SUMMARY. The increased prevalence of asthma over the past quarter century has become a major public health problem for the industrialized world. Asthma is a disease process which has a strong heritable component which is impacted by multiple environmental factors. Given the rapid increase in asthma prevalence, it is difficult to ascribe the change to a genetic alteration. Therefore, the focus for understanding the changing prevalence of asthma must be on environ- mental factors. This article reviews factors which may contribute, in whole or in part, to the development of the disease process. In questioning whether it is possible to prevent develop- ment of a disease (primary prevention), it is critical to understand these factors. The environment may even have an impact on the fetus during intrauterine life. There does appear to be a window of opportunity in early life where a variety of factors, including food and inhalant allergen exposure, exposure to pollutants, and infection with both viral and bacterial agents, may be important in initiating the development of asthma and allergy. Potential approaches to primary prevention of asthma and allergy must consider each of these important factors. Given that asthma is a multifactorial disease with both complex genetic and environmental components, it is unlikely that any single intervention will significantly decrease the prevalence of asthma. Pediatr Pulmonol. 2000; 30:6372. 2000 Wiley-Liss, Inc. Key words: asthma; allergy; allergens; airway hyperresponsiveness; airway inflammation; environment; genetics; intrauterine; infections; cytokines; T lymphocytes; Th1; Th2 phenotype; primary prevention. INTRODUCTION Over the past quarter century, the prevalence of asthma has increased to epidemic proportions in the in- dustrialized world. 1 Although there is some dispute about the increased incidence of asthma among children and young adults, 2 there is a general consensus that this in- crease is real. 35 Although there is an obvious change in diagnostic preference among physicians for a diagnosis of asthma, we demonstrated that the shift in diagnosis from other respiratory illnesses accounted for approxi- mately one quarter of the doubling increase in physician- diagnosed asthma in Manitoba during the 1980s. 5 Asthma is the most common cause of any chronic disease for emergency room visits and admission to hospital for children, 6 and it remains an important cause of absence from school for children and absence from work for their parents. There is a substantial economic burden for asthma, including both direct and indirect costs. 7,8 The focus of this review will be to question whether it is possible to prevent the development of asthma and whether it is possible to prevent the concomitant devel- opment of allergy. For patients with diagnosed asthma, we provide tertiary prevention in the form of pharma- cotherapy and environmental therapy. For example, avoidance of house dust mite exposure in a patient with asthma who has allergy to dust mites is a form of envi- ronmental therapy. Similarly, avoidance of environmen- tal tobacco smoke exposure will be an important form of tertiary prevention for all patients with asthma. Second- ary prevention can be defined as the attempt to prevent the development of asthma in an atopic infant with al- lergy-associated disease such as food allergy or atopic dermatitis. In that child, decreasing exposure to house dust mite allergy may decrease the potential for devel- opment of asthma. Primary prevention implies a pro- cess whereby the intervention considered precedes dis- Section of Allergy and Clinical Immunology, Department of Pediatrics and Child Health, University of Manitoba, Winnipeg, Manitoba, Canada. *Correspondence to: Allan B. Becker, M.D., F.R.C.P.C., Section of Allergy and Clinical Immunology, Department of Pediatrics and Child Health, University of Manitoba, AE101-840 Sherbrook St., Winnipeg, Manitoba R3A 1S1, Canada. E-mail: becker@cc.umanitoba.ca Received 31 May 1999; Accepted 2 March 2000. Pediatric Pulmonology 30:6372 (2000) State of the Art 2000 Wiley-Liss, Inc. ease development and does not simply modify the process once it has been established. For example, de- creasing exposure to house dust mites for newborns at high risk for development of asthma represents a pri- mary prevention approach. A recent review by Holt et al. outlines the immunologic considerations underlying an approach to primary prevention of asthma. 9 If primary prevention is to be considered, it is critically important to understand those factors which may contribute, in whole or in part, to the development of the disease process. Those factors which appear to play an important role will be discussed below. FACTORS CRITICAL TO THE DEVELOPMENT OF ASTHMA Genetic Predisposition Atopy is the tendency to develop allergic disorders such as asthma, allergic dermatitis, allergic rhinitis, and food allergy. Atopic children are at much greater risk for the development of asthma than nonatopic children. 1014 The paradigm for balance of immune responses con- trolled by CD4+ lymphocytes which underlies atopy and asthma 15 has been a simplistic, but helpful concept (Fig. 1). While there is a clear heritable contribution to both Abbreviations BCG Bacillus Calmette et Guerin ETS Environmental tobacco smoke GM-CSF Granulocyte macrophage colony-stimulating factor HEPA High-efficiency particulate air filter IFN Interferon IL Interleukin ISS Immunostimulatory sequence PIV3 Parainfluenza virus type III RSV Respiratory syncytial virus Th1 T-helper lymphocyte type I phenotype Th2 T-helper lymphocyte type II phenotype TNF Tumor necrosis factor Fig. 1. The simplistic concept of a Th1/Th2 paradigm, derived from a murine model (by Mosman et al. 15 ), has been helpful in understanding the immunopathology of allergy and asthma. CD4+ lymphocytes (and almost certainly other lymphocytes such as NK cells) can develop a Th1 phenotype with production of cytokines that promote cell-mediated immunity and suppres- sion of IgE production, or a Th2 phenotype with production of cytokines that promote a humoral immune response and par- ticularly a shift to production of IgE with induction of an atopic predisposition. 64 Becker atopy and asthma, the genetic contribution toward airway hyperresponsiveness, airway remodelling, and airway in- flammation is poorly understood. Given the rapid in- crease in asthma prevalence over the last quarter century, it is difficult to ascribe the change to genetic alteration. The gene (or genes) responsible for atopy and/or asthma has (have) not yet been identified. Therefore, the focus for understanding this changing prevalence of asthma has turned to environmental factors. The Intrauterine Environment The potential for development of atopy and asthma may begin in the interuterine environment. There is in- creasing evidence that successful pregnancy is a Th2 phenomenon. In murine studies, injection of interleu- kin-3 (IL3) or granulocyte macrophage colony- stimulating factor (GM-CSF) enhances fetal survival and promotes intrauterine growth, whereas injection of IL2, tumor necrosis factor (TNF), or interferon- (IFN) (Th1 cytokines) lead to fetal destruction. 16 There is also clini- cal evidence 15 that pregnant women undergo immuno- logic changes consistent with weakening of cell mediated immunity and strengthening of humoral immunity. This is clinically apparent with improvement during preg- nancy in 70% of women who have rheumatoid arthritis (a cell-mediated autoimmune disorder), and worsening of systemic lupus erythematosis (a humoral driven disor- der). 17 Wegmann et al. 16 suggest that the placenta acts as an immunoabsorbent which is capable of removing large amounts of anti-fetal antibody without damage, whereas cell-mediated immunity is not well buffered by the pla- centa. They suggest that a healthy feto-placental unit pri- marily supports a humoral immune response and is re- sponsible for driving this Th2 environment. As a result, at delivery the infants immune system is preferentially biased toward continuing this intrauterine established Th2 immune status. Umbilical cord mononuclear cells stimulated by allergen have a Th2-like phenotype for cytokine production, and the cells responsible for pro- duction of these Th2 cytokines appear to be T- lymphocytes. 18 Further, in atopic children, there appear to be continued Th2 responses during the first year of life associated with decreases in neonatal IFN (Th1) pro- duction. 19 However, in a recent study assessing umbilical cord blood mononuclear cell response to house dust mite in infants at high risk for development of asthma, no correlation could be found between cord blood mono- nuclear cell proliferative response to house dust mite at birth and the development of an asthma-like phenotype or allergic rhinitis at 12 months of age. 20 Exposure to Allergens Food Allergens In the first year or two of life, development of allergy is primarily associated with food sensitivity. Breastfeed- ing has been advocated as a method of preventing allergy and asthma. Studies suggest that atopic dermatitis can be delayed, but not necessarily prevented by breastfeeding infants for the first 4 to 6 months of life. 21 As one com- ponent of an allergen avoidance program, breastfeeding has been shown to decrease total allergy, eczema, and positive allergy skin tests in children up to 4 years of age. 22 In that study, asthma was decreased at 1 year, but not at 2 years of age in the intervention group compared to the control group. 22 While breastfeeding has not been shown to be effective in preventing the development of asthma, it does decrease the incidence of respiratory in- fections during infancy. 23 Of interest, diet may continue to be important in later life. A recent study 24 noted that children who ate fresh, oily fish (greater than 2% fat) had a significantly reduced risk of developing asthma (odds ratio, 0.26; 95% CI, 0.090.72). Inhalant Allergens Sensitization to indoor inhalant aeroallergens is more important than sensitization to outdoor aeroallergens in asthma. Indoor aeroallergens, including house dust mites, companion animals, and cockroaches, appear to be im- portant factors for asthma development. Studies have shown that risk for development of asthma is greater in children whose homes had high dust mite allergen levels during the first year of life. 25 Moreover, the higher the levels of exposure, the earlier children developed symp- toms and the more severe were those symptoms. 2527 In areas where house dust mite concentrations are low, asthma and airway hyperresponsiveness tend to correlate better with allergy to cats. 28 Unlike house dust mite al- lergens which are present on relatively large particles and settle quickly after being disturbed, cat allergen is present on very small particles which readily become airborne and which are subsequently widely distributed in the home and in the community. In low socioeconomic status housing, cockroach allergen plays an important role. 29 Although there has been some recent debate, 30 the preponderance of evidence suggests that in patients with asthma who are sensitized to allergens, environmental control can result in significant improvement of asthma symptoms and lung function (i.e., tertiary preven- tion). 3135 Thus, it appears that early life exposure (at least to house dust mites) is associated with subsequent development of asthma and that ongoing allergen expo- sure has a role in perpetuating the disease process once it has become established. Whether avoidance of inhalant allergens in early life is capable of preventing the devel- opment of allergy and asthma remains to be proven. Pollutants/Adjuvants Environmental tobacco smoke (ETS) is important in the development of childhood asthma and in worsening Primary Prevention of Asthma 65 of asthma in children and adults. 36 The earlier, longer, and greater the degree of ETS exposure in early child- hood, the greater the likelihood of asthma developing in children. 3740 ETS is by far the single most important pollution exposure factor associated with asthma in in- fants and children. Environmental pollutants other than ETS may also be a problem. 41 These include diesel particulates and nox- ious gases such as ozone, sulphur dioxide, and nitrous oxides. Exposure to nitrous oxides occurs from a variety of sources, such as incomplete oxidation of natural gas, and is also present in ETS. The classic visible pollution which is apparent as overt discoloration of the air is not necessarily associated with increased prevalence of asthma and allergy. Changes which may be far less ob- vious, particularly in industrialized societies, appear to be rather more important, as evidenced by data from the former East and West Germany. 42 Infections Respiratory viruses may play an important role in the development of asthma. 43,44 The onset of asthma after respiratory syncytial virus (RSV) bronchiolitis in infants has been well-documented; 45,46 however, the role of both viral and bacterial infections is complicated. In the highly susceptible host, such as infants with biparental atopy, viral infections such as RSV and parainfluenza type 3 (PIV3) appear to be associated with the development of allergy and onset of clinical disease. 47 Other infections, both bacterial and viral, are important in determining the shift from Th2 to Th1 lymphocyte predominance in in- fancy. 48 Absence of these infections in an industrialized, well-immunized society may not allow for this shift to occur and may influence the increase in allergy and asthma. There are data suggesting that family size and birth order are important factors associated with the changing prevalence of allergy and asthma. 49 This may reflect the increased exposure of younger siblings early in life to repeated infections from their older siblings. Immunization and better hygiene in industrialized soci- eties decrease the prevalence of a variety of infectious diseases, with a resulting decrease in the morbidity and mortality that may have occurred from these dis- eases. 4850 A recent study of immunization with BCG for the prevention of tuberculosis showed a decreased inci- dence of current atopy and asthma and increased remis- sion from asthma in children with evidence of delayed- type hypersensitivity (cellular immunity) to tuberculin. 50 This has been interpreted as suggesting a protective ef- fect for allergy and asthma from BCG immunization. Bacterial cell wall DNA contains sequences of bases (centred on CpG dinucleotides) which induce Th1-like responses. 5153 Mycobacterial infections may well be ca- pable of inducing this response, associated with the pres- ence of such an immunostimulatory sequence (ISS) in its cell wall, and bacterial DNA may be implicated in the development of innate immunity. However, it has been suggested that the primary trigger for a shift to a Th1-like phenotype is not likely to be from infectious organisms, but rather from normal bacterial commensals, particu- larly those in the gastrointestinal tract (GIT). 53 Holt et al. suggest that microbial products typified by cell wall- derived lipopolysaccharides (LPS) are recognized as na- tures Th1 adjuvant. 54 Certain viral infections appear to be important in pro- moting the development of a Th1 phenotype. In particu- lar, infection with measles 55 or hepatitis 56 appears to be protective for the development of atopy. On the other hand, other infections such as RSV appear to promote the development of allergy and asthma. 47 The mechanism for this is not well understood, but appears to be associ- ated with the production of Th2 cytokines 57 and particu- larly with the promotion of prolonged eosinophilic air- way inflammation. 57,58 Of interest, those viral infections associated with asthma are potent stimulators of a novel pleotropic cytokine, IL-11 59 (Table 1). Expression of IL- 11 in an animal model has been shown to be associated with airway inflammation, airway remodelling, and air- way hyperresponsiveness, all important features in asthma. 59,60 In one study, children with an upper respi- ratory tract infection (URI) had significantly increased IL-11 in nasal secretions compared to healthy controls. 59 Those children with a URI who also had clinical evi- dence of bronchospasm had significantly higher levels of IL-11 than those children without evidence of bron- chospasm. 59 Further, bacterial infections such as Pneu- mococcus, Staphylococcus, and Streptococcus which do not induce or exacerbate asthma do not appear to induce production of IL-11 (Table 1). 5961 Avoidance of diseases such as measles and tuberculo- sis and/or modification of the normal gastrointestinal flora, perhaps by better hygiene and excessive use of antibiotics, may allow for perpetuation of a Th2 pheno- type in young children and thus promote the develop- ment of allergy and asthma. Those infections which con- tinue to be a common problem during childhood (RSV, TABLE 1Infections and IL-11 Production IL-11 Human rhinovirus + Respiratory syncitial virus + Parainfluenza virus (Type 3) + Herpes simplex virus (Type 2) Adenovirus Cytomegalovirus Pneumococcus Staphylococcus Streptococcus Production of IL-11 from cell monolayers (A549) compared to un- stimulated cells. 59,61 66 Becker PIV3, and human rhinovirus) appear to contribute to the development of asthma and allergy. The occurrence of one of these viral illnesses in an atopic individual has the potential to greatly enhance production of IL-11, which may then promote development of asthma to a much greater degree 61 (Fig. 2). This combination of insults as the cause for asthma has been described as the double hit theory. APPROACH TO ASTHMA PREVENTION Primary prevention is the approach to intervening be- fore the development of any allergy or allergy-associated disease, including asthma, can occur in any individual. Obviously this is the ideal. Given the review of data relating to factors which appear to play an important role in asthma, we must now ask whether we have sufficient data to appropriately design an effective approach to the primary prevention of asthma and allergy in infants. Asthma Vaccine or Immunization Several approaches to vaccination/immunization for prevention of allergy and asthma have been suggested. Holt 63 suggested a vaccine strategy for asthma and aller- gies consisting of parenteral vaccination with a cocktail of major inhalant antigens in early childhood. The cock- tail would be combined with an adjuvant specifically designed to stimulate the Th1 response. Hsu et al. 64 stud- ied allergen gene immunization in rats. They used in- tramuscular injection of a plasmid DNA (naked DNA) encoding a house dust mite allergen into the legs of rats. This induced a transient IgG response to the gene, but no IgE response. These studies are of interest and suggest a Fig. 2. The presence of TGF- in the airway of an atopic individual produced by macrophages (M), particularly an individual exposed to an allergen to which he or she is sensitized (thus with increased histamine in the airways from mast cells (MC) and basophils), causes production of IL-11 by a variety of resident airway cells, resulting in airway inflammation, remodeling, and hyperresponsiveness. 5861 Primary Prevention of Asthma 67 number of new potential approaches to the control of allergy. In general, these strategies propose an approach to trigger switching of the immune response in infants to a Th1 phenotype, thus hopefully decreasing the potential for subsequent development of asthma. However, this may not be effective with infants or newborns who are already sensitized to environmental triggers. Similarly, it has been suggested that immunization with BCG may have the potential to shift the immune response balance toward a Th1 phenotype. 50 Recent studies in murine models have demonstrated the ability of BCG immuni- zation to act as a Th1 adjuvant and suppress allergic sensitization, airway inflammation, and airway hyperre- sponsiveness. 65,66 However, this may not be true of the protective effect of BCG in individuals with a strong, heritable predisposition to atopy. 67 Dietary Intervention Because of the strong relationship of allergy (albeit more specifically to inhalants) and asthma, attempts to decrease the turn on of the Th2 immune process appear logical. Given that allergy to foods is usually the first manifestation of an atopic immune process, consider- ation should be given to dietary intervention. Data on the influence of breastfeeding date to the 1930s with the recognition that breast-fed infants had less atopic derma- titis than bottle-fed infants. 68 Although not all studies of breastfeeding demonstrated a decrease in atopic derma- titis, there appears to be a consensus that breastfeeding for 46 months will at least delay, if not prevent, atopic dermatitis. 69 Given that allergens such as cows milk and egg protein are present in breast milk, it was also thought that the maternal diet may be important. 70 In one study, all breast-fed infants who developed allergy to cows milk had received supplements of cows milk formula in the nursery. 70 Thus, accidental exposure to cows milk itself appears to be far more important than the very small amount of cows milk transmitted through breast milk. Nevertheless, maternal avoidance of highly aller- genic foods during breast feeding has been shown to delay, but not prevent, subsequent development of aller- gic disease. 21,70 For a variety of sound clinical reasons, breastfeeding for the first 46 months of life should con- tinue to be encouraged. Delay of exposure of infants to cows milk and other highly allergenic foods also ap- pears to be helpful. 21,6870 A recent epidemiologic study 71 demonstrates a significant reduction in the risk of childhood asthma if exclusive breastfeeding is continued for at least 4 months after birth. Avoidance of cows milk introduction appeared more important statistically than the actual duration of breastfeeding. 71 Another issue is the use of an even earlier maternal exclusion diet during pregnancy. Reduced intake of highly allergenic foods in the last trimester has not been shown to be helpful in the prevention of allergic disease in children at high risk for allergies because of a strong family history. 7072 Further, an exclusion diet may place mothers at risk for inadequate nutrition intake. One dif- ficulty with studies relating to maternal diet on allergen exposure relates to our lack of understanding as to when the elimination diet should be initiated and to our lack of ability to measure intrauterine allergen exposure. Both timing and levels of exposure may be critically important in the promotion of allergy and perpetuation of the Th2 phenotype. Environment Control: What Can We Do and What Might Be Effective? Environmental control appears to be important, begin- ning at (or very possibly even before) birth. Data from a limited number of studies suggest that avoidance of al- lergens, both ingested and inhaled, and avoidance of ETS may at least delay onset of allergy and allergy-associated diseases, including asthma. 21,22 Allergen Avoidance Indoor aeroallergens. Given their strong relationship to asthma, avoidance of house dust mite, companion ani- mal (particularly cat), and cockroach allergens appears to have the greatest potential for benefit. 13,25,2834,74,75 Treatment to control house dust mites is the least con- troversial and least problematic of this group. House dust mites thrive in high humidity. Decreasing indoor humid- ity to less than 50% is associated with lower house dust mite concentrations. Simply encasing mattresses in a va- por-impermeable barrier is effective in decreasing house dust mite exposure. 76 Laundering bed linens in hot water will also decrease dust mite concentrations. 77 The ability to reduce house dust mite allergen in carpeting (textile floor coverings) is rather more controversial, but short- term decreases in house mite concentrations have been noted with various acaricides and with use of liquid ni- trogen to freeze carpeting. 76 Removal of carpeting is the most effective method to decrease the floors house dust mite concentration. 78 Removal of the pet from the home is the most effective means to reduce cat or dog allergen. 79 However, this is loaded with psychosocial issues and is not easily dealt with. There are data demonstrating a decrease in airborne cat allergen with the use of HEPA filters and the removal of textile floor covering (which acts as a reservoir for the cat allergen). 34,80 After removal of a cat, it can take more than 6 months for cat allergen levels to return to base- line. 79 The issue of weekly washing of the cat has not been clearly defined, and there is debate as to its value at 68 Becker present. Cat allergen exposure also occurs in public en- vironments such as schools and hospitals, associated with upholstered furniture and textile floor coverings. To a widespread degree, the cat has become a community- based allergen. Cockroach infestation is predominately a socioeco- nomic problem of poor and inner-city environments. De- crease in cockroach exposure in those settings will re- quire increased awareness of this community problem at a political level. Changes in housing to impact on this problem will require not only scientific understanding, but also social and political changes. Out-of-door aeroallergens. Out-of-door aeroallergens are generally much less of a problem. However, in agrar- ian, semiarid, prairie environments, Alternaria is a major sensitizer and is often associated with asthma (frequently with severe asthma). This mold spore has marked sea- sonality, with peaks of exposure in the spring, late sum- mer, and fall. 81 Air conditioning systems and indoor air filters have the potential to decrease exposure to this allergen. Pollutants Exposure to ETS in early life must be avoided. Such exposure carries the greatest risk for subsequent devel- opment of allergy and asthma. 36,37 The dangers of smok- ing during pregnancy appear to be well recognized. Mothers and other family members must be educated on the importance of avoidance of ETS exposure for infants and toddlers. Societal change should be encouraged through education and increased taxation of cigarettes. CONCLUSIONS Given that asthma is a multifactorial disease, with complex genetic and environmental components (Fig. 3), it is unlikely that any single intervention currently avail- able will significantly decrease the prevalence of asthma. If the double hit concept proves critical to the devel- opment of asthma, then it will be increasingly important to modify environmental factors and to define interven- tions to control viral infections and/or the immune sys- Fig. 3. Genetic predisposition provides a large heritable com- ponent to atopy and asthma. With the intrauterine environment predisposing infants to a Th2-like phenotype, the impact of the external environment after birth becomes critical. In the indus- trialized world, infants are protected from a variety of bacterial and viral infections and have altered normal bacterial com- mensals, particularly in the gastrointestinal tract (GIT). This modifies the adjuvant effect of the immunostimulatory se- quence of oligodeoxynucleotides (ISS-ODN) from these bacte- ria which may provide an immune response balance in promot- ing a Th1-like phenotype after birth. Primary Prevention of Asthma 69 tems balanced response to those environmental factors and infections. High-risk populations should be targeted for ongoing research. Pregnancy and the first year of life appears to be a critically important window during which time allergies and the potential for asthma de- velop. Large, well-controlled multicenter studies should be encouraged in an effort to better understand the chang- ing prevalence of asthma in a variety of environmental settings. The primary prevention of diseases, including asthma, offers the best potential for significant decrease in disease prevalence in the future. REFERENCES 1. Bjorksten B, Kjellman BN-IM, Zeiger RS. Development and pre- vention of allergic disease in childhood. 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