Background During 2004, a highly pathogenic avian influenzaA (H5N1) virus caused poultry disease in eight Asian countriesand infected at least 44 persons, killing 32; most of thesepersons had had close contact with poultry. No evidence of efficientperson-to-person transmission has yet been reported. We investigatedpossible person-to-person transmission in a family cluster ofthe disease in Thailand.
Methods For each of the three involved patients, we reviewedthe circumstances and timing of exposures to poultry and toother ill persons. Field teams isolated and treated the survivingpatient, instituted active surveillance for disease and prophylaxisamong exposed contacts, and culled the remaining poultry surroundingthe affected village. Specimens from family members were testedby viral culture, microneutralization serologic analysis, immunohistochemicalassay, reverse-transcriptasepolymerase-chain-reaction(RT-PCR) analysis, and genetic sequencing.
Results The index patient became ill three to four days afterher last exposure to dying household chickens. Her mother camefrom a distant city to care for her in the hospital, had norecognized exposure to poultry, and died from pneumonia afterproviding 16 to 18 hours of unprotected nursing care. The auntalso provided unprotected nursing care; she had fever five daysafter the mother first had fever, followed by pneumonia sevendays later. Autopsy tissue from the mother and nasopharyngealand throat swabs from the aunt were positive for influenza A(H5N1) by RT-PCR. No additional chains of transmission wereidentified, and sequencing of the viral genes identified nochange in the receptor-binding site of hemagglutinin or otherkey features of the virus. The sequences of all eight viralgene segments clustered closely with other H5N1 sequences fromrecent avian isolates in Thailand.
Conclusions Disease in the mother and aunt probably resultedfrom person-to-person transmission of this lethal avian influenzavirusduring unprotected exposure to the critically ill index patient.
During the first months of 2004, outbreaks of highly pathogenicavian influenza caused by influenza A (H5N1) virus were recognizedin eight Asian countries.1,2 The poultry outbreaks receded andthen reappeared in July in five countries, with human casesrecognized in Vietnam and Thailand.3 As of November 11, 2004,there had been 44 documented human infections and 32 deaths(mortality, 73 percent), sparking fears that this lethal pathogenmight cause a pandemic.
Since the first avian influenza outbreak, in 1997,4 there hasbeen concern that the influenza A (H5N1) virus might eithermutate and adapt to allow efficient transmission during theinfection of mammals or reassort its gene segments with humaninfluenzaviruses during the coinfection of a single host, resultingin a new virus that would be both highly lethal and transmissiblefrom person to person. Such events are believed to have precededthe influenza pandemics of 1918, 1957, and 1968.5 Several linesof evidence indicate that the currently circulating influenzaA (H5N1) viruses have in fact evolved to more virulent formssince 1997, with a higher mortality among human cases,1,4 differentantigenic properties,6 a different internal gene constellation,7and an expanded host range.8,9
In most of the human cases to date, the patients had well-documentedexposure to sick or dying poultry,10,11,12 but there have beenseveral episodes of possible person-to-person spread. Two healthcare workers who cared for patients in Hong Kong in 1997 werelater found to have antibodies to hemagglutinin H5, and onerecalled having had a respiratory illness after exposure toone of the patients.13 Two family clusters in Vietnam in 2004were considered to be compatible with bird-to-human spread,although limited person-to-person spread could not be ruledout.12
We report the results of an investigation into a family clusterof influenza A (H5N1) virus infections. This cluster was unusualin that one of the infected family members lived in a distantcity but provided direct, in-hospital care for the index patient,highlighting the possibility of person-to-person transmission.
Methods
Patients
The index patient was an 11-year-old girl who lived with heraunt and who presented to a clinic with fever, cough, and asore throat on September 2, 2004. She was admitted to the hospitalon September 7 with a temperature of 38.5°C and moderatedyspnea. Initial testing identified lymphopenia and thrombocytopenia(Table 1) and a left-lower-lobe infiltrate on chest radiography(Figure 1A). Because of progressive respiratory distress, hypoxemia,and shock, she was transferred to the provincial hospital thenext day with a diagnosis of viral pneumonitis or the dengueshock syndrome. A serum sample was negative for antibodies todengue virus. Despite mechanical ventilation, administrationof broad-spectrum antibiotics, and fluid resuscitation, thepatient died three hours after admission to the provincial hospital.
Figure 1. Chest Radiographs from the Three Patients with Avian Influenza A (H5N1).
Panel A shows a chest radiograph from the index patient, an 11-year-old girl, on day 6 of her illness. The image shows right-lower-lobe consolidation and patchy left-lower-lobe infiltrates. Panel B shows a radiograph from the girl's 26-year-old mother on day 9 of her illness. There is bilateral lower-lobe consolidation. Panel C shows a radiograph from the girl's 32-year-old aunt on day 7 of her illness; left-lower-lobe consolidation is visible.
The index patient's mother was a 26-year-old woman who livedin another province. She provided bedside care for her daughterin the hospital for 16 to 18 hours on September 7 and 8. Shebegan to have fever and headache three days later and spenta night in her daughter's village before returning to her home.On September 17, she was admitted to a hospital in her own provincewith fever and severe dyspnea. She had lymphopenia and thrombocytopenia(Table 1) and bilateral interstitial infiltrates on chest radiography(Figure 1B). Pneumonia and progressive respiratory failure werediagnosed, and she died on September 20.
The index patient's aunt was a 32-year-old woman who lived withher niece. She provided bedside care for her niece for 12 or13 hours on September 7 and noted the onset of fever, myalgia,and chills on September 16. An upper respiratory infection wasdiagnosed at a clinic on September 19, but she had progressivedifficulty breathing and was admitted to the district hospitalon September 23 with a temperature of 39.7°C, lymphopenia(Table 1), and left-lower-lobe consolidation (Figure 1C). Onthe day of admission, an investigating team suspected avianinfluenza, obtained respiratory specimens for testing, initiatedtreatment with oseltamivir, and instituted full isolation precautions.Despite moderate dyspnea and hypoxemia, her condition graduallyimproved, and she was discharged on October 7.
Epidemiologic Investigations
Under the nationwide surveillance system established in Thailandin early 2004, patients who were hospitalized with pneumoniaor influenza and who had been exposed to ill poultry were reportedto the Thai Ministry of Public Health. Because the mother hadno exposure to poultry and the index patient's exposure wasnot initially reported, this cluster was recognized only coincidentally,during the investigation of another pneumonia-related deathat the hospital where the mother had died.
Public health staff interviewed all family members on multipleoccasions, especially those with possible exposure to sick ordying poultry, and developed and cross-checked several writtentimelines of events. Medical records were reviewed for the timeof onset and progression of the illnesses.
All household members, other family contacts, exposed neighbors,and exposed health care workers were placed under active surveillancefor fever and respiratory symptoms for 14 days. All remainingpoultry were culled.
Laboratory Investigations
By the time this family cluster was recognized, the index patienthad died and her body had been cremated, and the mother haddied and her body had been embalmed; therefore, appropriatespecimens for influenza A (H5N1) testing were not easily obtained.Serum from the index patient and the aunt was tested for antibodiesto H5. With the permission of the family, an autopsy was performedon the mother. Nasopharyngeal and oropharyngeal swabs were obtainedfrom the aunt and other household members.
Specimens were submitted for testing at the Thai National Instituteof Health and the virology laboratory at Siriraj Hospital, MahidolUniversity, in Bangkok, and at the Centers for Disease Controland Prevention (CDC), in Atlanta. Specimens in transport mediumwere tested by conventional reverse-transcriptase polymerase-chain-reaction
(RT-PCR) analysis and real-time RT-PCR and by cell culture andhen's-egg inoculation for viral isolation, including two orthree blind passages, as previously described.14,15,16 Antibodytesting was performed at Siriraj Hospital and at the CDC bymeans of microneutralization and enzyme-linked immunosorbentassays, with confirmation by Western blotting.17
Fragments of the hemagglutinin gene containing sequences encodingthe receptor-binding site and fragments of other genes wereamplified by RT-PCR from RNA samples extracted from embalmedlung tissue from the mother and from the aunt's nasopharyngealswab. RT-PCR was performed with the use of random hexamers asprimers for DNA synthesis and specific primers for RT-PCR, andthe products were sequenced directly. The nucleotide sequenceswere analyzed with Phylogeny Inference Package software andthe use of a maximal-parsimony algorithm.
Formalin-fixed, paraffin-embedded lung-tissue blocks from themother were examined by routine staining with hematoxylin andeosin and were tested with a monoclonal antibody specific forinfluenza A nucleoprotein by means of a colorimetric immunohistochemicalassay.18
Results
Epidemiologic Findings
Interviews of the aunt, the other surviving family members,and neighbors permitted reconstruction of the timing of relevantexposures and the onset of illness in the index patient andher mother and aunt (Figure 2). The last of the free-ranginghousehold chickens died on August 29 or 30, after progressiveillness and death among the flock during the preceding weeks.The index patient was not known to have had direct contact withthe sick or dying birds, but she played and slept in the areaunder the elevated house, where the chickens were also oftenpresent. The aunt buried the last five chickens on August 29or 30, using plastic bags on her hands for protection. Noneof the three patients or other members of the household hadany recognized exposure to poultry from the time these chickenswere buried through the end of September.
Figure 2. Timeline of Pertinent Exposures and Dates of Illness in the Three Patients.
The index patient, who lived with her aunt, was not known to have had direct contact with the sick or dying chickens, but she played and slept in an area where the chickens were also often present. The mother lived and worked in a province four hours' drive from the index patient's village. The three-night funeral took place in a different, unaffected village.
From the time the index patient became ill until the arrivalof her mother at the hospital, the aunt provided much of hercare, including bedside care for 12 or 13 hours on September7. The girl's mother lived in a Bangkok suburb with her husband,but they drove to the province (a four-hour trip) on learningof her daughter's hospitalization. They stopped at the householdfor less than 10 minutes to pick up a document and arrived atthe hospital at about midnight. The mother then provided bedsidecare for the next 16 to 18 hours, and nurses later reportedthat she sat on the bed, hugged and kissed her daughter, andwiped secretions from her mouth.
After the girl's death, the mother and aunt went to the grandparents'village, 40 km from their home village, for the three-nightfuneral. Poultry in this village had died from avian influenzasix months earlier, and all the remaining poultry in the villageand surrounding area had been culled. Therefore, there was noexposure to live or dead poultry, including raw chicken or eggs,during the course of the funeral.
After noting fever on September 11, the mother returned to theaunt's village, as did the aunt. The mother spent one nightthere and returned to Bangkok the following morning. The motherworked in a garment factory and lived in a nearby apartment.There were no chickens at the apartment or at the factory. Herhusband and others could recall no exposure to live or deadpoultry in the two weeks preceding her illness. The aunt hadhad no known exposure to poultry since August 30, when she hadburied the last of the dead chickens. Her husband and the immediateneighbors disinfected the house after her niece died by cleaningand spraying with a chlorine bleach solution, and they culledand buried the remaining neighborhood chickens.
Laboratory Data
RT-PCR analysis of an oropharyngeal swab from the aunt indicatedthat it contained influenza A nucleoprotein and that the sequencewas most closely related to an influenza A (H5N1) virus isolatedfrom a chicken in Thailand in early 2004. A nasopharyngeal swabfrom the aunt was also weakly positive for the influenza A nucleoproteingene. None of the available specimens yielded influenzaviruseson tissue culture or egg inoculation.
Serum obtained from the index patient on day 6 of her illnessand from the aunt on day 8 of her illness were negative forantibodies to H5 on micro-neutralization analysis, but a convalescent-phasespecimen obtained from the aunt on day 21 was positive.
Specimens of lung tissue obtained from the mother after herbody had been embalmed were positive for influenza A (H5N1)by RT-PCR in the Siriraj Hospital laboratory and at the CDC.Pathological findings included diffuse alveolar damage and interstitialpneumonia in the lung; cholestasis, congestion, and hemophagocyticactivity in the liver; and congestion and depletion of lymphoidcells in the spleen. Immunohistochemical analysis of paraffin-embeddedspecimens of lung tissue from the mother revealed influenza-specificstaining of multiple epithelial cells, which were sloughed withinthe airways (Figure 3).
Figure 3. Specimen of Lung Tissue from the Index Patient's Mother.
Immunohistochemical analysis of the specimen shows interstitial pneumonitis and a single epithelial cell containing intranuclear influenza A viral antigens (red) and an antinucleocapsid antibody. Amplification of nucleic acid from this tissue specimen confirmed the presence of influenza A (H5N1) virus.
Sequencing of RT-PCR products from the mother and the aunt revealedthat all the viral genes were avian and were closely relatedto other H5N1 sequences in Thailand (Figure 4). The receptor-bindingsite of the encoded hemagglutinin was similar to those of otherH5 hemagglutinins (amino acid positions 91, 130 through 134,149, 151, 179, 186, 190, 191, and 220 through 225), includingamino acid positions 222 and 224 (226 and 228 in the H3 numberingsystem). These amino acids are important determinants of thereceptor-binding preference (i.e., 2,3-linked vs. 2,6-linkedsialic acid)19; the receptor-binding pattern identified wasavian-specific. The virus contained a 20-amino-acid deletionat the stalk of neuraminidase and the amantadine-resistancemutation in matrix M2, similar to previously described genotypeZ viruses.20 Sequences of the virus from the aunt were morelimited because of the small sample available, but a sequenceof 709 bases (nucleotides 480 to 1189) of the hemagglutiningene was the same in the viruses from the mother and aunt, exceptfor one synonymous substitution at nucleotide 936.
Figure 4. Phylogenetic Trees of Partial Sequences of the Hemagglutinin Gene, Showing the Genetic Relatedness of the Influenza A (H5N1) Virus Associated with Person-to-Person Transmission in the Family Cluster to Other Recently Isolated Influenza A (H5N1) Viruses.
The sequences from the mother and the aunt are marked in a box. Nucleotides 273 through 1248 of the hemagglutinin gene (HA), 88 through 944 of the neuraminidase gene (NA), 938 through 1031 of the polymerase basic protein 2 gene (PB2), 1120 through 1218 of the polymerase basic protein 1 gene (PB1), 616 through 728 of the polymerase acidic protein gene (PA), 304 through 385 of the nucleoprotein gene (NP), 242 through 386 of the matrix gene (M), and 553 through 654 of the nonstructural gene (NS) were used for the analyses. The length of each horizontal line is proportional to the minimal number of nucleotide differences required to join nodes. The length of the reference line represents a 10-nucleotide difference per 100 nucleotides. The trees are rooted to H1N1 sequences. The sequences without specified H and N numbers belong to the H5N1 subtype. Ck denotes chicken, CH China, Dk duck, Eg egret, Env environment, GD Guangdong, GH gray heron, Gs goose, HK Hong Kong, Ml mallard, NC Nanchang, NY New York, OH Ohio, Ph pheasant, Qa quail, Sc silky chicken, Th Thailand, TW Taiwan, TX Texas, and VT Vietnam.
Discussion
We believe that the most likely explanation for the family clusteringof these three cases of avian influenza is that the virus wastransmitted directly from the infected index patient to hermother and to her aunt. Person-to-person spread of avian influenzaA (H5N1) strains has been the focus of intense concern. Ongoingsurveillance for such an event across Asia has so far yieldedno evidence of efficient person-to-person spread. In this context,it is reassuring that no further transmission of the virus hasbeen detected and that the available characterization of thevirus from this cluster showed no adaptive change in the receptor-bindingsite from the avian 2,3-linked pattern toward the 2,6-linkedpattern of the human sialic acid receptor. Furthermore, phylogeneticanalysis of all the genomic segments showed that the H5N1 virusfrom this family cluster belongs to the prevalent genotype Zand that there was no reassortment with human influenzaviruses.These findings confirmed that the virus was not a new variantthat has gained the ability to transmit itself from person toperson more efficiently.
Other explanations for this cluster are possible, although webelieve they are less likely. The diagnosis in the index patientcould not be confirmed virologically, but the clinical features pneumonia with lymphopenia and thrombocytopenia andrapid progression to the acute respiratory distress syndromeand death and the exposure to sick and dying poultrycorrespond to all the cardinal features of previously reportedcases in humans.11,12 Antibodies to H5 were not detected butwould not yet be expected in serum collected six days afterthe onset of illness.21 The confirmation that the clinicallysimilar illnesses that followed in her mother and aunt werecaused by influenza A (H5N1) provides strong support that thispathogen also caused the disease in the girl.
It was fortuitous for the investigation that the mother livedin a distant city, where she had no exposure to poultry, andtraveled to the affected province only to care for her daughter.She had prolonged, direct, unprotected exposure to her criticallyill daughter and had not had known exposure to poultry or poultryproducts. Her 10-minute visit to the affected household on September7 and her return to that household on September 12, after theonset of her fever, are unlikely sources of her exposure.
The illness in the aunt also probably resulted from transmissionfrom the index patient. Her last recognized exposure to poultrywas 17 days before the onset of her illness a periodthat is longer than the accepted incubation period, which rangesfrom 2 to 10 days.10,11,12 She was exposed to the index patientfrom the onset of the girl's illness through the first day ofher hospitalization. We think the bedside exposure to the indexpatient best explains the time and source of infection. It isalso possible that the aunt was infected by the mother (hersister), rather than by the index patient, but this exposurewould have had to have occurred during the first one or twodays of the mother's illness, when she had only mild symptoms.
Direct transmission of avian influenza from person to personhas probably occurred before. In addition to one of the HongKong health care workers, who had mild symptoms, and the Vietnamesefamily clusters discussed above, there were three probable secondaryinfections among family members of poultry workers in an outbreakof conjunctivitis caused by avian influenza A virus (H7N7).22Recent experimental infection of cats lends further biologicplausibility to the transmission of H5N1 among mammals.23 Thecurrent family cluster is unique in that the secondary infectionsresulted in severe disease and death and in that the epidemiologiccircumstances and laboratory findings made it possible to ruleout transmission from poultry. The infection of close contactswith no further chains of transmission suggests that the virushas not adapted to efficient human spread, but this should notbe a rationale for complacency.
Since the emergence of avian influenza H5N1 virus in 1997, thevirus has gone through many reassortment events, resulting inthe emergence of several genotypes. The sequences of the hemagglutininand neuraminidase genes in the currently circulating genotypeZ viruses differ significantly from those of the 1997 viruses.20This finding suggests that the virus may become more efficientin infecting humans, either by acquiring genetic material froma human influenzavirus through reassortment or by adapting itsreceptor-binding site. It has been shown that a single aminoacid substitution at position 226 or 228 of the hemagglutiningene could change the receptor-binding preference from avian-specific2,3-linked sialic acid to human-specific 2,6-linked sialic acid,which is believed to be a major determinant of the host rangeof epidemic and epizootic influenza A viruses.19
Although this family cluster was recognized late and partlyby chance, the investigation of the cluster was immediate, specimenswere obtained and shared with the World Health Organizationnetwork, the patients were isolated and treated, the contactswere given antiviral prophylaxis, exposed persons were put underactive surveillance, and poultry in the surrounding area wereculled. If influenza A (H5N1) remains endemic for months toyears in the eight countries that contain more than 30 percentof the world's human population, it is likely that such clusterswill appear again, and it will be necessary to investigate eachone rapidly and thoroughly to determine whether a critical changein the virus has occurred.
The 1918 influenza pandemic, also hypothesized to have originatedfrom an animal influenzavirus adapted to human transmission,24killed more people in a single year than the epidemic of blackdeath (now believed to have been bubonic plague, caused by Yersiniapestis) in the Middle Ages killed in a century. One author hasattributed the 1918 death toll in part to the disregard forpublic health on the part of a government intently focused onWorld War I.25 The person-to-person transmission of one of themost lethal human pathogens in the modern world should serveas a reminder of the urgent need to prepare for a future influenzapandemic.
Supported by a research grant from the National Center for GeneticEngineering and Biotechnology for the viral study at MahidolUniversity.
We are indebted to Dr. Kamchai Rangsimunpaiboon (Kamphang PhetProvincial Hospital) and Dr. Taweesak Kanutawong (KhanuvoralukburiHospital) for care provided to the patients; to Dr. Krit Nurakand the staff of the Thai Field Epidemiology Training Program;to Dr. Wirat Puthimathee, Hatairat Suntornsuk, Lalida Jamjumras,and Nongnuan Poolkesorn (Kamphang Phet Provincial Health Office),for assistance with our field investigation and with the follow-upof contacts; to the dedicated laboratory staff of the Thai NationalHealth Institute and of the CDC, including Drs. Alexander Klimov,Ruben Donis, Jacqueline Katz, Iain Stephenson, Michael Shaw,Stephen Lindstrom, Rick Bright, Catherine Smith, Amanda Balish,Jeannette Guarner, Wun-Ju Shieh, and Chris Paddock; to the governorand staff of the Kampang Phet Livestock Development for poultryculling; to the staff of the World Health Organization in Thailandand in Geneva for timely technical support; to Drs. Jaran Tinwutthipongse,Tawat Suntarajarn, Kitti Kittiampon, and Paijitr Warachit forpolicy support; to Dr. Suchai Charoenrattanakul, Deputy Ministerof Health, for his encouragement of the sharing of this investigationwith the academic community; and to H.E. Sudarat Keyuraphanfor her strong political commitment to the control of avianinfluenza.
Source Information
From the Bureau of Epidemiology (K.U., C.P.), the Departments of Medical Sciences (R. Kitphati, W.A., P.T., M.C.) and Disease Control (S.C.), and the Kamphang Phet Hospital (R. Khontong), Thai Ministry of Public Health, Nonthaburi, Thailand; the Faculty of Medicine, Siriraj Hospital, Mahidol University, Bangkok, Thailand (P.A., P.P., M.U., K.B.); the International Emerging Infections Program, Thai Ministry of Public Health and U.S. Centers for Disease Control and Prevention, Nonthaburi, Thailand (S.F.D., J.M.S.); and the Centers for Disease Control and Prevention, Atlanta (N.J.C., S.R.Z.).
Address reprint requests to Dr. Ungchusak at the Bureau of Epidemiology, Department of Disease Control, Ministry of Public Health, Tivanon Rd., Nonthaburi 11000, Thailand, or at kum{at}health.moph.go.th.
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