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Pregestational Diabetes Mellitus

ABSTRACT

 

The physiologic changes which occur during the reproductive cycle are vast and involve every body system.  In this chapter, we will review the metabolic changes that occur during normal pregnancies and those affected by pre-gestational diabetes.  Due to the significant overlap in maternal and perinatal risks secondary to pre-gestational diabetes and obesity, we will review the risks of maternal obesity and hyperglycemia on maternal, fetal, and neonatal outcomes. Management of preexisting diabetes in pregnancy will be reviewed in detail including up to date medications and diabetes technologies. Postpartum issues including changes in insulin sensitivity, breastfeeding and contraception for women with preexisting diabetes will be discussed. 

 

ROLE OF PRECONCEPTION AND INTERPREGNANCY COUNSELING/CARE

 

In recent years, increasing focus has been placed on improving preconception and inter-pregnancy care for reproductive aged individuals (1,2).  Obstetric and perinatal outcomes are improved when an individual with pre-gestational diabetes enters the pregnancy in a medically-optimized state (3–6).  Since roughly 50% of pregnancies are unplanned, it is in the patient’s best interest if their team begins discussing contraception and family planning during adolescence and early adulthood, as recommended by the ADA (7).  Among those with pre-gestational diabetes, emphasis on importance of strict glycemic control, folic acid supplementation, discontinuation of potentially harmful medications (such as statins, angiotensin converting enzyme [ACE] inhibitors), encouraging weight loss in overweight/obese women and optimization of associated medical conditions, including complications of diabetes, are all important components of preconception care.

 

Hyperglycemia in the months leading up to conception and through the first trimester confers a significant “dose-dependent” risk of congenital anomalies, including cardiac and skeletal defects, as well as miscarriage (8–10).  A hemoglobin A1c value ≤6.0% around the time of conception is associated with a risk for congenital anomalies of 1-3%, similar to the baseline population risk (9).  Furthermore, if diabetes is poorly controlled or sequelae such as renal and cardiac disease are present at the time of conception, obstetric risks of preeclampsia, preterm delivery, and stillbirth are also increased (11,12).

 

We encourage health care providers to view every encounter with an individual of reproductive age as a pre-conception visit (figure 1). Socio-economic barriers including poor health literacy, smoking, being unmarried, lower family income, and poor relationship with their provider are associated with an absence of pre-pregnancy care, so increased efforts must be made to provide avenues to discuss family planning among these patients (13).  Some suggested solutions include app-based platforms to engage patients and provide education on diet and lifestyle as well as pharmacy-based surveys to identify individuals who require folic acid supplements or other medication adjustments (14,15).

Figure 1. Adapted from Wilkie, G. & Leftwich, H. (2020). Optimizing Care Preconception for Women With Diabetes and Obesity. Clinical Obstetrics and Gynecology.

NORMAL GLUCOSE LEVELS IN PREGNANCY

 

Understanding normal glucose levels in pregnancy is important for setting glycemic targets in women with diabetes. The first change that happens is a fall in fasting glucose levels, which occurs early in the first trimester. In the second and third trimesters, glucose levels rise slightly due to insulin resistance. A careful review of the literature including all available trials using continuous glucose monitors (CGM), plasma glucose samples, and self-monitored blood glucose (SMBG) demonstrated that pregnant women without diabetes (body mass index (BMI) 22-28 kg/m2) during the 3rd trimester (~34 weeks) have on average a fasting blood glucose (FBG) of 71 mg/dl; a 1 hour postprandial (PP) glucose of 109 mg/dl; and a 2 hour value of 99 mg/dl, much lower than the current targets for glycemic control for women with diabetes during pregnancy (16). (See figure 2). Increasing gestational age and maternal BMI affect "normal" glucose levels. A longitudinal study of 32 healthy, normal weight women between 16 weeks’ gestation to 6 weeks postpartum demonstrated a rise in mean glucose levels from 16 weeks (4.57 mmol/l (82.3 mg/dl) to 36 weeks (5.22 mmol/l (94.0 mg/dl) which was maintained at 6 weeks postpartum (5.20 mmol/l (93.7 mg/dl)) using CGM (17). Two-hour postprandial levels were increased rising from 95.7 mg/dl at 16 weeks to a peak of 110.6 mg/dl at 36 weeks. Although fasting blood levels are lower in pregnancy, postprandial glucose levels are slightly elevated which is likely related to the many impaired insulin actions; altered β cell secretion, hepatic gluconeogenesis and placenta derived circulating hormones (18).

 

Figure 2. Glucose Levels During Pregnancy

REDUCING RISK OF CONGENITAL ANOMALIES

 

Hyperglycemia is a known teratogen whether occurring from T1DM or T2DM and can result in complex cardiac defects, CNS anomalies such as anencephaly and spina bifida, skeletal malformations, and genitourinary abnormalities (19,20). A systematic review of 13 observational studies of women with T1DM and T2DM demonstrated that poor glycemic control resulted in a pooled odds ratio of 3.44 (95%CI 2.3-5.15) of a congenital anomaly, 3.23 (CI 1.64- 6.36) of spontaneous loss, and 3.03 (1.87-4.92) of perinatal mortality compared to women with optimal glycemic control (21). Women with a normal A1c at conception and during the first trimester have no increased risk while women with a A1c of 10-12% or a fasting blood glucose >260 mg/dl have up to a 25% risk of major malformations (22,23). A recent analysis of 1,676 deliveries to women with preexisting diabetes between 2009-2018 found a similar significant rate of anomaly especially with increasing A1c taken at the first prenatal visit: women with A1c of 10% had a major congenital anomaly rate of 10% while women with A1c of 13% had a 20% major anomaly rate. The overall anomaly rate was 8% in this modern cohort. Most women in the cohort had T2DM (n=1,449) and fewer had T1DM (n=149), however more women with T1DM had infants with anomalies. The offspring of women with T1DM have higher prevalence of neonatal death (RR 4.56 [95% CI 3.42, 6.07], p < 0.0001) as well as infant death (RR 1.86 [95% CI 1.00, 3.46], p = 0.046) compared to offspring of women without diabetes (113). Periconception A1c >6.6% (adjusted odds ratio [aOR] 1.02 [95% CI 1.00, 1.04], p = 0.01), preconception retinopathy (aOR 2.05 [95% CI 1.04, 4.05], p = 0.04), and lack of preconception folic acid supplementation (aOR 2.52 [95% CI 1.12, 5.65], p = 0.03) were all independently associated with risk of neonatal and infant death (24). Most organizations recommend women achieve an A1c of less than 6.5% prior to conception (25,26). For women with hypoglycemia unawareness, less stringent glycemic targets may need to be used such as an A1c <7.0%. The A1C falls in pregnancy and if it is possible without significant hypoglycemia, an A1c of less than 6% is recommended.

 

The mechanism of glucose-induced congenital anomalies has not been fully elucidated (27). It has been shown that diabetes-induced fetal abnormalities may be mediated by a number of metabolic disturbances including elevated superoxide dismutase activity, reduced levels of myoinositol and arachidonic acid, and inhibition of the pentose phosphate shunt pathway. Oxidative stress appears to be involved in the etiology of fetal dysmorphogenesis and neural tube defects in the embryos of diabetic mice are also associated with altered expression of genes which control development of the neural tube (28).

 

Women with T2DM are more likely to be treated for dyslipidemia and hypertension. Chronic hypertension occurs in 13-19% of women with T2DM and many of these will be prescribed an ACE-inhibitor or Angiotensin receptor blocker (ARB) (29). The data on risk for first trimester exposure to ACE inhibitors is conflicting (see nephropathy section). Depending on the indication for use, an informed discussion on the benefits and risks of stopping these agents before pregnancy must occur but they should certainly be stopped as soon as a missed period occurs. The data on teratogenicity of statins for treatment of hypercholesterolemia is also conflicting and is based on animal, not human, studies (30).  Pravastatin has had favorable effects on vascular endothelial growth factor in animal studies (31–33). A small multicenter pilot study examining pravastatin in prevention of preeclampsia in high-risk women found that pravastatin was safe when started between 12-16 weeks gestation. There is a large randomized clinical trial of 1,550 women evaluating pravastatin to prevent preeclampsia ongoing currently (ClinicalTrials.gov ID NCT03944512).  At this time, current guidelines recommend that statins be stopped prior to pregnancy, but definitely at diagnosis of pregnancy.

 

INFLUENCE OF METABOLIC CHANGES IN PREGNANCY

 

Pregnancy is a complex metabolic state that involves dramatic alterations in the hormonal milieu in addition to changes in adipocytes and inflammatory cytokines. There are high levels of estrogen, progesterone, prolactin, cortisol, human chorionic gonadotropin, placental growth hormone, human chorionic somatomammotropin (human placental lactogen), leptin, TNFα, and oxidative stress biomarkers. In addition, decreases in adiponectin worsen maternal insulin resistance in the second trimester, in order to facilitate fuel utilization by the conceptus (34).

 

Metabolically, the first trimester is characterized by increased insulin sensitivity, which promotes adipose tissue accretion in early pregnancy. What mediates this increased insulin sensitivity remains unclear. Women are at increased risk for hypoglycemia, especially if accompanied by nausea and vomiting in pregnancy. Although most women show an increase in insulin sensitivity between 6-20 weeks’ gestation of pregnancy and report more frequent episodes of hypoglycemia, especially at night, there is a transient increase in insulin resistance very early in pregnancy (prior to 10 weeks), usually followed by increased insulin sensitivity up until 14-20 weeks (35).

 

In the fasting state, pregnant women deplete their glycogen stores quickly due to the fetoplacental glucose demands, and switch from carbohydrate to fat metabolism within 12 hours, resulting in increased lipolysis and ketone production (36–38).  In women without diabetes, the second and third trimesters are characterized by insulin resistance with a 200-300% increase in the insulin response to glucose (39).  This serves to meet the metabolic demands of the fetus, which requires 80% of its energy as glucose, while maintaining euglycemia in the mother. The placental and fetal demands for glucose are considerable and approach the equivalent of ~150 grams per day of glucose in the third trimester (37).  In addition, the maternal metabolic rate increases by ~150-300 kcal/day in the third trimester, depending on the amount of gestational weight gain in pregnancy. These increased nutritional needs place the mother at risk for ketosis, which occurs much earlier than usual without adequate oral or intravenous nutrients, frequently referred to as "accelerated starvation of pregnancy" (36).  See “Diabetic Ketoacidosis in Pregnancy” section for further details.

 

DIABETES COMPLICATIONS AND TREATMENT OPTIONS IN WOMEN WITH PREGESTATIONAL DIABETES AND THE ROLE OF PRECONCEPTION COUNSELING

 

Although historically, T1DM has been more prevalent than T2DM in women of child-bearing age, this is changing with increased obesity rates worldwide. The prevalence of prediabetes and diabetes is a burgeoning global epidemic (40,41). In the United States, the prevalence of diabetes among adults between 1980 and 2020 has quadrupled with an estimated 21.9 million adults living with diabetes, including reproductive aged women (41). There was higher prevalence of diabetes among non- Hispanic blacks and Mexican Americans (42).  In Canada, the number of women with pre- existing diabetes has increased 50% between 1996 and 2001 with T2DM representing a growing proportion (43). There is limited data on the burden of diabetes during pregnancy in low and middle income countries around the world (44).

 

Both women with T1DM and T2DM are at increased risk of poor obstetrical outcomes, and both can have improved outcomes with optimized care (5,45).  The White Classification (Table 1) was developed decades ago by Priscilla White at the Joslin Clinic to stratify risk of adverse pregnancy outcomes in women with T1DM according to the age of the patient, duration of diabetes, and presence of vascular complications of diabetes. Although recent evidence suggests that the classification does not predict adverse pregnancy outcomes better than taking into account the increased risk of micro- and macrovascular disease (e.g. retinopathy, nephropathy, hypertension, coronary artery disease, etc.), it is still often used in the U.S. to indicate level of risk for adverse pregnancy outcomes (46).  Although it was developed to use in women with T1DM rather than T2DM, given the very low prevalence of T2DM in women of childbearing age decades ago when it was first established in 1949, many also apply it to this group of women. ACOG further modified it in 1986 and GDM was added to the classification and designated as A1 (controlled by diet alone) and A2 (controlled by medication). Women with T2DM are at least as high of a risk of pregnancy complications as women with T1DM. The reasons for this may include older age, a higher incidence of obesity, a lower rate of preconception counseling, disadvantaged socioeconomic backgrounds, and the co-existence of the metabolic syndrome including hyperlipidemia, hypertension, and chronic inflammation

 [29]. Furthermore, the causes of pregnancy loss appear to differ in women with T1DM versus T2DM. In one series comparing outcomes, >75% of pregnancy losses in women with T1DM were due to major congenital anomalies or prematurity (47).  In women with T2DM, >75% were attributable to stillbirth or chorioamnionitis, suggesting that obesity may play a role.

 

Table 1. Modified White Classification of Pregnant Diabetic Women

Class

Diabetes onset age (year)

Duration (year)

Type of Vascular

Disease

Medication Need

Gestational Diabetes (GDM)

A1

Any

Pregnancy

None

None

A2

Any

Pregnancy

None

Yes

Pre-gestational Diabetes

B

20

<10

None

Yes

C

10-19 OR

10-19

None

Yes

D

<10 OR

20

Benign

Retinopathy

Yes

F

Any

Any

Nephropathy

Yes

R

Any

Any

ProliferativeRetinopathy

Yes

T

Any

Any

Renal Transplant

Yes

H

 

Any

Any

Coronary Artery

Disease

Yes

 

MANAGEMENT OF PRE-EXISTING DIABETES DURING PREGNANCY

 

Treatment Options in Achieving Glycemic Control

 

All women with T1DM and T2DM should target an A1c of <6.5% preconception when possible. For women with T2DM on oral or noninsulin injectable agents, consider switching to insulin prior to pregnancy, even in women with goal glycemic control.

 

ORAL AND NON-INSULIN INJECTABLE GLYCEMIC LOWERING AGENTS

 

No oral hypoglycemics are approved for pre-existing diabetes in pregnancy although glyburide and metformin have been used in multiple RCTs for GDM. (Please see Endotext Gestational Diabetes chapter). There is no evidence that exposure to glyburide or metformin in first trimester are teratogenic, but both do cross the placenta, metformin substantially more than glyburide (48–50).  There appear to be no metformin receptors in the embryo but there are metformin receptors in the fetus. There is minimal data on thiazolidinediones or meglitinides and no data on incretin-based therapies (dipeptidyl peptidase [DPP]-4 inhibitors and glucagon-like peptide [GLP]-1 analogues). It is recommended that women with T2DM who are actively trying to become pregnant should be switched from oral or noninsulin injectable hypoglycemic agents to insulin prior to conception if possible. This rationale is based on the fact that it may take some time to determine the ideal insulin dose prior to the critical time of embryogenesis. Furthermore, oral hypoglycemic agents alone are likely to fail to control glucoses during pregnancy given the insulin resistance of pregnancy. However, women who conceive on any oral agents should not stop them until they can be switched effectively to insulin because hyperglycemia is potentially much more dangerous than any of the current available therapies to treat diabetes (51). There are potential concerns for sodium-glucose cotransporter-2 (SGLT2) inhibitors in pregnancy based on a case of profound polyuria in a pregnant patient with familial renal glycosuria (mutation in gene encoding SGLT2 transporter) (52).  Furthermore, pregnancy causes polyuria and glycosuria normally due to increased glomerular filtration rate, and it is unknown whether SGLT2-inhibitors would provide additional efficacy. Metformin is sometimes used preconception and throughout the first trimester in women with polycystic ovary syndrome (PCOS) not for glycemic control but to improve fertility and prevent early miscarriage. Recent guidelines do not recommend metformin as a first line agent for ovulation induction in women with PCOS and infertility, but rather letrozole. There is no known teratogenic effect of metformin when used in women with PCOS (50,53,54).

 

Oral agents may be considered if insulin is not a possible treatment in special situations, such as patient declining insulin therapy due to injection phobia, history of intravenous drug use, or cost. For women with preexisting diabetes who decline insulin therapy, oral agents are preferable to no therapy. Their use is unlikely to result in adverse outcomes from the agents themselves unless hyperglycemia is inadequately controlled. There are few studies looking at metformin use among pregnant women with T2DM (55,56).  One study of 106 women with T2DM receiving metformin during pregnancy compared to insulin alone treatment found a large failure rate of metformin monotherapy (84.9% of metformin only group required addition of insulin), less neonatal hypoglycemia (p=<0.01), less NICU stay >24 hours (p=o.o1), less maternal weight gain (p<0.01), less gestational hypertension (p=0.029); however, SGA infants were more common in the metformin group compared to the insulin only group (p<-0.01) (55).  In a small randomized pilot study of 19 pregnant women with T2DM (8 receiving metformin and 11 receiving insulin), there was no significant difference in glycemic control, NICU stay, cesarean section, need for neonatal dextrose between the two groups (56). The Metformin in Women with Type 2 Diabetes in Pregnancy Trial (MiTy) is currently enrolling pregnant women with T2DM who are on insulin, randomizing them to metformin or placebo, and should be a very helpful in evaluation of maternal and neonatal outcomes (57).

 

INSULIN USE IN PREGNANCY

 

Given lack of long-term safety data on metformin use in pregnancy, the American Diabetes Association (ADA) and American College of Obstetricians and Gynecologists (ACOG) recommend insulin as the first line agent for treatment of diabetes in pregnancy, including preexisting diabetes and GDM (25,26).  Insulin therapy must be individualized for women with preexisting diabetes in pregnancy.

 

Basal Insulin

 

Basal insulin is given 1-2 times daily or via a continuous insulin infusion pump. Although there are less safety data on the use of long-acting insulin analogues in pregnancy, they do appear to be safe. There were early concerns that glargine may have a more pronounced mitogenic effect due to the higher affinity to the IGF-1 receptor. A recent meta-analysis did not demonstrate any difference in maternal or fetal outcomes in pregnancies exposed to glargine vs. NPH (58).  Early case reports raised concern over progression of retinopathy with glargine, however recent studies in the non-pregnant population have not shown this. The efficacy and safety of detemir has been confirmed in a multinational RCT involving 371 women, approximately half of whom were enrolled prior to pregnancy (59,60).  There were no differences in any of the maternal or neonatal outcomes. Overall glycemic control was slightly better with detemir compared to NPH, with lower fasting glucose, less risk of maternal hypoglycemia and slightly reduced A1c levels. There have been no studies looking at safety of newer basal insulins such as degludec (Tresiba), glargine U300 (Toujeo), and the biosimilar glargine (Basaglar). Basal insulin may be provided as two doses of NPH or with one of the long-acting analogues - detemir preferred over glargine. The absence of a peak with glargine and detemir may result in inadequate control of fasting glucoses, which can often be ameliorated by the use of NPH before bedtime to take advantage of its 8-hour peak. The evening dose of NPH usually needs to be moved to bedtime to avoid nocturnal hypoglycemia and prevent fasting hyperglycemia.  A recent study evaluating detemir vs NPH in 108 women with type 2 diabetes during pregnancy found improved neonatal and maternal outcomes with use of detemir. Women using detemir compared to NPH had improved composite outcome of adverse neonatal outcomes, shoulder dystocia, large for gestational age, neonatal intensive care unit stay, respiratory distress, or hypoglycemia as well as improved maternal outcomes, including less hypoglycemia and fewer hypertensive disorders.  Although women with T2DM may sometimes achieve adequate glycemic control with twice-daily injections, perinatal outcomes were better with four times daily compared to twice-daily regimens in both women with T2DM and GDM in a randomized study (61).

 

Bolus Insulin

 

Bolus insulin dosing is provided with short acting insulin with doses calculated based on pre-meal glucose and carbohydrate intake using a correction factor and insulin to carbohydrate ratio (62). For women that do not know how to count carbohydrates, fixed meal-time insulin dosing can be prescribed. Lispro and aspart have been used in multiple trials in pregnancy, and their safety and efficacy are well-established. Lispro and aspart are preferred  to regular insulin due to improvement in postprandial glycemia and reduced hypoglycemia, while fetal outcomes were similar (63,64). Patient satisfaction has also been higher for patients using lispro or aspart compared to regular insulin. There are no data on short acting insulin glulisine, ultra-fast acting aspart, nor the recently FDA approved ultra-fast acting insulin lispro in pregnancy. Lispro or aspart insulin may be especially helpful in women with hyperemesis or gastroparesis because they can be dosed after a successful meal and still be effective. It has been demonstrated that rapid acting insulins may take longer to reach maximal concentrations (49 [37-55] vs 71 [52-108] min) in late gestation (65).  Thus, for some women it may be necessary to take mealtime insulin 15-30 minutes prior to the start of a meal (termed pre-bolusing).

 

CONTINUOUS SUBCUTANEOUS INSULIN INFUSION (CSII) OR INSULIN PUMP THERAPY

 

Many patients with T1DM or long-standing T2DM require multiple daily injections (4-5 injections per day) or an insulin pump to achieve optimal glycemic control during pregnancy. Many women with T1DM use continuous insulin infusion pumps and CGM during pregnancy (66).  CGM will be reviewed in detail below. There have been several studies showing insulin pump use is safe in pregnancy. In a large multicenter trial of women with T1DM during pregnancy, there was improved A1c both in the first trimester as well as in the third trimester and no difference in rates of diabetic ketoacidosis (DKA) or severe hypoglycemia compared to women with T1DM treated with multiple daily injections during pregnancy (67).  Most studies have shown improvement in glycemic control, but not all (68–70).  Most studies have shown similar maternal and perinatal outcomes (71). An analysis of data from 248 women with T1DM enrolled in the Continuous Glucose Monitoring in Women With Type 1 Diabetes in Pregnancy Trial (CONCEPTT) showed that women using MDI therapy versus insulin pump therapy had similar first trimester glycemia but MDI users had lower glycemia at 34 weeks than insulin pump users and were more likely to achieve target A1c. MDI users were more likely to achieve target A1c (p = 0.009 and p = 0.001, respectively).  In this analysis, pump users had lower hypoglycemia fear but increased NICU admissions, neonatal hypoglycemia, and hypertensive disorders compared to MDI users. There are no definitive studies favoring continuous subcutaneous insulin infusion (insulin pump) over multiple daily injections (70,72,73).  RCTs of multiple daily injections versus the insulin pump generally showed equivalent glycemic control and perinatal outcomes. Insulin pumps can be especially useful for patients with nocturnal hypoglycemia, gastroparesis, or a prominent dawn phenomenon(72). 

 

Disadvantages of insulin pump therapy include cost and the risk for marked hyperglycemia or DKA as a consequence of insulin delivery failure from a kinked catheter or from infusion site problems, although rare (74). Patients should be educated on how to quickly recognize and manage insulin pump failure. Therefore, it may be optimal to begin pump therapy before pregnancy due to the steep learning curve involved with its use and the need to continually adjust basal and bolus settings due to the changing insulin resistance in pregnancy. However, in motivated pregnant patients with a multidisciplinary team of diabetes education specialists and pump trainers, insulin pump initiation is safe in pregnancy. Several studies demonstrate the significant changes in bolus more than basal insulin requirements during pregnancy which should be understood to achieve optimal glycemic control (71,75). 

 

A recently published paper on the use of a closed loop pump in pregnancy was very favorable but a pregnancy–specific algorithm was required (76).  There are currently two FDA-approved hybrid closed loop systems on the market in the United States, the Medtronic 670G with recent upgrade to the 770G and the Tandem T-slim X2 with Control IQ technology. Neither semi closed loop system is approved for use in pregnancy, partly due to the lack of large safety trials and that each has an algorithm that fixes the target glucose at higher levels than goal glycemia in pregnancy. With the rise in popularity of these automated insulin pump systems, women are becoming pregnant using these automated insulin pumps and using off label in pregnancy. A discussion needs to occur with their diabetes care team about continuing to use the pump off-label in pregnancy or switching to manual (or non-automated) mode. A case series of three women using the Medtronic 670G in pregnancy in auto mode at varying times and durations has shown some improvement in time in range when in auto mode although the women did not achieve the A1c target in pregnancy (<6%). This case series is too small to evaluate obstetric or neonatal outcomes and highlights the need for larger trials on automated insulin delivery systems in pregnancy. Well-designed randomized clinical trials with appropriate glycemic control outcomes (using CGM) and adequate power to examine obstetric and neonatal outcomes are needed to make strong recommendations regarding the benefits of hybrid closed loop insulin pump therapy in pregnancy. However, recruitment to such trials is challenging. The next generation of closed loop pumps that allow for customized lower targets for pregnancy and are responsive to the fairly rapid changes in insulin sensitivity from week to week are anticipated in the near future (77). There have been few studies evaluating hybrid closed loop insulin delivery systems in pregnancy. A randomized study evaluating hybrid closed loop therapy in women with T1DM during pregnancy vs sensor-augmented pump therapy (SAPT) showed that hybrid closed loop insulin pump therapy achieved a higher percentage of glucose time in range compared to patients using SAPT alone (76). This study included a subset of women who continued closed loop therapy through labor and delivery, and these women achieved a high percentage of glucose in range during hospitalization and delivery. In this study, there were no significant differences in time in hypoglycemic range or adverse outcomes between the hybrid closed loop group and SAPT group. In one study using intermittent blinded CGM in which the information was used by the health care team to adjust insulin treatment, there was improved glycemic control in the third trimester and a reduction in macrosomia rates (78). In another study of intermittent use of real time CGM (where glucose results are simultaneously displayed) there was no improvement of glycemic control or macrosomia (79).

 

With the burgeoning technology options for management of diabetes during pregnancy, research on hybrid closed loop insulin pump technologies during pregnancy is needed. There are currently a couple of studies of hybrid closed loop systems in pregnancy, the Pregnancy Intervention with a Closed Loop System and the Automated Insulin Delivery Among Pregnant women with T1D.

 

Importance of Glycemic Control

 

Failure to achieve optimal control in early pregnancy may have teratogenic effects in the first 3- 10 weeks of gestation or lead to early fetal loss. Poor glycemic control later in pregnancy increases the risk of intrauterine fetal demise, macrosomia, cardiac septal enlargement in the fetus, perinatal death, and metabolic complications such as hypoglycemia in the newborn. Target glucose values for fasting and postprandial times should be discussed with the patient. Current guidelines are that fasting and premeal blood glucose should be <95 mg/dl, the 1 hour postprandial glucose <130-140mg/dl and the 2-hour postprandial glucose <120mg/dl (80).

 

Although a review of the literature suggests that the mean FPG, 1-hour PP, and 2-hour PP +/- 1 SD glucoses are significantly lower in normal weight women in the 3rd trimester (FPG ~71 +/- 8 mg/dl; 1-hour PP ~109 +/- 13 mg/dl; 2-hour PP 99 +/- 10 mg) than current therapeutic targets, (19), no RCTs have been completed to determine whether lowering the therapeutic targets results in more favorable pregnancy outcomes or decreases large for gestation age (LGA). A prospective study in pregnant women with T1DM showed less preeclampsia with glucose targets of fasting <5.1 mmol/L (92 mg/dl), preprandial <6.0 mmol/L (108 mg/dl) and 1 hour postprandial <7.8 mmol/L (140 mg/dl) (81). An A1c should be done at the first visit and every 1-3 months thereafter depending on if at target or not (<6% if possible with minimal hypoglycemia) (25,51).  Additional labs and exams recommended for women with preexisting diabetes during pregnancy are summarized in Table 2.

 

Table 2. Evaluation of Pregnant Women with Preexisting Diabetes

A1c

Initially and every 1 – 3 months

TSH

TSH every trimester if + TPO antibodies

Triglycerides

Repeat if borderline due to doubling in pregnancy

ALT; AST

For evaluation for non-alcoholic fatty liver disease and as baseline

preeclampsia labs

Cr; Urine albumin or protein

If abnormal, obtain 24-hour urine for protein and estimated CrCl Repeat Prot/Cr ratio or 24-hour urine every 1 – 3 months if significant proteinuria or hypertension

Ferritin, B12

Obtain for anemia or abnormal MCV, especially B12 if T1DM DM

Baseline preeclampsia labs

Consider Uric Acid; Obtain CBC with platelet count in addition to AST, ALT, BUN, Cr, 24-hour urine for protein, Cr

EKG

For women ≥35 years or CV risk factors; Consider further evaluation if indicated

Dilated Retinal Exam

Within 3 months of pregnancy or first trimester and repeat evaluation according to risk of progression

 

The risk of maternal hypoglycemia needs to be weighed with the risk of maternal hyperglycemia. Maternal hypoglycemia is common and often severe in pregnancy in women with T1DM.  During the first trimester, before the placenta increases the production of hormones, nausea and increased insulin sensitivity may place the mother at risk for hypoglycemia. Women must be counseled that their insulin requirements in the first trimester are likely to decrease by 10-20% (82). This is especially true at night when prolonged fasting and continuous fetal-placental glucose utilization places the woman at even a higher risk for hypoglycemia. One of the highest risk periods for severe hypoglycemia is between midnight and 8:00 a.m. Pregnant women with diabetes complicated by gastroparesis or hyperemesis gravidarum are at the greatest risk for daytime hypoglycemia. In a series of 84 pregnant women with T1DM, hypoglycemia requiring assistance from another person occurred in 71% of patients with a peak incidence at 10-15 weeks gestation (83).  One third of subjects had a least one severe episode resulting in seizures, loss of consciousness, or injury. There are also data to suggest that the counterregulatory hormonal responses to hypoglycemia, particularly growth hormone and epinephrine, are diminished in pregnancy (84,85). This risk of hypoglycemia may be ameliorated if efforts are made to achieve good glycemic control preconception, by the use of analogue insulins, and with the use of CGM (86,87) Insulin pumps with or without CGM may help achieve glycemic targets without increasing hypoglycemia (67,76,88). 

 

Use of CGM especially with real-time sensor glucose data shared with a partner or loved one has been shown to reduce fear of hypoglycemia in pregnancy. The risk of hypoglycemia is also present in pregnant women with T2DM, but tends to be less so than in women with T1DM (89). The risk of hypoglycemia to the fetus is difficult to study but animal studies indicate that hypoglycemia is potentially teratogenic during organogenesis, which would translate into a gestational age between 3-10 weeks in the human (90). Exposure to hypoglycemia in utero may have long-term effects on the offspring including neuropsychological defects, so intensive efforts must be made to avoid it (90). To help reduce risk of nocturnal hypoglycemia, women with T1DM especially if using NPH insulin may need a small bedtime snack and/or reduce overnight basal insulin doses. The patient should have a glucagon emergency kit and carry easily absorbed carbohydrate with her at all times. Education of patients and care providers to avoid hypoglycemia can reduce the incidence of hypoglycemia unawareness. The incidence of severe hypoglycemia in pregnant women with T1DM can be reduced often without significantly increasing A1c levels and is a priority given hypoglycemic unawareness worsens with repeated episodes and can result in maternal seizures and rarely maternal death (91).

 

By 18-20 weeks of gestation, peripheral insulin resistance increases resulting in increasing insulin requirements so that it is not unusual for a pregnant woman to require 2-3 times as much insulin as she did prior to pregnancy depending on baseline insulin resistance, carbohydrate intake, and body mass index. In a study of 27 women with T1DM on an insulin pump, the carbohydrate-to-insulin ratio intensified 4-fold from early to late pregnancy (e.g. 1 unit for every 20 grams to 1 unit for every 5 grams), and the basal insulin rates increased 50% (71).

 

Glucose Monitoring Timing and Frequency

 

Pregnant women with diabetes must frequently self-monitor their glucose in order to achieve tight glycemic control. Since fetal macrosomia (overgrowth) is related to both the fasting and postprandial glucose excursions, pregnant women with diabetes need to monitor their post-meal and fasting glucoses regularly and women with T1DM or T2DM using a flexible intensive insulin regimen also need to monitor their pre-meal glucoses (92).

 

Postprandial glucose measurements determine if the insulin to carbohydrate ratios are effective in meeting glycemic targets as optimal control is associated with less macrosomia, metabolic complications in the fetus, and possibly preeclampsia (81,93).  Due to the increased risk of nocturnal hypoglycemia with any intensive insulin therapy, glucose monitoring during the night is often necessary given the frequent occurrence of recurrent hypoglycemia and resulting hypoglycemic unawareness with the achievement of tight glycemic control.

 

CONTINUOUS GLUCOSE MONITORING

 

CGM may help identify periods of hyper- or hypoglycemia and certainly confirm glycemic patterns and variability (78,94).  The ADA and ACOG recommend that CGM may be used as adjunctive therapy with self-monitored blood glucose (SMBG) values in pregnancy especially in those with frequent or severe hypoglycemia. In pregnancy, the mean sensor glucose may be better at estimating glycemic control than A1c. For women with T1DM, the International Consensus on Time in Range recommends increasing time in range in pregnancy quickly and safely with a pregnancy goal sensor glucose range of 63 to 140 mg/dl (3.5-7.8 mmol/L) with >70% time in range, <25% time above range (>140 mg/dl [>7.8 mol/L], <4% of time below 63 mg/dl (<3.5 mmol/L), and <1% time below 54 mg/dl (<3 mmol/L). The expert guidance did not recommend time in range goals for patients with T2DM or gestational diabetes due to lack of clear evidence in these populations.

 

CGM has been an advancing technology with tremendous improvements in accuracy, comfort, longer duration, convenience, and insurance coverage over the past decade. Some newer CGM devices are factory calibrated and do not require fingerstick glucose calibrations. There are also flash CGM systems on the market which require scanning of the sensor with a receiver to display the sensor glucose. Although CGM is currently not approved for use during pregnancy, many women with T1DM and some with T2DM use the technology preconception and continue to do so during pregnancy, or are started on CGM during pregnancy off-label. Pregnant women with diabetes may use CGM either in conjunction with an insulin pump or with MDI therapy to help achieve glycemic control. Sensor-augmented pump therapy (SAPT) and hybrid closed loop pump therapy have growing data in pregnancy. The Continuous glucose monitoring in pregnant women with type 1 diabetes (CONCEPTT) trial was a large multicenter trial examined CGM use in women planning pregnancy as well as pregnant women with T1DM using either MDI or insulin pump therapy (94). This study found statistically significantly lower incidence of large for gestational age (LGA) infants, less neonatal intensive care unit stays more than 24 hours, and less neonatal hypoglycemia. This study found a small difference in A1c among the pregnant women using CGM, less time spent in hyperglycemia range, and more time spent in range. Importantly this was the first study to show improvement in non-glycemic outcomes for CGM use in pregnancy (94). A follow-up study to the CONCEPTT trial found that pregnant women using real time CGM compared to capillary glucose monitoring were more likely to achieve ADA and NICE (National Institute of Clinical Excellence) guidelines for A1c targets by 34 weeks gestation.

 

Sensor glucose values from CGM may not be as accurate at extremes of hypo- or hyperglycemia or with rapid changes in glucose, so patients should always check fingerstick glucose if the patient feels the glucose is different than the displayed sensor glucose. CGM values may have a lag time behind actual plasma glucose values.

 

DIABETES MICROVASCULAR AND MACROVASCULAR COMPLICATIONS

 

Women should be up-to-date on screening for complications of diabetes prior to conceiving. Diabetes care providers should discuss risk of progression of complications during pregnancy especially in women with retinopathy and nephropathy.

 

Retinopathy

 

Diabetic retinopathy may progress during pregnancy and throughout the first year postpartum. However, pregnancy does not cause permanent worsening in mild retinopathy (95,96). The cause for progression in moderate and especially severe proliferative retinopathy is likely due to a combined effect of the rapid institution of tight glycemic control, increased plasma volume, anemia, placental angiogenic growth factors, and the hypercoagulable state of pregnancy (97,98). In 179 pregnancies in women with T1DM DM who were followed prospectively, progression of retinopathy occurred in 5% of women. Risk factors for progression were duration of diabetes >10 years (10% versus 0% in the <10-year duration of diabetes group), moderate to severe background retinopathy (30% versus 3.7% in the no or background diabetic retinopathy group), and a trend for those women who had the greatest fall in A1c (97). The risk of progression of retinopathy is most pronounced in women with more severe pre-existing proliferative retinopathy, chronic hypertension, preeclampsia, development of hypertension during pregnancy, and poor glycemic control prior to pregnancy and dilated retinal exams during pregnancy are indicated (99). Proliferative retinopathy may also progress during pregnancy, especially in women with hypertension or poor glycemic control early in pregnancy (100).  Pregnancy can also contribute to macular edema, which is often reversible following delivery (101).

 

Therefore, women with T1DM and T2DM should have ophthalmological assessments before conception. All guidelines recommend that women have a comprehensive eye exam or fundus photography before pregnancy and in the first trimester. Laser photocoagulation for severe non-proliferative or proliferative retinopathy prior to pregnancy reduces the risk of vision loss in pregnancy and should be done prior to pregnancy (26). Women with low-risk eye disease should be followed by an ophthalmologist during pregnancy, but significant vision-threatening progression of retinopathy is rare in these individuals. For vision-threatening retinopathy, laser photocoagulation can be used during pregnancy (101).  Safety of bevacizumab injection during pregnancy is not clear with some case reports of normal pregnancy after bevacizumab injections for macular edema in pregnancy, and other early pregnancy loss following bevacizumab injection. In women with severe untreated proliferative retinopathy, vaginal delivery with the Valsalva maneuver has been associated with retinal and vitreous hemorrhage. Little data exist to guide mode of delivery in women with advanced retinal disease and some experts have suggested avoiding significant Valsalva maneuvers—instead offering assisted second-stage delivery or cesarean delivery (23).

 

Diabetic Nephropathy/Chronic Kidney Disease

 

Microalbuminuria and overt nephropathy are associated with increased risk of maternal and fetal complications (102–105). Although proteinuria increases during pregnancy in women with preexisting nephropathy, those with a normal glomerular filtration rate (GFR) rarely have a permanent deterioration in renal function provided blood pressure and blood glucose are well controlled (106–108). Those with more severe renal insufficiency (creatinine >1.5 mg/dl) have a 30-50% risk of a permanent pregnancy-related decline in GFR (109). Among pregnant women with diabetes, nephropathy significantly increases the risk of preeclampsia which is seen in 35-64% of women with baseline nephropathy and 9-17% of women with diabetes without nephropathy.  Factors which may contribute to worsening nephropathy in pregnancy include the hyperfiltration of pregnancy, increase in protein intake, hypertension, and withdrawal of ACE Inhibitors or ARBs. More stringent control of blood pressure in pregnancy may reduce the likelihood of increasing protein excretion and reduced GFR. In a series of 36 women with T1DM and nephropathy, maternal and obstetric outcomes were strongly dependent on the degree of maternal renal function (110). In women with a creatinine clearance of >80 cc/min, the prematurity rate was 19% and the mean birth weight was 2670 grams in comparison to women with a creatinine clearance of 30-80 cc/min in whom 60% of the infants were premature and the mean birth weight was only 1640 grams. Overall, ~50% of the patients developed nephrotic range proteinuria, 97% of the patients required antihypertensive treatment, and 20% of the children had neurodevelopmental delays. In normal pregnancy, urinary albumin excretion increases up to 30 mg/day and total protein excretion increases up to 300 mg/day. Women with pre-existing proteinuria often have a significant progressive increase in protein excretion, frequently into the nephrotic range, in part due to the 30-50% increase in GFR that occurs during pregnancy.

 

Prior to conception, women should be screened for chronic kidney disease. Dipstick methods are unreliable and random urine protein/creatinine ratios are convenient but not as accurate as methods to carefully quantify proteinuria using 24-hour urine excretions in pregnancy. There have not been studies looking at spot urine albumin to creatinine ratio versus 24-hour urine protein assessment in pregnant women with diabetes. In hypertensive pregnant women, one study found that the spot urine albumin to creatinine ratio had higher diagnostic accuracy than 24-hour urine protein assessment (111). It is reasonable to collect a spot urine albumin to creatinine ratio in patients who have not followed through with collection of 24-hour urine specimens.

 

There is conflicting information on whether first-trimester exposure to ACE inhibitors and ARBs is associated with an increased risk of congenital malformations. A meta-analysis, limited by small study size (786 exposed infants), demonstrated a significant risk ratio (relative risk [RR] 1.78, 95% confidence interval [CI] 1.07–2.94) for increased anomalies in infants exposed to first-trimester ACE inhibitors and ARBs compared to the normal population (112). However, the increased risk of congenital anomalies appears to be more related to hypertension itself, rather than drug exposure. There was no statistically significant difference (RR 1.41, 95% confidence interval (CI) 0.66–3.04) when ACE inhibitor and ARB exposed pregnancies were compared to other hypertensive pregnancies. A large cohort study of women with chronic hypertension including over 4100 pregnant women exposed to ACE inhibitors during the first trimester of pregnancy found no significant increase in major congenital anomalies (113).  Exposure in the second and third trimesters is clearly associated with a fetal renin-angiotensin system blockade syndrome, which includes anuria in the 2nd and 3rd trimester, which may be irreversible. However, one recent case report of a pregnant women with anhydramnios who had ARB exposure at 30 weeks’ gestation had normalization of amniotic fluid volume after cessation of the medication. Furthermore, there were no apparent renal abnormalities at birth or 2 year follow up (114). Women who are taking ACE-inhibitors or ARBs should be counseled that these agents are contraindicated in the 2nd and 3rd trimester of pregnancy. Women who are actively trying to get pregnant should be switched to calcium channel blockers (such as nifedipine or diltiazem), methyldopa, hydralazine, or selected B-adrenergic blockers such as labetalol.

 

Women who are considering pregnancy but not likely to become pregnant in a short time and who are receiving renal protection from ACE inhibitors or ARBs due to significant underlying renal disease can be counseled to continue these agents. However, they should closely monitor their menstrual cycles and stop these agents as soon as pregnancy is confirmed.

 

Women with severe renal insufficiency should be counseled that their chances for a favorable obstetric outcome may be higher with a successful renal transplant. Women with good function of their renal allografts who have only mild hypertension, do not require high doses of immunosuppressive agents, and are 1-2 years out from their renal transplant have a much better prognosis than women with severe renal insufficiency and who are likely to require dialysis during pregnancy. Successful pregnancy outcomes have been reported in 89% of these successful renal transplant patients (115). Timing of conception in relation to transplant is controversial and should be individualized. Pre-pregnancy graft function can help predict risk of adverse pregnancy outcomes, especially preeclampsia, and postpartum graft function (116).

 

Cardiovascular Disease

 

Although infrequent, cardiovascular disease (CVD) can occur in women of reproductive age with diabetes. The increasing prevalence of T2DM with associated hyperlipidemia, hypertension, obesity, advanced maternal age, and inflammation is further increasing the prevalence of CVD. CVD most often occurs in women with long-standing diabetes, hypertension, and nephropathy (117). Because of the high morbidity and mortality of coronary artery disease in pregnancy, women with pre-existing diabetes and cardiac risk factors such as hyperlipidemia, hypertension, smoking, advanced maternal age (>35), or a strong family history should have their cardiac status assessed with functional testing prior to conception (51,118). There are limited case reports of coronary artery disease events during pregnancy, but with the increased oxygen demand from increased cardiac output, events do occur and need to be treated similarly to outside of pregnancy, trying to minimize radiation exposure to the fetus (117,119,120).  In a recent study of 79 women with history of coronary artery disease prior to pregnancy of which 22.8% had preexisting diabetes, there were low rates of cardiac events during pregnancy in all women with and without diabetes but more frequent poor obstetric and neonatal outcomes including small for gestational age, preeclampsia, and preterm delivery. This study confirms the need for preconception counseling and cardiac testing for women with risk of or known coronary artery disease.

 

Due to the increased cardiac output of pregnancy, decrease in systemic vascular resistance, and increase in oxygen consumption, the risk of myocardial ischemia is higher in pregnancy. Myocardial oxygen demands are even higher at labor and delivery, and activation of catecholamines and stress hormones can cause myocardial ischemia. Coronary artery dissection is also more common in pregnancy and typical chest pain should be appropriately evaluated. An EKG should be considered preconception for any woman with diabetes older than 35 years (23). Women with longstanding diabetes and especially those with other risk factors for coronary artery disease (hyperlipidemia or hypertension) should be evaluated for asymptomatic coronary artery disease before becoming pregnant. Women with atypical chest pain, significant dyspnea, or an abnormal resting EKG should also have a cardiology consultation for consideration of a functional cardiac stress test before pregnancy. Statins should be discontinued before conception since there is inadequate data about their safety during pregnancy. However, if a woman has severe hypertriglyceridemia with random TG >1000 or fasting >400, placing her at high risk for pancreatitis, it may be necessary to continue fibrate therapy if a low-fat diet, fish oil, or niacin therapy is not effective or tolerated. Triglycerides typically double to quadruple in pregnancy placing women at high risk for this condition. There is inadequate data on the use of ezetimibe in pregnancy. (See Endotext chapter on Lipid and Lipoproteins during Pregnancy).

 

Neuropathy

 

There are limited data on diabetic neuropathy during pregnancy. Neuropathy may manifest as peripheral neuropathy, gastroparesis, and cardiac autonomic neuropathy. Gastroparesis may present as intractable nausea and vomiting, and it can be particularly difficult to control both the symptoms and glucoses in women with gastroparesis during pregnancy. For patients with gastroparesis, timing of insulin delivery in relation to the meal needs to carefully be weighed against the risk of hypoglycemia as discussed previously.

 

DIABETES AND AUTOIMMUNE DISORDERS

 

Associated Autoimmune Thyroid Disease

 

Up to 30-40% of young women with T1DM have accompanying thyroid disease, and women with T1DM have a 5-10% risk of developing autoimmune thyroid disease first diagnosed in pregnancy (most commonly Hashimoto's thyroiditis) (121). TSH should be checked prior to pregnancy since the fetus is completely dependent on maternal thyroid hormone in the first trimester (122,123). Women with positive TPO antibodies should have their TSH checked each trimester (Table 2) since the demands of pregnancy can unmask decreased thyroid reserve from Hashimoto’s thyroiditis. Thyroid hormone requirements increase by 30-50% in most pregnant women, often early in pregnancy due to increase in thyroid binding globulin stimulated by estrogen. For most women on thyroid hormone replacement prior to pregnancy, the American Thyroid Association (ATA) and ACOG recommend TSH be within the trimester-specific reference range for pregnancy at a particular lab, or if not provided, preconception and first trimester TSH <2.5 mU/L and second and third trimester TSH goals <3 mU/L, and thyroid hormone replacement should be adjusted to achieve these goals (124,125). For diagnosis of hypothyroidism during pregnancy, recent recommendations from the ATA recommend new reference ranges for TSH during pregnancy and screening in women with history of T1DM each trimester with reference range being 0.4 from the lower limit of the nonpregnant TSH reference range and 0.5 from the upper non-pregnant range which results in a new TSH range of ~0.1-4mUl/L(124,126). This recommendation is based on the TSH range in pregnant women in the Maternal Fetal Medicine Units Network, and there was no benefit in treating women with levothyroxine with TSH <4.

 

Other Autoimmune Conditions

 

Other autoimmune conditions are also more common among women with T1DM compared to women without T1DM. Celiac disease has been estimated to have a prevalence of 3-9% in individuals with T1DM and is more common among females than males (127,128). This can often lead to vitamin D deficiency and iron deficiency and it is reasonable to screen women with T1DM for vitamin D deficiency in pregnancy if they have not been previously screened.  Autoimmune gastritis and pernicious anemia are also more common among individuals with T1DM than patients without diabetes with prevalence approximating 5-10% and 1-3%, respectively (129). Addison’s disease is also seen in 0.5-1% of patients with T1DM (129).

 

DIABETIC KETOACIDOSIS IN PREGNANCY

 

Pregnancy predisposes the mother to accelerated starvation with enhanced lipolysis, which can result in ketonuria after an overnight fast. DKA may therefore occur at lower glucose levels (~200 mg/dl or ~11 mmol/l), often referred to as "euglycemic DKA" of pregnancy, and may develop more rapidly than it does in non-pregnant individuals (130,131). Up to 30% of episodes of DKA in pregnant women with diabetes have occurred with glucose values <250 mg/dl (13.9 mmol/L).  Women also have a lower buffering capacity due to the progesterone-induced respiratory alkalosis resulting in a compensatory metabolic acidosis. Furthermore, euglycemic DKA is not uncommon in pregnancy due to increased propensity to ketosis in pregnant women and glomerular hyperfiltration in pregnancy which causes glycosuria at lower serum glucoses. Any pregnant woman with T1DM with unexplained weight loss or unable to keep down food or fluids should check urine ketones at home and if positive, a chemistry panel should be ordered to rule out an anion gap even if the maternal glucose is <200 mg/dl. It should also be recommended to check urine ketones with any glucose >200 mg/dL.

 

Maternal DKA is associated with significant risk to the fetus and poor neonatal outcomes including morbidity and mortality.  Cardiotography of the fetus during maternal DKA suggests fetal distress (as evidenced by late decelerations) and in one study improved with correction of maternal acidosis. In a study of 20 consecutive cases of DKA, only 65% of fetuses were alive on admission to the hospital (131). Once the patient was hospitalized and treated, the risk of fetal loss declined dramatically. Risk factors for fetal loss included DKA presenting later in pregnancy (mean gestational age 31 weeks versus 24 weeks); glucose > 800 mg/dl; BUN > 20 mg/dl; osmolality > 300 mmol/L; high insulin requirements; and longer duration until resolution of DKA. The fetal heart rate must be monitored continuously until the acidosis has resolved. There was no maternal mortality in this small series. In another case series of DKA in pregnancy, almost all women presented with nausea and vomiting (97%) and the majority had improvement of hyperglycemia to <200 mg/dL within 6 hours of admission and resolution of acidosis within 12 hours (132). Causes of DKA in pregnancy vary widely with infection less common as a precipitant (133). Of the infectious causes, pyelonephritis was the most common. However, there is often no precipitant other than emesis in the pregnant woman who can develop starvation ketosis very quickly. In a series of 37 pregnant women with DKA, emesis alone accounted for 42% of the cases (60% of these women had gastroparesis), and 17% were non- compliant with prescribed insulin dosing. Beta agonist therapy, insulin pump failure, infection, undiagnosed pregnancy, and new onset diabetes each accounted for 8% of the cases.

 

Prolonged fasting is a common precipitant for DKA and it has been shown that even women with GDM can become severely ketotic if they are given B-mimetic tocolytic medications or betamethasone (to accelerate fetal lung maturity) in the face of prolonged fasting (134). It is imperative to remember that the pregnant woman unable to take glucose orally requires an additional 100-150 grams of intravenous glucose to meet the metabolic demands of the pregnancy in the 2nd and 3rd trimester. Without adequate carbohydrate (often a D10 glucose solution is needed), fat will be burned for fuel and the patient in DKA will remain ketotic. Diabetic ketoacidosis carries the highest risk of fetal mortality in the third trimester thought in part due to the extreme insulin resistance in these patients and insulin requirements to treat DKA that are nearly twice as high as in the second trimester (131).

 

HYPERTENSIVE DISORDERS IN PREGNANCY

 

Individuals with pregestational diabetes are at increased risk of complications of pregnancy secondary to hypertensive disease (51,135).  Serum creatinine, AST, ALT, and platelets as well as proteinuria (24-hour collection or random protein to creatinine ratio) should be collected as early as possible in pregnancy to establish a baseline and provide counseling on risks associated with significant proteinuria or renal failure. The updated ACC/AHA categorization of normal and abnormal blood pressure ranges outside of pregnancy have not been adopted in the obstetric population (136).  Normal blood pressure values in pregnancy are defined as <140/90 mmHg; blood pressures ≥160/110 mmHg are considered severely elevated and warrant prompt treatment for maternal stroke prevention (137).

 

Although outside of pregnancy achieving a BP < 120/80 is renal-protective, there are no prospective trials that have demonstrated that achieving this goal improves pregnancy outcomes. Emerging evidence does suggest some elevated risk of preeclampsia, gestational diabetes, low birth weight, and preterm birth with increasing blood pressures >140/90 mmHg (138,139).   Establishing blood pressure thresholds at which treatment should be initiated remains challenging due to the competing interests of the mother and fetus (137,140).  Relative hypotension increases the risk for poor uteroplacental perfusion and fetal growth restriction, while poorly controlled hypertension is associated with increased risk of stroke, placental abruption and preterm delivery (141–143). 

 

Among individuals with pregestational diabetes and pregestational (chronic or essential) hypertension, blood pressure treatment should be continued or initiated and titrated with a goal value of ~135/85 mmHg (108).  A lower goal of 120/80 mmHg should be achieved in the setting of diabetic nephropathy (108).  Women with diabetic nephropathy are at extremely high risk of developing preeclampsia which often leads to intrauterine growth restriction and prematurity. Even women with microalbuminuria are at a higher risk of preeclampsia than women without microalbuminuria.  Blood pressure control is imperative to try to minimize the deterioration of renal function. Preferred anti-hypertensive agents in pregnancy include calcium channel blockers (Nifedipine, Amlodipine), select beta-blockers (Labetalol), and alpha-2 agonists (Methyldopa) (137).  ACE-inhibitors and ARBs are contraindicated in all trimesters of pregnancy and diuretics are reserved for the treatment of pulmonary edema due to concerns that further decreasing the intravascular volume with diuretics could further compromise tissue and placental perfusion. All classes of hypertensive agents are safe in lactating mothers in the postpartum period (144).

 

After 20-24 weeks gestation, elevated blood pressure should prompt evaluation for preeclampsia. The etiology and pathophysiology of preeclampsia continues to be incompletely characterized, though evidence strongly suggests the microvascular disease may begin early in pregnancy at the time of implantation and manifest in the second or third trimesters (137,145). As a result, treatment of elevated blood pressure has not been shown to prevent preeclampsia. Since 2014, the US Preventative Task Force recommends low dose aspirin (81 mg) daily after 12 weeks’ gestation for those at high risk of preeclampsia who do not have a risk or contraindication to aspirin use (137,146,147). High risk factors include pregestational diabetes, chronic hypertension, history of preeclampsia, renal disease and should prompt low-dose aspirin initiation in the second trimester; ≥2 moderate risk factors such as nulliparity, obesity, age ≥35, family history of preeclampsia, or personal socioeconomic or poor obstetric history should also prompt use of low-dose aspirin (146,147). 

 

FETAL SURVEILLANCE

 

Maternal hyperglycemia has temporal effects on the developing pregnancy based on gestational age at exposure (6,51,148).  Hyperglycemia around the time of conception and early pregnancy is associated with increased risk of miscarriage, congenital anomalies, with cardiac malformations being most common, as well as placental dysfunction related to “end-organ damage” which could lead to growth-restricted fetuses (6). An early dating ultrasound in the first trimester is recommended to confirm gestational age of the fetus and to coordinate detailed anatomic survey at 18-20 weeks gestation. A fetal echocardiogram should be offered at 20-22 weeks if the A1c was elevated (>6.5-7.0) during the first trimester (148).

 

Later in pregnancy, hyperglycemia is associated with excessive weight gain in the fetus, with abdominal circumference and shoulder girth primarily measuring larger than expected for gestational age (149–151).  Consideration can be made for serial ultrasound evaluation of fetal growth if there is suspicion of abnormal growth, though at minimum, a growth ultrasound in the third trimester should be performed (51).  Serial ultrasounds are used to monitor growth and if the estimated fetal weight is less than the 10th percentile (small for gestational age (SGA)), umbilical artery Doppler velocimetry as an adjunct antenatal test is recommended to estimate the degree of uteroplacental insufficiency, predict poor obstetric outcome and assist in determining the optimal timing of delivery (152).

 

The association of pregestational diabetes and increased risk for stillbirth was documented as early as the 1950s, leading to a historical practice of intense monitoring with weekly contraction stress test and fetal lung maturity testing prior to delivery (153). Data emerged identifying congenital anomalies as a key factor in stillbirth; with increased focus on improved glycemic control in early pregnancy, stillbirth rates were reduced significantly (154,155).  Contemporary practice typically consists of non-stress testing 1-2 times per week, with or without biophysical profile testing, with initiation around 32 weeks gestation (156).  However, due to the increased risk of uteroplacental insufficiency and intrauterine fetal demise in patients with longstanding T1 DM, especially in those women with microvascular disease, diabetic nephropathy, hypertension, or evidence of poor intrauterine growth, fetal surveillance may be recommended earlier. While comorbidities such as poor glycemic control, vascular complications, hypertension, or nephropathy have a summative effect on risk for perinatal complications, antenatal testing is recommended for all patients with pregestational diabetes (156).  A positive correlation between HbA1c and stillbirth is observed- the higher the HbA1c >6.5%, the higher the risk (157,158). Fetal hypoxia and cardiac dysfunction secondary to poor glycemic control are probably the most important pathogenic factors in stillbirths among pregnant women with diabetes (159).

 

LABOR AND DELIVERY

 

Delivery management and the timing of delivery is made according to maternal well-being, the degree of glycemiccontrol, the presence of diabetic complications, growth of the fetus, evidence of uteroplacental insufficiency, and the results of fetal surveillance (160). A third trimester anesthesia consultation should be considered in the setting of concerns about cardiac dysfunction or ischemic heart disease, pulmonary hypertension from sleep apnea, hypertension, thromboembolic risks, potential desaturation while laying supine in women with severe obesity, or the possibility of difficult epidural placement or intubations.

 

Optimal delivery timing in the setting of pregestational diabetes requires a balance of perinatal risks, typically stillbirth versus risks of prematurity. In general, patients with reassuring fetal monitoring can continue a pregnancy until 39 weeks gestation, though expectant management beyond the estimated due date is not advised (161). Concurrent medical complications of mother or fetus may take precedent and require consideration for delivery prior to 39 weeks (161).  When late preterm delivery is necessary, it should not be delayed for administration of corticosteroids for fetal lung maturity, as this practice has not been evaluated in pregnancies complicated by pregestational diabetes, and neonatal hypoglycemia may result (162). 

 

With regards to route of delivery, a vaginal delivery is preferred for women with diabetes due to the increased maternal morbidity of cesarean delivery such as infection, thromboembolic disease, and longer recovery time. Nevertheless, when the estimated fetal weight is >4500g in the setting of diabetes, an elective cesarean delivery may be offered (163).

 

The target range for glycemic control during labor and at the time of delivery is 70-125 mg/dL; maintenance in this physiologic range aims to reduce to risk of neonatal hypoglycemia (164).  To achieve this goal, most women with preexisting diabetes require management with an insulin drip and a dextrose infusion, though laboring individuals can eat and continue their home insulin regimen prior to admission. Ideally scheduled cesarean deliveries will occur in the morning, so that patients can simply reduce their morning long-acting insulin dosing by half on the day of surgery, though consideration can be made to skip it in a patient with well controlled T2DM who hadn’t required medication prior to pregnancy. An individual being admitted for scheduled induction of labor can be instructed to reduce long-acting insulin dosing for both the night before and morning of the induction (165).  Once the patient is eating, the insulin drip can be discontinued and subcutaneous insulin resumed. Alternative management options include ongoing use of insulin pump or subcutaneous insulin, though both often pose logistic challenges due to the unpredictable length of labor. Prevention of neonatal hypoglycemia must be weighed against risk of maternal hypoglycemia during labor.

 

With the delivery of the placenta, insulin requirements drop in an acute and dramatic fashion, with most womenneeding roughly 10-30% less than their pre-pregnancy insulin doses or 1/2 to 1/3 of their third trimester insulindosages; some women require no insulin for the first 24-48 hours (164). A glucose goal of 100-180 mg/dl postpartum seems prudent to avoid hypoglycemia given the high demands in caring for an infant and especially in nursing women as the increased caloric demands of lactation are known to reduce insulin requirements.

 

Immediate Risks to Newborn

 

The immediate neonatal period is characterized by the transition from in-utero to independent physiology, with unique risks in neonates born to individuals with diabetes.  Glycemic control throughout the entire gestation as well as in the hours before birth both influence this transition. As previously described, hyperglycemia early in pregnancy may result in congenital anomalies, such as cardiac anomalies, which complicate the transition to post-natal circulation. Glycemic control in the second and third trimester may result in a macrosomic infant with increased adiposity in the shoulders and abdomen. And finally, hyperglycemia during labor exacerbates the adjustment of the neonatal pancreas when glucose delivery via the placenta abruptly ceases.

 

Even with aggressive management of diabetes, the incidence of neonatal complications ranges from 12-75% (166) In a large analysis of nearly 200,000 neonates, severe neonatal morbidity was increased in neonates born to women with pregestational diabetes compared to those with gestational diabetes or no diabetes at an odds ratio of 2.27 and 1.96 respectively (167).  Driving this relationship was the increased risks of respiratory distress syndrome, mechanical ventilation, and neonatal death (167).  Additionally, neonates were more likely to be large for gestational age and require neonatal intensive care unit admission (167).  In the setting of poor glycemic control, respiratory distress syndrome may occur in up to 31% of infants due to known insulin antagonism of cortisol on fetal pneumocytes and surfactant production (168). The estimated odds ratio between pregestational diabetes and neonatal respiratory distress syndrome is 2.66 (169). With extremely poor glucose control, there is also an increased risk of fetal mortality due to fetal acidemia and hypoxia. One study found higher rates of neonatal hypoglycemia in women managed with continuous insulin infusion pump during pregnancy compared to multiple daily injection therapy, although confounders including early maternal BMI and duration of an insulin infusion play a role (170).

 

Macrosomia places the mother at increased risk of requiring a cesarean section and the infant at increased risk for shoulder dystocia. Shoulder dystocia can result in Erb’s palsy, Klumpke palsy, clavicular and humeral fractures, and hypoxic ischemic encephalopathy, with overall neonatal injury rate of 5.2% (171,172). Shoulder dystocia occurs nearly 20% of the time when a 4500-gram infant is delivered vaginally. Nevertheless, shoulder dystocia remains challenging to predict, with 60% of shoulder dystocias occur in neonates weighing <4000g (173). There are a number of conflicting studies regarding induction versus cesarean section for suspected macrosomia (174–176).  A large RCT performed in France, Switzerland, and Belgium compared induction of labor at 39 weeks gestation to expectant management among individuals with LGA fetuses, though insulin-dependent diabetes was an exclusion factor (176).  Induction of labor was associated with a significant reduction in the composite primary outcome (significant shoulder dystocia, fracture of the clavicle or long bone, brachial plexus injury, intracranial hemorrhage, or neonatal death), with a RR of 0.32 (95% CI 0.15-0.71)(176). While a small but significant difference in spontaneous vaginal delivery was noted between groups, rates of operative vaginal delivery and cesarean deliveries were not significantly different (176). Current guidelines from ACOG do not recommend delivery prior to 39 weeks for suspected macrosomia (177).

 

POSTPARTUM CARE AND CONCERNS FOR PREGESTATIONAL DIABETES

 

The postpartum care for mothers with diabetes should include counseling on a number of critical issues including maintenance of glycemic control, diet, exercise, weight loss, blood pressure management, breastfeeding, contraception/future pregnancy planning, and postpartum thyroiditis (for T1 DM). It has been demonstrated that the majority of women with pre-existing diabetes, even those who have been extremely adherent and who have had optimal glycemic control during pregnancy, have a dramatic worsening of their glucose control after the birth of their infant (178,179). Unfortunately, individuals utilizing public insurance often lose access as early as 6 weeks postpartum. Historically, the postpartum period has been relatively neglected, as both the new mother and her physician relax their vigilance. However, this period offers a unique opportunity to institute health habits that could have highly beneficial effects on the quality of life of both the mother and her infant and potentially achieve optimal glycemic control prior to a subsequent pregnancy.

 

Home glucose monitoring should be continued vigilantly in the postpartum period because insulin requirements drop almost immediately and often dramatically at this time, increasing the risk of hypoglycemia. Women with T1DM often need to decrease their third trimester insulin dosages by at least 50%, often to less than pre-pregnancy doses, immediately after delivery; they may have a "honeymoon" period for several days in which their insulin requirements are minimal. Some estimates of insulin requirements postpartum suggest that women may require as little as 60% of their pre-pregnancy doses, and requirements continue to be less than pre- pregnancy doses while breastfeeding (180). For women on an insulin pump, the postpartum basal rates can be discussed and preprogrammed prior to delivery to allow a seamless transition to the lower doses following delivery (181). If well controlled prior to pregnancy, pre- pregnancy insulin delivery settings can serve as an excellent starting point for the postpartum period, with an expected decrease in basal rates by 14% and increase in carb ratios by 10% (181).

 

Women with T1DM have been reported to have a between 3-25% incidence of postpartum thyroiditis (182). Hyperthyroidism can occur in the 2–4-month postpartum period and hypothyroidism may present in the 4–8-month period. Given the significance of this disorder, a TSH measurement should be offered at 3 and 6 months postpartum and before this time if a patient has symptoms (124).

 

Breastfeeding

 

Both the benefits of breastfeeding- and conversely, the risks of failing to do so- are profound and well documented for both mother and child (183).  Pregestational diabetes and obesity have been identified as an independent risk factors for low milk supply, raising the question whether the metabolic milieu during lactogenesis I in mid-pregnancy or during the transition to lactogenesis II and III after delivery may be contributing (184).  Additional challenges emerge at the time of delivery, with considerable separation of mothers and infants due to NICU admission and treatment for prematurity, respiratory distress syndrome, and hyperglycemia (167).  Dyads can be set up for success with policies and procedures that encourage antenatal colostrum collection, early initiation of pumping if unable to directly breastfeed, and ample lactation consultant support. Women with both T1 DM and T2DM have lower rates of breastfeeding despite good intentions (185,186).  When women have stopped breastfeeding, most stop due to low milk supply rather than diabetes specific reasons (187).

 

When individuals with diabetes are successful in breastfeeding their infants, benefits include reduction in postpartum weight retention and reduced risk for obesity and insulin resistance in offspring(188). Conflicting data exists on the relationship between breastfeeding and the incidence of type 1 diabetes in offspring of women with pregestational diabetes, though breastmilk induction at the time of complementary food introduction is linked to reduced risk of islet autoimmunity and type 1 diabetes (189,190).

 

Additional considerations must be made for individuals with Type 2 diabetes as they consider oral agents in the postpartum period. Acceptable levels of metformin have been identified in breastmilk, rendering it a safe medication for lactating women (191,192). A small study suggested that glyburide and glipizide do not appreciably cross into breast mild and may be safe (193). There are no adequate data on the use of thiazolidinediones, meglitinides, or incretin therapy in nursing mothers.

 

Statins should not be started if the woman is nursing due to inadequate studies in breastfeeding mothers. Women who are candidates for an ACE-inhibitor can be started on one of these agents at this time as they have not been shown to appear significantly in breast milk (144).

 

CONTRACEPTION

 

Starting at puberty, it is recommended to provide women with diabetes preconception counseling including discussion of options for contraceptive use based on the Medical Eligibility Criteria (MEC) according to WHO and CDC (7,194).  Counseling on contraceptive choices should be patient-centered and focused on the short- and long-term reproductive goals of the patient, taking into consideration the alternative-no contraception- and associated individualized risks of carrying a pregnancy to term. A meta-analysis found that low-income women with diabetes had low rates of postpartum birth control and more often were offered permanent contraception rather than reversible options (195).

 

Taken in isolation, a diagnosis of diabetes without vascular complications is compatible with all hormonal and non-hormonal contraception options: copper intrauterine device, levonorgestrel-releasing IUD, progestin implant, depo medroxyprogesterone acetate, progestin only pills, and combined estrogen-progestin methods (194). Evidence of vascular disease is a contraindication to combined hormonal contraception and depo medroxyprogesterone acetate (194).  A large study recently found an overall low risk of venous thromboembolism among women with T1DM and T2DM (196). Concurrent conditions and habits such as poorly controlled hypertension, hypertriglyceridemia, or smoking increase the risk of venous thromboembolic events (197). Systematic reviews failed to find sufficient evidence to assess whether progestogen-only and combined contraceptives differ from non-hormonal contraceptives in diabetes control, lipid metabolism, and complications in women with pre-existing diabetes (198,199).

 

Long-acting reversible contraception (LARC) methods lasting 3-10 years include copper and hormonal intrauterine devices as well as progestin implants. There is no increase in pelvic inflammatory disease with the use of intrauterine devices in women with well controlled T1DM or T2DM after the post-insertion period. Immediate postpartum implants and IUDs are becoming increasingly available to patients who desire LARCs, and are effective in spacing pregnancies in high risk populations (200).  For women who have completed childbearing and desire permanent sterilization, laparoscopic methods are safe and effective (201).

 

OBESITY IN PREGNANCY

 

Obesity alone or accompanied by Type 1 diabetes (T1DM), Type 2 diabetes (T2DM) or gestational diabetes (GDM) carries significant risks to both the mother and the infant, and obesity is the leading health concern in pregnant women (202–204). By the most recent NHANES statistics in women over age 20, 57% of black women, 44% of Hispanic or Mexican American women, and 40% of white women are obese (205).  Independent of preexisting diabetes or GDM, obesity increases the maternal risks of hypertensive disorders, non-alcoholic fatty liver disease (NAFLD), proteinuria, gall bladder disease, aspiration pneumonia, thromboembolism, sleep apnea, cardiomyopathy, and pulmonary edema (203,206). In addition, it increases the risk of induction of labor, failed induction of labor, cesarean delivery, multiple anesthesia complications, postoperative infections including endometritis, wound dehiscence, postpartum hemorrhage, venous thromboembolism, postpartum depression, and lactation failure. Maternal obesity independently increases the risk of first trimester loss, stillbirth, recurrent pregnancy losses, and congenital malformations including central nervous system (CNS), cardiac, and gastrointestinal defects and cleft palate, shoulder dystocia, meconium aspiration, and impaired fetal growth including macrosomia. Most significantly, obesity increases the risk of perinatal mortality (202). Because so many women with T2DM are also obese, all of these complications increase the risk of poor pregnancy outcomes in this population. The majority (50-60%) of women who are overweight or obese prior to pregnancy gain more than the recommended amount of gestational weight by the Institute of Medicine guidelines (207,208). This results in higher weight retention postpartum and higher pre-pregnancy weight for subsequent pregnancies.

 

Obesity is an independent risk factor for congenital anomalies including spina bifida, neural tube defects, cardiac defects, cleft lip and palate, and limb reduction anomalies (209).  Several reports have demonstrated an association of maternal BMI with neural tube defects and possibly other congenital anomalies (210). One study concluded that for every unit increase in BMI the relative risk of a neural tube defect increased 7% (210). In addition to an increased anomaly risk with maternal obesity, it is well known that detection of fetal anomalies in first and second trimester isreduced by 20% due to difficulty in adequate visualization in the setting of maternal obesity (211,212). There is conflicting evidence on the role of folic acid in these obesity-associated congenital anomalies (213–216).

 

Obese women with normal glucose tolerance on a controlled diet have higher glycemic patterns throughout the day and night by CGM compared to normal weight women both early and late in pregnancy (217, 218,219) The glucose area under the curve (AUC) was higher in the obese women both early and late in pregnancy on a controlled diet as were all glycemic values throughout the day and night. The mean 1-hour postprandial glucose during late pregnancy by CGM was 115 versus 102 mg/dl in the obese and normal weight women respectively and the mean 2-hour postprandial values were 107 mg/dl versus 96 mg/dl, respectively, both still much lower than current therapeutic targets (<140 mg/dl at 1 hour; < 120 mg/dl at 2 hours).

 

Women with Class III obesity (BMI>40) actually have improved pregnancy outcomes if they undergo bariatric surgery before becoming pregnant given such surgery decreases insulin resistance resulting in less diabetes, hypertension, and macrosomia compared to those who have not had the surgery (218,219). In any woman who has had prior bariatric surgery, it has been shown in systematic review to reduce the rate of gestational diabetes and preeclampsiain future pregnancies, however many studies are confounded given 80% of patients post bariatric surgery remain obese (220),. Following bariatric surgery, pregnancy should not be considered for 12-18 months post-operatively and after the rapid weight loss phase has been completed. Close attention to nutritional deficiencies must be maintained, especially with fat soluble vitamins D and K as well as folate, iron, thiamine, and B12. In a study of a cohort of infants born to obese women who had bariatric surgery, the offspring had improved fasting insulin levels and reduced measures of insulin resistance compared to siblings born prior to bariatric surgery (221). 

 

MEDICAL NUTRITION THERAPY, EXERCISE AND WEIGHT GAIN RECOMMENDATIONS FOR WOMEN WITH DIABETES OR OBESITY

 

Currently, there is no consensus on the ideal macronutrient prescription for pregnant women or women with GDM, and there is concern that significant restriction of carbohydrate (33- 40% of total calories) leads to increased fat intake given protein intake is usually fairly constant at 15-20% (26,80,222). It is also important to asses intake along with energy requirements which is known to increase in pregnancy by approximately 200, 300, and 400 kcal/d in the first, second, and third trimesters, respectively, but these values vary depending on BMI, total energy expenditure, and physical activity (223). Women with pre-existing diabetes and GDM should receive individualized medical nutrition therapy (MNT) as needed to achieve treatment goals.

 

Pregravid BMI should be assessed and gestational weight gain (GWG) recommendations

should be consistent with the current Institute of Medicine (IOM) weight gain guidelines (See Table 3) due to adverse maternal, fetal and neonatal outcomes (224). However, there are many trials which support no weight gain for women with a BMI of ≥30 kg/m2 with improved pregnancy outcomes and the lack of weight gain or even modest weight loss, did not increase the risk for small for gestational age (SGA) infants in the obese cohort. Further, targeting GWG to the lower range of the IOM guidelines (~11 kg or 25 lbs. for normal weight women; ~7 kg or 15 lbs. for overweight women; and 5 kg (11 lbs.) for women with Class 1 obesity (BMI 30-34 kg/m2).9 kg/m2) has been shown in many trials to decrease the risk of preeclampsia, cesarean delivery, GDM, and postpartum weight retention (225). This is an increasing public health concern given risks of excessive weight gain (greater than IOM recommendations) including cesarean deliveries, post-partum weight retention for the mother, large for gestational age infants, macrosomia, and childhood overweight or obesity for the offspring (223). Obese women are at increased risk of venous thromboembolism postpartum, and this risk is augmented in those who have had a cesarean section, resulting in ACOG’s recommendation for pneumatic sequential compression devices for those who have had cesarean section (226–228). 

 

TABLE 3. Institute of Medicine Weight Gain Recommendations in Singleton Pregnancy

BMI

Total weight gain

(lbs.)

2nd/3rd trimester rate of weight gain

(kg/week)

Low (<19.8 kg/m2)

28-40

1.0 (1-1.3 lb./week)

Normal (19.8-26 kg/m2)

25-35

1.0 (0.8-1 lb./week)

High (>26-29 kg/m2)

15-25

0.66 (0.5-0.7 lb./week)

Obese (>29 kg/m2)

11-20

0.5 (0.4-0.6 lb./week)

 

There is also increasing evidence that overweight or obese women with GDM may have improved pregnancy outcomes with less need for insulin if they gain weight less than the IOM recommendations without appreciably increasing the risk of SGA (229–231). For obese women, ~25 kcal/kg rather than 30 kcal/kg is currently recommended (232).  However, other investigators would argue for a lower caloric intake (1600-1800 calories/day), which does not appear to increase ketone production (233).

 

The diet should be culturally appropriate and women should consume at least 150 grams of carbohydrate, primarily as complex carbohydrate and limit simple carbohydrates, especially those with high glycemic indices (80). Protein intake should be at least 1.1 g/kg/day (15-20% of total calories) unless patients have severe renal disease. Patients should be taught to control fat intake and to limit saturated fat to <10-15% of energy intake, trans fats to the minimal amount possible, and encourage consumption of the n-3 unsaturated fatty acids that supply a DHA intake of at least 200 mg/day (22). Diets high in saturated fat have been shown to worsen insulin resistance, provide excess TGs and FFAs for fetal fat accretion, increase inflammation, and have been implicated in adverse fetal programming effects on the offspring (see risk to offspring above). A fiber intake of at least 28 g/day is advised and the use of artificial sweeteners, other than saccharin, are deemed safe in pregnancy when used in moderation (23).

 

For normal weight women with T1DM with appropriate gestational weight gain, carbohydrate and calorie restriction may not be necessary as long as it is appropriately covered by insulin. Emphasizing consistent timing of meals with atleast a bedtime snack to minimize hypoglycemia in proper relation to insulin doses is important.  Many patients who dose prandial insulin based on an insulin to carbohydrate ratio are skilled at carbohydrate counting. 

 

Exercise is an important component of healthy lifestyle and is recommended in pregnancy by ACOG, the ADA, and Society of Obstetricians and Gynecologists of Canada (25,234). The U.S. Department of Health and Human Services issued physical activity guidelines for Americans and recommend healthy pregnant and postpartum women receive at least 150 minutes per week of moderate-intensity aerobic activity (i.e., equivalent to brisk walking) (235).  A large meta-analysis of all RCTs on diet and physical activity, which evaluated RCTs (using diet only n=13, physical activity n=18 or both n=13) concluded that dietary therapy was more effective in decreasing excess GWG and adverse pregnancy outcomes compared to physical activity (236). However, there was data suggesting that physical activity may decrease the risk of LGA infants (LGA, >90th percentile). There was no increase in SGA infants (SGA; <10thpercentile) with physical activity. Submaximal exertion (≤70% maximal aerobic activity) does not appear to affect the fetal heart rate and although high intensity at maximal exertion has not been linked to adverse pregnancy outcomes, transient fetal bradycardia and shunting of blood flow away from the placenta and to exercising muscles has been observed with maximal exertion. Observational studies of women who exercise during pregnancy have shown benefits such as decreased GDM, cesarean and operative vaginal delivery and postpartum recovery time, although evidence from RCTs is limited (237,238).

 

Some data suggest that women who continued endurance exercise until term gained less weight and delivered slightly earlier than women who stopped at 28 weeks but they had a lower incidence of cesarean deliveries, shorter active labors, and fewer fetuses with intolerance of labor (239).  Babies weighing less were born to women who continued endurance exercise during pregnancy compared with a group of women who reduced their exercise after the 20th week (3.39 kg versus 3.81 kg). Contraindications for a controlled exercise program include women at risk for preterm labor or delivery or any obstetric or medical conditions predisposing to growth restriction.

 

RISK TO OFFSPRING FROM AN INTRAUTERINE ENVIRONMENT CHARACTERIZED BY DIABETES OR OBESITY

 

Early Life Origins of Metabolic Diseases

 

Given the strong associations between maternal diabetes and obesity and the risk of childhood obesity and glucose intolerance, the metabolic milieu of the intrauterine environment is a critical risk factor for the genesis of adult diabetes and cardiovascular disease (203,240–243).  The evidence of this fetal programming and its contribution to the developmental origins of human disease (DoHAD) is one of the most compelling reasons why optimizing maternal glycemic control, identifying other nutrients contributing to excess fetal fat accretion, emphasizing weight loss efforts before pregnancy, ingesting a healthy low-fat diet, and avoiding excessive weight gain are so critical and carry long term health implications to both the mother and her offspring. The emerging field of epigenetics has clearly shown in animal models and non-human primates that the intrauterine environment, as a result of maternal metabolism and nutrient exposure, can modify fetal gene expression (244,245).

 

Maternal hyperglycemia in early pregnancy has been associated with childhood leptin levels at 5 years of age, even when adjusted for maternal BMI and other confounders (β=0.09 ± 0.04, p=0.03) (246). In this study, higher maternal glucose levels post-75-gram glucose tolerance test in the second trimester were associated with greater total body fat percentage as measured by DXA in the children at 5 years of age.

 

There are data, especially in animal and non-human primate models, to support that a maternal high fat diet andobesity can influence mesenchymal stems cells to differentiate along adipocyte rather than osteocyte pathways, invoke changes in the serotonergic system resulting in increased anxiety in non-human primate offspring, affect neural pathways involved with appetite regulation, promote lipotoxicity, regulate gluconeogenic enzymes in the fetal liver generating histology consistent with NAFLD, alter mitochondrial function in skeletal muscle, and program beta cell mass in the pancreas (242,247–254).  These epigenetic changes are being substantiated in human studies with evidence of differential adipokine methylation and gene expression in adult offspring of women with diabetes in pregnancy and through alterations in fetal placental DNA methylation of the lipoprotein lipase gene which are associated with the anthropometric profile in children at 5 years of age (255). These findings further support the concept of fetal metabolic programming through epigenetic changes (256). As a result, the intrauterine metabolic environment may have a transgenerational influence on obesity and diabetes risk in the offspring, influencing appetite regulation, beta cell mass, liver dysfunction, adipocyte metabolism, and mitochondrial function.

 

Offspring of mothers with type 2 diabetes and gestational diabetes have higher risk of childhood obesity, young adult or adolescent insulin resistance and diabetes, nonalcoholic fatty liver disease, hypertension, and cardiovascular disease (257–262) . The risk of youth onset diabetes is higher in offspring of mothers born with pregestational type 2 diabetes than with gestational diabetes (14-fold compared to 4-fold risk) (263). These epigenetic changes are not isolated to maternal BMI alone but it has also been demonstrated that paternal factors impact offspring risk of obesity and diabetes (264,265). Offspring of women with T1DM have a risk of developing T1DM of about 1-3%. The risk is higher in the offspring if the father has T1DM rather than the mother (~3-6%) and if both parents have T1DM, the risk is ~20% (266,267).

 

CONCLUSION

 

The obstetric outlook for pregnancy in women with pre-existing diabetes has improved over the last century and has the potential to continue to improve as rapid advances in diabetes management, fetal surveillance, and neonatal care emerge. However, the greatest challenge health care providers face is the growing number of women developing GDM and T2DM as the obesity epidemic increases affecting women prior to pregnancy. In addition, the prevalence of T1DM is increasing globally. Furthermore, obesity-related complications exert a further deleterious effect on pregnancy outcomes. The development of T2DM in women with a history of GDM as well as obesity and glucose intolerance in the offspring of women with preexisting DM or GDM set the stage for a perpetuating cycle that must be aggressively addressed with effective primary prevention strategies that begin in-utero. Pregnancy is clearly a unique opportunity to implement strategies to improve the mother’s lifetime risk for CVD in addition to that of her offspring and offers the potential to decrease the intergenerational risk of obesity, diabetes, and other metabolic derangements.

 

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Hyperthyroidism in Aging

ABSTRACT

 

Hyperthyroidism in the elderly is a serious clinical condition that is associated with significant morbidity. It may be difficult to diagnose due to the confounding effects of drugs and acute or chronic illnesses on the interpretation of thyroid function tests. In addition, there is a relative paucity of typical hyperadrenergic symptoms in older patients with hyperthyroidism, who instead may present with unexplained weight loss, neurocognitive changes, or cardiovascular effects. Of particular concern is the elevated risk of atrial fibrillation and cardiovascular complications in this age group. There is increasing evidence that even mild (subclinical) hyperthyroidism in the elderly is associated with these risks. Graves’ Disease and toxic multinodular goiter are the most common etiologies of hyperthyroidism in the elderly, although other causes of hyperthyroidism also occur. The use of amiodarone or administration of iodinated contrast agents can also lead to hyperthyroidism, and are commonly prescribed to older patients. Radioiodine or thionamide therapy are typically used to treat hyperthyroidism in older patients. Treatment decisions must be individualized, taking into account projected lifespan, comorbidities, and side effects of therapy.

 

PREVALENCE OF HYPERTHYROIDISM IN AGING

 

Hyperthyroidism is a common disorder (1); a population-based survey (2) conducted over 40 years ago revealed a prevalence in the general UK population of around 2.7% in women (10-fold less in men) and of undiagnosed disease in around 0.5% of women. A more recent population-based survey in the United States revealed a prevalence of hyperthyroidism of 1.3%, with no difference between men and women (3). This prevalence decreases to 0.4% if one excludes patients with known thyroid disease and those taking thyroid hormone preparations, indicating that many cases of hyperthyroidism are due to overtreatment with exogenous thyroid hormone.

 

A number of studies have reported the prevalence of hyperthyroidism specifically in elderly populations. Prevalence rates vary depending on whether patients taking thyroid hormone are included, but most surveys report that approximately 1–3% of subjects over the age of 60-65 years have hyperthyroidism (2-7).  If one excludes patients taking thyroid hormone, prevalence rates of hyperthyroidism appear similar in younger and older populations (3).

CLINICAL CONSEQUENCES OF HYPERTHYROIDISM

 

Classical symptoms and signs of thyrotoxicosis are shown in Table 1 (1).  While some or all of these may be present in elderly subjects with thyrotoxicosis, the clinical picture is often different in this age group (8,9). Problems such as weight loss and depression or agitation may predominate - so-called "apathetic" thyrotoxicosis, a condition in which more typical symptoms and signs reflecting sympathetic activation such as tremor and hyperactivity are absent (10-12). Instead, cardiovascular symptoms and signs often predominate in older patients, including atrial fibrillation. Other findings more common in older patients with hyperthyroidism include fatigue, anorexia, weight loss, apathy, agitation, or cognitive decline (11-14). Particularly in this age group, the diagnosis of thyrotoxicosis should also be considered in the presence of other symptoms and signs considered "non-specific" in nature, such as muscle weakness, persistent vomiting, hypercalcemia, and worsening osteoporosis.

 

Table 1. Symptoms and Signs in Hyperthyroidism

Symptoms

Signs

1. Weight loss

2. Sweating/heat intolerance

3. Nervousness/agitation

4. Tiredness

5. Muscle weakness

6. Palpitation

7. Shortness of breath

8. Tremor

 

 

1.Tremor

2. Hyperactivity

3. Proximal myopathy

4. Sinus tachycardia

5. Atrial fibrillation/atrial dysrhythmias

6. Systolic hypertension

7. Goiter

8. Lid lag/lid retraction

9. Ophthalmopathy*

10. Pretibial myxedema*

11. Thyroid acropachy*

 

* specific for Graves’ Disease

Cardiovascular Complications

 

Cardiovascular complications of thyrotoxicosis are especially common in the elderly and may be a cause of significant morbidity and mortality (1,15). A number of studies have reported increased all-cause and cardiovascular mortality, and increased risks of atrial fibrillation, arterial embolism, acute myocardial infarction, heart failure, venous thromboembolism, and stroke in hyperthyroid patients, compared to euthyroid controls (16-20). Risks are higher in older subjects and in untreated or undertreated groups, with a direct association between the duration of suppressed TSH levels and mortality in both untreated and treated patients (19). Risks decrease with treatment, regardless of treatment modality (21,22). All-cause mortality is also increased in treated hypothyroid patients with suppressed TSH levels, highlighting the importance of avoiding overtreatment.

 

In addition to classical findings of sinus tachycardia and systolic hypertension, it is well recognized that atrial fibrillation complicates thyrotoxicosis in about 15% of cases (23). The incidence of this complication rises with age, so it is observed more frequently in the elderly (24). It has been estimated that atrial fibrillation occurs at least three times more commonly in those with thyrotoxicosis than those without. Development of atrial fibrillation may itself lead to deteriorating cardiac status, especially in the presence of pre-existing heart disease, and it may also be associated with embolic complications, especially cerebral embolism (25). These influences probably contribute significantly to the increased cardiovascular and cerebrovascular mortality described above. Furthermore, the likelihood of spontaneous restoration of sinus rhythm in those with atrial fibrillation complicating thyrotoxicosis lessens with age, probably reflecting the presence of underlying ischemic, hypertensive, or valvular heart disease (26).

In view of these cardiovascular manifestations/complications, the diagnosis of thyrotoxicosis should be suspected in all subjects presenting with atrial fibrillation, worsening heart failure, systolic hypertension, and deteriorating ischemic heart disease. Nonetheless, case-finding studies have shown that thyrotoxicosis accounts for less than 5% of newly diagnosed cases of atrial fibrillation (23).

Bone Metabolism and Hyperthyroidism

 

The other significant consequence of thyrotoxicosis is its effect on bone metabolism. Overt hyperthyroidism is associated with increased bone turnover and reduction in bone mineral density (27). Meta-analysis of available data (28) has shown that this influence is especially marked in estrogen deficient postmenopausal women. While antithyroid treatment results in an improvement in bone mineral density, recovery is incomplete so risks of osteoporosis associated with aging, especially in women, are exacerbated (29). Several large-scale epidemiological studies (16,30) have revealed independent associations between a history of thyrotoxicosis and risk of fracture of the femur.

 DIAGNOSIS OF HYPERTHYROIDISM

 

It is essential that a clinical suspicion of thyrotoxicosis is confirmed or refuted by biochemical testing before further investigation or treatment is contemplated (1). The single most important biochemical test is measurement of serum TSH. If the serum TSH concentration is within the normal range, then a diagnosis of thyrotoxicosis is effectively ruled out. Exceptions to this rule are rare TSH-dependent causes of hyperthyroidism, such as TSH-secreting tumors of the pituitary and syndromes of thyroid hormone resistance, although these diagnoses are more typically associated with a modest rise in TSH (with raised serum thyroid hormones, as opposed to the usual pattern of raised TSH in conjunction with low thyroid hormone levels).

 

Studies of healthy elderly subjects have shown that serum concentrations of thyroxine (T4) and tri-iodothyronine (T3) are unchanged compared with younger age groups (31). Analysis of large U.S. population-based normative data suggest that there is a slight increase in the upper limit of normal TSH levels with aging, but the lower limit of normal TSH levels remains relatively unchanged (32). Therefore, in a healthy older patient, a low or suppressed TSH level suggests hyperthyroidism. On the other hand, "non-thyroidal" illnesses and drug therapies that alter tests of thyroid function are more common with increasing age. These effects typically lead to reduced peripheral conversion of T4 to T3 and reduction in serum T3 concentrations. Serum TSH may be unaffected by illness, although a reduction in TSH is commonly seen, as is a modest elevation in TSH particularly during the recovery phase of illness (33). Therefore, in an acutely or chronically ill older patient, interpretation of a low TSH level must be done with caution, as low serum TSH, especially if below the normal range but nonetheless detectable, often reflects a "non-thyroidal" illness or therapy with a wide variety of drugs (34) (Table 2). A diagnosis of thyrotoxicosis should be confirmed biochemically by measurement of serum free thyroxine (T4) (and in some cases T3 if free T4 is in the high/normal range and T3-toxicosis is therefore suspected).

 

Table 2. Effect of Drugs on Tests of Thyroid Function

Drug

 

Serum T4

 

Serum T3

 

Serum TSH

 

 Dopamine

 

¯, ®

 

 

¯, ®

 

¯

 

Glucocorticoids

 

¯, ®

 

¯, ®

 

¯

 

Estrogens

 

­ total T4

 

­ total T3

 

®

 

Anticonvulsants

 

¯, ®

 

¯, ®

 

®

 

Acetylsalicylic acid

 

­, ®

 

­, ®

 

¯ ®

 

Amiodarone

 

­

 

¯

 

variable

 

Heparin

 

­, ®

 

­, ®

 

¯, ®

 

Fenclofenac

 

¯, ®

 

¯, ®

 

®

 

Anabolic steroids

 

¯ total T4

 

¯ total T3

 

®

 

 

In the majority of cases of thyrotoxicosis, a typical biochemical picture of elevated free T4 and T3 with associated undetectable TSH will be observed. In some cases, a biochemical diagnosis of "T3-toxicosis" is evident, characterized by elevation of serum T3 in the absence of a rise in T4. This is typically observed in mild cases of toxic nodular hyperthyroidism and early in the course of Graves' hyperthyroidism. In some instances, the converse is true in that a rise in T3 is absent despite elevation in free T4 and suppression of TSH in a patient thought clinically to have thyrotoxicosis. This lack of rise in T3 may reflect the presence of another "non-thyroidal" illness, evident upon re-testing once the other morbidity is eliminated.

CAUSES OF THYROTOXICOSIS 

Graves' Disease and Toxic Nodular Hyperthyroidism

 

In iodine replete parts of the world, Graves' disease is the most common endogenous cause of thyrotoxicosis. In the elderly, however, toxic nodular hyperthyroidism becomes an important cause (1,35). In all age groups, toxic nodular hyperthyroidism is more common in areas of the world that are relatively iodine deficient (36). The natural history of goiter is of progression from the presence of diffuse thyroid enlargement to development of one or more nodules and eventual autonomous function of one or more of these nodules resulting in thyrotoxicosis. This natural history is typically long so the elderly patient presenting with thyrotoxicosis often describes the presence of a goiter for many years. A relatively rare cause is the presence of a single toxic adenoma - a benign tumor exhibiting autonomous secretion of thyroid hormones. This diagnosis accounts for less than 2% of cases of thyrotoxicosis occurring in the US (36). Biochemically, the development of autonomous function in a nodular goiter is first evidenced by suppression of serum TSH with normal serum concentrations of thyroid hormones ("subclinical" hyperthyroidism - see below), followed by elevation of serum T3 and free T4.

 

In many cases, the cause of thyrotoxicosis is obvious from the clinical picture (1,35). The diagnosis of Graves' disease may be evident by the presence of diffuse goiter and ophthalmopathy, whereas toxic nodular hyperthyroidism is characterized by the presence of a nodular goiter on examination of the neck. It should be noted, however, that the thyroid might be impalpable in about 30% of cases of Graves' disease or toxic nodular hyperthyroidism. If the cause of thyrotoxicosis is not obvious, further investigation may be warranted. The presence of thyroid autoantibodies (to thyroid peroxidase - TPO and/or thyroglobulin) is suggestive (but not diagnostic of) Graves' disease; TSH receptor antibodies are more specific for the diagnosis. Such antibodies are positive in 90% of Graves’ Disease cases, and are usually negative in cases of toxic nodular hyperthyroidism. If TSH receptor antibodies are positive in the presence of a nodular goiter, both conditions may co-exist. Radioisotope scanning, using technetium-99m or iodine-123, typically shows a diffuse pattern of uptake in Graves' disease, in contrast to the presence of multiple "hot" nodules with surrounding thyroid tissue not demonstrating any uptake in cases of toxic nodular hyperthyroidism (figure 1). Occasionally, a single "hot" nodule, with absent uptake elsewhere in the thyroid is observed. This finding suggests the presence of a toxic nodular adenoma.

Figure 1. Radionuclide imaging of the thyroid illustrating hot nodules in toxic nodular hyperthyroidism (right) which contrasts with a diffuse uptake in Graves' Disease (left)

 Other Causes of Thyrotoxicosis

 

Although Graves' disease and toxic nodular goiter are by far the most common causes of endogenous thyrotoxicosis in older patients, it is important to consider other diagnoses. As in other age groups, the elderly patient may develop transient thyroid hormone excess secondary to a temporary thyroiditis, i.e., destruction of the thyroid with release of pre-formed thyroid hormones (35). Sub-acute thyroiditis should be suspected if the patient complains of sore throat or neck tenderness, typically associated with symptoms of a viral illness or an upper respiratory tract infection. The diagnosis is confirmed by the finding of a raised erythrocyte sedimentation rate (ESR) and absent or very low uptake of iodine-123. This is an important diagnosis to make since antithyroid treatment with antithyroid drugs or radioiodine is inappropriate, because it is ineffective and because the condition resolves spontaneously (usually after a self-limiting period of hypothyroidism).  Silent thyroiditis has a similar clinical course as subacute thyroiditis, but the gland is not tender and there is no increase in ESR.  Both subacute and silent thyroiditis can occur in older patients, although the peak age range for these two conditions is among younger patients (37).

 

Iodine-induced thyroiditis should be considered in patients with a history of iodine ingestion (e.g., in the form of sea weed preparations or over the counter iodine containing compounds, such as expectorants) or after administration of iodine containing radiographic contrast agents (35). The diagnosis can be confirmed by the finding of low iodine uptake. This condition also remits spontaneously and radioiodine therapy is contraindicated. This diagnosis is more common in older patients, who are more likely to receive iodinated contrast agents and to have underlying multinodular goiters that predispose them to iodine-induced thyrotoxicosis.

 

Finally, it should be noted that exogenous thyrotoxicosis due to excessive doses of thyroid hormone in the treatment of hypothyroidism is quite common.  One study indicated that over 40% of older subjects taking thyroid hormone had low TSH levels, indicating excess thyroid hormone doses (38). A second study reported that iatrogenic thyrotoxicosis accounted for about 50% of low TSH events in a large cohort of subjects, with the highest rates in older women (39). A third study reported that thyroid hormone use increased 1.8-fold in the UK from 2001-2009, with decreasing TSH thresholds for initiating treatment. Of concern, 90% of treated subjects remained on L-T4 for > 5 years, and 16% had low or suppressed TSH levels, indicating excessive doses (40). A fourth study reported that thyroid hormone use doubled in the U.S. from 1997-2016, from 4% to 8%, while expenditures for thyroid hormone tripled. Thyroid hormone use was higher in women, older individuals, and non-Hispanic whites (41). These reports clearly indicate that thyroid hormone is being over-prescribed, with high risks of overtreatment and potential clinical consequences, particularly in older subjects who may have underlying cardiac issues or osteoporosis.

 Amiodarone Induced Thyrotoxicosis

 

The diagnosis of thyroid dysfunction should be considered in an elderly patient prescribed the antiarrhythmic agent amiodarone. This drug is widely used in the older age group for control of dysrhythmias, particularly those associated with poor left ventricular function. Amiodarone is an iodine-containing compound that affects the results of tests of thyroid function, even in those who are euthyroid (35,42). Typically, amiodarone, through its effect on peripheral conversion of T4 to T3, results in modest reduction in serum concentrations of T3 (often to below the normal range) and modest elevation in serum T4 (often to above the normal range). TSH is typically slightly elevated early after commencement of treatment and normalizes later in euthyroid patients.  Therefore, beginning 2-3 months after amiodarone is started, the serum TSH level is an accurate indication of thyroid function.

 

Although amiodarone results in overt thyroid dysfunction in 5-10% of cases, it is important not to over-interpret mildly abnormal results of tests of thyroid function. Thyrotoxicosis should only be diagnosed in the presence of significant elevation of free T4, together with elevation in serum T3 and suppression of TSH; sometimes serum T3 is at the upper range of normal rather than elevated, probably because of associated "non-thyroidal" illness in this age group, together with the block of T4 to T3 conversion seen with amiodarone.

 TREATMENT OF THYROTOXICOSIS

 Antithyroid Drugs

 

The thionamides – methimazole (or its precursor drug carbimazole) and propylthiouracil - represent the mainstay of drug treatment of thyrotoxicosis (1,35). These drugs inhibit the oxidation and organification of iodide and hence block the synthesis of T4 and T3 early in their biosynthetic pathway. They represent the most effective and rapid means of reducing circulating thyroid hormone concentrations. They can be used in several ways: short-term in preparation of the patient for definitive treatment with radioiodine or surgery, medium term in the hope of inducing remission in cases of thyrotoxicosis due to Graves' disease, or long-term for control of clinical and biochemical thyroid hormone excess.

 

In many elderly patients, thionamides are used short-term in the preparation for curative treatment. A typical starting dose of methimazole is 20-30 mg per day as a single daily dose. In contrast, propylthiouracil is typically given in divided doses, the equivalent to methimazole 20 mg being 200mg. Doses higher than this are rarely required, since high doses have not been shown to be more effective in terms of restoration of euthyroidism in prospective studies (43,44). Since compliance is better and side effects are less frequent, methimazole or carbimazole are considered the drugs of choice, in preference to propylthiouracil (35). Serum free T4 should be checked 4-6 weeks after beginning therapy and the thionamide dose adjusted accordingly. It is usually possible to render the patient euthyroid (or near euthyroid) after 2-3 months, so they can proceed to curative therapy.

 

Drug side effects are relatively uncommon, but it is essential that all subjects (in whichever age group) be warned (preferably in writing) of the potential risk of agranulocytosis so that they present urgently for a full blood count if they develop a fever or sore throat. Agranulocytosis often, but not always, occurs in the first few weeks after beginning thionamide therapy and is probably more common in those taking higher doses (35). The latter observation represents a relative contraindication to doses of methimazole/carbimazole of greater than 20-30 mg per day; doses higher than this are rarely necessary in the elderly.

 

Other serious side effects can occur, notably antineutrophil cytoplasmic antibody-associated-vasculitis (typically associated with prescription of propylthiouracil), hepatitis, or pancreatitis (35,44), although these are rare. These serious complications, together with agranulocytosis, represent absolute contraindications to further use of thionamides. Less serious side effects such as pruritic rash are more common and can usually be managed conservatively, although sometimes a change in drug therapy from one thionamide to another is required (ATA guidelines).

 ANTITHYROID DRUGS AND GRAVES’ DISEASE

 

In general, remission rates following thionamide therapy in Graves' hyperthyroidism are less than 50%, nonetheless, there is some evidence that the remission rate in Graves’ may be higher in the elderly age group, probably reflecting the presence of milder disease. If the objective is to achieve remission or "cure" of thyrotoxicosis secondary to Graves' disease, then thionamide treatment should be prescribed for a course of not less than 12 or 18 months, since shorter courses are associated with a lower rate of remission (35). Drug doses should be titrated according to serum concentrations of free T4 (serum TSH may remain suppressed for months); the majority of subjects will require a methimazole maintenance dose of 5-10 mg daily once normal fT4 levels are achieved (propylthiouracil 50-100mg daily in divided doses). Larger dose requirements are suggestive of poor compliance. Poor prognostic features for achieving long-term remission (35) (established in younger age groups) include male sex, the presence of a large goiter and biochemically severe disease at diagnosis. Most relapses of Graves' thyrotoxicosis occur 3-6 months after thionamide withdrawal.

 

Although standard recommendations for treating Graves’ disease with thionamides include a 12-18 month course of therapy, recent studies suggest that long term thionamide therapy is safe and efficacious (46,47). This option may be particularly useful in older patients with limited life expectancies, since it leads to more rapid attainment of euthyroidism and lower rates of hypothyroidism than radioactive iodine or surgery (48). Updated guidelines for treating hyperthyroidism now include the option for long-term thionamide therapy (35).

 ANTITHYROID DRUGS AND TOXIC NODULAR HYPERTHYROIDISM

 

Time-limited courses of thionamides virtually never result in remission or cure of thyrotoxicosis secondary to toxic nodular goiter, although some spontaneous fluctuation in the severity of the disease is seen. Thionamides may thus be used short-term (as above) to induce euthyroidism prior to definitive treatment, but a time-limited course should not be prescribed in the hope of inducing cure. Recent studies show that long-term thionamide therapy is safe and efficacious in toxic nodular hyperthyroidism (47,49).  Once biochemical control has been achieved, biochemical monitoring every 3-6 months is desirable.

BETA-ADRENERGIC BLOCKING AGENTS AND OTHER DRUGS AS ADJUNCTIVE THERAPIES

 

Beta adrenergic blockers are useful adjuncts to thionamides in the management of thyrotoxicosis. In cases of thyroiditis or mild cases of hyperthyroidism proceeding to radioiodine, they may be the only additional treatment required. Beta adrenergic blockers act promptly to reduce symptoms and signs of tremor and to improve tachycardia and associated palpitations (35). Such agents should be used cautiously in elderly subjects with heart failure (although a beneficial effect often results because of amelioration of some of the cardiovascular effects of thyroid hormone excess) and in those with asthma or chronic obstructive pulmonary disease. Propranolol has been widely used in thyrotoxic subjects but requires multiple daily dosing; longer acting beta adrenergic blockers such as atenolol (50-100mg daily) may therefore be preferred.

 

Other adjunctive therapies include salicylates for relief of local pain and tenderness in cases of subacute thyroiditis; occasionally glucocorticoids such as prednisolone are required short-term.

Anticoagulation with coumarin derivatives such as warfarin should be considered in elderly subjects with thyrotoxicosis complicated by atrial fibrillation. This is driven by evidence for embolic complications. There have been no controlled trials of the use of anticoagulants in thyrotoxic atrial fibrillation, but overwhelming evidence of their efficacy in other settings argues in favor of their use in this situation (50), unless contraindications exist. Therapy to restore sinus rhythm should be considered but not until the patient has been rendered euthyroid. This therapy may comprise pharmacological cardioversion (with agents such as sotalol) or electrical cardioversion. Restoration of sinus rhythm is more likely in those whose atrial fibrillation is of short duration and in those without underlying heart disease (23), although rates of restoration of sinus rhythm may be relatively low, even with cardiologic intervention (24).

 Radioiodine Therapy

 

Radioiodine (I-131) is a reasonable therapy in elderly hyperthyroid subjects, as it can be administered by mouth in the outpatient setting and is associated with few side effects. Some patients notice sore throat or neck tenderness (reflecting a radiation thyroiditis), but this is usually mild and transient. Its long-term efficacy is well established (35). Reports of potential risks of secondary cancers following radioactive iodine therapy for hyperthyroidism have been inconsistent, but long-term risks appear modest, and are likely to be of less importance in older subjects (51-53). There are few, if any, contraindications to radioiodine therapy apart from inability to comply with local radiation protection regulations. Such compliance may be difficult to achieve in hospital or nursing home residents, those with urinary incontinence, and those with significant mental impairment. In such cases, long-term thionamide therapy is often the best practical option (see above).

 

A relative contraindication to the use of radioiodine in cases of Graves' thyrotoxicosis is the presence of moderate or severe ophthalmopathy. There is a slightly increased risk of development or worsening of pre-existing thyroid eye disease in those treated with radioiodine compared with thionamides or surgery (35). Problematic eye disease is more likely in those with pre-existing ophthalmopathy, in smokers (smoking is an independent risk factor for development of ophthalmopathy in Graves’ disease), and those with severe biochemical disease. In view of evidence (35) that a course of glucocorticoid abolishes any increase in risk of ophthalmopathy in those receiving radioiodine, many experts prescribe a short course of prednisone/prednisolone at the time of therapy. Typical doses of prednisone are 0.4-0.5 mg/kg/day starting 1-3 days following I-131 therapy and continued for one month, with gradual tapering over the next two months. However, recent data suggest that a lower dose of prednisone of 0.2 mg/kg/day for 6 weeks may be equally efficacious (54).

 

In those with severe clinical and biochemical thyrotoxicosis it is desirable to restore euthyroidism before proceeding to radioiodine therapy. This is because of the theoretical risk of inducing "thyroid storm" due to thyroid destruction and release of pre-formed thyroid hormones following radioiodine administration, together with the need to stop thionamide therapy temporarily at the time of treatment. In mild cases (judged both clinically and biochemically), such pre-treatment with thionamides may be unnecessary and radioiodine may be given as initial therapy or after short-term preparation with beta-adrenergic blockers.

 RADIOIOIDINE DOSING

 

Many studies have attempted to define optimal radioiodine doses in the hope of inducing euthyroidism and avoiding iatrogenic hypothyroidism in hyperthyroid patients (35). Studies have examined attempts to titrate doses of radioiodine according to factors such as thyroid size (judged clinically or by imaging), isotope uptake, or isotope turnover in the thyroid. Older literature suggested that cases of toxic nodular hyperthyroidism require larger doses of radioiodine to induce euthyroidism than cases of Graves' disease. It is clear, however, that measures of thyroid size or isotope uptake/turnover generally do not allow effective "dose titration". Furthermore, the dose of radioiodine required to cure toxic nodular hyperthyroidism is not different from that required in Graves' disease in the majority of cases (55). In some subjects with large goiter, higher initial doses or multiple treatments are required.

 

Many large thyroid centers thus avoid attempts at radioiodine "dose titration" and administer empirical doses. Such an approach avoids the necessity for extra hospital visits to document isotope uptake into the gland or the need for other imaging. The dose of radioiodine administered varies between centers, and is determined in part by radiation protection restrictions that vary considerably around the world. Typically, a dose of radioiodine is chosen which can be administered in the outpatient setting and which results in cure of thyrotoxicosis in the majority after a single dose, while not inducing hypothyroidism in all. In iodine-replete parts of the world such as the US and UK, a standard dose of radioiodine is 10-15 mCi or 400-600 MBq. In a UK series (56) a dose of this size resulted in cure of thyrotoxicosis in more than two thirds, at a cost of early hypothyroidism in 50%. Some centers administer larger doses to those with large goiter or to men, in view of evidence of relative radioresistance in these groups. There is also evidence that use of thionamides, especially propylthiouracil, before and/or after radioiodine treatment also induces relative radioresistance and hence the need for repeat dosing or a larger initial dose (35). It has been suggested that large doses should be administered routinely to elderly subjects, particularly those with cardiovascular disease or complications, to be certain of rapid restoration of euthyroidism. This view is reinforced by evidence that effective cure as indicated by the development of hypothyroidism requiring thyroxine replacement therapy is associated with a lessening of vascular mortality (compared with those not rendered hypothyroid) (17) and more likely conversion to sinus rhythm in those with AF associated with hyperthyroidism (24).

 FOLLOW-UP AFTER RADIOIODINE THERAPY

 

Thionamide therapy should be withdrawn 3-7 days before radioiodine (to allow iodine uptake into the thyroid) and should be restarted after a similar period post-treatment if the elderly subject has severe disease, incomplete biochemical control, significant complications (e.g., atrial fibrillation), or has return of symptoms in the short period of thionamide withdrawal before radioiodine therapy. After therapy, clinical and biochemical assessment should be carried out every 4-6 weeks for the first few months so that thionamide doses may be adjusted (according to free T4) and hypothyroidism identified. A transient rise in serum TSH may be seen in the first few months after radioiodine and does not necessarily indicate permanent hypothyroidism, but more marked biochemical or symptomatic hypothyroidism usually indicates the need for life-long T4 therapy. Persistence of biochemical hyperthyroidism 6 months after radioiodine therapy usually indicates the need for re-dosing. Unless small empirical doses are administered, the vast majority of patients with either toxic nodular hyperthyroidism or Graves' disease are rendered euthyroid (off all treatment) or hypothyroid (on T4) with one, two or (uncommonly) three doses (56,57). Occasional cases of apparent resistance to radioiodine treatment are seen.

 

Long-term, patients treated with radioiodine require biochemical follow-up for detection of hypothyroidism. Such follow-up is essential since the incidence of hypothyroidism is significant even many years after radioiodine and eventually up to 90% of those treated in this way become hypothyroid (35). Hypothyroidism rates may be slightly lower in those with toxic nodular hyperthyroidism (56) because of relative sparing of normal thyroid tissue through concentration of isotope in "hot" autonomous nodules.

 Surgical Treatment of Thyrotoxicosis

 

Surgical treatment of thyrotoxicosis is a viable option in selected patients, and if experienced thyroid surgeons are available (35). However, there is a higher risk of complications of anesthetic and surgery in elderly subjects, which limits its utility in this population.

 

If surgery is contemplated, it is essential that clinical and biochemical euthyroidism are restored beforehand. This requires therapy with thionamides, ideally for 2-3 months prior to surgery, sometimes in conjunction with pre-operative preparation with beta-adrenergic blockers or Lugol's iodine (35). Thorough preparation is essential in order to avoid thyroid storm post-operatively, as well as other significant complications of thyroid hormone excess, especially cardiovascular complications.

 

There is on-going debate regarding the most appropriate surgical approach for treatment of thyrotoxicosis. Many large centers advocate total thyroidectomy for Graves' hyperthyroidism, since partial thyroidectomy is associated with significant rates of short - and long-term recurrence (35), while in expert hands surgical complication rates should be similar. Such complications include bleeding into the neck, hypoparathyroidism, and damage to recurrent laryngeal nerves. Hypothyroidism is inevitable after total thyroidectomy (the patient leaves the hospital on T4 therapy) but is also common after partial thyroidectomy. Life-long follow-up (as with cases treated with radioiodine) is essential for detection of hypothyroidism (and recurrence of hyperthyroidism) after partial thyroidectomy.

 

Cases of toxic nodular hyperthyroidism may be treated by thyroid lobectomy or excision of a single hot nodule. Such an approach has the theoretical advantage of avoidance of hypothyroidism, as well as improvement in cosmetic appearance in those with large goiter. It should be noted, however, that reduction in nodule/goiter size is also evident after radioiodine therapy, albeit after several months. Surgery may be considered appropriate if toxic nodular goiter is associated with obstructive symptoms or if there is concern about the presence of co-existent malignancy in the goiter/nodules.

 Treatment of Amiodarone-Induced Thyrotoxicosis (AIT)

 

This condition is difficult to treat and a cause of significant morbidity/mortality in patients with underlying cardiac disease (35,58).  AIT can be diagnosed many months after amiodarone has been discontinued, since it persists in the body for long periods of time.  AIT can be a life-threatening diagnosis, since it worsens arrhythmias and cardiac function in patients who already have compromised cardiovascular systems. 

 

There are two types of AIT. Type 1 AIT occurs in patients with pre-existing thyroid abnormalities such as nontoxic multinodular goiters or subclinical Graves’ Disease. This type is thought to be due to iodine overload, since amiodarone is 37% iodine by weight. Type 2 AIT is a destructive thyroiditis that causes thyrotoxicosis by the release of pre-formed thyroid hormone, which can be prolonged. Some experts report that these two types can be distinguished by measurement of serum interleukin-6 (raised in destructive thyroiditis) or by ultrasonographic definition of thyroid vascularity (35,58). These tests are not, however, routinely available, and it is increasingly recognized that these varieties may co-exist.

 

In general, thionamide therapy should be considered first line treatment of Type 1 AIT. High dose glucocorticoids are considered first-line therapy for Type 2 AIT, although they can have significant side effects in elderly patients. In practice, it can be difficult to distinguish Type 1 from Type 2 AIT, and in severe acute cases, both thionamides and prednisone are sometimes started simultaneously. Type 2 AIT responds more quickly to glucocorticoids than Type 1 AIT responds to methimazole, so a rapid response to therapy is an indirect indicator of Type 2 AIT.  Perchlorate may be a helpful adjunct therapy, although it is not commercially available in the U.S.

 

Withdrawal of amiodarone is often not possible because of the serious nature of underlying dysrhythmias leading to amiodarone treatment, although it should be carefully considered. In any case, the long half-life of the drug (around 50 days) determines that any effect of amiodarone withdrawal is slow. Because of the iodine content of the drug, radioiodine therapy is ineffective because the radioisotope is not taken up into the thyroid. Radioiodine treatment is typically not feasible until at least 6 months after amiodarone withdrawal. Several groups have described surgical treatment of AIT, with a recent report suggesting that patients treated with thyroidectomy had lower 5-year cardiovascular and 10-year all-cause mortality, compared to medically treated AIT patients (59). Restoration of euthyroidism with thionamides is preferable pre-operatively if possible.

 SUBCLINICAL HYPERTHYROIDISM

 

"Subclinical" hyperthyroidism is a biochemical diagnosis characterized by a low serum TSH with normal serum thyroid hormone concentrations. Many of the subjects included in the studies quoted at the beginning of this chapter had subclinical, rather than overt, hyperthyroidism, as subclinical hyperthyroidism is more common than overt disease. There is significant variation in the reported prevalence of subclinical hyperthyroidism in the elderly, with typically quoted prevalence of 0.8 – 2% (35). As with overt hyperthyroidism, prevalence rates are lower if one excludes subjects taking thyroid hormone preparations. The prevalence of endogenous subclinical hyperthyroidism in a population depends on age, gender and iodine intake (3,60,61).

 

The most common cause of suppression of TSH in the general population is exogenous thyroid hormone therapy, typically levothyroxine (LT4). Population surveys (62) have shown that approximately one quarter of those prescribed LT4 long-term display reduction in TSH suggestive of mild over-treatment; (this is deliberate in the relatively small number of patients with a history of thyroid cancer). Since LT4 is prescribed to many patients over 60 years old, this medication is a common cause of subclinical hyperthyroidism. In fact, a recent study showed that over 40% of patients over the age of 64 years treated with levothyroxine had low TSH levels, indicating overtreatment (38).

 

In patients not receiving exogenous thyroid hormone therapy, the differential diagnoses of a low or undetectable TSH includes nonthyroidal illness and medications (see above). Once these have been excluded, nodular goiter is the next most common cause of low serum TSH in this age group. In subjects with a nodular goiter, either detectable clinically or evident on isotope imaging, suppression of serum TSH represents the earliest biochemical marker of thyroid autonomy and onset of hyperthyroidism. Other causes of endogenous subclinical hyperthyroidism in the elderly include Graves’ Disease, subacute thyroiditis, and silent thyroiditis, as in younger patients, although these are less common.

 

The natural history of endogenous subclinical hyperthyroidism is variable, and depends on the underlying cause. Most patients have stable subclinical hyperthyroidism over years, but a sizable minority either progress to overt hyperthyroidism or normalize their thyroid function (35).  A low but detectable TSH probably has less pathophysiological significance than a completely suppressed TSH, in terms of clinical consequences as well as progression rates. In addition, endogenous subclinical hyperthyroidism, for example secondary to nodular goiter, is probably of greater significance than exogenous (due to levothyroxine therapy) since the former is associated with higher serum T3 concentrations.

 

There is little evidence to suggest that subclinical hyperthyroidism is associated with significant symptoms (63), but there is a growing body of evidence that low serum TSH is associated with adverse effects, particularly on heart, bone, and brain, and possibly increased all-cause and cardiovascular mortality.

 

An important study of the Framingham population of the US (64) first revealed a 3-fold increased incidence of atrial fibrillation in subjects aged over 60 with serum TSH of less than 0.1 mU/L, compared with those with normal serum TSH. The likelihood of developing atrial fibrillation was also increased, but less markedly, in those with low but detectable TSH. The group in this survey with low TSH was heterogeneous and included some subjects taking exogenous T4 therapy. Similar findings have been reported in larger population-based studies since this initial observation (35). 

 

Recent studies have also reported that subclinical hyperthyroidism is associated with increased mortality and cardiovascular events in subjects 65 years and older (19,21,65).  A meta-analysis of individual-level data from 52,674 participants pooled from 10 cohort studies concluded that subclinical hyperthyroidism confers a 24% increased risk of overall mortality and 29% increased risk of cardiovascular mortality (66). Some of these studies, including the meta-analysis, have also examined non-fatal cardiovascular events in subclinical hyperthyroidism, with similar increased risks (66-69). Data indicate that subclinical hyperthyroid subjects appear to be at particular risk for the development of heart failure (66,70,71), especially older subjects and those with lower TSH levels.

 

Adverse effects of subclinical hyperthyroidism on bone may occur. A recent meta-analysis of 6 prospective cohorts (5,458 subjects, median age 72 years, 5% with subclinical hyperthyroidism) reported that older subjects with subclinical hyperthyroidism had increased annual rates of bone loss at the femoral neck, especially if the TSH was less than 0.1 mU/L (72).  A second meta-analysis of 13 prospective cohorts (70,298 subjects, median age 64 years, median follow-up 12 years, 3% with subclinical hyperthyroidism) reported that subjects with subclinical hyperthyroidism had increased rates of hip fracture, clinical spine fracture, non-spine fracture, and any fracture (73).  Risks were greatest if the TSH was less than 0.1 mU/L.  There is also evidence for improvement in bone metabolism or BMD after treatment of endogenous subclinical hyperthyroidism (74). Finally, in hypothyroid subjects who were started on LT4 and followed for a mean of 7 years, the number of 6-month periods with low TSH levels increased the risk of hip and major osteoporotic fractures in post-menopausal women, but not in men (75).  This further illustrates the importance of avoiding overtreatment in hypothyroidism.

 

Mood and cognitive function have also been examined in older subjects with subclinical hyperthyroidism (76). A meta-analysis of 11 studies (16,805 subjects, mean age over 70 years, median follow-up 3.5 years) reported an increased risk of dementia in subclinical hyperthyroid subjects (77).  A more recent prospective cohort study (2,558 subjects ages 70-79 years, median follow-up 9 years) reported an increased risk of dementia if the TSH was suppressed, but not if the TSH was low but detectable (78).  Reports on associations between subclinical hyperthyroidism and rates of depression or anxiety have been variable, with some studies indicating no association in older subjects (35,79), while others report increased rates of depressive symptoms in subclinical hyperthyroidism (80).

 

Concerns about effects of mild thyroid hormone excess upon heart and bone, and more recently on cognitive function, have led to a trend towards treatment of this condition. In those taking exogenous thyroid hormone, management is relatively straightforward, namely reduction in prescribed dose and re-checking of serum TSH 6-8 weeks later. For those not taking T4, many experts administer either antithyroid drugs or radioiodine to those with persistent subclinical hyperthyroidism, especially in subjects with atrial fibrillation or other underlying cardiac disease. Prospective trials confirming benefit of such therapy have yet to be performed, but analysis of large datasets indicate that prolonged periods of undertreatment confer increased risks (19,21).  Based on this, consensus guidelines recommend that older subjects and those with AF or other vascular risk factors should be treated (35).

SCREENING FOR HYPERTHYROIDISM IN ELDERLY SUBJECTS

 

Several factors should be considered before a decision is made to institute either population or targeted screening for thyroid disorders in groups such as the elderly. Firstly, screening programs should be instituted only for those conditions in which the benefits of screening outweigh the costs. Whether benefits outweigh the costs depends on accurate quantification of these issues, then a judgment as to whether the costs of screening are justified. Although it is clear that hyperthyroidism is common, there are no data that demonstrate that identified subjects benefit from being diagnosed; it is not sufficient to demonstrate only that such subjects exist. Such benefits and costs should ideally be based upon the results of a randomized controlled trial in an appropriate sample of the relevant population. In considering costs, those incurred by those who do not themselves gain from the screening program should be considered. If, for example, the screening process uses a test such as serum TSH with occasional positives, then some patients may be exposed to investigations which are unnecessary, with accompanying risk and potential morbidity.

 

While overt and subclinical hyperthyroidism are common in older subjects, and while there is evidence for adverse consequences of these diagnoses, the evidence that treatment in a screened population improves morbidity/mortality, and that the risks of such treatment outweigh the costs, is currently inconclusive. There should, nonetheless, be a high index of suspicion for hyperthyroidism in this age group and a low threshold for biochemical testing, especially in those with a previous personal or family history of thyroid disease or those with conditions such as atrial fibrillation that may reflect hyperthyroidism. Care must also be taken to recognize the atypical presentations of hyperthyroidism that occur in this age group, including unexplained weight loss and psychiatric symptoms.

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Anaerobic Infections and Endocrinology

ABSTRACT

 

Anaerobic bacteria are present as part of the normal microbial flora in the human body. These bacteria turn virulent whenever the host defense mechanisms are compromised. Diabetes and glucocorticoid abuse are the two common endocrine conditions that predisposes individuals to anaerobic infections. Anaerobic infections are common in tropical countries and can affect any tissue or gland resulting in severe organ dysfunction. Microbial endocrinology deals with the bidirectional interaction between the hormones and the microbes. The interaction is influenced by the virulence factors released from the microbes, inflammatory mediators, and the hormonal dysfunction. In this chapter, we shall discuss the various anaerobic bacterial infections relevant in endocrinology practices.

 

INTRODUCTION

 

The term “anaerobic” broadly denotes intolerance to oxygen. Anaerobic bacteria are the commonest bacteria in the bacterial flora present on the skin and mucous membranes (1). They are broadly divided into three types based on their relation to oxygen and growth potential as shown in figure 1.

Figure 1. Types of anaerobic bacteria

 

Virtually all anaerobic infections are derived from the normal bacterial flora of the body. The virulence characteristics of the organisms are kept in check by the defense mechanisms and a breach in the same may lead to infection. The risk of anaerobic infection is determined by the balance between the inoculum, virulence characteristics, and the host defenses. Previously, anaerobic infections were considered to be less prevalent due to the lack of identification techniques and the fastidious nature of the bacteria (2). Increased awareness, antibiotic misuse resulting in changing microbiome, ease of culture and diagnostic techniques helped in demonstrating that anaerobic infections also are frequent in clinical practice.

 

Microbial endocrinology is a term coined in 1992, to describe the bi-directional interplay between microbes and endocrine hormones (3). Endocrine glands are located deep in the human body with the exception of the thyroid gland. Most of the endocrine glands have a thick capsule protecting them from the contagious spread of infection. The endocrine glandular tissue is highly vascular, thereby not conducive for the growth of anaerobic bacteria. However, anaerobes can overcome the host defenses resulting in infection and breaks in the anatomic barrier can occur due to surgery, trauma, or the disease process itself from within. The predisposing factors for anaerobic infections include diabetes, immunosuppression, malignancy, neutropenia, and decreased redox potential in the tissues.

 

INTERPLAY BETWEEN ANAEROBIC BACTERIA AND HORMONES

 

The taxonomy of anaerobes has changed recently due to the improvement in diagnostic techniques. The development of advanced culture methods, next generation sequencing technology, and metagenomics has improved the understanding of anaerobic bacteria (4). Previously, the antibiotic susceptibility pattern of most of the anaerobes was not clear due to the difficulties in culture methods. Advanced diagnostic techniques like DNA hybridization, mass spectrometry, multiplex PCR, and oligonucleotide array technologies helped in improving the classification as well as the understanding of antibiotic susceptibility patterns of these bacteria. A simple taxonomical classification of anaerobic bacteria useful in clinical practice is shown in figure 2.

Figure 2. Types of anaerobic bacteria

 

Estrogen and Vaginal Flora

 

The healthy vaginal flora consists of Lactobacillus species and estrogen plays an important role in maintaining this flora (5). Estrogen increases vaginal epithelial activity resulting in a thickened layer of epithelium with glycogen deposition. The Lactobacilli breaks the glycogen into lactic acid and hydrogen peroxide locally, resulting in the vaginal pH being maintained in acidic range (< 4.5) to prevent the growth of anaerobic bacteria. Bacterial vaginosis is a common infection in women due to a shift of the vaginal microbiome from Lactobacillus flora to a mixture of facultative and obligatory anaerobic bacteria. The typical microorganisms include Gardnerella vaginalis, Mycoplasma hominis, and Atopobium vaginae. Postmenopausal females have a higher risk of bacterial vaginosis due to the precipitous decline in the concentration of estradiol. Evidence shows that topical estrogen therapy in these women normalize the vaginal flora and reduce the risk of anaerobic infections (6).

 

Adrenal Hormone and Anaerobes

 

Exposure to any form of stress elevates sympathetic nervous system activity and releases adrenaline and noradrenaline from the adrenal medulla. Prolonged stress induces a shift in immunity from Th1 linked cellular immunity to Th2 linked humoral immunity. In addition to many host tissues, microbes also respond to the catecholamines and increase their virulent characteristics (7). The hormonal communication between bacteria and humans involves the presence of interkingdom signaling receptors. Bacterial cell membrane bound histidine kinases (QseC and QseE) act as adrenergic sensors to detect the local hormone concentrations. QseC also modulate the expression of many genes that increase the virulence and inflammation. This is one of the mechanisms that interlink the immune-endocrine interactive pathway mediated by stress hormones.

 

Stress induced alterations in the anaerobes of the gingival flora led to the observation that noradrenaline and adrenaline act as environmental cues for bacteria (8). The spectrum of biological effects of the stress hormones on gingival flora could range from halitosis to atherosclerotic plaque rupture leading to acute coronary syndrome. These hormones affect the growth of Fusobacterium, Propionibacterium, and Prevotella and the hormonal effects are mostly species or strain specific. The biological adverse effects are mediated by changes in biofilms, bacterial adaptation techniques, bacterial adherence, and release of the cytotoxic enzymes.

 

DIABETES AND ANAEROBIC INFECTIONS

 

Diabetes mellitus (DM) is the most common metabolic and endocrine disorder that predisposes an individual to the development of infections. The defective immune responses seen in patients with DM could exacerbate the risk of anaerobic infections. Though many superficial and deep infections are common in patients with DM, few amongst them are unique in their description. The unique anaerobic infections seen in patients with DM include emphysematous cholecystitis and emphysematous pyelonephritis. Malignant otitis externa is also unique to DM but is mostly polymicrobial in origin.

 

Diabetic Foot Disease

 

Diabetic foot disease is the commonest cause of lower limb amputation in clinical practice. The lifetime risk for a diabetic foot disease is about 25% in certain patients with diabetes. The infections are usually polymicrobial in nature and lead to considerable morbidity and occasional mortality. Anaerobic infections are more common in wounds that are deep seated and are often resistant to the antibiotics and conservative measures (9). Peptostreptococcus and Bacteroides species are the two common anaerobic bacteria of the diabetic foot. Anaerobic bacteria could be either primary or secondary colonizers in the etiology of diabetic foot ulcers. The ischemic and necrotic wounds have a higher rate of anaerobic infection due to the associated low blood supply and low redox potential that facilitate the growth of these bacteria. There is an ethnic variation in the bacterial etiology of diabetic foot infections. Anaerobic osteomyelitis is typically seen associated with diabetic foot ulcers and presents with a chronic non-healing ulcer of the leg. Early surgical debridement, antibiotic therapy with a spectrum against anaerobes, foot revascularization along with proper foot care are the guiding principles in the management of diabetic foot disease. 

 

Fournier’s Gangrene

 

Fournier’s gangrene (FG), first described in 1883, is a rare necrotizing infection of the perineal and genital skin due to both aerobic and anaerobic organisms (10). There is a male preponderance and the disease is mostly described in middle age and elderly patients. The predisposing factors for FG include diabetes mellitus, immunosuppression, and alcoholism. Recently SGLT2 inhibitors have been linked with an increased risk of FG. The condition leads to microthrombi of the small subcutaneous vessels leading to local necrosis and gangrene which is a fertile nidus for anaerobic bacteria to spread rapidly in the subcutaneous tissues. Initially, the patient presents with cellulitis of the scrotal skin and progression of symptoms may lead to severe sepsis and death. The reported mortality rates with FG are about 25 – 30% and the management includes extensive surgical debridement along with broad spectrum antibiotics and hemodynamic supportive measures.

 

Necrotizing Fasciitis

 

Necrotizing fasciitis (NF) is a life-threatening soft tissue infection that causes local tissue destruction, necrosis, and severe sepsis (11). FG is also a form of NF restricted to the genital area. NF is divided into four types based on the etiological organisms. Type 1 NF is polymicrobial in origin including anaerobes, whereas, type 2 NF is due to either Streptococcus or Staphylococcus. Type 3 and 4 are less common and are due to Vibrio species and fungi respectively. The predisposing factors include DM, malignancy, immunosuppression, alcohol abuse, and systemic chronic debilitating disease. Initial presentation mimics that of cellulitis and early clues to the NF are pain and systemic features out of proportion to the local swelling and the presence of hemorrhagic bullae. Patients with diabetes and NF tend to have polymicrobial infections, severe renal impairment, delayed diagnosis. and multiple co-morbid ailments in comparison to NF patients without diabetes (12). Management principles are similar to FG and include surgical debridement, broad spectrum antibiotics, and supportive measures.

 

Periodontitis

 

Infection of the tissues surrounding the teeth are known as periodontitis and is usually caused by the anaerobic gram-negative bacteria. This is more common in patients with type 2 DM and this complication is often known as the “Sixth” complication of diabetes. The links between diabetes and periodontitis are mediated by oxidative stress, advanced glycation end products leading to immune dysfunction, inflammatory marker release, and increased tissue destruction (13). Periodontitis also exacerbates insulin resistance due to the release of cytokines and chemokines. DM is characterized by periapical bone destruction, poor wound healing, and also has a direct effect on the dental pulp integrity. Periodontitis is an independent marker of mortality in patients with T2DM and it is essential to treat these two conditions simultaneously for better outcomes.

 

ORGAN SPECIFIC ANAEROBIC INFECTIONS

 

Endocrine glands are usually resistant to localized infections due to their location, high vascularity, and in some glands the presence of a protective capsule preventing the local spread of infection. However, these natural barriers are broken in certain conditions leading to the development of infections.

 

Thyroid Gland

 

The thyroid gland is resistant to bacterial infection due to the high iodine content, blood supply, and thick capsule. Acute suppurative thyroiditis (AST) is a complication due to the anaerobic bacterial infection of the thyroid gland (14). Porphyromonas, Propionibacterium and Streptococcus are the common bacteria that have been reported to lead to AST. Many of these bacteria live as commensals in the gingival epithelium. These patients usually present with a tender neck mass and systemic features of inflammation, similar to the presentation of subacute thyroiditis (SAT). It is essential to differentiate between AST and SAT, as glucocorticoids worsen the former and are indicated in the later condition. The majority of the AST patients are euthyroid, whereas, the SAT presents with features of thyrotoxicosis. AST is seen involving the left side of thyroid gland, whereas, SAT involves both sides similarly. Ultrasonography and aspiration cytology aid in the confirmation of the diagnosis. Therapy consists of appropriate antimicrobial drugs and surgical drainage of an abscess if present.

 

Pituitary Gland

 

The intrasellar location and the high rate of blood flow per gram makes the pituitary gland resistant to the development of local infections. However, a few case reports have described anaerobic abscesses in the sella that could be due to blood stream infection (15). The patients present with features of a pituitary mass including local compression and hormonal dysfunction. Surgical drainage of the abscess along with prolonged anti-anaerobic therapy is essential for recovery. There may be residual hormonal dysfunction in patients necessitating long-term hormonal replacement.

 

Adrenal Gland

 

Adrenal gland infections are very rare in clinical practice and are usually predisposed by the presence of a blood collection in the gland. The presenting features include fever with chills, abdominal pain, and occasionally features of adrenal deficiency. The infection is mostly due to the aerobic bacilli, but polymicrobial infections are not uncommon. Recent reports suggest the beneficial role of metagenomic next generation sequencing (mNGS) that helps in the early identification of the anaerobic infection (16). mNGS technology helps in identification of multiple anaerobic bacteria simultaneously and the results are available in less than 48 hr, unlike conventional culture which takes more than a week. Management is similar to any other organ involvement with pus drainage and prolonged antibiotics.

 

INFERTILITY AND ANAEROBIC INFECTIONS

 

Infertility affects about 10 – 15% of couples and infections constitute one of the major contributory factors for infertility (17). Female and male factors account for about 40% of etiologies exclusively, whereas, both partners along with an idiopathic etiology account for the remaining 20%. Anaerobic infections constitute one of the common infectious causes of infertility, albeit, predominantly in females.

 

Female Infertility

 

Pelvic inflammatory disease (PID) is the commonest cause leading to female infertility due to tubal adhesions, mucosal damage, and tubal occlusion. PID is caused by multiple organisms which include Chlamydia, Neisseria, and anaerobes. Bacterial vaginosis is a major contributory factor in the pathogenesis of PID as evidenced by the identification of the similar microbial flora (18). Bacteria ascend the genital tract via the endocervical and endometrial epithelia including the lymphatics. Lower abdominal pain and vaginal discharge are the two common symptoms of PID. Early identification of PID, prompt antibiotic therapy, and surgical drainage of the pus result in the cure without residual tubal complications. Patients with recurrent abortions have also been shown to have vaginal colonization with Gardnerella vaginalis and facultative anaerobes (18). This indicates an association between the altered vaginal microflora, local and systemic inflammation, change in the immune mediators, chemokines and cytokines, impaired implantation, placentation, and blood vessel transformation culminating into the recurrent abortions.

 

Male Infertility

 

Anaerobic infections affect semen quality and the total sperm concentration leading to male infertility. The semen samples from sub-fertile men are characterized by the presence of a large number of pus cells and multiple bacteria (19). Anaerobic bacteria affect the ability of the sperm to penetrate the cervical mucosa by the release of microbial toxins. Anaerobic infections are not routinely identified with the standard methods of culture and should be ruled out in all patients with unexplained oligoasthenospermia along with the presence of pus cells in the semen. Positive microbial cultures, however do not convey the exact location of the infection as the semen consists of secretions from the multiple glands including the prostate. A classic four specimen technique could be helpful in the localization of the infection and these patients require long term antibiotic therapy.

 

GUT ANAEROBES AND METABOLIC DISORDERS

 

Gut microbes are essential for the host immune system and help in digestion and maintenance of local tissue integrity. The intestinal bacteria mediate their beneficial effects by breaking dietary constituents into various short chain fatty acids which act as beneficial signals in metabolism and immunomodulation (21). Though it’s very difficult to characterize the entire gut microbiome, parameters such as alpha species diversity, ratio between the beneficial (Akkermansia, Bifidobacterium, Lactobacillus etc.) and the harmful (Enterococcus, Bacteroides, Lachnospiraceae etc.) bacteria are used in laboratory evaluation. Recent reports have emerged that the gut microbiome plays an important role in the etiopathogenesis of metabolic disorders including type 2 DM and obesity.

 

Diet and environmental factors play an important role in shaping the gut microbiome. The diversity in the gut microbiota could also be a contributory factor in the prevalence of the metabolic disorders between different ethnic populations (22). Increasing use of the antibiotics, environmental pollution, and consumption of refined products have led to alterations in the microbial flora with a shift from a healthy flora to an unhealthy one. Proinflammatory molecules secreted from intestinal bacteria translocate to the blood stream triggering metabolic endotoxemia, which is described as the leaky gut syndrome. The gut-blood barrier is often broken with the colonization of the anaerobic bacteria in the gut replacing the normal flora.  

 

The microflora in individuals is a key determinant in directing the response to antibiotics and probiotics. The fecal samples of Japanese patients with T2DM showed lower bacterial counts of obligatory anaerobes and higher content of facultative anaerobes in comparison to the control population. There is also a higher percentage of gut bacteria in the circulation, thereby confirming the leaky-gut hypothesis (23).  Apart from metabolic disorders, the gut dysbiosis has not been shown to affect other endocrine disorders.

 

ENDOCRINE ISSUES WITH THE ANTIMICROBIALS USED AGAINST ANAEROBES

 

Antimicrobials are the cornerstone of therapy against the anaerobic infections. In a few cases, the antibiotic therapy is supplemented with the surgical drainage of the pus. The therapy is often prolonged due to the slow growth rate of the anaerobes, polymicrobial nature of the infection, and the development of antibiotic resistance (24). The commonly used antimicrobials against anaerobic infections include metronidazole, carbapenems, quinolones, beta-lactams, chloramphenicol, tigecycline, and clindamycin. Many of these drugs have no significant endocrine side-effects except for the dysglycemia with the use of quinolones. Other endocrine effects due to the protracted use of these drugs are summarized in the table 1.

 

Table 1. Endocrine Side-Effects of Antimicrobials used Against Anaerobic Infection

Drug

Endocrine side-effects

Metronidazole

Altered gut microbiome

Anterior pituitary inhibition

Quinolones

Dysglycemia,

Reduced absorption of levothyroxine

Seizures in thyrotoxicosis patients

Beta-lactams

Fractures

Tigecycline

Hypoglycemia

Chloramphenicol

Inhibition of thyroid hormones production

Clindamycin & Carbapenems

Nil

 

CONCLUSION

 

Anaerobic infections are common in clinical practice and diabetes is the most common endocrine condition predisposing for these infections. Anaerobic organisms have hormonal interactions with gonadal and adrenal hormones and the field of microbial endocrinology is expanding rapidly. Organ specific anaerobic infections may lead to endocrine dysfunction in the form of infertility, glandular abscess, and hypofunction of the involved endocrine axis. A high index of clinical suspicion is essential to identify anaerobic infections especially in the tropical countries. The principles of management are prolonged antibiotic therapy along with drainage of the pus. Systemic supportive therapy and extensive debridement is essential in life threatening anaerobic infections like necrotizing fasciitis.

 

REFERENCES

 

  1. Brook I. Spectrum and treatment of anaerobic infections. J Infect Chemother. 2016 Jan;22(1):1-13.
  2. Vena A, Muñoz P, Alcalá L, Fernandez-Cruz A, Sanchez C, Valerio M, Bouza E. Are incidence and epidemiology of anaerobic bacteremia really changing? Eur J Clin Microbiol Infect Dis. 2015 Aug;34(8):1621-9.
  3. Lyte M, Ernst S. Catecholamine induced growth of gram-negative bacteria. Life Sci. 1992;50(3):203-12.
  4. Lavigne JP, Sotto A, Dunyach-Remy C, Lipsky BA. New Molecular Techniques to Study the Skin Microbiota of Diabetic Foot Ulcers. Adv Wound Care (New Rochelle). 2015 Jan 1;4(1):38-49.
  5. Wilson JD, Lee RA, Balen AH, Rutherford AJ. Bacterial vaginal flora in relation to changing oestrogen levels. Int J STD AIDS. 2007 May;18(5):308-11. 
  6. Tidbury FD, Langhart A, Weidlinger S, Stute P. Non-antibiotic treatment of bacterial vaginosis-a systematic review. Arch Gynecol Obstet. 2021 Jan;303(1):37-45. 
  7. Boyanova L. Stress hormone epinephrine (adrenaline) and norepinephrine (noradrenaline) effects on the anaerobic bacteria. Anaerobe. 2017 Apr;44:13-19.
  8. Jentsch HF, März D, Krüger M. The effects of stress hormones on growth of selected periodontitis related bacteria. Anaerobe. 2013 Dec;24:49-54. 
  9. Charles PG, Uçkay I, Kressmann B, Emonet S, Lipsky BA. The role of anaerobes in diabetic foot infections. Anaerobe. 2015 Aug;34:8-13. 
  10. Montrief T, Long B, Koyfman A, Auerbach J. Fournier Gangrene: A Review for Emergency Clinicians. J Emerg Med. 2019 Oct;57(4):488-500.
  11. Shimizu T, Tokuda Y. Necrotizing fasciitis. Intern Med. 2010;49(12):1051-7.
  12. Tan JH, Koh BT, Hong CC, Lim SH, Liang S, Chan GW, Wang W, Nather A. A comparison of necrotising fasciitis in diabetics and non-diabetics: a review of 127 patients. Bone Joint J. 2016 Nov;98-B(11):1563-1568. 
  13. Lima SM, Grisi DC, Kogawa EM, Franco OL, Peixoto VC, Gonçalves-Júnior JF, Arruda MP, Rezende TM. Diabetes mellitus and inflammatory pulpal and periapical disease: a review. Int Endod J. 2013 Aug;46(8):700-9. 
  14. Sun JH, Chang HY, Chen KW, Lin KD, Lin JD, Hsueh C. Anaerobic thyroid abscess from a thyroid cyst after fine-needle aspiration. Head Neck. 2002 Jan;24(1):84-6. 
  15. Neelon FA, Mahaley MS Jr. Chiasmal syndrome due to intrasellar abscess. Arch Intern Med. 1976 Sep;136(9):1041-3. 
  16. Jin W, Miao Q, Wang M, Zhang Y, Ma Y, Huang Y, Wu H, Lin Y, Hu B, Pan J. A rare case of adrenal gland abscess due to anaerobes detected by metagenomic next-generation sequencing. Ann Transl Med. 2020 Mar;8(5):247.
  17. Rhoton-Vlasak A. Infections and infertility. Prim Care Update Ob Gyns. 2000 Sep 1;7(5):200-206.
  18. Hay PE. Bacterial vaginosis and miscarriage. Curr Opin Infect Dis. 2004 Feb;17(1):41-4.
  19. Kuon RJ, Togawa R, Vomstein K, Weber M, Goeggl T, Strowitzki T, Markert UR, Zimmermann S, Daniel V, Dalpke AH, Toth B. Higher prevalence of colonization with Gardnerella vaginalis and gram-negative anaerobes in patients with recurrent miscarriage and elevated peripheral natural killer cells. J Reprod Immunol. 2017 Apr;120:15-19.
  20. Eggert-Kruse W, Rohr G, Ströck W, Pohl S, Schwalbach B, Runnebaum B. Anaerobes in ejaculates of subfertile men. Hum Reprod Update. 1995 Sep;1(5):462-78.
  21. Hills RD Jr, Pontefract BA, Mishcon HR, Black CA, Sutton SC, Theberge CR. Gut Microbiome: Profound Implications for Diet and Disease. Nutrients. 2019 Jul 16;11(7):1613. 
  22. Escobar JS, Klotz B, Valdes BE, Agudelo GM. The gut microbiota of Colombians differs from that of Americans, Europeans and Asians. BMC Microbiol. 2014 Dec 14;14:311.
  23. Sato J, Kanazawa A, Ikeda F, Yoshihara T, Goto H, Abe H, Komiya K, Kawaguchi M, Shimizu T, Ogihara T, Tamura Y, Sakurai Y, Yamamoto R, Mita T, Fujitani Y, Fukuda H, Nomoto K, Takahashi T, Asahara T, Hirose T, Nagata S, Yamashiro Y, Watada H. Gut dysbiosis and detection of "live gut bacteria" in blood of Japanese patients with type 2 diabetes. Diabetes Care. 2014 Aug;37(8):2343-50. 
  24. Brook I. Antimicrobials therapy of anaerobic infections. J Chemother. 2016 Jun;28(3):143-50. 

Androgen Physiology: Receptor and Metabolic Disorders

ABSTRACT

 

Androgens are an important class of C19 steroid hormones that control normal male development and reproductive function. The main circulating androgen is testosterone, which is produced in the Leydig cells of the testis and can also act as a pro-hormone after being metabolized to dihydrotestosterone (DHT) or estradiol (E2). The biological actions of testosterone and DHT are mediated by the androgen receptor, a member of the nuclear receptor superfamily, which in response to hormone regulates gene expression in target tissues. In this chapter the biosynthesis of androgens, receptor structure/function, and the consequences of genetic changes impacting on receptor expression and signaling in disorders of male development are discussed.

 

INTRODUCTION

 

Androgens are important hormones for expression of the male phenotype. They have characteristic roles during male sexual differentiation, but also during development and maintenance of secondary male characteristics and during initiation and maintenance of spermatogenesis (1, 2). The two most important androgens in this respect are testosterone and 5α-dihydrotestosterone [Figure 1].

Figure 1. Structure of testosterone and 5α-dihydrotestosterone and anti-androgens.

While acting through the same androgen receptor, each androgen has its own specific role during male sexual differentiation: testosterone is directly involved in development and differentiation of Wolffian duct derived structures (epididymides, vasa deferentia, seminal vesicles and ejaculatory ducts) [Figure 2A], whereas 5α-dihydrotestosterone, a metabolite of testosterone, is the active ligand in a number of other androgen target tissues, like urogenital sinus and tubercle and their derived structures (prostate gland, scrotum, urethra, penis) [Figure 2B] (3, 4).

Figure 2. Specific actions of testosterone (T) and 5α-dihydrotestosterone (DHT). A) Testosterone is synthesized in the testis under the control of luteinizing hormone (LH) from the pituitary. After entering target cells in the hypothalamus, pituitary, testis, and Wolffian duct, T binds to the androgen receptor (AR) and the T-AR complex binds to specific DNA sequences and regulates gene transcription, which can result in negative feedback regulation of gonadotrophin synthesis and secretion, in initiation and regulation of spermatogenesis, and in differentiation and development of Wolffian ducts. B) T is synthesized in the testis under the control of LH, enters target cells in urogenital sinus, urogenital tubercle, and several other androgen target tissues and is metabolized to DHT by the enzyme 5α-reductase type 2. DHT binds directly to the AR and the DHT-AR complex interacts with specific DNA sequences and regulates gene transcription resulting in differentiation and development of the prostate, the external genitalia, and during puberty several secondary male sex characteristics.

The interaction of both androgens with the androgen receptor is different. Testosterone has a twofold lower affinity than 5α-dihydrotestosterone for the androgen receptor, while the dissociation rate of testosterone from the receptor is five-fold faster than of 5α-dihydrotestosterone (5). However, testosterone can compensate for this "weaker" androgenic potency during sexual differentiation and development of Wolffian duct structures via high local concentrations due to diffusion from the nearby positioned testis. In more distally located structures, like the urogenital sinus and urogenital tubercle the testosterone signal is amplified via conversion to 5α-dihydrotestosterone.

 

ANDROGEN BIOSYNTHESIS

 

Androgens (testosterone and 5α-dihydrotestosterone) belong to the group of steroid hormones. The major circulating androgen is testosterone, which is synthesized from cholesterol in the Leydig cells in the testis. Testosterone production in the fetal human testis starts during the sixth week of pregnancy. Leydig cell differentiation and the initial early testosterone biosynthesis in the fetal testis are independent of luteinizing hormone (LH) (6-8). During testis development production of testosterone comes under the control of LH which is produced by the pituitary gland. Synthesis and release of LH is under control of the hypothalamus through gonadotropin-releasing hormone (GnRH) and inhibited by testosterone via a negative feedback mechanism [Figure 2A] (9).The biosynthetic conversion of cholesterol to testosterone involves several discrete steps, of which the first one includes the transfer of cholesterol from the outer to the inner mitochondrial membrane by the steroidogenic acute regulatory protein (Star) and the subsequent side chain cleavage of cholesterol by the enzyme P450scc (10). This conversion, resulting in the synthesis of pregnenolone, is the rate-limiting step in testosterone biosynthesis. Subsequent steps require several enzymes including, 3β-hydroxysteroid dehydrogenase, 17α-hydroxylase/C17-20-lyase and 17β-hydroxysteroid dehydrogenase type 3 [Figure 3] (11).

Figure 3. Biosynthetic pathways for testosterone and DHT synthesis. The classic pathway show testosterone synthesized from cholesterol with further metabolism to DHT. The alternative or “backdoor” pathway shows DHT production without going through testosterone. Note only some of the enzymes are shown for clarity.

METABOLISM OF TESTOSTERONE TO 5α-DIHYDRO-TESTOSTERONE

 

Metabolism of testosterone to 5α-dihydrotestosterone occurs through the classical pathway [Figure 3] and is essential for initiation of the differentiation and development of the urogenital sinus into the prostate [Figure 2B]. Differentiation of male external genitalia (penis, scrotum and urethra) also strongly depends on the conversion of testosterone to 5α-dihydrotestosterone in the urogenital tubercle, labioscrotal swellings, and urogenital folds (1). In recent research there has been considerable interest in the alternative or ‘backdoor’ pathway of DHT production (12 and references therein). This pathway has been found to have a significant role in the normal masculinization of the male fetus (see 13) and abnormal virilization of the female fetus in cases of congenital adrenal hyperplasia resulting from mutations in the enzyme P450 oxidoreductase (14).

 

The irreversible conversion of testosterone to 5α-dihydrotestosterone is catalyzed by the microsomal enzyme 5α-reductase type 2 (SRD5A2) and is NADPH dependent [Figure 4] (15). The cDNA of the gene for 5α-reductase type 2 codes for a protein of 254 amino acid residues with a predicted molecular mass of 28,398 Dalton (16, 17).

Figure 4. Metabolism of testosterone to DHT by the enzyme 5α-reductase type 2 (SDR5A2).

The NH2-terminal part of the protein contains a subdomain proposed to be involved in testosterone binding, while the COOH-terminal region is involved in NADPH-binding (3). The enzyme 5α-reductase type 2 belongs to the 5α-reductase family which is composed of 3 subfamilies with a total of 5 members (18). There are three isozymes: type 1, type 2 and the more recently discovered type 3, which has a role in the conversion of polyprenols to dolichols (important step in protein N-glycosylation) (19, 20). The other members are the proteins glycoprotein synaptic 2 (GPSN2) and glycoprotein synaptic 2 like (GPNS2L) and are most likely involved in double bond reduction during fatty acid elongation (21).

 

ANDROGEN ACTION

 

The Androgen Receptor and the Nuclear Receptor Family

 

Actions of androgens are mediated by the androgen receptor (NR3C4; Nuclear Receptor subfamily 3, group C, gene 4). This ligand-dependent transcription factor belongs to the superfamily of 48 known human nuclear receptors (22). This family includes receptors for steroid hormones, thyroid hormones, all-trans and 9-cis retinoic acid, 1,25 dihydroxy-vitamin D, ecdysone and activators of peroxisome proliferation (23-25). An increasing number of nuclear proteins have been identified with a protein structure homologous with that of nuclear receptors, but without a known ligand. These so-called "orphan" receptors form an important subfamily of transcription factors acting either in the absence of any ligand or with yet unknown endogenous ligands (26). Comparative structural and functional analysis of nuclear hormone receptors has revealed a common structural organization in 4 different functional domains: a NH2-Terminal Domain, a DNA-Binding Domain, a Hinge Region and a Ligand Binding Domain [Figure 5].

Figure 5. Steroid hormone receptor family. Sequence homologies between the human androgen receptor (hAR), human progesterone receptor (hPR), human glucocorticoid receptor (hGR), human mineralocorticoid receptor (hMR), and the human estrogen receptor alpha (hERα) and beta (hERβ).

The current model for androgen action involves a multi-step mechanism as depicted in Figure 6. Upon entry of testosterone into the androgen target cell, binding occurs to the androgen receptor either directly or after its conversion to 5α-dihydrotestosterone. Binding to the receptor is followed by dissociation of chaperone protein complexes (e.g., heat shock proteins) in the cytoplasm, simultaneously accompanied by a conformational change of the receptor protein resulting in a transformation and a translocation to the nucleus. The complex of chaperone and chaperone-associated proteins is collectively called the ‘foldosome’ and has functions beyond the classical role in the cytosol. The foldosome can for instance affect nuclear translocation and target gene expression (27, 28). Upon binding in the nucleus to specific DNA-sequences the receptor dimerizes with a second molecule and the homodimer entity recruits further additional proteins (e.g., coactivators, general transcription factors, RNA-polymerase II) via specific interaction motifs (29). This finally results in transcriptional activation or suppression of specific androgen responsive genes (30).

 

Figure 6. Simplified model of androgen action in an androgen target cell. The androgen receptor (AR) binds testosterone or its active metabolite DHT. After disassociation of heat shock proteins (hsp) the receptor enters the nucleus via an intrinsic nuclear localization signal and binds as a homodimer to specific DNA elements present as enhances upstream of androgen target genes. The next step is recruitment of coactivators, which form the communication bridge between the receptor and several components of the transcription machinery. The direct and indirect binding of the androgen receptor with several components of the transcription machinery (e.g., RNA polymerase II (RNA Pol II), general transcription factors (GTFs)) are key events in nuclear signaling. This communication triggers subsequent mRNA synthesis and consequently protein synthesis resulting in androgen responses. A non-genomic pathway involving the AR via cross-talk with the Src/Raf-1Erk-2 pathway is also known.

Interestingly androgen signaling via the androgen receptor can also occur in a non-genomic, rapid and sex-nonspecific way by crosstalk with the Scr, Raf-1, Erk-2 pathway [Figure 6] (31, 32). The classical androgen receptor is also involved in androgen-mediated induction of Xenopus oocyte maturation via the (MAPK)-signaling cascade in a transcription independent way (33, 34).

 

Cloning and Structural Organization of the Androgen Receptor Gene

 

Since cloning of the human androgen receptor cDNA our insights into the mechanism of androgen action have increased tremendously. Only one androgen receptor cDNA has been identified and cloned, despite the two different ligands (35-38). The concept of two hormones and one receptor to explain the different actions of androgens has been generally accepted and, according to the information available from the human genome project, it is very unlikely that additional genes exist coding for a functional nuclear receptor with androgen receptor-like properties (25).

 

The androgen receptor gene is located on the X-chromosome at Xq11.2 -12.  The gene spans 186,587 kilobases (kb) in total and codes for a protein with a molecular mass of approximately 110 kDa [Figure 7] (39, 40). The gene consists of 8 coding exons and the structural organization of the coding exons is essentially identical to those of the genes coding for the other steroid hormone receptors (e.g., exon/intron boundaries are highly conserved) and is characterized by unusually long 5’- and 3’-UTRs [Figure 7] (36, 41-43, 47). As a result of differential splicing in the 3' - untranslated region two androgen receptor mRNA species (of around 7.5 and 10 kb, respectively) have been identified in several human tissues and cell lines (36): only the larger transcript is seen in rodent tissues (36, 43, 47). There is no structural indication in the androgen receptor mRNA for any preferential use of either of the two transcripts or transcript specific functions, but it can be speculated that tissue-specific factors may determine which transcript is present in which androgen target tissue. In the human prostate and in genital skin fibroblasts the 10 kb size mRNA is predominantly expressed (43). It may also be significant that a number of micro-RNAs have been identified and validated that target the 3’-UTR that are likely to contribute to the regulation of receptor levels (44-46) [Figure 7].

Figure 7. Human androgen receptor gene was mapped to the long arm of the X chromosome. The human androgen receptor gene consists of coding exons and unusually long 5’- and 3’ UTRs. These have been shown to be important for transcriptional regulation (binding sites for both positive and negative regulatory factors) in the case of the 5’UTR. The 3’UTR region of the mRNA is targeted by a number of microRNAs (miRNAs). The androgen receptor has been shown to downregulate its own mRNA through response elements located in the 5’UTR and exon 2.

Regulation and Expression of the Androgen Receptor Gene

 

The promoter for the androgen receptor gene lacks TATA and CCAAT elements and transcription is driven primarily by the Zn-finger transcription factor Sp1. Sp1 binds to GC-boxes upstream of the transcription start site (-46 to -41 bps) and within the 5’UTR (+429 to +442) (47-52) [Figure 7]. In addition, the promoter and the region spanning the 5’-UTR and exon 1 contains a CpG island that demonstrates tissue-selective methylation patterns (53) and to be associated with loss of AR expression in prostate cancer (54).

 

Transcription of the receptor gene is under both positive and negative regulation (55, 58). Recent studies have focused on the auto-down regulation of the receptor mRNA in prostate cells. Balk and co-workers (56) identified, using chromatin immunoprecipitation (ChIP), binding sites for ligand bound androgen receptor within the second intron and a second negative androgen response elements has been characterized in the 5’UTR (+611 bp) of the human receptor gene (57). Unravelling the molecular mechanism(s) for androgen-dependent down regulation, including possible synergy between the identified elements, in different cell types and tissues is an active area of research (58).

 

In addition to regulation by hormone, recent work has also highlighted the importance of the balance between positive (Sp1) and negative (Purα) transcription factors binding to the 5’UTR of the human gene in determining the expression of receptor mRNA in different prostate cancer cell models (52 and references therein).

 

Androgen Receptor Polymorphisms

 

The androgen receptor DNA-binding and ligand-binding domains have a high homology with the corresponding domains of the other members of the steroid receptor subfamily (59) [Figure 5].

 

There is a remarkably low homology between the androgen receptor NH2-terminal domain and that of the other steroid receptors [Figure 5, see above] (60-65). A poly-glutamine stretch, encoded by a polymorphic (CAG)nCAA - repeat is present in the NH2-terminal domain (66). The length of the repeat has been used for identification of X-chromosomes for carrier detection in pedigree analyses (67, 68). Variation in length (9 - 38 glutamine residues) is observed in the normal population and has been suggested to be associated with a very mild modulation of androgen receptor activity (69). This assumption is based on in vitro experiments after transient transfection of androgen receptor cDNA's containing (CAG)nCAA - repeats of different lengths (70, 71). In translating this finding to the in vivo situation, it can be envisaged that either shorter or longer repeat lengths can result in a relevant biologic effect during life. This concept has been explored in epidemiological studies of men with prostate cancer or infertility. With respect to prostate cancer, a clear picture has not emerged, and controversy persists. In several studies, shortening of the (CAG)nCAA repeat length in exon 1 of the androgen receptor gene was found to correlate with an earlier age of onset of prostate cancer, and a higher tumor grade and aggressiveness (72-74). However, in other epidemiological studies in prostate cancer patients these associations were not confirmed (75, 76).

 

In several investigations in male infertile patients an association was found between a longer (CAG)nCAA repeat and the risk of defective spermatogenesis (77-79). This suggests that a less active androgen receptor, due to a moderate expanded repeat length, may be a factor in the etiology of male infertility.

 

The (CAG)nCAA - repeat in exon 1 of the androgen receptor gene is expanded in patients with spinal and bulbar muscular atrophy (SBMA) and varies between 38 and 75 repeat units (69, 80, 81). Spinal and bulbar muscular atrophy is characterized by progressive muscle weakness and atrophy and is associated with nuclear accumulation of androgen receptor protein with the expanded polyglutamine stretch in motor neurons. Clinical symptoms usually manifest in the third to fifth decade and result from severe depletion of lower motor nuclei in the spinal cord and brainstem (69, 82, 83). SBMA patients frequently exhibit endocrinological abnormalities including testicular atrophy, infertility, gynecomastia, and elevated LH, FSH and estradiol levels. Sex differentiation proceeds normally, and characteristics of mild androgen insensitivity appear later in life.

 

The neurotoxicity of the polyglutamine androgen receptor may involve generation of NH2-terminal truncation fragments, as such peptides occur in SBMA patients, but several other mechanisms have also been suggested for the molecular basis of SBMA (84, 85). Therapeutic approaches in SBMA are focusing on reducing nuclear localized mutant androgen receptor via enhanced mutant androgen receptor degradation or by disrupting the interaction with androgen receptor coregulators (86, 87). In a phase 3 clinical trial it was shown that the use of leuprorelin, a synthetic neuropeptide with an inhibitory action on LH secretion and consequently on testicular testosterone synthesis, is associated with improved swallowing function in SBMA patients, suggesting that interference by a pharmacon in testosterone-mediated AR aggregation can be a potential therapy in SBMA patients (88). The selective action of dutasteride (a 5α-reductase inhibitor) in motor neurons, by reducing significantly the formation of the active androgen 5α-dihydrotestosterone, resulted in a slowdown of the progression of SBMA and illustrated that active androgen depleting therapies can be promising in the treatment of SBMA (89).

 

In general patients with an expanded CAG repeat are expected to have a low incidence of prostate cancer. However, a rare case has been reported in which a high stage prostate cancer has been detected in a SBMA patient, which responded to a maximal androgen blockade therapy (90).

 

An important step in the receptor-mediated mechanism of action of androgens involves the NH2-terminal domain interacting with the COOH-terminal ligand binding domain (N/C interaction). (See details below under ‘Androgen Receptor Functional Domain Structure’). This N/C interaction is also a prerequisite for androgen receptor aggregation and toxicity in SBMA. Interference of the N/C interaction by selective androgen receptor modulators ameliorates aggregation and toxicity (91).

 

The androgen receptor is a substrate for numerous post-translational modifications (see below) and phosphorylation of serine 516 has been associated with cleavage of the receptor and cytotoxicity (92). In contrast, phosphorylation of serines 215 and 793, by Akt kinase, was found to prevent nuclear translocation and receptor transactivation (93). Interestingly, methylation on arginine residues 210, 212, 787, 789 enhanced cytotoxicity and the authors proposed that this was as a consequence of mutual antagonism of phosphorylation (serines 215, 792) and arginine methylation (94). Similarly, prevention of SUMOylation rescues the SBMA phenotype in a mouse model by enhancing receptor-dependent transcriptional activity (95).

 

The isoflavone genistein, which is derived from soy, is a potential therapeutic agent in SBMA, because this androgen receptor modulator can effectively disrupt the interaction between the co-regulator ARA70 and the androgen receptor and promotes the degradation of the mutant receptor in neuronal cells. (96). Similarly, targeting molecular chaperone complexes with small molecule modulators (e.g., 17-AAG, YM-1) has been shown to reduce neurotoxicity and enhance receptor-dependent degradation (reviewed in 81).

 

Several therapeutic approaches have been investigated at different levels in the androgen receptor signaling pathway and aggregation process, in SBMA mouse models. However, translating these results to the human situation in SBMA patients has its limitations and is far from a complete cure of SBMA patients (97, 98).

 

ANDROGEN RECEPTOR AMINO ACID NUMBERING

 

The current sequence of the androgen receptor cDNA and the amino acid numbering of the corresponding protein is based on the NCBI reference sequence NM_000044.3. This is different from the original numbering scheme used over the past 20 years that was based on Gen-Bank mRNA sequence M20132.1 (36).

 

In order to correctly identify mutations previously published, the following changes should be kept in mind: the variable polyglutamine tract length is two longer (23 instead of 21), whereas the variable polyglycine tract length is one shorter (23 instead of 24) for NM_000044.3 versus M20132.1, respectively. Consequently, the androgen receptor protein of the new reference sequence is one amino acid longer, that is, 920 residues, leading to a +2 shift in amino acid numbering between residues 78 and 449 and to a +1 shift between residues 472 and 919 compared with the previously used standard reference sequence. The +1 shift involves all the amino acid residues in the DNA-binding domain (DBD) and ligand-binding domain (LBD). The new reference numbering is further explained and illustrated in Figure 8 and will be used throughout the text.

Figure 8. Reference numbering of the androgen receptor (AR) of protein. The numbering of the amino acid residues is according to National Center for Biotechnology Information (NCBI) reference sequence number NM_000044.3, which refers to a gene size of 187,246 nucleotides and an AR protein of 920 amino acid residues with a polyglutamine tract of 23 and a polyglycine tract of 23 (110). Amino acid numbering +2 between 78 and 449; Amino acid numbering +1 between 472 and 919. In addition, a number of splice variants of the AR have been identified in prostate cancer cell lines and patient samples. These splice variants lack most or all of the LBD but retain a functional DBD and NTD with unique C-terminal sequences derived from cryptic exons (CE) (e.g., AR-v7).

ANDROGEN RECEPTOR: FUNCTIONAL DOMAIN STRUCTURE

 

The NH2-terminal Domain

 

The androgen receptor NH2-terminal domain (NTD) harbors the major transcription activation functions and several structural subdomains. The NTD of the androgen receptor, as that of the other steroid receptors, can be considered as an intrinsically disordered protein domain, existing as an ensemble of conformers. It has a structure between a fully unfolded state and a structured folded conformation: this molten-globule-like conformation has the propensity to form helical structures, despite its structurally plasticity (99-102). Within its 539 amino acids, two independent activation domains have been identified: activation function 1 (AF-1) (located between residues 103 and 372) that is essential for transcriptional activity of full-length androgen receptor, and activation function 5 (AF-5) (located between residues 362-486) that is required for transactivity of a constitutively active androgen receptor, which lacks its LBD (103). Evidence is available now that the AF-5 region in the receptor NH2-terminal domain interacts with a glutamine rich domain in p160 cofactors like SRC-1 and TIF2/GRIP1 and not with their LxxLL-like protein interacting motifs (104-107).

 

Recent years have seen further structural and functional insights into the intrinsically disordered NTD. Key discoveries include the high-resolution mapping of helical regions within the AF1 domain (108) that were in very good agreement with previous predictions (109); and the identification of a helical segment involving the WHTLF motif responsible for TFIIF binding (110). Also of note are helical regions mapping to the poly-Q and adjacent leucine stretch (111) and the sequence immediately preceding the DBD (112). Collectively, these studies emphasize the presence of helical regions within the NTD and its propensity to adopt a more helical structure underpinning function.

 

Another function of the androgen receptor NH2-terminal domain is its binding to the COOH-terminal LBD (N/C interaction) (113, 114). The NH2-terminal regions required for the binding of the LBD have been mapped to two essential units: the first 36 amino acids and residues 372-495 (115).

 

The hormone dependent interaction of the NH2-terminal domain with the ligand binding domain can play a role in stabilization of the androgen receptor dimer complex and in stabilization of the ligand receptor complex by slowing the rate of ligand dissociation and decreasing receptor degradation (116, 117). Agonists like T and DHT, but not antagonists like hydroxyflutamide or bicalutamide induce the N/C interaction in full length receptor. In a FRET (fluorescence resonance energy transfer) study it was clearly shown that the androgen receptor N/C interaction is rapidly initiated in the cytoplasm after hormone binding as an intramolecular interaction and is followed by an intermolecular N/C interaction in the nucleus, contributing to receptor dimerization (118). The N/C interaction occurs preferentially in the mobile androgen receptor, where it protects the coactivator binding groove for ultimately unfavorable protein-protein interactions. Specifically bound to DNA, the N/C interaction is lost allowing cofactor binding (119). Several mutations in the ligand binding domain, detected in patients with the syndrome of androgen insensitivity, negatively affect the interaction of the NH2-terminal domain with the ligand binding domain, while androgen binding was impaired, indicating the importance of this interaction (120).

 

In addition to the role of the NH2-terminal domain in protein-protein interactions it has also been reported to modulate DNA binding, leading to a lower apparent binding affinity for both selective and non-selective response elements (see also below) (121). These findings suggest a further role of the NH2-terminal domain, in interdomain interactions and allosteric regulation of receptor activity.

 

The DNA-binding Domain

 

The DNA-binding domain is the best conserved among the members of the receptor superfamily [Figure 5]. It is characterized by a high content of basic amino acids and by nine conserved cysteine residues [Figure 9A]. Detailed structural information has been published on the crystal structure of the DNA-binding domain of the glucocorticoid receptor complexed with DNA (122). 3D-information is also available for the androgen receptor-DNA interaction on an artificial DNA response element (123) [Figure 9B]. The folding of the DBD is similar to that reported for the glucocorticoid and estrogen receptor DBDs.

Figure 9. Structure of the DNA binding domain of the androgen receptor. A) The protein structure is represented in the one letter code. The domain consists of two zinc cluster modules, which are stabilized by the coordination binding of a zinc atom (red dot) by 4 cysteine residues (yellow). The first zinc cluster contains the P-box (proximal box) of which three residues determine androgen response element recognition. The second zinc cluster contains the D-box (distal box) in which amino acids are located that are involved in protein-protein interactions with a second receptor molecule in the homodimer complex. B) Structure of the AR-DBD bound to DNA (Pdb 1R41). C) Consensus androgen receptor response element.

Briefly, the DNA-binding domain has a compact, globular structure in which three substructures can be distinguished: two zinc clusters and a more loosely structured carboxy terminal extension (CTE) (124). Both zinc substructures contain centrally one zinc atom which interacts via coordination bonds with four cysteine residues [Figure 9].

 

The two zinc coordination centers are both C-terminally flanked by an α-helix (122, 123). The two zinc clusters are structurally and functionally different and are encoded by two different exons [see Figures 7 and 8]. The α-helix of the most N-terminal located zinc cluster interacts directly with nucleotides of the hormone response element in the major groove of the DNA. Three amino acid residues at the N-terminus of this α-helix are responsible for the specific recognition of the DNA-sequence of the responsive element [Figure 9A]. These three amino acid residues, the so-called P(proximal)-box [Gly; Ser; Val;] are identical in the androgen, progesterone, glucocorticoid and mineralocorticoid receptors, and differ from the residues at homologous positions in the estradiol receptor. It is not surprising therefore, that the androgen, progesterone, glucocorticoid and mineralocorticoid receptors can recognize the same response element. The receptor DNA binding domain requires a CTE of minimally four residues (amino acids 626 – TLGA – 629) for proper binding to an ARE (androgen response element) with an inverted repeat of high affinity ARE-half sites and a CTE of at least twelve residues (amino acids 626 – TLGARKLKKLGN – 637) for binding to an ARE with one high and one low affinity half site (125). For the hormone and tissue-specific responses of the different receptors additional determinants are needed. Important in this respect are DNA-sequences flanking the hormone response element, receptor interactions with other proteins and receptor concentrations. The second zinc cluster motif is involved in protein-protein interactions such as receptor dimerization via the so-called D(distal)-box [Figure 9A and B] (122, 123).

 

DNA Response Elements for the Androgen Receptor

 

In vitro the androgen receptor binds to 15 bp palindromic sequences [Figure 9C]. These non-selective elements are also recognized and bound by the glucocorticoid, mineralocorticoid and progesterone receptors. In contrast, androgen response elements demonstrate selectivity for the receptor. In an animal model, termed Specificity-affecting androgen receptor Knock-in or SPARKI, where the androgen receptor-DBD has been replaced by that of the glucocorticoid receptor-DBD, binding to selective AREs is disrupted (126). These mice have a reproductive phenotype, with male reproductive tissues having reduced weight and size and the animals showing reduced fertility. Interestingly the SPARKI males also demonstrated differential gene expression with the Rhox5 mRNA significantly reduced which correlated with a role for a selective ARE, necessary for receptor-dependent transcription of this gene (126).

 

More recently a number of genome-wide studies, using chromatin immunoprecipitation (ChIP), have increased our knowledge of androgen-regulated genes and have demonstrated a significant variability in DNA response element architecture, with imperfect palindromic sequences and half-sites identified as potential receptor binding sites (30, 127-131). These studies have also highlighted the enrichment of pioneering factors, such as FOXA1 and GATA2 in close proximity to receptor binding sites (30, 127-131).

 

The Hinge Region

 

Between the DNA-binding domain and the ligand binding domain is located a non-conserved hinge region, which is also variable in size in different steroid receptors [Figure 5]. The hinge region can be considered as a flexible linker between the ligand binding domain and the rest of the receptor molecule. The hinge region is important for nuclear localization and contains a bipartite nuclear localization signal. Co-repressor binding can also occur via the hinge region (125). In some nuclear receptors, including the androgen receptor, acetylation can occur in the hinge region at a highly conserved consensus site [KLLKK] [Figure 11, see below] (132, 133).

 

The Ligand Binding Domain

 

Finally, the second-best conserved region is the hormone binding domain. This domain is encoded by approximately 250 amino acid residues in the C-terminal end of the molecule [Figure 5, see above] (37, 60-63, 134). The crystal structure of the human androgen receptor ligand binding in complex with the synthetic ligand methyltrienolone (R1881) and 5α-dihydrotestosterone, respectively, have been determined [Figure 10A and B] (135, 136).

Figure 10. Structure of the ligand binding domain of the human androgen receptor. A) The crystal structure of the LBD with DHT bound (pdb 1137). Specific amino acid- hormone interactions are illustrated in the right-hand panel. B) The LBD structure with the synthetic agonist R1881 and a coactivator peptide with an FxxLF motif bound to AF2 region (pink oval) (pdb 1XOW). C) Structure of the LBD showing the location of the BF3 pocket (blue oval) with triiodothyroacetic acid/TRIAC bound (pdb 2PKL).

The 3-dimensional structure has the typical nuclear receptor ligand binding domain fold (59). Interestingly the ligand binding pocket consists of 18 amino acid residues interacting more or less directly with the bound ligand, with a relatively small number of specific hydrogen-bonds and hydrophobic interactions determining hormone-selectivity [Figure 10A] (135). The ligand binding pocket is somewhat flexible and can accommodate ligands with different structures. The structural data are being used in designing optimized selective androgen receptor modulators (SARMs) (137, 138). Several AR mutations found in prostate tumors have been investigated functionally, including T878S, T878A, H875T, V716M, W742C, and L702H as a single mutation or in combination with T878A. Similar to T878A these AR mutations have a broadened ligand specificity and are activated by different low affinity ligands like estradiol, progesterone, glucocorticoids and different partial and full antagonists (139-146).

 

Crystallographic data on the ligand binding domain complexed with agonist predict 11 helices (no helix 2) with two anti-parallel β-sheets arranged in a so-called helical sandwich pattern. In the agonist-bound conformation the carboxy-terminal helix 12 is positioned in an orientation allowing a closure of the ligand binding pocket. Upon hormone binding the fold of the ligand binding domain results in a globular structure with an interaction surface for binding of interacting proteins like co-activators (AF2) [Figure 10B]. In this way the androgen receptor selectively recruits a number of proteins and can communicate with other partners of the transcription initiation complex. Crystallization studies of wild type androgen receptor ligand binding domain with antagonists have not been reported so far. However, the structural consequences of surface modulatory compounds on the receptor LBD crystals complexed with DHT are promising for future developments of new androgen receptor modulators including a new type of androgen receptor antagonists (147).

 

The androgen receptor can use different transactivation domains (AF1 and AF5, respectively, in the NH2-terminal domain and AF2 in the COOH-terminal domain) depending on the "form" of the receptor protein [Figure 8, see above] (103). The AF2 function in the ligand binding domain is strongly dependent on the presence of nuclear receptor coactivators. In vivo experiments favor a ligand-dependent functional interaction between the AF-2 region in the ligand-binding domain with the NH2-terminal domain (113, 115). In fact, the AF2 surface demonstrates a preference for more bulky hydrophobic amino acids over the LxxLL motif and the structural basis for this has been described (148-150). Thus, the receptor NTD FxxLF motif [Figure 10B] is more effective at forming a charge clamp with Glu898 and Lys721 and burying the phenylalanine residues into the AF2 pocket, whereas peptides containing the sequence LxxLL make weaker and fewer contacts with the LBD.

 

Interestingly, a previously unknown regulatory surface cleft, named BF-3, has been identified in the receptor LBD (147) [Figure 10C]. BF-3 comprises of Ile-673, Phe-674, Pro-724, Gly-725, Asn-728, Phe-827, Glu-830, Asn-834, Glu-838 and Arg-841. The androgen receptor transcriptional activity and co-activator binding can be decreased by binding of thyroid hormones triiodothyronine (T3) and TRIAC and three non-steroidal anti-inflammatory drugs to the BF-3 pocket. In addition, several mutations of the amino acid residues of BF-3 have been found in subjects with either androgen insensitivity syndrome (AIS, loss of function mutation) or in prostate cancer (gain of function mutation) (151). Mutational analyses have shown the requirement of several of these amino acid residues for receptor-dependent transcriptional activity. However, these analyses have been performed only in the presence of DHT (147). The influence of each of these residues in the presence of T3, TRIAC or other nonsteroidal anti-inflammatory drugs is therefore unknown.

 

A long-standing question in the field concerning dimerization of the AR-LBD has recently been resolved with new crystallographic studies (152, 153). The work from the Estébanez-Perpiñá group identified sequences in helix 5 as novel dimerization interface. Significantly, a number of point mutations associated with androgen insensitivity or prostate cancer map to this region emphasizing its functional importance for AR signaling (152).

 

Androgen Receptor Splice Variants Lacking the LBD

 

Deletions in the ligand binding domain abolish hormone binding completely (154). Deletions in the N-terminal domain and DNA-binding domain do not affect hormone binding. Deletion of the ligand binding domain leads to a constitutively active androgen receptor protein with trans-activation capacity comparable to the full-length androgen receptor (154). Thus, it appears that the hormone binding domain acts as a repressor of the trans-activation function in the absence of hormone. This regulatory function of the androgen receptor ligand binding domain in the absence of hormone, is not unique for the androgen receptor and has been reported also for the glucocorticoid receptor (155).

 

The generation of NH2-terminal splice variants involves the use of cryptic exons (AR-v1and -v7) or exon skipping (AR-v12) [Figure 8] (156). Androgen receptor variants have been shown to regulate similar patterns of gene expression to the full-length hormone-bound receptor (157). However, intriguingly there are a growing number of studies reporting unique sets of genes expressed by AR-v7 (157, 158), both expected and variant-specific target genes for AR-v12 (159) or differential regulation of classical androgen receptor-target genes (160). Importantly, these constitutively active splice variants have been identified in prostate cancer cell-lines, xenographs and prostate cancer patients undergoing androgen ablation therapy (157-159, 161-163).

 

Structural Insights from a DNA-bound Complex of Full-length Androgen Receptor

 

A major development in our understanding of AR mechanism of action has been the recent description of the structure of the full-length receptor bound to DNA and co-regulatory proteins (SRC-3 and p300) (164). The structures of the receptor alone or in a transcriptional active complex were solved by cryo-EM at resolution of 12 to 20 Å and reveal several interesting features. Particularly striking is the folding of the NTD of each monomer into a ‘life buoy ring’ surround the LBD-DBD dimer, creating a platform for SRC-3 and p300 binding, as well as N/C interaction and contacts between the NTDs (164). In contrast to a similar structure of the estrogen receptor α (165), only one molecule of SRC-3 is bound to the AR and the conformation of each NTD is proposed to be different based on visualizing antibodies recognizing the very N-terminus and AF1 regions resulting in an asymmetric appearance. This could have implications for protein-protein interactions and transcriptional regulation: for, example does the conformation of the NTDs change depending on the nature of the DNA binding site? It was also of note that the binding of p300 was enhanced in the presence of SRC-3, suggesting the latter stabilized the binding of the former. However, it is worth noting that previous biochemical studies demonstrated folding of the AR-AF1, using a chemical chaperone (TMAO) or an SRC-1 polypeptide, similarly enhanced subsequent co-regulatory protein binding (166) supporting a model of induced folding of AF1 and assembly of transcription complexes.

 

ANDROGEN RECEPTOR POSTTRANSLATIONAL MODIFICATIONS

 

Methylation, Acetylation, Ubiquitination and SUMOylation

 

The androgen receptor protein can be extensively covalently modified either by methylation, acetylation, ubiquitination, SUMOylation or phosphorylation [Figure 11] (132, 133, 167-171).

Figure 11. Post-translational modifications of the human androgen receptor. AC, acetylation of lysine residues (631, 633, and 634); CH3, methylation of lysine (633); P, phosphorylation of serines (16, 83, 96, 215, 258, 310, 426, 516, 651, and 792); SUMO-1, sumoylation on lysines (388 and 521); Ub, ubiquitination of lysines (846 and 848).

All these reactions are reversible and consequently enzymes that mediate dephosphorylation, deacetylation, deubiquitination, demethylation and de-SUMOylation are also potential regulators of androgen receptor activity. A total of 23 sites in the androgen receptor protein have been identified undergoing direct modification (170). These posttranslational modifications can contribute significantly to androgen receptor structure, activity and stability. It has been shown for instance that the histone methyltransferase SET9 is able to methylate the receptor in the hinge region at the Lysine residues 631 and 633 resulting in enhancement of transcriptional activity of the receptor (172, 173). The same Lysine residues together with Lysine 634 can be acetylated and the acetylation-deficient mutants have a decreased transcriptional activity, while the acetylation-mimetic mutations showed an enhanced transcriptional activity (132, 174). Recently, phosphorylation of serine 83 was observed to result in recruitment of the histone acetyltransferase p300, acetylation of the receptor and enhanced receptor stabilization and transcriptional activity (175).

 

Conversely, disruption of acetylation, through mutating the lysine residues or knock-down of p300 resulted in receptor ubiquitination and degradation. This study elegantly demonstrates how different post-translational modifications of the androgen receptor can work in concert to regulate receptor expression and activity. RNF6 dependent ubiquitination of Lysine residues 846 and 848 in the receptor protein results in recruitment of the coregulator ARA54 by the androgen receptor and directly determines promoter selectivity and specificity of the receptor (176).

 

SUMOylation of the androgen receptor occurs at two sites Lysine residues 388 and 521, but SUMOylation only at Lysine 388 results in a significant reduction of transcriptional activity (177). However, recent, whole genome analysis revealed that SUMOylation regulated both receptor recruitment to DNA and target gene selection (178). Significantly, the physiological importance of SUMOylation has been demonstrated in a knock-in mouse model, ARKI, where the SUMOylation sites were mutated to arginine (179). Male animals developed normally but were found to be infertile due to defects in epididymal sperm maturation. Crucially, In the ARKI animals the AR-dependent transcriptional activity was impaired in the epididymis and there was an absence of receptor SUMOylation linking this PTM to normal male reproduction and fertility (179).

 

Phosphorylation

 

The androgen receptor can be phosphorylated at serine, threonine and tyrosine residues (170, 171, 180, 181). Immediately after translation the androgen receptor becomes phosphorylated resulting in the appearance of two isoforms separable by SDS-polyacrylamide gel electrophoresis (182). The non-phosphorylated faster migrating 110 kDa isoform is converted into a 112 kDa phospho-isoform. Mutational analysis of serine 83 or serine 96 in the androgen receptor NH2-terminal domain abolishes this up-shift indicating that phosphorylation of these serine residues likely contributes to the phosphorylation of the 112 kDa androgen receptor isoform (70, 183). Phosphorylation of Serine 83 by CDK9 stabilizes androgen receptor chromatin binding, mediates transcriptional activity and can influence prostate cancer cell growth (184, 185). This serine residue is also phosphorylated after stimulation of Plexin-B1 resulting in nuclear translocation of the receptor protein (186). Three other androgen receptor phosphorylation sites have been identified using mutational analysis and trypsin-digestion of 32P-labelled androgen receptor followed by HPLC analysis and Edman degradation (183, 187, 188). These include the serine residues at position 516, 651, and 663. Ser-516 phosphorylation by MAP kinase is linked to altering the nuclear cytoplasmic shuttling and to the EGF-induced increase in androgen receptor transcriptional activity (189). Furthermore, androgen receptor intranuclear localization and transcriptional activity has been correlated with phosphorylation of serine 310 by CDK1, demonstrating a role for phosphorylation in regulating the receptor in a cell-cycle-dependent manner (181, 190). Transcription factor TFIIH also phosphorylates the receptor at Ser516 and is an essential partner in the cyclic recruitment of the transcription machinery (191). Substitution of serine 651 reduced androgen receptor activity by up to 30%. Furthermore, dephosphorylation of receptor phosphorylated at serine 651 by protein phosphatase 1 (PP1) can modulate androgen receptor translocation to the nucleus (192). More recently, PP1α has been shown to bind to the receptor-LBD and prevent ubiquitination and receptor degradation (193). Several other sites have been identified in the NH2-terminal domain at positions S16, S215, S258, S310, and S426 (180, 194-196). The function of phosphorylation of these sites is in the majority of the cases unknown or controversial. Two additional sites (S579 and S792) have been identified and characterized in the DNA-binding and ligand binding domains, respectively (189, 197). Phosphorylation of serine 579 by PKC kinase alters the nuclear cytoplasmic shuttling and elimination of phosphorylation at serine 579 eliminates EGF-induced transcriptional activation (189).

 

Besides the basal phosphorylation resulting in the 110-112 kDa doublet, addition of androgen induces another shift and the generation of a 110-112-114 kDa androgen receptor triplet (70). This triplet is the result of both an addition and a redistribution of phosphorylated sites, however, it is unknown which exact residues are involved (198). Interestingly, mutations that inactivate androgen receptor function, such as mutations resulting in loss of DNA binding or transactivation, inhibit the formation of the 114 kDa isoform. This suggests that part of the androgen - induced phosphorylation occurs during or after androgen receptor transcription regulation (70).

 

Functional phosphorylation at three tyrosine residues has also been demonstrated and extensively studied. The androgen receptor tyrosine residue 536 is highly phosphorylated. This phosphorylation is induced by EGF via activation of Src tyrosine kinase and may be important for prostate cancer cell growth under androgen-depleted conditions (199, 200). Activation of Cdc42-associated tyrosine kinase Ack1 can result in phosphorylation of tyrosine residues 269 and 365 enhancing androgen receptor transcriptional function and promoting androgen independent prostate cell growth (200, 201) and disrupting phosphorylation primarily of tyrosine 269 results in impaired nuclear localization (202). Recently it was reported that threonine phosphorylation of the receptor can also occur. Aurora A induces androgen receptor transactivation activity by phosphorylation of Threonine residue 284 (203).

 

In conclusion, phosphorylation of the androgen receptor can occur at serine, threonine and tyrosine residues by specific kinases and can be directly or indirectly linked to activation upon hormone binding, altering of nuclear cytoplasmic shuttling, modulation of DNA binding and transcriptional activity (168, 170, 181, 199, 204). Furthermore, phosphorylation of the androgen receptor can play an essential role in the hormone-independent activation of the androgen receptor by protein kinases in the MAPK and AKT (protein kinase B) signaling pathways, activated either through HER-2/neu or growth factors (205, 206).

 

ANTI-ANDROGENS AND SELECTIVE ANDROGEN RECEPTOR MODULATORS

 

Androgen receptor antagonists are compounds that interfere in some way in the biological effects of androgens and are frequently used in the treatment of androgen-based pathologies. The steroidal anti-androgens, cyproterone acetate (CPA) and RU38486 (RU486; mifepristone), have partial agonistic and antagonistic actions. Interestingly both compounds also display partial progestational and glucocorticoid actions and are therefore not considered to be pure anti-androgens. The non-steroidal anti-androgens hydroxyflutamide, nilutamide and bicalutamide [see Figure 1] are pure antiandrogens (207-209). Recent developments have led to the generation and marketing of second-generation non-steroidal antiandrogens, such as enzalutamide (formerly called MDV3100) [Figure 1], which have been reported to be more effective at blocking receptor nuclear translocation and activity (210). Recently, two new anti-androgens apalutamide and darolutamide have received FDA approval for treatment of non-metastatic castrate resistant prostate cancer (see 211, 212). However, resistance to enzalutamide has now also been identified as a result of an Phe876Leu point mutation in the LBD (213) and the expression of NH2-terminal domain splice variants (163) in CRPC, emphasizing the need for continued research and development of strategies to switch off androgen receptor signaling.

 

Mechanism of Action of Antiandrogens

 

In contrast to the full antagonists hydroxyflutamide and bicalutamide, CPA and RU486 can partially activate the androgen receptor with respect to transcription activation (214). With a limited proteolytic protection assay, it was demonstrated that binding of androgens by the androgen receptor results in two consecutive conformational changes of the receptor molecule. Initially, a fragment of 35 kDa, spanning the complete ligand binding domain and part of the hinge region, is protected from digestion by the ligand. After prolonged incubation times with the ligand a second conformational change occurs resulting in protection of a smaller fragment of 29 kDa (214, 215). In the presence of several anti-androgens (e.g., cyproterone acetate, hydroxyflutamide and bicalutamide) only the 35 kDa fragment is protected from proteolytic digestion, and no smaller fragments are detectable upon longer incubations. Obviously, the 35 kDa fragment can be associated with an inactive conformation, whereas the second conformational change, only inducible by agonists and considered as the necessary step for transcription activation, is lacking upon binding of anti-androgens.

 

During treatment of advanced prostate cancers, resistance develops to several of the above-mentioned anti-androgens, mostly due to mutations rendering the receptor protein less sensitive to anti-androgens. Promising results were reported for a newly developed second generation of antiandrogens for castration resistant prostate cancer (CRPC): ASC-J19, enzalutamide (MDV3100), apalutamide (ARN-509), AZD 3514, Compound30 and VPC-3033. (87, 210, 216-220). Characteristics of this new generation of anti-androgens are androgen displacement, inhibition of receptor- mediated transcription and enhancement of androgen receptor degradation. Clinical applications in prostate cancer were reported for enzalutamide (221-223). However, resistance to enzalutamide and apalutamide has been reported in prostate cancer due to a mutation at residue Phe877Leu (213, 224). Interestingly this mutation is located in a residue next to the LNCaP prostate cancer cell line mutation Thr878Ala (139, 225), supporting the view that this region in the ligand binding domain of the androgen receptor is very susceptible to mutagenesis in prostate cancer, which may lead to the tumor becoming resistant to hormone-based therapies.

 

Selective Androgen Receptor Modulation (SARMs)

 

Androgen signaling via the androgen receptor can occur in a non-genomic, rapid and sex-nonspecific way by crosstalk with the Scr, Raf-1, Erk-2 pathway [Figure 6, see above] (31, 32, 226). The anti-apoptotic action via the androgen receptor in bone cells (osteocytes, osteoblasts), and also in HeLa cells, could be induced by androgens and estrogens and inhibited by antiandrogens as well as anti-estrogens. The anti-apoptotic action appeared to be dissociated from the genomic action of the androgen receptor. The progesterone-induced oocyte maturation in Xenopus laevis also appears to be mediated in a non-genomic way by androgens and the androgen receptor via activating the MAPK pathway after the rapid conversion of progesterone to androstenedione and testosterone (33). These findings stimulated the development of new compounds (SARMs) which can selectively activate the androgen receptor either in a non-genomic pathway or in a genotropic transcriptional activation pathway. The term SARM (= Selective Androgen Receptor Modulator) was introduced in 1999 in analogy of the term SERM (Selective Estrogen Receptor Modulator) (227). A SARM can be defined as a molecule that targets the androgen receptor, and elicits a biological response, in a tissue-specific way. In a sense, anti-androgens (molecules that specifically target the androgen receptor pathway resulting in inhibition of the biological effects of androgens) can be considered as a special subtype of SARMs. Extensive overviews of current clinical trials with newly developed SARMs by several different pharmaceutical companies have been presented (228-230).

 

The structural basis for SARM binding and activity has been reviewed (138). Based on the conformational changes of the androgen receptor ligand binding domain induced by androgens or anti-androgens, it can be concluded that the different transcriptional activities displayed by either full agonists (testosterone, 5α-dihydrotestosterone, methyltrienolone), partial agonists (RU486 and CPA) or full antagonists (hydroxyflutamide, bicalutamide, enzalutamide) are the result of recruitment of a different repertoire of co-regulators (coactivators or corepressors) as a consequence of these conformational changes. The differential recruitment of co-regulators can be considered as a special form of ligand-selective modulation of the androgen receptor ligand binding domain and can also be applied in a broader sense to the tissue selective modulation of androgen action, where levels of co-activators and co-repressors may ultimately determine the final activity (229-232).

 

TISSUE-SPECIFIC ANDROGEN RECEPTOR MEDIATED ACTIONS IN MOUSE MODELS

 

Genetic mouse models in which the androgen receptor gene has been inactivated (so-called ARKO [androgen receptor knock-out] mouse models) are valuable tools to understand in detail the role of receptor-mediated pathways in male and female reproductive functions. For this purpose several different mouse models have been developed for studying androgen receptor mediated tissue-specific action in almost all known androgen target tissues, although the application of the mouse findings to the human situation has its limitation (233-238). Furthermore, the development of a mouse model for imaging of luciferase activity under control of endogenous androgen receptor activity has contributed to a further elucidation of tissue-specific receptor action (239).

 

ANDROGEN RECEPTOR DISORDERS

 

There is growing evidence for the involvement of the androgen receptor in the gender biases seen in a wide range of pathological conditions, from cancers of non-reproductive tissues (i.e., bladder, liver) (see 240, 241) to cardiovascular and metabolic disease (see 242-244). However, in this review we will focus on receptor mutations leading to defects of male development and fertility.

 

Androgen Insensitivity Syndrome

 

It has been known for quite some time that defects in male sexual differentiation in 46, XY individuals have an X-linked pattern of inheritance. It was Reifenstein who reported in 1947 on families with severe hypospadias, infertility, and gynecomastia (245). The end-organ resistance to androgens has been designated as androgen insensitivity syndrome (AIS) and is distinct from other XY disorders of sex development (XY, DSD; formerly named male pseudohermaphroditism) like 17β-hydroxy-steroid dehydrogenase type 3 deficiency or 5α-reductase type 2 deficiency (3, 246-248). It is generally accepted that defects in the androgen receptor gene can prevent the normal development of both internal and external male structures in 46, XY individuals and information on the molecular structure of the human androgen receptor gene has facilitated the study of molecular defects associated with androgen insensitivity. Due to the X-linked character of the syndrome, only 46, XY individuals are affected, while in female carriers only sporadic reports are available on delayed menarche (249). Naturally occurring mutations in the androgen receptor gene are an interesting source for the investigation of receptor structure-function relationships. In addition, the variation in clinical phenotypes provides the opportunity to correlate a mutation in the androgen receptor structure with the impairment of a specific physiological function.

 

Clinical Features of the Complete Androgen Insensitivity Syndrome (CAIS)

 

The main phenotypic characteristics of individuals with the complete androgen insensitivity syndrome (CAIS) are: female external genitalia, a short, blind ending vagina, absence of Wolffian duct derived structures like epididymides, vasa deferentia, and seminal vesicles, the absence of a prostate, the absence of pubic and axillary hair and the development of gynecomastia (250, 251). Müllerian duct derived structures are usually absent because anti-Mullerian hormone action is normal due to the presence of both testes in the abdomen or in the inguinal canals. Usually, testosterone levels are within the normal range (10 - 40 nmol/L) or elevated, while elevated luteinizing hormone (LH) levels (> 10 IU/L) are also found indicating androgen resistance at the hypothalamic-pituitary level. The high testosterone levels are also substrate for aromatase activity, resulting in substantial amounts of estrogens, which are responsible for further feminization in CAIS individuals.

 

Clinical Features of the Partial Androgen Insensitivity Syndrome (PAIS)

 

In the partial androgen insensitivity syndrome (PAIS) several phenotypes ranging from individuals with predominantly a female appearance (e.g., external female genitalia and pubic hair at puberty, or with mild clitoromegaly, and some fusion of the labia) to persons with ambiguous genitalia or individuals with a predominantly male phenotype (also called Reifenstein syndrome) (250, 251). Patients from this latter group can present with a micropenis, perineal hypospadias, and cryptorchidism. In the group of PAIS individuals, Wolffian duct derived structures can be partially to fully developed, depending on the biochemical phenotype of the androgen receptor mutation. At puberty, elevated luteinizing hormone, testosterone, and estradiol levels are observed, but in general, the degree of feminization is less as compared to individuals with CAIS. Individuals with mild symptoms of undervirilization (mild androgen insensitivity syndrome) and infertility have been described as well. Phenotypic variation between individuals in different families has been described for several mutations (251-254). However, in cases of CAIS no phenotypic variation has been described within one single family, in contrast to families with individuals with PAIS (255).

 

Genetics of Androgen Insensitivity Syndrome (AIS)

 

Since the cloning of the androgen receptor cDNA in 1988 and the subsequent elucidation of the genomic organization of the androgen receptor gene, molecular diagnostic tools have been available for the molecular analysis of the androgen receptor gene in individuals with AIS. In addition to endocrinology data, such as levels of testosterone, luteinizing hormone, androstenedione, and 5α-dihydrotestosterone, which can vary widely in AIS individuals, the most reliable approach is the sequencing of each individual androgen receptor exon and the flanking intron sequences. In general, AIS can be routinely analyzed and separated from entirely different syndromes presenting with similar phenotypes including testicular enzyme deficiencies, 5α-reductase type 2 deficiency, and Leydig cell hypoplasia due to inactivating luteinizing hormone receptor mutations. Furthermore, in pedigree analysis intragenic polymorphisms like the highly polymorphic (CAG)nCAA repeat encoding a poly-glutamine stretch, the polymorphic GGN repeat encoding a poly-glycine stretch, the HindIII polymorphism [Figure 8, see above] (39) and the StuI polymorphism (256), can be used as X-chromosomal markers (67, 257, 258). Extensive general information can be obtained at the internet site, www.genecards.org for the androgen receptor gene (NR3C4) and on the 233 identified single nucleotide polymorphisms (SNP’s).

 

Mutations in the Androgen Receptor Gene

 

In the androgen receptor gene, 4 different types of mutations have been detected in 46, XY individuals with AIS: single point mutations resulting in amino acid substitutions or premature stop codons, nucleotide insertions or deletions most often leading to a frame shift and premature termination, complete or partial gene deletions (>10 nucleotides), and intronic mutations in either splice donor or splice acceptor sites which affect the splicing of androgen receptor RNA (151). In general, in 70% of the cases, androgen receptor gene mutations are transmitted in an X-linked recessive manner, but in 30% the mutations arise de novo. When de novo mutations occur after the zygotic stage, they result in somatic mosaicisms (259). The most recent update on androgen receptor gene mutations is available at http://www.mcgill.ca/androgendb/ (151).

 

MUTATIONS IN THE NH2-TERMINAL DOMAIN

 

Mutations in the NH2-terminal domain (exon 1 of the gene) do not occur frequently and the vast majority of the mutations result directly in a stop codon or in premature termination due to frameshifts caused by nucleotide insertions or deletions. Mutations in 103 different codons have been reported in the NH2-terminal domain, which is approximately 18 % of all codons in exon 1 (http://androgendb.mcgill.ca/ ) (151, 260-264).

 

An interesting mutation is described in the fourth nucleotide, which results in a decreased translational efficiency of the androgen receptor mRNA in an individual with PAIS (265). Three other missense mutations were reported in combination with mosaicism or with a mutation in another region of the gene. In a family with PAIS associated with severe hypospadias, the length of the androgen receptor NH2-terminal poly-glutamine repeat has been reported to be shortened to only 12 glutamine residues (266). The shortened glutamine stretch as such is not the cause for the androgen resistance, but it seems to increase the thermolability of the androgen receptor in combination with a point mutation in exon 5 (Y764C) in the ligand binding domain. This point mutation causes rapid dissociation of hormone, but no thermolability. These data support a functional interaction of the two separated regions in the androgen receptor and indicates further that the defect becomes critical in only some of the androgen target tissues because of the partial character of the androgen resistance found in this family (266).

 

MUTATIONS IN THE DNA-BINDING DOMAIN  

 

In general, mutations in the DNA binding domain (e.g., single nucleotide substitutions) result in a normal hormone-binding protein, which is defective in DNA-binding/dimerization and consequently in transcription activation. In total, 71 different mutations have been reported in 38 different codons in the DNA-binding domain, which is approximately 43% of all codons in exons 2 and 3 (http://androgendb.mcgill.ca/ ) (151, 260, 264, 267, 268). Thirty-four mutations were observed in the first zinc cluster and thirty-two in the second zinc cluster. Since the 3D structure of the DNA-binding domain of several nuclear receptors have been published earlier than that of the androgen receptor DNA-binding domain, the consequence of several mutations in the androgen receptor DNA-binding domain have been predicted initially on basis of the structure of the glucocorticoid receptor DNA-binding domain (122, 123).This is illustrated in two studies in which 3D-modelling of the mutated DNA binding domain of the androgen receptor predicts the functional activity of mutant receptors (269, 270). A mutation (G578R) in the so-called P-box [Figure 9, see above], which is involved in androgen response element recognition, was found in a PAIS individual. This mutation differentially affects transactivation of several natural and synthetic promoters, suggesting that androgen target genes may be differentially affected by this mutation (271). An interesting observation was made with respect to the second zinc cluster in which either one of two adjacent arginine residues (Arg608 & Arg609) were found to be mutated in PAIS individuals who developed breast cancer [Figure 9, see above] (272, 273). It is speculated that a decrease in androgen action within the breast cells could account for the development of male breast cancer by the loss of a protective effect of androgens. However, the same mutations in several other PAIS individuals did not result in breast cancer development.

 

The mutation Ala597Thr in the second zinc cluster in the so-called D-box resulted in abolishment of dimerization in a PAIS individual [Figure 9, see above] (274). A similar mutation at an identical position in the second zinc cluster of the glucocorticoid receptor DNA-binding domain has been created to discriminate between dimerization/DNA binding of the glucocorticoid receptor and protein-protein interactions with other transcription factors such as the AP-1 transcription complex (275). It appeared that the dimerization mutant did not affect the cross-talk with other transcription factors. In this way, a tissue-specific response can be influenced by a single amino acid change and if this is also true for the mutant androgen receptor then the partial phenotype can be explained. Interestingly a Ser580Arg, also located in the D-box can cause significantly different phenotypes ranging from under-virilization to a normal male phenotype (276).

 

MUTATIONS IN THE HINGE REGION  

 

In the so-called hinge region, located between amino acid residues 623 and 671 [Figure 8, see above], only nine mutations have been reported. The relatively low number of mutations in the hinge region (only in 18 % of all codons) indicates that this region might be very flexible and that some variation in composition and length of this region is not detrimental for androgen receptor function (http://www.mcgill.ca/androgendb/) (151).  Four amino acid substitutions within the hinge region have been described that resulted in CAIS, four in PAIS and one in MAIS (http://www.mcgill.ca/androgendb/ (151). The Ile665Asn substitution on the border of the hinge region and ligand-binding domain, resulted in a decreased hormone binding (277).

 

MUTATIONS IN THE LIGAND-BINDING DOMAIN  

 

It can be expected that mutations in the ligand binding domain might affect different functional aspects (e.g., loss of ligand binding, changes in ligand binding affinity and specificity, changes in co-activator receptor interactions, changes in receptor stability and thermolability). A large number of mutations (283 different mutations in 164 codons, which is in 66 % of all codons of the ligand binding domain) in the ligand binding domain have been reported in all 5 exons in individuals with either CAIS, PAIS or MAIS (http://androgendb.mcgill.ca/ ) (151, 260, 265, 278-286). Most mutations are located in exons 4 (62 mutations), 5 (77 mutations) and 7 (54 mutations). Interestingly mutations are found in 13 of the 18 amino acid residues considered to interact with the ligand directly (120). For some mutations (in total 25, distributed over the whole ligand binding domain) either a complete (CAIS) as well as a partial (PAIS) phenotype (13 cases) or a CAIS and a PAIS and a mild (MAIS) phenotype (4 cases) or a PAIS and a MAIS phenotype (8 cases) has been described, indicating that phenotype does not always match with genotype. In the AF-2 core region (894-EMMAEIIS-901) of the androgen receptor ligand-binding domain a relatively low number of mutations have been reported [see Figure 10 for location of AF-2]. At positions methionine 895 (deletion), Met896, Ala897, Glu898 and Ile899 (all substitutions) have been described in individuals with the complete syndrome (287, 288). It can be speculated that in this part of helix 12 mutations in the androgen receptor ligand-binding domain are very deleterious for androgen receptor function as well as those in helix 5 and in the β-turn, wherein almost every amino acid residue has been found to be mutated in AIS individuals (http://androgendb.mcgill.ca/ ) (151). Functional analysis of an androgen receptor mutation, Gln903Lys in helix 12, in an individual with partial androgen insensitivity, indicated that this residue is important for modulation of NH2/COOH terminal interaction and TIF-2 activation (289). Interestingly a mutation, Phe827Leu, found in a PAIS patient, displayed an unexpected increased N/C interaction and TIF2 coactivation (290). An explanation for the phenotype of the patient could be that the receptor mutant recruits a different repertoire of co-activators absent in genital tissues. Alternatively, an altered conformation of the ligand binding domain may enhance preferential recruitment of co-repressors.

 

Several reports have established the pathogenic nature of androgen receptor mutations found in AIS individuals with different functional assays (260, 289-292). In order to optimize molecular diagnosis an extensive functional analysis of receptor mutations is desired. For counselling strategies and for future outcome predictions a correct functional diagnosis is very important as well as for prognosis on the risks of gonadal malignancy (293). A combination of different functional analyses, designed to test androgen receptor mutations at different stages in receptor functioning (e.g., hormone binding, transcriptional activation, cofactor binding, translocation to the nucleus and nuclear dynamics) will provide a more accurate prediction of androgen receptor action and will help to establish a more exact phenotypic characterization.

 

DELETIONS AND DUPLICATIONS OF THE ANDROGEN RECEPTOR GENE  

 

Only a few cases (8 different deletions in 15 different patients) have been reported on partial or complete androgen receptor gene deletions, indicating the relatively low frequency of this type of androgen receptor defect (http://androgendb.mcgill.ca/) (151, 294). All cases reported are found in CAIS individuals, with the exception of two cases, one in which an exon 4 deletion was found in a person with azoospermia (295) and another one in which a large intron 2 deletion of at least 6 kb was reported involving a branch point site, which resulted in a partial exon 3 skipping during the splicing process (294).

 

Deletion of either exon 3 or exon 4 occur both in-frame and result in a non-functional protein lacking either the second zinc cluster or the hinge region and the NH2-terminal part of the ligand-binding domain [see Figure 7 for genomic organization of the androgen receptor gene]. In case of an exon 3 deletion, an intact and functional ligand-binding domain is present [Figure 7]. So far, functionally significant mutations in the androgen receptor promoter region or in the 5'- and 3'- untranslated regions of the gene have not been reported.

 

SPLICE SITE MUTATIONS AFFECTING ANDROGEN RECEPTOR RNA SPLICING  

 

A special group of interesting, but rare, mutations are the splice donor and splice acceptor site mutations in the androgen receptor gene in AIS individuals (http://androgendb.mcgill.ca/ ) (151). For all splice donor sites in the gene, the consensus splice donor site sequence GTAAG/A is present. The twelve reported mutations in donor splice sites are all substitutions either at position +1 (G  A or G  T), position +2 (T  C), position +3 (A  T), position + 4 (AT) or position + 5 (G  A) and result in defective splicing with the consequence of one or more exons spliced out, or the use of a cryptic splice donor site within the preceding exon (264, 296-301). In 11 of the reported cases, the phenotype is complete androgen insensitivity. In one case, an insertion of one nucleotide (T) at position + 4 in the splice donor site of intron 6 has been reported, resulting in a partial androgen insensitive phenotype (300). Only 5 mutations have been reported in splice acceptor sites, which all affect the splicing of the androgen receptor RNA. Interestingly, a substitution at position -11 (T G) has been found in the pyrimidine-rich region of the splice acceptor site of intron 2, resulting in the activation of a cryptic splice acceptor site at position -70/-69 and consequently in the insertion of 69 nucleotides (corresponding to 23 additional amino acid residues) in the mRNA between exons 2 and 3 (302). The corresponding protein is defective in DNA-binding because the insertion has occurred between the first and second zinc cluster. In another CAIS patient a splice junction mutation at the intron2/exon3 splice acceptor site resulted in the utilization of the same cryptic splice acceptor site and also in the insertion of 69 bp in the mRNA, predicting the insertion of 23 amino acid residues in frame between the two zinc clusters (303).

 

Androgen Receptor Gene Mutations in Cancers

 

Mutations in the androgen receptor gene have also been reported to be associated with prostate cancers, breast cancers, larynx cancers, liver cancers and testicular cancers (http://androgendb.mcgill.ca/ ) (151).

 

ANDROGEN METABOLISM DISORDERS

 

The metabolism of testosterone to 5α-dihydrotestosterone by the enzyme 5α-reductase type 2 (SRD5A2) is essential for the initiation of the differentiation and development of the urogenital sinus into the prostate. The differentiation of the male external genitalia (penis, scrotum and urethra) also strongly depends on the conversion of testosterone to 5α-dihydrotestosterone in the urogenital tubercle, labioscrotal swellings and urogenital folds, respectively [Figure 2B, see above] (3, 4). Interestingly in the SPARKI mouse expression of Srd5α2 gene is significantly impaired in the epididymis and the androgen-regulation of the gene was demonstrated to involve three selective AREs (304). 

 

Clinical Features of the Syndrome of 5α-reductase Type 2 Deficiency

 

46, XY individuals with impairment of 5α-reductase type 2 have normally virilized Wolffian duct derived structures, with seminal vesicles (although small seminal vesicles have been reported as well), with vasa deferentia, epididymides and ejaculatory ducts and no Mullerian duct derived structures (3, 305, 306). However, differentiation of the urogenital sinus and genital tubercle is not observed, resulting in absence of the prostate and in ambiguous or in female external genitalia at birth (3, 305, 306). Affected 46, XY individuals are therefore often raised as girls. At puberty all affected individuals show some or a severe degree of virilization often resulting in deepening of the voice, an increased muscle mass, growth of the penis, scrotal development, testicular descent and sometimes leading to a gender change (3, 307).

 

Gynecomastia in adulthood does not occur. The additional virilization may result from the action of testosterone because testosterone is available at high levels during puberty. In addition, some testosterone may be converted to 5α-dihydrotestosterone by some residual 5α-reductase activity and by the action of 5α-reductase type 1, which is expressed in non-genital skin, pubic skin, liver and certain brain regions. In the affected 46, XY individuals a typical female pubic hair pattern develops, while the facial and body hair amount is absent or reduced (4). This last observation points to a role for 5α-reductase type 2 in the normal development of this type of body hair. Male pattern baldness has never been observed. 5α-reductase type 2 deficient patients are usually infertile due to the absence or underdevelopment of the prostate and seminal vesicles, in addition to oligospermia or azoospermia due to maldescent of the testes. However, paternity has been reported in some cases, either by intrauterine insemination or after in vitro fertilization in combination with intracytoplasmic sperm injection (3, 305, 308-310). 46, XX female carriers have normal fertility, decreased body hair and delayed menarche, normal sebum production but no history of acne (3, 305). This suggests a role of 5α-reductase type 2 enzyme in females in the physiology and pathophysiology of body hair growth, menarche and follicular development (305).

 

Molecular Basis for the Syndrome of 5α-Reductase Type 2 Deficiency

 

A reflection of defective or absence 5α-reductase type 2 enzyme activity can be obtained in patients’ serum and urine samples by measuring testosterone levels (elevated), 5α-dihydrotestosterone levels (decreased) and by measuring the ratio of testosterone/5α-dihydrotestosterone (increased after hCG stimulation) (3). Furthermore, in cultured genital skin fibroblasts (if available) the conversion of testosterone to 5α-dihydrotestosterone can be assessed and is an option for establishing a defective enzyme. In broken cell preparations at pH 5.5, the type 2 isozyme activity is measured more specifically and can be compared with a preparation from a normal person (3).

 

Genetic analysis of 5α-reductase type 2 deficiency has become possible since the cloning of the cDNA (17). The gene is located on chromosome 2 at locus 2p23. The enzyme is encoded by 5 exons and the most reliable approach to detect gene mutations is the sequencing of each individual exon and the flanking intron sequences [Figure 12]. A relatively large number of loss of function mutations in the type 2 steroid 5α-reductase has been identified in 46XY individuals with this rare autosomal recessive disorder of sex development (46XY, DSD).

 

Interestingly worldwide 87 different mutations have been detected in the 5α-reductase type 2 gene in patients with the syndrome of 5α-reductase type 2 deficiency in several different ethnic groups [Figure 12] (3, 4, 285, 305-307, 311-339). Identical mutations have been reported in different ethnic groups and some of them can be considered to be due to a founder effect and some to have occurred de novo (340-342). The mutations were found in all five exons of the gene, although the majority of the mutations are reported in exons 1 and 4 [Figure 12].

 

The mutations comprise of 57 amino acid substitutions (65.5%), one complete gene deletion (3, 306), one complete exon 1 deletion (16), one substitution at stop codon 255 resulting in a Serine residue (336), ten small deletions resulting in either a premature stop codon or in an in-frame amino acid residue deletion, four small insertions (335), nine nonsense mutations and four splice site mutations, resulting in aberrant splicing [Figure 12]. The majority of the reported patients are homozygous for one of the mutations. A smaller number of patients appeared to be compound heterozygous, while a small group of patients are heterozygous (331, 340, 341).

 

In general male carriers of a single mutant allele have normal fertility as is the case for female carriers. The largest investigated kindreds were found in the Dominican Republic, in Turkey and in New Guinea (3, 305, 333). In all three kindreds the high incidence can be directly related to a founder affect in geographical isolated populations with a high degree of inbreeding. For other cases also a large incidence of proven consanguinity is reported (3, 305).

 

In prostate cancer de novo mutations in the 5α-reductase type 2 have been reported, resulting in increased 5α-reductase activity (317, 333, 343, 344).  This finding indicates a role for increased 5α-dihydrotestosterone levels in the prostate, during prostate cancer progression in a subset of patients. The V89L mutant significantly reduced SRD5A2 enzymatic activity by almost 30% (316, 342, 343). The rare allele frequency of the V89L variant is 22%, 23,5%, and 46,1% for African Americans, Caucasians, and Asians, respectively, paralleling a substantial racial/ethnic variation in prostate cancer risk, indicating that this polymorphism might be implicated in prostate cancer carcinogenesis (343-346).

 

CONCLUSIONS-KEY POINTS

 

Androgenic steroids are important for normal development and function of male reproductive tissues and for anabolic actions in muscle and bone. The multiple actions of the main circulating androgen testosterone and the more potent metabolite DHT are mediated by a single intracellular receptor protein, the androgen receptor. The hormone-bound receptor acts primarily to differentially regulate gene expression in target tissues and its encoding gene is located on the X chromosome, making it a single-copy gene in males. Thus, genetic changes affecting expression or structure/function of the receptor protein will lead to a range of diseases associated with loss or impaired androgen signaling, including disruption of male development, infertility or a late onset neurodegenerative disease (SBMA). Furthermore, altered expression and genetic changes in the receptor are also key drivers in progression of prostate cancer to a therapy-resistant stage.

 

Since the first cloning of the androgen receptor cDNA, over thirty years ago, considerable progress has been made in our understanding of receptor structure and function. Advances include: the availability of 3D-structures of the isolated LBD with different ligands bound and the isolated DBD; structural characterization of the intrinsically disordered NH2-terminal domain; first glimpse of the structure of full-length AR transcriptional complex on DNA; the identification of a plethora of co-regulatory proteins binding to the ligand- and NH2-terminal domains; identification of gene regulatory pathways in target cells; and a better understanding of the impact of genetic changes affecting receptor structure/function. Future research will likely focus on the mechanisms determining cell/tissue-selective expression and function of the androgen receptor in both normal and pathophysiological conditions and a more complete structural descriptions of the full-length receptor bound to different DNA response elements and co-regulatory proteins.

 

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Treatment of Diabetes mellitus in Children and Adolescents

ABSTRACT

The incidence of Type 1 Diabetes continues to increase around the world. Advances in technology of insulin delivery systems including closed loop and continuous glucose monitoring are improving the possibilities of maintaining desirable glucose control. Type 2 Diabetes is increasing in the adolescent age groups across the world, in certain populations especially including Native Americans, Pacific Islanders, Hispanics, African Americans, and South East Asians. For Type 2 Diabetes, the pharmacological armamentarium has markedly increased by the addition of GLP-1 agonists, DPP4 antagonists, and SGLT2 inhibitors, each of which has improved metabolic control and cardiovascular outcomes. To date, these newer modalities are being tested in adolescents with T2DM but several are not yet officially approved for this age group. Diabetic Ketoacidosis (DKA) remains the initial presentation of some 30%-40% of pediatric patients, and DKA remains the leading cause of death, sometimes associated with Cerebral Edema; complications are also very high in children/adolescents presenting with Hyperglycemia/Hyperosmolar syndrome in the context of a T2DM clinical picture. Appropriate treatment in medical centers with trained personnel and modern laboratory facilities has markedly reduced the mortality and morbidity associated with DKA and Hyperglycemic-Hyperosmolar Syndrome.

 

DIABETIC KETOACIDOSIS

 

Pathophysiology

 

Diabetic ketoacidosis (DKA) is a life-threatening metabolic decompensation considered to be a medical emergency and caused by a combination of insulin deficiency and the action of counter-regulatory hormones(1). The biochemical, metabolic and acid-base abnormalities that occur have been extensively documented at a physiologic level and to some extent at a molecular level (2-4).  Briefly, deficiency of insulin prevents the entry of glucose into insulin-sensitive cells in tissues such as liver, muscle, and fat and its appropriate metabolism. Sensing intra-cellular glucopenia, the organism responds by increased secretion of the 4 counter-regulatory hormones, glucagon, cortisol, growth hormone, and catecholamines. Acting synergistically, these hormones increase glucose production via glycogen breakdown and gluconeogenesis, induce lipolysis and ketogenesis and result in hyperglycemia, osmotic polyuria, dehydration, increased thirst, and acidosis from the accumulation of ketoacids, principally β-hydroxybutyrate, (B-OHB) which exceed buffering capacity, as well as lactic acidosis from the ensuing dehydration and limited tissue perfusion. Hence, the symptoms and signs are polyuria, polydipsia, dehydration, tachycardia, deep sighing respiration (Kussmaul breathing), and the smell of acetone on the breath, and abdominal pain and nausea imitating an acute abdominal condition; paradoxically, despite dehydration, blood pressure may be normal or elevated reflecting the effects of catecholamines (Table 1). These manifestations develop over hours or days, in contrast to hypoglycemia which can occur suddenly. In cases of new diabetes, weight loss, increased appetite, and nocturia, or enuresis in previously toilet-trained child, are almost universally present if a careful history is elicited. Left untreated, clouding of consciousness due decreased cerebral oxygen perfusion, acidosis, and neural biochemical changes lead to coma and eventually death. Absolute insulin deficiency occurs most often at onset of evolving T1DM, but it may also occur after deliberate or inadvertent omission of insulin in a child or adolescent responsible for their own care, or with kinking or obstruction of tubing in insulin pumps. Relative insulin deficiency occurs with major physiological stressors such as sepsis, infection, or severe trauma that result in profound increased secretion of the counter-regulatory hormones which overwhelm the actions of insulin. Recurrent episodes of DKA are almost the result of psycho-social mal-adjustment. These concepts are summarized in figure 1.

 

TABLE 1. Clinical and Biochemical Manifestations of Diabetic Ketoacidosis

Clinical

Biochemical

Dehydration

Hyperglycemia (11-50mmol/l)

Rapid, deep, sighing (Kussmaul respiration)

Variable degrees of acidosis (PH<7.3; HCO3 <15meq/l)

Nausea, vomiting, and abdominal pain mimicking an acute abdomen

Ketosis-serum BOHB (>3mmol/l)

Progressive obtundation and loss of consciousness

Elevation of BUN and Creatinine

Increased leukocyte count with left shift

Fever only when infection is present

Non-specific elevation of serum amylase

Figure 1. Pathophysiology of diabetic ketoacidosis(7). Copyright © 2006 American Diabetes Association. From Diabetes Care, Vol. 29, 2006:1150-1159. Reprinted with permission of The American Diabetes Association

Criteria for Defining DKA

 

The criteria for a diagnosis of DKA are hyperglycemia with glucose ≥200mg/dl (≥11mmol/l), pH ≤7.30 or bicarbonate (HCO3) ≤15mmol/l, and ketonuria or B-OHB ≥2.0mmol/l. Severity of DKA is defined by the degree of acidosis; mild=pH 7.20-7.30, HCO3 10-15mmol/l; moderate=pH 7.1-7.2, HCO3 5-10mmol/l; severe =pH<7.1, HCO3<5 mmol/l. Hyperglycemia usually ranges between 200-1000mg/dl (16.6-50.5mmol/l);values >1000mg/dl should raise the possibility of hyperosmolar hyperglycemia, separately discussed below. The reported frequency of DKA varies from about 13% to 80% in various countries and is generally higher in less developed countries; it is inversely related to socio-economic development, level of education of the family, and to the incidence of diabetes mellitus in the location. In the United States, about 30-40% of newly diagnosed patients with DM present in DKA, reflecting delay in establishing the diagnosis of diabetes in a child, particularly in children <5years of age (8-11).

 

Table 2 illustrates the average losses of fluids and electrolytes in diabetic ketoacidosis and maintenance requirements in normal children adapted from references (4, 7, 9).

 

TABLE 2.  Fluid and Electrolyte Losses and Maintenance Requirements in DKA

 

Average (range) losses

24-hour maintenance requirements

Water

70 mL/kg (30-100)

≤10 kg: 100 mL/kg/24hrs

11-20 kg: 1000 mL+ 50 mL/kg/24 hr for each kg from 11-20

>20 kg: 1500 mL+ 20 mL/kg/24 hr for each kg >20

Sodium

6 mmol/kg (5-13)

2-4 mmol/kg

Potassium

5 mmol/kg (3-6)

2-3 mmol/kg

Chloride

4 mmol/kg (3-9)

2-3 mmol/kg

Phosphate

1 mmol/kg (0.5-2.5)

1-2 mmol/kg

 

Principles of Treatment  

 

The principles of treatment enunciated here are based on those of the International Society for Pediatric and Adolescent Diabetes, the American Diabetes Association, and the Pediatric Endocrine Societies of Europe and the USA (4, 7, 11).

 

Mild cases of DKA such as might occur in a patient using an insulin pump in which the tubing has become obstructed, or mild upper respiratory or mild abdominal infection without significant vomiting or diarrhea in an educated patient and strong family support might be managed via telephone instructions. When fluids are tolerated, 3-4 ounces of clear fluids (approximately 100ml) can be offered hourly. In addition, rapid acting insulin 0.1-0.2U/kg is given every 2-4 hours, glucose levels are checked via home meters and urinary ketones are checked via strips. Resolution of hyperglycemia and ketonuria, and tolerance to oral fluid intake indicates successful management and return to customary regimens including pump settings and/or subcutaneous basal-bolus insulin regimens.

 

For new onset patients, those that cannot tolerate oral fluid intake, and those with moderate to severe DKA, we recommend admission to a unit with capabilities similar to those of an ICU, possessing written guidelines on management, physicians and nursing staff trained in the management of DKA, bedside glucose and blood gas monitoring, vital sign monitoring (pulse, blood pressure, respiration), and laboratory back-up of acid-base and electrolyte status. A thorough physical examination including level of consciousness should determine the overall clinical status, degree of dehydration, and consider the need to evaluate for infection. Supplemental oxygen may be provided via mask or nasal cannula, and a gastric tube passed if the patient is vomiting. Urine output should be measured via bag collection and catheterization avoided if possible.  A blood sample should be obtained for measurement of glucose, electrolytes, β-OHB, acid-base status, hematocrit, and complete blood count; blood cultures and imaging studies should be considered in cases of suspected sepsis as the precipitating cause and appropriate antibiotics given. A modest increase in WBC with neutrophil predominance may reflect an acute phase response rather than sepsis; even if an acute abdominal condition is suspected, surgery should be deferred until several hours of resuscitation with fluids and electrolytes has occurred. Access for IV infusion should be established; this or preferably a separate IV site can serve as source of blood sampling.

 

The initial resuscitation consists of intravenous saline bolus infusion at 10-20 ml/kg over 1-2 hours depending on the degree of dehydration. Clinical assessment of dehydration is based on physical findings such as heart rate, blood pressure, speed of capillary refill, tissue turgor, and dry coated tongue and is generally rated as 5% (mild),10% (moderate) or greater than 10% (severe). Urine output is not a reliable sign as it usually continues due to the osmotic diuresis of hyperglycemia; diminished urine output may reflect evolving renal failure. Clinical judgment of degree of dehydration is notoriously inaccurate and can result in over or under estimation; hematocrit or a very recent weight may aid in assessment of the degree of dehydration so as to more accurately guide the amount and composition of fluids to be infused and in turn reduce the risk of the occurrence of cerebral edema (12, 13). Hence initial estimates of dehydration and osmolality of plasma based on glucose and electrolyte status, as well as acid base resolution, require re-assessment as treatment progresses. The initial resuscitation period with normal (0.9%) sodium chloride solution provides an opportunity to elicit a careful history and formulate the plan of management focused on provision of fluid, electrolytes, insulin, and monitoring to anticipate and correct complications.

 

FLUID

 

The amount of fluid to be administered is based on the estimated degree of dehydration, e.g., 5% of body weight in Kg, plus daily maintenance (see table 2) evenly infused over 24-36 hours, subtracting the fluid administered as resuscitation. For example, a 30kg child with estimated dehydration of 5% would require 1500 ml for deficit plus 1700 ml for daily maintenance, yields a total of 3200 ml (table2); subtracting the 20ml/kg bolus of normal 0.9% saline from this total (600ml), leaves 2600 ml, or approximately 100 ml/hour over the initial 24 hours with adjustments made according to response. The total daily fluid infused should rarely exceed 1.5-2.0 times daily maintenance.

 

COMPOSITION OF FLUID

 

Sodium Chloride

 

Normal isotonic saline is the initial crystalloid of choice to be given over the initial 4-6 hours. This fluid is hypotonic relative to the osmolality of the patient’s plasma which can be calculated as 2(Na meq/dl + K meq/dl) plus glucose in mmol, or mg/dl divided by 18. Assuming a Na of 140meq, K 4.0meq and glucose of 450 mg/dl, the osmolality is 284+25 = 309 mosm. Normal (0.9%) saline has an osmolality of 286meq/l; the difference between the osmolality of the infused saline and patient’s plasma becomes greater as the glucose concentration in plasma rises. But it is important to note that the infusate remains hypotonic relative to plasma as long as the hyperglycemia persists; decline in plasma osmolality must be carefully monitored to avoid rapid osmotic shifts that facilitate entry of water to the intracellular /intracerebral compartment. After the first 4-6 hours, 0.5-0.75 N saline plus added potassium(K) as the phosphate, acetate or chloride maintains an osmolality of the infusate close to that of the patient’s plasma. Because of the concerns regarding use of chloride in worsening acidosis, some have recommended the use of lactated Ringers solution or sodium acetate in lieu of normal saline (7).

 

Potassium

 

During acidosis K moves from the intra cellular to the extracellular compartment and considerable K is then lost in urine. As a result, total body K stores are almost always depleted and with correction of acidosis, K returns to the intracellular compartment resulting in hypokalemia, which may precipitate cardiac arrhythmia. Hyperkalemia is less common and may reflect impaired renal function. Hence, after initial resuscitation, as soon as urine output is documented, K should be added to the infusate at a concentration of 20-40 meq/l. The potassium may be in the form of potassium chloride, but this adds to the hyperchloremia which may result in persistent hyperchloremic acidosis. Hence, some recommend that the K may be administered, at least in part, as the acetate or phosphate, which may have additional benefit as described below. Total amounts of potassium replacement should not exceed 0.5mm/kg/hour. Potassium replacement should continue throughout the period of IV therapy to assist in the repletion of potassium stores. This may not be fully accomplished during IV therapy and continues when oral intake is resumed. The measurement of K concentration is an essential component of biochemical monitoring as described below; additional rapid monitoring of K concentration in plasma is in the evaluation of the EKG which may show high peaked T waves with hyperkalemia and low amplitude of T waves, T wave inversion, prolonged PR interval and prominent U waves with hypokalemia. 

 

Phosphate

 

As with potassium, phosphate stores are depleted in ketoacidosis and further losses occur with ongoing diuresis during treatment and the effects of insulin in promoting intracellular entry. Severe hypophosphatemia (<1mg/dl) may be associated with depletion of ATP and the resultant deleterious effects on any energy requiring processes, including muscle function, CNS disturbances, hemolysis, and rhabdomyolysis. In addition, phosphate participates in the regulation of the oxygen dissociation curve, so depletion impairs oxygen release to tissues and further exacerbates acidosis by promoting lactate accumulation. On the other hand, infusing phosphate is associated with hypocalcemia and limited trials have not shown consistent beneficial effects in the treatment of DKA. An advantage however, is its cautious use in limiting hyperchloremia and hence acidosis by providing some of the potassium requirement as phosphate rather than chloride, alternating KCl with KPO4 and monitoring calcium concentration to avoid or treat hypocalcemia. We use this approach in our practice recommendations.

 

INSULIN THERAPY

 

Fluid therapy alone incompletely corrects many of the biochemical features of DKA, but full resolution of DKA requires insulin to switch off ketogenesis, restore acid-base balance, and resume anabolic processes. For moderate to severe acidosis, we recommend a starting dose of insulin(regular) at 0.1 U/Kg/hour, infused intravenously until acidosis is curtailed; insulin should be continued even if the blood glucose concentration has declined to ~300mg/dl or less and additional glucose provided as 5%-10% solution to maintain glucose at ~300mg/dl. Temporarily switching off the insulin infusion may result in rebound or persistence of acidosis, as insulin is essential to curtail keto-acid production and enable metabolism of keto-acids to bicarbonate. It is permissible to reduce the insulin dose to 0.05U/Kg/hr if there is difficulty in maintaining glucose at ~300mg/dl, even with additional glucose infusion, but insulin infusion should not stop until acidosis is resolved and pH is 7.3 or higher. In those admitted with mild acidosis, or those who administered basal insulin prior to admission, the starting dose of insulin should be 0.05U/Kg/hr, in order to avoid too rapid decline in the glucose concentration. Monitoring of blood glucose decline may require upward adjustment of the insulin dose if glucose is not declining at least 50 mg/dl/hour. An intravenous insulin bolus of insulin is not recommended to be given at the start of therapy and may not be effective as acidosis promotes dissociation of hormone binding to its cognate receptor. Where venous access is not possible, IM or SQ fast acting insulin (aspart or lispro) may be given at a starting dose of 0.2-0.3U/Kg and doses of 0.1-0.2 U/kg repeated 1-2 hours apart depending on response in terms of decline in glucose and correction of acidosis.

 

BICARBONATE THERAPY

 

In controlled trials in adults, bicarbonate therapy has not been effective in shortening the time of acidosis; bicarbonate actually may cause harm. Harm may occur because HCO3- combines with the H+ to form H2CO3 which dissociates to H2O and CO2.Whereas HCO3- does not cross the blood-brain barrier, CO2 diffuses readily across the blood-brain barrier and may exacerbate acidosis. In addition, large doses of bicarbonate may induce alkalosis and promote hypokalemia. Although controlled trials have not been performed in children, observational outcomes in pediatric studies show resolution of acidosis with provision of fluids and insulin; bicarbonate therapy is not recommended in published guideline (4, 7, 12). In severe acidosis, with pH <7.0, myocardial contractility may be impaired and here bicarbonate may be helpful. In these circumstances, bicarbonate may be infused at 1-2mmol/Kg over 60 minutes and acid -base status reassessed thereafter. Bicarbonate therapy may be useful in treatment of severe hyperkalemia. Bicarbonate must not be given as a bolus in treating DKA.

 

An example of the losses and management of DKA in a child with weight 30kg (Surface area 1M2) are shown in Tables 3 and 4.

 

TABLE 3. Fluid and Electrolyte losses Based on Assumed 7% Dehydration in a Child with Diabetic Ketoacidosis*

Fluid and electrolyte

Approximate accumulated losses with 7% dehydration

Approximate requirements for maintenance (36hrs)

Approximate working total

Water (mL)

2100

2550

4650

Sodium (mEq)

180

180

360

Potassium (mEq)

120

90

210

Chloride (mEq)

120

90

210

Phosphate (mEq)

30

45

75

*Weight 30 kg; surface area 1 M2; See tables 2 and 3, references (4, 7, 12) and text for source of losses of water and electrolytes       

 

TABLE 4. Replacement Therapy for a Child with Assumed 7% Dehydration and DKA

Duration

Fluid composition/amount

 

Sodium (mEq)

 

Chloride (mEq)

 

Potassium (mEq)

Phosphate (mEq)

 

Hour 0-2:

500 mL N. SALINE (0.9%NaCl)

75

 

75

 

0

0

Hour 2-6:

150mL/hr

INSULIN

0.1 U/kg/hr

600mL N. SALINE

+ 40mEq KCl/L

 

90

115

25

0

Hour 6-12:

150mL/hr

INSULIN

0.1 U/kg/hr

900ML 0.5N. SALINE +40mEq  KCl/L

 

~70

105

35

0

Subtotal: initial 12 hr

2000ML

 

235

295

60

0

Next 24 hr:

100mL/hr

INSULIN

0.1 U/kg/hr

2400 mL 0.5N SALINE

1STLITER ADD KPO4 40mEq

2ndLITER ADD KCl    20 mEq

3rdLITER ADD KPO4 20 mEq

 

75

 

75

 

30

 

75

 

95

 

30

 

40

 

20

 

8

 

40

 

0

 

8

Total 36 hr:

4400 ml

415

495

128

48

*Weight 30 kg; surface area 1 M2; In this formulation, calculated fluid deficit has been corrected by about 12 hours and basal requirement over the ensuing 24 hours; total fluid over the 36 hours has not exceeded 2 times daily maintenance. Total sodium infused only modestly exceeds the calculated deficit, but total chloride excess is considerable and may be associated with persistent (hyperchloremic) acidosis. Potassium and phosphate repletion is incomplete and continues after transition to oral intake of nutrition and subcutaneous insulin therapy. This example is for illustrative purposes only; the actual amount and composition of infused fluids is dictated by the biochemical responses monitored and recorded during therapy. Detailed discussion of electrolyte replacement can be found in references (12) and (13).

 

MONITORING

 

A flow sheet to record clinical and biochemical progress is an essential component of therapy. Actual real-time monitoring of vital signs should be complemented by hourly recordings. Initial chemical laboratory tests must include blood glucose, serum electrolytes with emphasis on sodium, chloride, and potassium, as well as phosphate, calcium, pH, pCO2, HCO3, base excess, BUN and creatinine as indices of renal function and β-hydroxybutyrate(B-OHB) as a measure of ketosis. Measurement of urine output, urine glucose and ketones also must be recorded. The urine ketone measurement uses the sodium nitroprusside reaction which measures aceto-acetic acid and weakly acetone, but not B-OHB, the predominant ketone in blood. Hence, the major contributor to ketoacidosis is not reflected in the urinary ketone measurement. Bedside blood glucose, electrolyte, and acid base, and ketone meters are very useful but must be verified by periodic formal laboratory measurements. Initially, hourly measurement of glucose, electrolytes, and acid base status are recommended for the first 4 hours and 2-4 hourly thereafter depending on indices of improvement and resolution of acidosis, defined as pH≥7.3 or bicarbonate ≥15 mm/l. At this time transition to oral intake and discontinuation of IV therapy can be undertaken; absence of ketonuria should not be a criterion as this may continue for some time due to conversion of B-OHB to aceto-acetate as ketosis resolves. After the first day, once daily measurement of electrolytes, acid base and renal function should be performed until restoration of normal function is confirmed.

 

TRANSITION TO ORAL INTAKE

 

Oral intake may be begun when clinical recovery has occurred even if the acid base status and ketonuria have not completely resolved. Oral sips of clear liquids precede the introduction of oral fluids to gradually supplant the IV provision and total daily fluid restricted to no more than 1.5 times calculated daily maintenance. The first dose of regular or fast acting insulin is given subcutaneously approximately 1-2 hours before discontinuing the IV insulin to allow for absorption. For patients on a basal-bolus insulin regimen, the first dose of basal insulin may be administered in the evening while the IV insulin is maintained till the morning and then discontinued.

 

Mortality and Morbidity of DKA

 

Mortality of DKA has declined markedly in the past 2 decades largely due to greater referral of patients to specialized centers (5, 6, 14). Cerebral edema (CE) is responsible for the majority of deaths and survivors of CE may have severe or mild residual impairment of CNS function including memory impairment (15-17). Several other causes of mortality and morbidity occur, but each is individually rare and include venous and arterial CNS thromboses, pulmonary embolus, rhabdomyolysis, pancreatitis, ARDS, and infections such as rhino-cerebral mucormycosis and other rare entities. These rarer complications are more fully described in prior reviews (4, 7, 16).

 

CEREBRAL EDEMA

 

Cerebral edema is the most feared complication of DKA occurring either early (cerebral ischemia/reperfusion injury) or later during the course of therapy; mechanisms have not been clearly defined and whether the composition of IV fluids and their rate of administration contribute to or may prevent this complication is hotly debated (12-19). New onset, younger age and indices of severity have been associated with greater risk of this complication (20). Symptoms and signs include severe headache and development of bradycardia and hypertension as evidence of raised intracranial pressure, restlessness and irritability, localizing neurological features such as nystagmus and incontinence or polyuria without glucosuria as indicators of evolving diabetes insipidus, as well as evidence of papilledema.  Clinical diagnosis based on bedside evaluation of neurological state as shown below has been proposed (16). In this formulation, one diagnostic criterion, two major criteria, or one major and two minor criteria have a sensitivity of 92% and a false positive rate of only 4% (16).  Signs that occur before treatment should not be included in the diagnosis of cerebral edema. Diagnostic criteria include abnormal motor or verbal response to pain; decorticate or decerebrate posture; cranial nerve palsy (especially III, IV, and VI), and abnormal neurogenic respiratory pattern such as grunting, or Cheyne-Stokes respiration. Major criteria include altered mentation/fluctuating level of consciousness; sustained heart rate deceleration (decrease more than 20 beats per minute) not attributable to improved intravascular volume or sleep state; and age-inappropriate incontinence with a rise in serum sodium indicative of loss of free water(diabetes insipidus).Minor criteria include vomiting, headache; lethargy or not easily arousable; diastolic BP >90 mm Hg; young age( <5 years) (16). The mechanisms responsible for the development of cerebral edema in DKA appear to be both osmotic (12-14, 18, 20) and vasogenic (21, 22), and the timing of appearance as early or late in the course of treatment may depend in part on the major contribution of the mechanism involved. Treatment should begin with reduction in the rate of fluid administration, elevating the head of the bed, administration of mannitol, 0.5-1 g/kg IV over 10-15 minutes, and repeating the dose of mannitol if there is no initial response in 30 minutes to 2 hours. Hypertonic saline (3%), at a dose 2.5-5 mL/kg over 10-15 minutes, may be used as an alternative to mannitol, especially if there is no initial response to mannitol. After these measures have begun, imaging of the CNS should be arranged to identify intracranial pathology such as thrombosis and treat as appropriate.

 

Caveats

 

  1. Ketone bodies measured in urine grossly underestimate the degree of ketosis, because the common method uses sodium nitroprusside which reacts strongly with aceto-acetate, weakly with acetone, and not at all with βOHB. Yet the actual amount of βOHB may be 5 times or more than aceto-acetate, especially in the presence of acidosis. As acidosis is corrected and more of the βOHB is converted to aceto-acetate, it appears as if the ketosis is getting worse, when in fact acidosis and clinical parameters are improving. Measurements of βOHB via bedside meters or formal laboratory methods are better means to monitor “ketone” status.
  2. After commencing treatment, acidosis may appear to worsen initially for 3 reasons (4). First, dilution of the total bicarbonate in the expanding fluid volume lowers the apparent bicarbonate concentration because the HCO3 is expressed as mmol/L, and while the total mmols may not have changed, they are distributed in a greater volume. Second, with initially rapid rehydration, accumulated lactic acid enters into the circulation. Third, the βOHB acid is excreted in urine after it is converted to Na Butyrate; the Na derives from NaHCO3, leaving bicarbonate which combines with H+ to yield CO2 and H2O and permits loss of the CO2 in respiration. In these processes, bicarbonate (HCO3) and Na are lost, further depleting the bicarbonate content of plasma. With rehydration and insulin, which together curtail ketogenesis, acid base balance gradually returns to normal (4).
  3. The use of phosphate as potassium phosphate or acetate rather than KCl, may reduce the large amount of chloride used and hence reduce hyperchloremic acidosis, as well as improving oxygen dissociation to enable lactate to be converted to pyruvate. However, this is not accepted by all authorities and some claim no additional benefit from using phosphate. In addition, the use of phosphate may result in hypocalcemia. However, with severe phosphate depletion, the use of phosphate is indicated and likely to be beneficial.

 

Recurring Episodes of DKA

 

A small subset of patients experience repeat episodes of DKA, and with each episode the prognosis for short-term and long-term outcome worsens. Recent data confirm that the majority of such recurrences reflect psycho-social maladjustments that require careful attention via medical and social support to avoid disastrous consequences (5, 6).

 

HYPERGLYCEMIA HYPEROSMOLAR SYNDROME (HHS)

 

The hyperglycemia-hyperosmolar syndrome (HHS) is characterized by blood glucose concentrations >600mg/dl (>33.3 mmol/l), serum hyper-osmolality ≥330mmol/l, and minor acidosis and ketosis; serum bicarbonate remains >15meq/l and urinary “ketones” (aceto-acetate) are usually negative or only trace positive on testing urine via dipstick (7, 21, 22). Hospital admissions for HHS are increasing in incidence, have high morbidity, and though classically considered to occur in obese patients with T2DM it may occur in T1DM as frequently as in T2DM (23). Although there are similarities to diabetic keto-acidosis, the fundamental difference is a greater degree of dehydration and less acidosis, so that treatment should focus on fluid and electrolyte replacement, and less on provision of insulin; indeed, insulin should be withheld initially to prevent a too rapid fall in serum glucose and lowering of serum osmolality which might result in fluid shifts into the cerebral compartment and cerebral edema (CE). However, CE is rarer in HHS than in DKA. The degree of insulin deficiency and the magnitude of counter-regulatory response appear to be less severe, so that the symptoms and signs of DKA are absent or less pronounced; abdominal pain and Kussmaul respiration are absent, and vomiting is less severe. These milder features also lead to greater time in evolution, greater degrees of dehydration and electrolyte losses resulting from the polyuria, and are often compounded by intake of highly glucose-enriched carbonated soft drinks consumed due to thirst. Glucose concentrations commonly exceed 1000mg/dl, dehydration may be as much as twice that occurring in DKA and may be difficult to estimate due to co-existing obesity and hypertonicity which retains fluid in the intra-vascular compartment. Persistence of the polyuria due to the persistence of glucose concentrations exceeding renal threshold of ~200mg/dl during treatment, requires careful monitoring of clinical status and fluid replacement to avoid dehydration and vascular collapse. The risk of thrombosis is greater in HHS than in DKA, possibly as a result of osmotic disruption of endothelial cells, with release of thromboplastins facilitating coagulation.

 

Treatment should assume dehydration of 10%-15% and initially isotonic (normal) saline should be provided at 20ml/kg bolus infusions to restore fluid deficits and maintain vascular volume with assessment of serum chemistries every 1-2 hours; subsequently, 0.5-0.75 N saline, with added potassium and phosphate should be infused to replace calculated losses over 24-48 hours, guided by laboratory chemistry every 2-4 hours and ongoing clinical monitoring performed in an ICU or equivalent setting. The aim should be to control the decline in blood glucose to 100 mg/dl per hour; if glucose is not declining at a rate of at least 50 mg/dl, or ketosis is more than mild, insulin at a rate of only 0.025-0.05U/kg/hour may be used with caution and careful clinical and laboratory monitoring. Potassium, phosphate and magnesium losses may be considerable; potassium should be infused at 40meq/l added to each liter of saline, with balanced mixtures of potassium chloride and potassium phosphate, the latter to replete phosphate depletion which may predispose to rhabdomyolysis and hemolytic anemia. As in DKA, use of bicarbonate is not recommended. Magnesium also may be severely depleted in HHS and predispose to hypocalcemia; the recommended doses of magnesium replacement are 25-50mg/kg/dose given every 4-6 hours at a maximum infusion rate of 150mg/min(2gm/hr.) for 3-4 doses. In addition to cerebral edema, thrombosis, and rhabdomyolysis, malignant hyperthermia is reported as a complication. Monitoring for these complications is based in part on clinical anticipation e.g., hyperthermia, and supplemented by appropriate biochemical testing e.g., serum creatinine kinase for rhabdomyolysis. Some patients have features that combine DKA and HHS that reflect the degree of insulin deficiency; clinical acumen, earlier use of insulin, and careful monitoring of the patient’s vital signs and chemistries guide treatment, especially the earlier use of insulin in appropriate doses. This syndrome of HHS in adolescents and young adults was classically considered a feature of T2DM (24), an entity that is increasing at an annual rate of 4.8% in the obese population of the USA (25). Hence, the frequency of HHS as a presenting feature is also likely to increase, so that physicians caring for these patients in an ICU or equivalent setting must be alert to the differences in management with the greater focus on fluid and electrolyte replacement in HHS rather than the use of insulin as in DKA.  

 

Table 5. Monitoring of Patients with HHS in the ICU (1)

A.    Continuous cardiac, respiratory and blood pressure monitoring

B.    Hourly glucose and clinical assessment

C.    2-4hourly assessment of fluid balance(input/output); serum electrolytes, BUN, creatinine, CPK (creatine-phospho-kinase)

D.    4-6 hourly Calcium, phosphate, magnesium

E.    Be alert to complications-thrombosis, rhabdomyolysis, hyperpyrexia, cerebral edema.

 

ROUTINE MANAGEMENT OF DIABETES

 

The goals of treating diabetes mellitus in children are to maintain metabolism as near to normal by the appropriate provision of insulin, maintaining nutrition by meeting caloric requirements and balanced composition of food choices within the cultural preferences of the family, and to balance both insulin and nutrition with recommended exercise and activity to allow normal growth and development. In order to prevent diabetes related complications, especially long-term microvascular disease, glycemic control is crucial.  This optimal diabetes regimen requires intensive management by patients and their families along with a multidisciplinary approach with psychosocial support.  Glycemic control is assessed by periodic measurement of hemoglobin A1C levels.

 

Table 6. The American Diabetes Association Guidelines for the Target Glucose and HbA1C Levels (26)

A1C

<7%

Pre-prandial plasma glucose

90-130 mg/dl

Overnight plasma glucose

70-180 mg/dl

 

TYPE 1 DIABETES

 

Insulin Therapy

 

The management of diabetes can be cumbersome.  In caring for children and adolescents with Type 1 diabetes, providers must take into account unique factors such as a child’s pubertal stage and growth, ability to provide self-care, supervision of care, school environment, and neurological vulnerability of hypoglycemia in young children. 

 

However, it is crucial to normalize glucose levels in order to prevent long-term consequences of diabetes especially from microvasculopathies, leading to neuropathy, renal failure, and blindness. In 1993, The Diabetes Control and Complications Trial (DCCT) reported results demonstrating that the intensive therapy of T1DM reduces the risk of development and progression of microvascular complications. Furthermore, these benefits outweighed the increased risk of hypoglycemia that accompanied intensive diabetes therapy (27). Thereafter, The Epidemiology of Diabetes Interventions and Complications (EDIC) study assessed whether these benefits persisted after the end of DCCT. The findings of this study provide further support for the DCCT recommendation that most adolescents with T1D receive intensive therapy aimed at achieving glycemic control as close to normal as possible to reduce the risk of microvascular complications (28). This goal is not easily achieved even with a multi-dose insulin regimen of basal and short acting insulin that attempt to mimic normal patterns (Figure 2).

 

Figure 2. Normal Glucose and Insulin Profiles

This pattern is difficult to achieve because the perfect alignment of glucose and insulin in the normal person depends on a complex interaction of neural, hormonal, and nutritional signals that are absent in type 1 DM. Moreover, the “first pass” of endogenous insulin is via the portal vein to the liver, whereas SQ insulin injections first reach the liver via the systemic circulation. Hence the common problem of post-prandial hyperglycemia due to delay in the action of insulin during and immediately after a meal, and rebound hypoglycemia sometime after the meal. The following describes the insulin regimens recommended as standard of care attempting to reproduce the normal situation.

 

Figure 3. Time Course of Rapid and Long-Acting Insulin

 

Insulin Glargine and Detemir provide day-long basal insulin without significant peaks of action. In some children, however, Glargine may not be fully effective for a whole 24 hours and for this reason is usually given at night. This synthetic insulin cannot be safety mixed with other insulins in the same syringe due to pH incompatibilities. Throughout the day, short acting insulin preparations such as Insulin Aspart, Lispro, and Glulisine are given to normalize blood glucose levels and cover calories consumed during meals and as possible snacks. As 3 meals are eaten by most on a daily basis, short acting insulins should be given at least 3 times daily to prevent excessive hyperglycemic excursions.

 

Prepubertal children typically require a total daily insulin dose of ~ 0.7 -1 U/kg/day whereas pubertal children may require total daily insulin doses up to 1.2-1.5 U/kg/day; greater than 2.0 U/kg/day suggest extreme insulin resistance or non-compliance (29).  Of the total daily insulin dose, 40-60% should be given as basal insulin. The actual dose depends upon the level of glycemia and the quantity of calories and carbohydrates consumed. A fast-acting insulin bolus is given to cover meals, calculated from an estimation of the carbohydrate content in grams and an individual factor (insulin to carbohydrate ratio) relating insulin dosage to the amount of carbohydrate to be consumed. When using carbohydrate counting, the ‘500-rule’ can be used to obtain an initial carbohydrate ratio by dividing 500 by the total daily insulin dose.(29) The range is from 1 unit per 10-50 grams.  In addition to the meal bolus, the difference between the blood glucose recorded immediately before the meal and the target glucose concentration (120 mg/dl for older children; 150 mg/dl for younger children) is used to calculate a correction bolus, based on a theoretical Insulin Sensitivity Factor or ISF. This may range from 1 unit for 10- 200 mg/dl blood glucose depending upon age and body size. The ‘1800-rule’ can be used to obtain an initial ISF by dividing 1800 by the total daily insulin dose.

 

Table 7. Types of Insulin Preparations and Action Profiles (30)

Insulin

Onset

Peak

Duration

Insulin lispro

(rapid acting)

15-30 mins

0.5-2 hrs

2-5 hrs

Insulin aspart

(rapid acting)

15 mins

1-3 hrs

3-5 hrs

Insulin glulisine

(rapid acting)

12-30 mins

1.5 hrs

5-6 hrs

Fiasp

(ultra-rapid acting)

5 mins

0.5 hrs

3-5 hrs

Regular

(short acting)

0.5-1 hrs

2-4 hrs

5-8 hrs

NPH

(medium acting)

2-4 hrs

4-10 hrs

8-16 hrs

Insulin glargine

(long acting)

2-4 hrs

None

24 hrs

Insulin detemir

(long acting)

1-2 hrs

6-12 hrs

20-24 hrs

Insulin degludec

(ultra-long acting)

0.5-1.5 hrs

none

42 hrs

Insulin glargine U300

(ultra-long acting)

6 hrs

none

24-36 hrs

 

The intermittent, short acting insulin given as a bolus should be injected 15 minutes before the meal in order to have its full effect when glucose rises during and after the meal. For infants and toddlers, these short acting insulin doses may be given after the meal if food consumption has been found to be unpredictable. In addition to the 3 meals, additional amounts of short acting insulin may be taken to cover snacks, and to reduce blood glucose concentration as appropriate at bedtime. An insulin "pen" is a convenient way of carrying multiple doses in a single dispenser but this pen device does not reduce the burden of multiple insulin injections.  Super long-acting insulin preparations e.g. Degludec or super-fast acting insulin e.g. FIAsp(Ultra-Fast acting insulin Aspart) are available and may have advantages in specific situations. In particular, a super-fast acting insulin would allow more rapid equilibration between the systemic and portal circulations, so offering advantages to prevent excessive rise in glucose after a meal and avoiding later development of post-prandial hypoglycemia (31, 32).  The half-life of insulin degludec exceeds the dosing interval resulting in a very low peak:trough ratio at steady state.

 

An alternative and better method of insulin delivery is the use of continuous subcutaneous insulin infusion (CSII) through use of an insulin pump. In this case, only short acting insulin e.g., lispro, glulisine), aspart, or FiAsp is taken as a continuous basal infusion and multiple boluses of insulin are given as above. The newer generation of CSII pumps automatically calculate meal and/or correction boluses based on input insulin-to carbohydrate ratios and insulin sensitivity factors plus estimates of the amount of carbohydrate consumed. The infusion site is best changed every 2 days to avoid skin infections. The advantages of CSII when used correctly are that insulin is delivered only as needed, and not in an anticipatory fashion as with long-acting insulin. Insulin boluses are also delivered only as needed, nutritional intake may be more liberal, glycemic excursions both as hyperglycemic and hypoglycemic episodes can be reduced, and the system is convenient and portable. Patients receiving insulin via CSII and their parents have generally reported improved treatment satisfaction. The one disadvantage of CSII is that since only short acting insulin is used (effects of rapid acting insulins are dissipated within 3 hours), any blockage in the tubing or pump failure can lead to rapid onset of hyperglycemia, accumulation of serum ketones, and an uncontrolled diabetic state. Thus, patients and their care-givers must be educated on treatment of hyperglycemia with an insulin pen or syringe in case of suspected pump malfunction which can be a common cause of DKA. 

 

With advanced technology, insulin therapy is becoming more physiologic. Continuous subcutaneous insulin infusion (CSII) therapy is transforming care of T1DM while continuous glucose monitoring (CGM) of interstitial fluid has become widely available and increasingly used in the US. Without continuous glucose monitoring, manual adjustment of insulin doses in response to changes in blood glucose are based only upon intermittent blood glucose testing and corrections.  Moreover, as previously mentioned, insulin injections or infusions are given subcutaneously and initially enter the systemic circulation, whereas endogenous insulin is secreted into the portal vein and act directly and immediately on the liver.

 

Currently, we are entering a new era of diabetes care for children, with the adoption of closed loop systems (33). All systems in development rely on glucose measurements via CGM transmitted to an insulin delivery system (pump) which uses a computerized algorithm to adjust insulin infusion based on upper and lower limits and the rate of change in increase or decrease of glucose values (34-36).  Modified versions of the closed-loop system that are semi-automated are FDA approved for use in children.  Semi-automated closed-loop systems, also known as hybrid closed loop systems, are characterized by the combination of automated insulin delivery via an algorithm for basal requirement and user-initiated insulin delivery for meals.  A setting to suspend insulin delivery when glucose is low or rapidly downward trending can be utilized to avoid hypoglycemia. To improve ease of mobility, a tubeless insulin pump that can be operated by a third party through a wireless receiver is available and useful for very young children with control exercised by a parent.    

 

Bi-hormonal systems (insulin and glucagon) can rapidly alter high or low glucose values and be used with safety during normal activity and exercise (37, 38).This system has not yet been approved for commercial use. However, the next decade should see application of these tools to an increasing number of patients with T1DM.

 

The clinical management for patients with T1DM is based on adequate insulin replacement matched to food intake and modified by exercise. Insulin is required throughout the whole day to prevent development of a starvation state and ketosis i.e., the basal insulin requirement.

 

Recurrent hypoglycemia represents a mismatch between insulin provided and caloric expenditure, which occurs as a result of not covering the basal amount or a bolus with appropriate food intake, malabsorption of food e.g., celiac disease, or exercise without adjustment in the insulin dose or omission of additional calories before or after the exercise. unexplained episodes of hypoglycemia require re-evaluation of the insulin regimen, exclusion of concurrent conditions such as acute illness with diminished food intake, and testing for celiac disease, hypothyroidism, and Addison’s disease. 

 

In special circumstances where adherence to recommended regimens is not being followed due to various psycho-social limitations, a twice daily regimen of pre-mixed insulin (NPH/Reg70/30) may be prescribed, though it is known not to be ideal. In developing countries with limited resources to treat diabetes, this twice daily dosing regimen of NPH and regular continues to be vital to avoid DKA but is associated with less optimal glycemic control. 

 

Glucose Monitoring

 

Patients on insulin regimens are encouraged to check glucose levels prior to meals and snacks, at bedtime, prior to exercise, and when they suspect low blood glucose.  This typically amounts to 4-6 glucose levels per day.  Blood glucose monitoring allows patients and families to evaluate their individual response to therapy, assess whether achieving glycemic targets, and help guide treatment decisions.

 

Continuous glucose monitors and intermittently scanned monitors measures interstitial glucose which correlates well with plasma glucose.  Time in range is defined as percentage of the day with blood glucose levels between 70 and 180 mg/dL.  A time in range target of more than 70% is recommended (39).  Time in range is becoming a key glycemic metric, in addition to glycosylated hemoglobin (HbA1c) (39).  A correlation between improved HbA1c levels and fewer diabetes complications has been demonstrated (40).  Percent time in range provides real-time insights into glycemic variability and frequency of hypoglycemia and hyperglycemia. Time in range also correlates with complications of diabetes and HbA1c values and is being used to compare diabetes technology (40).

 

Nutrition

 

The goal of nutrition is to support normal growth and development, improve diabetes outcomes, and reduce cardiovascular risk factors.  Dietary recommendations should be based on healthy eating principles appropriate for all children and their families. Typically, distribution of energy sources recommended is 50-55% carbohydrates, <35% fat, and 15-20% protein (41).  Regular meals are recommended.  A commonly prescribed meal plan consists of 20% of calories at breakfast, 30% at lunch and 30% at dinner with 2 snacks of 10% each one of which is at bedtime to avoid nocturnal hypoglycemia. In the basal-bolus insulin regimen, insulin doses are matched to the amount of carbohydrates consumed during each meal. 

 

Protein and fat are not typically accounted for in the meal time insulin dose calculation though this issue is controversial and some authorities recommend that these protein-fat derived calories must be included. The predominant effect of dietary fats and protein is late postprandial hyperglycemia. Bolus corrections for insulin pump use when eating fatty meals have been devised and recommended (42-44).  Studies have found that lower glycemic index diets improved glycemic control compared to traditional higher glycemic index diets (45, 46).  Low glycemic index foods include whole-grain breads, pasta, temperate fruits, and dairy products

 

Dietary advice should be given in the context of cultural, ethnic and family traditions to be successful. Continuous nutritional education regarding a healthy diet and carbohydrate counting is recommended. Food labeling requirements have simplified the process, as many foods are clearly labeled with the amount of carbohydrate grams per serving. Additionally, apps, such as Calorie King, provide information on carbohydrate content of foods provided by many large restaurants.

 

Exercise

 

Establishing and maintaining an active lifestyle should be the goal for all children. Increased physical activity is associated with better glucose utilization and increased insulin sensitivity leading to lower insulin requirements. However, blood glucose levels can be difficult to regulate during these intervals of exercise. Hypoglycemia is common during exercise and can possibly last up to 24 hours afterwards, due to increased insulin sensitivity (47). This increases the risk of nocturnal hypoglycemia. Factors during exercise frequently associated with hypoglycemia are excessive insulin dosing prior to exercise, prolonged duration, and higher intensity aerobic exercise (47).

 

To reduce the risk of hypoglycemia during prolonged exercise, reductions in bolus and basal insulin are typically needed. In children using CSII pumps, simply suspending or reducing the basal infusion rate can markedly reduce the risk of hypoglycemia during exercise. If insulin doses prior to exercise are not reduced, a snack of 1-1.5 grams of carbohydrates per kilogram is recommended (47). Meals with high carbohydrate content should be consumed shortly after exercise. As the effects of exercise can be prolonged, blood glucose should be measured before bed and a decrease in basal insulin (either long acting or overnight basal) should be considered after exercise later in the day. 

 

Any exercise should be avoided if blood glucose prior to exercise are high (>250 mg/dl) and associated with ketonuria. Exercise during such insulinopenic states is dangerous owing to the effects of uninhibited counterregulatory hormones and may precipitate diabetic ketoacidosis. 

 

Sick Day Management

 

Children with intercurrent illnesses such as fever or vomiting, should be closely monitored for the development of hyperglycemia and ketonuria. On sick days, blood glucose levels should be checked every 2-3 hours when not tolerating food and urine should be checked for the presence of ketones with every void. Correction doses with rapid-acting insulin should be given approximately every 3 hours. Persistent vomiting and/or ketonuria are signs of diabetic ketoacidosis; patients with such signs and symptoms should be evaluated in an emergency department immediately. 

 

Adequate fluid intake is crucial to preventing dehydration and accumulation of ketones. For blood glucose >200 mg/dl, rehydration with sugar free fluids is recommended. Sugar containing fluids such as flat soda or diluted juice may be necessary to maintain normoglycemia if blood glucose is <140 mg/dl. 

 

Management of Co-Morbid Conditions

 

Besides insulin replacement therapy for T1DM, co-existing hypertension and dyslipidemia should be aggressively treated; it is important to use age-appropriate references for determining the presence of hypertension and upper levels of acceptable lipid values of LDL and triglycerides. 

 

Increased urinary protein excretion is the earliest clinical finding of diabetic nephropathy. Measurement of the urine albumin-to-creatinine ratio in an untimed urinary sample is the preferred screening strategy for moderately increased albuminuria in all patients with diabetes and should be repeated yearly. Screening for increased urinary albumin excretion can be deferred for five years after the onset of disease in patients with type 1 diabetes because increased albumin excretion is uncommon before this time; screening should begin at diagnosis in patients with type 2 diabetes because many have had diabetes for several years before diagnosis. Abnormal results should be confirmed by repeat testing before establishing a diagnosis because of the large number of false positives that can occur. The normal ratio of microalbumin to creatinine is less than 30 mg/g.  Thus, a persistently elevated ratio of 30-300 mg/g signifies microalbuminuria. Microalbuminuria and/or hypertension should be a call for use of angiotensin converting enzyme (ACE) inhibitors to minimize progression to chronic glomerulosclerotic damage. ACE inhibitors may induce angio-edema and can produce a troublesome dry cough.

 

Poorly controlled diabetes induces an increase in VLDL and triglyceride levels, when acute or chronic, pancreatitis may be induced. Diet reduced in animal fat and administration of fibrates (e.g., gemfibrozil or fenofibrate) may be used to combat hypertriglyceridemia. Co- existing Hashimoto's thyroiditis should be periodically sought through thyroid autoantibody analyses, and hypothyroidism when identified by elevated TSH levels, treated by thyroid hormone replacement. Celiac disease also should be regularly checked via titers of tissue transglutaminase antibody titers, and treated via gluten exclusion when diagnosis is confirmed by endoscopically obtained biopsy specimens. Addison's disease and atrophic gastritis/pernicious anemia should always be considered in patients with T1DM, especially with unexplained frequent episode of hypoglycemia, and if found, treated accordingly.

 

TYPE 2 DIABETES

 

The increased incidence of T2DM is attributed to the increase in obesity worldwide. Approximately 3700 youths are diagnosed with T2DM every year in the US (25) and it is estimated that the number of youths with T2DM will almost quadruple from 22,820 in 2010 to be approximately 85,000 adolescents with T2DM by 2050 (48). Similar rates of increases in youths with T2DM are reported from the UK, India, China and Japan (48). The child with T2DM as part of the insulin resistance syndrome (IRS) should be aggressively treated to prevent the burgeoning complications of the condition. The development of complications associated with T2DM is accelerated in youth, with reported rates of 6% with renal failure within 5 years of diagnosis, and 2.3% end stage renal disease by 10 years.  

 

Initial education for T2DM should focus on dietary and lifestyle modifications and this education should continue to be reinforced with the goal being to decrease insulin resistance. The approaches should include an exercise program such as walking or swimming for 30-40 minutes most days of the week, since at the level of the muscle, exercise provokes glucose entry into muscle without the involvement of insulin. Sedentary time including homework, computer and phone related activities, and video games should be assessed and established for appropriateness in each family setting. Caloric restriction, particularly of carbohydrates, is the key to reducing weight, a task that has proven resistant to success in many instances.  Elimination of sugar containing sodas and juices has been shown to result in significant weight loss (49). Barriers include older age at diagnosis, difference in socioeconomic status, and poor diet within the household (50). Also, clinicians should understand the health beliefs and behaviors of the family and community and take into account cultural food preferences and the use of food during celebrations and cultural festivals in order to collaborate with the family on diabetes management.  

 

The use of metformin as first-line therapy is based on its glucose-lowering efficacy, safety profile, weight neutrality, and reasonable cost. In most countries, metformin is currently approved for use in children. Metformin is approved for the treatment of T2DM in children, but is also the drug of choice for insulin resistance syndrome, also known as metabolic syndrome (IRS) and impaired glucose tolerance because of its property in improving insulin sensitivity. Monotherapy with metformin was associated with durable glycemic control in approximately half of children and adolescents with T2DM (51). Some suggest that it is the gastro- intestinal side effects of the drug that accounts for much of its beneficial effects. However, the drug is effective in T2DM even without weight loss, an action attributed to reduced hepatic glucose output.

 

The guidelines from the ADA and EASD indicate that any FDA-approved second agent can be used in combination with metformin to improve glycemic control, whereas the American Association of Clinical Endocrinologists recommends either incretin-based therapy or sodium glucose transporter 2 (SGLT2) inhibition agents (52). Sulfonylureas are approved for use in adolescents in some countries; these agents bind to receptors on the K+/ATP channel complex resulting in insulin secretion. The PPAR-γ agonists are effective at insulin sensitization but are less useful in supporting weight loss. Further, they promote salt retention and a tendency for edema. A new class of drugs which inhibit the sodium co-transporter 2 (SGLT2) resulting in glycosuria at a lower blood glucose threshold than normal have become available, though not currently approved for use in children (canagliflozin, dapagliflozin, empagliflozin). Use of SGLT2 inhibitors has been associated with an increase in fungal infections of the genital areas and missed symptoms of evolving keto-acidosis.

 

Two drug classes were developed that target the incretin system and increase endogenous insulin secretion: glucagon-like peptide (GLP)-1 receptor agonists and dipeptidyl peptidase-4 (DPP-4) inhibitors. GLP-1 receptor agonists (e.g., liraglutide and exenatide) resist degradation by DPP-4 resulting in increased circulating levels of the administered drug (53). DDP-4 inhibitors (e.g., sitagliptin, vildagliptin and saxagliptin) reduce endogenous GLP-1 degradation, thereby maintaining circulating levels of GLP-1 with biological effect. Both these classes of drugs improve glycemic control with a low incidence of hypoglycemia because of their glucose-dependent mechanism of action. In addition to their effects on improving insulin secretion, these drugs lower glucagon and delay gastric emptying, and potentiate weight loss, in part through decreased appetite.

 

Whereas the glucagon like peptide one (GLP-1) analogue exenatide given by subcutaneous injection will lower blood glucose levels and complement metformin in provoking weight loss, it should be reserved for more severely diabetic adults and teenagers who have become unresponsive to diet and exercise programs.  Some formulations of GLP-1 analogues can be given once weekly.  In 2019, liraglutide was approved for adjunct use to improve glycemic control in pediatric patients 10 years and older with T2DM. (54, 55) Sitagliptin blocks the dipeptidyl peptidase-4 (DPP-4) enzyme preventing it from inactivating GLP-1, thus prolonging the action of GLP-1 once induced by a meal. Whereas the latter agent is in general weight neutral, it can be of adjunctive help in lowering hyperglycemic excursions. When these additional agents also fail to maintain near normoglycemia, then insulin should be given instead of the secretagogues.

 

Table 8. Glucose Management for Adult Patients with Type 2 Diabetes (52)

IRS/IGT

 

 

Diabetes

Mild

 

 

 

 

 

 

 

 

 

 

 

 

Severe

Step 1: Dietary and lifestyle education- 3-5% weight loss; 150 min/week exercise

Step 2: Addition of metformin- Maximum daily dose of 2000 mg

Step 3: Addition of second antihyperglycemic drug

 

Pioglitazone

DPP4 inhibitor

GLP-1 agonist

SGLT2

inhibitor

Sulfonylurea

HbA1C

¯

¯

¯

¯

¯

Weight

 

--

¯

¯

 

Hypoglycemia

--

--

--

--

 

Major CV events

--

--

¯

¯

-

Heart failure

 

*

--

¯

-

Step 4: Addition of insulin

Basal insulin with or without prandial insulin

*Saxagliptin is a DPP4 inhibitor associated with heart failure. Other DPP4 inhibitors have not been shown to cause heart failure. Whereas studies of these agents are under investigation, only a GLP-1 agonist is currently approved by the FDA for use in children and adolescents

 

One of the main goals of therapy in IRS/T2DM should be to achieve an ideal body mass index (kg/m2) for age and gender. This is not readily achievable with lifestyle modification and medical therapy in many subjects; bariatric surgery is emerging as a successful and durable treatment in adults and adolescents with IRS, obesity, and their associated complications (56-58). In adults the ADA recommends bariatric surgery in those with BMI of 30 kg/m2 or greater and poorly controlled DM (59). Bariatric surgery is an effective treatment for severe obesity that results in the improvement or remission of many obesity-related comorbid conditions, as well as sustained weight loss and improvement in quality of life. Mortality owing to cardiovascular diseases, diabetes, and respiratory conditions is reduced after bariatric surgery (60). A prospective follow up studies of bariatric surgery in adolescents with severe obesity showed a substantial and durable weight reduction and cardio-metabolic benefits (57, 58). Changes in glucoregulatory hormones produced by the gastrointestinal tract, bile acid metabolism, and GI tract nutrient sensing and glucose utilization are proposed mechanism for improvement in glycemic control after bariatric surgery (61). Currently, bariatric surgery is considered only in children with BMI ≥ 40 kg/m2 with comorbidities or BMI ≥ 50 kg/m2regardless of comorbidities (62, 63). Indications in adults are much less stringent; adults with BMI ≥ 35 kg/m2 with comorbidities are candidates for these procedures. Updated recommendations for adolescents provide more aggressive recommendations similar to those for adults (64). Bariatric surgery is now safe, with mortality comparable to common elective general surgical operations. Level 1 evidence show that bariatric surgery provides superior short-term and long-term weight loss and improvement of T2DM compared with conventional medical therapy. However, patients require life-long follow up and monitoring for nutritional deficiencies and abdominal issues, and to date, results in adolescents are relatively short term.  Pediatric patients who are being considered for bariatric surgery should be evaluated by a multidisciplinary team dedicated to providing long-term follow- up care postoperatively. In addition, selection criteria often exclude the population most in need of this proven procedure.

 

Treatment of Associated Comorbidities

 

The typical dyslipidemia associated with IRS and T2DM should be treated by reduced intake of animal fat and a fibrate such as gemfibrozil or fenofibrate. Where there is an increased level of triglycerides, restriction of animal fats and simple sugars should be recommended. However, those patients who have prominent elevations in LDL-cholesterol should be treated with a statin. The mixed use of a statin and a fibrate should be undertaken cautiously since the risks of muscle necrosis (rhabdomyolysis) with renal failure has been. In patients taking a statin gemfibrozil should not be used and fenofibrate is the fibrate of choice as the risk of myositis is less. Hypertension and microalbuminuria, when present, should be aggressively treated, preferably with angiotensin converting enzyme inhibitors (ACE) and angiotensin receptor blockers (ARBs), at least initially. 

 

Oral contraceptive agents are often prescribed in IRS when there is evidence of hyper-androgenization, where they may counteract the effects of androgens. However, oral contraceptives also increase the level of hormonal binding globulins, including sex hormone binding globulin that binds testosterone, thereby lowering the level of free and bio-available testosterone. Estrogen containing therapies in a prepubertal patient increases the risk of premature closure of the epiphyses and hence risks loss of adult height; they also promote thrombosis and mitigate against weight loss.

 

TREATMENT OF MONOGENIC FORMS OF DIABETES

 

Monogenic forms of diabetes constitute a heterogeneous group of disorders classified according to clinical features that suggest possible type 1 diabetes, type 2 diabetes, and neonatal diabetes, all in the absence of markers of autoimmunity such as circulating antibodies to various islet antigens. The genes responsible for these forms share a role in the formation or function of the pancreatic β-cell, limiting normal insulin secretion that depending on severity, and under certain conditions, results in clinical diabetes. Increasingly, it is being recognized that there is a continuum in the spectrum of these disorders such that the severity of the genetic defect responsible for insulin secretion or action determines the clinical pattern (65-68). This is perhaps best exemplified in the genetic defects of the ATP-regulated potassium channel (KATP) involving the ABCC8 gene coding for the sufonylurea receptor SUR1, and KCNJ11 coding for the subunits of Kir, the inward rectifying potassium channel itself. Severe activating mutations in these genes maintain the KATP in an open state and result in permanent neonatal diabetes, sometimes associated with developmental delay and epilepsy (DEND). Progressively less severe functional mutations may result in transient neonatal diabetes, or in a form of maturity onset diabetes of youth (MODY), or in T2DM.These activating mutations typically respond to sulfonylurea therapy, high dose for the severe mutations and lower doses for the less severe mutations, inducing endogenous insulin secretion mediated in part by GLP-1, and improved metabolic control superior to that obtained by exogenous insulin injection. Similar considerations apply to transcription factors such as hepatocyte nuclear factor1α (HNF1A) and hepatocyte nuclear factor 4α (HNF4A), respectively responsible for MODY3 and MODY1, which may respond to oral sulfonylurea drugs, avoiding the need for injected insulin, at least initially. Heterozygous inactivating mutations in the glucokinase gene responsible for MODY2 delay insulin secretion and result in a mild diabetes that is not associated with an increased risk of macrovascular or microvascular complications, so that treatment with exogenous insulin or other drug therapies is not indicated (69). Hence, knowledge of the genetic mutation drives therapy, permits more precise genetic counselling, and may indicate prognosis. In an era of precision medicine and progressive decline in the cost of sequencing, genetic testing should be considered in those with a strong family history of diabetes, early onset diabetes, and in children or adolescents who present with features suggestive of T1DM, are negative for islet auto-antibodies, and have residual c-peptide secretion as determined by measurement or reflected in persistently low insulin requirements extending beyond 1 year after diagnosis. These concepts are discussed in greater detail in several recent publications (65-69).      

 

Maturity Onset Diabetes of Youth (MODY)

 

The term MODY refers to Maturity Onset Diabetes of Youth, a term coined by Fajans and Tattersall for a mild type of diabetes with autosomal dominant inheritance and varying degrees of impaired insulin secretion (70). The molecular basis for these entities was discovered initially to be due to transcription factors or the enzyme glucokinase responsible for phosphorylating glucose to enable its metabolism to yield ATP; numbering followed the timing of discovery of the genetic-molecular basis (70). There are now 14 entities considered to be MODY as listed in the table in our chapter on the “Etiology and Pathogenesis of Diabetes Mellitus in Children and Adolescents” in Endotext. Of the original 6 “classical” MODY entities, MODY3 (HNF1A mutation), MOY2 (GCK (glucokinase) mutation) and MODY1 (HNF4A mutation) constitute about 85% of all MODY cases (65-68). With rare exceptions, these patients present as milder types of diabetes before age 30-35 years, with a positive family history involving at least 2-3 generations, and negative for islet cell antibodies; a daily dose of insulin less than 0.5U/Kg /day after 1 year of diagnosis should raise suspicion for MODY. MODY affects both sexes and is found in all races, with a prevalence of ~2%-4% of patients diagnosed with diabetes ≤ 30 years (71, 72). The majority are misdiagnosed as type1 or type 2 diabetes and incorrectly and unnecessarily treated with insulin or ineffective drugs such as metformin. MODY 2 affects about 1:1000 people and in females may be noted for the first time during oral glucose tolerance testing in pregnancy, again resulting in inappropriate classification and treatment (73). Biomarkers such as the urinary C-peptide to creatinine ratio (≥0.2nmol/mmol), and negative islet cell antibodies (GAD and IA2) should lead to molecular genetic testing (72). Using this approach, the minimum prevalence of monogenic diabetes was found to be 3.6% of patients diagnosed ≤30years of age with diabetes (72). In a study screening for MODY in all antibody negative children with diabetes in a national population-based registry in Norway, the prevalence of MODY was found to be 6.5%, and in a study from Japan, 11/89 children with insulin requiring diabetes but negative for islet cell antibodies were found to have monogenic forms of diabetes involving mutations in INS, the insulin gene, and in HNF1A or HNF4A (74, 75). Mutations in HNF4A may be associated with large size at birth and neonatal hypoglycemia with hyperinsulinemia that resolves spontaneously, only later becoming manifest as diabetes. Family history is helpful but not essential; de novo mutations occur.

 

In summary, there should be a high index of suspicion for MODY in milder forms of diabetes and in those children who are islet cell negative; using biomarkers followed by molecular diagnostics, the yield becomes quite high for discovering a form of MODY. As the cost of molecular diagnostics declines, and newer algorithms to apply these tools to differentiate apparent type1 from monogenic forms of diabetes are being developed (76, 77), it is becoming apparent that some of these mutations also contribute to the genetics of apparent type 2 diabetes (78, 79). For MODY3 and MODY1, oral sufonylurea medication (Glipizide) is likely to be effective inducing endogenous insulin secretion; MODY2 does not require treatment. Genetic counselling should inform patients of the 50% likelihood of each of their offspring having MODY, so that inappropriate diagnosis and treatment is avoided. In addition, the prognosis for vascular complications is improved especially in MODY2, though not absolute in MODY3. MODY12 (ABCC8) and MODY13 (KCNJ11) are also responsive to oral sufonylurea medication, but may require careful upward titration. For the remaining forms of MODY, insulin is likely to be necessary to control diabetes. In particular, these less frequent forms of MODY may have involvement of other organ systems, e.g., kidney cysts and dysfunction in MODY5(HNF1B), gastrointestinal involvement in MODY8 (CEL), exocrine pancreatic disturbances in MODY4 (PDX-1), blood abnormalities in MODY11(BLK), as well as other abnormalities (see references (65-68) for details). Thus, establishing a diagnosis for a form of MODY has several important consequences. First, it guides treatment, obviating the need for insulin with its costs and discomforts in several forms of MODY, as well as anticipation for possible associated abnormalities. Second, it permits a more accurate prediction of the course and prognosis for complications, e.g., MODY2, which in turn has ramifications on the cost and ability to obtain life insurance policy, or the choice of occupations which may be restricted to a person with T1DM. Third, it permits precise genetic counselling for risk of occurrence in offspring, and targeted molecular screening for the existence of the mutation in suspected family members.    

 

NEONATAL DIABETES MELLITUS 

 

Figure 4. Causes of Neonatal Diabetes

Neonatal diabetes mellitus (NDM) is defined as diabetes occurring in the first 6 months of life; for some authorities, the window extends to 9 months of age, but several of the mutations may manifest only later (65, 80, 81). For convenience, NDM is classified into 3 categories; transient NDM which constitutes about 45%, permanent NDM also constituting about 45%, and NDM associated with various other syndromic features, about 10% (Figure 4).

 

Transient Neonatal Diabetes

 

The transient forms are characterized by a period of remission during which glucose tolerance is normal, but diabetes usually recurs later in life. Of these transient forms, about 2/3rd involve methylation abnormalities in chromosome 6q24 which lead to malfunction of imprinted genes PLAGL, also known as ZAC, and HYMAI that arise by the mechanisms listed in the Figure. These infants display small size at birth due to inadequate in utero secretion of insulin, a major regulator of anabolic growth; there is rapid catch-up growth when insulin is provided by sub-cutaneous injection or via pump therapy with insulin diluted 1:10 so that 1 ml contains 10 U rather than the standard 100U/ml. Hyperglycemia and glucosuria are present but may be missed if not sought. Rare variants of these methylation defects may have initial hypoglycemia and devolve into hyperglycemia. Most are sporadic, but duplication of paternal chromosome 6 leads to dominant transmission (see figure). Of the remaining 1/3rd of TNDM, the majority harbor mutations in the KATP genes ABCC8 and KCNJ11 which respond to therapy via oral hypoglycemic agents such as glipizide; dosage requires titration to individual responsiveness. Approximately 5% of transient cases involve mutation in the insulin gene INS, the β-cell glucose transporter SLCA2A, or other genes as listed in Figure 4.

 

Permanent Neonatal Diabetes

 

Permanent NDM primarily involves 3 genes; severe mutations in KCNJ11 or ABCC8, and the insulin gene INS. Because the KATP channel and its’ genes are also expressed in the CNS, severe mutations also may affect neural function and development. Developmental delay, Epilepsy, and Neonatal Diabetes constitute the DEND syndrome, with associated physical and neuropsychological features; early treatment with oral sulfonylurea medication benefits neuropsychological function and timing of treatment influences outcome, i.e., the earlier the better (82-84). There is debate whether treatment with oral sulfonylurea should be started before confirmation of the genetic defect, but we recommend that it not be started, as the transition to oral agents with concomitant reduction in the injected insulin dose, essential to control the severe hyperglycemia and sometimes associated with DKA, is potentially dangerous and the dose of sufonylurea needed is much higher than that used in adults with T2DM. If successful, transition to oral therapy is associated with remarkable improvement of metabolic control due to stimulation of endogenous insulin secretion and neuropsychological improvement; it is also easier and less traumatic to the patient than insulin injection (80). We therefore recommend that such transitions be performed in a hospital setting according to a published protocol (85). When insulin therapy is used, either in mutations of the KATP channel or where it must be in mutations of INS which do not respond to sulfonylurea, using continuous subcutaneous infusion via a pump and diluted insulin, appears to be the best option (86).

 

Neonatal Diabetes and Associated Syndromes

 

About 10% of cases of NDM are associated with a spectrum of syndromic disorders; the more common ones are listed in the figure 4 and greater details can be found in the references (65-68, 77, 80, 81).  In all forms of neonatal diabetes, children are born small for gestational age; the smaller the child, the more severe the defect in insulin synthesis, secretion or action is likely to be. The associated abnormalities provide clinical clues, and it was the clinical associations that often defined the syndrome, before the genetic mutation was known. Next generation sequencing with a panel specifically designed for NDM can provide a rapid diagnosis and guide therapy, predict associated abnormalities, and infer possible interventions before some of the classical features have evolved (77, 81). Indeed, this is the approach now recommended, i.e., non-selective genetic testing in any case of neonatal diabetes. In addition, exome sequencing of unusual cases not covered by the panel may uncover new entities, as recently described for a form of autoimmunity associated with NDM that is responsive to a CTL4 mimetic (87). For most of the syndromic forms, insulin is the required therapy to control diabetes; an exception may be thiamine responsive megaloblastic anemia and diabetes which is due to mutation in the thiamine transporter SLCA29 and initially responsive to thiamine replacement (77, 80).

 

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Fungi and Endocrine Dysfunction

ABSTRACT

 

Fungi are ubiquitous microbes and form a fraction of the symbiotic human microbiome. Transition from normal commensals to opportunistic mycoses can occur in immunocompromised hosts. Endemic mycoses are caused by fungi that are acquired from environmental sources. Fungal infections can be classified based on the depth of tissue invasion. Superficial diseases are limited to skin, nails, and mucous membrane while systemic dissemination can affect multiple organs including endocrine glands. Fungal involvement of the adrenals, pituitary, thyroid, pancreas, and gonads is well recognized. On the other hand, individual with diabetes mellitus and Cushing’s syndrome are susceptible to fungal disease as a result of immune dysfunction. Mucormycosis, candidiasis, and dermatophytosis occur more commonly in diabetes. Exogenous as well as endogenous Cushing’s syndrome is another endocrine disorder that predisposes to systemic fungal diseases. High index of suspicion is necessary to recognise these infections as clinical manifestations can be masked due to the anti-inflammatory properties of glucocorticoids. Autoimmune polyendocrine syndrome type I (APS-1) is a unique genetic disease where autoimmune damage predisposes to chronic mucocutaneous candidiasis (CMC) and a multitude of endocrine anomalies. Antifungal agents like azoles and polyenes can adversely affect the normal functioning of various endocrine pathways. Errors in diagnosis and treatment of the fungal infections of the endocrine glands can be critical. Equally important is to identify the various fungal diseases occurring in diabetes and other endocrine disorders. Conditions that predispose to fungal diseases such as diabetes and immunosuppressed states in organ-transplant recipients are becoming increasingly prevalent. Understanding of the critical interplay between the endocrine system and fungal pathogens are imperative for optimal patient outcomes in modern medicine.

INTRODUCTION

 

Fungi are classified as a separate kingdom that consists of single-celled or complex multicellular organisms. They are heterotrophs and unlike autotrophic plants, fungi lack chlorophyll and cannot synthesize their own food. They acquire nutrients from the surrounding media by osmosis.

 

Fungi are ubiquitous, transient, or persistent human colonizers which form the fungal microbiota or mycobiome. The human microbiota consists of a diverse array of microorganisms such as viruses, bacteria, fungi, protozoa, and parasites that reside in and around the human body. Fungi comprise ≤0.1% of the total human microbiota, but it still plays a crucial role in human health and disease (1).

 

Fungal species have complex interactions with the human host, which can be viewed as a spectrum of symbiotic relationships. The association can be mutualistic where it is advantageous to both, or commensal where only one profits but the other is unharmed.  On the other hand, the connection can be parasitic where the fungi are benefitted with a damaging effect on the human host, or amensalistic where one organism is harmed but the other remains unaffected. These human fungal symbionts can transition from commensalism to parasitism within the body. Immune dysfunction is one of the common factors that influence this conversion. Endocrine diseases like diabetes mellitus, Cushing’s syndrome, and autoimmune polyglandular syndrome type 1 (APS1) are prone to fungal infections due to immune dysfunction.

 

The prevalence of superficial fungal infection is 20-25% (2). On the other hand, fungal infections tend to spread in individuals with low immunity such as patients with cancer or acquired immunodeficiency syndrome (AIDS) and recipients of immunosuppressive drugs. The reported incidence of invasive fungal disease is 5.9 cases per thousand per year (3). The dissemination may affect various endocrine glands leading to their dysfunction, the adrenal gland being the one most commonly involved. Endocrine system involvement in fungal infections would extend to the adverse effect of various antifungal therapy too. Azoles are the most frequently described class affecting the endocrine system and, adrenal glands and gonads are their primary targets.

 

The diverse aspects of this complex relationship between fungi and the endocrine system are described in this chapter.

 

TYPES OF FUNGAL INFECTION

 

Fungal infections have been classified based on both anatomic location and epidemiology. They can also be classified on the basis of morphological structure of the fungus.

 

Anatomical Categories

 

MUCOCUTANEOUS INFECTIONS

 

Mucocutaneous infections is a heterogeneous group characterized by infections of the skin, mucous membranes, and the nails. These infections are confined to the cutaneous surface, with little propensity for systemic dissemination. The effect can vary from mild to severe depending on the extent of involvement but are rarely fatal.

 

DEEP ORGAN INFECTIONS

Fungal infections can sometimes cause deep tissue involvement and have the potential for hematogenous and systemic spread. Dissemination of fungal infections is usually observed in immunocompromised conditions. If untreated, deep organ or systemic fungal affection can be fatal.

 

Epidemiological Categories

 

ENDEMIC MYCOSES

 

Endemic mycoses include infections caused by fungi that do not belong to the normal human microbiota but rather are acquired from environmental sources. In endemic mycosis, deep organ infection is almost exclusively caused by inhalation, whereas cutaneous disease is most often caused by direct contact with soil but can also occasionally result from hematogenous dissemination. Dermatophytid fungi are mainly acquired by environmental contact however, human-to-human transmission has been reported. Examples of endemic mycoses include coccidioidomycosis, paracoccidioidomycosis, histoplasmosis, blastomycosis, penicilliosis, phaeohyphomycosis, sporotrichosis, and adiaspiromycosis.

 

OPPORTUNISTIC MYCOSES

 

Opportunistic fungi can be normal human microbiota components, but in the immunocompromised state, these organism transition from harmless commensals to invasive pathogens. These fungi invade the host from the usual sites of colonization, typically the mucous membranes or the gastrointestinal tract. Typical examples are candidiasis, aspergillosis, mucormycosis (zygomycosis), cryptococcosis, scedosporiosis, trichosporonosis, fusariosis, and pneumocystosis. Fungi that are reported to affect the various endocrine glands are shown in table 1.

 

Table 1. Fungi Affecting Specific Endocrine Glands

Type of fungus

Organs affected     

Aspergillosis

Pituitary, Thyroid, Pancreas, Adrenal

Zygomycosis

Thyroid

Candidiasis

Pituitary, Thyroid, Pancreas, Testis

Cryptococcosis

Thyroid, Pancreas, Adrenal, Testis

Histoplasmosis

Thyroid, Adrenal, Ovaries,

Blastomycosis

Testis, Ovaries

Coccidioidomycosis

Thyroid, Adrenal,

Paracoccidioidomycosis

Thyroid, Adrenal

Pneumocystis jirovecii

Pituitary, Thyroid, Parathyroid, Pancreas, Adrenal

 

Based on Morphology

 

YEASTS

 

Yeast are found as single rounded cells or as budding organisms. Examples are Saccharomyces cerevisiae, Candida albicans, and Leucosporidium frigidum.

 

MOLDS

 

Molds grow in filamentous forms called hyphae both at room temperature and in invaded tissue. The common molds are aspergillus (A. fumigatus, A flavus, and A brasiliensis), penicillium and rhizopus.

 

DIMORPHIC

 

Dimorphic fungi grow as yeasts or large spherical structures in the tissue but as filamentous forms at room temperature in the environment. These include histoplasma (H. capsulatum), blastomyces (B. dermatitidis), paracoccidioides (P. brasiliensis), coccidioides (C. immitis), penicillium (P. marneffei), and sporothrix (S schenckii).

Figure 1. Classification of Fungal Infections

FUNGAL DISEASES OF MAJOR ENDOCRINE GLANDS

 

Fungal infections are more prevalent in the immunocompromised state (table 2). There is a tendency for fungal infections to disseminate in such cases and affect endocrine organs like the pituitary, thyroid, parathyroid, pancreas, adrenal glands, and gonads. The involvement of these endocrine glands may lead to deficient hormone secretion. The clinical manifestations, diagnosis, and management of fungal infection of the major endocrine glands are discussed below.

 

Table 2. Conditions Predisposing to Systemic Fungal Infections

A.    Endocrine diseases

1.     Diabetes mellitus

2.     Cushing’s syndrome

3.     Autoimmune polyendocrine syndrome-1

4.     STAT5b deficiency (Congenital Insulin-like Growth Factor-1 Deficiency)

B.    Immunosuppressed states

1.     Cancer

2.     Acquired immunodeficiency syndrome

3.     Acute leukemia

4.     Hematopoietic stem cell transplant recipients

5.     Solid-organ transplant recipients

6.     Recipients of immunosuppressive drugs in conditions like connective tissue diseases

 

Pituitary Fungal Infections

 

ETIOLOGY

 

Pituitary infections or abscesses are rare and account for less than 1% of pituitary lesions (4). Even among them, fungal infections are extremely unusual and occur predominantly in immunocompromised states. The mode of spread could be hematogenous, extension from adjacent structures like meninges, sphenoid sinus, cavernous sinus, and skull base, or iatrogenic during transsphenoidal procedures. Fungal infection of the pituitary can occur in the presence of underlying lesions like pituitary adenoma, Rathke’s cleft cyst, etc. Cushing’s syndrome, resulting from an adrenocorticotrophic hormone (ACTH) secreting pituitary adenoma, itself causes immunosuppression and further predisposes to fungal disease (5). Aspergillus is the most frequently reported fungal infection of the pituitary (6–8). Other fungi described to infect the pituitary include candida (9,10), Pneumocystis jirovecii (in HIV/AIDS) (11,12), and coccidia (13). In a review of 13 cases of pituitary aspergillus infection, five were immunosuppressed (14).

 

CLINICAL FEATURES

 

The clinical presentation of fungal infection of the pituitary can be variable (table 3).  Symptoms from mass effects such as headache, visual disturbances (due to optic chiasma compression), and ophthalmoplegia are the usual presenting features. Features suggestive of infection, such as fever, leukocytosis, and meningismus were absent in most of the reported cases (8,15,16). Aspergillus is known to cause angioinvasion and vasculitis, and thus can be additionally associated with features arising from cerebrovascular infarcts (8,14). Pituitary insufficiency can acutely manifest as hypotension and shock primarily from secondary hypoadrenalism (9). Gonadotrophin and other hormone secretion can be affected as a delayed sequalae,  but such reports are very rare (17). Pituitary stalk compression can induce hyperprolactinemia (18). Diabetes insipidus (DI) occur more frequently than seen with pituitary adenomas (10).

 

Table 3. Clinical Profile of Recently Reported Cases of Pituitary Aspergillus Infection

Author, year

Clinical setting

Symptoms

Diagnosis

Management/

outcome

Moore, 2016 (8)

74-year old male,

CAD, CKD, AHA hypertension

Right eye pain, headaches, 10 months of worsening left hemiparesis

 

Imaging - right ICA occlusion, acute right pontine stroke, smaller infarcts in the right MCA territory

Fatal outcome, autopsy findings revealed fungal hyphae in pituitary

Choi, 2021(15)

75-year old male, DM, hypertension, lung aspergillosis

Headache, visual disturbance, hyponatremia

MRI - bilateral sphenoid sinusitis and pituitary involvement, transsphenoidal biopsy demonstrated invasive aspergillus

Endoscopic debridement of sinuses. Oral voriconazole given, gradual improvement

Saffarian,2018 (16)

60-year old male

DM, hypertension, sphenoid aspergilloma

Headache, progressive visual loss, 4thcranial nerve palsy

MRI findings, endoscopy by nasal approach demonstrated aspergillus in biopsy

Endoscopic drainage, intravenous amphotericin, responded to treatment

Ouyang, 2015 (18)

55-year old female,

no comorbidities

Headache, dizziness, and decreased visual acuity

 

MRI - sellar and sphenoid sinus

mass

Prolactin - 815 ng/mL

Transnasal, transsphenoidal removal of the mass and oral voriconazole – resolution of symptoms

 

Vijay-vargiya, 2013 (14)

68-year old female,

kidney transplant recipient

Headache, left temporal hemianopsia, ptosis.

MRI – sellar mass

Intraoperative frozen

section showed organisms consistent with aspergillus

Transsphenoidal resection, voriconazole, Developed ACA ischemic stroke, died.

CAD – coronary artery disease, AHA – autoimmune hemolytic anemia, ICA – internal carotid artery, MCA – middle cerebral artery, ACA – anterior cerebral artery, DM – diabetes mellitus, MRI – magnetic resonance imaging

 

DIAGNOSIS

 

Fungal pituitary infections usually present with symptoms of headache, visual disturbance, and ophthalmoplegia and are often misdiagnosed as tumors (14). Identification of a mass in the sellar region in an immunocompromised state should raise suspicion of fungal etiology.  T1-weighted magnetic resonance imaging (MRI) of fungal abscess of pituitary shows nonspecific isointensity or hypointensity (4). Pituitary abscess of any etiology including fungal may demonstrate peripheral rim enhancement and calcifications on T2-weighted images. Low signals due to iron deposition are however indicative of fungal involvement (19). Involvement of the adjacent sinuses is another pointer for fungal disease (15,16). It is difficult to distinguish fungal pituitary infections from intrasellar bacterial infections and tumors, and the diagnosis is often confirmed during surgery or autopsy. Histopathological examination can reveal hyphae and fungal spores. Silver impregnation stains such as Grocott or Gomori methenamine silver, fungal culture, or fungal polymerase chain reaction (PCR) can confirm the diagnosis (4). Serum 1,3-β-D-glucan is positive in a broad range of invasive fungal infections, including candida (19). Serum galactomannan is however, a specific marker for invasive aspergillosis (20).

 

TREATMENT

 

Treatment includes antifungal therapy and drainage of the abscess by transsphenoidal endoscopic approach (14). Craniotomy is discouraged due to fear of intracranial dissemination. Deficiency of pituitary hormones may necessitate replacement (9). Voriconazole is the preferred therapeutic agent for aspergillus infection. Other medical options are liposomal amphotericin B, posaconazole, isavuconazole, and echinocandins (21). The recommended dose of voriconazole for central nervous system (CNS) aspergillosis is intravenous loading with 6 mg/kg every 12 hour for two doses followed by 4 mg /kg every 12 hour. The oral loading dose is 400 mg every 12 hour for two doses, followed by 200 mg twice daily (22). Oral treatment may be required for months. The exact duration of therapy is not established and depends on the clinical parameters. Antifungal therapy for other varieties of fungus should be administered as per standard practice. Mortality rates are high in disseminated disease with vascular invasion, immunosuppressed state, and in cases of a delayed diagnosis (14).

 

Thyroid Disorders

 

ETIOLOGY

 

Infections of the thyroid are rare as its rich blood supply, iodine content, and capsule are protective against microbial invasion (23). Fungi form a small subset among the microbial pathogens infecting the thyroid. A. fumigatus is the predominant fungi in general, whereas P. jirovecii is the most common cause of fungal thyroiditis in patients with AIDS (24,25). Table 4 enumerates the fungal infections reported to infect the thyroid. These infections are primarily seen in immunocompromised patients and usually is a part of disseminated infection. Both hematogenous and lymphatic spread can occur.  Direct invasion of the thyroid by fungal infection is also reported. Mycotoxin secreted by the fungus may affect thyroid function, however the evidence in humans is not definitive (26).

 

Table 4. Predisposing Conditions Where Fungus Affects the Thyroid Gland

Type of fungus

Predisposing condition

Aspergillus

Organ transplant (27,28), AML (29), ALL (30),  MDS (31), NHL (32), SLE (24,33), cryoglobulinemic vasculitis (34), AIDS, normal immune status with MNG (35)

Pneumocystis

AIDS (25), Thymic alymphoplasia (36)

Candida

ALL (37), AML (38)

Coccidiodes

SLE on corticosteroids (39), sarcoidosis on corticosteroids, PAN on corticosteroids (40)

Histoplasmosis

NHL (41)

AML – acute myeloid leukemia, ALL – acute lymphoblastic leukemia, MDS – myelodysplastic syndrome, NHL- Non-Hodgkin’s Lymphoma, SLE- systemic lupus erythematosus, AIDS – acquired immunodeficiency syndrome, MNG – multinodular goiter, PAN – polyarteritis nodosa

 

CLINICAL FEATURES

 

Fungal infection of the thyroid usually occurs in presence of underlying critical illness. The symptoms of thyroid infection can get masked by the primary disease. Thyroid involvement can be often detected post-mortem in cases of disseminated fungal disease (42). Common clinical presentations include pain, swelling of the thyroid gland, and fever, often mimicking subacute thyroiditis. In severe cases, thyroid enlargement may cause dysphagia and respiratory distress due to esophageal and tracheal obstruction, respectively (25,42,43). Fungal thyroiditis typically follows the course of a brief phase of thyrotoxicosis followed by hypothyroidism. Recovery of thyroid function generally takes place in weeks to months. Sick euthyroid syndrome, which sometimes occurs in disseminated fungal infections, may confound thyroid function testing. The clinical presentation of different varieties of fungal infections is similar.

 

Aspergillus

 

A review of 28 cases of aspergillus thyroiditis by Tan et al. revealed that 12 (43%) patients had a primary thyroid infection. The rest had aspergillus infection elsewhere (usually lungs and airways). Fever, dyspnea, and neck swelling were the usual presentation. Dysphagia and airway obstruction resulted from mass effect and was fatal in two cases. The overall mortality rate was high (64%) (24).

 

Pneumocystis

 

Zavascki et al. described 15 cases of P. jirovecii thyroiditis. Most of the cases were reported in individuals with AIDS. It should be suspected if neck pain and swelling occur in presence of a CD4 count < 200/µL. Compressive symptoms such as odynophagia, dysphagia, dysarthria, and hoarseness have been reported. Extra-thyroid disease was present in 53% (8/15) of cases and documented usually on post-mortem studies. Most of the cases were euthyroid, three were hypothyroid, and one developed transient thyrotoxicosis (25).

 

Others

 

There are reports of infection of the thyroid with candida, histoplasma, coccidiodes, and, paracoccidiodes in immunocompromised hosts (37–41). The different varieties of fungal thyroiditis are clinically indistinguishable from each other.

 

DIAGNOSIS

 

Thyroid infection should be suspected in immunocompromised hosts who present with swelling and pain in the region of the thyroid gland. The thyroid involvement not uncommonly remains asymptomatic and gets detected post-mortem (42). Imaging of the neck by ultrasonography can be useful to define the morphology of the lesion. Computed tomography of the chest additionally identifies fungal lesions in the lungs, the usual site of primary or secondary infection. Fungal staining and culture of the lesion obtained by fine needle aspiration (FNA) of the thyroid gland can confirm the diagnosis. Results of thyroid function testing can be normal or may reveal thyrotoxicosis or hypothyroidism.

 

TREATMENT

 

Antifungal therapy is the mainstay of treatment. Voriconazole is the first line agent for invasive aspergillus infection. Adding echinocandin (capsofungin or antidulafungin) along with voriconazole may provide marginally better outcomes in patients who are immunocompromised (44,45). Cotrimoxazole is the preferred therapy for pneumocystis infection. The choice of antifungal therapy depends on the type of fungus and the prevalent pattern of antifungal resistance. Surgical debridement may be required especially if there is a possibility of tracheal compression due to mass effect. Symptomatic treatment may be required in the thyrotoxic phase resulting from acute damage to the gland. The thyroid gland fails to recover in a minority of patients. They should be treated with thyroid hormone replacement. Outcome of fungal thyroiditis has improved over the last two decades with advances in antifungal therapy (43).  

 

Disorders of Calcium Metabolism

 

Fungal infections can alter calcium and vitamin D metabolism. The common metabolic bone disorders are described in the following section.

 

MONOCYTE 1α HYDROXYLASE MEDIATED HYPERCALCEMIA

 

Etiology and Pathogenesis

 

Conversion to the active 1,25-dihydroxyvitamin D [1,25(OH)2D] from 25-hydroxyvitamin D [25(OH)D] occurs primarily in the kidney. The renal enzyme 25(OH)D-1α hydroxylase (CYP27B1) responsible for the conversion, is tightly regulated by parathyroid hormone (PTH), fibroblast growth factor 23 (FGF-23), and the serum 1,25(OH)2D concentration. The activated mononuclear cells and macrophages also exhibit 25(OH)D-1α-hydroxylase activity. The 1,25(OH)2D synthesized in these cells normally exert a paracrine effect on growth and differentiation of cells. In granulomatous disorders, such as sarcoidosis, tuberculosis, and fungal infections, the 1,25(OH)2D production in monocytes is dysregulated resulting in hypercalcemia. The monocyte 25(OH)D-1α-hydroxylase is resistant to the regulatory mechanisms and the lack of calcium-mediated negative feedback predisposes to hypercalcemia  (46). PTH-independent hypercalcemia is described in chronic fungal infections, such as histoplasmosis, coccidioidomycosis, para-coccidioidomycosis, candidiasis, cryptococcosis, and pneumocystis.

 

Clinical Profile

 

The fungal infections associated with 1α-hydroxylase mediated hypercalcemia can occur in both immunocompromised and immunocompetent hosts. In a review summarizing 16 cases of histoplasmosis induced hypercalcemia, 68.7% (11/16) were immunosuppressed. The common presentations were with polyuria, constipation, altered sensorium, and renal insufficiency (47). Hypercalcemia is also reported in cryptococcus and pneumocystis infections in individuals with HIV/AIDS (48–50). Hypercalcemia can be an early marker of pneumocystis pneumonia in renal transplant recipients (51,52).  

 

Laboratory Features

 

Patients present with elevated serum calcium and phosphate levels, suppressed PTH values, normal 25(OH)D, and increased 1,25(OH)2D concentrations. Serum angiotensin-converting enzyme (ACE) levels can be elevated (47).

 

Treatment

 

Hypercalcemia resolves with resolution of the infection after institution of successful antifungal therapy. Hydration, calcitonin, and bisphosphonates can be considered to lower calcium till the effect of antifungal medication occurs (47). Steroids can be used in resistant cases but should be initiated only under appropriate antifungal coverage. Fatalities have been reported when the cases have been misdiagnosed as sarcoidosis and steroids initiated without antifungal drugs (53,54). Some cases show transient worsening of hypercalcemia probably mediated by immune reconstitution inflammatory syndrome (55). Also, initiation of antiretroviral therapy in patients with HIV/AIDS infected with cryptococcus, might cause hypercalcemia. This may be due to restoration of granulomatous host response (56).

 

PARATHYROID HORMONE REALTED PROTEIN (PTHrP) MEDIATED HYPERCALCEMIA

 

Coccidioidomycosis infection is associated with hypercalcemia. However, the mechanism of hypercalcemia in coccidioidomycosis is not related to autonomous 1,25(OH)2D production. It could be due to osseous coccidioidomycosis in some cases, but in the majority of cases it occurs without bony lesions. Serum PTH levels and 1,25(OH2)D levels were either suppressed or normal (57).  Expression of PTHrP by the granulomatous tissue has been documented in coccidioidomycosis. The serum PTHrP levels are elevated in cases with hypercalcemia and presumed to be the possible mechanism. The PTHrP levels return to normal along with resolution of hypercalcemia after successful antifungal treatment  (58).

 

OTHER DISORDERS OF CALCIUM METABOLISM

 

Histoplasmosis-induced hypercalcemia has been postulated to result from excess expression and secretion of osteopontin by histiocytes in granulomas (59). Osteopontin can activate osteoclasts and subsequently lead to bone resorption (60). However, currently there is insufficient evidence to support this hypothesis. 

 

Hypoparathyroidism has also been described in HIV/AIDS with pneumocystis infiltrating the parathyroid glands. It causes hypocalcemia and hyperphosphatemia (61).

 

Fungal Infection of the Adrenal Gland

 

The adrenal gland is the commonest endocrine organ to be affected by infections including mycosis. Adrenal fungal infection can be asymptomatic and get detected as an incidental finding during radiological imaging, or can manifest with symptoms of adrenal insufficiency (62,63).

 

ETIOLOGY AND PATHOGENESIS

 

Unlike the other endocrine organs, isolated adrenal involvement can be seen as a manifestation of endemic mycoses in immunocompetent hosts by histoplasmosis, paracoccidioidomycosis, blastomycosis, and other fungal organisms (64–66). The susceptibility to develop primary adrenal infection or disseminated fungal disease is however more often seen in the immunocompromised individuals with HIV/AIDS, or in those receiving immunosuppressive therapy such as solid organ transplant recipients (67). Predisposition of the adrenal glands to fungal infections is postulated to be due to suppression of cell-mediated local immunity caused by high local glucocorticoid levels (68). More often than isolated involvement, the adrenal gland is involved as a part of disseminated infection. Histoplasmosis and paracoccidioidomycosis are the commonest fungal infections reported to have adrenal disease at autopsy (67,69).

 

Affinity for different adrenal zones might vary for different fungal infections. Paracoccidioides species has affinity for zona reticularis as well as zona glomerulosa leading to decreased dehydroepiandrosterone sulfate and aldosterone levels, respectively (59,70,71). The large fungal cells cause embolic infection of the small vessels of the gland subsequently leading to endovasculitis, granuloma formation and caseous necrosis (67,72). In patients with histoplasmosis, zona fasciculata and reticularis are preferentially affected owing to the presence of high concentration of cortisol (73). Vasculitis of downstream medullary vessels starting from zona fasciculata induce glandular destruction and subsequent caseation necrosis  (68,74).

 

CLINICAL FEATURES

 

The spectrum of manifestations of fungal adrenal involvement can vary from asymptomatic cases detected incidentally to frank adrenal crisis. Occasionally, adrenal involvement can get masked by the disseminated fungal disease or the underlying immunocompromised state (67). Many of the patients despite bilateral adrenal infection do not develop adrenal insufficiency, as destruction of more than 90% of adrenal cortex is required for the disease to manifest (59). Some studies have observed lower prevalence of adrenal involvement in immunocompromised hosts, presumably due to the inability to launch a granulomatous response in the gland (75,76).

 

Addison’s disease is most frequently reported with histoplasmosis and paracoccidioidomycosis, given their high affinity for adrenal glands. In a review of 252 cases of adrenal histoplasmosis, adrenal hypofunction was confirmed in 41.3%. Almost all the cases were secondary to chronic disseminated pulmonary histoplasmosis although isolated adrenal involvement has also been reported (77). A study of 546 cases of paracoccidioidomycosis from Brazil documented adrenal involvement in only 5% (n = 27) (78). Another review revealed partial adrenal insufficiency in 33–40% of cases, and frank symptoms in 3–10% cases (79).  Patients with diminished adrenal reserve often require glucocorticoid supplementation during periods of stress or after initiating antifungal agents known to affect steroidogenesis. There are reports of blastomycosis, pneumocystis, and cryptococcus causing adrenal insufficiency as well (80–82). The clinical features of primary adrenal insufficiency include fatigue, loss of appetite, weight loss, orthostatic hypotension, and hyperpigmentation (66,83).

 

DIAGNOSIS

 

Fungal infection of the adrenal glands can be asymptomatic and detected incidentally on abdominal imaging. Radiographically bilateral symmetric adrenal enlargement is seen with histoplasmosis whereas paracoccidioidomycosis and blastomycosis cause asymmetric and occasionally unilateral involvement (81,84–86). Other radiographical features include peripheral enhancement, central hypoattenuation, preserved contour, and calcifications (66,67). These features help to differentiate from other disorders such as metastatic disease where the adrenal contour is distorted and autoimmune adrenalitis, where the glands are atrophic (66,67,87,88).

 

The laboratory findings such as hyponatremia and hyperkalemia are often seen but the diagnosis of adrenal insufficiency is confirmed with the short Synacthen test (SST) or cosyntropin test (250 ug of Synacthen, im or iv) in chronic and stable cases. In a patient with suspected Addisonian crisis, a blood sample collected for estimation of serum cortisol and adrenocorticotrophic hormone (ACTH) before initiating glucocorticoid replacement can be helpful. A formal evaluation by SST can be performed later. Simultaneous estimation of plasma renin and aldosterone to determine mineralocorticoid reserve can be considered. (66).

 

The confirmation of fungal etiology might necessitate fungal staining or culture of the biopsied material. In disseminated disease, a more accessible site like skin lesion or affected lymph node can be biopsied instead of the adrenal gland.

 

MANGEMENT AND PROGNOSIS

 

Initiation of antifungal therapy at the earliest is essential to salvage adrenal function. Recovery has been reported in a few cases with histoplasmosis and paracoccidioidomycosis (59). However, frequently adrenal insufficiency is irreversible and lifelong glucocorticoid replacement is required. Mineralocorticoid replacement with fludrocortisone may additionally be necessary (83). Onset of  adrenal insufficiency in paracoccidioidomycosis can occur after initiation of antifungal therapy from the fibrosis that occurs during recovery (79,89).

 

Fungal Infection of the Pancreas

 

The pancreas is normally resistant to fungal infection. Fungal affection of the pancreas usually occurs in an inflamed gland in the presence of underlying necrosis. Although rare, the prevalence of fungal pancreatitis is on the rise.

 

ETIOLOGY AND PATHOGENESIS

 

Candida (C. albicans and C. glabrata) is the most common etiology responsible for fungal pancreatic infections (90). Pneumocystis, aspergillosis, and cryptococcosis have also been reported to affect the pancreas (91–93). The risk factors for fungal infection are necrotizing pancreatitis, use of broad-spectrum antibiotics, abdominal surgery, prolonged total parenteral nutrition, indwelling catheters, and an immunosuppressed state. The mode of spread could be translocation from the gut, hematogenous spread, or external seeding (90).

 

CLINICAL COURSE AND MANAGEMENT

 

The clinical features of fungal infection of the pancreas are non-specific. Abdominal pain, fever, and a palpable abdominal mass can occur (94). Most cases of fungal pancreatitis occur on the backdrop of recent necrotizing pancreatitis (90,94). In a study of 92 patients with necrotizing pancreatitis, 22 (24%) had evidence of candida infection in the surgical necrosectomy material (95). Candida was demonstrated in 27% of aspirates from walled-off necrosis occurring after acute pancreatitis (96).  Rare cases of recurrent pancreatitis from candida have also been described (97,98).

 

Fungal culture and staining of percutaneous aspirates, or necrosed tissue obtained during surgery, are necessary to establish the diagnosis. Antifungal therapy and surgical drainage and debridement are the mainstay of therapy. Mortality rates are higher if candida infection is present (95).

 

 

Fungal Infection of the Testis

 

ETIOLOGY AND PATHOGENESIS

 

Fungal epididymo-orchitis can occur in isolation or as a part of disseminated infection. The fungi reported to infect testis and epididymis include candida, blastomycosis, histoplasma, aspergillus, and cryptococcus (99–103). Both C. albicans and C. glabatra can cause epididymo-orchitis by retrograde transport from infection in the urinary tract. Risk factors comprise diabetes mellitus, instrumentation of the urinary tract, urinary obstruction, or recent antibiotic usage (104). The majority of blastomycosis infections were associated with systemic diseases (105). Granulomatous epididymo-orchitis can also occur as a part of disseminated histoplasmosis in immunocompromised state (106).  

 

CLINICAL COURSE AND MANAGEMENT

 

Most patients present with unilateral or bilateral pain and swelling of the scrotum. Onset can be acute or insidious with duration of symptoms lasting for days to months (104). In contrast, bacterial infection is almost always unilateral with an acute onset of scrotal swelling, redness, and pain. Some fungal infections may remain asymptomatic and get detected on autopsy (102). Fungal epididymo-orchitis is also recognized as a cause of azoospermia and infertility (107). This is mainly due to direct gonadal invasion but can also be due to anti-sperm effects induced by fungi and by secreted mycotoxins (59). C. guilliermondii and C. albicans can affect sperm viability and motility (108). Antifungal agents are the mainstay of treatment. Surgery may be required in some cases.

 

Fungal Infection of the Ovary

 

ETIOLOGY AND PATHOGENESIS

 

Pelvic inflammatory disease (PID) refers to infection of the upper genital tract usually occurring in reproductive age females. A tubo-ovarian abscess (TOA) is a sequela of PID. It is a complex adnexal mass resulting from ascent of the infection through the fallopian tube (109). Though the common causative organisms are bacteria such as Chlamydia trachomatis and Neisseria gonorrhoeae, fungal infections are also recognized as an important etiological agent (110). It can also be a part of disseminated infection (111–113). C. albicans as well as other candida species such as C. glabrata and C. keyfr have been described to cause TOA (114–116). Intrauterine devices, diabetes, and morbid obesity are the typical risk factors (114,117). There are rare reports of female genital coccidioidomycosis (112,113,118).

 

CLINICAL COURSE AND MANAGEMENT

 

The usual presentation is that of a pelvic infection not responding to conventional antibiotics (117). Presenting symptoms can be dysmenorrhea, menstrual irregularities, menorrhagia, anovulation, and infertility. Occasional patients present with severe lower abdominal pain, fever and vomiting (116).  

 

Fusarium toxin zearalenone and its metabolite zearalenol can be present as a contaminant in cereals and usually enter the food chain as pesticide. It is a non-steroidal estrogen mycotoxin with strong affinity for estrogen receptors (119). The resulting hyperestrogenism has the potential to cause infertility by suppressing luteinizing hormone (LH) and progesterone secretion and also can have a carcinogenic effect on the breast (120).

 

FUNGAL INFECTIONS OCCURING IN ENDOCRINE DISORDERS

 

Individuals with certain endocrine disorders such as diabetes mellitus and Cushing’s syndrome are predisposed to fungal infections as a result of the associated immune dysfunction. Both pathogenic and opportunistic fungi can cause infection in these conditions. APS1 is an endocrine syndrome characterized by CMC (121). The common fungal infections occurring in individuals with endocrine dysfunction are discussed below. Other fungal infections like coccidioidomycosis and aspergillosis are also known to occur at a higher frequency in individuals with diabetes.

 

Fungal Infections in Patients with Diabetes

 

Diabetes is known to affect both innate and adaptive immunity. Hyperglycemia also induces critical alterations in cytokine signaling (122). Fungal infections in general occur at a slightly increased frequency in diabetes, especially if glycemic control is poor. However, certain fungal infections like mucocutaneous candidiasis and invasive mucormycosis have a strong association with diabetes (123).

 

CANDIDIASIS

 

Infection with candida is common in individuals with diabetes (124) . Genital candidiasis is often an indicator for undetected or poorly controlled diabetes. Increased hydrolytic enzyme activity and hydrophobicity along with altered biofilm formation have been proposed as possible mechanisms that favor candida infection in diabetes (125,126). The common sites and clinical characteristics of candida infection in diabetes are summarized in table 5.

 

Table 5. Candida Infections in Diabetes

Site

Usual species

Predisposing factors

Clinical features

Diagnosis

Treatment

Oral candidiasis

C. albicans

C. glabrata

C. tropicalis

C. krusei

C. dubliniensis C. parapsilosis

(124)

Uncontrolled hyperglycemia, dentures, xerostomia, inhaled corticosteroids (127)

Types of lesions: Pseudo-membranous

Hyperplastic

Erythematous

Atrophic (denture stomatitis)

Angular cheilitis

Median rhomboid glossitis (128)

Compatible clinical findings; Confirmation by Gram stain or KOH preparation or fungal culture of the scrapings (129)

Oral hygiene

Topical: Clotrimazole, miconazole, nystatin, amphotericin B suspension

Oral: Fluconazole, itraconazole

(129)

Vulvo-vaginal candidiasis

C. albicans

C. glabrata (124)

 

Uncontrolled hyperglycemia, pregnancy and hyper-estrogenemic state, SGLT2 inhibitor therapy, immunosuppression (130)

Thick white cottage cheese-like discharge, itching, pain, redness, burning, edema and dyspareunia

Clinical findings, Vaginal swab – acidic pH, KOH or fungal staining, fungal culture in selected cases

Glycemic control

Vaginal: Clotrimazole, miconazole, tioconazole, terconazole, butoconazole

Oral: Fluconazole (150 mg single dose ) (131)

 

Balanoposthitis

C. albicans

C. glabrata

Uncontrolled hyperglycemia,  SGLT2 inhibitor therapy, uncircumcised men, immunosuppression (132,133)

Sore, pruritic erythematous rash with small papules, erosions or dry dull areas with glazed appearance (134)

Clinical findings, KOH or fungal stain of scrapings in rare cases

Glycemic control

Topical: Clotrimazole, miconazole

Oral: Fluconazole (150 mg single dose), Itraconazole

Esophageal candidiasis

C. albicans,  C. dubliniensis (124)

Old age, HIV/AIDS, corticosteroid use, COPD, PPI use, esophageal dysmotility (135)

Odynophagia, dysphagia, retrosternal pain, usually associated with oral thrush (136)

Endoscopy - white mucosal plaque-like lesions. Biopsy – confirmatory. Culture rarely required (136)

Initial therapy: Oral fluconazole

Second-line therapy: Itraconazole,

voriconazole

isavuconazole,

echinocandin,

liposomal amphotericin B

Urinary tract candidiasis

C. albicans,

C. glabrata,

C. tropicalis (137)

Hyperglycemia, urinary retention and stasis, renal transplantation, long-term urinary catheterization, hospitalization (138)

Asymptomatic, symptoms of lower and upper urinary tract involvement mimic bacterial infection (139)

Urinalysis and culture of urine, Imaging when indicated (139)

Asymptomatic candiduria needs treatment in neutropenic patients, before urological procedures.

First line: Fluconazole

Second line: Flucytosine, amphotericin B (138)

Onychomycosis

C. albicans,

C. parapsilosis

C. tropicalis (124)

Age, nail disorders, frequent exposure to moisture (124)

Nail discoloration, subungual hyperkeratosis, onycholysis, splitting, and nail plate destruction

Clinical findings, KOH preparations, fungal cultures, histopathologic examination with a PAS stain and PCR testing (140)

Oral itraconazole treatment of choice.

Terbinafine might also be efficacious (141)

Systemic candidiasis

C. albicans,

C. parapsilosis, C. krusei,

C. tropicalis,

C. glabrata (142)

New onset hemodialysis, use of TPN, or receipt of broad-spectrum antibiotic (143)

Can vary from minimal fever to a full-blown sepsis

Blood culture. 1,3-β-d-glucan assay may assist in the diagnosis

Preferred therapy Echinocandin: anidulafungin, capsofungin, micofungin

Alternative: Amphotericin B

Step down therapy: Fluconazole if susceptibility results support (144)

KOH - potassium hydroxide, SGLT2 - Sodium-glucose cotransporter-2, COPD – chronic obstructive pulmonary disease, PPI – proton-pump inhibitor, PAS – Periodic Acid Schiff, PCR – polymerase chain reaction, TPN – total parenteral nutrition.

 

MUCORMYCOSIS

 

Mucormycosis refers to a group of infections caused by fungi of the order Mucorales present ubiquitously in the environment. Individuals with uncontrolled diabetes or those who are immunosuppressed are characteristically affected. The most common presentation is rhino-orbital-cerebral mucormycosis, though pulmonary, gastrointestinal, cutaneous, and renal infection can also occur (145). Several cases of mucormycosis have been reported recently following SARS COV-2 disease (146). Around 40% of the patients had received corticosteroids within the month before the diagnosis of mucormycosis. Diabetes with ketoacidosis (DKA) is 50% more likely to develop mucormycosis than without DKA. The prognosis is poor and mortality rates remain high. The rhino-orbital-cerebral form is characteristically associated with diabetes and detailed below.

 

Pathogenic Organisms

 

The pathogenic fungi belonging to order Mucorale customarily associated with human infections are Rhizopus, Mucor,and Lichtheimia (formerly Absidia and Mycocladus). The rarer pathogens include Rhizomucor, Cunninghamella, Apophysomyces, and Saksenaea (147).  Infection occurs presumably from inhalation of spores.

 

Pathogenesis

 

Patients with diabetes, defects in phagocytic function (such as neutropenia or glucocorticoid treatment), and/or elevated levels of free iron which supports fungal growth in serum and tissues are prone to mucormycosis. DKA is a risk factor for developing rhino-orbital-cerebral mucormycosis, as acidosis leads to dissociation of iron from sequestering proteins, which aids increased fungal survival and virulence (148). Moreover, the ketoacid -hydroxybutyrate facilitates fungal adherence and penetration into tissues, by increased expression of fungal receptors (149). Apart from ketoacidosis, hyperglycemia itself may contribute to the risk of mucormycosis by four possible mechanisms: (i) disruption of normal iron sequestration due to hyper-glycation of iron-sequestering proteins; (ii) phagocytic dysfunction; (iii) enhanced expression of a mammalian cell receptor (GRP78) that binds to Mucorales, enabling tissue penetration; (iv) enhanced expression of CotH, a Mucorales-specific protein that binds to  GRP78 and mediates host cell invasion (150). The risk factors for mucormycosis are summarized in table 6.

 

Table 6. Risk Factors for Mucormycosis

Uncontrolled diabetes mellitus especially if associated with ketoacidosis

Underlying malignancy receiving chemotherapy or immunotherapy

Solid organ transplant

Hematopoietic stem cell transplant

Treatment with deferoxamine

Iron overload

Corticosteroid therapy

Trauma or burns

Malnutrition

Coronavirus disease 2019

 

Clinical Features

 

Rhino-orbital-cerebral mucormycosis is the most common form of the disease whereas lung, gastrointestinal, renal, and cutaneous involvement are less frequent (145). Initial symptoms of rhino-orbital-cerebral mucormycosis include eye or facial pain and facial numbness followed by conjunctival suffusion and blurring of vision. Facial erythema with or without edema may be present. Fever occurs in only half of the cases (151). Black, necrotic eschar develops over the palate or in the nasal mucosa. In untreated cases, infection spreads from the ethmoid sinus to the orbit which involvement of extra-ocular muscles. It results in proptosis, typically with chemosis. Infection might further extend from the orbit to the frontal lobe of the brain via hematogenous route or contiguous dissemination. It may extend to cavernous sinus as well via venous drainage (147). The clinical features are summarized in table 7.

 

Table 7. Clinical Features of Rhino-Orbital-Cerebral Mucormycosis

Site

Symptoms

Signs

Paranasal sinuses

Nasal congestion, purulent nasal discharge or post-nasal drip, loss of smell, headache, pain over the sinuses

Swelling, redness, ulceration and blackening of overlying skin and nasal mucosa

Systemic features

Fever

Fever

Orbit

Red eyes, pain, visual blurring, loss of vision, bulging of eyes

Periorbital swelling, chemosis, proptosis, loss of visual acuity

Cavernous sinus

Headache, periorbital swelling and pain, diplopia, and visual loss

Periorbital swelling, chemosis, ptosis, proptosis, restricted or painful eye movement, diminished facial sensation

Palate

Ulceration, pain, swelling

Ulceration, eschar formation

Central nervous system

Headache, drowsiness, seizures, hemiparesis, obtundation, coma

Focal seizures, hemiparesis, altered sensorium

Vascular invasion

Black eschars over skin, nasal mucosa, palate and involved areas, symptoms related to stroke

Black eschars (from cutaneous necrosis), focal neurological deficit (also from mycotic aneurysm)

 

Diagnosis

 

Clinical features, mycological, and histological investigations and imaging with CT or MRI are necessary for establishing the diagnosis and assessing the extent of spread. If sinusitis is suspected, endoscopy should be performed. Histopathological examination of infected tissue demonstrates characteristic wide, thick walled, ribbon like, aseptate hyphal elements that branch at right angles. Fungal culture of specimens is strongly recommended for genus and species identification, and for antifungal susceptibility testing (145). PCR-based technique and matrix-assisted laser desorption ionization-time of flight (MALDI-TOF) can assist to confirm fungal etiology if cultures are negative (145,152). MRI of the cranium including the sinuses and orbit should be done to delineate the extent of involvement (145). CT scan can help to assess the extent of bony erosion and can be considered if MRI is not readily available.

 

Treatment and Prognosis

 

Surgical debridement of the necrotic tissue in combination with intravenous lipid preparations of amphotericin B are the mainstay of therapy. It is also important to restore euglycemia and correct acidosis as soon as possible. The recommended dose of lipid formulation amphotericin B is 5mg/kg/day. There is evidence to support a higher dose of 10 mg/kg/day in cases of CNS involvement. There is no consensus on total duration of therapy but it usually takes weeks to months for completely cure these infections. It is critically important to monitor for adverse effects of amphotericin B especially nephrotoxicity and electrolyte imbalance. Posaconazole or isavuconazole can be considered as oral step down therapy, as salvage therapy, or if amphotericin B related adverse effects precludes its further use (145). Repeat surgery may be necessary if the infection progresses. Prognosis is poor especially if there is associated CNS involvement.

 

DERMATOPHYTES

 

Dermatophytosis are caused by filamentous fungi belonging to the genera Microsporum, Epidermophyton, and Trichophyton. Dermatophytes cause infection of skin, hairs, and nails and derive nutrition from keratin present in these tissues. Dermatophytosis is known to occur commonly in individuals with diabetes. Infection of the hair is referred to as tinea capitis (scalp) and tinea barbae (beard). Infection of the body surface in general is called tinea corporis while that of groin is known as tinea cruris.

 

Skin infection with dermatophytes occurring over the feet is called tinea pedis. It can cause micro-fissuring that may predispose to secondary bacterial infection and subsequently to diabetic foot. The other form of dermatophyte infection affecting feet is onychomycosis or tinea unguium (153). Tinea pedis and onychomycosis are commonly causes by the anthropophilic dermatophytes T. rubrum, T. interdigitale and E. floccosum (154). Uremic patients on hemodialysis more often have dystrophic nail changes and are at increased risk of developing onychomycosis (155). Dystrophic nails in onychomycosis look thick, brittle and discolored, often with a yellow shade. It may also lead to separation of the nail plate from the nail bed (onycholysis). Paronychial inflammation of the nail edge surrounding skin is a characteristic feature (156). Early recognition and treatment of tinea pedis and onychomycosis can prevent ominous complications like diabetic foot.

 

Clinical features along with KOH preparation of scrapings from affected area are usually adequate to establish the diagnosis. Treatment mainly includes topical and oral agents with activity against dermatophytes. The commonly applied topical agents includes azoles, allylamines, butenafine, ciclopirox, and tolnaftate. Oral therapy usually involves use of terbinafine, itraconazole or fluconazole (157).

 

Fungal Infections in Cushing’s Syndrome

 

The susceptibility of individuals with Cushing’s syndrome to fungal infection is well recognized. Both endogenous and exogenous hypercortisolism are associated with opportunistic fungal diseases. Hypercortisolism induces immune dysfunction by multiple mechanisms (158).  The major defects induced by excess cortisol are depicted in table 8. Among the subtypes of endogenous Cushing’s syndrome, fungal infections are more commonly seen in the syndrome of ectopic ACTH secretion. Propensity for fungal infections in exogenous Cushing’s syndrome depends on both, the intensity of glucocorticoid therapy and relative virulence of the offending fungus. With respect to glucocorticoids, it depends on administration route, dose, potency, and duration of treatment (159). The commonly reported fungal infections in Cushing’s syndrome are discussed below.

 

Table 8. Hypercortisolemia-Induced Immune Dysfunctions Increasing Susceptibility to Fungal Infections

Cell/Mediator

Dysfunction

Innate immunity

Neutrophils

Impaired neutrophil adherence to endothelium

Monocytes and macrophages

Decreased circulating monocytes

Decreased degranulation capacity

Decreased phagocyte function

Natural Killer cells

Suppressed cytotoxic activity

Adaptive immunity

T Cells

Lymphopenia due to a reduction in CD4+ subset

 

Influences the Th1/Th2 balance

 

Induces apoptosis in mature T lymphocytes

Cytokines

Cytokines

Down-regulates multiple cytokines by inactivating key proinflammatory transcription factors (e.g., NF kappa B)

CD - cluster of differentiation, Th – T helper cells, NF – nuclear factor

 

CANDIDIASIS

 

In immunocompromised states such as Cushing’s syndrome, candida species may cause superficial infections like cutaneous candidiasis, oropharyngeal candidiasis, esophagitis, or vulvovaginitis. Cases of candida endophthalmitis have also been described (160). It may also disseminate in the bloodstream to cause candidemia. Glucocorticoid may augment biological fitness of candida species, by enhancing its adhesion to epithelial cells. C. albicans is the most common species reported though infection with C. glabrata, C. parapsilosis and C. tropicalis can also occur (159).

 

ASPERGILLUS

 

Aspergillus is associated with invasive fungal infection in endogenous Cushing’s syndrome as well as in those receiving exogenous glucocorticoids (161) . Most common species to cause invasive infection are A. fumigatus, followed by A. flavus, A. terreus, and A. niger. The usual portal of entry for aspergillus is typically the pulmonary tract. However, later it might get disseminated systemically and severe cases requiring emergency bilateral adrenalectomy for control of hypercortisolism has been reported (162). Apart from immune dysfunction, glucocorticoids can induce alterations in the biology of aspergillus species to increase its invasiveness. For example A. fumigatus and A. flavusshowed increased growth on in-vitro exposure to pharmacological doses of hydrocortisone (163).

 

PNEUMOCYSTIS

P.  jirovecii is usually seen in immunocompromised patients. Severe P. jirovecii pneumonia even leading to fatal outcome are described in cases of endogenous Cushing’s syndrome (164). The infection is often unmasked once treatment for hypercortisolism is commenced. The restoration of immune response with lowering of cortisol levels presumably induce the inflammatory changes and result in manifest disease (165,166). A review of 15 cases of P. jirovecii pneumonia, reiterated the same observation of immune reconstitution related worsening of symptoms after treatment initiation. In 13 of these cases symptoms were triggered after cortisol-lowering therapy was started. Interestingly, all but one if these patients had ectopic Cushing’s syndrome. All the cases were characterized by severe hypercortisolemia and the outcome was fatal in 11 cases (167). Patients with Cushing’s syndrome, especially those with severe hypercortisolemia might benefit from prophylaxis with cotrimoxazole before beginning cortisol-lowering therapy.

 

CRYPTOCOCCOSIS

C. neoformans is another opportunistic infection where Cushing’s syndrome is a predisposing factor. The route of entry is inhalational. It may cause pneumonitis or disseminate systemically to cause more severe infections, such as meningitis and meningoencephalitis (168). Fatal cases have been reported (169,170). The presence of coexisting diabetes might further increase the risk of infection (171).

 

Glucocorticoid-induced immunosuppression has a few unique characteristics noted with cryptococcosis. For example, alveolar macrophage capacity to attach to and ingest is diminished by cortisone acetate, which potentially may lead to dissemination of the fungus (172). Moreover, chemotactic activity of cerebrospinal fluid toward polymorphonuclear (PMN) leucocytes and monocytes, is substantially reduced by glucocorticoid administration. This leads to lack of PMN leucocyte influx in cerebrospinal fluid and subsequent inability to eradicate fungi like C. neoformans with tropism for the CNS. Glucocorticoid-induced abnormalities of microglial cells further intensify this attenuation. Thus, individuals with hypercortisolemia are predisposed to cryptococcal meningitis (173).

 

HISTOPLASMOSIS

 

Pulmonary histoplasmosis has been reported in association with endogenous Cushing’s syndrome (174). Patients receiving glucocorticoids may develop primary or reactivated infections by endemic fungi (175). There are reports of pulmonary histoplasmosis after prolonged glucocorticoid therapy from non-endemic countries as well (176). H. capsulatum, the usual pathogen in most cases of histoplasmosis, enters through the respiratory tract and causes pulmonary histoplasmosis but can also disseminate to cause systemic infection. Pathological features of histoplasmosis are atypical in patients treated with glucocorticoids. Discrete granuloma formation is prevented by the anti-inflammatory properties of glucocorticoids (175).

 

OTHER FUNGAL INFECTIONS

 

Other fungal infections reported with hypercortisolemia are C. immitis, mucor, fusarium and blastomyces (159). Besides the heightened risk of fungal inspection in hypercortisolemia, the other concerning issue is masking of the signs and symptoms of infections due to the anti-inflammatory properties of glucocorticoids. Recognition of infections may be delayed in presence of hypercortisolemia, and a high index of suspicion is required for early diagnosis. Treatment of fungal infection must include prompt correction of hypercortisolism and aggressive antifungal therapy.

 

Chronic Mucocutaneous Candidiasis in Autoimmune Polyendocrine Syndrome Type 1

 

Autoimmune polyendocrine syndrome type 1 (APS1) is characterized by the classical triad of chronic mucocutaneous candidiasis (CMC), autoimmune hypoparathyroidism, and Addison’s disease. Two of the three classic features should be present to establish the diagnosis of APS1. However, there is a risk of the development of autoimmune diseases affecting almost every organ. APS1 is also known as autoimmune polyendocrinopathy-candidiasis-ectodermal dystrophy (APECED) with ectodermal dysplasia occurring in a third of the patients. Ectodermal dystrophy is not related to candidiasis (121). CMC commonly occurs sporadically secondary to AIDS, diabetes, and immunosuppressive treatment (177). C. albicans is the predominant pathogen but infection with other candida species is also described.

 

PATHOGENESIS

 

APS1 is an autosomal recessive disease caused by mutations in the autoimmune regulator (AIRE) gene, located on the short arm of chromosome 21. The functioning of following pathways can be altered in APS1, though the specific contribution in increasing susceptibility to candida infection is not well defined.

  1. Defects in AIRE gene are associated with autoantibodies to interleukin (IL) 17A, IL17F and IL22, which are key cytokines for the function of the T-helper (Th) 17 cell subset. Loss of function of these cytokines increase susceptibility to candida infections (177).
  2. Autoimmunity to mediators involved in antigen presentation by B cells may be an additional factor responsible for susceptibility. This is further corroborated by the response to rituximab (anti-CD 20 antibody that prevents B cell function) to certain components of the disease in individuals with AIRE deficiency (178).
  • A defect in Dectin-1, a β-glucan receptor, has been shown to diminish tumor necrosis factor α production in APS-1. Innate immune response is affected as a result (179).

 

CLINICAL SPECTRUM

 

CMC is the most common component of APS-1. It has been reported in 80-100% of cases in different series (121,177). Onset of CMC is usually in the first decade and cases can be seen in the very first year of life. Mouth, nails and, less frequently, skin, vagina and the esophagus are affected. The infection tends to be persistent or recurrent. Severity of the infection in variable, however disseminated disease is rare (177).

 

The oral mucosa is the usual site of infection. All spectra of infection starting from localized ulceration, and redness in mild cases to involvement of entire mouth is described. White or grey membrane covering the tongue or mucosa are visible in the hyperplastic form. Cracks (angular cheilitis or perlèche) occurring at the angle of the mouth is common. The atrophic form has areas of leukoplakia, which is a significant risk factor for carcinoma of the oral mucosa. The finger nails are the other site which is commonly affected. There can be an associated paronychia. Onychomycosis in CMC is particularly resistant to treatment (121,180).

 

TREATMENT

 

Oral fluconazole is the preferred therapy. Some patients require suppressive treatment with fluconazole 100 mg three times a week. Emergence of resistance remains a possibility with suppressive therapy. Alternatives for fluconazole refractory disease includes itraconazole, Posaconazole, or voriconazole. Rare cases of systemic disease not responding to azoles might require a lipid formulation of amphotericin B or echinocandins (144).

 

ADVERSE ENDOCRINE EFFECTS OF ANTIFUNGAL AGENTS

 

The antifungal drugs such as polyenes, azoles and echinocandins can impact the function of endocrine glands. Azoles are recognized for their adverse effect on adrenal cortex and the gonads. The other drugs are also known to cause endocrine dysfunction though less frequently. These important adverse endocrine consequences of the different antifungal agents are discussed below.

 

Azoles

 

The azoles are the one of the most frequently administered systemic antifungal agents. They can be divided into two groups on the basis of their structure. Ketoconazole, which belongs to the imidazole group, is associated with multiple endocrine adverse effect, but seldom used orally as an antifungal agent currently. The newer azoles belonging to the triazole group include fluconazole, itraconazole, voriconazole, posaconazole, and isavuconazole. Endocrine dysfunction also occurs with the triazoles but is less frequent (181).

 

ADRENAL GLAND

 

The azoles exert their antifungal effect by inhibiting the cytochrome P450 (CYP450) enzyme lanosterol 14-α-demethylase (CYP51) mediated conversion of lanosterol to ergosterol, a critical constituent of fungal cell wall.  Mammals do not have this enzyme, but azoles can block the synthesis of glucocorticoids, mineralocorticoids, and sex steroids by blocking CYP450 dependent enzymes involved in steroidogenesis (182).

 

Ketoconazole

 

Ketoconazole is a dose-dependent reversible inhibitor of cholesterol desmolase, 17,20-lyase, 11β-hydroxylase, 17α-hydroxylase, and 18-hydroxylase (183). Ketoconazole at doses of more than 200 mg daily can impair glucocorticoid synthesis. Overt adrenal insufficiency is relatively infrequent however it can be seen with doses of 600 to 1200 mg/day, which are often used in the medical management of Cushing’s syndrome (59,184,185). Apart from inhibiting enzymes involved in steroidogenesis, ketoconazole is also a dose-dependent, reversible, competitive antagonist at the glucocorticoid receptor level (186). The inhibitory effect of ketoconazole on adrenal steroid synthesis has been utilized for  the medical management of Cushing’s  syndrome (187).

 

Fluconazole and Posaconazole

 

Adrenal insufficiency has been reported with the imidazole derivatives itraconazole, fluconazole, voriconazole, and posaconazole (188–192). Primary adrenal insufficiency induced by fluconazole has been observed in critically ill patient as a result of CYP450 inhibition (193). Fluconazole has been employed for the medical management of Cushing’s syndrome (194). Posaconazole-induced primary adrenal insufficiency resulting from a similar mechanism has been described (190,192).

 

Itraconazole and Voriconazole

 

Itraconazole and voriconazole (also ketoconazole) are potent inhibitors of CYP3A4, the enzyme that partially metabolizes glucocorticoids. The resultant decrease in glucocorticoid clearance produces supraphysiological levels of glucocorticoid from inhaled, nasal or oral steroids (195). The clinical profile resembles that of an iatrogenic Cushing’s syndrome later progressing to secondary or central adrenal insufficiency consequent to suppression of the hypothalamic-pituitary-adrenal (HPA) axis (196). Secondary adrenal insufficiency following combined use of glucocorticoids and itraconazole or voriconazole have been described (188,191). Steroids that are predominantly metabolized by the CYP3A4 pathway include methylprednisolone, fluticasone, budesonide and triamcinolone. It may be prudent to consider alternative glucocorticoids such as prednisolone, beclomethasone, or flunisolide that are not predominantly metabolized by CYP3A4 enzymes when voriconazole or itraconazole is being administered (190,191).

 

Pseudohyperaldosteronism

 

Posaconazole and itraconazole has been associated with a syndrome of mineralocorticoid excess manifested by low-renin low-aldosterone hypertension and hypokalemia (197). Two distinct mechanisms are implicated in the pathogenesis with significant interindividual differences. Posaconazole can inhibit the enzyme 11 β-hydroxylase (CYP11B1) and prevent the conversion of 11-deoxycortisol to cortisol. Diminished cortisol synthesis triggers adrenal steroidogenesis as a result of loss of feedback inhibition of the HPA axis and causes accumulation of 11-deoxycortisol (and 11-deoxycorticosterone). Even though aldosterone production is reduced due to posaconazole-induced aldosterone synthase (CYP11B2) inhibition, very high levels of 11-deoxycortisol and 11-deoxycorticosterone can overcome that and produce a state of mineralocorticoid excess (197,198). The other mechanism incriminated is blockage of the peripheral cortisol metabolizing enzyme 11 β-hydroxysteroid dehydrogenase 2 (11β-HSD2) leading to an increased ratio of active to inactive cortisol metabolite. Elevated ratios of cortisol to corticosterone and their tetrahydro-metabolites are observed in such individuals (198). There are few case reports of itraconazole and several reports of posaconazole-induced pseudohyperladosteronism (199–202). Therapeutic options include lowering the dose of azoles or changing to alternatives like isavuconazole (198).

 

GONADS

 

Male Sexual Dysfunction

 

Inhibition of 17,20-lyase by ketoconazole impairs production of testosterone in the male gonads (203). The effect can be seen even at a single dose of 200mg, however lower testosterone levels and longer duration of suppression can be seen with an increasing dose (204). Oligospermia and azoospermia as well as decreased libido and impotence have been reported at doses more than 800mg/day (181). Reversible gynecomastia is another manifestation seen due to increase in the estradiol:testosterone ratio partially attributed to displacement of estrogen from sex-hormone binding globulin by the drug (205).

 

Ketoconazole also binds to androgen receptors thereby blocking androgen signaling (206). Antiandrogenic properties of ketoconazole have been used in the treatment of prostate cancer, autonomous Leydig cell hyperactivity in children with precocious puberty, and topical therapy for androgenetic alopecia (207–209).

 

Fluconazole in contrast to ketoconazole does not affect testosterone synthesis (210). A single case of posaconazole induced gynecomastia has been reported. Inhibition of the CYP11B1 enzyme by the drug stimulates compensatory adrenal steroidogenesis. Increased peripheral conversion of adrenal androgens to estrogen was presumed to induce gynecomastia after posaconazole use. The other possible hypothesis could be reduced catabolism of estrogen in the liver due to blocking of CYP3A4 and CYP3A7 (211).

 

Female Reproductive Dysfunction

 

Ketoconazole reduces estrogen levels in females. Reduction of estrogen levels could be due to aromatase inhibition or androgen synthesis blockade. Estrogen precursor deprivation from decreased androgen synthesis is likely to be the predominant mechanism (59). In animal studies, ovarian progesterone production is impaired thereby preventing uterine implantation (212). Ketoconazole has been used in treatment of polycystic ovarian syndrome and ovarian hyperthecosis, given its ability to substantially block ovarian androgen synthesis (213). Itraconazole when co-prescribed with simvastatin, induced metrorrhagia in a 69-year old lady, presumably occurring as result of low-estrogen breakthrough bleeding (214). Itraconazole can also enhance estrogen metabolism interfering with efficacy of oral contraceptives (215). Fluconazole on the other hand can increase estrogen levels by inhibiting its metabolism and is not associated with risk of contraceptive failure (216).

 

HYPONATREMIA

 

Voriconazole use has been associated with severe hyponatremia. The median time to onset of hyponatremia is 6-26 days (217). Severe hyponatremia, volume depletion, elevated antidiuretic hormone (ADH), and plasma renin activity along with high urinary sodium suggestive of salt-losing nephropathy were observed after voriconazole administration (218). Syndrome of inappropriate ADH secretion (SIADH) has been implicated as another possible mechanism and euvolemia is the critical distinguishing feature from salt-losing nephropathy (219). The toxic effect of voriconazole is concentration-dependent and therapeutic drug monitoring has been found to be useful for prevention and dose adjustment for hyponatremia (220). The risk of hyponatremia increased with trough concentrations > 7 mg/L and the dose should be modified to maintain levels below that threshold (181). An interesting observation was predisposition to develop voriconazole induced hyponatremia among Asians, in whom polymorphism of CYP2C19 is more common (221). CYP2C19 is the enzyme that metabolizes voriconazole and dosing depending on genotype has been proposed as a means to avert its adverse effects including hyponatremia (222,223).

 

FLUORIDE-INDUCED PERIOSTITIS

 

There are several reports of voriconazole-induced periostitis presumably related to excess fluoride released from the three fluorine atoms present in the molecule (224–228). A 400 mg tablet of voriconazole contains approximately 65 mg of fluoride, however only 5% of the fluoride is generated from the drug in free form (181,224). The other fluorinated azoles fluconazole and posaconazole contain two atoms of fluorides and have not been associated with fluorosis and periostitis (225).

 

A review summarizing 98 cases of periostitis, reported the median age to be 59 years with onset of symptoms between 6 weeks to 8 years after drug exposure. Presenting features are muscle and bone pain. Affection of almost any skeletal site has been described (229). Ribs and ulna are the most common site of involvement. The other involved sites include tibia, clavicle, femur, radius, fibula, scapula, and humerus (224,229).

 

The serum fluoride and alkaline phosphatase levels are significantly higher in those with periostitis compared to those without (224). The plain radiograph reveals multiple areas of periosteal thickening along with formation of new bones which may take the form of an exostoses or can be fluffy. The radiological findings are analogous to periostitis deformans observed in fluoride intoxication (230).  Bone scan shows increased tracer uptake but unlike hypertrophic osteoarthropathy tend to be asymmetric (224). Discontinuation of voriconazole usually results in improvement in the majority of cases. Substitution by a non-fluorinated azole such as itraconazole can be considered when continued antifungal coverage is necessary. Replacement by posaconazole has also been beneficial (228). 

 

OTHER ENDOCRINE ABNORMALITIES

 

High dose ketoconazole (1200mg/day) may rarely cause hypothyroidism by interference with iodine and thyroid peroxidase (231). Ketoconazole is also an inhibitor of 25(OH)D-1α hydroxylase (CYP27B1) leading to decreased 1,25(OH)2D levels (232). Hypercalcemia induced by sarcoidosis, tuberculosis and other granulomatous disorders respond to treatment with ketoconazole (233,234). Both ketoconazole and fluconazole are treatment options for idiopathic infantile hypercalciuria that occurs from CYP24A1 (24-hydroxylase) gene mutations (235,236). The effects of ketoconazole on enzymes regulating vitamin D has also been explored for treatment of prostate cancer (208,237).   

 

There are rare reports of pancreatitis with fluconazole, itraconazole, and voriconazole (181). Voriconazole, ketoconazole, and fluconazole have been implicated as a cause of hypoglycemia (238,239). The hypoglycemia could be due to hyperinsulinemia resulting from decreased degradation of insulin (240). The metabolism of sulfonylureas can be inhibited by fluconazole thereby increasing the risk of hypoglycemia in individuals receiving both these drugs (241,242).

 

Polyenes

 

The polyenes currently in medical use are nystatin and amphotericin B. Use of nystatin is limited to topical application. Amphotericin B deoxycholate is associated with higher risk of toxicity as compared to its lipid preparation. The lipid formulations of amphotericin B are expensive but the risk of adverse effect is less. Electrolyte abnormalities resulting from tubular damage is the predominant endocrine dysfunction described with amphotericin B. Rare cases of pancreatitis have occurred with liposomal amphotericin B (243).  

 

TUBULAR DAMAGE

 

Clinical manifestations of amphotericin B induced nephrotoxicity include renal insufficiency, hypokalemia, hypomagnesemia, metabolic acidosis resulting from distal renal tubular acidosis, and polyuria due to nephrogenic diabetes insipidus (DI) (244–246). The mechanism for DI involves a decrease in aquaporin 2 expression in the kidney medulla, that makes the collecting tubules insensitive to ADH (244). Although the risk of nephrogenic DI with lipid preparations of  amphotericin B is significantly less, cases have still been described (247). Nephrogenic DI can be managed by amiloride plus hydrochlorothiazide, or indomethacin (248).

 

Nephrogenic DI can also be induced by hypokalemia caused by amphotericin B (249). Hypokalemia is more common with amphotericin B deoxycholate but is also recognized  with lipid preparations of amphotericin B (250). Amphotericin B can induce apoptosis of renal tubular cells and also enhance tubular permeability by damage to lining epithelium (251). Renal magnesium loss can also result from amphotericin B. PTH secretion is  affected by hypomagnesemia and that may subsequently lead to hypocalcemia (252). Monitoring and supplementing potassium and magnesium is an important adjunct to prevent adverse consequences of amphotericin B therapy (253).

 

Echinocandins

 

Capsofungin, micofungin and antidulafungin are the three echinocandins currently in clinical use.  These agents, unlike azoles or amphotericin B, do not usually cause adverse endocrine effects. Micafungin is rarely reported to cause pancreatitis (254). Caspofungin has been reported to induce hypercalcemia in an infant by an undefined mechanism (255).

 

Other Agents

 

Oral potassium iodide is used in treatment of cutaneous sporotrichosis (256). It may precipitate thyrotoxicosis in patients with incipient Graves’ disease or multinodular goiter in areas of relative iodine deficiency (Jod-Basedow disease).  Hypothyroidism can occur in those with excessive autoregulation on prolonged exposure (Wolff-Chaikoff effect) (257).

 

CONCLUSION

 

Although fungi are ubiquitous within the environment, very few are considered true pathogens and affect healthy individuals only in limited circumstances. The majority of fungi are opportunistic and immune dysfunction in endocrine disorders increase susceptibility to fungal infection. On the other hand, fungal diseases especially in immunocompromised host can disseminate and affect various endocrine glands thereby impairing their function. Antifungal therapies too contribute to endocrine adverse effects. Moreover, in few endocrinological conditions like Cushing’s syndrome, signs and symptoms of fungal infection can be masked due to effect of hypercortisolemia. A high index of suspicion is mandated in such cases, as delayed or missed diagnosis could dramatically influence the outcome. An understanding of the complex relationship between fungal infection and endocrine disorders is necessary in modern-day medicine as both these conditions are increasingly prevalent.

 

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Etiology and Pathogenesis of Diabetes Mellitus in Children and Adolescents

ABSTRACT

 

In this chapter, we review the etiology and pathogenesis of Type 1 diabetes mellitus (T1DM), with particular emphasis on the most common immune mediated form. Whereas Type 2 diabetes (T2DM) appears to be an increasing price paid for worldwide societal affluence, there is also evidence worldwide of a rising tide of T1DM. The increase in understanding of the pathogenesis of T1DM has made it possible to consider interventions to slow the autoimmune disease process in an attempt to delay or even prevent the onset or slow the progression of hyperglycemia. Although the prevention of T1DM is still at the stage of research trials, the trials are often mentioned in the lay press.  Current investigations will determine if antigen-based therapies can in fact abrogate ongoing autoimmunity via immuno-stimulation and ultimately prevent diabetes in humans without the risks of general immunosuppression.  We also review the etiology and pathogenesis of T2DM and monogenic forms of diabetes that may be confused with T1DM or T2DM. 

 

INTRODUCTION

 

Diabetes Mellitus (DM) is a syndrome of disturbed metabolism involving carbohydrate, protein, and fat which results from the degree of insulin deficiency (absolute or relative) and tissue sensitivity to its actions. The combination(s) of insulin deficiency and sensitivity to its actions bring about distinct clinical phenotypes with varying severity of disturbed metabolism, most conveniently monitored by the degree of hyperglycemia. Absolute insulin deficiency (Type 1 DM) occurs with autoimmune destruction of insulin secreting β-cells (Type 1A DM) and other congenital (genetic defects in the formation or function of the endocrine pancreas), or acquired (relapsing pancreatitis and pancreatectomy) conditions. Absolute deficiency of insulin action also can occur in the total absence of insulin receptors, a rare event. Relative insulin deficiency occurs with genetic or acquired defects in insulin synthesis or secretion that are inadequate to overcome the resistance caused by fewer functioning insulin receptors, or resistance to insulin action induced by stress, drugs, and most commonly obesity (Type 2 DM).The acute clinical manifestations are those related to hyperglycemia which exceeds renal threshold to result in polyuria, increased thirst, dehydration, electrolyte disturbances, weight loss, and metabolic decompensation, in extreme degree known as diabetic ketoacidosis and non-ketotic hyperosmolar coma. The chronic complications include macrovascular (CAD, CVD, amputations) and microvascular (retinopathy, nephropathy, neuropathy) lesions.  Both the acute and chronic complications are inversely related to the degree of metabolic control achieved.  These brief introductory comments form the basis for the etiology, pathogenesis, classification and diagnosis of diabetes mellitus.

 

Classification and Diagnosis of Diabetes

 

The American Diabetes Association Standards of Medical Care for Diabetes 2021(1) proposes the following classification (Table 1).

 

Table 1. Classification of Diabetes

Type 1 Diabetes owing to autoimmune destruction of insulin secreting β-cells leading to insulin deficiency

Type 2 Diabetes owing to inadequate insulin secretion that cannot overcome the existing degree of insulin resistance

Gestational diabetes (diabetes diagnosed in the second or third trimester of pregnancy that is not clearly overt diabetes)

Diabetes owing to other causes

- Monogenetic diabetes syndromes (neonatal diabetes, maturity-onset diabetes of the young [MODY])

- Disease of the exocrine pancreas (cystic fibrosis, pancreatitis, pancreatectomy)

- Medication induced (glucocorticoids, treatment of HIV/AIDS, immunosuppressants, chemotherapeutic agents)

 

Criteria for the Diagnosis of Diabetes Mellitus

 

The Expert Committee on the Diagnosis and Classification of Diabetes Mellitus recommends the following criteria for diagnosing DM (1).  Two replicate fasting glucose levels that exceed 126 mg/dl (>7 mmol/L) is consistent with diabetes even in the absence of symptoms. Normal fasting blood glucose levels of 100 mg/dl or above are considered impaired fasting glucose (IFG). Persons with IFG levels (FPG= 100-125 mg/dl (5.66.9 mmol/l) and/or with impaired glucose tolerance test (IGT) (2hour post-load glucose 140-199 mg/dl (78.8 mmol/L-11.1 mmol/L) are at risk of diabetes and should be observed periodically to detect hyperglycemic progression. Replicate, two-hour glycemic responses >200 mg/dl (>11.1 mmol/L) after a standard oral glucose tolerance test also indicate diabetes. This stage is often reached before the fasting glucose levels rise in T2DM and post-prandial hyperglycemia may precede fasting hyperglycemia by months to years. The reliance on only fasting glucose levels is generally more useful for identification of impending T1D but not for T2D.

 

The ADA now recommends that measurement of HbA1c levels can be used in clinical practice for the diagnosis of diabetes, since the onset is seldom so acute that it will not be reflected in elevated HbA1c levels Table 2 (1).

 

Table 2. The American Diabetes Association Diagnostic Guidelines (1,2)

Stage

Latent

Impaired glucose tolerance

Diabetes

Diagnostic criteria

Presence of 2 or more autoantibodies

AND

Normal glucose levels

Fasting plasma glucose: 100-125 mg/dl

OR

2hour plasma glucose during OGTT*: 140-199 mg/dl

OR

HbA1C+: 5.7-6.4%

Fasting plasma glucose: ≥126 mg/dL

OR

2hour plasma glucose during OGTT*: ≥200 mg/dl

OR

Random plasma glucose: ≥200 mg/dl with symptoms of polyuria, and weight loss.

OR

HbA1C+ ≥6.5%.

*The OGTT should be performed as described by the World Health Organization (1.75 gm/kg up to 75 gm, using a glucose load containing anhydrous glucose dissolved in water).

 

ETIOLOGIC CLASSIFICATION

 

Type 1 Diabetes Mellitus

 

Type 1 diabetes mellitus (T1DM) comprises several diseases of the pancreatic ß cells which lead to an absolute insulin deficiency. This is usually considered to be the result of an autoimmune destruction of the pancreatic ß cells (type 1A). Some patients with T1DM with no evidence of ß cell autoimmunity have underlying defects in insulin secretion often from inherited defects in pancreatic ß cell glucose sensing and from other genetic or acquired diseases.

 

Type 2 Diabetes Mellitus

 

Type 2 diabetes mellitus (T2DM) is by far the more common type of diabetes and is characterized by insulin resistance resulting from defects in the action of insulin on its target tissues (muscle, liver, and fat), but complicated by varying and usually progressive failure of beta cells’ insulin secretary capacity. Most patients with T2DM in the US and Europe are overweight or obese, however in India and China, most T2DM patients have a lean body mass index (BMI), albeit with increased visceral and hepatic fat.

 

Monogenic Diabetes

 

Monogenic forms of diabetes are characterized by impaired secretion of insulin from pancreatic β cells caused by a single gene mutation. These forms comprise a genetically heterogenous group of diabetes including, maturity onset diabetes of the young (MODY), permanent or transient neonatal diabetes, and mitochondrial diabetes. MODY is the most common form of monogenic diabetes, with autosomal dominant transmission of one of several genes encoding a primary defect in insulin secretion.

 

TYPE 1 DIABETES MELLITUS

 

Epidemiology of Type 1 Diabetes

 

T1DM is one of the most common chronic diseases of childhood and is classified as an autoimmune disease. Most common autoimmune disorders predominantly affect females, but, T1DM equally affects males and females with a slight male predominance in younger children. This and other inconsistencies have raised questions as to whether T1DM is a “pure” auto-immune disease or whether the auto-immune component is a marker of a separate primary trigger (3,4).  We discuss these issues later in this chapter. 

 

The incidence and prevalence of T1DM vary by age, season, geographic location, and within different racial and ethnic groups. Of cases diagnosed before the age of 20, however, two peaks of T1DM presentation are observed; one between 5 and 7 years of age, and the other during puberty at the mid-teens (5). However, first presentation of T1DM actually is as common in adulthood as it is in childhood and is characterized by a milder course in adults; the term LADA, (Latent, Auto-immune, Diabetes of Adults) is used to describe this entity. A seasonal variation in the incidence of T1DM is also observed; the majority of new cases of T1DM are diagnosed mostly in autumn and winter (6).  Findings from large T1DM registry studies such as the World Health Organization Multinational Project for Childhood Diabetes, known as the DIAMOND Project, EURODIAB   and others monitor incidence and other epidemiological markers.

 

The World Health Organization Multinational Project for Childhood Diabetes, known as the DIAMOND Project (in 50 countries), EURODIAB (in Europe), and SEARCH for Diabetes in Youth (in the USA) were established to address the implications of diabetes in youth and describe the incidence of T1DM. Wide variations in incidence of T1DM exist throughout the world, lowest in China and Venezuela (0.1 per 100,000 per year) and highest in Finland and Sardinia (50-60 per 100,000 per year) (7). A multicenter study focusing on identifying the prevalence and incidence of diabetes by type, age, gender, and ethnicity found a 1.8% annual increase in the prevalence of T1DM among American youth from 2002-2003 to 2011-2012, whereas T2DM had increased 4.8% annually from 2002-2003 to 2011-2012 (Table 3) (8).  The greatest increase was seen in youth of minority racial/ethnic groups (8).  Similar rates of increase in T2DM in teens are reported from the UK, India, China and Japan.

 

Table 3. Incidence of T1DM in the USA (per 100,000/year)

 

Age Group

 

0-4 yr

5-9 yr

10-14 yr

15-19 yr

Non-Hispanic White

18.6

28.1

32.9

15.1

African American

9.7

16.2

19.2

11.1

Hispanic American

9.1

15.7

17.6

12.1

American Indian

4.1

5.5

7.1

4.8

Asian and Pacific Islander American

6.1

8.0

8.3

6.8

All

14.3

22.1

25.9

33.1

 

Although, there is a wide variance in the incidence and prevalence of diabetes throughout the world, the number of youths who are being diagnosed with T1DM has been growing at an annual rate of about 3 percent (9) and a similar increased annual rate was also observed among U.S. youth (10). This rising incidence of T1DM in children across the world in a short period of time clearly cannot be explained by genetic factors. Analytical epidemiological studies suggest that environmental risk factors, operating early in life, might be contributing to the increasing trend in incidence of T1DM (11,12).

 

On the basis of estimates for the number of people with diabetes in 2014, the cost of health care of diabetes in the US is estimated to be $105 billion per annum and the direct annual cost of diabetes in the world is $825 billion (13). However studies indicate that many more diabetic adults diagnosed as having T2DM phenotype actually have T1DM  as defined by the presence of antibodies to islet cell components (14,15); the term LADA, Latent Autoimmune Diabetes of Adults, is often used to describe this group (16).

 

Natural History of Type 1 Diabetes 

 

After immune activation in the setting of genetic susceptibility, the disease progresses through pre-symptomatic stages identified by presence of autoantibodies and impaired glucose intolerance, arising from further loss of β-cell function and ultimately resulting in clinical diabetes. (Figure 1)

Figure 1. Type 1 diabetes disease progression (17)

Pancreatic ß cells secrete insulin and are found in the islets of Langerhans. These islets are specialized groups of a few hundred to a few thousand endocrine cells that are anatomically and functionally discrete from pancreatic exocrine tissue, the primary function of which is to secrete pancreatic enzymes into the duodenum. Normal subjects have about one million islets, which in total weigh only 1-2 grams and constitute less than 1% of the mass of the pancreas. Furthermore, islets are composed of various types of cells that are interconnected as a regulatory network to regulate the disposition of nutrients and their utilization for energy use and tissue growth and repair. At least 70% are ß cells localized in the core of the islets, surrounded by α-cells that secrete glucagon, δ-cells that secrete somatostatin, and PP cells that secrete pancreatic polypeptide. All the cells communicate with each other through their extracellular spaces and through gap junctions; communication is further modulated by a rich network of sympathetic and para sympathetic innervation.

 

Insulin, a peptide hormone composed of 51 amino acids is synthesized, packaged and secreted in pancreatic ß cells. Insulin is synthesized as preproinsulin in the ribosomes of rough endoplasmic reticulum. The preproinsulin is then cleaved to proinsulin that is transported to the Golgi apparatus where it is packaged into secretory granules. Most of the proinsulin is cleaved into equimolar amounts of insulin and connecting (or C)-peptide in the secretory granules. Because the C-peptide sequence differs from that of insulin, and because, unlike insulin, it is not extracted by the liver, it is possible to estimate β-cell insulin secretion by measuring C-peptide, even in the presence of insulin antibodies resulting from insulin replacement therapy that impair the ability to measure insulin directly. Similarly, because C-peptide is an index of endogenous insulin secretion, and because C-peptide is not extracted by the liver, the ratio of C-peptide: insulin should exceed 1; when it is less than 1, implying a high insulin value, exogenous insulin may have been used. This has diagnostic and forensic utility in diagnosing causes of hypoglycemia.

 

Glucose is a major regulator of insulin secretion (Figure 2). When extracellular fluid glucose concentrations rise after a meal, glucose is taken up by the ß cells via glucose transporters, GLUT2 and GLUT1. Glucose is then phosphorylated into glucose-6-phosphate by islet specific glucokinase and metabolized, thereby increasing cellular ATP concentrations. The rise in ATP raises the resting ratio of ATP:ADP, that closes ATP dependent potassium channels (K-ATP) in the β-cell membrane, resulting in accumulation of intracellular potassium, causing membrane depolarization and influx of calcium via a voltage gated calcium channel. The rise in intracellular free calcium in ß-cells promotes margination of the secretory granules, their fusion with the cell membrane, and release of cell contents which include insulin into the extracellular space. An immediately releasable pool of insulin granules adjacent to the plasma membrane is responsible for an acute (first phase) insulin response; with ongoing stimulation, a pool of granules in the interior of the cell is mobilized and released as the “second phase” response. Amino acids also stimulate insulin release by a similar mechanism that involves the enzyme glutamate dehydrogenase which enables metabolism and ATP production by certain amino acids. Defects in the genes regulating these processes may result in diabetes if the K-ATP channel is prevented from closing normally (activating mutations) or syndromes of hyperinsulinemic hypoglycemia if the K-ATP channel is prevented from opening (inactivating mutations).  These aspects are discussed in greater detail in the section on Monogenic forms of diabetes (see below).

Figure 2. Insulin secretion by Pancreatic β cells. In the stimulated state, glucose is transported into the β cell by the GLUT2 transporter which undergoes phosphorylation by glucokinase and glucose is then metabolized. This results in an increase in the ATP/ADP ratio and initiation of a cascade of events that is characterized by closure of the K-ATP channel, decreased flux of potassium across the membrane, membrane depolarization, and calcium influx. This cascade ultimately results in insulin release from storage granules. The K-ATP channel shown is composed of four small subunits, Kir6.2, that surround a central pore and four larger regulatory subunits constituting SUR1. In the resting state, the potassium channel is open, modulated by the ratio of ATP to ADP. Leucine also stimulates insulin secretion by allosterically activating GDH and by increasing the oxidation of glutamate; this then increases the ATPADP ratio leading to the cascade of events beginning with closure of the KATP channel.
MCT-1: Monocarboxylate transporter-1, SCHAD: Short chain 3-hydroxyacyl-CoA dehydrogenase, SUR1: Sulfonylurea receptor 1, Kir 6.2: Potassium Inward Rectifying Channel 6.2, UCP-2: Uncoupling protein 2, HNF4α: Hepatocyte Nuclear Factor 4α, HNF1 α: Hepatocyte Nuclear Factor 4α, K+: Potassium, ATP: Adenosine Triphosphate, GDH: Glutamate Dehydrogenase, GLUT-2: Glucose Transporter 2

Metabolic Derangements of Type 1 Diabetes

 

As the pancreatic ß cell mass declines in an islet cell antibody (ICA) positive person, the first metabolic abnormality discernable is a decline in the first phase of insulin release (FPIR) to an IVGTT (18). The insulin level after a 3-4 minute infusion of glucose at 0.5Gms/kg rises abruptly in normal children at about 8 years of age, perhaps coincident with the onset of adrenarche (19). In the relatives and children from the general population with positive ICA, a decline in the FPIR is a strong predictive marker of evolving diabetes (19-21).

 

Subsequently, in evolving T1DM there is a rise in the fasting glucose level followed by an inability to keep the two-hour, post-OGTT glucose level below 200mg/dl (11.1mM). Transient insulin resistance also occurs in untreated T1DM and is due to raised levels of free fatty acids (FFAs) from uncontrolled lipolysis (22), as well as decreased levels of hepatic glucokinase and insulin regulated GLUT 4 glucose transporters in adipocytes which contribute to  the onset of symptomatic diabetes (23-25). Prolonged hyperglycemia itself likely impairs the ability to secrete insulin and when insulin replacement therapy begins, there is usually some recovery in the patient's ability to secrete insulin (the "honeymoon" period). However, within months to years, this partial recovery in endogenous insulin secretion ultimately fails. If it does not fail after 2 years, another form of diabetes, such as MODY should be suspected. Initially, the glucagon secreting cells within the pancreatic islets remain relatively preserved, resulting in excessive secretion of glucagon relative to insulin after protein meals (26). These elevated glucagon levels exacerbate the effects of the insulin deficiency, and promote lipolysis and ketogenesis, effects that can be partially reversed by an infusion of somatostatin (27). As the mass of islet cells decline, there is also loss of amylin, an islet cell hormone that down-regulates glucagon secretion. Thus, an analogue of amylin (pramlintide- marketed under the trade name Symlin) can be used as adjunctive therapy with insulin replacement. In time, with continued loss of islets, glucagon deficiency develops in established long standing T1DM, rendering patients more susceptible to insulin-induced hypoglycemia (26,28).  

 

Insulin is the hormone of "feasting", promoting utilization and deposition of ingested nutrients into body stores, as well as having multiple anabolic effects in many tissues. Progressive insulin deficiency thus induces a starvation like state, associated with excessive hepatic and renal gluconeogenesis, decreased peripheral utilization of glucose, hyperglycemia with resultant glycosuria, loss of water and sodium salts, and proteolysis in muscle liberating amino acids such as alanine and glutamine as substrates for gluconeogenesis (29-31). Uncontrolled lipolysis leads to the rapid mobilization of fatty acids from adipose tissue and the increased delivery of fatty acids to the liver leading to the increased synthesis of triglycerides and secretion of very low-density lipoprotein (VLDL).

 

With severe insulin deficiency the fatty acids delivered to the liver are metabolized to yield beta hydroxybutyric and aceto-acetic acids (ketone bodies) and contribute to keto-acidosis. Ketoacidosis is a life-threatening metabolic decompensation that is characterized by hyperglycemia, dehydration, metabolic acidosis and ketosis, all the result of the effects of severe insulin deficiency as well as the counter-regulatory stress hormones, cortisol, growth hormone, catecholamines and glucagon. Specifically, hepatic glucokinase levels fall with insulinopenia, synthesis of hepatic triglyceride and glycogen levels decline, malonyl CoA falls and thereby carnitine palmitoyl transferase-I levels rise promoting the transport of fatty acyl-CoA into mitochondria with the formation of acetyl-CoA (32-34).  In the liver, acetyl-CoA is converted into ß-hydroxybutyrate and acetoacetate in a proportion that depends upon the prevailing redox state, which provide an additional fuel substrates for muscle and brain (31,35,36). Lipoprotein lipases are also inactivated, leading to reduced hydrolysis of triglycerides that, if severe, may turn the serum milky with increased VLDL characteristic of the type 4 lipemic phenotype (37-39).

 

Genetic Susceptibility to Type 1 Diabetes

 

Individuals with autoimmune T1DM have inherited a number of quantitative trait loci (QTL) that encode protective and predisposing alleles which have exceeded the net genetic threshold required to predispose them to the disease (40). However, this genetic threshold (penetrance) is dependent in turn on chance interactions with greater predisposing than protective environmental forces. The multiple genetic influences in T1DM comprise a major effect from DR/DQ genotypes of the HLA complex (some 50% of the genetic effect), coupled to several other QTLs with minor influences (Table 4). All of the latter QTLs are not obligatory genetic elements themselves since they are of minor-influence, but they collectively interact to create additive influences on the genetic threshold. Siblings of a diabetic patient develop T1DM at about 15-fold greater frequency than persons in the general population (prevalence 1:250-300), vs. a value of 15. The HLA predisposition to T1DM is encoded by cis- and trans complementation DQA1*/DQB1* heterodimers which have an arginine at residue 52 of the A chain and a neutral amino acid (DQB1*0302, *0201) rather than a charged aspartic acid at residue 57 of the B chain (DQB1*0602/3 and DQB1*0301) (40), as modified by DRB1*04 subtypes (*0401 and *0405 are susceptible and *0403 and 6 are resistant types) (41) in the HLA genotype. Further, HLA-DP alleles have also been implicated, even though they are at a considerable recombination frequency away from the closely linked DR/DQ loci (42). Other genes involved include the variable number of tandem repeat (VNTR) alleles 5' to the insulin (INS) gene on chromosome 11p15, where the protective class III alleles (>200 repeats) are associated with increased expression of insulin in the thymus, leading to a more efficient eradication of insulin autoreactive T cells than class I alleles (26-63 repeats) that confer susceptibility to develop diabetes (43,44). There are also CTLA-4 gene polymorphisms on chromosome 2q that are associated with T1DM. CTLA-4 is an induced accessory molecule that is expressed on activated T cells. CTLA-4 interacts with B7.2 expressed by antigen presenting cells (APC), signaling apoptosis of T cells that become activated as part of an immune response, thereby confining the immune response. The non-obese diabetic (NOD) mouse, a model for autoimmune diabetes, has an enlarged lymphoid mass because of resistance of their T cells to undergo apoptosis, as do CTLA-4 knockout mice, which readily develop lymphocytic organ infiltrates like NOD mice. These genes thus collectively affect the general ability to be tolerant to "self" antigens. Another susceptibility locus, (the IDDM 4) in the genomic interval on chromosome 11q13harbors the high affinity IgE Fc receptor gene that has been linked to atopy and asthma, which are characterized byTh2 responses that may protect individuals against the development of anti- islet Th1 responses, and thereby protect against T1DM. There are other genomic intervals associated with or linked to T1DM that have been putatively mapped, but these mostly lack plausible candidate genes in the DNA region, and pathogenic mechanisms for them cannot yet be offered. The NOD mouse however has been subjected to extensive genetic mapping studies, in the hopes that genomic intervals harboring susceptibility or protective genes which are syntenic to humans will be discovered, thus hastening the identification of equivalent defective genes.

 

Table 4. Genotypes of the HLA Complex Associated with Diabetes Mellitus

Locus

Chromosome

Candidate Genes/Microsatellites

References

IDDM1

6p21.3*

HLA-DQ/DR

(45,46)

IDDM2

11p15*

INS VNTR

(47,48)

IDDM3

15q26

D15s107

(49)

IDDM4

11q13

MDU1, ZFM1, RT6, FADD/MORT1, LRP5

(50,51)

IDDM5

6q24-27

ESR, MnSOD

(52)

IDDM6

18q12-q21

D18s487, D18s64, JK (Kidd locus)

(53)

IDDM7

2q31

D2s152, IL-1, NEUROD, GALNT3

(54)

IDDM8

6q25-27

D6s264, D6s446, D6s281

(52)

IDDM9

3q21-25

D3s1303

(55)

IDDM10

10p11-q11

D10s193, D10s208, D10s588

(56)

IDDM11

14q24.3-q31

D14s67

(57)

IDDM12

2q33*

CTLA-4, CD28

(58)

IDDM13

2q34

D2s137, D2s164, IGFBP2, IGFBP5

(59)

IDDM14

?

NCBI# 3413

 

IDDM15

6q21

D6s283, D6s434, D6s1580

(52)

IDDM16

?

NCBI# 3415

 

IDDM17

10q25

D10s1750- D10s1773

(60)

2p12

EIF2AK3

 

(61)

5p11-q13

 

 

(62)

16p

 

D16s405- D16s207

(62)

16q22-q24

 

D16s515- D16s520

(55)

1q42

 

D1s1617

(63)

Xp11

 

DXS1068

(64)

 

In summary, T1DM is a complex, multifactorial disease involving genetic predisposition and an environmental triggering event, of which viral causes have been proposed. Although more than 50 loci have been identified, genes involved in immune regulation including HLA subtypes, VNTR in insulin itself, CTLA4, PTPN22, AIRE, and IL2R remain most prominent (65,66). The HLA association, especially class II, remains the strongest predictor of T1DM risk. The heterozygous DR3/DR4 genotype carries the highest genetic risk for T1DM in non-Hispanic whites (45-70).  In conclusion, insulin expressing islets from recent-onset T1D subjects show overexpression of interferon stimulated genes (ISGs), with an expression pattern similar to that seen in islets infected with virus or exposed to IFN-γ/interleukin-1β or IFN-α.

 

Autoantigens and Autoantibodies in Type 1 Diabetes

 

The Doniach group in London, first reported islet cell autoantibodies in patients with autoimmune polyglandular syndromes (APSs) (71), especially in those with APS type-1 (APS-1) (72), even though such patients did not often develop diabetes. Lendrum and colleagues, having failed to find serological evidence for an autoimmune basis for chronic pancreatitis, did succeed in finding Islet Cell Antibodies (ICA) detectable by indirect immunofluorescence in patients with T1DM. Islet cell surface reactive autoantibodies and autoreactive peripheral blood T cells were also reported (73,74). Over the years that followed, the presence of ICA in US patients was confirmed but with distinctly lower frequencies of ICA among African American diabetic patients (75). Insulin autoantibodies (IAA) were discovered in patients with T1DM before their first dose of insulin replacement had been received (76). The presence of IAA together with ICA identified a group of non-diabetic relatives of probands with T1DM, that were at high risk for T1DM themselves (77). Insulin itself is not an ICA antigen that can be detected by the indirect immunofluorescent technique. Subsequently, much of the antigenic nature of the ICA reactivity has become clearer. It was recognized that many patients with "stiff" man syndrome who were prone to develop diabetes, also had ICA and autoantibodies to glutamic acid decarboxylase (GAD65). These GAD autoantibodies penetrated the blood brain barrier. High concentrations of GAD in the cerebellum reduce brain levels of the inhibitory neurotransmitter gamma aminobutyric acid (GABA), thereby causing the appearance of temporal lobe epilepsy, depressed cognition, muscle spasms, cerebellar incoordination and motor dysfunctions. That GAD65 was the antigen that accounted for the 64 KDa islet cell protein previously discovered by Baekkeskov to react with autoantibodies in T1DM, was later confirmed by the same investigator (78). Antibodies to recombinant GAD65 and GAD67 in T1DM patients were soon reported (79). The autoantibodies reacted to the antigens by conformational rather than linear epitopes, and thus with native rather than denatured antigens. Therefore, they were best detected by liquid phase assays such as radioimmunoassay, rather than by an ELISA technique. In stiff-man syndrome, the predominant GAD autoantibodies reacted with linear epitopes. It became known that besides islet cell 64 KDa sized proteins, autoantibodies in the sera of T1DM patients also precipitated islet cell proteins of 50, 40 and 37 KDa as well (80).

 

The next islet cell antigen discovered was one of the two-dozen tyrosine phosphatases expressed in islet cells, insulinoma antigen-2 (IA-2) (81). This antigen shared structural homologies with the ICA-512 antigen (82). A second tyrosine phosphatase named IA-2ß was discovered next (83). These additional tyrosine phosphatase antigens allowed for the matching of the islet cell proteins previously identifiable only by their molecular weights. Thus, GAD65 and its tryptic fragment explained the 64 and 50 KDa proteins, while tryptic fragments of IA-2 and IA- 2ß were identical with the 40 KDa and the 37 KDa islet precipitable proteins respectively (84). The tyrosine phosphatases are a family of transmembrane enzymes of which only these two are expressed by the pancreatic islets and react with T1DM autoantibodies. The reactivity is almost exclusively with the internal domains of these molecules, suggesting that they arise as a consequence of islet cell damage from autoimmunity. Antibodies to IA-2 cross-react with those of IA-2ß in about 50% of the patient sera. Some unusual patient sera however react exclusively with IA-2ß. The question of why only these two members of the tyrosine phosphatase family are targets of islet cell autoimmunity has been answered by the finding that they are relatively resistant to proteolytic enzymatic digestion, and once released from islet cells after their lysis, are insoluble and thus become better antigens for auto-immunization, than those that remain soluble and are more rapidly digested (85).

 

Recently, another antigen of 38KDa size (GLIMA) was added to the islet cell group, albeit only a minority of patient's sera reacts to it (86). Still more islet cell autoantigens are likely to be discovered. The detection of islet cell autoantibodies is useful for differentiating T1DM from diabetes of other causes, and can be used to predict onset of diabetes months to years before onset of the clinical disease (20,21,87,88) in non-diabetic relatives of probands with T1DM.  Importantly, the clinical onset of the disease is often long preceded by the appearance of autoantibodies reactive to islet cells (ICA) (88) and to insulin (77), as independent age-related variables in predicting a diabetic outcome (89). Islet cell autoantibodies (ICA) also show a strong tendency to disappear after diabetes onset when all ß cells are destroyed (90,91).

 

Studies in mice demonstrated a critical role of autoantibodies to GAD65 in the induction of autoimmune diabetes in NOD mice. In humans, the German BABY-DIAB study and the Finnish TRIGR study showed that islet autoantibodies which are mostly IgG class can be transferred through the placenta from islet antibody-positive mothers to their offspring (92,93). Most of the antibodies, however, disappeared from the circulation of the infant within the first year of life, indicating that they represent maternal antibodies and unlikely that they are markers of fetal induction of B-cell autoimmunity (93). In the German BABY-DIAB study, it was demonstrated that 729 offspring of mothers with T1DM had significantly lower risk of developing multiple islet autoantibodies (5 year risk 1.3%) and diabetes (8-year risk 1.1%) when they were GAD or IA-2 positive, than offspring who were islet autoantibody negative at birth (94). These findings suggest that fetal exposure to islet autoantibodies may protect from future diabetes. Furthermore, the German BABY-DIAB study finding is consistent with the overall decreased risk of development of diabetes in offspring of mother with T1DM compared with that of offspring of fathers with T1DM and nondiabetic mothers (95).

 

The timing of the appearance of the autoantibodies seems to be important. It was found that progression to multiple islet autoantibodies was fastest in children who were antibody positive by age 2 years and that progression to diabetes was inversely related to the age of first positivity for multiple autoantibodies (96).

 

The presence of multiple autoantibodies strikingly increases the risk of diabetes, whereas one of the above autoantibodies in the absence of all of the others when tested for, denotes only a modestly increased risk (20,21). This suggests that antigenic epitope spreading is involved in a sustained or accelerated autoimmune attack (72) (97). Besides autoimmunity to islet cell autoantigens, patients with T1DM are subject to other autoimmunities. Thus T1DM is a component part of the autoimmune polyglandular syndromes, commonly in APS-2  (Diabetes Mellitus, Addison Disease, Hypothyroidism) and with less frequency in APS-1(AIRE gene mutations) (72). Accordingly, patients with T1DM have high rates of thyroid autoimmunity, especially if they are females (98) (99), and are at increased risk for Addison's disease (99), atrophic gastritis (100), pernicious anemia (98), celiac disease (101), and vitiligo (102).

 

Table 5. Autoantibody Targets in Type 1 Diabetes

glutamic acid decarboxylase 65

Islet cells

Insulin

Zinc Transporter 8

 

Antigen Specific Cellular Immunity in Type1 Diabetes

 

Autoreactive T cells that develop in impending T1DM, localize to the pancreatic islets where they become a component part of the evolving insulitis lesions. Thus, circulating autoreactive T cells are relatively sparse in impending T1DM. Nevertheless, antigen specific T cells are identifiable through prolonged in-vitro cultures in the presence of purified or recombinant islet cell autoantigens such as GAD (103) (104) and IA-2 (105). In fact, autoreactivity to a large number of autoantigens have been reported in both human and murine diabetes (106). T cell proliferative responses to insulin and GAD65, and more generally to islet extracts, have been repeatedly reported in both patients with T1DM (107,108) and NOD mice. However, both in humans and NOD mice, reports of spontaneous proliferative responses have been difficult to reproduce and validate, probably because of the relative paucity of autoreactive T cells in peripheral blood samples, and the ready contamination of recombinant "test" antigens by lymphotoxin or lipopolysaccharide (LPS), that by itself, can produce proliferative responses even when present in trace amounts. Furthermore, significant T cell responses to insulin, proinsulin or GAD65 antigen were reported, in some normal controls as well as in T1DM patients (109-111). Numerous laboratories have reported T cell reactivity in diabetic patients against GAD65 and IA-2 and their peptides with variable results (105,107,112-117). However, in established diabetes, the loss of the majority of ß cell mass resulting in associated loss of GAD65 and other ß cell antigens, in turn leads to the inactivation of T cells due to the loss of the peptide antigens that were driving the response. Thus, antigenic/epitopic spreading is an undesirable phenomenon associated with progression in autoimmune diseases like T1DM to a clinically significant outcome.

 

Pathogenesis of Type 1 Diabetes

 

The availability of Biobreeding (BB) rats and nonobese diabetic (NOD) mice, the rodent models of T1DM, has greatly enhanced our understanding of the possible pathogenic mechanisms involved (Fig. 3). Recently, it has become possible to compare these findings with findings in human islets, obtained from post mortem specimens of the pancreas through the network of Pancreatic Organ Donors (nPOD) and from patients with recent onset DM via endoscopic pancreatic biopsy (DiViD study, Norway) (86,118,119). In addition, epidemiological studies aimed at the prediction and prevention of T1DM permit a picture of the natural history to emerge. The process of destruction of β-cells is chronic in nature, often beginning during infancy and continuing over the many months or years that follow. At the time of clinical diagnosis of T1DM, about +80% of the β- cells have been destroyed, the islets are infiltrated with chronic inflammatory mononuclear cells (insulitis), including CD8+ cytotoxic T cells. Once islet cell autoimmunity has begun, progression to islet cell destruction is quite variable, with some patients rapidly progressing to clinical diabetes, while others remain in a non-progressive state.

Figure 3. The pathogenesis of islet cell destruction. Islet cell proteins are presented by antigen presenting cells (APCs) to naïve Th0 type CD4+ T cells in association with MHC class II molecules. Interleukin (IL)-12 is thus secreted by APCs that promotes the differentiation of Th0 cells to Th1 type cells. Th1 cells secrete IL-2 and IFN-γ that further stimulate CD8+ cytotoxic T cells or macrophages to release free radicals (super-oxides) or perforin/granzymes, leading to ß cell apoptosis or death. CD8+ cytotoxic T cells further mediate ß cell death by Fas mediated mechanisms. Interleukin (IL)-4, on the other hand, secreted mainly by natural killer T (NKT) cells drives Th0 cell to Th2 pathway leading to benign insulitis.

Diabetes risk and time to diabetes in relatives of patients directly correlates with the number of different autoantibodies present. The pathogenesis of T1DM has been extensively studied, but the exact mechanism involved in the initiation and progression of β-cell destruction is still unclear. The presentation of beta cell-specific autoantigens by antigen- presenting cells (APC) [macrophages or dendritic cells (DC)] to CD4+ helper T cells in association with MHC class II molecules is considered to be the first step in the initiation of the disease process. Macrophages secrete interleukin (IL)-12, stimulating CD4 + T cells to secrete interferon (IFN)-γ and IL-2. IFN-γ stimulates other resting macrophages to release other cytokines such as IL-1β, tumor necrosis factor (TNF-α) and free radicals, which are toxic to pancreatic β-cells. During this process, cytokines induce the migration of β-cell autoantigen specific CD8+ cytotoxic T cells. On recognizing specific autoantigen on ß cells in association with class I molecules, these CD8+ cytotoxic T cells cause ß cell damage by releasing perforin and granzyme and by Fas-mediated apoptosis of the beta cells. Continued destruction of beta cells eventually results in the clinical onset of diabetes.

 

Recently, these concepts derived from studies in the rodent models have been challenged as having the same pathologic process that occur in humans. Analysis of variations in histopathology observed from these organ donors provide mechanistic differences related to etiological agents and serve an important function in terms of identifying the heterogeneity of T1D (120). The findings are not always consistent with those of the rodent models. For example, the dense infiltration of islets by T-cells is evident in the pancreas of those who succumb to DKA at onset, but more chronic cases show a patchy distribution of destroyed and functioning islets containing beta cells with insulin suggesting a defect in secretion rather than synthesis. In the DiViD (Diabetes Virus Detection) study, expression of inflammatory markers, predominance of Class I antigens (rather than expression of Class 2 antigens) in islets, and actual viral isolations suggest a more acute process. Taken together, the studies suggest that T1DM may be a heterogeneous group of conditions in which auto-immunity may be a consequence or companion rather than the initiating mechanism. These findings begin to explain why prediction of developing T1DM in those from affected families considered at risk has become quite accurate, whereas prevention or reversal of DM by immune intervention or modulation has failed repeatedly (3,4,121).

 

The Indian uctive Event in Type 1 Diabetes

 

Various mechanisms have been proposed:

 

MOLECULAR MIMCRY

 

In antigenic molecular mimicry, cross-reactive immune responses occur due to significant structural homologies shared by molecules encoded by dissimilar genes.

 

The incidence of T1DM has increased over the last three to four decades in Europe, and the clinical disease exhibits preferential seasonal onset (122). These observations emphasize the role of environmental factors in the disease process. It has long been suggested that T1DM in humans is caused by viral infections (123-125). However, despite a vast increase in the information regarding the various genetic factors controlling the disease, little is known about the role of the putative environmental factors that might provide a more direct approach to therapy (8). Specifically, allegations that childhood vaccines could be causal have not been upheld by more extensive controlled studies.

 

The disease pathogenesis may involve multiple factors including the genetics of the host, strain of the virus, activation status of the autoreactive T cells, upregulation of pancreatic MHC class I antigens, molecular mimicry between viral and ß cell epitopes and direct islet cell destruction by viral cytolysis. Viruses, as one of the environmental factors affecting the induction of T1DM, may act as triggering agents of autoimmunity or as primary injurious agents, which directly damage pancreatic ß cells. Immune responses against a determinant shared by host cells and a virus could cause a tissue-specific immune response by generation of cytotoxic cross-reactive effector lymphocytes or antibodies that recognize self-proteins located on the target cells.

Monoclonal antibodies against viruses have been observed to be capable of cross-reacting with host determinants (126).

 

Several studies in humans also point to viruses as triggers of the disease (127). Coxsackie B4 virus and rubella virus have been linked with T1DM. In a few instances, Coxsackie B4 virus has even been directly isolated from pancreatic tissues of individuals with acute T1DM. Inoculation of this virus into mice, in one report, produced diabetes (128). The possibility that viruses might cause some cases of T1DM by infecting and destroying pancreatic ß-cells has received considerable attention. However, it is difficult to demonstrate in-vivo that viruses replicate in human ß-cells and/or produce diabetes in man. An in-vitro system was therefore developed to determine whether viruses are capable of destroying human β-cells in culture (129,130). By this method, it was clearly shown that several common human viruses, including mumps virus (131), Coxsackie B3 virus(132), Coxsackie B4 virus (128), reovirus type 3 (133), could infect human ß-cells. In addition, by radioimmunoassay, it was shown that the infection markedly decreased the insulin content of the ß-cells.

 

A strong correlation was found between the CMV genome in the immunocytes and the islet cell autoantibodies in the sera from diabetic patients (134). About 15% of newly diagnosed autoimmune T1DM patients have been reported to have persistent CMV infections.

Furthermore, it has been proposed that a molecular mimicry between protein 2C (p2C) of Coxsackie virus B4 and the autoantigen GAD65 may play a role in pathogenesis of T1DM. Kaufman et al (135) and Vreugdenhil et al (125), showed that the amino acid sequence of p2C shares a striking homology with a sequence in GAD65 (PEVKEK) and is highly conserved in Coxsackie virus B4 isolates as well as in different viruses of the subgroup of Coxsackie B-like viruses. These are the most prevalent enteroviruses and therefore the exposure to the mimicry motif should be a frequent event throughout the life. Furthermore, they suggested that molecular mimicry might be limited to the HLA-DR3 subpopulation of the T1D patients.

 

Although numerous sequence similarities between viral proteins and ß-cell autoantigens are plausible, the relationship between Coxsackie virus infection and GAD65 autoimmunity has received the most attention.

 

Glutamate Decarboxylase (GAD)

 

The finding by Kauffman et al (135), of a striking sequence homology of 18 amino acid peptide between human GAD65 and the Coxsackie virus p2-C protein, enhanced the evidence of a specific molecular mimicry model involving GAD. In addition, this specific region of GAD65 contains a T cell epitope involved in the GAD cellular autoimmunity in humans with immune mediated diseases (103)  and this region is an early target of the cellular immunity in NOD mice (136,137). GAD catalyzes the formation of the inhibitory neurotransmitter γ-amino butyric acid (GABA) from glutamine (104). Two forms of GAD exist (GAD65 and GAD67). GAD65 is the predominant form within the human pancreatic islet cells, while GAD67 predominates in mouse islets. Within the islets, GAD is predominantly observed within the ß-cells, while its roles in the inhibition of somatostatin and glucagon secretion and in the regulation of proinsulin synthesis and insulin secretion, have also been suggested (138).

 

Another study further supports a link between Coxsackie virus and T1DM, associating IgM antibodies to Coxsackie B virus as a marker of recent exposure to the virus in newly diagnosed IMD patients and age/sex-matched controls (139). In that report, humoral immunity to Coxsackie virus and GAD appeared to cluster, even in people without diabetes. A series of overlapping synthetic GAD65 peptides were used to study the most reactive T cell determinants in individuals at increased risk for T1DM, i.e., autoantibody positive, first degree relatives of T1DM patients. Elevated in vitro T cell responses were observed to GAD65 peptides (amino acids 247-266 and 260-279) in newly diagnosed T1DM patients and autoantibody positive at- risk individuals (140). The sequence of this region of GAD65 (amino acids 250-273) is significantly similar to the p2-C protein of Coxsackie B virus (123). However, not all published reports have demonstrated a linkage between immunity to GAD and Coxsackie virus. For example, one study identified a non-Coxsackie-homologous region of GAD65 as a predominant cellular immune epitope while studying the polyclonal human T cell responses (115).

 

Insulinoma Antigen Two (IA-2)

 

Tyrosine phosphatase IA-2 is another molecular target of pancreatic islet autoimmunity in T1DM. In one recent study, the epitope spanning 805-820 amino acid elicited maximum T-cell responses in all at-risk relatives, out of a total of 68 overlapping, synthetic peptides encompassing the intracytoplasmic domain of IA-2 (141). This epitope was found to have 56% identity and 100% similarity over 9 amino acids with a sequence in VP7, a major immunogenic protein of human rotavirus. This dominant epitope also has 75-45% identity and 88-64% similarity over 8-14 amino acids to sequences in Dengue, cytomegalovirus, measles, hepatitis C and canine distemper viruses and the bacterium Haemophilus influenzae.

 

Furthermore, three other IA-2 epitope peptides have 71-100% similarity over 7-12 amino acid stretch to herpes, rhino-, hanta- and flavi-viruses. Two others have 80-82% similarity with dietary proteins of milk, wheat and bean proteins. These molecular mimicries could lead to triggering or exacerbation of ß-cell autoimmunity.

 

SUPERANTIGENS

 

Besides molecular mimicry, retroviral expression of superantigens (Sags) may be able to activate clonal expansion of autoreactive T cell clones. Superantigens have been implicated in the pathogenesis of the various autoimmune diseases (142,143). Originally described as minor-lymphocyte stimulating antigens, retroviral Sags expressed by B cells interact with the development of T helper cells of both Th1 and Th2 subtypes in mice. A study in patients with T1DM demonstrated that two thirds of IAA positive sera also reacted with p73 (144). Conrad et al (145)  isolated a novel mouse mammary tumor virus-related human endogenous retrovirus (HERV), in patients suffering from acute onset T1DM. He termed them the HERV IDDMK1,2 22 subtype. They further showed that the N-terminal moiety of the envelope (env) gene encoded an MHC class II-dependent superantigen. He proposed that expression of this Sag, induced extra-pancreatically and by professional antigen-presenting cells, could lead to ß-cell destruction via the systemic activation of autoreactive T cells. He further reported the selective expansion of Vß7+ T cells in the islet cell infiltrates from two patients with recent onset IMD was associated with extensive junctional diversity of Vß7+ T cell clones. These investigators demonstrated that islet cell membrane preparations preferentially expanded Vß7+ T cells from non-diabetic peripheral blood mononuclear cells (146). However, other investigators were unable to confirm T1DM specificity of the IDDMK1,2 22, since it was equally recoverable as viremia from controls as well as patients (147). Furthermore, both patients and controls made antibodies to env proteins.

 

In order to establish molecular mimicry as a mechanism responsible for the autoimmune diseases it is important to identify the precise epitope that initiates the putative cross-reactive immune response. Additional complexity that has come to various animal studies is that of

epitope spreading (148). An increasing array of autoantigens or autoantigenic peptides reactive with autoantibodies develop over time. Both intramolecular and intermolecular epitope spreading has been described in NOD mice (136,149). These studies demonstrated that T- cell responses in NOD mice expand in vivo against a defined group of islet cell antigens in an orderly sequential manner. These responses in the young NOD mice first show a strong reactivity to GAD enzyme and not to other islet cell antigens. Furthermore, the initial response to GAD is first limited to one region of the protein only. Gradually, this response spreads intramolecularly to involve other regions of the protein. Eventually, after the destructive islet cell inflammation (insulitis) as a result of autoimmunity to ß-cells, the T-cell responses spread intermolecularly to involve other islet cell proteins (e.g., heat shock protein 60, carboxypeptidase H and insulin) as well (150). This epitope spreading makes it difficult to predict which putative cross-reactions, if any, are important in terms of disease induction, and which do not give rise to autoimmune pathology, particularly in humans who are exposed to many infections.

 

Deficiencies in immunoregulation in Type 1 Diabetes

 

There is both evidence for and speculation about defective central and peripheral mechanisms of immunoregulation in the autoimmune form of T1DM. Deletion of autoreactive T cells in the thymus, is one mechanism for the induction of tolerance to self-antigens (central deletion). This may involve diminished expression of insulin in the thymus of susceptible individuals due to the presence of class I VNTR alleles 5' to the insulin gene as already discussed. Others have suggested that it is the ineffective antigenic binding of the T1DM-prone HLA-DQ or -DR that promotes islet cell autoimmunity, since this permits autoreactive T cells to escape thymic ablation and pass into circulation.

 

In addition to clonal T cell deletion and anergy in thymus, peripheral regulatory T (Treg) cells are essential for the down regulation of T cell responses to both foreign and self-antigens, and for the prevention of autoimmunity. Various studies have identified defects in the peripheral Treg cells in T1DM patients (151,152) as well as in NOD mice affecting both NKT cells (153,154) as well as CD4+CD25+ suppressor T cells (155). Since these Treg cells are not absent in either species, ways to stimulate them should be actively sought to provide novel therapies for the future. The possibility of future therapeutic use of Treg cells in human autoimmune diseases lies heavily on basic studies that are designed to elucidate the mechanisms of induction and function of these cells. Therapy with immunomodulatory compounds that specifically target endogenous pools of Treg cells can be envisioned (156). This approach requires a more detailed investigation into the intracellular and extracellular events that regulate the differentiation and expansion of these cells in-vivo.

 

Of great interest has been the emergence of immune mediated T1DM in patients treated with checkpoint inhibitors for various cancers (157).  Unlocking the immune response via drugs that block the molecules programmed death (PD1) or its ligand, PDL1, as well as CTL4, may result in immunotoxicity with emergence of autoimmunity affecting various organs, including endocrine tissues such as the thyroid, adrenal and pancreas causing a form of T1DM (158). Indeed, autoimmunity has been called the “Achilles’ Heel” of immunotherapy, with increasing reports of its association with T1DM (159).

 

Environmental Factors in Type 1 Diabetes

 

Besides the familial predispositions, much evidence points to a major role of environmental factors in the disease pathogenesis. More than 60% of identical twins affected by T1DM are discordant for the disease and most of the non-diabetic twins lack islet cell autoantibodies. Over the past 3 decades, the disease frequency is on a steep rise in Western countries that cannot be explained by the accumulation of the susceptible genes. Africans, who dominate the tropics, and Chinese, both have low frequencies of the susceptible genes and low incidence rates of T1DM (75), except where there has been a high rate of Caucasian genetic admixture.

 

More persuasively, migrants from countries with low hygiene and low incidence rates of T1DM to countries with high hygiene and high incidence become as susceptible as the natives within a generation (160). Animals reared in sterile environments have early onsets and increased frequencies of diabetes while those infected with a variety of micro-organisms and parasites become protected (161-165). The hygiene hypothesis was proposed.  A strong causal relationship between prevailing level of community hygiene, especially with respect to drinking water and the dramatic increase in the incidence of autoimmune diseases such as T1DM in the modern world, has been referred to as the hygiene hypothesis.

 

ROLE OF DIET

 

Despite persuasive epidemiological evidence for environmental factors that precipitate T1DM in genetically susceptible individuals, their identity remains elusive. This may be due to long period between exposure and the onset of hyperglycemia, the complex genetics of the disease, and the likely multiple insults of perhaps different derivation involved in the initiation of the insulitis and subsequent ß cell destruction. Dietary habits such as consumption of dairy products and early weaning of infants, and dietary toxins such as nitrates and nitrites have been associated with this autoimmune disease (166,167).

 

Close correlations between per capita consumption of unfermented milk proteins and the incidence of diabetes between countries(168-170) and within a country have been reported (171). The claimed negative association between diabetes incidence and a high frequency and long duration of breast-feeding is more controversial (166) and has not been confirmed by reports from Germany (172) and the United States. Several studies have found associations between the consumption of foods rich in nitrates (or nitrites), which is reduced to nitrite in the gut, and the occurrence of T1DM (173,174). The active species is believed to be N-Nitroso compounds that can be formed from the reaction of nitrite with amines (175). Most recently, the gut microbiome and its modulation by dietary factors, has been implicated in the causality of T1DM (176).

 

The incidence of T1DM varies worldwide according to dietary patterns. In-depth exploration of dietary risk factors during pregnancy and early neonatal life is warranted to confirm whether and to what extent diet cooperates with genetic susceptibility in the early onset of T1DM.

 

Screening Methods for Type 1 Diabetes

 

T1DM is by far the most common chronic metabolic disease of childhood and adolescence and its prevalence and incidence has been increasing worldwide (96). This increase of incidence is the highest among the children under 5 years of age (177). Prevention of T1DM would constitute a major advance in the lives of pre-diabetic individuals and significantly relieve a major current and predicted burden on both the individual and the health care system. Identifying individuals at risk developing the disease and the prevention of the disease progression are two important steps before the onset of disease. The presence of islet autoantibodies, as well as the genetic predisposition with specific HLA haplotypes are known risk factors associated with the development of diabetes. Most studies have been carried out on first-degree relatives of T1DM patients who have 15-fold increased risk of the developing diabetes in comparison to the general population. However, more than 90% of all patients developing T1DM do not have an affected family member. Therefore, it is crucial to establish a standardized screening method which will efficiently identify individuals at high risk in a general population. School children between 5-18 years of age were screened to evaluate the predictive value of autoantibodies over a period of 6-12 years (178). This study indicated that the risk of developing T1DM when ICA is detected in the absence of other autoantibodies is low, whereas with more than one autoantibody (either GAD65A, IAA, IA-2A or IA-2ßA) the risk of developing T1DM in a general population is high. Similar findings were also reported in other studies (179-181). These results support the value of multiple autoantibodies as good predictive markers for T1DM not only in first degree relatives but also in the generalpopulation.  Consequently, the American Diabetes Association now considers the presence of 2 or more autoantibodies as form of early presymptomatic diabetes (182).

 

Prevention Trials in Type 1 Diabetes

 

The elucidation of the natural history of pre-diabetes has allowed for the characterization of those individuals at greatest risk for developing autoimmune T1DM, through the use of genetic, immunologic and metabolic markers. This predictive ability has become possible in both high- risk relatives and the general population as mentioned above. The subclinical autoimmune destruction of ß-cells in the pancreas may last from a few months to several years. This pre- diabetic period has allowed investigators to test prevention strategies, which mainly have focused in modulation of autoimmune process (183). A number of studies initiated with general immunosuppressive agents, such as cyclosporin-A, azathioprine and prednisone in patients with new clinical onset T1DM, positive results in that insulin free remission rates were increased and endogenous insulin (C-peptide) reserves were improved (121). However, despite continued immunotherapy with the attendant risks of renal damage and lymphomas at higher doses, relapses proved to be the rule and such treatments were abandoned. Cyclosporin given at a prediabetic phase of the disease delayed but did not prevent diabetes (184,185).

 

With the observation that nicotinamide prevents pancreatic ß cell destruction from streptozotocin by raising otherwise depleted levels of islet cell NAD as a result of superoxide induced DNA breaks and repair, the vitamin was subjected to a large European and Canadian trial called The European Nicotinamide Diabetes Intervention Trial (ENDIT). However, nicotinamide failed to prevent progression to diabetes (186). In addition, a  study in Germany (DENIS)   was completed without any effect of nicotinamide on prevention of T1DM.(187).More recent studies have used Anti CD21(Rituximab), Anti CD3, Anti CTLA-4, oral insulin,GAD65 peptides, and infusions of Treg cells  with early encouraging results in preserving insulin secretion, but without durable effects (188). These results in humans were often based on animal studies in NOD mice (189-191). In stark contrast to these encouraging studies in NOD mice, where a variety of interventions induce long lasting remissions, none of the studies in humans has so far yielded long-lasting remissions in humans (183,188).

 

Table 6. Prevention Trials (121)

Study and Phase

Drug

Age

Eligibility

Ref

TRIGR

Cow’s milk hydrolysate

0-7 days

First Degree relatives, High-risk HLA

(192)

BABY DIET

Gluten-free diet

Younger than 3 months

Relatives, high risk HLA DR, DQ

(193)

TrialNet NIP

Docosahexaenoic acid

>24 weeks gestation- newborn

Relatives, HLA DR3 or DR4

(194)

TrialNet Teplizumab

Teplizumab

8-45 years

At least 2 confirmed autoantibodies and abnormal glucose tolerance

 (195,196)

DIAPREV-IT

GAD-alum

4-18 years

Islet autoantibody positive

(197)

TrialNet Oral Insulin, Phase III

Human insulin

1-45 years

Relatives, 2+islet antibodies including to insulin

(198)

INIT I/II,

 

Intranasal insulin

4-30 years

Relatives, 2+islet antibodies, HLA not DR2, DQ6

(199)

Pre-Point, Phase I/II

Human insulin

1.5-7 years

First degree relatives,

>50% risk of T1DM

(200)

FINDIA

Insulin-free whey- based formula

Infants

General population, high-risk HLA DQ

(201)

Teplizumab

Teplizumab

</=18 years of age

Relatives

(202)

Golimumab

Golimumab

6 to 21 years

Newly diagnosed T1DM

(203)

 

TYPE 2 DIABETES MELLITUS

 

As the US passed into the 21st century, the epidemic of obesity and T2DM continues unabated, affecting more younger adults and children than in the past.  They will spend longer periods of their life with the disease. Perhaps in part under pressure of commercial interests, we as a nation have learned to eat too fast, too much, and the wrong foods.  However, the problem of obesity and its consequences is pervasive globally, affecting developing as well as economically developed countries.  For those with the energy conserving "thrifty" genes of insulin resistance syndrome (IRS), this excess of food and especially of the insulin provoking carbohydrates, leads to obesity, an IRS phenotype and T2DM. Nearly half of the new cases of diabetes in teens can be termed T2DM (204).  Currently, in some US states where there are large numbers of ethnic groups prone to IRS and T2DM (Hispanics, American Indians, Asian Indians, African Americans), the number of children with T2DM is beginning to rival if not surpass the number with T1DM. It is estimated that 1 in 3 people born in the US in the year of 2000 will develop T2DM sometime in their lifetime (205).

 

The increased incidence of T2DM is attributed to the increase in obesity worldwide. Approximately 3700 youths are diagnosed with T2DM every year in the US (206) and it is estimated that the number of youth with T2DM will almost quadruple from 22,820 in 2010 to  approximately 85,000 adolescents with T2DM by 2050 (10). Similar rates of increased in youths with T2DM are reported from the UK, India, China and Japan (10).

 

Pathophysiology of Type 2 Diabetes

 

T2DM is characterized by insulin resistance in peripheral tissues (muscle, fat, and liver) with progressive β cell failure, ,especially manifest with defective insulin secretion in response to a glucose stimulus, increased glucose production by the liver, and no markers of pancreatic autoimmunity (207). The progressive decline in β cell function is more rapid in youths at 20-30% decline per year versus 7-11% decline per year in adults, even with aggressive medical therapy.

 

Table 7. Pathophysiologic Factors

Obesity/Insulin resistance (IR)

See IRS

Intrauterine environment

Epidemiological studies have shown a strong association between poor intrauterine growth and the subsequent development of the Metabolic Syndrome. It was suggested that the effects of poor nutrition in early life impair the development of pancreas and resulting permanent changes in glucose- insulin metabolism (208).

Gestational diabetes

Studies in Pima Indian women showed significant increased risk of developing T2DM in offspring of women with diabetes during pregnancy compared to non-diabetic mothers (209).

Ethnicity

There is a significant increase risk in certain ethnic/race groups (205).

Gender and puberty

Puberty is a state of IR brought about by the increased secretion of GH during this process. There is a 30%-50% decrease in insulin sensitivity and compensatory increase in insulin secretion. Those that have an inherent defect in insulin secretion and inadequate response to the resistance develop DM. The mean age at diagnosis of T2DM in children is 13.5 years, corresponding to the time of peak adolescent growth and development.

Girls are 1.5-3 times more likely than boys to develop T2D as children or adolescents (270).

Family History

Between 74-100% of children with T2DM have a first or second-degree relative with T2DM. The lifetime risk is 40% if one parent is affected and 70% if both parents are affected (210).

Genetics

Genome-wide studies led the discovery of single- nucleotide polymorphisms (SNPs) at several loci regulating insulin secretion.  To date, more than 30 diabetes-related SNPS (diabetoSNPs) have been identified (211).

Several genes have been found to be associated with T2D;

1.     1) Peroxisome Proliferator-Activated Receptor-γ2 (PPAR-γ2) Gene: An important regulator of lipid and glucose homeostasis. Missense mutation Pro12Ala in PPAR-γ2 is associated with decreased risk for T2DM.

2.     2) Kir6.2 Gene (KCNJ11): The missense mutationGlu23Lys in the Kir6.2 gene has been associated with increased risk of T2DM.

3.     3) MODY genes (HNF4α and HNF1β)

4.     4) Transcription Factor 7-like (TCF7L2) Gene: A product of HMG box containing transcription factors that play role in the glucose homeostasis. Specific polymorphisms in the TCF7L2 gene increase the risk of progression from IGT toT2DM.

5.     5) Calpain-10 Gene: Calpains are Ca+2 dependent cysteine proteases and play a role in regulating insulin secretion and action.

 

 

The natural history of progression to T2DM is that a person with IRS begins to decompensate, with a fall in the disposition index (the amount of insulin produced for the degree of insulin resistance). Subsequently levels of blood glucose rise after feeding; elevations in fasting blood glucose levels occur later. At this early stage, diet, exercise and insulin sensitizers are indicated.

 

INSULIN RESISTANCE SYNDROME (IRS)

 

This syndrome complex is centered upon genetic predispositions to insulin resistance and the hyperinsulinemia that results from it. This medical state is also named syndrome X and the metabolic syndrome, however the descriptive term insulin resistance syndrome (IRS) is the one increasingly used in the literature (207,212). In IRS, there are poorly understood genetic lesions that lead to insulin resistance from early life if not during embryogenesis. In many affected families, the disease occurrences suggest a dominant mode of transmission. In rare families, mutations affecting insulin receptors, or peroxisome proliferators-gamma (PPAR- gamma) expression may be the cause of it (213). IRS is the association of insulin and leptin resistance with obesity (typically with increased visceral fat), functional adrenal hyper-androgenism, functional ovarian hyperandrogenism, hypersecretion of pituitary LH, dyslipidemia, hypertension, and features of hyperinsulinemia such as late reactive hypoglycemia and acanthosis nigricans. When the compensation by increased insulin secretion fails, glucose intolerance and T2DM result.

 

Natural History of Insulin Resistance Syndrome

 

Several studies indicate that many children and adults with T2DM were born small for gestational age. This suggests that the insulin resistant state existed in-utero since it is insulin rather than pituitary growth hormone that is the principal growth-promoting hormone of the unborn child, and decreased insulin action might be anticipated to impair embryonic growth. After birth, premature pubarche resulting from excessive adrenal androgens such as dihydroepiandrosterone (DHEA) may occur, even before obesity has appeared. Thus, it has been proposed by some that obesity may be the result of insulin resistance, and not its cause. Excessive DHEA may be seen best after ACTH injection leading to a clinical suspicion that the 3ß hydroxysteroid dehydrogenase enzyme is underactive. Obesity can begin from infancy but often dates from about 8 years of age when physiological pubarche occurs. Early onset obesity raises the possibility of a genetic satiety causation such as the Prader-Willi Syndrome or deficiency of MC4R. Acanthosis nigricans resulting from increased keratinocytes in certain areas of skin is thought to result from insulin stimulation of insulin-like growth factor 1 (IGF-1) receptors and often manifests during puberty Menarche may be delayed in age at onset or menses may be missed after menarche, or else there can be dysfunctional bleeding resulting from anovulatory cycles.

 

Hirsutism often becomes bothersome during adolescence, as may male pattern hair thinning, persistent acne and development of polycystic ovaries. An increase in very low-density lipoprotein (VLDL) secretion by the liver is observed with increasing age, associated with diminished, atherogenesis protective, high density lipoprotein cholesterol (HDL-C), a dyslipidemic profile that promotes early and progressive onset of atherosclerosis, predisposing to coronary heart disease (CHD), stroke, and peripheral vascular diseases in later life. The latter problems are compounded by the appearance of hypertension and type-2 diabetes. The glucose intolerance that precedes type-2 diabetes often first involves post-prandial glucose levels or the two-hour time point of the OGTT as discussed above, but later induces a rise in fasting glucose (impaired fasting glucose) levels as well. The mechanism is thought to be ß cell exhaustion or more likely a glucosamine and lipid mediated islet cell toxicity. Once this stage is reached, damage to the islets can become irreversible, resulting in the dual problems of insulin resistance and insulinopenia, both of which need to be addressed in therapeutic strategies.  In children and adolescents, the progression of impaired insulin secretion and its complications including the appearance of albuminuria, exhibits a faster tempo than that of adults presenting later in life. Hence, these adolescents may more rapidly progress to requiring insulin therapy.

 

Table 8. Clinical features of IRS. Adapted from refs (210,213,214).

Clinical Features

 

Infancy

Family history of obesity and T2DM, SGA, LGA

Gestational Diabetes

Childhood/Adolescence

Acanthosis nigricans Premature adrenarche, Obesity, Pseudoacromegaly, Striae, Skin tags, Amenorrhea

Adulthood

Tall Stature, Pseudoacromegaly Fatty liver, Focal glomerulosclerosis

Hirsutism, Ovarian hyperandrogenism, PCOS

Endothelial dysfunction, Atherosclerosis, Increased carotid wall thickness, Stroke CHD

Glucose intolerance, T2DM

 

Table 9. Laboratory Features of IRS

↓IGFBP-1, ↓SHBG, ↑free testosterone

↓CBG, ↑free cortisol

↑VLDL, ↑TG, ↓HDL, ↑ small dense LDL

Increased PAI-1, CRP, fibrinogen

Adhesion molecules and uric acid

Decrease first phase insulin response

Increased decompensated insulin resistance

Postprandial hyperglycemia

Fasting hyperglycemia

Diabetes

 

Underlying Mechanisms of Insulin Resistance

 

OBESITY

 

Affected patients commonly show polyphagia, and may have voracious appetites that are characteristically resistant to dietary advice. When leptin deficiency was discovered in Ob/Ob mice and leptin receptor deficiency discovered in Db/Db mice, the adipocyte became to be appreciated as an endocrine cell rather than one that was an inert repository of triglycerides. However, the promise of a breakthrough in the understanding of human obesity was quickly dissipated when such lesions proved to be rare in humans. Obese patients with their greater degrees of adiposity also have the highest levels of leptin as expected, however these high levels do not reduce the appetites of IRS patients (215). Thus, such patients are also leptin resistant. Early trials of leptin therapy have not affected weight loss. However, patients with lipodystrophy who have leptin deficiency develop insulin resistance, hyper-insulinemia, dyslipidemia and T2DM, all of which respond dramatically to leptin given as therapy (216,217).   Deficiencies in other appetite suppressing hormones such as resistin have more recently been implicated but not yet shown to have therapeutic relevance. Hyperinsulinemia itself is a compounding variable, in that excessive carbohydrate containing diets stimulate the highest levels of insulin and the greatest degrees of adiposity. Therapies such as metformin that improve insulin sensitivity when combined with a diet restricted in low amounts of simple carbohydrates and exercise, can dramatically lower weight in children with IRS when they adhere to therapeutic guidelines. However, failure to adhere to instructions is a common problem in adolescents (218,219).

 

HYPERANDROGENISM

 

It is uncertain as to the degree to which the pituitary abnormality of increased LH secretion leads to the androgenic excess or vice versa. Probably, both are responses to the insulin resistance and hyperinsulinemia of IRS by mechanisms that have yet to be clearly understood. Androgens of ovarian origins usually predominate over those of the adrenal gland, albeit both are often found to be elevated. Sex hormone binding globulins in the circulation are often low, resulting in increased free androgens with their increased bio-availability (220). This is often seen with testosterone, which can be raised or normal in hirsute girls whereas increased free testosterone levels are common.

 

Interestingly, we hold that there is a clinical overlap between Cushing's syndrome and IRS (221). Both tend to have visceral (central) obesity and striae suggestive of glucocorticoid excess. However, whereas the patient with Cushing's syndrome has high levels of serum cortisol, the patient with IRS has low normal levels, albeit both have increased levels of urinary free cortisol. Again, the explanation may lie in the low levels of corticosteroid binding globulins found in IRS where circulating cortisol is disproportionately free. Some investigators have suggested that there is an impaired conversion of cortisol to the metabolically inactive cortisone in IRS. Further, the child with Cushing's syndrome is invariably growth retarded in contrast to the child with IRS whose linear growth tends to be excessive. In IRS and obesity, the GH levels during stimulation tests are suppressed implying a diagnosis of GH deficiency which likely is not the case as these children tend to be tall. IGFBP levels in serum are depressed, resulting in an excessive free IGF-1 level, albeit the total IGF-1 concentration is usually normal. The pseudo-acromegaly observed in severely affected children with IRS may be occurring via this mechanism. In addition, high concentrations of insulin interact with the IGF-I receptor, thereby promoting growth (222).

 

ACANTHOSIS NIGRICANS

 

Stimulation of the IGF-1 receptors of skin keratinocytes by high levels of circulating insulin is thought to explain their hyperplasia and excessive laying down of keratin in the skin of the neck, axillae, elbows and knees, skin creases and indeed most areas of skin (223). In addition, excessive free IGF-1 may have the same effect, albeit the greater the degree of insulin resistance, the higher the insulin levels, the more striking the acanthosis nigricans. Increased bioavailability of IGF-1 (high IGF-1 and low IGFBP-1) are directly correlated with the severity of acanthosis nigricans

 

GLUCOSE INTOLERANCE AND T2DM

 

Children and young adults affected by IRS are often hyperinsulinemic. In such persons, stimulation of insulin secretion by carbohydrates alone or with protein can induce an excessive but delayed rise in insulin secretion, reflected in an early excessive rise in glucose, followed by an excessive fall in glucose levels 3-5 hours afterwards, of sufficient severity to provoke symptoms of hypoglycemia. As the ability to secrete insulin declines, impaired glucose intolerance appears first. Later in the evolution of T2DM, the 2-hour criteria for diabetes during OGTT become apparent, followed later by impaired fasting hyperglycemia and finally by fasting hyperglycemia that meets the criteria for the diagnosis of diabetes. An HbA1c level can be used to screen diabetes as recommended by the American Diabetes Association.

 

Table 10. Criteria for Increased Risk of Diabetes (1)

Fasting plasma glucose

100 – 125 mg/dl

2-hour plasma glucose after OGTT

140 – 199 mg/dl

HbA1C

5.7 – 6.4%

 

NON-ALCOHOLIC STEATOHEPATITIS (NASH)

 

It is also known as fatty liver or hepatic steatosis. The incidence of fatty liver among obese children was 2.6% in one study (224), and hyperinsulinemia was found to be the major contributor for its’ development (225). A number of factors may play a role in the development of fatty liver including, induction of cytochrome P4502E1 during obesity, which is capable of generating free radicals, while the high level of dietary intake of polyunsaturated fatty acids or low intake of nutritional antioxidants contributes to the oxidative stress. Fatty liver alone appears to be a relatively benign disease, and can be reversible. However, it may progress over years to hepatic cirrhosis, liver failure, or hepatocellular carcinoma. The onset of disease is usually insidious. Laboratory evaluation indicates mild to moderate elevation of serum aminotransferases in most children and serum alanine aminotransferase (ALT) levels had been shown a useful screening for fatty liver in obese children (226). The ratio of aspartate aminotransferase (AST) to ALT is usually less than 1, but this ratio increases as fibrosis advances. Serum aminotransferases, alkaline phosphatase and gamma glutamyl transferase (GGT) levels are proposed surrogate markers of fatty liver (227,228).

 

RENAL INVOLVEMENT

 

A form of focal glomerulosclerosis (often with IgA deposition) appears to be associated with IRS, leading to microalbuminuria. Hypertension becomes increasingly common through adolescence and beyond. The mechanisms responsible have not been elucidated.

 

INFLAMMATION

 

IRS and T2DM have increased markers of inflammation. This takes the form of increased levels of C-reactive protein, raised erythrocyte sedimentation rates (ESR) and increased cytokine (TNF-α) levels.  Obese patients also have abnormalities of thyroid function suggestive of primary thyroid deficiency with modestly elevated TSH but normal or slightly elevated fT4 and fT3.These abnormalities resolve with weight loss and have therefore been interpreted as representing an adaptive response to obesity i.e., by raising TSH and free T3, caloric expenditure would increase (229-231). Obese patients are thus often unnecessarily treated for hypothyroidism they do not have. They may however develop true hypothyroidism on the basis of associated Hashimoto's disease.

 

ATYPICAL DIABETES

 

Genetic Defects of ß-cell Function (Monogenic Diabetes)

 

Monogenic forms of diabetes are characterized by impaired secretion of insulin from pancreatic β cells caused by a single gene mutation. These forms comprise a genetically heterogenous group of diabetes including, maturity onset diabetes of the young (MODY), permanent or transient neonatal diabetes (NDM), and mitochondrial diabetes. MODY is the most common form of monogenic diabetes, with autosomal dominant transmission of a gene encoding a primary defect in insulin secretion (232-235).

 

Approximately 1 to 2 % of diabetes in Europe is MODY (236). The clinical characteristics of these patients are heterogeneous, and not reliable in predicting the underlying pathogenesis (237,238). It is often misdiagnosed as T1DM or T2DM. Several genetic abnormalities have been found that account for the disorder. Some members of an affected family may have the genetic defect but not develop the diabetes phenotype. Whether this is due to modifying genes or environmental factors is unclear. MODY differs from the classical immunological T1DM in several ways. With MODY, a dominant family history of diabetes (if known) is always present.  However, de novo mutations can occur.  Hyperglycemia is mostly mild with a minimal tendency to ketosis before the age of 25 years, the insulin secretion in response to oral (OGTT) or intravenous (IVGTT) glucose administration is modestly decreased, and evidence of islet cell autoimmunity is absent. It is estimated that more than 80% of patients with monogenic diabetes are either not diagnosed or are misclassified as type 1 or type 2 DM (239).

 

The underlying genetic defects of the many MODY subtypes have been identified, as indicated below (Table 11). To date, fourteen genetic forms of MODY are recognized. MODY resulting from defects in the glucokinase gene (GCK) and hepatocyte nuclear factor-1-alpha (HNF-1α) are the most common types seen during childhood (MODY-2) and post puberty (MODY-3), respectively.  MODY Types 2 and 3 together constitute 80% of all cases of MODY syndromes.

 

MODY 2 is the most common form of MODY with a prevalence of about 1:1000 people. It is caused by a dominant heterozygous inactivating mutation in glucokinase, the enzyme that phosphorylates glucose to permit its oxidation to ATP and hence insulin release. Insulin is released but at higher glucose concentration-the curve is right shifted but otherwise normal. Thus, fasting glucose is in the range of ~95-110 mg/dl and may remain above 140 mg/dl at 2 hours post prandial but returns to normal thereafter. HbA1c is in the range of 5.8-7.6% and generally remains in the low- mid 6% range. Patients are rarely symptomatic and may be discovered by chance when a blood glucose is obtained. Treatment is not necessary except during pregnancy in some cases; there is a very low prevalence of micro-macrovascular disease even after almost 50 years of follow-up. Young women are often discovered to have mid hyperglycemia when tested during pregnancy and erroneously labeled as having gestational diabetes. The non-affected fetus of an affected Mother may have some macrosomia in utero-the result of extra insulin secretion by the fetus in response to the maternal hyperglycemia (240).

 

MODY3 is the next most common form of MODY caused by a heterozygous mutation in HNF-1α, necessary for normal insulin secretion. Onset is usually in the teen years and glucose is in the mid-200s with mild to moderate symptoms. Patients may respond to sulfonylurea drugs initially, but later may go on to insulin dependence and more severe hyperglycemia. As with other MODY forms, a family history of diabetes is often obtained, with a diagnosis of T2DM common for older patients and T1DM in younger patients. Confirmation of the diagnosis by molecular testing is essential for recommending treatment and family counseling (241).

 

Defects in four pancreatic ß cell-specific transcription factor genes, HNF-1β (MODY5), HNF-(MODY1), pancreatic and duodenal homeobox 1 gene (PDX1) [previously termed insulin promoter factor-1 (IPF-1)] (MODY4) and neurogenic differentiation 1 gene (NeuroD1) and BETA2 (MODY6) are responsible for others. In contrast to MODY-2, patients with heterozygous mutations in the HNF1A, HNF4A, or HNF1B and more rarely in PDX1 or NEUROD1 have progressive deterioration in glucose tolerance and are at risk for developing complications of diabetes (242).

 

More recently, mutations in the tumor suppressor protein KLF-11 (MODY7), the carboxyl ester lipase CEL (MODY8), the transcription factor, paired box gene 4, PAX-4 (MODY9), the insulin gene, INS (MODY10), and tyrosine kinase, B-lymphocyte specific gene, BLK (MODY11) have been described.  MODY 12 and MODY 13 are due to mutations in the ABCC8 and KCNJ11 genes, respectively. Mutations in these 2 genes also have been reported in neonatal diabetes.  They are very rare and represent fewer than 1% of all MODY cases.

 

Table 11. Classification of MODY

MODY Type

Gene

Gene Loci

Incidence

Age at Diagnosis

Primary Defect

Associated Features

Severity of   Diabetes

Ref

1

HNF-4α 20q

Rare

Postpubertal

Transcription gene defects in ß-cells lead to impaired metabolic signaling of insulin secretion.

-

Severe

(242)

2

Glucokinase

7p

10-60%

Childhood

impairment of ß-cells sensitivity to glucose and; defect in hepatic glycogenesis

Reduced birth weight

Mild

(243)

3

HNF-1α

12q

20-60%

Postpubertal

Similar to MODY1

Renal glucosuria

Severe

(242-246)

4

PDX1 (IPF-1)13q

Rare

Early adulthood

Defects in transcription factors during embryogenesis lead to abnormal ß-cell development and function

-

Mild

(247)

5

HNF-1β 17cen- q21.3

Unknown

Postpubertal

Similar to MODY 1 and 3

Glomerulocystic kidney disease, female genital malformations, Hyperuricemia, abnormal liver function tests

Mild

(248)

6

NeuroD1/BETA2

2q32

Rare

Early adulthood

Defect in this gene causes abnormal development of ß cell and function

-

Unknown

(249)

7

KLF11  

2p25

Very Rare

Early adulthood

Reduced glucose sensitivity of the beta cell

Phenotype similar to T2D

Unknown

(250)

8

CEL      

9q34

Very Rare

 

<20 years

Impaired endocrine and exocrine pancreatic function

Exocrine pancreatic dysfunction

Unknown

(251)

9

PAX4   

7q32

Very Rare

<20 years

Impaired gene transcription in pancreatic beta cells on apoptosis and proliferation

-

DKA is possible

(252,253)

10

INS      

11p15.5

Very Rare

<20 years

Defect in this gene may result the loss of beta cell mass through apoptosis

-

Unknown

(254)

11

BLK      

8p23

Very Rare

<20 years

decreases insulin synthesis and secretion in response to glucose by up- regulating transcription factors

Higher incidence in obese individuals

Unknown

(255)

12

ABCC8 

11p15.1

< 1%

<35 years

Inactivating mutations cause impaired secretion mild mode

 

 

(255)

 

13

KCNJ11

11p15.1

<1%

 

 

 

 

 

14

APPL1  

3p14.3

<1%

 

adapter protein, phosphotyrosine interacting with pH domain and leucine zipper

 

 

(256,257)

 

Neonatal Diabetes

 

Neonatal diabetes is a rare disorder with an incidence of 1:100,000-1:200,000 live births (232,258).  It presents in first 6 months of life and its’ severity depends on the underlying mutation in that it is either transient or permanent. Almost 50% of cases with neonatal diabetes are permanent (PND) while the remainder are “transient” (TNDM) in that they remit, but may reappear and become apparent later in life or at times of stress. Heterozygous activating mutations in KCNJ11 and ABCC8 —which encode the Kir6.2 and SUR1 subunits, respectively, of the ATP-sensitive potassium channel, are the most common causes of PND. Missense mutations in the INS gene are also identified in patients with PND and they may have an autosomal dominant or recessive inheritance pattern (232,254,258). Genetic diagnosis is important since the KCNJ11 and ABCC8 mutations respond to treatment by sulfonylureas, possibly without need for additional insulin therapy because these drugs can close the β cell potassium channel by an ATP-independent route (259). It is increasingly apparent that the same mutations can become manifest for the first time well beyond infancy and diagnosed as T2DM or rarely T1DM. Severe mutations in the KATP genes, especially KCNJ11 also may present with a neurological component in a syndrome known as DEND (Developmental delay, Epilepsy, Neonatal Diabetes); early diagnosis and treatment with sulfonylurea drugs is reported to ameliorate the neurological manifestations as the KATP channels are expressed in the brain. The major form of   transient neonatal diabetes results from anomalies of the imprinted region on chromosome 6q24,but mutations in KCNJ11 or ABCC8 can also cause TNDM (232).  Various rare forms of syndromic disease which include NDM are described; early diagnosis may diminish or delay the hitherto described natural history and consequences (258).

 

Mitochondrial Diabetes

 

Point mutations in mitochondrial m.3243A→G cause another form of diabetes with an insulin secretory defect that is commonly associated with neuro-sensory hearing impairment and a strict maternal mode of inheritance (260). In addition, genetic abnormalities that result in the inability to convert pro-insulin to insulin (261), or the production of mutant insulin molecules (262), are other examples of specific genetic defects in ß cell function which are rare causes of diabetes.

 

Chronic Illnesses

 

Hemochromatosis is a progressively more common recognized cause of diabetes with aging, and does not present in a pediatric age group. However repeated blood transfusions for conditions such as thalassemia major can lead to diabetes associated with hemosiderosis.

Many patients with cystic fibrosis develop a form of T1DM often during their teenage years which may require insulin replacement and is labeled “cystic fibrosis related diabetes (CFRD)” (263).  Most CF patients now live long enough for this to have become a more common problem with impact on overall well-being and severity of symptoms ascribed to CF and partially responsive to insulin therapy. DKA is rare in CFRD, perhaps because of the concurrent effects on the α-cell secreting glucagon as well as the β-cell secreting insulin. Patients with Gitelman’s syndrome develop diabetes which resolves when they are adequately replaced with magnesium, excessively lost through the kidneys in this syndrome. Gitelman syndrome is a recessively inherited genetic entity, but the presentation of DM is usually not until later midlife (264).

 

Genetic Defects in Insulin Action

 

There are a series of rare genetic abnormalities in the insulin receptor, or in the signal transduction events which follow insulin docking to its receptor resulting in diabetes. The recessive DNA breakage disease (Bloom’s syndrome) is associated with mild diabetes due to severe insulin resistance, with very high levels of circulating insulin and insulin like growth factor one (IGF-1). Progeria and lipodystrophy are other such causes (232). In the latter case, the absolute deficiency of leptin leads to uncontrolled lipolysis resulting in severe insulin resistance, which is partially reversible by leptin administration (232)/

 

Endocrinopathies Associated with Hyperglycemia

 

Several hormones, such as epinephrine, glucagon, cortisol, and growth hormone, antagonize the action of insulin. Whereas release of these hormones constitutes the protective counter regulatory response to hypoglycemia, primary over secretion of these hormones can result in glucose intolerance or overt diabetes.

 

  • Cushing's syndrome, due to pituitary and ACTH secreting adenomas or adrenal hyperplastic disease or to exogenous glucocorticoid administration, can lead to diabetes (265). Steroid-induced diabetes is most often seen when there is pre- existing insulin resistance or a defect in insulin synthesis/secretion unmasked by the inability to increase insulin secretion to overcome the resistance to its actions induced by glucocorticoids.
  • Acromegaly is associated with overt diabetes in 10 to 15% of cases, and impaired glucose tolerance in a further 50% (266,267). In acromegaly, there is marked insulin resistance and hyperinsulinemic responses; DM occurs only when the hyperinsulinemic response cannot match the requirement to overcome the degree of resistance.
  • Pheochromocytomas are associated with both inhibition of insulin secretion and an increase in hepatic glucose output (268). These changes lead to impaired glucose tolerance, the severity of which is directly related to the magnitude of catecholamine production (269). When seen in children, these are usually a component of the Von Hippel-Lindau syndrome, MEN2, and NF1.
  • Glucagon-secreting tumors (glucagonoma) are associated with an unusual constellation of clinical features, including skin rash, weight loss, anemia, and thromboembolic problems. Approximately 80% of these patients have either impaired glucose tolerance or diabetes (270).
  • Somatostatin-secreting tumors (somatostatinomas) are typically associated with the triad of diabetes mellitus, cholelithiasis, and diarrhea with steatorrhea (271).
  • Although thyroxine is not a counter regulatory hormone, hyperthyroidism can interfere with glucose metabolism. It is associated with both increased sensitivity of pancreatic ß cells to glucose, resulting in increased insulin secretion, and antagonism to the peripheral action of insulin. The latter effect usually predominates, leading to impaired glucose tolerance in some untreated patients (272).

 

Drug- or Chemical-induced Diabetes 

 

A large number of drugs can impair glucose tolerance; they may act by decreasing insulin secretion, increasing hepatic glucose production, and/or by causing resistance to the action of insulin (273). Included in this list are several classes of antihypertensive drugs, such as beta blockers (274), protease inhibitors used for the treatment of HIV infection (275), and tacrolimus and cyclosporine used primarily to prevent transplant rejection (276,277). Drugs of the serotonin re-uptake inhibitor (SSRIs) class can lead to obesity, impaired glucose intolerance and T2DM, especially if individuals were already insulin resistant before they started such medications.

 

There is a common association between obesity, insulin resistance, hypertension, and dyslipidemia, which has been called syndrome X or the metabolic syndrome (207,212,278,279). The administration of a thiazide diuretic or a ß-blocker to such patients can exacerbate the insulin resistance and may bring on hyperglycemia (274). In comparison, angiotensin-converting enzyme (ACE) inhibitors and alpha-adrenergic antagonists (such as doxazosin) may improve insulin sensitivity. Because the former also protect against renal disease, they are the drugs of choice for diabetic patients with hypertension.

 

Viral Infections

 

Certain viruses e.g., Coxsackie B4, have been implicated to cause diabetes, either through direct ß cell destruction or possibly by inducing autoimmune damage. The direct proof of this however remains tenuous. Chronic hepatitis C virus infection is associated with an increased incidence of diabetes, but it remains uncertain as yet if there is a cause-and-effect relationship.

 

Uncommon Forms of Immune-Mediated Diabetes

 

Several uncommon forms of immune-mediated diabetes have been identified.

 

  • The stiff-man syndrome is an autoimmune disorder of the central nervous system, which is characterized by progressive muscle stiffness, rigidity, and spasms involving the axial muscles, with impairment of ambulation (280). Patients characteristically have high titers of glutamic acid decarboxylase (GAD65) autoantibodies and diabetes occurs in at least one-third of cases. Graves’ disease is also common in the syndrome. Presentation is usually in early
  • Anti-insulin receptor antibodies can bind to insulin receptors and either act as an agonist, leading to hypoglycemia, or block the binding of insulin and cause diabetes (281). This so-called type B insulin resistance is more common in females who show other signs of autoimmunity including systemic lupus erythematosus (SLE). However one study found that almost 10% of young patients with insulin resistance in the absence of autoimmune stigmata were also positive for insulin receptor autoantibodies (282).

 

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Sexual Dysfunction in Diabetes

ABSTRACT

 

Diabetes is an increasingly prevalent problem that has been associated very strongly with sexual problems in both men and women.  Diabetes has numerous end organ effects and also exerts a substantial psychological toll which may predispose diabetic people to sexual problems.  Erectile Dysfunction (ED) is common in men with diabetes; these men tend to present with more severe and refractory ED compared to non-diabetic peers.  While ED is the best-established diabetes-related sexual dysfunction, ejaculatory and sexual desires issues may also occur in men with diabetes.  Women with diabetes are also at risk for sexual dysfunction.  Sexual health inquiry is an important aspect of diabetes care. Importantly, lifestyle change and close management of diabetes has been associated with improvements in sexual function.

INTRODUCTION

Diabetes mellitus (DM) may lead to disruption of normal sexual function in both men and women via diabetic-induced end organ damage and psychological stress.  There is a strong association between diabetes and erectile dysfunction (ED) in men; ED is the best studied sexual dysfunction but the sexual health ramifications of diabetes extend well beyond erectile pathophysiology. In the Endotext chapter on Male Endocrinology “Medical and Surgical Therapy of Erectile Dysfunction”, Shindel, et al review the pathophysiology, work-up, and treatments for erectile dysfunction of any cause. In this chapter, we will focus specifically on sexual dysfunction in people with diabetes, with particular emphasis on practical information for clinicians.

 

EPIDEMIOLOGY

 

Sexual dysfunction is a common problem that is particularly prevalent in men and women with diabetes.  The presence of sexual dysfunction in type I diabetes has been associated with markedly lower quality of life and psychological distress (1). While, the incidence of sexual problems increases with age (particularly in men but also in women), this is driven primarily by comorbid conditions associated with aging. Examples include smoking, heart disease, high blood pressure, high cholesterol, and diabetes (2). The prevalence of ED in men with diabetes is approximately three and a half times higher than in the general population (3,4). ED may also be the presenting symptom for DM and may predict later neurologic sequelae (5).

 

PATHOGENESIS

 

The pathophysiology of ED in DM is multifactorial, consisting of both vascular, hormonal, and neurologic insults (6). Diabetic neuropathy may impair autonomic and somatic nerve processes essential for erections. Diabetes is also associated with impaired relaxation of cavernosal smooth muscle due to endothelial-derived nitric oxide induced by  glycosylation products (7-8).  A variety of serum markers (e.g., E-selectin, Interleukin-10, reactive oxygen species) have been linked to diabetes-related ED. The clinical utility of these remains ambiguous but they may have future utility as biomarkers for incipient ED pending further study (9).

 

New evidence has suggested that men with diabetes may also be at increased risk of low serum testosterone levels (10,11). The etiology of low T in diabetic men remains unclear but may be secondary to a decline in the levels of pituitary hormones responsible for stimulating testicular production of testosterone (12). Low levels of testosterone may lead to a decline in sexual desire and, directly or indirectly, to ED (13).

 

Men with diabetes should be screened for the presence of low testosterone by checking serum total testosterone. Sex hormone binding globulin and albumin may also be tested to permit assessment for free and bioavailable testosterone (14). The clinical utility of free and bioavailable testosterone remains controversial. The most recent guidelines on testosterone issued by the American Urological Association do not recommend use of free or bioavailable testosterone in clinical decision making (10). The most recent Endocrine Society Guideline states that free/bioavailable testosterone may be worth assessing (via equilibrium dialysis or an accurate estimator) in men with symptoms and low-normal total testosterone (14).

 

Testing for hypogonadism should be performed in the morning hours (between 8 and 11 AM) when serum testosterone is highest (14). The appropriate assay and biochemical cut-off values for “low” testosterone are controversial; generally speaking, symptoms of hypogonadism are progressively more common in men with total testosterone levels less than 320 ng/dL and free testosterone levels lower than 64 pg/mL (15). When assessing a patient with a single report of low testosterone, providers should consider confirmatory testing to include repeat testosterone as well as pituitary hormones (FSH, LH, and prolactin) to rule out central causes of hypogonadism (10,14). Only those patients with biochemically low testosterone AND symptoms potentially referable to hypogonadism (decreased libido, ED, fatigue, decreased bone mineral density, depressed mood, etc.) in which alternative etiologies for symptoms are not readily apparent should be considered for treatment (14).  

 

TREATMENT OF ED WITH PHOSPHODIESTERASE TYPE 5 INHIBITORS (PDE5I)

 

The treatment of ED in general was revolutionized by the introduction of the PDE5 inhibitor (PDE5I) class of medications. The first of PDE5I to obtain United States Food and Drug Administration (FDA) approval was of sildenafil (Viagra®), followed by vardenafil (Levitra®/Staxyn®), tadalafil (Cialis®), and avanafil (Stendra®).

 

All PDE5I are dependent on function of the NO/cGMP pathway. Sexual stimulation provokes the release of nitric oxide (NO) from cavernous nerves and endothelial cells. NO leads to activation of guanylate cyclase, which catalyzes the transformation of GTP to cyclic guanosine monophosphate (cGMP). By a variety of downstream mechanisms, cGMP triggers decreased intracellular calcium with subsequent relaxation of actin/myosin cross bridges and penile smooth muscle relaxation. cGMP is deactivated by conversion to 5 prime guanosine monophosphate, a process mediated by phosphodiesterase type 5 (PDE5)- the predominant functional PDE type found in the penis (16). 

 

PDE5I block the inactivation of cGMP, leading to persistently elevated levels of cGMP and continued smooth muscle relaxation(16). Since the release of NO is mediated by both neuronal and endothelial Nitric Oxide Synthase (NOS), neuropathy and endothelial disease (as may occur with diabetes) blunts the efficacy of PDE5I. This is confirmed clinically as men with diabetes have a poorer response overall to PDE5I than men with ED of other etiologies.

 

A prospective, multi-center, randomized, controlled, double-blinded (RCDB) trial of vardenafil in men with diabetes was carried out by Goldstein, et al (17). The study consisted of 430 men with chronic ED, a hemoglobin A1c (HbA1c) of <12%, and no other serious confounding causes of ED (e.g., radical pelvic surgery, spinal cord injury, etc.). Additionally, patients were excluded if they had unstable coronary disease or other contraindications to PDE5I use. The patients were evaluated using the erectile function (EF) domain of the 15 item International Index of Erectile Function (IIEF), 2 diary questions regarding the patient’s ability to penetrate (SEP2) and have successful intercourse (SEP3), and a global assessment question (GAQ) about whether or not the treatment had improved their erections. There were statistically and clinically significant improvements in all of the evaluated endpoints, with most of the improvements demonstrating a dose-relation. With 20 mg of vardenafil, the EF score was 19 (out of a total possible of 25) and 54% of men were able to complete intercourse, with an overall responder rate (as measured by the GAQ) of 72%. The effect was attenuated in patients with severe underlying ED but improvement remained significant. There was no correlation noted between different strata of HgA1c levels. The drug was well-tolerated with few patients discontinuing the study due to adverse side-effects.

 

A similar RCDB trial of tadalafil in men with diabetes was performed by Saenz de Tejada, et al (18). A total of 191 patients completed this study; evaluated parameters were very similar to the vardenafil study above. Exclusion criteria were also similar to the vardenafil study, except that patient with hypertension and hypercholesterolemia were also excluded in the tadalafil study. As in the vardenafil study, statistically and clinically significant improvements were noted in all of the evaluated parameters for men using tadalafil, regardless of severity of underlying DM or level of HgA1c, with an overall responder rate (as assessed by GAQ) of 64% by those using 20 mg. The drug was also well-tolerated with few discontinuations.

 

A unique study from Denmark attempted to assess the “real-life” use of sildenafil in men with diabetes and ED in terms of how many patients wanted to try an agent, how many were eligible to do so, and how efficacious the medicine was (19).  Examining a population of 326 men seen in an outpatient diabetes clinic, 192 (59%) self-reported ED and 187 of these were over 40 years old. Of these 187 patients, 79 (42%) were excluded because of medical or pharmacologic contraindications to sildenafil use. A further 63 patients either declined to participate in the study or did not respond. This left 45 patients for the study (23% of those patients with self-reported ED). Of these, 10 dropped out due to lack of sexual partner and 2 others without recorded reason. Sixty-one percent of the remaining patients self-titrated to a maximum dose of 100 mg. Of the 33 patients remaining, 36% noted consistent improvement, 27% noted variable improvement, and 36% felt they had no improvement; overall, 54% felt that the medicine had met their expectations. Essentially, just 18 of 187 (9.6%) men over age 40 with DM and ED felt that the medicine met their expectations. This real-world experience should inform conversations regarding PDE5i efficacy in men with DM and ED.

 

In 2008 the US Food and Drug Administration (FDA) approved low-dose (2.5-5 mg) tadalafil as a daily treatment for ED.  Hatzichristou et al. enrolled 298 men with diabetes (89% type 2) and ED in a RCDB lasting 12 weeks and assessed clinical response using the sexual encounter profile questions 2 and 3.  At baseline 38%, 42%, and 32% of men reported the ability to attain an erection sufficient for vaginal penetration (SEP2) in the placebo, 2.5 mg, and 5 mg groups, respectively. The percentages of men in the same groups able to maintain erection until the completion of satisfactory intercourse (SEP3) were 20%, 20% and 16%, respectively. At the completion of the study, men treated with either the 2.5 mg or 5 mg dose of tadalafil manifested greater improvements in SEP 2 (increase from baseline of 5%, 20%, and 29%) and SEP3 (28%, 46%, 41%).  The lower success rate in the 5 mg group was likely accounted for by relatively worse diabetic disease at baseline in that group. Patients treated with tadalafil reported improvements in erection (based on IIEF scores) irrespective of baseline IIEF scores. Patients were significantly more likely to prefer tadalafil treatment compared to placebo (20).

 

In addition to daily dosing as an alternative to on-demand dosing for PDE5I, there has been great interest in recent years in the use of PDE5I not just as a therapy to produce erections but as a means to halt or even reverse the penile tissue damage that leads to ED. Studies in animals with a form of experimentally induced diabetes most similar to diabetes mellitus type 1 have demonstrated enhancement of erectile function and preservation of penile tissue health when treated with either vardenafil or SK-3530 (a novel PDE5I that has not yet been approved for routine in humans) (21,22).  A preliminary study of routine dose sildenafil vs. placebo for 4 weeks in 292 men with type 2 diabetes and ED revealed some improvements in blood tests used to measure oxidative stress in men treated with sildenafil. Unfortunately, there were some differences between the placebo and sildenafil group at baseline and there were no significant erectile function differences after the 4-week course of daily treatment was completed (23). Another study in 20 men with type 2 diabetes but no ED indicated that treatment with sildenafil 25 mg three times a day led to improved vascular function and a decline in blood markers for various types of inflammation and oxidative stress.  The ultimate clinical relevance of these findings is unclear (24). 

 

These encouraging preliminary results will require further assessment before the routine use of PDE5I for reversal of tissue damage can be recommended routinely. A degree of caution is required since, despite a series of encouraging pre-clinical animal studies, routine dose PDE5I for the management of ED related to pelvic surgery has not been proven beneficial for recovery of spontaneous erection responses (25,26).

 

TREATMENT OF ED WITH OTHER MODALITIES

 

Direct administration of vasodilators to the erectile tissue of the penis is a well-established modality for management of ED dating back more than three decades. Commonly used agents include papaverine, phentolamine, and prostaglandin E-1 (PgE1) (27). These agents are often used as combinations (e.g., bimix or trimix) to reduce the adverse effects of each specific agent. 

 

Only PgE-1 has received formal FDA approval for management of ED. Intracavernosal PgE1 injection therapy in men with diabetes and ED was evaluated in a large, multicenter trial by Heaton, et al (28). Over 300 men entered the trial; 83% completed the titration period and proceeding to home use. Of those patients using the medication at home, 79% required 30 micrograms/dose or less, and 72% remained satisfied with the initial dose during the follow-up period (6 months). There were 2 instances of priapism (sustained erection of greater than 4 hours unaccompanied by sexual stimuli) neither of which required intervention, 1 patient developed a penile nodule, and 24% of patients reported penile pain with injection; the pain led to patient drop-out in 5% of the treatment group. A smaller, more recent study with longer follow-up (10 years) found that men with diabetes and ED using penile injections tended to shift towards decreased frequency of use but preferred stronger agents (mixtures of alprostadil with papaverine and/or phentolamine), with men with type 1 diabetes and ED stabilizing their doses within 5 years and men with type 2 diabetes and ED stabilizing within 9-10 years (29).

 

Prostaglandin may also be administered via an intraurethral route; the Medicated Urethral Suppository for Erections (MUSE®) is a urethral prostaglandin suppository.  This treatment has FDA approval and has been used with some success by men with ED.  Side effects include urethral burning, pain, and irritation of the sexual partner’s mucous membranes (30).

 

In patients for whom injection or intraurethral therapy does not work vacuum erection devices (VED) may be useful. There is a paucity of data specifically evaluating the use of VED in men with diabetes and ED but the drop-out rate for patients is generally quite high, even for patients who are able to achieve a rigid erection with the device. One subset analysis found that despite a good response (i.e., firm erection) using VED, only 50% of those couples found the treatment to be satisfactory. This may be due to difficult operating the device and/or a feeling that it is a cumbersome interruption of sexual activity.  Possible local side effects include petechiae (small red dots from broken capillaries), a feeling of having a cold penis, and abnormal sensation of ejaculation (31). Many men also report that their erectile rigidity is sub-optimal with the VED.

 

PENILE PROSTHETICS

 

Penile prostheses are an excellent option for diabetic men with ED refractory to medical management and/or those who cannot tolerate medical management of ED. Prosthesis surgery is irreversible in that the corporal tissue is permanently altered; if the prosthesis is removed without replacement complete ED will almost certainly result. While a variety of exotic materials, flaps, and grafts have been used in the past, most contemporary prostheses are either hollow silicone cylinders that are inflated with saline via pump action or semi-rigid rods (32,33). Of all modalities for management of ED, prostheses have the highest satisfaction rates, with 2 large studies demonstrating greater than 95% satisfaction (34,35). While this high rate of satisfaction is encouraging it must be understood that the population of men who are motivated enough to undergo surgery for erectile function may not be representative of the larger population of ED patients.

 

Although some studies suggest that elevated HbA1c levels may predict a higher rate of infections in men with diabetes having penile prosthesis surgery, more recent studies refute this (36). A large study from Wilson, et al demonstrated that neither diabetic status nor preoperative HgA1c were risk factors for prosthesis infection. A more recent study confirmed that elevated HbA1c is not a risk factor for infection; however, short-term poor glucose control (defined as morning fast glucose levels >200 ng/ml) was associated with more complications (37,38).

 

EXPERIMENTAL THERAPIES FOR ED

 

Low-intensity shock wave therapy (LiESWT) has attracted great interest over the past decade as a novel treatment modality for ED. A number of randomized controlled studies in the general ED population have suggested modest but significant short-term benefit with minimal to no side effect profile (39). 

 

A pooled analysis from 5 double-blind, sham-controlled trials of LiESWT reported on 61 men with diabetes and ED responsive to PDE5I and another 48 men with diabetes and ED NOT responsive to PDe5I. Clinically significant improvements in erectile function were noted in 80%, 77%, and 66% of the PDe5I responsive treated patients at 1-, 6-, and 12-months post therapy.  Importantly, over half (55%) of treated men who had been non-responders to PDE5I were able to achieve erection sufficient for penetration with PDE5I post-treatment (40).

 

These encouraging data merit further research, preferably in a dedicated study of men with diabetes-related ED.  Despite encouraging preliminary data this therapy remains experimental and is currently not recommended outside a clinical trial setting conducted at no or minimal cost to patients (26).

 

TREATMENT OF LOW TESTOSTERONE LEVELS

 

Although there is some controversy over what constitutes a true "low" testosterone level and the best way to measure it, some studies have indicated that men with low levels of testosterone and symptoms consistent with low testosterone (e.g., decreased libido, decreased energy, depression, anxiety, fatigue, weight gain) may benefit from testosterone replacement therapy. The general efficacy of testosterone in improving sexual function (particularly sexual desire and response to PDE5I in cases of initial failure to respond) in appropriately selected patients has been established (41). In addition to improving sexual symptoms in these men, testosterone supplementation may have beneficial effects with respect to lean body mass and insulin sensitivity in diabetic men with hypogonadism (42,43).  A recent small RCDB indicated that 40 weeks of testosterone supplementation did not produce a significant improvement in either sexual desire or erectile dysfunction for obese men with type 2 diabetes (44). A more nuanced finding in a larger population suggested that the testosterone supplementation provides benefit for men with sexual dysfunction and severe testosterone deficiency (defined here as less than 8 nmol/L, approximately 230 ng/dL) who are treated such that trough levels approach 15 nmol/L (approximately 432 ng/dL) (45).

 

A number of different testosterone formulations are available, including intramuscular injections, transdermal creams/gels, buccal tablets, and subcutaneous depots (see the Male Reproduction Section of Endotext for a complete discussion of testosterone replacement therapy). 

 

EJACULATORY DYSFUNCTION

 

Men with diabetes may have sexual disorders other than erectile dysfunction. Examples include diminished sexual desire, lack of ejaculation with sexual climax (anejaculation or retrograde ejaculation), and premature ejaculation. Successful antegrade ejaculation depends on the coordination of three neurologic events: seminal emission, bladder neck closure, and contraction of the muscles of the pelvic floor (e.g., bulbocavernosus, ischiocavernous, etc.) (46). In diabetes, derangements of the nerves controlling closure of the connection between the bladder and urethra may disrupt normal ejaculation. In this situation ejaculate is deposited in the innermost portion of the urethra but the connection between the bladder and urethra does not close. Since the bladder neck is open, some or all of the ejaculate may leak backwards into the bladder during the muscle contractions that normally expel the semen from the penis. In the most severe cases there may be total lack of seminal emission. Either of these conditions will impact fertility.  It may also be a source of psychological disturbance to the man; indeed, some men report that they are not able to fully enjoy orgasm in the absence of ejaculation. 

 

From a fertility standpoint, sperm may be retrieved from post-ejaculate urine and then used for artificial insemination. Alternative strategies to overcome retrograde ejaculation generally focus on attempts to help the bladder neck close.  A variety of pharmacologic agents have also been used, including anticholinergics, antihistamines, and alpha-adrenergics (47,48).  Evidence for efficacy of these interventions in management of retrograde/anejaculation is scant.

 

FEMALE SEXUAL DYSFUNCTION

 

Our understanding of the medical and physiological aspects of female sexual function is poor relative to our understanding of men's sexual physiology and function. It is recognized that diabetes can be detrimental to female sexuality in a multifactorial manner, including both psychologic and physiologic dimensions (49,50).

 

In much of the published literature “Female Sexual Dysfunction” is treated as unitary diagnosis in and of itself.  It is more appropriate to consider that this overarching term encompasses several specific (and overlapping) concerns related to sexual function.

 

The International Society for the Study of Women’s Sexual Health describes: (51)

 

  • Hypoactive Sexual Desire Disorder (HSDD, decreased interest in sex and/or receptivity to sexual initiation by a partner)
  • Female Sexual Arousal Disorder, which can be sub-divided into Female Cognitive Arousal Disorder (difficulty with maintaining mental/emotional arousal responses) and Female Genital Arousal Disorder (difficulty with maintaining genital arousal responses).
  • Persistent Genital Arousal Disorder (unwanted and intrusive feelings of genital arousal)
  • Female Orgasm Disorder (compromise of orgasm frequency or intensity).

 

There are similarities between the molecular processes that mediate both male and female genital engorgement with arousal although the tissue effects of course differ (e.g., vasocongestion of erectile tissues leads to penile erection in men and vaginal engorgement/transudate in women) (52). Caruso et al (53) undertook a RCDB trial of 100 mg sildenafil in type 1 diabetic women with sexual dysfunction. Of the 28 women who completed the trial, significant improvement was seen in both subjective and objective parameters. Subjectively, arousal, orgasm, and dyspareunia were all improved in those taking sildenafil in comparison to baseline and those taking placebo. Color Doppler ultrasonography was performed on the clitoral arteries, revealing an increase in blood flow in these women. The clinical utility of ultrasonography in the evaluation of women with sexual dysfunction is unclear; these results should be interpreted with caution.

 

THE IMPORTANCE OF MANAGING LIFESTYLE FACTORS IN TREATING SEXUAL PROBLEMS IN DIABETES

 

As with most aspects of diabetes care, routine exercise, careful monitoring of glucose levels, and usage of appropriate therapies to prevent hyperglycemia are key to preventing progression of diabetes-induced sexual problems. Weight management and dietary prudence are also critical in the management of diabetes. There is evidence to suggest weight loss may reverse erectile dysfunction in some men. In a study of 65 obese men with ED and the Metabolic Syndrome (MetS, obesity with at abnormalities of blood pressure, abnormal glucose level/diabetes, and abnormal cholesterol levels), eating a "Mediterranean diet" (emphasizing fresh fruit and vegetables) for two years led to normalization of erectile function (as determined by an International Index of Erectile function score greater than 22) in 13 of 35 men compared to 2 of 30 men in the group that did not have dietary manipulation (54). 

 

A similar study in women with sexual dysfunction and MetS showed a significant improvement in mean sexual function (mean increase on the Female Sexual Function Index from 19.7 to 26.1 in the treatment group vs. no change from baseline in the control group). Also noted in both of these studies were improvements in serum insulin and glucose level in men and women who consumed a “Mediterranean” diet (55). A multi-center randomized controlled trial of intensive lifestyle intervention in obese women with type 2 diabetes confirmed that women who had the intervention were: 1) more likely to remain sexually active at one year (83% versus 64% for the intervention versus control group, respectively), 2) improve specific domains of sexual function, and 3) to obtain composite scores on the Female Sexual Function Index that were consistent with low risk for sexual dysfunction (28% of intervention patients versus 11% of controls) (56).

 

CONCLUSION

 

Sexual dysfunctions are common in people with diabetes and may arise from a variety of vascular, neurologic, and hormonal derangements. In terms of managing ED, PDE5I are the first-line agents of choice although the failure rate is higher when compared to men with non-diabetic ED.  Second and third line options may be considered should PDE5I fail. Sexual problems related to diabetes extend beyond ED to include sexual desire and ejaculatory dysfunction in men and a variety of sexual concerns in women. In addition to therapy specifically tailored to sexual concerns, management of underlying diabetic condition may markedly improve sexual quality of life in people with diabetes.

 

SUMMARY

 

  • The cause of ED in men with diabetes is multifactorial, including neuropathy, vasculopathy, and endocrinopathy
  • Men with diabetes should be routinely screened for the presence of low testosterone

 

  • Non-ED sexual dysfunctions are common in people with diabetes

 

  • Medical therapies for ED in men with diabetes are not as successful as in men with ED of other etiologies

 

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Neuroendocrine Control of Body Energy Homeostasis

ABSTRACT

 

The brain integrates the response to a variety of signals of energy need and availability to match food intake with energy expenditure, thereby maintaining body weight stability. Early work with rodent models with disrupted energy balance (generally obesity) identified many hypothalamic genes and signaling pathways that impact energy homeostasis. More recent studies have identified hindbrain circuits that interact with peripheral metabolic signals and hypothalamic circuits to impact energy balance. Feeding, signals of energy utilization, and hormonal signals of energy stores (such as leptin) modulate gene expression and neurotransmission in specialized circuits within the hypothalamus and brainstem to control food intake.  While many of these circuits also control energy expenditure, the effects on body weight that arise from alterations in energy expenditure are generally more modest than the effects of produced by changes in feeding.  Although most of the mechanistic work that defined the systems that control energy balance utilized rodent models, these systems have human orthologs whose disruption produces phenotypes comparable to those observed in rodents, confirming their conserved function.

 

INTRODUCTION

 

Historically, obesity was thought to represent a disorder of voluntary behaviors, (albeit exacerbated by the ready availability of food and the reduced need for energy expenditure afforded by modern societies); many continue to hold this belief even today.  In reality, we now understand that food intake and body weight represent biologically controlled homeostatic variables, much like blood pressure. This understanding flows from the discovery of spontaneously occurring single gene mutations that promote obesity independently of environmental alterations, along with the more recent description of human genetic variants that influence weight gain. Furthermore, research building upon these genetic observations has identified many of the biological systems that mediate the control of energy homeostasis, most of which reside in or converge on the central nervous system (CNS).

 

Changes in body weight reflect an alteration of energy balance, where energy intake (calories from eating or drinking) and energy expenditure (either as locomotor activity, basal metabolism, or thermogenesis) become unequal. For instance, food intake in excess of energy expenditure promotes the accretion of excess weight. Adipose tissue represents the major repository for ingested energy that exceeds immediate needs (1) and excess adipose tissue represents the hallmark of obesity.

 

The energy density of adipose tissue is nearly 10-fold greater than muscle (protein) or liver (glycogen) (2).  The ability to store energy in adipose tissue protects against environmental vicissitudes that might result in starvation, fetal wastage, and the inability to provide sufficient breast milk to the young. Therefore, evolution has likely selected for genetic variants that favor energy storage and conservation. The existence of environments in which excess calories are readily available with minimum or no effort occurred very recently in human evolution, while the human genetic blueprint evolved under the opposite circumstance. Thus, the modern obesity epidemic may represent, at least in part, a physiologic mismatch between the evolutionary pressures that bias toward energy storage and the modern, nutrient- and calorie-rich environment.

 

The brain plays a central role in maintaining energy balance. CNS circuits continuously assess and integrate peripheral metabolic, endocrine and neuronal signals, and modulate both behaviors and peripheral metabolism to respond to acute and chronic needs (3). The brain modifies energy intake and expenditure to match energy demands on an ongoing homeostatic basis, establishing a metabolic “set-point”.

 

A BRIEF HISTORICAL PERSPECTIVE ON THE MECHANISMS THAT CONTROL ENERGY BALANCE

 

Role for the Hypothalamus 

 

The description of Frölich syndrome (hyperphagic obesity and hypogonadism in patients with pituitary tumors) initially suggested that the pituitary gland might control energy balance (4). Others noted that pituitary tumors often impinge on the overlying hypothalamus, however, and suggested that the hypothalamus might represent the main modulator of feeding. Indeed, experiments by Hetherington and Ranson in 1940 demonstrated that lesions of the ventral medial portion of the hypothalamus increased feeding and promoted weight gain in rats, while lesions in the lateral hypothalamus led to decreased feeding and weight loss (5). In addition to demonstrating the importance of the hypothalamus to energy balance, these findings also led Eliot Stellar to suggest the concept of a “satiety center” situated in the ventral medial portion of the hypothalamus and a “hunger center” located in the lateral hypothalamus (6).

 

This two-center model also fits with the notion that two behavioral systems govern feeding: the incentive and reward value system that modulates the wanting and liking of food, and the satiety system that promotes meal termination (associated with the sensation of “fullness”). While these systems are physiologically and anatomically integrated, simplicity often dictates their description and study as distinct entities. We now understand that the meal-terminating systems in the brainstem as well as the brain reward circuits work in conjunction with the hypothalamus to mediate the overall control of food intake and energy homeostasis. Furthermore, recent studies have demonstrated greater anatomic heterogeneity in the hypothalamic systems that control energy balance than suggested by the simple two-center model, as well as revealing finer functional complexity- with distinct subsets of neurons in the hypothalamus controlling individual aspects of food intake and energy expenditure.

 

Genetic Models of Obesity Prove the Lipostatic Model of Energy Balance

 

Animals (including humans) maintain remarkably constant adipose triglyceride stores (7), suggesting that the brain and periphery must communicate to coordinate feeding and energy expenditure so as to maintain this balance. Around the same time that lesioning studies demonstrated the importance of the hypothalamus for the control of energy balance (5, 8), Kennedy proposed the lipostatic hypothesis of hunger: that an inhibitory factor produced by white adipose tissue in proportion to fat mass suppresses eating and body weight gain (9). He further suggested that lesions of the ventral medial hypothalamus increase food intake because of the removal of the site of action of the inhibitory signal from the fat.

 

A strain of mice displaying dramatic hyperphagia and obesity from the time of weaning arose spontaneously at the Jackson Laboratory in 1949-50; the autosomal recessive allele conveying this phenotype was designated obese (ob) (10). Sixteen years later, a phenotypically similar mouse was identified (11). The diabetic state of these latter animals (studied on the diabetes-prone coisogenic KsJ background) distinguished them from ob/ob mice (which had been studied on the relatively diabetes-resistant B6 background), leading to the diabetes (db) designation for the new mutation.

 

Seeking the molecular predicates of the lipostatic system posited by Kennedy (9) and Hervey (12), Douglas Coleman at Jackson Labs performed parabiosis studies coupling the circulation of ob/ob mice to either wild-type or db/db mice (13). While ob/ob mice became lean when joined to a wild type, they died of starvation when joined to a db/db mouse. These findings led Coleman to hypothesize the deficiency of a blood-borne body weight-regulating factor in ob/ob mice and the unresponsiveness of db/db mice to this factor. Specifically, he suggested that the ob locus produced the secreted factor while the db locus encoded its receptor (13,14). In 1994, the Friedman group at Rockefeller University positionally cloned the gene mutated in ob/ob mice and demonstrated that it encoded a secreted factor (which they termed “leptin”) produced primarily by adipocytes (15). Exogenous leptin rescued the phenotype of ob/ob (now, Lepob/ob) mice, and decreased feeding and body weight in wild-type animals.  Soon thereafter, several groups cloned the leptin receptor (LepR) and demonstrated the disruption of the crucial “long” LepR isoform (LepRb) in db/db(Leprdb/db) mice (16–19). 

 

The identification of leptin thus demonstrated the essential veracity of the lipostatic hypothesis. Interestingly, subsequent work has revealed a more complicated biology for leptin (whose absence sends a stronger signal than its excess (see below)), as well as suggesting the existence of additional factors that may contribute to the lipostatic control of food intake and energy balance.

 

THE HYPOTHALAMUS AND THE HYPOTHALAMIC MELANOCORTIN SYSTEM

 

The hypothalamus coordinates a host of homeostatic systems (e.g., sodium and water balance, reproduction, body temperature) in addition to energy balance. Given its need to coordinate these various functions, the hypothalamus must sense a broad array of nutrients, metabolites, hormones, and other factors (20). Of the many distinct nuclei (collections of neuronal cells) in the hypothalamus, the arcuate nucleus (ARC) plays a unique role in sensing peripheral signals. The ARC lies at the base of the hypothalamus adjacent to the median eminence (ME), a circumventricular organ that lies outside the blood brain barrier to permit direct sampling of the blood (20). 

 

Importantly, the initial lesions of the ventral medial hypothalamus reported by Hetheringon and Ranson included the ARC, as well as the ventromedial hypothalamic nucleus (VMH), the dorsomedial hypothalamic nucleus (DMH), and the periventricular hypothalamic nucleus (PVH).  Lesions of the VMH nucleus alone failed to recapitulate the hyperphagic obesity caused by the larger (original) ventral medial lesions (21), suggesting important potential roles in the control of energy balance for one or more of these other hypothalamic nuclei. 

 

The Arcuate Nucleus

 

Its proximity to the ME, together with its projections to deeper hypothalamic areas involved in the control of feeding (e.g., the DMH, PVH and the lateral hypothalamic area (LHA)), suggest that the ARC serves to sense humoral signals and convey this information to downstream structures to modulate homeostatic systems (Figure 1). Indeed, the core of the CNS melanocortin system, which integrates peripheral signals of energy balance and modulates feeding and energy expenditure, lies in the ARC (22).

Figure 1. The hypothalamic melanocortin system. ARC POMC neurons produce aMSH and other POMC-derived peptides that act on downstream MC4R-expressing cells, such as PVH MC4R cells that play crucial roles in the suppression of food intake. ARC AgRP neurons (which also contain the inhibitory neurotransmitters NPY and GABA) release AgRP to antagonize MC4R signaling (increasing food intake) and also inhibit other PVH neurons to increase food intake and decrease energy expenditure. Signals of energy surfeit (including leptin) promote POMC neuron action; serotonin (5HT) also promotes POMC neuron action via 5HTR2c on these cells. In contrast, leptin inhibits AgRP cells, while orexigenic ghrelin also activates them. Not only does leptin act directly on these cells, but leptin action on unidentified LepRb/GABA neurons represents a major modulator of the melanocortin system.

Ay  Reveals the Role for the CNS Melanocortin System in Energy Balance  

 

In 1902, French geneticist L. Cuenot described the obese Yellow (Ay/a) mouse. Also termed ‘lethal yellow’ because homozygotes for Ay die before birth, Ay was bred by mouse fanciers in Europe beginning in the 1800s, and was notable for the dominant inheritance of a striking yellow coat, along with obesity proportional to the intensity of the yellowness of its coat (23). In 1960, another spontaneous mutation at the agouti locus arose in the Jackson Laboratory colony- viable yellow (Avy) (24). Expression of the wild-type agouti gene (a) normally occurs intermittently in the hair follicle, generating alternate yellow and black pigment bands of the resulting hair, producing the agouti coat color (25). The original Ay mutation represents a deletion within the gene encoding the RNA-binding protein Raly (Raly), which fuses the constitutively active Raly promoter to the agouti gene, resulting in constitutive ectopic overexpression of agouti in all somatic (including brain) cells (26).  Avy also results from ectopic overexpression of agouti- due to the insertion of a retrovirus-like repetitive intracisternal A particle (IAP) into a noncoding exon of agouti (27).

 

The agouti locus encodes agouti signaling protein (ASP), a peptide with high affinity for melanocortin receptors. The yellow coat color of the Ay/a mouse results from continuous overexpression of ASP in the skin, which blocks alpha-melanocyte-stimulating hormone (α-MSH) signaling at melanocortin-1 receptors (MC1R) in the hair follicle (25,28). Since α-MSH activates melanocytes to initiate the synthesis of eumelanin (black pigment) instead of phaeomelanin (yellow pigment), antagonism of α-MSH/MC1R signaling by ASP elicits a yellow coat color.

 

The brain also contains a melanocortin system, and this CNS melanocortin system controls energy balance (22).  ICV administration of α-MSH or other melanocortin agonists decreases food intake and body weight (29).  Overexpression of ASP in the Ay/a brain antagonizes the anorectic action of α-MSH signaling and blunts the activity of brain melanocortin receptors, thus causing hyperphagia.

 

Melanocortin Peptides and Receptors

 

The post-translational modification and cleavage of the proopiomelanocortin (POMC) precursor peptide produces several melanocortin peptides, including adrenocorticotrophic hormone (ACTH), α-MSH (more prominent in rodents), ß-MSH (more prominent in humans) and γ-MSH; POMC processing also produces the opioid peptide, ß-endorphin (22). Within the CNS, the major population of POMC-producing cells resides in the ARC (a smaller population of brainstem POMC neurons may produce low levels of POMC and plays unclear roles in brain melanocortin signaling) (22).  CNS melanocortin peptides act via the melanocortin-3 and -4 receptors (MC3R and MC4R) on target neurons. The ARC also contains neurons that produce agouti-related protein (AgRP, an antagonist/inverse agonist for MC3R and MC4R), along with the inhibitory neurotransmitters neuropeptide Y (NPY) and gamma amino butyric acid (GABA) (30),(31). Thus, the core of the CNS melanocortin system comprises anorexigenic (appetite–suppressing) ARC POMC neurons, opposing orexigenic (hunger-inducing) ARC AgRP neurons, and MC3R and MC4R-containing target neurons throughout the CNS (22) (Figure 1).

 

ARC POMC Neurons 

 

Signals of positive energy balance, such as leptin, tend to activate POMC neurons and increase their Pomcexpression (32). Artificially activating ARC POMC neurons decreases food intake (33,34). While ARC POMC neurons also contain the neuropeptide CART (and a few POMC neurons contain various amino acidergic transmitters) (35,36), most data suggest that melanocortin peptide action mediates the majority of the POMC neurons’ ability to suppress food intake and increase energy expenditure (37). The ablation of ARC Pomc expression promotes hyperphagic obesity similar to that of Ay mice (34),(38).  The first evidence for a human melanocortin obesity syndrome resulted from the astute recognition of a rare agouti-mouse–like syndrome in two families, resulting from null mutations in the POMC gene (39–41).  These patients have ACTH insufficiency, red hair, and obesity, resulting from the lack of ACTH peptide in the serum and a lack of melanocortin peptides in skin and brain, respectively. This obesity syndrome demonstrated that the CNS melanocortin circuitry subserves energy homeostasis in humans as it does in the mouse. 

 

The predictable, monogenetic heritability of the hyperphagic and obese phenotype caused by Ay, ob, and dbdemonstrates the genetic underpinnings of feeding control and overall energy balance. The subsequent finding that the orthologs of rodent obesity genes control body weight in humans confirms that biologic/genetic factors control feeding and the predisposition to obesity in humans, as well as in rodents (42).

 

ARC AgRP Neurons 

 

Fasting and signals indicating negative energy balance activate ARC AgRP neurons, while signals of positive energy balance (e.g., leptin) inhibit these cells. ARC AgRP neuron activation promotes feeding and decreases energy expenditure, while neuronal ablation results in lethal anorexia, consistent with the strong orexigenic nature of these cells (43,44). AgRP acts as an inverse agonist at MC3/4R, decreasing receptor activity and thus promoting positive energy balance by increasing food intake and decreasing energy expenditure (25). While the ablation of Agrp and/or Npy in ARC AgRP neurons minimally affects energy balance in wild-type animals, it attenuates the obesity of leptin-deficient animals (45). In contrast, blockade of GABA release from these neurons, via the cre recombinase-mediated deletion of the vesicular GABA transporter (vGat), results in leanness and interferes with the response to food restriction, suggesting that these neurons (and especially GABA release therefrom) are crucial for promoting food intake, especially in response to signals of negative energy balance (46). Importantly, the ARC contains additional populations of (non-AgRP-containing) GABA neurons that may mediate orexigenic signals in a manner similar to AgRP cells (47).

 

Downstream Targets of the ARC Melanocortin System 

 

Melanocortin-mediated stimulation of MC3/4R decreases food intake and increases energy expenditure to promote negative energy balance in animals and humans (48–50). Mice null for Mc4r display substantial hyperphagia and increased adiposity/body weight, and also display increased linear growth, as is characteristic of Ay/a mice (51). Mc3r-null mice display a more modest energy balance phenotype than Mc4r-null mice, with only modestly increased adipose mass, decreased lean mass, reduced fast-induced refeeding (52,53), elevated basal and fasting-induced corticosterone (53), and defects in circadian rhythms and meal entrainment (54).  Thus, MC4R represents the major melanocortin receptor that mediates the control of food intake and body weight.  Regions that contain large populations of MC3R- and MC4R-expressing neurons include the PVH, LHA, DMH, VMH, and ARC (the VMH and ARC contain MC3R only) (55).

 

While a syndrome resulting from MC3R mutations in humans has not yet been definitively identified, MC4R clearly plays an important role in the control of body weight in humans, as well. Heterozygous frameshift mutations in the human MC4R locus associate with physical findings virtually identical to those reported for the mouse (51), with increased adipose mass, increased linear growth and lean mass, hyperinsulinemia greater than that seen in matched obese control subjects, and severe hyperphagia. MC4R haploinsufficient adults also exhibit reduced sympathetic tone and mild hypotension (56).  MC4R haploinsufficiency in humans represents the most common monogenic cause of severe obesity, accounting for up to 5% of cases (57–59).

 

Site-specific deletion studies have demonstrated a crucial role for MC4R in the PVH for the control of food intake and energy balance (60,61).  While AgRP neurons project to and inhibit ARC POMC neurons via direct GABA action (62), this projection appears to play little role in the promotion of feeding by AgRP neurons (63). Rather, AgRP neurons most strongly increase feeding via their projections to the PVH (LHA projections also participate)(64).  Thus, the PVH plays crucial roles in the control of feeding by POMC and AgRP neurons. 

 

Interestingly, while AgRP neuron activation promotes feeding most strongly via the PVH, AgRP neuron inhibition decreases food intake at a distinct site: detailed studies of animals ablated for AgRP neurons demonstrate that the withdrawal of GABAergic inhibition from cells in the brainstem parabrachial nucleus (PBN) mediate this affect (65)(See below for additional details).

 

Paraventricular Nucleus of the Hypothalamus (PVH)

 

The PVH represents a major output nucleus for the hypothalamus, from which integrated information is transmitted to effector systems, such as the pituitary gland, the autonomic system, and behavioral control circuits (66,67). The identification of small deletions or translocations at the human Single-minded-1 (SIM1) locus on chromosome 6 in three young obese patients suggested a crucial role for the PVH in energy balance in humans (68). SIM1 encodes a transcription factor that is expressed throughout the PVH and is required for the development of the PVH (68). While homozygous deletion of Sim1 is embryonic lethal in mice, animals heterozygous for Sim1 are normal until 4 weeks of age, when they develop hyperphagic obesity (69). These mice display reduced numbers of neuronal nuclei in the PVH with a proportional decrease in overall size of the PVH. Presumably, the decreased number of PVH neurons in Sim1haploinsufficiency diminishes anorexic “tone” from the PVH, leading to hyperphagia and obesity in mice as well as in rare human patients with SIM1 mutations.

 

As with other hypothalamic nuclei, the PVH contains a constellation of diverse neuronal subtypes. Identifying the PVH subpopulations that mediate effects on food intake and energy expenditure represent a crucial research direction. Unsurprisingly, PVH MC4R neurons potently suppress food intake (60,61,70). Interestingly, however, PVH-projecting ARC AgRP neurons regulate cells that lack MC4R (in addition to regulating MC4R neurons), suggesting the existence of additional PVH populations that play roles in the control of energy balance (71). Nos1-expressing PVH cells represent one important subset of appetite-regulating non-MC4R PVH cells (72).  Other important non-MC4R PVH neurons include prodynorphin (Pdyn)-expressing cells (71). 

 

Prominent populations of PVH neurons include those that contain hormones/neuropeptides, including oxytocin (OXT),corticotropin releasing hormone (CRH), and thyrotropin releasing hormone (TRH), arginine vasopressin (AVP), and oxytocin (OXT) (61,64,70,73).These peptides also control other endocrine and CNS functions: TRH and CRH stimulate the thyroid and adrenal axes, respectively; AVP contributes to fluid balance; and OXT regulates uterine function and social interactions (74–78).  While these peptidergic PVH neurons do not contain MC4R, the injection of OXT into the hindbrain promotes satiation (64). Genetic data from mice argue against an important role of OXT or OXT neurons in energy balance, however. Not only do Oxt-null animals display no alteration in feeding or energy balance, but neither the activation nor the ablation of PVH OXT neurons in adult animals alters food intake (72,79).  Furthermore, all of these peptide-containing PVH populations are only weakly anorexigenic in mice, and OXT, AVP, and CRH neurons do not mediate melanocortin responses (61).  Thus, peptidergic PVH neurons play little role in the control of feeding, at least in mice, while distinct Mc4r-, Nos1-, and Pdyn-containing PVH neurons (along with potentially other PVH neuron types that will be important to identify) play crucial roles in the control of feeding and energy balance. Interestingly, a recent GWAS analysis identified a polymorphism near the human anaplastic lymphoma kinase (ALK) locus that correlates with thinness. Decreased expression of this gene reduces adiposity in a variety of animal models and Alk expression in the PVH appears to mediate its effects on body weight (80).  Identifying the cell type(s) that mediate the effects of Alk on body weight will be very informative.

 

Dorsomedial Nucleus of the Hypothalamus (DMH)

 

The DMH has long been implicated in energy balance regulation, as well as in the modulation of body temperature, arousal and circadian rhythms of locomotor activity (81). This nucleus receives direct input from the ARC and also contains LepRb-expressing neurons (82,84). While the exact molecular phenotype(s) of energy balance-regulating DMH cells remain poorly defined, recent studies have suggested that the LepRb-containing cells in this region play crucial roles for maintaining energy balance (85).  Indeed, the viral-mediated disruption of DMH LepRb in adult mice augments food intake and promotes obesity (86).  Furthermore, subpopulations of GABAergic DMH neurons play important roles in the leptin-mediated control of ARC POMC and AgRP cells (and thus, food intake) (85,87,88).  TrkB-containing DMH neurons also contribute to the control of homeostatic feeding behavior (89). Thus, while details continue to emerge, the DMH plays crucial roles in leptin action, the control of the hypothalamic melanocortin system, food intake, and overall energy balance. 

 

Ventromedial Nucleus of the Hypothalamus (VMH)

 

The VMH contains neurons that express LepRb, MC3R and other receptors involved in body weight regulation. Neurons in the dorsomedial portion of the VMH (dmVMH) express the transcription factor, steroidogenic factor 1 (Sf1; Nr5a1) (90). Although Sf1-deficient mice were first described in 1994, their early death due to adrenal insufficiency initially prevented the study of these mice in adulthood. Later, adrenal transplantation enabled the long-term survival of these mice, permitting the detection of late-onset obesity in Sf1-deficient mice (91), consistent with a role for the VMH in the control of energy balance. The obesity of Sf1-null mice results largely from decreased energy expenditure, however (91). Furthermore, Sf1-cre-mediated ablation of LepRb doesn’t alter food intake, but rather decreases energy expenditure (thereby accentuating obesity in high-fat diet-fed animals) (92). Many Sf1-containing VMH neurons contain the neuropeptide PACAP (the product of the Adcyap gene), which contributes to the control of energy expenditure (93). Thus, Sf1-mediated manipulation of the dorsomedial VMH has revealed a crucial role for this region in overall energy balance, albeit by the modulation of energy expenditure, rather than food intake.  Indeed, the dmVMH is generally thought to serve as an autonomic control center that modulates a variety of parameters driven by the sympathetic nervous system (SNS). In addition to controlling energy expenditure, the dmVMH also plays important roles in nutrient mobilization (as during the response to hypoglycemia) (94–97).

 

Lateral Hypothalamic Area (LHA)

 

While a network of systems that suppress food intake (albeit in a manner antagonized by AgRP neurons) reside in the ARC, DMH, and PVH, the LHA is often thought of as a region that promotes feeding. Well-known LHA neuronal subtypes include two distinct sets of excitatory neurons that receive input from leptin and melanocortins and contribute to the control of feeding and energy balance.  One population contains the neuropeptide melanin concentrating hormone (MCH; not related to POMC or any of its derivative peptides) (98). First studied in mammals because of the increased expression of Mch mRNA in Lepob/ob and fasted mice, administration of MCH increases food intake and body weight gain and decreases energy expenditure(98). Furthermore, animals null for Mch (or its receptor) are lean (99). The MCH receptor localizes to the primary cilium, and some of the effects of ciliopathies on adiposity may be conveyed by effects on this receptor (see discussion of ciliopathies below).

 

A distinct set of LHA neurons contain the neuropeptide, hypocretin (HCRT; also known as orexin) (100,101). Based upon early acute pharmacologic studies, HCRT was originally conceived of as an orexigen, since HCRT stimulates food intake when injected centrally during the light cycle. Consistently, fasting increases Hcrt mRNA expression and activates HCRT neurons (101). Subsequent work has revealed that animals null for HCRT or its receptors become mildly obese without observable alterations in food intake, however (102). Furthermore, mice (and dogs and humans) null for Hcrt or lacking HCRT neurons exhibit narcolepsy and increased body weight and adiposity (103). Thus, rather than having a primary role in the control of feeding, HCRT neurons promote alertness and activity, and most of the effect of Hcrt mutation on energy balance results from decreased physical activity and energy expenditure, while HCRT administration promotes activity (and food intake) during the resting phase of the diurnal cycle.

 

The LHA also contains LepRb neurons that control HCRT neurons; these contain neurotensin and lie intermingled with the HCRT cells (104-107). Ablation of LepRb from these LHA cells prevents the normal regulation of HCRT neurons and results in decreased locomotor activity and energy expenditure. Both LHA LepRb neurons and HCRT cells project to the ventral tegmental area (VTA), which contains a large number of dopaminergic neurons that represent the core of the mesolimbic reward system (see below for further discussion of reward pathways). Thus, while lesioning studies suggest that the integrity of the LHA is required for motivation and normal feeding behavior, most data suggest that it plays little role in the normal modulation of food intake.    

 

PERIPHERAL SIGNALS THAT MODULATE ENERGY BALANCE VIA THE HYPOTHALAMUS

 

Homeostatic regulation of energy balance requires the brain to maintain appropriate energy levels by monitoring peripheral signals of energy status and metabolism to modulate food intake and a variety of autonomic and neuroendocrine determinants of energy utilization. This requires the ability to sense circulating signals of metabolic status.

 

Leptin

 

The discovery of leptin revealed the existence of an endocrine system that senses and modulates adipose stores. Disruption of leptin signaling results in hyperphagia and obesity, and leptin administration to leptin-deficient Lepob/obmice (but not LepRb-null Leprdb/db animals), reduces food intake and adiposity, sparing lean tissue (108–110). While the role for leptin in the control of appetite and adiposity initially dominated the thinking about its biology, it has become clear that the effects of elevated leptin are not as dramatic as those of low leptin. Indeed, diet-induced obese rodents and humans remain obese despite exhibiting high circulating concentrations of leptin, commensurate with their high levels of leptin-producing adipose tissue (111,112). In contrast to the Lepob/ob mice, where leptin administration results in remarkable reversal of the obesity phenotype, increasing leptin to supraphysiologic levels in normal animals only modestly and briefly blunts food intake and body weight. Likewise, supraphysiological doses of leptin promote only modest effects on body weight in obese and non-obese humans(113). Thus, the absence of leptin conveys a more powerful signal than does its excess.

 

Lepob/ob mice (and their leptin-deficient human counterparts) display additional phenotypes, including impaired growth and gonadal axis function, diminished immune function, infertility, and decreased activity and energy expenditure - all of which are reversed by leptin treatment (114,115). The lack of leptin also promotes increased hepatic glucose production, and leptin treatment suppresses hyperglycemia in several models of insulinopenic diabetes (116,117). Lipodystrophic people and transgenic animals that similarly lack adipose tissue exhibit leanness and low leptin levels, as well as hyperphagia, insulin resistance, diabetes and other endocrine and metabolic abnormalities that are not corrected by caloric restriction (109,110,118). Leptin replacement therapy to correct low leptin concentrations represents an important treatment for lipodystrophy syndromes in humans, decreasing their hunger and improving their endocrine and metabolic abnormalities (119).

 

This constellation of phenotypes resulting from low leptin mirrors the physiologic response to starvation and leptin treatment attenuates many of these consequences of very low adiposity (115). Thus, normal leptin concentrations signal the repletion of energy (fat) stores to mitigate hunger and enable energy expenditure, while low leptin indicates the dearth of adipose reserves and promotes food-seeking and the conservation of remaining fat by reducing energy expenditure.

 

THE NEUROBIOLOGY OF LEPTIN   

 

The similar phenotypes of Lepob/ob and Leprdb/db mice (along with the inability of leptin to alter physiology in Leprdb/dbmice) indicates that leptin action on LepRb-expressing cells must mediate its effects. Consistent with its behavioral effects (e.g., on feeding) and its effects on the neuroendocrine and autonomic systems, most LepRb-expressing cells lie in the brain (83,84). Similarly, ablation of LepRb in the CNS promotes hyperphagia, neuroendocrine failure, and obesity (120). Some cells outside of the CNS might express LepRb, but the physiologic role for leptin action on these non-CNS cells remains unclear.

 

Within the brain, the majority of LepRb-expressing neurons reside within the hypothalamus and brainstem, consistent with the known roles for these structures in the control of feeding, endocrine and autonomic function (83,84,121). Pan-hypothalamic ablation of LepRb promotes a phenotype very similar in quality and magnitude to that of Leprdb/dbanimals (122). Furthermore, ablation of LepRb from broadly-distributed hypothalamic vGat- or Nos1-expressing neurons promotes dramatic hyperphagia and obesity (123,124). Smaller, more circumscribed sets of hypothalamic LepRb neurons have also been implicated in body weight control as well. Within the ARC, early developmental removal of LepRb specifically in POMC and AgRP neurons modestly increases feeding and adiposity (125,126). Interestingly, removal of LepRb from AgRP neurons in adult animals results in robust hyperphagia, obesity and diabetes, suggesting that developmental processes can largely compensate for the early lack of direct leptin action on AgRP neurons (127). Ablation of LepRb in the Sf1-expressing VMH blunts the increase in energy expenditure that accompanies increased adiposity, and deletion of LepRb in the LHA diminishes motor activity and promotes obesity (92,106,128). LepRb neurons in the ventral premammillary nucleus (PMv) play roles in reproduction (129). Importantly, functions for many additional groups of LepRb cells in the hypothalamus (especially in the DMH) have yet to be determined.  Currently, LepRb neurons in the ARC and DMH are thought to play the most important roles in the control of feeding and energy balance by leptin.

 

THE MOLECULAR BIOLOGY OF LEPTIN   

 

Alternative splicing of the Lepr transcript produces multiple isoforms of the receptor: LepRa, -b, -c, -d, etc (Figure 2). The Leprdb mutation mouse results from a splicing defect that causes the LepRa-specific exon to be inserted into the mRNA that encodes LepRb, preventing translation of the LepRb-specific coding sequences and producing LepRa in place of LepRb (16–18). Because the Leprdb/db mouse synthesizes all leptin receptor isoforms except LepRb, LepRb must be crucial for the control of energy homeostasis (130). Indeed, restoration of LepRb on a background null for all other LepR isoforms restores energy balance (19). 

Figure 2. LepR isoforms and signaling. LepRa (Ra) represents the mostly highly expressed short form of LepR; LepRb (Rb) is the long form. Exon 17 contains half of a Jak docking site (BOX1) common to Ra, Rb and Rc, while exon 18b contains additional motifs required for full Jak2 binding (BOX2) and STAT3 signaling (31,33). Circulating leptin binding protein consists of extracellular domain that has been cleaved from the cell surface, along with the LepRe splice variant that lacks a transmembrane domain. Humans do not generate the splice variant, so that all LepRe is produced by cell surface cleavage, presumably by membrane associated metalloproteases (33). LepRa, -c, -d and the other so-called “short” isoforms contain the same first 17 exons as LepRb, but diverge within the intracellular domain. LepRb is the only isoform that mediates classical Jak-STAT signaling, as this isoform alone contains the motifs required to interact with Jak2 and to bind STAT proteins for downstream signaling (Figure 1) (34). While the function of LepRb is clear, the functions of the short isoforms are not, although they have been speculated to function in leptin transport into the brain and/or a source of cleaved, circulating extracellular LepR (which, along with LepRe comprises the major circulating leptin-binding protein) (35).

LepRb, like other type 1 cytokine receptors, activates a JAK family tyrosine kinase (JAK2) to initiate signaling (130). Subsequently, tyrosine phosphorylated residues on LepRb recruit STAT proteins, which are then phosphorylated by JAK2 to promote their trafficking to the nucleus. In the nucleus, STATs bind DNA and modulate gene expression. STAT3 mediates the majority of leptin action, since disruption of the binding site for STAT3 on LepRb causes a severe obesity phenotype in mice that is similar to the obesity syndrome of Leprdb/db mice (131). Similarly, disruption of Stat3in the forebrain or in LepRb-expressing neurons results in obesity in mice (132,133). While the brain-wide disruption of the genes encoding both isoforms of STAT5 (STAT5a and STAT5b) causes mild late-onset obesity, the disruption of Stat5a/b specifically in LepRb neurons produces no detectable phenotype, suggesting that STAT5 signaling is not required for leptin action in vivo (134–136). STAT5 represents a major mediator of GM-CSF signaling, however, and mice null for GM-CSFR in the brain are obese, suggesting that the role for STAT5 in energy balance may be linked to the action of GM-CSF or other cytokines different than leptin (135).

 

Insulin

 

Like leptin, insulin circulates in proportion to fat mass, and alters neuropeptide expression in the hypothalamus via receptors located in the ARC, PVH, and DMH (137). ICV insulin has been reported to decrease food intake in rats and mice. Furthermore, mice deleted for insulin receptor (Insr) throughout the CNS display a modest late-onset obesity (more prominent in females), and are more susceptible to diet-induced obesity than wild-type mice (138). In addition, insulin acts centrally to decrease hepatic glucose output, in part via the inhibition of AgRP neurons (139,140).

 

The insulin receptor (INSR), a tyrosine kinase, recruits and tyrosine phosphorylates insulin receptor substrates (IRS proteins; IRS-1, -2, -3, -4) which engage downstream signals, including the phosphatidylinositol 3-kinase (PI3-kinase) pathway. Deletion of Irs1 interferes primarily with peripheral insulin action and the growth axis, Irs3 is rodent-specific and adipocyte-restricted, and the deletion of Irs4 minimally alters energy balance (141).  In contrast, deletion of Irs2causes insulin-deficient diabetes (due to islet failure) and obesity. Restoration of Irs2 in the islets of Irs2-null mice or brain-specific ablation of Irs2 results in normoglycemic obesity, consistent with a role for brain IRS2 signaling in energy balance (142). While leptin modulates the IRS-protein/PI3-kinase pathway and the deletion of Irs2 from LepRb-expressing neurons promotes obesity (albeit a milder form of obesity than observed in animals deleted for Irs2throughout the brain), deletion of Irs2 does not interfere with leptin action, suggesting that IRS2 may primarily play a role in brain insulin action (143).

 

A variety of subunits and downstream effectors of the PI3-kinase signaling pathway have also been deleted in several neuronal populations in mice (144). These produce phenotypes generally consistent with the notion that PI3-kinase is important for the proper function of the POMC and AgRP neurons that modulate energy balance- at least in part by controlling the firing of these important neurons.

 

Modulators of Insulin and Leptin Signaling

 

Many of the molecular signaling pathways that inhibit insulin and leptin action overlap. Protein tyrosine phosphatase-1B (PTP1B, a.k.a., PTPN1) dephosphorylates cognate tyrosine kinases (including those associated with INSR and LepRb) to terminate signaling (145,146). In addition to exhibiting increased insulin sensitivity, mice lacking Ptpn1 are lean compared to controls and exhibit resistance to weight gain on a high-fat diet, suggesting increased leptin action in these animals. Indeed, animals null for Ptpn1 throughout the brain (or specifically in LepRb or POMC neurons) demonstrate increased leanness and enhanced leptin action (147,148). In addition to PTP1B, the tyrosine phosphatase, TCPTP, which directly dephosphorylates STAT3, contributes to the attenuation of LepRb signaling. Furthermore, obesity and elevated leptin increase the expression of Ptpn2 (which encodes TCPTP), and the deletion of neuronal Ptpn2 decreases body weight, increases leptin sensitivity, and blunts weight gain in DIO animals (149). Moreover, the combined deletion of Ptpn1 and Ptpn2 in the brain augments leanness and further attenuates weight gain in DIO mice (149).

 

Suppressors of Cytokine Signaling (SOCS proteins, e.g., SOCS1 and SOCS3) bind to activated cytokine receptor/Jak2 kinase complexes (including the LepRb/Jak2 complex) to mediate their inhibition and degradation (150). SOCS proteins may also inhibit INSR and other related tyrosine kinases. Leptin signaling via STAT3 promotes Socs3expression in hypothalamic LepRb neurons; SOCS3 protein binds to phosphorylated Tyr985 of LepRb to attenuate LepRb signaling (151). The leanness of mice containing a substitution mutation of LepRb Tyr985 and the similar phenotype of mice lacking Socs3 in the brain or in LepRb neurons highlight the importance of these mechanisms of feedback inhibition for the control of energy balance (152,153). While LepRb Tyr985 also mediates the recruitment of the tyrosine phosphatase SHP2 (aka, PTPN11), data from cultured cells suggest that SHP2 mediates ERK pathway signaling by LepRb, and disruption of Ptpn11 in the brain, in LepRb neurons, or in POMC neurons, promotes obesity (130) (Figure 3).

Figure 3. Signaling by and inhibition of LepRb and InsR. LepRb, which exists as a preformed homodimer in complex with the Jak2 tyrosine kinase, recruits and phosphorylates (pY) STAT3 via phosphorylated pY1138 to control many aspects of energy balance. InsR, which also exists as a preformed dimer, but has intrinsic tyrosine kinase activity, autophosphorylates the juxtamembrane Tyr960 to recruit the insulin receptor substrate (IRS) proteins IRS1-IRS4. IRS-proteins strongly activate the phosphatidylinositol 3-kinase (PI3K), which play roles in the brain control of energy balance and glucose homeostasis. Leptin also activates PI3K, albeit much more weakly than InsR, and by undefined mechansims. Both LepRb and InsR activate the ERK pathway. The adapter protein, SH2B1 also enhances signaling by both receptors. In addition to decreasing food intake and increasing energy expenditure, LepRb-mediated STAT3 signaling promotes the expression of SOCS3, which acts as a feedback inhibitor of LepRb and InsR signaling. A variety of tyrosine phosphatases also inhibit the activity of both receptors.

SH2B1 binds to activated Jak2, as well as to INSR, TrkB, and a few other receptor tyrosine kinase complexes to increase their activity and mediate aspects of downstream signaling (154). Sh2b1-null mice display a complex phenotype that includes obesity; brain-specific absence of Sh2b1 also promotes obesity in mice (155,156). Thus, SH2B1 signaling in the brain is required for energy balance, perhaps due to its requirement for correct signaling by multiple receptors involved in energy homeostasis. Furthermore, the phenotype of several human patients with morbid obesity, developmental delay, and behavioral disorders are associated with chromosomal deletions (16p11.2) or coding variants involving SH2B1 (157). Indeed, GWAS studies have suggested a role for common variants in SH2B1in human obesity (59).  While the deletion of Sh2b1 from LepRb neurons in mice promotes obesity, this effect may be independent of leptin action (158), suggesting that SH2B1 impacts energy balance via its actions on other growth factor receptors.

 

Potential Roles for Other Adipokines and Anorexigenic Signals

 

Several lines of evidence suggest the existence of peripherally-derived anorexigenic signals in addition to leptin and insulin.  First, because continuous administration of high levels of exogenous leptin in wild-type animals only slightly and transiently decreases feeding, while wild-type animals starve themselves to death during parabiosis to Leprdb/dbanimals (13,108,113,159), , there likely exists an additional hormonal signal that suppresses food intake (albeit one that requires leptin for its action).  Additionally, the forced overfeeding of animals results in multi-day anorexia even in the absence of increased leptin concentrations (160).  Although it is not clear that this second anorectic signal derives from adipose tissue, fat produces many signaling molecules in addition to leptin, some of which, like leptin, are cytokines (adipose-derived cytokines, or “adipokines”).  While the adipokines adiponectin and resistin can alter feeding when injected into the brain (161,162), neither can suppress food intake to the extent observed in parabiosed or overfed animals.  Thus, additional anorexigenic signals remain to be discovered.

 

The Orexigenic Ghrelin System

 

The diurnal release of ghrelin, which derives from the stomach, coincides with the initiation of meals and decreases over the course of each meal (163).  Acutely administered ghrelin causes animals and humans to consume larger meals than normal, while chronic ghrelin administration results in obesity in rodents (164–167). As would be expected, most obese humans have low levels of circulating ghrelin, whereas levels are elevated in patients with anorexia nervosa (168). 

 

The growth hormone secretagogue receptor (GHSR) serves as the receptor for the acylated (active) form of ghrelin (which is acylated (octanoylated) by ghrelin O-acyl transferase (GOAT) in the cells that synthesize it) (169).  Ingested fatty acids are required for ghrelin acylation, so that active ghrelin only increases prior to meals in animals that have fed over the prior 24 hours.

 

ARC AgRP neurons express high levels of GHSR, and ghrelin activates these cells.  Indeed, ghrelin action on AgRP neurons mediates the majority of the anorectic response to ghrelin (170,171).  Consistent with the modest baseline phenotypes of mice null for the individual neurotransmitters employed by AgRP/NPY neurons, mice null for ghrelin, GHSR, or GOAT beginning early in embryogenesis exhibit no detectable alterations in baseline energy balance, and only modest defects in refeeding (172), presumably due to compensatory processes that alter the function of AgRP neurons during development. Apart from its actions on neurons in the ARC, ghrelin administration into other areas of the brain (i.e. PVN, LHA, ventral tegmental area (VTA), dorsal vagal complex) can also stimulate positive energy balance (173–176).

 

THE HINDBRAIN CONTROL OF FEEDING

 

Most consider the hypothalamus to play a dominant role in the long-term control of food intake.  Indeed, leptin, the hormonal signal of long-term energy stores, mediates its largest effects on food intake and energy balance via the hypothalamus (122,177).  In contrast, hindbrain circuits respond robustly to signals of gut status (including stretch, nutrients, and toxins/irritants) to control meal termination and thus meal size. 

 

Humoral signals from the gut act on the hindbrain area postrema (AP), which lies outside the blood-brain barrier at the base of the fourth ventricle in the caudal medulla.  Other gut signals are conveyed to the hindbrain via afferent vagal fibers (whose soma lie in the nodose ganglion) (Figure 4).  These signals converge on the nucleus tractus solitarius(NTS) and promote meal termination (178,179).  Interference with components of this system (e.g., vagotomy) increases meal size, although compensatory changes in meal frequency (presumably directed by the hypothalamus) often dictate that food intake and energy balance remain constant over the long-term (180). Outputs from the AP and NTS include the dorsal motor nucleus of the vagus (DMV), which sends parasympathetic signals to the gut to alter motility.  Projections to more rostral regions, including the PBN and hypothalamic sites (including the PVH and DMH) also play roles in the suppression of food intake.

Figure 4. Emerging circuitry of gut-brain pathways that control food intake. A variety of signals converge on the hindbrain to suppress food intake. This includes a variety of gut peptides and the stress/inflammation signal, GDF15, as well as vagal sensory neurons whose soma reside in the nodose ganglion. Stretch-sensing vagal afferents that express GLP1R and/or OXTR suppress feeding via the NTS (although their particular cell targets in the NTS remain to be defined). In contrast, nutrient-sensing vagal neurons (including those that express GPR65, VIP, and/or SST) do not appear to control feeding; their precise function remains undefined. Many populations of AP/NTS neurons promote the aversive suppression of food intake by projecting onto CGRP-expressing cells of the PBN. Other neurons of the NTS (including those that express CALCR and LepRb) suppress food intake without promoting aversive effects, at least in part by activating a poorly-defined set of non-CGRP neurons in the PBN.

A number of observations suggest potential roles for hindbrain centers in the control of long-term energy balance, however, including the expression of LepRb and GHSR in the AP and NTS (83,84,181–184).  Indeed, leptin modulates the physiology of hindbrain neurons and knockdown of NTS LepRb expression modestly increases food intake and body weight, especially in high fat diet (HFD)-fed rats (181,185–189).  Furthermore, ablation of prolactin releasing hormone (PRLH, a.k.a., PRRP) increases feeding and body weight, and the NTS-specific re-expression of PRLH on a Prlh-null background restores normal feeding and energy balance (190).  More recently, the silencing of several NTS cell types has been shown to increase food intake and cause obesity.  Thus, the normal function of NTS systems contributes to the long-term control of energy balance.  Furthermore, many appetite-suppressing medications (including agonists for gut peptide receptors) mediate their effects by activating hindbrain systems (191–194). 

 

The Nodose Ganglion and Vagal Sensory Neurons

 

Gut-innervating vagal sensory neurons in the nodose ganglion consist of mechanosensory cells that increase activity in relation to increasing gastric volume and distinct chemosensory neurons that respond to the chemical characteristics of nutrients in the gut. Both mechanosensing and chemosensing vagal neurons innervate the entire gastrointestinal tract (195,196). Recent studies have interrogated the vagal sensory neurons of the nodose ganglion, revealing markers for gut-innervating mechanosensory cells (which sense stretch and pressure; these cells express the receptors for GLP1 (GLP1R) and OXT (OXTR)) and for chemosensory neurons (which sense nutrients in the gut; these cells express GPR65, vasoactive intestinal peptide (VIP), and somatostatin (SST)) (197,199).  Interestingly, the activation of mechanosensory cells suppresses feeding, while chemosensory cell activation does not.  Thus, the mechanosensory and chemosensory vagal cells must innervate distinct downstream CNS targets, at least in part.  The appetite-suppressing functions of several hormones and neuropeptides (including gut-derived cholecystokinin (CCK)) may result from their actions on vagal neurons (200,201). While CNS OXT neurons (in the PVH) do not appear to participate the in the control of feeding, the response of vagal mechanosensory neurons to exogenous OXTR agonists might mediate the appetite-suppressing effects of these agents (202).

 

Role for the Area Postrema in Nausea and Aversive Responses

 

Because AP capillaries lack tight junctions, the AP lies outside the blood-brain barrier and directly senses circulating nutrients and hormones.  While the molecular characterization of AP neurons remains in its infancy, the AP contains a variety of receptors (GLP1R, GFRAL, and CALCR) that respond to appetite-suppressing hormones (203–206).  Notably, ligands for each of these receptors promote aversive responses (e.g., nausea), for which the AP is well-known (207–209).  Indeed, the action of autoantibodies directed to aquaporin-4 (AQP4, which is expressed around the AP) during neuromyelitis optica spectrum disorders results in AP syndrome- characterized by unremitting nausea and vomiting (and sometimes hiccups) (210–212).  Neurons from the AP project into the brain, including to the NTS, DMV, and PBN.

 

The Nucleus Tractus Solitarius and Parabrachial Nucleus

 

The NTS, which lies adjacent to the AP, receives gastrointestinal input from vagal sensory neurons and from the AP.  The NTS also receives taste information via the geniculate ganglion (213), although the NTS systems that integrate taste signals with information from the gut have yet to be defined.  NTS neurons also express a variety of receptors that contribute to the control of food intake (e.g., LepRb and CALCR), and thus presumably sense a variety of circulating appetite-regulating signals.  Furthermore, NTS LepRb and CALCR neurons contribute to the physiologic control of food intake (185,214,215). Interestingly, while at least some AP and NTS neurons mediate the aversive suppression of food intake (i.e., cause nausea and/or vomiting, as well as decreasing appetite), the NTS LepRb and CALCR neurons suppress food intake without promoting such aversive responses (214,215). 

 

Thus, distinct NTS systems mediate the aversive and non-aversive suppression of food intake.  Indeed, it makes teleological sense that the consumption of nutrients should promote reward (to encourage the subsequent ingestion of a particular food type), rather than terminating ingestion in an aversive manner and discouraging the future consumption of the food.  Consistently, the activation of certain vagal pathways can promote a rewarding response, even while suppressing feeding (198,199). 

 

Many AP/NTS neurons that mediate the aversive suppression of food intake directly innervate calcitonin gene-related protein (CGRP)-expressing PBN neurons.  Indeed, PBN CGRP neurons mediate the aversive responses to a variety of agents associated with gut irritation, including some chemotherapy drugs (216).  PBN CGRP cells also appear to participate in the emotional response to a variety of fear-inducing stimuli (217).  The activation of PBN CGRP cells suppresses food intake under a variety of conditions; indeed, the withdrawal of inhibitory tone from these cells mediates the lethal anorexia associated with the ablation of ARC AgRP neurons (65). 

 

Interestingly, however, the inactivation of PBN CGRP cells minimally impacts food intake and does not alter energy balance (218); thus other neural systems must mediate the long-term control of feeding and energy balance by brainstem systems.  Hence, the systems that mediate the aversive suppression of food intake may suppress long-term feeding less effectively than non-aversive systems, at least under normal physiologic conditions.  The PBN must also contain non-aversive systems for the suppression of food intake, since neither NTS CALCR cells nor PVH MC4R neurons innervate PBN CGRP cells (but rather innervate a distinct region of the PBN) and both promote the non-aversive suppression of food intake via the PBN (214).

 

Gastrointestinal Hormones that Modulate Feeding

 

CHOLECYSTOKININ

 

Secreted from neuroendocrine secretory cells (L-cells) lining the intestinal lumen in response to nutrients, cholecystokinin (CCK) represents the canonical gut-derived satiety signal. It is an acutely acting signal with a very short half-life (219). Early studies showed that exogenous CCK administered just prior to a meal reduces food intake in rats. In the last thirty years these results have been repeated and extended in numerous labs, demonstrating that the anorectic effects of CCK can be translated to virtually all species, including humans (220–222). CCK induces a transitory sensation of satiety, secretion of pancreatic enzymes and gallbladder contraction. CCK-A receptors are located on vagal afferents of the stomach and the liver and transduce signals via the vagal nerve to satiety centers in the brainstem, eliciting a brief reduction in food intake (for a review, see(Bray 2000) (223)). While CCK decreases meal size and duration, compensatory increases in meal frequency prevent CCK from producing long term effects on total food intake or body weight. Indeed, deletion of Cckar in mice does not cause obesity (224).

 

THE INCRETINS

 

Glucagon like peptide-1 (GLP-1) functions as an incretin (enhancer of insulin secretion) (225). GLP-1 can also modulate satiety: ICV GLP-1 (or GLP1R agonists) potently suppresses food intake in rats and mice, while the GLP1R antagonist, exendin (9-37), increases short-term food intake. Body weight and food intake are unaffected by ablation of GLP-1R, however, suggesting that (like CCK and CCKAR) this system primarily modulates short-term satiation, rather than long-term energy balance, under normal physiologic circumstances (226).  Despite this lack of a physiological role for GLP-1 or GLP-1R in the long-term control of food intake, chronic treatment with GLP-1R agonists serves to suppress food intake and promote weight loss (227). 

 

The suppression of food intake by GLP-1R agonist pharmacotherapy requires GLP-1R expression on glutamatergic neurons of the CNS (194).  Furthermore, caudal brainstem processing suffices to suppress food intake and gastric emptying by peripherally applied GLP-1R agonists (228).  Thus, the crucial GLP-1R-expressing neurons that mediate the anorectic effects of GLP-1R agonist pharmacotherapy may reside in the AP and/or NTS.

 

Given that brain GLP-1R mediates the appetite-suppressing effects of exogenous GLP-1R agonists and that the NTS GLP-1 neurons represent the sole source of GLP-1 in the CNS (229), these NTS GLP-1 cells have been the subject of a great deal of interest.  Interestingly, however, while NTS GLP-1 cells represent a subset of the NTS LepRb cells that contribute to the control of feeding, the ablation of NTS GLP-1 fails to alter energy balance or the ability of NTS LepRb neurons to suppress feeding (215). Consistently, extending the half-life of endogenous GLP-1 by inhibiting dipeptidylpetidase-4 (DPP4) fails to alter food intake, although it amplifies the incretin effect of endogenous GLP-1. Thus, neither endogenous NTS GLP-1 nor its CNS targets contribute meaningfully to the suppression of food intake, despite the prominent pharmacologic effects of GLP-1R agonists on these parameters.

 

Intestinal glucose-dependent insulinotropic polypeptide (GIP, formerly gastric inhibitory polypeptide) is secreted from K-cells in the duodenum and proximal jejunum in response to food intake (230,231) and acts as an incretin, increasing glucose-dependent insulin release from pancreatic β-cells and contributing to postprandial plasma glucose normalization. The incretin function of GIP may be mediated either directly via pancreatic GIP receptor (GIPR) activation (232) or via the activation of non-ganglionic cholinergic neurons that innervate the islets, presumably as part of an enteric-neuronal-pancreatic pathway (233). The impact of GIP on central appetite regulation is controversial, however (234,235). Indeed, while the combination of GIPR and GLP1R agonism in a single peptide appears to enhance weight loss over a GLP1R agonist alone, GIPR ligands poorly modulate food intake on their own.  Furthermore, there remains some debate about whether GIPR antagonism (rather than agonism) accentuates the effects of GLP1R agonists on food intake (236).

 

GROWTH DIFFERENTION FACTOR-15

 

While not a gut-derived peptide, growth differentiation factor 15 (GDF15) acts via the brainstem to modulate nutrient intake. GDF15 is secreted by a large number of tissues in response to cellular stressors. Circulating concentrations of GDF15 express increase in disease states, such as prostate cancer, infection, and cardiovascular disease, and this has been associated with anorexia and cancer cachexia (237). Furthermore, a variety of clinical and genetic data suggest roles for high circulating levels of GDF15 in the nausea and vomiting associated with hyperemesis gravidarum during the second trimester of pregnancy (238,239).  Mice with transgenic over-expression of GDF15 are leaner and are protected from diet induced obesity, and the injection of GDF15 causes hypophagia and weight loss in rodents (240,241).

 

Unlike GDF15, which has broad tissue expression, expression of the receptor for GDF15 (GFRAL) is restricted to the AP and NTS in adults. Intact signaling through the hindbrain is required for GDF15-mediated weight loss, as ablation of the AP and NTS or deletion of GFRAL abolishes hypophagia and weight loss in GDF15-treated mice (205,242,243).  While GDF15 produces a strong conditioned taste aversion, the downstream neural circuits by which GDF15/GFRAL activation modulates feeding behavior have yet to be elucidated. While GFRAL-null mice are protected from weight loss in response to infections, tumors, and chemotherapy, they display little (if any) alteration in body weight under normal physiologic conditions (204).  Thus, GDF15 appears to link strong physiologic stressors (e.g., infection, pregnancy, cancer, and cardiovascular dysfunction) to the aversive suppression of food intake, rather than contributing to the normal control of food intake and energy balance.

 

PEPTIDE YY

 

Peptide YY (PYY), which is released from the L cells of the distal digestive tract, belongs to the pancreatic polypeptide family (including pancreatic polypeptide (PP) and NPY) and has been proposed to serve as a satiety signal (244–246). The circulation contains two forms of the peptide: PYY1-36 and PYY3-36; the latter represents the main circulating form of PYY in postprandial human plasma and is able to cross the blood-brain-barrier by non-saturable mechanisms (247,248). Both forms of PYY bind to the Y2 isoform of the NPY receptor (NPY2R) (249). While the reported effects of PYY3-36 on food intake in rodents and humans initially generated some controversy (250), recent studies support the notion that NPY2R agonists can promote a strongly aversive suppression of food intake in many species (251,252).  The role for endogenous PYY in food intake remains unclear, however, and although the AP/NTS represent presumptive sites that mediate the suppression of food intake by NPY2R agonists, this has yet to be definitively established.

 

[Please refer to ENDOTEXT chapter Endocrinology of the Gut and the Regulation of Body Weight and Metabolism byAndrea Pucci and Rachel L Batterham, for additional information]

 

AMYLIN

 

Pancreatic b-cells co-secrete the peptide, amylin, with insulin during meals. Amylin inhibits gastric emptying and systemic and central administration causes a dose-dependent reduction of meal size (253–256). Amylin binds to the amylin receptor- CALCR in complex with a receptor activity modifying protein (RAMP) (257). The amylin-responsive neurons of the AP/NTS have yet to be definitively identified, but may lie in the AP and/or NTS.  Interestingly, combination treatment with amylin plus leptin elicits a greater inhibition of food intake and body weight loss in obese rats than predicted by the sum of monotherapy conditions. Peripheral administration of amylin restores leptin sensitivity in rats, crucial in the treatment of leptin resistance in obesity (258), suggesting the potential therapeutic utility of combining hindbrain- and hypothalamus-acting compounds.

 

Interactions Between Forebrain and Brainstem Systems that Control Food Intake

 

Communication between the systems that sense the gut and those that sense energy stores is crucial to control satiety appropriately for feeding state and physiologic requirements. Thus, the forebrain and hindbrain must communicate to appropriately control feeding.  Indeed, hypothalamic systems impact brainstem feeding circuits: AgRP neurons tonically inhibit PBN CGRP cells, while PVH projections to distinct (non-CGRP) PBN cells suppress feeding (61,65,70,71).  Similarly, the ingestion of nutrients activates a gut-vagus-NTS pathway that inhibits the activity of AgRP neurons (199), and projections from the NTS to the PVH can blunt food intake (259).  A great deal more research in this area will be required to fully understand the integration of these circuits, however.

 

OTHER SIGNALS THAT MAY MODULATE FOOD INTAKE

 

Nutrient Signaling

 

While their effects are not as strong as those of many hormones or neural circuits, all three groups of nutrients (carbohydrates, lipids, and proteins) have been implicated in the control of feeding.  Mayer proposed the “glucostatic hypothesis” in the 1950s, suggesting that decreases in glucose utilization stimulated eating and increases in glucose utilization halted eating (260,261). Indeed, intrahypothalamic glucose administration decreases food intake and inhibits hepatic glucose production (262). The response to decreased glucose or the blockade of glycolysis, which increases food intake and hepatic glucose production, is much stronger than the response to increased glucose, however.  Furthermore, most glucose-sensing neurons are modulated within the normal to low range of glucose concentrations, rather than by elevated glucose.  Also, the sensor of cellular energy deficits, AMPK, has also been proposed to play a role in CNS glucose sensing (263,264), but this cellular pathway is likely to be engaged mainly by severe energy deficits in the CNS.  Hence, the brain glucose- and energy-sensing systems may be mainly involved in defending against large swings in blood glucose (e.g., defending against hypoglycemia) rather than serving as a primary controller of food intake and energy balance. 

 

While the hypothalamic sensing of long-chain fatty acids has also been suggested to suppress food intake in response to increased availability of fatty acids in states of nutrient surfeit (265,266), the physiologic relevance of such a system remains unclear. The uptake of esterified lipids into the CNS is modest and circulating fatty acids actually increase during fasting. The systems that import fatty acyl-CoAs into mitochondria and the control of overall mitochondrial function in hypothalamic cells that control food intake and metabolism represent important determinants of energy balance, however.

 

Low protein diets dramatically increase food intake, and the peripheral or intra-CNS infusion of amino acids (especially the branched-chain amino acid leucine) robustly decreases food intake (267,268). While the neural pathways underlying these effects have yet to be completely elucidated, brainstem systems likely contribute, at least in part.  Additionally, the mechanistic target of rapamycin (mTOR)-mediated cellular amino acid sensing system is required for the operation of the CNS systems that mediate protein appetite (269).  In addition to its role in neurotransmission, glutamate acts on its receptor in the GI tract both mediate taste-sensation and to serve as a gut-derived signal to also the vagal input to the CNS (270). In one study, intra-luminal glutamate infusion resulted in reduced body weight without altering food intake (271).

 

Inflammation

 

Inflammatory signals are proposed to mediate several distinct metabolic responses. Strong acute inflammatory stimuli (including those associated with systemic infection, cancer, etc.) decrease appetite and increase energy expenditure, promoting cachexia (GDF15 may mediate a portion of this effect). Conversely, obesity is associated with increased low-grade inflammation that appears limited to particular tissues, such as adipose tissue (272). This low-grade “metabolic inflammation” is associated with insulin resistance and obesity. A variety of animal models have been employed to explore the interaction of inflammatory signals and energy balance/metabolism.

 

SYSTEMIC INFLAMMATION

 

Systemic immune signaling promotes negative energy balance. Lipopolysaccharide (LPS) administration, which produces some of the metabolic consequences of bacterial infection, blunts appetite; the mechanism of this hypophagia overlaps with the systems that control energy balance, as the LPS-induced anorexia requires the melanocortin system (273). Consistent with the induction of negative energy balance by systemic inflammation, alterations that blunt inflammation generally blunt inflammatory anorexia. While not altering baseline energy balance in chow-fed animals, deletion of IL-1b converting enzyme (ICE, which is essential for IL-1b activity), prevents LPS-induced anorexia in mice (274). GDF15, acting via AP GFRAL neurons, may also contribute to the LPS-mediated suppression of food intake.

 

The inflammatory system may also contribute to the control of energy balance under normal physiology, as well: adiposity is increased in Il6 null and Gmcsf null mice, and in mice with impaired macrophage function due to the targeted deletion of Mac-1 or LFA-1 (or their receptor, ICAM-1)(275). Conversely, mice with constitutively increased IL-1 receptor signaling induced by targeted deletion of the endogenous IL-1 receptor antagonist, Il1ra, display reduced body mass compared to wild-type littermates (276).

 

METABOLIC INFLAMMATION

 

Obesity is associated with increased production of a number of cytokines (including TNF alpha) in adipose tissue, resulting primarily from the activation of adipose tissue macrophages and other immune cells (275,279). Manipulations that decrease adipose tissue inflammation ameliorate the metabolic dysfunction associated with obesity. While interference with generalized macrophage function may increase adiposity, interventions that alter their pro-inflammatory (versus anti-inflammatory) nature increase leanness and improve metabolic function (280,281).

 

Some data also suggest that inflammation-associated hypothalamic processes may contribute to obesity. High fat feeding results in the activation of hypothalamic microglia (the resident immune cells of the brain) and astrocytes (282,283). Some have postulated that these activated microglia secrete proinflammatory cytokines to disrupt the control of food intake, promoting obesity. Debate continues regarding whether this gliosis provokes or attenuates obesity, however. The ER stress in adipose tissue and the hypothalamus, potentially a consequence of metabolic inflammation, has also been reported in obesity (284). Genetic or pharmacologic interference with ER stress ameliorates obesity and insulin resistance in rodent models.

 

ENERGY BALANCE AND MOTIVATION

 

The homeostatic regulation of energy balance powerfully defends against body weight excursions below the lower limits of adiposity (9), and but often fails to prevent weight gain in our world of abundance of highly palatable, high energy foods. Non-metabolic factors that contribute to overeating and obesity include food palatability, availability, sensory-specific satiety, energy density of food, consumption rate, stress, social environment and energy output/exercise (285,286). Palatability and pleasantness of food represent powerful determinants in regulating motivation to eat.

 

Reward Circuitry and Neurotransmitters

 

DOPAMINE AND THE BRAIN REWARD SYSTEM

 

The neural circuits that comprise the reward pathways encompass wide-ranging brain regions, including the hypothalamus, the nucleus acumbens in the basal forebrain, the midbrain ventral tegmental area (VTA), the amygdala and the thalamus (274). The LHA connects the hypothalamus to the broader reward system through projections to the VTA, where dopaminergic cell bodies lie. From there, the mesolimbic pathways (dopaminergic projections between the VTA and the nucleus acumbens) mediate reward-based feeding (287–289).

 

Dopamine (DA) potently augments the drive to obtain a rewarding stimulus and is required to drive feeding behavior. DA-deficient mice nurse normally until 2 weeks of age, but thereafter fail to thrive due an inability to wean themselves onto solid food unless supplemented with the DA precursor, L-DOPA, suggesting that DA is required for normal ingestive behavior (as well as activity) (290). While the specific mechanisms through which dopaminergic signaling regulates motivated feeding behavior are not yet clear, connections between the LHA and the mesolimbic system as well as integration with the leptin and melanocortin systems appear to contribute.

 

SEROTONIN RECEPTOR 2c

 

Serotonin (5-hydroxytrypamine, 5-HT), which derives from stress-modulated neurons in the midbrain raphe nuclei, acts via 5-HT receptor 2c (HTR2c) to decrease food intake and body weight, and deletion of Htr2c produces hyperphagic obesity that is accentuated by high fat diet. Within the hypothalamus, ARC, PVN, LHA, and anterior hypothalamic nucleus (AH) neurons contain Htr2c (291). A subset of ARC POMC neurons express Htr2c, and the Pomccre-mediated reactivation of a null Htr2c allele in these cells attenuates the food intake and obesity in the Htr2cnull mice (292,293). Htr2c cells in the midbrain VTA and in the hindbrain NTS may also contribute to the control of feeding by HTR2c.  The effect of HTR2c activation may vary by brain region, but, in aggregate, Htr2c mutant mice confirm the important role for this receptor in energy balance. HTR2c agonists promote weight loss, and several have been approved for the treatment of obesity.

 

ENERGY EXPENDITURE AS A DETERMINANT OF ADIPOSITY

 

With few exceptions, most of the systems that dramatically alter energy balance act primarily via the control of feeding; isolated alterations in energy expenditure promote more modest changes in energy balance because increases in energy expenditure and negative energy balance promote a compensatory increase in feeding. Similarly, decreased energy expenditure will cause the accumulation of adipose mass, which tends to restrain feeding. For instance, interference with normal VMH function (discussed above) decreases diet-induced energy expenditure and promotes increased adiposity only when animals are provided high caloric density diets (91,92).

 

The tendency for energy intake to match changes in energy expenditure is exemplified by several animal models in which alterations in energy expenditure do not lead to large changes in adiposity. Uncoupling protein 1 (UCP1, which is found primarily in brown and beige adipose tissue (BAT)) allows dissipation of the electrochemical gradient across the inner mitochondrial membrane, releasing energy as heat (294). Ablation of BAT in mice expressing diphtheria toxin A driven from the UCP1 promoter or congenital deletion of Ucp1 fails to alter adiposity at thermoneutrality, although adiposity increases slightly relative to controls in animals raised at temperatures colder than thermoneutrality, since these animals fail to substantially increase energy expenditure in response to the cold challenge (295). Similarly, the phenotype of mice null for the beta-adrenergic receptor beta 3-AR is not as severe as predicted: fat mass in male mice is only slightly increased, even in animals consuming a high-energy diet under non-thermoneutral conditions (296). Also, “beta-less” mice, with a global targeted deletion of all three beta-adrenergic receptor isoforms, have only slightly increased body fat on high fat diet under non-thermoneutral conditions (296).

 

[Please refer to ENDOTEXT chapter titled The Role of Non-exercise Activity Thermogenesis in Human Obesity byChristian von Loeffelholz and Andreas Birkenfeld and Control of Energy Expenditure in Humans by Klaas R Westerterp for additional complementary information on energy expenditure]

 

LESSONS FROM HUMAN OBESITY SYNDROMES

 

While much of our understanding of the genetics and signaling pathways involved in the central control of energy balance and development of obesity has been derived from rodent models, there exist rare cases of human obesity syndromes due to genetic mutations that shed light on the pathogenesis of obesity development. Many of these mutations corroborate the evidence from animal studies. In addition, with the advent of next generation sequencing and the ability to delve deeply into the human genome, genome wide association studies (GWAS) have also begun to reveal gene variants that may contribute or predispose to obesity.

 

Monogenic Obesity Syndromes

 

MC4R

 

Approximately 4% of morbid human obesity (BMI > 40 kg/m2) results from mutations in MC4R (297–299). Preserved lean mass and increased stature are also evident in humans with MC4R deficiency syndrome, as in rodent models (57). Most obesity associated with MC4R mutations has been attributed to heterozygosity at the MC4R locus (58). Patients who are homozygous for a null MC4R mutation develop severe childhood obesity (57), while heterozygous family members are overweight. This suggests a codominant inheritance pattern in which the gene product of these mutations impair the function of the normal gene product. Genome-wide association studies (GWAS) have revealed common non-coding polymorphisms within the MC4R locus that are associated with increased adiposity (59). Treatment options for patients with MC4R mutations remain limited, although recent studies have suggested that the newly developed MC4R agonist setmelanotide can produce modest weight loss in patients with MC4R variants that encode receptor with decreased (rather than absent) function, as well as those with POMC mutations (300,301).

 

LEPTIN DEFICIENCY INCLUDING LIPODYSTROPHY

 

Genetic leptin deficiency in humans is very rare, but (as in rodents) elicits a severe obesity phenotype: A rare, recessively inherited LEP mutation was discovered in two children who are members of a highly consanguineous Pakistani family (302). This frameshift mutation introduces a premature stop codon that truncates the leptin protein. While rare, additional leptin-deficient individuals (all of whom are severely obese) have been identified. Daily subcutaneous administration of recombinant leptin dramatically and selectively reduces body fat to normal levels in these individuals (303). A few humans homozygous for leptin receptor mutations have also been identified; these individuals present a severe obese phenotype similar to those lacking leptin, although – as anticipated - they are not responsive to exogenous leptin (304). It is important to note that mice (305) and humans (306) heterozygous for null mutations of either LEPR or LEP are more obese than controls. It is thus possible that individuals heterozygous for functionally null mutations of these and other genes encoding molecular components of the various signaling pathways regulating energy homeostasis discussed in this review constitute a significant proportion of the very obese. Additionally, heterozygosity for several of these mutations would be expected to produce even greater levels of obesity. The increasing use of exome sequencing in evaluating instances of severe obesity will lead to the detection of more instances of obesity caused by such oligogenic mechanisms.

 

Lipodystrophy represents another clinical syndrome associated with leptin deficiency. Lipodystrophy encompasses a heterogenous group of disorders that range from inherited monogenic gene disruptions to acquired disorders due to treatment with medications such as highly active retroviral therapy for HIV. In generalized lipodystrophy, patients develop loss of subcutaneous fat tissue which results in leptin deficiency, hyperphagia, severe insulin resistance and diabetes, and visceral obesity. When leptin deficiency can be demonstrated, treatment with recombinant leptin significantly improves hyperphagia, body weight and diabetes severity (307).

 

CILIOPATHIES

 

A subset of mutations causing defects in primary cilia promote obesity syndromes (308,309). The primary cilium is found on most cells; while structurally related to motile cilia (such as flagella), the primary cilium is immotile and does not participate in propulsion. The primary cilium plays a crucial sensory role in cells, including cell-specific sensing, such as olfaction in sensory epithelium, photoreception in retinal cells, mechanical transduction in kidney cells, and signaling via a variety of cell surface receptors, including many GPCRs. A broad group of disease-causing human mutations are now known to result from mutations in genes affecting ciliary functions (the “ciliopathies”). The clinical presentation of these diseases variably includes anosmia, retinal degeneration, kidney malformations, and a variety of developmental and neural defects, many of which are idiosyncratic to the particular gene that is mutated. A number of these mutations produce obesity in addition to the other phenotypes noted above, both in mice and humans. Included in these obesity-causing ciliopathies are Bardet-Biedel Syndrome (BBS), McKusic-Kaufman Syndrome, Alström Syndrome, and Joubert Syndrome. Altered trafficking of MC4R and/or MCH receptor may play roles in the obesity of those with ciliopathies.

 

POMC AND PROHORMONE CONVERTASE 1 DEFICIENCIES

 

Mutations resulting in complete absence of the POMC gene product cause secondary adrenal insufficiency due to lack of ACTH; however, once glucocorticoid replacement therapy is started, children with these mutations invariably develop obesity due to hyperphagia. In patients of Caucasian ancestry, there is also a characteristic phenotype of red hair and pale skin, although this is not found in patients from other genetic backgrounds. Some POMC mutations affect specific melanocortin peptide products, and those that specifically alter α-MSH result in severe early-onset obesity (39,40).

 

The prohormone POMC is cleaved by prohormone convertase 1 (PC1). Human PC1 deficiency caused by missense and splice site mutations in the PC1 gene also results in a disorder characterized by obesity and hypocortisolemia as well as hypogonadism (310).  Other monogenetic obesity syndromes in mice and humans likely result from alterations in melanocortin signaling, including those due to alterations in other components of the peptide processing system, including carboxypeptidase E (CPE) (311).

 

BRAIN-DERIVED NEUROTROPHIS FACTOR (BDNF/TrkB) SIGNALING

 

BDNF, a member of the neurotrophin family, is widely expressed in the nervous system during development, as well as being expressed within several brain regions important for energy homeostasis in adults (312). BDNF acts via its receptor, TrkB, to control a variety of basic neural processes, including proliferation, survival, and plasticity. Given its many important roles in the CNS, alterations in BDNF (or its receptor, TrkB) would be predicted to interfere with multiple processes. Indeed, humans haploinsufficient for BDNF display impaired cognitive function and hyperactivity, in addition to hyperphagic obesity (313,314). Mutations in NTRK2 (which encodes TrkB) produce similar hyperphagia and obesity, along with impaired cognitive function and nociception, in rare human patients (315). Interestingly, a coding polymorphism in BDNF (Val66Met) is associated both with obesity and with binge eating disorders in humans (316), consistent with the role for BDNF/TrkB signaling in energy balance, and suggesting a broader role for this system in the genetic determination of adiposity in humans. Indeed, alteration of TrkB and/or BDNF function in the hypothalamus of mice promotes obesity (317,318). Furthermore, polymorphisms in BDNF are associated with risk for obesity in human GWAS studies (59).

 

PRADER-WILLI SYNDROME (PWS)

 

PWS presents in infancy with low birth weight, hypotonia and poor feeding, followed by a progressive transition to hyperphagia and obesity starting after age 2 or 3 years. Additional features include short stature (correctible with growth hormone therapy), central hypogonadism, characteristic behaviors (especially around feeding), and often cognitive impairment (319,320). Most instances result from a 5-7 Mb deletion of an imprinted region (PWS region) on the paternal chromosome 15 (15q11-q13) and are non-recurrent. Within this deletion lie a number of genetic elements, including the genes encoding MAGEL2 and NECDIN, which are thought to be involved in neural development and function, and a complex non-coding locus. Non protein -coding genes in this interval include a transcribed non-coding gene (SNURF-SNRPN) that encodes a multitude of C/D box small nucleolar (sno-) RNA genes, including SNORD116. The RNA products of these SNORD genes are thought to be involved in RNA editing, perhaps of specific mRNA species.

 

A small number of individuals with PWS phenotypes associated with microdeletions of the implicated region on chromosome 15 have reduced the number of candidate genes for this syndrome (319). These patients have demonstrated obesity, developmental delay, hypogonadism, and all major features of PWS. The minimum critical deletion region contains only non-coding genes, including the SNORD116 gene cluster, IPW, and SNORD109A. The Snord116 locus has been deleted from mouse models, which display a growth defect and behavioral abnormalities, including a relative hyperphagia that develops after weaning, but which is balanced by increased energy expenditure (321). Thus, the effects of SNORD116 likely contribute to PWS, but may not account for all of the phenotypes.

 

The functions of Necdin and Magel2 have also been examined in genetically targeted mouse models. Magel2-/- mice display early growth retardation with a mild increase in adiposity, and Necdin-/- mice display early postnatal respiratory failure along with a subset of PWS-associated behaviors (322–324). Thus, the full PWS likely results from the combined effects of multiple genes; several genes within the PWS region also likely contribute to the maximal obesity phenotype. It is not yet clear how each of the loci within the PWS alter neurophysiology and/or which neurons they might specifically affect to alter energy balance. Understanding the molecular physiology of PWS is likely to identify novel genes in the control of energy homeostasis in non-syndromic obesities.

 

[Please refer to the chapter titled The Genetics of Obesity in Humans by Sadaf Farooqi and Stephen O'Rahilly, for additional information on genetic forms of obesity.

 

CONCLUSION

 

This chapter provides an overview of the complex neural and metabolic pathways that determine energy intake and expenditure. Distinct areas of the brain receive and interpret hormonal and neuronal messages from the periphery and other brain regions to integrate regulatory changes that maintain energy balance. These changes require a finely tuned balance of synaptic neurotransmitters, hormonal feedback loops and neuropeptide expression. The identification of the molecules encoding these messages using human studies and animal models has expedited the discovery of the crucial signaling and homeostatic pathways that govern these mechanisms. Their existence provides definitive refutation of vitalist/psychological notions that have permeated the field of energy intake and metabolism, and provides the heuristic, reductionist framework in which ongoing research on these questions should be conducted. It is likely that major genes and their modifiers, as well as allelic variants of a larger number of genes with lesser individual impact, will eventually account for both qualitative and quantitative aspects of the critical phenotypes in rodents and humans.

 

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Exercise Treatment of Obesity

ABSTRACT

 

Surveillance data from the general US population indicate a continued increase in the prevalence of overweight and obesity that is consistent with weight gain trends observed globally among industrialized countries. Physical inactivity and obesity are closely linked conditions and they account for a large burden of chronic disease and impaired function. The underlying agent in the etiology of obesity is a long-term positive energy balance; however, the pathways determining the rate and extent of weight gain due to a positive energy are complex. Engaging in regular, moderate-intensity physical activity for at least 150 min/week can help maintain energy balance and prevent excessive weight gain; however, this minimum requirement may not be sufficient for reversing already-existing obesity and chronic disease. In fact, physical activity closer to 300 min/week may be necessary for successful weight loss and weight loss maintenance. Regimented exercise programs alone may not be the most effective treatment for people with obesity, however. Rather, lifestyle changes that increase total daily energy expenditure need to be accompanied by dietary counseling for reducing daily caloric intake. Also, accumulating the necessary exercise and lifestyle physical activity in intermittent bouts, rather than one long continuous bout, can improve adherence and the success of weight loss regimens. It is also important for both clinicians and patients to understand that a simple solution to obesity treatment does not exist due to the constellation of underlying mechanisms that drive energy balance. Indeed, physiological, behavioral, environmental, and genetic factors play both independent and interrelated roles that contribute to the complex etiology of obesity.  Research from numerous scientific disciplines has shaped our understanding of obesity. While the relative contributions of insufficient energy expenditure versus excessive energy intake to obesity development continue to be debated, there is general agreement that exercise is a key element for both prevention and treatment. Future research should focus on the prevention of excess weight gain over the life course. In addition to the behavioral and intervention studies of the past several decades, an understanding of the regulatory processes governing energy intake, energy storage, and energy expenditure and how the reinstatement of exercise can correct the disruption of neural pathways is vital to the future of obesity research. Finally, public health science needs to link with public health practice to better enable the translation of this knowledge into policies that can alter the environment in a way that promotes an active lifestyle for all.

 

INTRODUCTION

 

Surveillance data from the general US population indicate a continued increase in the prevalence of overweight and obesity that is consistent with weight gain trends observed globally among industrialized countries (1-3). Myriad environmental, behavioral, physiological, and genetic factors contribute to the development of human obesity. However, the common underlying feature leading to these conditions is a positive energy balance. Attenuated metabolic responses to environmental exposures combined with predisposing factors and overall low energy expenditure may contribute to this positive energy balance. Although exercise is most effective in the prevention of obesity (4, 5), it can also contribute to weight loss and to weight maintenance over the long-term. Numerous intervention studies have evaluated the role of exercise training of various modes and intensities on the reduction of body weight and adiposity (6), and there is little doubt about the established benefits of increasing physical activity to the attainment and the maintenance of healthy body weight throughout the life span. Moreover, since exercise itself improves metabolic, respiratory, and cardiovascular function independent of weight loss (6), it has special significance for people with obesity who are at increased risk for obesity-related chronic conditions. In this chapter, we will describe the importance of exercise for the prevention and treatment of obesity, as well as to the prevention of weight regain following weight-loss therapy. In addition, this chapter will address the contributions of the built environment to the onset and possible reversal of obesity at the population level.

 

THE ETIOLOGY OF OBESITY

 

Inactivity and obesity are closely linked conditions accounting for a large burden of chronic disease and impaired function. Over the past several decades, ever-decreasing levels of daily energy expenditure, along with a ready supply of calorie-dense foods, have resulted in a marked disruption to energy regulatory systems, which are still genetically programmed for the subsistence efficiency of our late-Paleolithic ancestors (7, 8). As stated previously, the underlying agent in the etiology of obesity is a long-term positive energy balance. However, the relative importance of excess energy intake over low energy expenditure to this imbalance is controversial. Ultimately, the pathways determining the rate and extent of a positive energy balance with weight gain are complex, and the unique and combined contributions of heredity, physiology, and behavior, to the development of obesity are not understood completely—especially since the influence of any one of these primary factors is usually modified by a constellation of other secondary factors endemic to our current obesogenic environment (Figure 1).

Figure 1. Public health model illustrating the multifactorial model etiology of obesity. The traditional public health of disease transmission applied to obesity etiology. In this model, the impact of the agent (positive energy balance) can be modified by a number of host (specific to the individual) and environment (specific to collective behaviors or conditions) factors. In addition, a variety of vehicles/vectors are responsible for transmitting the causal agent.

 

The 2018 Physical Activity Guidelines for Americans, 2nd Edition (6), along with the 2020 World Health Organization (WHO) Physical Activity and Sedentary Behavior Guidelines (9) recommend for all adults 150-300 min/week of moderate-intensity physical activity (e.g., brisk walking) or 75-150 min/week of vigorous-intensity activity for the prevention of excessive weight gain, cardiovascular and metabolic diseases, and functional decline. These recommendations also include muscle strengthening exercises on two days/week. Although specific recommendations pertaining to sedentary behavior have not been made thus far, the evidence linking extended sedentary time to morbidity and all-cause mortality is growing (6). Indeed, both the 2018 Guidelines for Americans and the WHO Guidelines stress that everyone should "move more and sit less" (6) and "every move counts" (9). Importantly, current guidelines now stress the joint association between physical activity and sedentary time. For example, the health impact of sedentary behavior (particularly television viewing) becomes especially detrimental when combined with low levels of physical activity (6, 10). People can compensate for large amounts of sedentary time during the day (i.e., 8–14 h) by increasing their physical activity to achieve at least 30 min of accumulated moderate-intensity activity throughout the day. However, the more sedentary one is, the more accumulated activity is necessary to compensate (Figure 2).

Figure 2. The joint effects of physical activity on health and function. The red zone is harmful, while the green zone is healthful, suggesting that the more sedentary one is, the more accumulated physical activity they need to compensate.

The Role of Exercise in Weight Loss and Weight Maintenance

 

Population physical activity guidelines may be more effective for health promotion and the primary prevention of chronic disease risk factors than they are for the reversal of already established chronic conditions. Although increasing physical activity and reducing sedentary time has demonstrated benefits to improved health and function, even among people with chronic disease or with disabilities (6, 9), it is important to note that the minimum recommendation of 150 min/week of moderate-intensity physical activity, may not be sufficient to reverse these chronic conditions. Indeed, the treatment or reversal of some established conditions may require a dose of physical activity closer to 300 min/week. This may be especially true for the reversal of obesity and for weight loss maintenance. Although population- and laboratory-based data are limited, it appears that about 45–60 min/day of moderate-intensity activity is necessary to transition from overweight to normal weight, and ≥ 60 min/day may be necessary to transition from obesity (11-14), at least for a large part of the population with overweight and obesity who spend considerable time sitting throughout the day. In addition, there is substantial individual heterogeneity regarding a person's weight loss responsiveness to an exercise regimen, and this responsiveness may vary by age, sex, degree of obesity, adipose tissue distribution, and even adipocyte size (15-17). Thus, the benefits of increased physical activity to cardiovascular and metabolic health notwithstanding, its effectiveness per se for substantial weight loss and in the reversal of obesity may be less so.

 

Weight loss of 1–2 pounds (0.5–1 kg) per week is generally recognized as safe and effective (18). Weight loss at this recommended rate, however, would require a negative energy balance of ~ 500–1000 kcal/day over an extended period of time. Such an energy deficit is difficult to achieve by lowering energy intake (dieting) alone. More importantly, such drastic decreases in caloric intake could result in nutritional deficiencies and the loss of lean mass, thereby lowering the metabolic rate (19). Also, adherence to such a degree of caloric restriction is difficult to maintain over long periods of time and, therefore, increases the likelihood of relapse and compensatory weight re-gain.

 

On the other hand, whether exercise alone (without coincident caloric restriction) significantly alters body weight in people with obesity is debatable. Assuming that 60 min/day of moderate-intensity activity is necessary for meaningful weight loss for people with obesity, a man would need to perform 68–136 min/day of moderate-intensity walking (7.9 kcal/min), and a woman may have to perform 72–145 min/day of the same activity (6.4 kcal/min) to achieve 500-1000 kcal/day deficit necessary for a weight loss of 1–2 pounds (0.5–1 kg)/week (20). Further, although this walking pace (3.5 mph or 3.8 METs) may be comfortable for most people, sustaining it for over 60 min on 7 days/week may not be feasible for people with obesity. Indeed, it may be quite difficult for people with obesity to perform the volume (i.e., intensity, frequency and duration) of exercise necessary for meaningful weight loss in the absence of caloric restriction. Therefore, most evidence currently indicates that both exercise and caloric restriction are necessary components of a successful weight loss program.

 

People who are successful in losing substantial amounts of body weight through diet alone often quickly regain it. Weight regain is often seen following exercise-, medication-, and even surgery-induced weight loss, indicating that adaptations to a negative energy balance contribute to the obesity epidemic. Laboratory findings report that the level of daily energy expenditure necessary to prevent the re-gain of body weight following obesity is also quite high relative to the modern-day lifestyle (17). This challenge may be the result of changes in body composition or the body's overall adaptive energy expenditure and metabolic response to exercise that limits weight loss to activity alone (8, 21) (Figure 3). The 2003 consensus statement from the International Association for the Study of Obesity (14) recommended 60–90 min/day of moderate-intensity activity or about 35 min/day of vigorous activity for successful weight maintenance following the reversal of obesity, which, again, exceeds the upper threshold of current physical activity recommendations (6, 9).

Figure 3. Changes in Total energy expenditure ADJ, resting metabolic rate ADJ, and activity energy (CPM/d), (right, Pontzer (8), with permission are consistent with the findings shown in the schematic of exercise impact on body weight demonstrating a new equilibrium after an initial weight loss (left (21)), with permission

In sum, caloric restriction without exercise may result in a loss of lean mass along with adipose tissue, thereby resulting in a drop in the metabolic rate and setting the stage for weight re-gain. The amount of daily exercise that is necessary to achieve a healthy weight loss without caloric restriction may not be feasible over time for people with obesity, thus again resulting in relapse. Most research now supports the conclusion that exercise combined with caloric restriction increases the net caloric deficit induced by a weight loss program and markedly attenuates the loss of both fat-free and total body mass (19). Finally, as is the case through the period of dynamic weight loss, those who combine caloric restriction with exercise are more successful in maintaining that weight loss over time, compared with those relying on either diet or exercise alone.

 

THE ROLE OF RESISTANCE TRAINING FOR WEIGHT LOSS AND MAINTENANCE

 

Both aerobic and resistance exercise will preserve lean tissue during the period of dynamic weight loss, and this is primarily a function of the volume of exercise performed over the weight-loss period (i.e., dose-response). Resistance training is especially effective at preserving lean body mass during dynamic weight loss, although the amount of protein in the diet may impact this effectiveness (22). A program that combines caloric restriction with both aerobic and resistance training generally leads to greater weight loss and improved overall health, compared to a program combining caloric restriction with only aerobic exercise (11, 13). Of note is that the benefits of strength training to health and function can be independent of weight loss. For example, one 5-month study in older men and women with obesity that used both caloric restriction and resistance training led to reduced abdominal obesity, reduced hypertension, and improved metabolic syndrome without any changes in body weight (23). This is likely due to the increase in lean mass with resistance training, as well as the resulting quantitative and qualitative improvements in vascular and muscle function. Another study of older adults with obesity combined caloric restriction with one of three other exercise interventions: 1) aerobic exercise alone; 2) resistance training alone and 3) aerobic exercise and resistance training. Total body weight loss was similar across the three different exercise groups. However, the greatest improvements in measures of physical function were observed in the combined aerobic exercise with resistance training group (24). Thus, the benefits of resistance training extend beyond fat loss to include improved metabolic and physical function—and this may be especially so for older people.

 

THE ROLE OF TOTAL DAILY ACTIVITY IN WEIGHT MAINTENANCE

 

Evidence suggests that total daily accumulated energy expenditure is the strongest predictor of weight loss in people with obesity (25-27). Therefore, an alternative to the typical recommendation of large continuous bouts of exercise may be intermittent exercise, which can result in a similar weight loss but with improved adherence over the long-term. Also, the integration of increased physical activity as part of an overall lifestyle change (e.g., more walking and stair climbing as part of the daily routine) may be as successful in promoting weight loss as is a structured exercise program. Given the high degree of negative energy balance required for weight loss, however, high levels of lifestyle activity combined with caloric restriction are now prescribed for both initial and long-term weight loss for people with overweight and obesity.

 

The Physical Activity Level (PAL) has become a method of expressing total daily energy expenditure (TEE) in multiples of the resting metabolic rate (RMR: PAL = TEE/RMR), and thus far, few studies have examined its relation to weight regulation at the population level. Data from men in the Aerobics Center Longitudinal Study cohort indicate that a daily PAL >1.60 METs·24 h-1 (i.e., an average daily TEE 60% above RMR) is optimal for preventing meaningful weight gain (~ 0.82–0.91 kg·y-1 (13)) through middle-age (4). Moreover, increasing daily activity from the low PAL category (<1.46 METs·24 h-1) to the moderate (1.46–1.60 METs·24 h-1) or high (>1.60 METs·24 h-1) categories resulted in a slight weight loss over time in this cohort (Figure 4).

Figure 4. Predicted weight change over time by PAL change category among men in the Aerobic Center Longitudinal Study (ACLS) cohort. PAL=average daily physical activity level expressed as the ratio of total energy expenditure to the resting metabolic rate (TEE/RMR). Models adjusted for age, sex, height, baseline weight, and smoking. DiPietro, et al. Int J Obesity. 28:1541-1547,2004 (4)

The most useful strategy for accomplishing this average level of daily physical activity is exchanging passive or very low intensity activities (i.e., those involving sitting) for moderate-intensity activities that have energy requirements of about 3–6 METs. Moderate-intensity activities may have a substantially greater impact on the PAL than vigorous activities since vigorous activity is usually performed for very short periods of time and then can be compensated for by reduced volitional activity throughout the remainder of the day (28). Therefore, the best way to increase the average daily PAL from sedentary (1.5 METs·24 h-1) to active (>1.6 METs·24 h-1) is to add about 45–60 minutes of moderate-intensity activity to the daily routine. As described above, using either a continuous or intermittent exercise routine is equally effective in increasing overall TEE.

 

THE IMPACT OF WEARABLE DEVICES

 

In 2014, 10% of adult Americans over the age of 18 years reported owning an activity tracking device, and by 2016, the Worldwide Survey of Fitness Trends identified wearable technology as the most popular growing fitness trend, estimating the market to be around $6 billion (29). This survey was recently updated, reporting that wearable technology remained the number one trend for 2020, and the market reached an estimated $95 billion (30). Most large technology companies have incorporated activity monitoring technology into cellular phones, while larger corporations, including Apple and Google, have continued to expand their product lines to feature new models of watches, wristbands and other clothing devices with activity tracking capabilities. The most popular and affordable devices remain somewhat restricted to measuring step count and distance traveled.

 

New products are constantly in development given the high demand. Even though technological advancements have reportedly improved these devices, debate among product engineers, research scientists and others involved in this industry regarding their accuracy still persists. Data indicate that these devices are less consistent with the measurement of overall activity duration, energy expenditure, and sleep quality, so they may require further testing and more advanced algorithms before being used in research (31). Advanced devices are in development that are capable of measuring biometric signs, such as stress, strain, impact forces, in addition to metabolic parameters (e.g., glucose and lactic acid) and the tracking of physical activity (32).

 

Despite some limitations, such devices are quite useful in helping people to monitor their own daily caloric intake, energy expenditure, sleep patterns, and overall health profile. These devices may also serve to increase motivation among those starting an exercise program because they can help to set goals and provide immediate feedback, although whether or not this is so for long-term weight loss programs is questionable (32). Ideally, such devices can sync with the electronic health record (EHR), thereby allowing health care providers a chance to objectively monitor a patient's lifestyle behaviors.

 

PERSONAL AND ONLINE TRAINING

 

Personal training has remained in the top 10 fitness trends reported since 2006, and popularity has increased as online training has become more accessible (30), especially during the strict quarantine policies imposed during the COVID-19 pandemic in 2020. It is reasonable to suspect that there will be a continued use of online training programs in 2021 and beyond. Unfortunately, like wearable devices, training fees and internet access may be luxuries not available to low-income households, and although some communities have facilities that provide free web access to the public (e.g., public libraries), they may not be feasible locations for virtual exercise training. Thus, virtual exercise solutions that consider the financial limitations of current fitness trends are needed.

 

PROMOTING AN ACTIVE LIFESTYLE THROUGH THE BUILT ENVIRONMENT

 

There are few surveillance data on physical activity patterns over many years in representative populations that use consistent methods of data collection. Data from consumer groups and national monitoring and surveillance systems among persons living in the United States generally show a stable pattern of both leisure time and sport activity (33)but a decrease in work-related activity starting in the 1950s (34). These types of data are useful at the ecologic level in order to describe lifestyle trends among the population and to provide background data for community-based interventions that eventually affect public policy. Environmental interventions that promote change in risk conditions at the community level have a greater public health impact than attempting to change risk factors at the individual level. Environmental strategies more directly related to promoting an active lifestyle involve altering the built environment in which people spend much of their time—the community, the workplace, and the school.

 

A report from the Transportation Research Board (TRB) and the Institute of Medicien (IOM) outlines a number of recommendations pertaining to physical activity and the built environment (35). These recommendations state the primary need for multidisciplinary and inter-agency research (particularly longitudinal research and "natural experiments") linking specific aspects of the built environment with different types of physical activity. Ecological studies that can geocode physical activity and health data from surveillance systems such as the Behavioral Risk Factor Surveillance System (BRFSS) or from the National Health and Nutrition Examination Survey (NHANES) could provide useful information on the environment and the specific locations where low activity and/or high prevalence of overweight is occurring. Similarly, statistical tools such as Geographical Information Systems (GIS) can provide more detailed information on the built environment (land use, sidewalks, green space) to link with surveillance data on physical activity patterns and various health indicators like obesity within a community. These data are also quite useful in tracking how changes to the environment affect changes in behavior and in subsequent health outcomes.

 

The Health Impact Statement historically has been used in environmental risk assessment to inform the public of the health consequences of various actions (e.g., the building of a new manufacturing plant in the community) and generally, they are effective at involving inter-agency action and public consensus. Since available evidence suggests that the built environment plays a major facilitating role in promoting an active lifestyle, urban planners, local zoning officials, those responsible for the construction of residences, developments, and supporting transportation systems, and members of the community must work together in the design of more activity-friendly environments.

 

SUMMARY

 

Most research to date suggests that exercise is more effective in the prevention of overweight and obesity than it is in its reversal. Weight loss programs that combine exercise with caloric restriction can maximize the net caloric deficit while reducing the loss of fat-free mass. Adding resistance training to aerobic exercise will enhance muscle quantity and quality, thereby providing health benefits independent of weight loss. Accumulating the necessary exercise and lifestyle physical activity in intermittent bouts, rather than one long continuous bout, can improve adherence and the success of weight loss and maintenance regimens.

 

uture research should focus on the prevention of excess weight gain over the life course. In addition to the behavioral and intervention studies of the past several decades, an understanding of the regulatory processes governing energy intake, energy storage, and energy expenditure and how the reinstatement of exercise can correct the disruption of neural pathways is vital to the future of obesity research. Molecular and clinical studies that can identify candidate genes and other biomarkers of energy regulation responding to exercise should link with large epidemiologic studies to determine the relations among these biological markers, physical activity patterns and long-term weight gain among various populations. Controlled intervention trials should continue to test the dose-response relation between physical activity duration (min/week), volume (kcal/week), and/or intensity and various functional endpoints as rigorously as do pharmacological trials. Finally, public health science needs to link with public health practice to better enable the translation of this knowledge into policies that can alter the environment in a way that promotes an active lifestyle for all.

 

ACKNOWLEDGMENTS

 

This work was supported in part by grants from the National Institutes of Health, National Heart Lung and Blood Institute (HL135089 to and TS and NSS).

 

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