 22 22 22 22
Glucocorticoids 222 22 22 22 22 22

clinically available therapies (e.g. mild hypothermia) or contrast, in less severe insults, suppression of activity by
instead as promising candidates for future clinical use tar- the anaesthetic before onset of ischaemia should delay
geting events, such as oxidative stress, apoptosis, and decay of ATP concentrations and thus also delay loss of
neurogenesis. ionic gradients and calcium influx.
The above logic is presented as a taste of where we are Many studies have supported this logic. Indeed, during
going with investigations aimed at ameliorating long-term abrupt onset of hypoxaemia, barbiturates and isoflurane
improvement from an ischaemic/hypoxic insult that may slow deterioration of ATP concentrations.43 48 Furthermore,
occur in the perioperative period. However, the rest of this post-ischaemic treatment with either barbiturates or volatile
article will focus on the opportunities and limitations of anaesthetics has no effect on outcome.1 59 Surprisingly,
currently available interventions (Table 1). irrefutable data supporting efficacy of pre-treatment with
anaesthetics have proved difficult to acquire.
Early work testing intra-ischaemic anaesthetic efficacy
Anaesthetics was confounded by poor physiological control of exper-
imental subjects. It was recognized later in the evolution of
Barbiturates anaesthetic efficacy studies that factors such as blood
It has been postulated for more than 50 yr that anaesthetics glucose, brain temperature, and perfusion pressure were
increase the tolerance of brain to an ischaemic insult.28 The important determinants of ischaemic outcome and that
logic is simple. Most drugs selected to be anaesthetics sup- anaesthetics independently modulated these factors. In
press neurotransmission. This suppression reduces energy addition, early studies typically compared one anaesthetic
requirement, and reduction in energy requirement should against another. The assumption was that the control
allow tissue better to preserve energy balance during a tran- anaesthetic was not protective and thus failure to improve
sient interruption of substrate delivery. Since adenosine tri- outcome by the test anaesthetic indicated lack of a pro-
phosphate (ATP) synthesis recovers rapidly after restoration tective state. However, little work was done to confirm that
of substrate delivery, anaesthetics would be expected to be the control anaesthetic was not protective. Subsequent
protective if present during ischaemia but not if given after studies, which became feasible as experimental models
restoration of substrate delivery. It would also follow that evolved, often found considerable protection from the
efficacy of an anaesthetic is dependent upon the severity of control anaesthetic when compared with an awake state.
the ischaemic insult. If the insult were sufficiently severe to Thus, the field remained confused for more than a
cause loss of all electrical activity, there would be no decade and insufficient data were generated to warrant
activity for anaesthetics to suppress and thus no mechanism human trials of anaesthetic efficacy when employed intra-
for such drugs to increase tolerance to ischaemia. In operatively. Even then, the early results were mixed. One

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Fukuda and Warner

study found efficacy from thiopental when given in is required for a surgical procedure, inclusion of volatile
cardiac surgical patients, whereas another did not.50 67 anaesthetics can be considered. Isoflurane and sevoflurane
However, only short-term outcomes were assessed, which carry the largest data set to this decision. Desflurane also
prevented assessment of the full evolution of the ischae- offers promise,33 38 but has been insufficiently studied to
mic injury. Furthermore, surgical procedures and cardio- determine whether it should be equally considered in this
pulmonary bypass conditions were markedly different class of potential neuroprotective compounds.
between the two trials. Numerous other explanations have
been offered, but perhaps the overall potency of barbitu-
rates as neuroprotective agents is weak in the face of Other anaesthetics
severe ischaemic insults.65 Other anaesthetics possess properties that suggest potential
One problem with barbiturates is their prolonged dur- for intra-ischaemic neuroprotection. These include propo-
ation of action. It was believed that optimal protection fol, etomidate, and lidocaine. Study of these drugs has not
would be present only when massive doses were adminis- been as extensive as for either barbiturates or volatile
tered to abolish electroencephalographic (EEG) activity, anaesthetics. The principle feature of propofol and etomi-
thereby eliciting maximal suppression of cerebral meta- date is suppression of CMR by inhibition of synaptic
bolic rate (CMR) before onset of the insult. Some activity.19 35 Propofol may also have free radical scaven-
practitioners still adhere to this principle when using bar- ging and anti-inflammatory properties.57 Propofol appears
biturates to protect the brain but such large doses can unique among anaesthetics in the laboratory setting
markedly delay anaesthesia emergence, which has limited because it offers efficacy with post-ischaemic therapy
their clinical application. Although it is unlikely that these onset, although such treatment provides only transient pro-
massive doses are necessary to obtain maximal efficacy,65 tection.9 Propofol appears to offer efficacy similar to bar-
recognition that volatile anaesthetics can also produce biturates but a dose-dependent study of its efficacy has not
EEG isoelectricity at doses which still allow rapid anaes- been completed, leaving little guidance for potential clini-
thesia emergence was greeted with optimism because such cal use. Furthermore, propofol infused to induce EEG
compounds could be more widely applied in clinical burst suppression failed to improve outcome in cardiac
settings. valve surgery patients.56 Etomidate, although initially her-
alded as a substitute for barbiturates,8 has never met rigor-
ous evaluation for neuroprotective properties. In fact,
Volatile anaesthetics some work has indicated that etomidate may paradoxically
The efficacy of volatile anaesthetics as neuroprotective exacerbate ischaemic injury by inhibiting nitric oxide
agents has undergone more than 30 yr of scrutiny and still synthase, thereby intensifying the ischaemic insult.21 As a
no human outcome trials have been conducted to guide result of this and other studies, the use of etomidate for
clinical practice. We know the following facts from the neuroprotection has fallen out of favour in clinical
laboratory. Volatile anaesthetics provide major improve- settings.
ment in ischaemic outcome. The dose required to obtain Lidocaine also suppresses CMR, but this effect is only
this protection is within a clinically relevant range, with meaningful at doses beyond those typically employed in
higher doses potentially worsening outcome.46 Volatile clinical environments. Numerous laboratory studies have
anaesthetics protect against both focal (e.g. obstruction of found efficacy for lidocaine, with perhaps its principle
flow distal to the circle of Willis) and global (e.g. com- mechanism of action relating to inhibition of apoptosis.39
plete cessation of blood flow to the brain or forebrain) The efficacy of lidocaine appears dependent on dose, with
ischaemia. However, the improvement in outcome is tran- doses in the range used to manage cardiac dysrhythmias
sient in global ischaemia,23 whereas it is persistent in having greatest efficacy.61 There have been no long-term
focal ischaemia.58 Sevoflurane has also been shown to outcome studies of lidocaine efficacy in experimental
provide long-term protection in one experimental model.51 stroke. One small human trial found benefit from low-dose
The mechanism by which volatile anaesthetics protect is, lidocaine infusion during cardiac surgery on long-term
in part, attributable to suppression of energy require- neuropsychological impairment.44 Lidocaine should be
ments.47 Both inhibition of excitatory neurotransmission further evaluated for neuroprotective properties since its
and potentiation of inhibitory receptors are likely to be use is supported by a litany of laboratory successes such
involved.15 22 30 It is also likely that volatile anaesthetics as short-duration of action and ease of use. However,
have other important effects that include regulation of because it has not been evaluated in a large-scale clinical
intracellular calcium responses during ischaemia,29 and trial, efficacy in clinical environments remains speculative.
activation of TREK-1 two-pore-domain K channels.25 Ketamine offers potent inhibition of glutamatergic
Although a great deal has been learned from the labora- neurotransmission at the N-methyl-D-aspartate (NMDA)
tory, in the absence of human outcome data, it cannot be receptor. There is a long history of NMDA receptor antag-
stated that volatile anaesthetics improve outcome from onists as potential neuroprotective agents but, overall, such
perioperative ischaemic insults. However, if an anaesthetic compounds offer little or no protection against global

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insults. Protection against focal insults is substantial, but the duration of circulatory arrest approaches the limits of
only if the drug is given before ischaemia onset. Because deep hypothermic neuroprotection.
ketamine is clinically available, it is tempting to argue that The story might have ended there had it not been for
it should be considered when a focal ischaemic insult is several laboratory studies that ignored the CMR hypoth-
anticipated. To date, however, there are no human data esis. Those studies re-visited the possibility that mild
supporting this practice. Little is also known about dose hypothermia could protect the brain against ischaemia
response properties, even in animals. Thus, it is difficult to insults.14 40 To most peoples surprise, reduction in brain
recommend ketamine for the purposes of neuroprotection temperature by only a few degree Celsius provided major
in the clinical environment at this time. protection. These findings stimulated numerous clinical
trials in both adults and newborns, which have since pro-
vided a scientific basis defining the opportunities and
limitations of using off-bypass hypothermia to provide
Physiological management meaningful neuroprotection.
The first reported work related to traumatic brain injury
Temperature (TBI). Three pilot studies provided suggestive evidence
Hypothermia has been proposed to offer therapeutic that mild hypothermia improved either brain physiology or
benefit for more than 60 yr.24 Early investigators examined outcome. However, those studies employed small sample
its effects in both neurosurgery and cardiac surgery sizes and more definitive evidence was needed. Thus, a
patients. In the same era, it was also considered to offer large-scale prospective human trial was conducted, but
benefit in survivors of cardiac arrest and hypoxic insults.10 disappointing results were obtained.18 Cooling TBI
It remains unclear why hypothermia fell out of favour patients within the first several hours after injury failed to
in subsequent decades. One factor may have been its improve outcome. The design and conduct of this trial
apparent lack of efficacy, which reduced enthusiasm for have been vigorously debated but what is clear is that
the logistical issues necessary routinely to cool and induced hypothermia is not a panacea for TBI. If it is
re-warm a large patient population. Another factor may proven effective in later trials, it will probably be shown
have been the influence of mechanistic studies conducted to have efficacy only in certain patient populations and
in the laboratory.42 That work examined effects of only when conducted with specific protocols. Such work
hypothermia on brain energy metabolism and found is ongoing.
hypothermia to reduce CMR in a temperature-dependent If the TBI study had been performed in isolation,
fashion, which became the presumed mechanism of perhaps off-bypass hypothermia would have been aban-
action. The most impressive effects on CMR were at very doned in the clinic again. However, other studies were
low temperatures, and those temperatures required use of already underway, two of which markedly altered the
cardiopulmonary bypass. The effects of mild (32 358C) mood of the investigative community. Both studies were
hypothermia on CMR were negligible. In contrast, barbitu- reported simultaneously and used similar experimental
rates can reduce CMR by 50 60% without the use of car- designs wherein comatose survivors of out-of-hospital
diopulmonary bypass and were therefore viewed as having cardiac arrest were randomized to normothermia or mild
a greater potential benefit. Perhaps for those reasons, the hypothermia, which involved rapid surface cooling as
use of perioperative hypothermia persisted only in the soon as spontaneous circulation was restored.2 11 Both
context of caring for some cardiac surgical patients. studies found significantly more patients with good
There is no doubt that deep hypothermia (e.g. 18 outcome in the hypothermia group and negligible adverse
228C) is highly neuroprotective. We know that only a few events. Finally, convincing evidence is available that off-
minutes of complete global ischaemia will cause neuronal bypass hypothermia can appreciably improve outcome
death in normothermic brain. This has been best examined from at least cardiac arrest in humans.
in the laboratory, but human evidence is consistent with These findings have prompted publication of guidelines
those findings.53 In contrast, it is widely observed that recommending that comatose survivors of out-of-hospital
induction of deep hypothermia before circulatory arrest cardiac arrest undergo cooling after restoration of spon-
routinely allows the brain to tolerate intervals of no-flow taneous circulation.3 49 The extent to which the efficacy of
exceeding 40 min, and substantially greater intervals of induced hypothermia can be extrapolated to other con-
arrest with complete or near-complete neurological recov- ditions of cardiac arrest (loss of airway, asphyxia, and
ery are frequently reported. As a result of this prima facie drowning) may never be known given the sporadic and
evidence, the efficacy of deep hypothermia has not been relatively rare nature of those events. However, such inter-
subjected to randomized controlled trials. However, there vention may be considered.41
is still much to be learned with respect to optimizing In addition, there is an increasing evidence that peripar-
cooling and re-warming methods, optimal magnitude of tum neonatal asphyxial brain injury favourably responds to
hypothermia, determination of brain temperature using sur- treatment with hypothermia. Two trials have been
rogate sites, and defining within individual patients when reported. The first employed selective head cooling and

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Fukuda and Warner

could only find a beneficial effect of hypothermia in a practice can be appreciated, in fact, it is contradicted by
subset of the study population.27 The second employed direct examination of cerebral well being. The most salient
total body cooling.60 In this study, the benefit of induced evidence is derived from TBI investigations. These studies
mild hypothermia was clear. Despite this, some feel support a different concept, that being worsening of per-
additional trials are required before such intervention can fusion by hyperventilation-induced vasoconstriction in
be widely advocated.32 ischaemic tissue. Indeed, the volume of ischaemic tissue,
In the course of defining hypothermia efficacy, it has elegantly assessed with positron emission tomography in
also become apparent that hyperthermia has adverse effects TBI patients, was markedly increased when moderate hypo-
on post-ischaemic brain. Spontaneous post-ischaemic capnia was induced.20 This is consistent with the only pro-
hyperthermia is common4 and, in animals, intra-ischaemic spective trial of hyperventilation on TBI outcome, which
or even delayed post-ischaemic hyperthermia dramatically observed a decreased number of patients with good or mod-
worsens outcome. Spontaneous hyperthermia has also been erate disability outcomes when chronic hyperventilation
associated with poor outcome in humans.36 These facts was employed.45 It remains unevaluated whether acute
provide sufficient evidence to advocate frequent tempera- hyperventilation improves outcome from pending transten-
ture monitoring in patients with cerebral injury (and those torial herniation or when rapid surgical decompression of a
at risk for cerebral injury). Aggressive treatment of haematoma (e.g. epidural) is anticipated. Within the
hyperthermia should be considered. context of focal ischaemic stroke, clinical trials have found
no benefit from induced hypocapnia,17 62 although hyper-
Glucose ventilation is sometimes employed in cases of refractory
brain oedema. Use of hyperventilation during cardiopul-
Glucose is a fundamental substrate for brain energy metab-
monary resuscitation may serve to increase mean intrathor-
olism. Deprivation of glucose in the presence of oxygen
acic pressure thereby decreasing perfusion pressure and is
can result in neuronal necrosis, but the presence of
not advocated.5 Consequently, there are few data to support
glucose in the absence of oxygen carries a worse fate. The
use of hyperventilation in the context of cerebral
mechanistic basis for this dichotomy remains unclear. The
resuscitation.
most persistent hypothesis is that glucose, in the absence
of oxygen, undergoes anaerobic glycolysis resulting in
intracellular acidosis, which amplifies the severity of other Arterial oxygen partial pressure
deleterious cascades initiated by the ischaemic insult.
It makes sense that optimization of oxygen delivery to
Many animal studies have demonstrated adverse effects of
ischaemic tissue should improve outcome. Indeed, oxygen
hyperglycaemia from a wide variety of brain insults.
deprivation is the fundamental fault leading to tissue
Human studies remain principally correlative in nature,
demise. However, reperfusion presents deranged oxygen
that is, patients having worse outcomes from stroke, TBI,
metabolism with the opportunity to increase formation of
etc. also tend to have higher blood glucose concentrations
reactive oxygen species that plausibly induce secondary
on hospital admission. For some time, it was unclear
insults, thereby worsening outcome. There are few human
whether admission hyperglycaemia simply represented a
data regarding the effects of normobaric hyperoxaemia in
stress response to the brain insult, or instead was contribut-
human resuscitation. One retrospective perinatal resuscita-
ing to a worsened injury. The animal data clearly favour
tion analysis found worse long-term outcome in children
the latter interpretation. More importantly, human research
when either hyperoxaemia or hypocapnia was present
has demonstrated more rapid expansion of ischaemic
during resuscitation or early recovery.37 Others found more
lesions in hyperglycaemic, compared with normoglycaemic
rapid normalization of Apgar scores when 40% oxygen
patients.6 52 In addition, there is accumulating evidence that
compared with 100% oxygen was used for resuscitation.31
regulation of blood glucose yields a higher incidence of
In animal models, it is becoming evident that the effect
good outcome in stroke patients.26 For all of these reasons,
of hyperoxaemia is dependent on the nature of the ischae-
it is rational to maintain normoglycaemia in all patients at
mic insult. Rats subjected to middle cerebral artery occlu-
risk for, or recovering from acute brain injury.
sion had smaller infarcts when normobaric hyperoxaemia
was present during both ischaemia and reperfusion. This is
Arterial carbon dioxide partial pressure (PaCO2) consistent with the demonstrated efficacy of hyperbaric
Because cerebral blood flow and PaCO2 are linearly related oxygen (HBO) in rats undergoing a similar focal ischaemic
within physiologically relevant ranges, hyperventilation insult.63 Evidence for HBO efficacy in humans is weak.16
had become an entrenched practice in cerebral resuscita- In contrast, in dogs subjected to cardiac arrest, it has been
tion. Reduction in PaCO2 was presumed to augment cer- repeatedly observed that outcome is worsened by normoba-
ebral perfusion pressure favourably by reducing the ric hyperoxaemia present during early recirculation.64 This
cross-sectional diameter of the arterial circulation and thus has been attributed to oxidation and decreased pyruvate
cerebral blood volume. This would offset increases in dehydrogenase activity, the enzymatic link between anaero-
intracranial pressure. Although the logic behind this bic and aerobic glycolysis.55 Management of oxygen

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delivery after restoration of spontaneous circulation, so as intervention, at least within the bounds of the clinical trial
to maintain pulse oximeter values within the range of protocols employed.
94 96, optimized short-term neurological outcome.7 These Other than the use of mild hypothermia for ventricular
compelling data should serve as a stimulus for a random- fibrillation cardiac arrest, practice of clinical neuroprotection
ized clinical trial and stimulates re-consideration of the rests on extrapolation from animal studies and weak
necessity for hyperoxaemia in the early post-resuscitation clinical trials. Review of these data allows some recommen-
interval. dations to be made (Table 2). Such recommendations are
likely to be advanced with increased understanding of
Steroids cellular responses to ischaemia and appropriately conducted
clinical trials.
Steroids such as dexamethasone reduce oedema surround-
ing brain tumours. Beyond that, evidence for benefit from
the use of steroids is weak. Evidence that methylpredniso- References
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