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Ann Thorac Surg 1997;64:715-720
© 1997 The Society of Thoracic Surgeons


Original Article: Cardiovascular

Preliminary Report of a Genetic Basis for Cognitive Decline After Cardiac Operations

Barbara E. Tardiff, MD, Mark F. Newman, MD, Ann M. Saunders, PhD, Warren J. Strittmatter, MD, James A. Blumenthal, PhD, William D. White, MPH, Narda D. Croughwell, CRNA, R. Duane Davis, Jr, MD, Allen D. Roses, MD, Joseph G. Reves, MD and the Neurologic Outcome Research Group of the Duke Heart Center

Division of Cardiac Anesthesia, Department of Anesthesiology, Joseph and Kathleen Bryan Alzheimer's Disease Research Center, Division of Neurology, Department of Medicine, Department of Neurobiology, Department of Psychiatry, and Department of Surgery, Duke University Medical Center, Durham, North Carolina

Accepted for publication June 30, 1997.


    Abstract
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Background. Changes in memory and cognition frequently follow cardiac operations. We hypothesized that patients with the apolipoprotein E-{epsilon}4 allele are genetically predisposed to cognitive dysfunction after cardiac operations.

Methods. The apolipoprotein E-{epsilon}4 allele was evaluated as a predictor variable for postoperative cognitive dysfunction in 65 patients undergoing cardiac bypass grafting at Duke University Medical Center. The primary outcome measure was performance on a cognitive battery administered preoperatively and at 6 weeks postoperatively.

Results. In a multivariable logistic regression analysis including apolipoprotein E-{epsilon}4, preoperative score, age, and years of education, a significant association was found between apolipoprotein E-{epsilon}4 and change in cognitive test score in measures of short-term memory at 6 weeks postoperatively. Patients with lower educational levels were more likely to show a decline in cognitive function associated with the apolipoprotein E-{epsilon}4 allele.

Conclusions. This study suggests that apolipoprotein E genotype is related to cognitive dysfunction after cardiopulmonary bypass. Cardiac surgical patients may be susceptible to deterioration after physiologic stress as a result of impaired genetically determined neuronal mechanisms of maintenance and repair.


    Introduction
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
****Neurocognitive dysfunction is a common complication after cardiopulmonary bypass, with an acute incidence as high as 75% in the approximately 400,000 patients who undergo cardiac operations each year [1, 2]. Findings vary from transient psychological changes to overt stroke, with objective measures of attention and concentration, memory, and speed of mental response most sensitive to change [3]. Although elderly patients are particularly susceptible to this important clinical problem, age and associated physiologic factors do not explain the majority of occurrences [4]. Observations to date suggest that as yet unidentified predisposing factors or events contribute to the development of cognitive dysfunction after cardiac operations.

We hypothesized that variant forms of the apolipoprotein E (APOE) gene that encodes the APOE protein responsible for repair of neuronal injury would make patients more susceptible to cognitive loss in the postoperative period [5, 6]. This could explain the well-documented susceptibility of surgical patients to impaired cognitive performance in tests of orientation to time and place, and recall of recently acquired verbal information [1, 3]. This hypothesis is supported by recent animal and human studies identifying an important role of APOE in the determination of neurologic injury associated with acute ischemic insults and stress, including markedly greater mortality and reduction in functional recovery in patients with intracerebral hemorrhage and closed head injury who possess the APOE {epsilon}-4 allele [710].


    Material and Methods
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Patient Selection
After institutional review board approval and written informed consent, patients undergoing elective coronary artery bypass grafting underwent a preoperative neuropsychological test battery. These patients represented a cross-section of cognitive performance in our patient population (Table 1Go). Patients with a history of cerebrovascular disease, psychiatric illness, renal disease, or active liver disease and those with less than a seventh-grade education were excluded from our investigation. Apolipoprotein E genotyping was accomplished post hoc on a total of 65 patients.


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Table 1. . Study Population Selectiona
 
Apolipoprotein E Analysis
Peripheral blood samples were obtained from each patient and were stored at 4°C before processing. Samples were blinded before analysis. Genomic DNA was prepared and used to determine APOE allele frequencies as previously described [5].

Intraoperative Management
Cardiac operation with cardiopulmonary bypass was managed according to a standard anesthetic regimen. Patients were orally premedicated with diazepam (5 to 15 mg) and methadone (10 to 15 mg) 90 to 120 minutes before induction. Routine monitoring included a radial arterial line, pulmonary artery catheter, five-lead electrocardiogram with continuous ST-segment analysis, pulse oximeter, and end-tidal carbon dioxide monitor. Surgical anesthesia was induced and maintained with midazolam, fentanyl, and vecuronium or pancuronium. Hypothermic cardiopulmonary bypass was maintained at 25° to 32°C using a Cobe CML membrane oxygenator (Cobe Laboratories, Lakewood, CO), Sarns 7000 MDX pump (Sarns Inc, Ann Arbor, MI), and Pall SP 3840 (Pall Biomedical Products Co, Glencove, NY) 40-µm arterial line filters.

Neuropsychological Testing
All patients underwent a battery of neuropsychologic tests. Testing was conducted preoperatively and 6 weeks postoperatively. In most cases, the same examiner administered all examinations. The test battery consisted of seven measures: Trail-Making Test part B (perceptual motor speed); the Digits Forward (short-term auditory memory), Digits Backward (short-term auditory memory), and Digit Symbols (psychomotor speed, visual memory) subtests from the Wechsler Adult Intelligence Scale—Revised; the immediate and delayed components of the Randt Short Story memory test (short-term semantic memory); and Benton Visual Retention (short-term figural memory). These instruments were selected on the basis of (1) appropriateness for assessing certain cognitive functions presumed to be affected by operation, (2) availability of multiple forms for repeated testing, (3) brevity and ease of administration, and (4) use in prior studies of similar subjects permitting ready comparison to data reported previously. Raw scores for each test were used in calculating change in individual measures over time.

Statistical Methods
The cognitive outcomes in this study consisted of pairs of neuropsychological test scores (preoperative paired with 6-week tests). The difference between preoperative and postoperative scores was computed for each patient on each neuropsychological measure. Cognitive decline, a measure of the incidence of significant impairment, was defined as 20% decrement in 20% or more of completed tests [11]. Cognitive impairment index, a continuous measure of the degree or severity of impairment, was defined as the average percent decline from baseline over all tests scored for an individual [11]. Any improvement is counted as zero decline in this average. Patients unable to complete every follow-up test were included in analyses for the tests they did complete.

Genotype was analyzed as a two-level category based on the presence or absence of the {epsilon}4 allele. Multivariable logistic regression analysis was employed to examine the effect of APOE-{epsilon}4 independent of predictors previously identified as significant on postoperative cognitive decline. Factors previously found to be unimportant in predicting cognitive outcome were not included in the model in consideration of statistical constraints [11]. Covariates in the analysis included baseline performance, age, and years of education. Score on the preoperative Randt Delayed Verbatim test was used to represent baseline performance. To ascertain whether the effect of genotype on cognitive decline varied, depending on either age or years of education, the interactions between genotype and age and genotype and years of education were also tested for significance. Backward variable selection was used to serially remove other nonsignificant factors, until only significant (p < 0.05) factors remained in the model.

Baseline demographic and clinical variables for genotype groups were described for categoric data by summarizing frequencies and percentages and for continuous data as means and standard deviations and as medians and 25th and 75th percentiles. To compare genotype groups, Fisher's exact test was used with categoric factors and a nonparametric Wilcoxon rank-sum test was used to evaluate continuous variables.


    Results
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Baseline Characteristics
Sixty-five patients underwent neuropsychological testing and determination of APOE genotype in conjunction with a cardiac operation. Preoperative demographic variables for the total study population and for APOE-{epsilon}4 positive and negative patients are listed in Table 2Go. There was no statistically significant difference in any of these descriptive variables or in mean baseline psychometric scores among apolipoprotein E-{epsilon}4 positive and negative patients. Intraoperative variables related to cardiopulmonary bypass were also similar across the patient population (see Table 2Go).


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Table 2. . Baseline Profile of Study Populationa
 
Apolipoprotein E Results
Apolipoprotein E genotypes for the study population and the presence or absence of the {epsilon}4 allele are presented in Figure 1Go. Twenty-six percent of the study population carried one copy of the apolipoprotein E-{epsilon}4 allele, giving an allelic frequency of 0.13. Because of the small number of {epsilon}2/{epsilon}3 and {epsilon}2/{epsilon}4 heterozygotes and the absence of {epsilon}2/{epsilon}2 and {epsilon}4/{epsilon}4 homozygotes, {epsilon}2/{epsilon}3 and {epsilon}3/{epsilon}3 individuals were grouped as {epsilon}4 allele absent, and {epsilon}2/{epsilon}4 and {epsilon}3/{epsilon}4 individuals were grouped as {epsilon}4 allele present for later analyses.



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Fig 1. . Apolipoprotein E genotypes of patients undergoing coronary artery bypass grafting.

 
Multivariable Analyses
In the multivariable logistic regression a relationship was noted between the presence of the APOE-{epsilon}4 allele and risk of cognitive impairment at 6 weeks. In the presence of APOE-{epsilon}4 allele, age was not found significant and was dropped from the final model. The effect of the {epsilon}4 allele depended on educational level. For individuals without the {epsilon}4 allele, there was an increasing risk of impairment with decreasing educational level. In patients with the {epsilon}4 allele, however, this effect was much more marked, such that risk was significantly greater at lower educational levels in those patients with the {epsilon}4 allele.

The assessment of the severity of cognitive decline at 6 weeks, the cognitive impairment index, yielded similar relationships. Multivariable linear regression on 6-week cognitive impairment index indicated a significant association between the presence of the apolipoprotein E-{epsilon}4 allele and the severity of cognitive impairment. Educational level again modulated the extent of this effect. Details of the logistic and linear regression analyses are shown in Table 3Go.


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Table 3. . Multivariable Regression Analysis: Cognitive Performance at 6 Weeksa
 

    Comment
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Here we report a genetic predisposition to cognitive dysfunction after cardiac operations. Apolipoprotein E genotype appeared to be related to decline in cognitive performance in 65 patients undergoing cardiac operations with cardiopulmonary bypass. The effect was noted primarily in patients with lower educational levels (less than high-school education). Of importance, preoperative performance was not affected by apolipoprotein E-{epsilon}4, suggesting that events during operation caused the decline in cognitive function in genetically susceptible patients. The memory and cognition changes described after cardiac operations are similar in some respects to those seen in early stage of chronic dementias such as Alzheimer's disease [1214]. In addition, patients with a higher level of education appear to be less susceptible to both Alzheimer's disease and postbypass neurodysfunction [4, 15], either due to enhanced coping skills or undefined physiologic or biochemical mechanisms.

Limitations
A number of limitations apply to this preliminary study. Because the study was observational, significant effects can be interpreted as associations, but no assumption of causality can be proven and inferences are limited to a similar population of cardiac surgery patients. The relatively small sample size in this initial study limited the number of predictors that could be included in the model and restricts the power of the conclusions. Larger studies are required that will have statistical power to support stronger inferences.

Follow-up was incomplete for some patients, which can introduce selection bias. Separate analyses for each cognitive outcome were performed, so that as much information as possible could be used. The absence of complete follow-up data beyond 6 weeks limits our ability to draw conclusions regarding long-term impact.

Apolipoprotein E in Other Clinical Settings
The observed frequency of 0.13 for apolipoprotein E-{epsilon}4 is identical to the allelic frequency seen in several normal control populations studied at Duke University [5] and comparable with the allele frequency of other large unrelated populations [16, 17]. The lack of {epsilon}2/{epsilon}2 and {epsilon}4/{epsilon}4 homozygotes and relative infrequency of the {epsilon}2/{epsilon}3 and {epsilon}2/{epsilon}4 genotypes is not unexpected given their low frequencies in the population.

The association between APOE and reparative mechanisms in chronic degenerative diseases has led to intense investigation of APOE's role in acute neurologic injury. Alberts and associates [10] reported death rate and functional recovery in a series of patients with intracerebral hemorrhage, where the acute death rate is usually 50%. Patients with the {epsilon}3/{epsilon}4 genotype had a 70% death rate and those who lived did not functionally recover. The {epsilon}3/{epsilon}3 patients had a 30% death rate, and the functional recovery was excellent. The presence of the APOE {epsilon}4 allele was also associated with worsened recovery and outcome in patients experiencing head trauma [8, 18]. Experimental data in APOE deficient wild-type mice showed that the lack of the normal APOE locus resulted in increased infarct size in a middle cerebral artery occlusion model, further supporting the role of APOE in determining cell recovery from central nervous system ischemia or stress [7].

Our postoperative cognitive outcome results are remarkably consistent with these experimental data. Neuropsychological testing showed no differences in patients with and without the {epsilon}-4 allele at baseline but demonstrated a greater susceptibility to decline with the central nervous system insult imparted by cardiopulmonary bypass.

Although some investigations have demonstrated an association of apolipoprotein E-{epsilon}4 allele with elevated levels of plasma cholesterol, low-density lipoprotein-cholesterol, and triglyceride [19, 20], and accelerated coronary artery disease [21] compared with age-matched controls, this has not been a consistent finding by all investigators or in all populations [22, 23]. Although we cannot rule out increased atherosclerosis as the mechanism producing increased decline in cognitive function, it appears that the risk for cognitive change after cardiopulmonary bypass associated with the apolipoprotein E-{epsilon}4 allele is far more complex than hyperlipidemia [20, 24].

Significance
One can speculate that the mechanisms of neuronal maintenance or repair capacity may be impaired in individuals with the {epsilon}4 allele. An understanding of how damage is related to impaired homeostatic processes should facilitate further investigation into the etiology of postoperative dysfunction and will be critical to the design of effective strategies for prevention of postoperative deficits. The very interesting association observed between apolipoprotein E-{epsilon}4 and cognitive decline after cardiac operations holds promise for an entire new approach to the prediction and, more important, prevention of neurocognitive dysfunction after cardiac operations.


    Appendix 1. Neurologic Outcome Research Group of the Duke Heart Center
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Director: Mark F. Newman, MD; Assistant Director: James A. Blumenthal, PhD

Anesthesiology: Bea Baldwin, CRNA; Narda D. Croughwell, CRNA; Elizabeth deLong, PhD; Jerry L. Kirchner, BS; Hilary Grocott, MD; Bruce J. Leone, MD; Mark F. Newman, MD; Joseph G. Reves, MD; Barbara E. Tardiff, MD; William D. White, MPH

Behavioral Science: Michael Babyak, PhD; James A. Blumenthal, PhD; Eileen Burker, PhD; Heather Fraser, BA; Elizabeth P. Mahanna, BA; Elizabeth A. Thyrum, PhD; Carolina P. Clancey, BA

Surgery: R. Duane Davis, Jr, MD; Donald D. Glower, MD; Robert H. Jones, MD; Kevin P. Landolfo, MD; Peter K. Smith, MD

Medicine: Nancy Clapp-Channing, MS; Barrie J. Hurwitz, MD; Daniel B. Mark, MD; William Spillane, MD; Warren J. Strittmatter, MD; Ann M. Saunders, PhD; Allen D. Roses, MD


    Acknowledgments
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
This work was supported by The National Institutes of Health, National Institute on Aging, Claude D. Pepper Older Americans Independence Center, #5 P60AG-11268; National Institutes of Health grant ROI-AG-09663; National Institutes of Health Leadership and Excellence Award #5 R35AG-07922; National Institutes of Health Alzheimer's Disease Research Center #5 P50AG-05128; American Heart Association grant-in-aid #95010970, and a grant from the Anesthesia Patient Safety Foundation.

We appreciate the enthusiastic support and cooperation of our surgical colleagues: Drs Robert W. Anderson, R. Duane Davis, Jr, Francis G. Duhaylongsod, Donald D. Glower, Jr, James Jaggers, Robert H. Jones, Kevin P. Landolfo, James E. Lowe, Peter K. Smith, and Walter G. Wolfe. We also acknowledge the support of our perfusionist colleagues: Ian Shearer, C. B. Clark, Edward Darling, Joyce Hancock, Curtis King, D. Scott Lawson, Tim Moretz, Katherine Nanry, Carmen Offer, Calvin Rogers, and Greg Smigla. We thank Ed Lowry for assistance in data collection and Kathleen A. Welsh, PhD, for valuable discussion in the preparation of the manuscript.


    Footnotes
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 
Address reprint requests to Dr Newman, Division of Cardiothoracic Anesthesia, Duke University Medical Center, Box 3094, Durham, NC 27710 (e-mail: newma005{at}mc.duke.edu).

* The members of the Neurologic Outcome Research Group of the Duke Heart Center are listed in Appendix 1. Back


    References
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Results
 Comment
 Appendix 1. Neurologic Outcome...
 Acknowledgments
 References
 

  1. Newman M, Frasco P, Kern F, Greeley WJ, Blumenthal JA, Reves JG. Central nervous system dysfunction after cardiac surgery. Adv Cardiac Surg 1992;3:243–84.
  2. Ellis RJ, Wigniewski A, Potts R, et al. Reduction of flow rate and arterial pressure at moderate hypothermia does not result in cerebral dysfunction. J Thorac Cardiovasc Surg 1981;84:585–94.
  3. Savagneau JA, Stanton BA, Jenkins CD, Frater RW. Neuropsychological dysfunction following elective cardiac operation. II: A six-month reassessment. J Thorac Cardiovasc Surg 1992;84:595–600.
  4. Newman M, Croughwell N, Blumenthal J, et al. Effect of aging on cerebral autoregulation during cardiopulmonary bypass: association with postoperative cognitive dysfunction. Circulation 1994;90(Suppl 2):243–9.
  5. Saunders AM, Strittmatter WJ, St. George-Hyslop P, et al. Association of apolipoprotein E allele {epsilon}4 with late-onset familial and sporadic Alzheimer's disease. Neurology 1993;43:1467–72.[Abstract/Free Full Text]
  6. Corder EH, Saunders AM, Strittmatter WJ, et al. Gene dose of apolipoprotein E type 4 allele and the risk of Alzheimer's disease in late onset families. Science 1993;261:921–3.[Abstract/Free Full Text]
  7. Laskowitz D, Sheng H, Bart R, Joyner K, Roses A, Warner D. Apolipoprotein E deficient mice have increased susceptibility to focal cerebral ischemia. J Cereb Blood Flow Metab (in press).
  8. Nicoll J, Roberts G, Graham D. Apolipoprotein E epsilon 4 allele is associated with deposition of amyloid beta-protein following head injury. Nature Med 1995;1:135–7.[Medline]
  9. Sorbi S, Nacmias B, Piacentini S. Apolipoprotein E genotypes and outcome after post-traumatic coma [Abstract]. Neurology 1996;46:A307.
  10. Alberts MJ, Graffagnino C, McClenny C, et al. APOE genotype and survival from intracerebral haemorrhage. Lancet 1995;346:575.[Medline]
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