Sickle Cell Disease
Sickle Cell Disease
Pathophysiology and
R e l a t e d Mo l e c u l a r a n d
Biophysical Biomarkers
Elna Saah, MDa, Payam Fadaei, MS
b
, Umut A. Gurkan, PhD
b,c,d,
*,
Vivien Sheehan, MD, PhDa,*
KEYWORDS
Sickle cell disease Biomarkers Red blood cells Rheology
Clinical trial endpoints
KEY POINTS
Although a monogenic disease, individuals with sickle cell disease (SCD) can have vastly
different clinical phenotypes. Early interest in biomarkers stemmed from a desire to be
able to predict the clinical course.
Many biomarkers for diagnosing or predicting the risk of SCD complications have been
proposed, but few have been validated.
Devices that measure the biophysical properties of blood cells are a promising source of
biomarkers for SCD.
In this new era of multiple therapies for SCD, biomarkers are needed to choose the best
second-line therapies for the individual and as endpoints for clinical trials.
INTRODUCTION
Sickle cell anemia (SCA) refers to the homozygous state; a2bS2 (HbSS) and HbSb0
(HbSb0-thal), and they are clinically similar. Sickle cell disease (SCD) is an umbrella
term that includes other genotypes such as hemoglobin SC and sickle b1 thalassemia
(Sb1 thalassemia), which are generally clinically milder than SCA. The effect of SCD
genotype, alpha thalassemia coinheritance, and other genetic modifiers of SCD on
a
Department of Pediatrics, Emory University School of Medicine, Children’s Healthcare of
Atlanta, Atlanta, GA, USA; b Department of Mechanical and Aerospace Engineering, Case
Western Reserve University, Cleveland, OH, USA; c Department of Biomedical Engineering,
Case Western Reserve University, Cleveland, OH, USA; d Case Comprehensive Cancer Center,
Case Western Reserve University School of Medicine, Case Western Reserve University, Cleve-
land, OH, USA
* Corresponding authors.
E-mail addresses: umut@case.edu (U.A.G.); vivien.sheehan@emory.edu (V.S.)
the clinical course are discussed elsewhere.1 Sickle hemoglobin (HbS) is created by a
point mutation that results in the replacement of a hydrophilic glutamic acid by the hy-
drophobic valine (b 6Glu/Val). Deoxygenated HbS polymerizes, increasing red cell
fragility and decreasing red cell survival. The pathophysiology of SCD can be divided
into four categories (Fig. 1): (i) polymerization of the deoxygenated HbS, (ii) cellular
adhesion to the endothelium, (iii) endothelial dysfunction from exposure to products
of hemolysis, and (iv) sterile inflammation.2 The complex interplay of these factors
set in motion a vicious cycle causing acute vaso-occlusive episodes (painful crisis
and acute chest syndrome [ACS]) and end-organ damage (cerebral infarcts, nephrop-
athy, retinopathy, and pulmonary hypertension [PH]).
Biomarkers are defined as identifiable and measurable markers of normal, patho-
physiologic processes, or biologic responses to exposures or interventions. There
are three main types of biomarkers: (i) susceptibility, risk, or predictive biomarkers;
(ii) response and monitoring biomarkers; and (iii) prognostic and surrogate end point
markers.3 In SCD, some candidate biomarkers were selected because they represent
a measurable aspect of SCD pathophysiology; others arose from devices designed to
measure biophysical properties of blood components known to be abnormal in SCD.
Many biomarkers have been proposed for SCD; few have been analytically or clinically
validated.
Fig. 1. Sickle cell disease pathophysiology. A point mutation produces an abnormal hemo-
globin that polymerizes under hypoxia; the downstream effects impact other blood cells,
cause inflammation, damage the vasculature, and produce severe clinical complications. Dis-
ease severity is ameliorated by higher levels of fetal hemoglobin, as it prevents further sickle
hemoglobin addition to the growing polymer.
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SCD Pathophysiology-Based Biomakers 1079
Table 1
Established sickle cell disease (SCD) biomarkers reflecting SCD pathophysiology based on
conventional laboratory tests
SCD
Pathophysiology Biomarker Current Use
Hemolysis/RBC Total Hb Indication for more aggressive
production/ disease-modifying therapies,
sequestration including HU, voxelotor, and transfusion
Reticulocytes Reflect RBC production; evidence
of therapy-induced myelosuppression
Hemolysis LDH Distinguish cause of anemia;
Bilirubin RBC production vs. destruction;
post-transfusion complications
Anti-sickling HbF Rationale for initiation of HbF induction therapies
Inflammation CRP Used serially in individual patients to assist in
diagnosis and monitoring of infections
such as osteomyelitis
HbS polymer prevents further polymerization (see Fig. 1). Individuals with SCD with
higher-than-average HbF levels, either endogenously or therapeutically, typically
have a milder course. However, HbF has limitations as a biomarker; some patients
with high %HbF still experience significant clinical complications,4,5 either because
of heterogenous distribution of HbF across the red cell population (heterocellular vs
pancellular HbF), or other factors counteracting the benefit of reduced polymerization.
Higher HbF reduces sickling, prolonging red cell survival and reducing hemolysis.
Individuals with lower total hemoglobin levels,6 lactate dehydrogenase (LDH) bilirubin,
and higher absolute reticulocyte count (ARC) are considered to have a hemolytic
phenotype (see Fig. 1). Hemolysis increases free heme and scavenges nitric oxide,
which damages the endothelium and contributes to vascular damage (see Fig. 1).
Table 2
Commonly used biomarkers associated with risk of acute sickle cell disease complications
SCD
Complication Biomarker Level of Validation Current Use
Pain event High WBC, High Hb, None Predisposition to
low %HbF, high whole frequent pain episodes.
blood viscosity, and
poor RBC
deformability
Acute chest High WBC, low Hb, Expert opinion: Aggressive management
syndrome high ARC, and LDH evaluate for of airway
ACS if Hb 2 g/dL hyperreactivity,
below baseline early institution
of incentive
spirometry, prompt
red cell transfusion
Overt stroke TCD (increased risk High level of evidence Determination of
of stroke) (ref NHLBI guidelines) increased stroke risk
Splenic Hb, platelets35 Expert opinion Evaluate for splenic
sequestration sequestration
if Hb 2 g/dL
below baseline
Table 3
Commonly used biomarkers associated with chronic sickle cell disease complications
Level of
SCD Complication Biomarker Validation Current Use
Sickle cell Microalbuminuria Consensus Annual screen
nephropathy (SCN) expert beginning at age 10
opinion
Silent cerebral MRI Standard Not widely
infarcts (SCI) of care implemented
for diagnosis due to cost and
sedation requirements
for young children.
Pulmonary Screening echocardiogram: Consensus Refer for cardiac
hypertension (PH) Tricuspid Regurgitation expert catheterization
Velocity (TRV) 2.5 m/s opinion and definitive
diagnosis of PH
Leg ulcers Hb and LDH Single studies Not widely used
Individuals with high levels of hemolysis are more likely to have leg ulcers, strokes, pri-
apism, ACS, and early mortality.6,7 Patients with higher hemoglobin levels have a high
viscosity phenotype, and may be more likely to experience pain events, ACS, avas-
cular necrosis (AVN), and proliferative retinopathy.
Markers of Inflammation
SCD is marked by chronic inflammation from ischemia from vaso-occlusion and he-
molysis. Erythrocyte sedimentation rate (ESR) and C-reactive protein (CRP) may be
chronically elevated, and increase further during acute events, particularly infection.
CRP correlates with high baseline white blood cell (WBC) and in some studies predicts
increased vaso-occlusive crisis (VOC).8 ESR and CRP levels vary among individuals,
but may be useful for serial monitoring, or distinguishing between pain events and in-
fections, for example, osteomyelitis.9
One of the nuances of SCD is that despite having the same causative mutation, indi-
viduals vary greatly in their disease severity and in the types of complications they
experience.1 Rather than seeking a biomarker of global severity, it may be more help-
ful to develop biomarkers that assess an individual’s risk for a specific clinical compli-
cations. Below we describe the pathophysiology of common SCD complications, and
the biomarkers associated with the complications (see Table 2).
Acute Pain Events
The acute painful vaso-occlusive event (VOE) is a hallmark of SCD, accounting for
most of the acute care utilization, hospitalizations, and reduced quality of life. The
sentinel event is often cell adhesion, followed by deoxygenation, polymerization of
HbS, RBC deformation, blockage of blood flow, and ischemia (see Fig. 1). Adhesion
of the red cell to the endothelium can be potentiated by increased circulating neutro-
phils, platelets, and reticulocytes. The sickled erythrocyte itself is more adhesive due
to perturbations in surface proteins, such as phosphatidylserine, and phosphatidyleth-
anolamine. Reticulocytes are particularly adherent due to increased expression of
membrane proteins CD36 and a4b1 integrin, which bind to vascular cell adhesion
molecule-1 (VCAM-1) expressed on the endothelium. P-selectin, expressed both on
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SCD Pathophysiology-Based Biomakers 1081
the vascular endothelium and on platelets, is increased in patients with frequent VOE
(see Table 2). The development and The United States Food and Drug Administration
(FDA) approval of Crizanlizumab, a monoclonal antibody against the adhesion mole-
cule P-selectin used to prevent VOE,10 is a success story of the clinical targeting of
an aspect of SCD pathophysiology associated with pain events in SCD.
Pro-inflammatory cytokines from the interleukin (IL) family, including IL-4 and IL-8,
facilitate neutrophil chemotaxis, perpetuating the ischemia–reperfusion cycle (see
Fig. 1).11 Several studies have shown correlations between pro-inflammatory circu-
lating interleukins (IL-4,8), associated with increased incidence of VOE; and anti-
inflammatory modulatory interleukins, IL-10, associated with reduced incidence of
VOE.9 CRP, ESR, and WBC levels are associated with frequent VOE.8 Serial measure-
ments would be needed to detect trends, however, as individual variability prevents
the use of diagnostic cutoff values.
associated with higher stroke risk, as well as plasma proteins a-2 antiplasmin,
thrombospondin-4, a-2 macroglobulin, apolipoprotein B-100, gelsolin, and retinol-
binding protein.32 All require further validation before they can be considered for use
in patient care.
Silent cerebral infarct (SCI) is the most common neurologic complication of SCD. Up
to a quarter of children with SCD under the age of 6 experience SCI, and SCI can be
detected in over a third of older adolescents under 18 years. As silent infarcts are only
identified by MRI (see Table 3),32,33 and imaging is not routinely performed, these
numbers are likely underestimated. Other associated biomarkers for increased SCI
risk include male gender, stenosis of the internal carotid artery, history of overt stroke,
low baseline hemoglobin, and elevated systolic blood pressures. Proteomic and multi-
omics studies have reported associations between silent infarcts and genes or pro-
teins involved in hypercoagulability, inflammation, and atherosclerosis.34
Pulmonary Hypertension
PH may arise independently from repeated direct damage to the pulmonary vascular
bed, or be secondary to left ventricular dysfunction in SCD. Increased pulmonary
vascular resistance (PVR) occurs due to progressive destruction of pulmonary arteri-
oles over time, from repeated microinfarcts and thrombosis. Increased PVR perpetu-
ates increased afterload, left-sided cardiovascular dysfunction, and ultimately results
in cor pulmonale and early mortality.38 PH incidence correlates with markers of hemo-
lysis. Tricuspid regurgitant jet velocity (TRV) obtained by echocardiography has been
used as a biomarker for PH, but overestimates PH compared with the gold standard
diagnostic, right heart catheterization.2,7 With further validation, blood plasma levels of
N-terminal pro-brain natriuretic peptide (NT-proBNP) may be used in conjunction with
TRV to screen for PH in SCD (see Table 3).39
Avascular Necrosis
AVN typically occurs in the femoral and humeral heads; blood flows at an acute angle
through a single vessel, increasing the risk of ischemia.40 The high viscosity, high
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SCD Pathophysiology-Based Biomakers 1083
There is an urgent need for objective, quantitative biomarkers of a pain event for use in
clinical trials and in patient care. Current SCD clinical trials typically have subjective
endpoints such as the number of VOE per year.32,42 Patients may struggle to differen-
tiate acute pain events from chronic pain exacerbations,11 and there are no biomarkers
that objectively diagnose a pain event.32 Several gene-based therapies are now in clin-
ical trials, but as with drug therapies, reduction in pain events is the most common study
endpoints.43–45 Diagnostic tests that determine if blood components are functionally
normal are urgently needed. Furthermore, the readouts should not just provide an aver-
aged value but should show the functionality of subpopulations or single cells in the
samples. Abnormal blood cells may be reduced in number or improved by editing,
but still be capable of causing long-term organ damage, morbidity, and early mortality.
We must perform detailed, single-cell level functional evaluations of blood components
from patients who have undergone gene-based therapy.
Biomarkers that provide a functional assessment of blood components are espe-
cially valuable in this new landscape of SCD therapies. Conventional lab tests are pri-
marily quantitative, but SCD is a qualitative blood disorder. For example, a normal
individual and an individual with HbSS after gene-based therapy may both have total
hemoglobin of 12 g/dL. However, there is concern that if the RBCs still damage the
vascular endothelium, and a population of poorly deformable RBCs is identified by
a cell deformability cytometry system, then these results suggest that cells have not
been fully normalized after gene treatment, and the disease cannot be considered
cured to the level of a successful full chimerism allogeneic hematopoietic stem cell
transplant (alloHSCT).46
In addition to hydroxyurea, there are now three new FDA-approved therapies for
SCD,47–49 and more novel therapies in clinical trials. These second-line agents target
specific aspects of SCD pathophysiology. Currently, there is no systematic way to
determine which of these agents should be added to hydroxyurea for an individual pa-
tient. These novel agents are expensive at $40,000 to 100,000 per patient per year,50
and not without risks and side effects.42,51,52 Consistent with the principles of preci-
sion medicine, we should choose the right drug for the individual based on functional
biomarkers that predict response to that drug.42 To do this, we need robust functional
testing that can collectively capture all aspects of SCD pathophysiology. These tests
should be evaluated not just for association with complications, but for evidence that
modifying the biomarker changes clinical outcomes. Functional biomarkers will allow
us to identify blood defects uncorrected by current therapy, then select the appro-
priate second agent based on our testing of the functional benefits individuals on
each therapy experienced, a perfect pairing of abnormality and correction.
Sickle RBCs are poorly deformable and adhesive in the microcirculation,53–56 and
blood viscosity is elevated for the level of hemoglobin.53–55,57–60 Emerging
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1084 Saah et al
Elongation Oxygen gradient indicator of validated associations biomarker in resolve in RBC modifying
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Index (EI) ektacytometry RBC stiffness and laboratory reported clinical trials single-cell therapy clinical trials
Point of sickling under method in the level RBC
Sickling (PoS) hypoxia literature heterogeneity
Technical
complexity
and cost
reduction
are needed
RBC Occlusion Microfluidic RBC-mediated Analytical Clinical Exploratory RBC New Primary endpoint
Index (OI) OcclusionChip microcapillary validation, associations biomarker in microtechnology in RBC deformability
Assay occlusion in reproducibility reported clinical studies works with optical modifying therapy
reservados.
1085
1086
Saah et al
Table 4
(continued )
SCD Analytical Clinical Limitation
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Biomarker Device Pathophysiology Validation Validation Current Use and Need Future Use
RBC Density ADVIA RBC density Analytically Clinical Exploratory use in Single-cell Measure effects
(g/dL) MagDense measurement validated associations clinical studies resolution RBC of therapies
Magnetic levitation reported density on red cell
microfluidic assay in the measurement hydration
literature is needed;
hypoxia needed
RBC and Cone and plate Plasma and Analytically Clinical Exploratory Viscosity Primary endpoint
Whole viscometer whole blood validated associations use in measurement in RBC and blood
Blood SCD BioChip viscosity reported clinical studies in normoxia and viscosity modifying
Viscosity Microfluidic measurement in the hypoxia therapy clinical trials
reservados.
Viscosity
Polymerization of HbS leads to impaired RBC deformability and altered RBC
morphology, particularly in hypoxia, contributing to significant changes in blood
rheology and WBV.62,65,112,113 RBC deformability and hematocrit (Hct) together deter-
mine WBV.114–116 For example, low WBV because of low Hct in normoxia could lead to
reduced endothelial shear stress and endothelial activation.117 Hypoxia acutely in-
creases WBV in HbSS, which could contribute to local occlusion and ischemia. A
change in blood viscosity is considered a key clinical parameter in evaluating treat-
ment outcomes in many hematologic disorders.62,118–120 High fibrinogen levels have
been shown to associate with high blood plasma viscosity and may play a role in blood
rheology abnormalities in SCD and SCT.120,121 Cone and plate viscometers are typi-
cally used to measure plasma viscosity and WBV, which only allows measurements
in normoxia, as the blood sample is in contact with room air. A new microfluidic assay
was developed based on the micro-particle imaging velocimetry technique to mea-
sure RBC velocities under physiologic pressure gradients and normoxic/hypoxic con-
ditions.122 Under normoxia, an inverse association between WBV and sickle RBC
adhesion was shown, and an acute rise in viscosity under hypoxia (SpO2 of 83%)
was reported, which reflects acute-on-chronic pathophysiology.122 Using microfluidic
biomarker assays, it was shown that sickle RBC adhesion to ICAM-1 is mediated by
fibrinogen and associated inversely with %HbF, and directly with a history of right-to-
left shunts.122 Inclusion of RBC and WBV measurement before and after therapy as a
primary outcome measure could objectively show the impact of blood rheology modi-
fying therapies. Future work could focus on including novel emerging biomarkers as
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1088 Saah et al
part of clinical studies and clinical trials to validate and determine the associations be-
tween the disease state and treatment response.
SUMMARY
One of the challenges in SCD is its clinical variability. Our ability to identify the compli-
cations that a patient is at risk for is limited by a lack of validated diagnostic and prog-
nostic biomarkers. Clinical care is limited by a lack of diagnostics to capture the
biological variability needed to precisely direct patient care. Many biomarkers have
been proposed, but few validated. We must make a concerted effort as a field to rigor-
ously test proposed biomarkers to improve outcomes for our patients.
SCD biomarkers are needed to serve as endpoints in clinical trials, select optimal therapies,
and monitor efficacy.
Many molecular and biophysical biomarkers have been proposed, but few have been
clinically validated.
In order to advance the translation of biomarkers to clinical use, we must rigorously test
proposed biomakers for their ability to predict clinical outcomes.
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