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Journal of Perinatology www.nature.

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ARTICLE OPEN

The association between patterns of early respiratory disease


and diastolic dysfunction in preterm infants
1,2 ✉
Koert de Waal , Edward Crendal1,3, Amy Chin-Yu Poon2, Mariyam Shaya Latheef2, Elias Sachawars4, Thomas MacDougall4 and
Nilkant Phad1,2

© Crown 2023

BACKGROUND: This study aims to determine the association between clinical patterns of early respiratory disease and diastolic
dysfunction in preterm infants.
METHODS: Preterm infants <29 weeks’ gestation underwent cardiac ultrasounds around day 7 and 14–21. Respiratory dysfunction
patterns were classified as stable (ST), respiratory deterioration (RD) or early persistent respiratory dysfunction (EPRD) according to
oxygen need. Diastolic dysfunction was diagnosed using a multi-parameter approach including left atrial strain (LASR) to help
differentiate between cardiac or pulmonary pathophysiology.
RESULTS: 98 infants (mean 27 weeks) were included. The prevalence of ST, RD and EPRD was 53%, 21% and 26% respectively.
Diastolic dysfunction was more prevalent in the RD and EPRD groups with patent ductus arteriosus and significant growth
1234567890();,:

restriction as risk factors. Not all infants with a PDA developed diastolic dysfunction. LASR was lower in the EPDR group.
CONCLUSION: Respiratory dysfunction patterns are associated with diastolic dysfunction in preterm infants.
Journal of Perinatology; https://doi.org/10.1038/s41372-023-01608-5

BACKGROUND Heart failure is defined as an inability of the heart to pump


Most very preterm infants require respiratory support early after blood to the body at a rate matching its needs, or to do so only at
birth and in the first few postnatal weeks [1]. Three distinct the cost of high ventricular filling pressures [8]. When heart failure
patterns of oxygen requirement and need of respiratory support presents with normal systolic function, it is classified as DHF. In
have been described in this age group [2]. Infants considered adults, DHF is characterized by a stiff left ventricle (LV) with
stable (ST) require little respiratory support and stabilize quickly, decreased compliance and impaired relaxation, which leads to
and remain in low fraction of inspired oxygen (FiO2) for weeks increased end diastolic pressure [9, 10]. Signs and symptoms of
until they come off respiratory support. Others have higher FiO2 at DHF are similar to those of heart failure with systolic dysfunction
birth and remain oxygen dependent for several weeks, referred to and are created by manifestation of pulmonary edema (RD,
as early and persistent respiratory dysfunction (EPRD). A third exercise intolerance) or systemic oedema. The diagnosis of DHF is
group recover from their initial respiratory disease, only to supported by identifying diastolic dysfunction with Doppler
deteriorate in the second week of life, described as a group with echocardiography and excluding non-cardiac causes of these
respiratory deterioration (RD). The RD or persistent dysfunction signs and symptoms [11].
has mostly been attributed to pulmonary parenchymal disease Up to 1 in 5 very preterm infants develop diastolic dysfunction on
with abnormal lung development due to preterm birth. However, cardiac ultrasound in the first weeks after birth [12]. About 10% of
some preterm infants have been shown to have early respiratory those infants continue to develop clinical signs and symptoms that
morbidity due to diastolic dysfunction from immature myocardial would support the diagnosis of DHF (e.g., RD, systemic oedema), but
development [3, 4]. the clinical signs and symptoms overlap with what we know
Clinical trials have targeted very preterm infants with EPRD and clinically as RD or EPRD. It is possible that cardiac pathophysiology
RD in the second or third week of life with systemic steroids plays an important role in the development of clinical respiratory
targeting lung inflammation to prevent further lung disease [5–7]. dysfunction. The aim of this study is to determine the association
The results of these trials have only been moderately successful between patterns of early respiratory disease and diastolic
(dexamethasone) or unsuccessful (hydrocortisone), suggesting dysfunction on cardiac ultrasound in very preterm infants.
that some of the infants with EPRD or RD might have an
alternative diagnosis. Other pathophysiology that can lead to
greater respiratory support requirements in preterm infants in this METHODS
particular timeframe includes the patent ductus arteriosus (PDA), Patients
late onset sepsis and diastolic heart failure (DHF). This single centre prospective observational study approached all preterm
infants <29 weeks’ gestation. Exclusion criteria were significant cardiac or

1
John Hunter Children’s Hospital, department of neonatology, Newcastle, NSW, Australia. 2University of Newcastle, Newcastle, NSW, Australia. 3John Hunter Hospital, department
of cardiology, Newcastle, NSW, Australia. 4John Hunter Hospital, department of radiology, Newcastle, NSW, Australia. ✉email: koert.dewaal@hnehealth.nsw.gov.au

Received: 6 October 2022 Revised: 4 January 2023 Accepted: 11 January 2023


K. de Waal et al.
2
other congenital abnormalities and death before 21 days of life. Infants Statistical analysis
with a small muscular VSD or small ASD could be included. During the Parameters were expressed as mean and standard deviation or median
study period local guidelines suggested early surfactant and nasal and interquartile range where appropriate. Simple group analyses were
continuous positive airway pressure via a bubble system as main conducted using an independent t-test and ANOVA. Categorical variables
respiratory support strategy. Management of the PDA was directed by were expressed as counts (percent) and analyzed using the Chi squared or
cardiac ultrasound, usually organized in the first week of life. Ethical Fisher’s exact test.
approval for this study was obtained from the Hunter New England human This is an exploratory pilot study with primary outcomes respiratory
research ethics committee. After informed consent, all infants received a disease patterns and diastolic dysfunction. An exact sample size could not
cardiac ultrasound as close as possible to day 7 after birth, and again be calculated due to limited published data on diastolic dysfunction in
between day 14 and 21 after birth. Additional cardiac ultrasounds could be preterm infants. Assuming that the respiratory patterns are equally divided
performed at clinicians’ discretion. and 20% develops diastolic dysfunction, a sample of ~100 infants will be
required. Known co-variates for respiratory dysfunction and/or diastolic
dysfunction include a persistent PDA, mechanical ventilation, late onset
Clinical definitions sepsis and significant growth restriction [3, 12, 20, 21]. Depending on their
Respiratory patterns were determined according to Laughon et al [2]. prevalence in the studied cohort, actual required sample could vary.
Infants were categorized as ST when they received FiO2 < 0.23 between Analyses were performed on GraphPad version 6 (Prism, LaJolla, CA, USA)
days 3 and 7 and FiO2 < 0.25 at day 14–21, as RD when FiO2 < 0.23
and SPSS version 21 (IBM, Armonk, NY, USA), and p values < 0.05 were
between days 3 and 7 and FiO2 ≥ 0.25 at day 14–21, and as early persistent
considered statistically significant.
respiratory dysfunction (EPRD) when FiO2 ≥ 0.23 between days 3 and 7,
and FiO2 ≥ 0.25 at day 14–21. Respiratory support settings, and blood gas
values closest to the cardiac ultrasounds were collected from the patient
notes. Where available, chest X-rays were analyzed by two blinded RESULTS
radiologist using pattern recognition on an arbitrary 3 point Likert scale as From June 2020 to June 2022, 124 preterm infants <29 weeks
more likely diffuse or focal neonatal pulmonary disorders, can’t gestation were admitted in the John Hunter Children’s Hospital
differentiate, or more likely vascular congestion [13]. neonatal intensive care. Four infants died before 21 days of life, 1
Weight Z-scores were determined using the Fenton growth charts [14]. infant was transferred out, 1 infant had significant cardiac
Significant growth restriction was defined as a birth weight below the 10th abnormalities (large VSD), in 18 cases the investigators were not
percentile or Z-score < 1.30. Late onset sepsis was defined as a clinical available and in 2 cases no consent was obtained, leaving 98
deterioration with a positive blood culture.
infants for analysis. The mean gestational age and birth weight of
the cohort was 27.1 (1.4) weeks and 953 (230) grams respectively.
Echocardiography The respiratory patterns and categories are presented in Table 1.
Echocardiography examinations were performed using a GE E90 system The rate of ST, RD and EPRD was 53%, 21% and 26% respectively.
v202 (GE ultrasound, Illinois, USA) with 12 MHz probe. Image acquisition Infants with RD or EPRD were generally of lower gestational age
was triggered to the R wave and followed the recommendations of the
American Society of Echocardiography [15]. Analyses were performed and birth weight, and EPRD infants had a lower weight Z-score at
offline using Tomtec Arena version 4.6 and 2D Cardiac performance birth (p < 0.05) and were more likely to be male. Diastolic
analysis build 1.4.0.44 (Tomtec, Unterschleissheim, Germany). The PDA was dysfunction was significantly more prevalent in both the RD and
assessed from the high parasternal view and the diameter was taken in 2D EPRD groups. The odds ratio of developing diastolic dysfunction
at end systole. Ejection fraction was determined from the apical 4 chamber (when compared to the ST group) was 2.2 (95%CI 0.5–9.2) and 3.0
view using monoplane method of disk [16]. (95%CI 0.8–10.9) on the first scan, and 25 (95%CI 3–225) and 34
(95%CI 4–287) on the second scan for infants with RD and EPRD
Ultrasound parameters of diastolic function respectively.
We used a combination of pulse wave Doppler, Tissue Doppler, volumetric The first cardiac ultrasound scan was performed at a median of
changes and speckle tracking imaging to assess diastolic function. Left 7 (5–8) days after birth, and the second scan at 18 (15–20) days.
atrial volume (LAvol) was determined by method of disks from the apical 4 Figure 1 shows the prevalence of diastolic dysfunction in relation
chamber images by tracing the left atrium (LA) at maximum size, omitting to respiratory patterns, and Fig. 2 shows its progression over time.
the pulmonary vein confluence and the LA appendage [17]. The EA ratio Fifteen infants, all with a PDA, had diastolic dysfunction on the first
was calculated from the respective early and late diastolic peak velocities scan. Nine of these improved over time, 5 with concurrent PDA
from pulsed wave Doppler. The e’ velocity was determined at the septal
annulus with tissue Doppler imaging. The Ee’ ratio was calculated from the closure. In 12 infants diastolic dysfunction newly appeared at the
E wave velocity divided by the e’ velocity. second cardiac scan, 5 of those had a persistent PDA.
Peak atrial longitudinal strain was used to help differentiate between Table 2 shows hemodynamic and cardiac ultrasound para-
diastolic dysfunction of cardiac origin and pulmonary venous hyperten- meters for each respiratory group at the second scan. When
sion as isolated feature. In isolated pulmonary venous hypertension, one compared to the ST group, infants with RD and EPRD had lower
would expect left atrial pressures and function to be normal. Progressive blood pressure and lower early diastolic e’ velocities at the first
diastolic dysfunction of cardiac origin would increase pressure in all scan, but not at the second scan. LAvol and Ee’ ratio was higher at
pulmonary vessels (venous, capillary, and arterial). Peak left atrial both cardiac scans, with lower atrial strain in the EPRD group only.
longitudinal strain was determined at QRS using speckle tracking
The prevalence of pulmonary hypertension at the second scan
analysis [18].
Pulmonary hypertension can be the end-result of progressive diastolic
was significantly higher in the RD group (19%) and EPRD group
dysfunction of cardiac origin, and was assessed by exploring tricuspid (24%) when compared to the ST group (2%).
regurgitation, moderate to severe septal flattening in systole, or any There were no significant differences at the first or second
bidirectional or right-to-left shunt, and recorded as present or not [19]. cardiac scan in sodium, lactate, pH, pCO2 and base excess
between the groups. Hemoglobin was significantly lower in the
Definition of diastolic dysfunction RD and EPRD groups at first scan (126(19) and 132(30) versus
Diastolic dysfunction was assessed using a multi-parametric approach 147(22) gr/L, p < 0.01) and at the second scan (98(17) and 101(16)
which included 6 parameters and diagnosed as present when 3 or more versus 115(18) gr/L, p < 0.01).
parameters were outside the normal range for age. Based on previous Eight infants in the ST group (including the one infant with
work in preterm infants at comparable gestational and postnatal age we diastolic dysfunction) received a chest X-ray which were all scored
set the cut-points at LAvol > 1.50 ml/kg, EA ratio > 0.90, e’ velocity < 2.7, Ee’ as more likely to represent a pulmonary disorder. A total of 73
ratio > 18, the presence of pulmonary hypertension, and peak left atrial chest X-rays were taken in the RD and EPRD groups, with only 2
strain <25% [12, 17]. classified as more likely vascular congestion.

Journal of Perinatology
K. de Waal et al.
3
Table 1. Patient demographics per clinical respiratory course.
Stable Respiratory deterioration Early persistent respiratory p value
dysfunction
n 52 (53) 21 (21) 25 (26)
Antenatal
Pregnancy induced hypertension 14 (27) 3 (14) 9 (36) 0.250
Fetal growth restriction (Z-score < −1.00) 7 (13) 4 (19) 8 (32) 0.156
Gestational diabetes 4 (8) 3 (14) 2 (8) 0.658
Prolonged rupture of membranes 9 (17) 8 (38) 5 (20) 0.147
Antenatal steroids 51 (98) 19 (91) 24 (96) 0.332
Neonatal
Birth asphyxia (APGAR < 5 at 5 min) 3 (6) 1 (5) 4 (16) 0.250
Male 26 (50) 10 (48) 19 (76) 0.067
Gestational age 28.0 (0.8) 26.1 (1.4) 26.2 (1.4) <0.001
Birth weight 1080 (194) 835 (204) 788 (157) <0.001
Weight Z-score −0.14 (0.71) −0.12 (0.83) −0.58 (0.79) 0.017
Small for gestational age (<10th 2 (4) 1 (5) 3 (12) 0.361
percentile)
Mechanical ventilation >10 days 0 (0) 4 (19) 9 (36) <0.001
Patent ductus arteriosus >10 days 5 (10) 8 (38) 13 (52) <0.001
Late onset sepsis 2 (4) 4 (19) 3 (12) 0.107
Diastolic dysfunction on 1st scan 5 (10) 4 (19) 6 (24) 0.225
Diastolic dysfunction on 2nd scan 1 (2) 7 (33) 10 (40) <0.001
Data presented as n(%) or mean(SD).

The association between patterns of respiratory disease,


diastolic dysfunction and the prevalence of other pathology is
presented in supplementary table 1. The prevalence of PDA > 10
days, mechanical ventilation >10 days, significant growth restric-
tion and late onset sepsis was 26%, 13%, 6% and 9% respectively.
Diastolic dysfunction in the ST and RD groups was predominantly
related to a PDA, and in the EPRD group it was related to growth
restriction with or without a PDA. The prevalence of diastolic
dysfunction in infants with a persisted PDA > 10 days, mechanical
ventilation >10 days, significant growth restriction and late onset
sepsis was 46%, 53%, 66% and 33% respectively.
Figure 3 shows the relationship between the PDA diameter and
diastolic dysfunction. Infants with diastolic dysfunction had a
significantly larger PDA compared to infants without (2.32 versus
1.56 mm, p < 0.001). Not all infants with a large PDA diameter
developed diastolic dysfunction.
Fig. 1 Relationship between patterns of respiratory disease and
incidence of diastolic dysfunction on cardiac ultrasound.
DISCUSSION
This exploration study found a strong association between clinical
patterns of respiratory dysfunction and the prevalence of diastolic
dysfunction on cardiac ultrasound. We hypothesize that cardiac
pathophysiology plays an important role in the development of
clinical signs and symptoms in a subgroup of preterm infants. Our
data showed a strong association between clinical patterns of
respiratory dysfunction and the prevalence of diastolic dysfunc-
tion on cardiac ultrasound.
Diastolic function of the heart describes the filling of the
ventricles. When the mitral valve opens, blood enters the LV
through suction caused by elastic recoil of myocardial fibers re-
lengthening toward their resting length (restoring forces) and
thereby lowering LV cavity pressure. With further filling and
increase in LV cavity size, and the myocardial fibers expanding
beyond their resting length, stiffness of the myocardial tissues will
slow the rate of filling and increase LV cavity pressure. The final
Fig. 2 Prevalence of diastolic dysfunction and progression over time.
phase of diastolic function is created by atrial contraction,

Journal of Perinatology
K. de Waal et al.
4
Table 2. Hemodynamic and cardiac ultrasound parameters.
First cardiac scan (day 7) Second cardiac scan (day 14–21)

ST RD EPRD ST RD EPRD
Heart rate (beats/min) 163 (11) 164 (11) 169 (12) 162 (8) 163 (7) 165 (10)
Systolic blood pressure (mmHg) 61 (7) 54 (5)# 53 (8)# 66 (8) 62 (9) 63 (11)
Diastolic blood pressure (mmHg) 36 (6) 29 (6)* 31 (6)* 38 (8) 35 (7) 38 (7)
Ejection fraction (%) 60 (8) 64 (8) 65 (7)* 53 (5) 58 (10) 57 (8)
# # #
Left atrial volume (ml/kg) 0.92 (0.36) 1.41 (0.52) 1.43 (0.70) 1.09 (0.20) 1.53 (0.67) 1.74 (1.22)#
EA ratio 0.75 (0.13) 0.81 (0.14) 0.76 (0.17) 0.82 (0.09) 0.85 (0.14) 0.81 (0.15)
e’ velocity (cm/s) 3.6 (0.6) 3.2 (0.5)* 3.1 (0.7)# 3.9 (0.4) 3.6 (0.7) 3.9 (1.4)
Ee’ ratio 12.7 (4.2) 17.2 (5.7)# 17.3 (8.4)# 14.8 (3.1) 18.2 (4.3)# 17.9 (6.2)#
Peak atrial strain (%) 32 (7) 30 (7) 29 (8) 32 (4) 29 (6) 27 (8)*
Data presented as mean(SD). t-test p value at <0.01 or <0.05 when compared to the ST group.
# *

ST stable group, RD respiratory deterioration group, EPRD early progressive respiratory dysfunction group.

associated clinical respiratory signs and symptoms in preterm


infants. Blood pressure was lower in the infants with respiratory
signs and/or diastolic dysfunction. Atrial volume and the Ee’ ratio
was increased in infants with respiratory signs, both parameters
associated with raised atrial pressure, and atrial dysfunction was
found in the EPRD group where persistent high atrium volume
was common. Increased LA pressure can lead to pulmonary
venous congestion and a subsequent increase in right ventricle
afterload. To compensate the right ventricular driving pressure has
to increase, which can explain the higher rate of pulmonary
hypertension found in the RD and EPRD groups [4, 25]. Pulmonary
hypertension due to pulmonary vascular disease as seen in
abnormal preterm lung development would not necessarily
increase LA pressure, and thus ultrasound estimates of LA
pressure could be proposed to differentiate between a pulmonary
or cardiac origin of respiratory signs and symptoms. Chest x-ray
was unable to differentiate between respiratory and cardiac
diastolic pathophysiology.
The prevalence of diastolic dysfunction was high in infants with
respiratory signs and a persistent PDA for more than 10 days,
mechanical ventilation for more than 10 days, significant growth
restriction and late onset sepsis. The PDA is a hemodynamic
condition where high volumes of blood pass through an open
shunt into the left side of the heart, leading to progressive
Fig. 3 Patent ductus arteriosus (PDA) diameter in relation to
diastolic dysfunction. morphological and functional changes in the LA and the LV [26].
Besides PDA closure, limited compensatory mechanisms are
available to the preterm heart to control the rising LA pressure
increasing the LA pressure above the LV pressure and establishing with a PDA. The foramen ovale is used to offload some of the
the final LV end diastolic volume and pressure before the mitral raised volume and pressure in the LA, but often fails to do so
valve closes and contraction begins. Diastolic dysfunction is completely [27]. This explains why the presence of a PDA has
characterized by an increased pressure at the end of diastole or strong associations with ultrasound parameters of diastolic
abnormal patterns or LV myocardial relaxation. dysfunction [12, 28–30]. Somewhat unexpectedly, we found that
The preterm heart undergoes significant changes with the not all infants with a PDA developed diastolic dysfunction despite
transition from fetus to newborn, and is exposed to higher preload estimates of high shunt volume. The PDA diameter was not a
and afterload than the fetus [22]. The intrinsic differences in good predictor of clinical respiratory dysfunction, and we would
cardiac structure and function of the preterm heart when recommend adding the presence of diastolic dysfunction to select
compared to the term heart would make it prone to earlier patients for treatment.
failure of available compensatory mechanisms. LV afterload might Mechanical ventilation and respiratory signs and symptoms are
be modulated by altering systemic vascular resistance and inherently associated with each other, but the relationship
lowering blood pressure. PDA closure can assist in reducing between mechanical ventilation and diastolic dysfunction is less
preload, but this often does not occur after very preterm birth [23]. well understood. Cyclic changes in intrathoracic pressure can
Atrial volume and pressure may increase progressively and atrial theoretically enhance early diastolic recoil forces [31]. Some
dysfunction might appear with prolonged periods of increased studies in preterm infants did not find a relationship early after
preload and afterload, often without LV systolic dysfunction birth, but Bussmann et al. showed that LV diastolic dysfunction
[17, 24]. was independently associated with a higher risk of needing
Our current study supports the above-described mechanistic mechanical ventilation [3, 32, 33]. Studies in adults have shown
pathways in the development of diastolic dysfunction and that ultrasound parameters of early diastolic function (E wave, e’

Journal of Perinatology
K. de Waal et al.
5
velocity, Ee’ ratio) can predict difficulties with weaning off 4. Bussmann N, El-Khuffash A, Breatnach CR, McCallion N, Franklin O, Singh GK, et al.
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DATA AVAILABILITY e1–6.
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