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Journal of Pediatric and Neonatal Individualized Medicine  2018;7(2):e070222
doi: 10.7363/070222 
Received: 2018 Feb 02; revised: 2018 Apr 09; accepted: 2018 Apr 14; published online: 2018 Aug 25

Review

General anesthesia and


neurotoxicity on the developing
brain
Gabriele Finco1, Paolo Mura1, Andrea Corona1, Maurizio Evangelista2,
Salvatore Sardo1

1
Department of Medical Sciences and Public Health, University of Cagliari, Monserrato, Italy
2
Department of Anesthesiology and Pain Medicine, Cattolica University, Rome, Italy

Abstract

With the evolution of surgical techniques and technology an increasing


number of infants, neonates, and fetuses are exposed to general anesthesia.
Despite the acknowledged safety of general anesthesia, a considerable
amount of preclinical evidence shows that the developing brain is highly
vulnerable to anesthetic drugs. Early-age anesthesia may impair the fine
tuning of neurotransmitters and growth factors that orchestrate the replication,
differentiation and organization of neural cells into functional networks.
In order to translate these insights from animal models to human patients,
large trials and observational studies have been published or are currently
ongoing.
The aim of this narrative review is to provide an update on the
pathophysiologic mechanisms and published evidence of anesthesia-related
neurotoxicity in pediatric patients.

Keywords

Neurotoxicity, anesthesia, brain, propofol, ketamine, sevoflurane.

Corresponding author

Salvatore Sardo, Department of Medical Sciences and Public Health, University of Cagliari, Monserrato,
Italy; email: salvodras@gmail.com.

How to cite

Finco G, Mura P, Corona A, Evangelista M, Sardo S. General anesthesia and neurotoxicity on the
developing brain. J Pediatr Neonat Individual Med. 2018;7(2):e070222. doi: 10.7363/070222.

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The human brain as a complex dynamic system is chosen because of histologic evidence of a
specific development phase, such as the peak of
Anesthesia-related neurotoxicity on the de­ synaptogenesis in the 7-day-old puppy rats [4, 5].
veloping brain is gaining a great interest in both In humans most of these events are concentrated
the clinical and academic medical community. We in the brain growth spurt, lasting from the 6th month
summarize the pathophysiologic mechanisms and of gestation to 3 years of postnatal age [3, 6].
the results of large clinical studies investigating Neurogenesis is a process largely limited to
the behavioural and cognitive findings associated intrauterine life up to the 29th gestational week [7].
to early-age anesthesia. Neural stem cells (NSC) derive from the ectodermic
The human brain is a complex, dynamic system neural plate in the area called ventricular zone [8].
of neural and non-neural networks, made of billions NSC are the multipotent precursors of both neurons
of highly specialized cells [1]. Its development is and macroglial cells (astrocytes, oligodendrocytes,
an ongoing process spanning from prenatal life and Schwann cells). They undergo both symmetric
over several years of postnatal life. The ultimate divisions (proliferation) to increase the pool of stem
goal of this process is building a highly efficient cells and asymmetric divisions (differentiation) to
functional architecture, capable of fast information beget more committed precursor cells [9].
processing with the minimal expenditure of energy Differentiated neural cells migrate from the
and “wiring” volume [2]. ventricular zone under the guidance of radial glial
Any noxious agent affecting this delicate cells, who can be both a scaffolding type of glia
process may compromise the whole system and a multipotent progenitor cell [8].
capabilities. The cellular milieu, made by growth factors,
The main microscopic events during the neurotransmitters, respiratory gases may modu­
early phases of central nervous system (CNS) late neurogenesis. Simplistically, fibroblast
development are: growth factor, transforming growth factor-alpha,
1. neurogenesis and gliogenesis, the differentiation in­sulin-like growth factor-1, the monoamine
of precursor multipotent cells into neurons and neu­ ro­
transmitters and the physiological intra­
glia; uterine “hypoxia” (25-30 mmHg) increase the
2. migration of neural cells to develop a stratified proliferation of neural precursors while gamma-
tissue; aminobutyric acid and opioid peptides negatively
3. synaptogenesis, through the branching of affect it [7, 10].
dendritic spines, axonal pathfinding and synaptic Glutamatergic signaling is critical for the
cell adhesion; survival, proliferation and differentiation of neural
4. pruning, the controlled reduction of neural cells cells precursors [11]. The embryonic extracellular
and synapses via apoptosis [3]. fluid has a really high concentration of glutamate
A fine tuning of these cellular processes is in comparison to most of adult nervous tissue,
necessary for the development of small and large mainly because of glutamate release during axon
scale brain networks and general anesthesia may elongation and immaturity of glial reuptake system
affect them at multiple target sites. [11]. The effects of glutamate on neurogenesis
are complex and may depend on receptors, phase
Brain development: the basics of development and permeability to calcium of
sampled cells [11].
Most of the published evidence on anesthesia- Ionotropic receptors seem to induce a pro­
related neurotoxicity derives from animal studies liferative effect and to trigger the switch from
on different species such as rats, guinea pigs, proliferative to asymmetric cellular division of
piglets, non-human primates. As a general caveat, NSC [11]. Metabotropic receptors may modulate
the timing of damaging events in relation to brain neurogenesis in multiple ways such as regulating
development is critical for any generalization gene expression via MAP kinase and protein
or translation to clinical practice. The peak of kinase A and influencing cell cycle via oscillating
synaptogenesis is considered the most vulnerable intracellular calcium spikes [11].
period to anesthesia toxicity in all mammals [4]. Glutamate is also a key regulator of den­
Different species display a different distribution dritogenesis and synaptogenesis, perhaps because
of brain maturation between prenatal and postnatal NMDA-associated calcium entry is necessary
life, so in most animal studies, a specific age for dendrite branching in radial glial cells and

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glutamate neurotransmission increases the rate of Eukaryotic cells isolate dysfunctional or­
dendrite growth [12, 13]. ganelles or subcellular debris in a selective way
through autophagocytic vesicles, whose contents
Anesthesia-related neurotoxicity in the de­ are cleared by the lysosome enzymes [29].
veloping brain: a preclinical perspective General anesthesia with propofol and iso­
flurane may exert a dose-dependent modulation
All inhaled and intravenous anesthetic drugs of autophagy through the mammalian target of
administered to the pregnant woman readily cross rapamycin (mTOR) pathway: low-dose short
the placental blood barrier and may exert injurious exposure results in a cytoprotective enhancement
effects on fetus’ brain [14]. of autophagy, while high-dose prolonged exposure
In utero and early postnatal exposure to impairs autophagy flux causing cell death [30].
potent volatile anesthetics, such as isoflurane, In cultured rat hippocampal neurons, propofol-
desflurane, sevoflurane and intravenous drugs, related apoptosis and oxidative stress were
such as ketamine, propofol, midazolam results in significantly attenuated by transfection-induced
a widespread neuronal apoptosis in several animal overexpression of PTEN-induced kinase 1 (Pink-
models, including rats, piglets, rhesus monkeys [4, 1), a key regulator of autophagic turnover of
15-21]. dysfunctional mitochondria (mitophagy) [29, 31].
General anesthesia with midazolam, N2O General anesthetics are pleiotropic drugs
and isoflurane induces the intrinsic pathway of affecting cellular function at multiple levels, so
apoptosis during the peak of synaptogenesis, neurotoxicity arises from a disturbance of both
as shown by a down-regulation of bcl-xL, up- signaling and subcellular survival mechanisms.
regulation of cytochrome c and the activation of
caspase-9 in 7-day-old rats, but not in 14-day-old Clinical evidence of anesthesia-related neuro­
rats, i.e. at the end of synaptogenesis [5]. toxicity in human patients
A similar regimen of anesthesia promotes the
neurotrophin-mediated apoptotic neuro­ degenera­ Translation of these non-human animal find­ings
tion in 7-day-old rats, due the disruption of brain- is of uttermost complexity (see Tab. 1 for a sum­
derived neurotrophic factor (BDNF) survival mary of the main clinical studies).
pathways [22]. The evidence of human neurotoxicity may arise
The mitochondria are critical organelles for from preclinical studies on human tissues or cells,
energy homeostasis and apoptosis, so they may or observational studies on patients undergoing
represent a subcellular target of anesthesia-related general anesthesia, or randomized controlled trials
neurotoxicity [23]. comparing regional neural blockades and general
Anesthesia may also promote inappropriate anesthesia. These studies may investigate the
mitochondrial fission in the developing brain and same phenomenon, i.e. neurotoxicity, measuring
induce the production of reactive oxygen species different outcomes, such as biomarkers of neu­
(ROS), leading to lipid peroxidation, swelling, ronal apoptosis, neuroradiology, cognitive per­
cristae disruption, dysfunctional morphogenesis formance (i.e. academic success or standardized
and oxidative damage [24, 25]. neuropsychological assessment).
The role of ROS in anesthesia-related neu­ A Multi-site Randomized Controlled Trial
ro­toxicity is confirmed by the evidence that Comparing Regional and General Anesthesia
scavengers, such as inhaled molecular hydrogen for Effects on Neurodevelopmental Outcome and
and EUK-134, significantly suppress anesthesia- Apnea in Infants (GAS) is the first multicenter
related neuronal apoptosis [26, 27]. (28 hospitals in 7 countries) randomized trial
The hindrance to mitochondrial morphogenesis on pediatric anesthesia-related neurotoxicity
and migration at the subcellular sites of metabolic [32]. GAS is currently comparing general and
activity may account for synaptogenesis failure, neuraxial anesthesia in a population of infants up
increased oxidative stress and, ultimately, cellular to 60 weeks (post-menstrual age), scheduled for
death [23]. unilateral or bilateral inguinal hernia repair (with
Inhaled anesthesia may also promote an exces­ or without circumcision), without any previous
sive calcium release by endoplasmic reticulum or in utero exposure to volatile anesthesia or
through inositol 1,4,5-trisphosphate recep­ tors, a benzodiazepines, without any chromosomal ab­
known pro-apoptotic signaling pathway [28]. normality or neurological injury [32, 33]. The

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Table 1. Summary of data provided by the main clinical studies on pediatric anesthesia-related neurotoxicity (continues
on the next page).
Exposure
to GA,
mean ± Age at exposure,
Groups Inclusion and exclusion Main limita-
Study Design Outcome(s) SD or Results Surgery mean ± SD or
(sample size) criteria tions
median median (IQR)
(IQR), in
minutes
Inclusion criteria:
• any infant scheduled for
unilateral or bilateral ingui-
nal hernia repair (with or
without circumcision);
• any infant whose gestatio-
nal age is ≥ 26 weeks or
more;
• any infant whose post- • Interim
menstrual age is up to 60 analysis of
weeks. an ongoing
Exclusion criteria: study;
• any contraindication to • per-protocol
general or spinal/caudal analysis
anesthesia; and signifi-
• pre-operative ventilation im- cant loss to
• Awake-RA mediately prior to surgery; Bayley Scales follow-up;
Davidson
(ITT 361); • congenital heart disease of Infant and 54.0 • 74/361 ITT
et al. Multicen- No diffe- Inguinal her- GA 0.19 (0.089),
• sevoflu­rane- that required therapy; Toddler Devel­ (41.0- RA group
(2016) ter RCT rence niorrhaphy RA 0.19 (0.086)
based GA • known chromosomal abnor- opment III at 70.0) received
[32]
(ITT 359). mality or any other known age 2 years GA (major
acquired or congenital ab- protocol
normalities which are likely violation);
to affect development; • assessment
• follow-up difficult for geo- at age 2
graphic or social reasons; may miss
• English is not the primary impairment
language spoken at home; in higher
• known neurological injury functions.
such as cystic periven-
tricular leukomalacia, or
grade 3 or 4 intraventricular
hemorrhage;
• previous exposure to vola­
tile anesthesia or benzodia-
zepines as a neonate or in
the third trimester in utero.
• Analysis of
ICD-9 diagno-
administra-
sis code for:
tive data
• autism,
(Medicaid
• unsocial
database);
and social Miscel-
• Incre- • Medicaid
conduct laneous
ased uneven
disorders; (isolated
Inclusion criteria: risk for coverage
• developmen- circumcision,
• GA before • sibling births in New York multiple of U.S.
DiMaggio tal delay; and selected
Retro- age 3 (304); State Medicaid population. proce­ general
et al. • reading and neurosurgi-
spective • unexposed Exclusion criteria: NR dures; < 3 years population;
(2011) language cal, cardiac,
cohort controls • selected neurosurgical, • matched • small
[35] disorders; palatal, and
(10,450). cardiac, palatal, and siblings’ sample size
• attention diaphrag-
diaphragmatic procedures. analysis for matched
deficit and matic
inconclu- analysis;
hyperkinetic procedures
sive. • outcome is
disorders; excluded)
relevant but
• other
not sensiti-
emotional
ve for subtle
or conduct
cognitive
disorders.
impairment.
Miscella-
Inclusion criteria:
neous (neu-
• children born between 1973
• Mean school rosurgery,
and 1993 who had any ho- NR (the
grades at cardiovascu- • Out­come
• Single GA spital admission for surgery authors
age 16 lar surgery, not sen­
(33,514); at age < 4 years. estimated
Retro- years; Minimally eye surgery, si­tive for
Glatz et • multiple GA Exclusion criteria: that 55%
spective • IQ test lower significant subtle
al. (2017) (3,640); • ineligible condition occurring of pro- < 4 years
cohort scores at scores in plastic surge- impair­ment;
[38] • unex­posed up to age 16 years, neu- cedures
study military exposed. ry, significant • no data on
controls rosurgery, cardiovascular did not
conscription peripheral duration of
(159,619). surgery, eye surgery, exceed
at age 18 vascular GA.
significant plastic surgery, 60 min)
years. surgery
significant peripheral vascu-
procedures
lar surgery procedures.
excluded)

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Table 1. Summary of data provided by the main clinical studies on pediatric anesthesia-related neurotoxicity (continues
from the previous page).
Exposure
to GA,
mean ± Age at exposure,
Groups Inclusion and exclusion Main limita-
Study Design Outcome(s) SD or Results Surgery mean ± SD or
(sample size) criteria tions
median median (IQR)
(IQR), in
minutes
• Higher ASA
status in
multiply ex-
posed (but
not different
incidence
• Incre-
of outcome
• Learning ased
Inclusion criteria: between
disabilities; risk for
• children born from January ASA I-II and
attention- multiple
• Single 1, 1994 to December 31, ASA III-IV);
deficit/ proce­
exposure to 2007, in Olmsted County, • Single • missing
Retro- hyperactivity dures;
GA (457); Minnesota. GA: 52 data in 21%
spective disorder; • single
Hu et al. • multiple Exclusion criteria: (26-90); of cohort
propen- • group- proce- Miscella-
(2017) exposure to • children who moved from • multiple < 3 years members;
sity- administered dure neous
[36] GA (116); Olmsted County before their GA: 125 • 70 children
matched ability; associa-
• unex­posed 3rd birthday; died before (87- exposed to
cohort • achieve- ted with
controls their 5th birthday; and were 234). GA were
ment tests reduced
(463). not enrolled in the local excluded
in medical scho-
school district at age 5 from the
and school lastic
years. study cohort
records. perfor-
because an
mance.
appropriate
propensity-
matched
control
could not be
identified.
Inclusion criteria GA group:
• Gender
• single GA before age 36
unbalance
months for elective inguinal
in sibling
hernia surgery during 2000- • Wechsler
matching;
2010; Abbreviated
• GA expo-
• ASA I-II; Scale of
sure after
• 36 weeks’ gestational age Intelligence;
• GA (105); 36 months
Sibling- or older at birth. • domain-
Sun et • matched Inguinal occurred in
matched Inclusion criteria control specific No diffe-
al. (2016) controls 84 ± 33 hernior­ 1.44 (0.91) 18 exposed
cohort group: neurocogni­ rence
[34] (siblings, rhaphy and 23
study • biologically related siblings tive functions
105). unexposed
(half or full) closest in and behavior
siblings
age (within 3 years) to (assessed
in control
the exposed child with no at age 8-15
group;
anesthesia exposure before years).
• selection
age 36 months and 36
bias of
weeks’ gestational age or
families.
older at birth.
GA was • Possible
Inclusion criteria: risk factor selection
• birth cohort of children born for the de- bias due to
in Rochester, Minnesota, velopment migration
between January 1, 1976, of learning of 8,548
Retro- • GA (593); and December 31, 1982, to Learning disabilities birth cohort
Wilder et
spective • unex­posed mothers residing at the time disabilities in 75 (45- in multiply Miscella- members;
al. (2009) < 4 years
cohort controls of delivery in the five Olm- medical and 120) exposed neous • halothane
[37]
study (4,764). sted County, Minnesota, school records children as most
townships. for a common
Exclusion criteria: cumulative GA;
• children who left Olmsted duration of • "old" anes-
County before age 5 years. 120 min or thetic mana-
greater gement.

ASA: American Society of Anesthesiologists physical status classification; GA: general anesthesia; ICD: International Classification of Diseases;
ITT: intention to treat; IQR: interquartile range; min: minutes; RA: regional anesthesia; RCT: randomized controlled trial; SD: standard deviation;
U.S.: United States.

primary outcome is the Wechsler Preschool and composite cognitive score of the Bayley Scales of
Primary Scale of Intelligence Third Edition Full Infant and Toddler Development III, assessed at 2
Scale Intelligence Quotient score at age 5 years years were recently published [32].
and its data collection will be accomplished in The authors collected the cognitive composite
2018 [33]. The secondary outcome data, i.e. the score for 238/363 children in the awake-regional

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anesthesia group and 294/359 in the general income families, and the really brief exposure to
anesthesia group. The statistical analysis of mean general anesthesia (mostly under 1 hour) [34].
scores resulted in similar performance (mean [SD], Recent retrospective cohort studies with
98.6 [14.2] vs 98.2 [14.7]) [32]. moderate to large sample size seem to confirm
The strength of this study lies on its solid block an association between multiple exposure to
randomized design stratified by site and gestational anesthesia during the vulnerable period up to 4
age at birth, the outcomes assessor’s blinding, and years of age and learning disabilities, attention-
the quite even distribution of potential confounding deficit/hyperactivity disorder and reduced acade­
factors such as antenatal exposure to nitrous oxide mic achievements [35, 36]. The strength of the
and perinatal adverse events. The main factors association is clearly exposure-dependent and
affecting the quality of evidence are related to the is concordant to previous retrospective studies,
age of assessment, which may miss subtle higher whose findings were criticized because of
function impairment, such as reading and math the significant differences with modern anes­
skills, and the intrinsic methodological limitations thesiological management, such as the use of
of a per protocol interim analysis of secondary iso­flurane and the non-standardized instrumental
outcomes [32]. monitoring [37].
The Pediatric Anesthesia NeuroDevelopment The largest retrospective cohort study in the
Assessment (PANDA) investigated the hypothesis published literature compared academic success
that a single exposure to general anesthesia of 33,514 children exposed to a single general
for hernia repair in otherwise healthy children anesthesia and 3,640 multiply exposed before
younger than 3 years during the period 2000- age 4 with 159,619 matched unexposed control
2010 was associated with a reduced Wechsler children [38]. Their findings revealed a reduction
Abbreviated Scale of Intelligence (IQ) score or of 0.41% (95% CI, 0.12%-0.70%) of school grades
domain-specific performance later, at age 8-15 at age 16, a negligible association in comparison to
years [34]. The authors screened the electronic other factors such as gender, maternal education,
registries for eligible participants and retrieved month of birth [38].
all the clinical records related to the surgery and The interpretation of the statistical associations
anesthesia [34]. In order to reduce the bias related provided by the published literature still carries
to genetics and nurture, it was designed as a the fundamental issue of causality attribution. The
sibling-matched cohort study, which analyzed the evidence about a causative link between early-age
data of 105 pair of siblings from the 130 enrolled anesthesia and cognitive impairment in later life is
pairs [34]. Enrolled participants with their matched still inconclusive because early-age anesthesia and
control were assessed with neurocognitive tests, neurodevelopmental adverse events may share the
whose results were quite similar with differences same risk factors.
between the anesthesia and control groups in mean According to a newly published retrospective
IQ scores for full-scale IQ, 0.2 (95% CI, -2.6 to cohort study on 20,922 subjects born in Olmsted
2.9), performance IQ, 0.5 (95% CI, -2.7 to 3.7), county, as the cohorts studied by Wilder et al. and
and verbal IQ, -0.5 (95% CI, -3.2 to 2.2) [34]. The Hu et al., prematurity and low weight at birth were
findings of this study are relevant because they associated with a higher risk of multiple surgical
investigate a typical infant anesthesia procedure procedures [36, 37, 39].
(herniorrhaphy), which is really representative of The United States Food and Drugs Administra­
the large majority of pediatric surgery and is not tion (U.S. FDA) has recently added a warning label to
frequently associated with a significant burden of anesthetic drugs addressing the topic of neurotoxicity
residual disability, but it is also a brief procedure in the developing brain [40]. The label’s contents
[34]. Another point of strength is the use of a stan­ are really agreeable because the limitations of the
dardized neuropsychological assessment, use­ ful available evidence are recognized, while it is offered
for reproducibility and comparability with the a sensitive clinical guideline in choosing which
published literature [34]. The limitations of this surgery is really needed under age 3. For example, any
study are related to the unequal gender matching surgery for trauma, for life-threatening conditions or
between the groups (males were 90% vs 59% acute illness has a clear benefit-risk ratio and should
in anesthesia and control group, respectively), not be postponed [40, 41].
exposure to anesthesia in 23 subjects of control As techniques and instrumentation evolve,
group after age 3, selection bias of middle-to-high the emerging field of fetal surgery is blossoming.

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Birth defects that compromise early survival or Size effect of long lasting behavioral and
lead to end-stage organ damage may be ame­nable cognitive disparities may be clinically unimportant,
to antenatal surgical treatment (e.g. con­genital but any degree of subclinical reduction of cognitive
diaphragmatic hernia, urinary tract ob­­ struc­ skills may hindrance personal self-realization
tion, twin-twin transfusion syndrome, my­ e­
lo­ and achievements. Furthermore, the increasing
meningocele, amniotic band syndrome, criti­cal awareness of anesthesia-related neurotoxicity may
aortic stenosis with evolving hypoplastic left distress both parents and caregivers in the diag­
heart syndrome) [42, 43]. nostic and therapeutic process. In conclusion, as
Minimally invasive procedures are carried out already stated by regulatory agencies, the decision
under regional anesthesia with or without maternal of surgery under general anesthesia in a vulnerable
sedation, while open fetal surgery requires general period must be cautiously weighted, because post­
anesthesia and fetal administration of opioid and poning emergent or urgent surgeries may increase
neuromuscular blocking agents [43]. both mortality and morbidity (disability), while
In these cases, we suppose that anesthesia- for minor surgeries, such as circumcision or in­
related neurotoxicity may exert the most detrimental guinal herniorrhaphy, regional anesthesia may be
effects on the developing brain, as shown by preferred.
preclinical animal models, but we lack large
observational studies or randomized controlled Declaration of interest
trial to support this hypothesis. Furthermore, the
burden of residual morbidity could bias the results The Authors have no potential conflicts of interest. This research did
of neurocognitive assessment on fetal surgery not receive any specific grant from funding agencies in the public,
survivors. commercial, or not-for-profit sectors.

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