The Laryngoscope C 2014 The American Laryngological, V Rhinological and Otological Society, Inc. Contemporary Review Etiopathogenesis of Acquired Cholesteatoma: Prominent Theories and Recent Advances in Biomolecular Research Chin-Lung Kuo, MD Objective: To review recent biomolecular advances in etiopathogenesis of acquired cholesteatoma. Data Sources: MEDLINE via OVID (to March 2014) and PubMed (to March 2014). Review Methods: All articles referring to etiopathogenesis of acquired cholesteatoma were identified in the above databases, from which 89 articles were included in this review. Results: The mechanisms underlying the etiopathogenesis of acquired cholesteatoma remain a subject of competing hypotheses. Four theories dominate the debate, including theories of invagination, immigration, squamous metaplasia, and basal cell hyperplasia. However, no single theory has been able to explain the clinical characteristics of all cholesteatoma types: uncoordinated hyperproliferation, invasion, migration, altered differentiation, aggressiveness, and recidivism. Modern technologies have prompted a number of researchers to seek explanations at the molecular level. First, cholesteatomas could be considered an example of uncontrolled cell growth, capable of altering the balance toward cellular hyperproliferation and enhancing the capacity for invasion and osteolysis. Second, the dysregulation of cell growth control involves internal genomic or epigenetic alterations and external stimuli, which induce excessive host immune response to inflammatory and infectious processes. This comprises several complex and dynamic pathophysiologic changes that involve extracellular and intracellular signal transduction cascades. Conclusions: This article summarizes the existing theories and provides conceptual insights into the etiopathogenesis of acquired cholesteatoma, with the aim of stimulating continued efforts to develop a nonsurgical means of treating the disorder. Key Words: Connexin 26, cytokines, etiology, microRNA, pathogenesis. Laryngoscope, 125:234–240, 2015 INTRODUCTION Acquired cholesteatoma is a well-demarcated nonneoplastic lesion in the temporal bone that arises from an abnormal growth of keratinizing squamous epithelium.1 Acquired cholesteatoma is locally invasive and capable of causing middle ear destruction.2 Due to the likelihood of fatality resulting from intracranial complications, acquired cholesteatoma remains a cause of morbidity and death for individuals who lack access to advanced medical services. Despite substantial research into the disorder, the etiopathogenesis of acquired cholesteatoma has yet to be clearly elucidated. Furthermore, given the fact that no viable nonsurgical therapy From the Department of Otolaryngology–Head and Neck Surgery, Taipei Veterans General Hospital; the Department of Otolaryngology, National Yang-Ming University School of Medicine; Institute of Brain Science, National Yang-Ming University; the Department of Otolaryngology, National Defense Medical Center, Taipei, Taiwan, R.O.C.; the Department of Otolaryngology, Taoyuan Armed Forces General Hospital, Taoyuan, Taiwan, R.O.C. Editor’s Note: This Manuscript was accepted for publication July 24, 2014. The author has no funding, financial relationships, or conflicts of interest to disclose. Send correspondence to Chin-Lung Kuo, MD, No. 201, Section 2, Shih-Pai Road, Taipei 112, Taiwan, R.O.C. E-mail: [email protected] DOI: 10.1002/lary.24890 Laryngoscope 125: January 2015 234 has been developed thus far, a comprehensive understanding of previous progress and recent advances in biomolecular research on acquired cholesteatoma could aid in the development of an effective management strategy. This article reviews prominent theories behind acquired cholesteatoma, presents the current state of research on its etiopathogenesis, and highlights potential avenues for research in the future. CURRENT THEORIES OF ETIOPATHOGENESIS Despite numerous clinical studies, animal experiments, and modern technologies, the mechanisms underlying the etiopathogenesis of acquired cholesteatoma remain a subject of competing hypotheses. Four theories dominate the debate (Fig. 1). Invagination Theory (Retraction Pocket Theory) The most widely accepted theory was proposed by Wittmaack in 1933 and involves invagination or a retraction pocket of the eardrum (Fig. 1A).3 This theory claims that the precursors to cholesteatoma are retraction pockets of the pars flaccida, which compared to the pars tensa, is less fibrous and less resistant to displacement. The retraction pocket is caused by negative pressure in the middle ear, which in-turn results from Kuo: Etiopathogenesis of Acquired Cholesteatoma Fig. 1. Four prominent theories for the etiopathogenesis of acquired cholesteatoma. (A) Invagination theory (retraction pocket theory). (B) Epithelial invasion or migration theory (immigration theory). (C) Squamous metaplasia theory. (D) Basal cell hyperplasia theory (papillary ingrowth theory). eustachian tube dysfunction (hydrops ex vacuo theory), repeated inflammation, habitual sniffing, or a mastoid of small volume.4–8 A deepening of the retraction pocket with accumulation of desquamated keratin can lead to cholesteatoma formation, which obstructs the opening of the pocket and thereby induces ingrowth expansion into the middle ear cleft. Based on this theory, Tos divided cholesteatomas into three types: 1) attic cholesteatoma, which develops from Shrapnell’s membrane; 2) tensa retraction cholesteatoma, which involves the entire pars tensa; and 3) sinus cholesteatomas, which originates from a posterosuperior retraction of the pars tensa that extends to the sinus tympani.9 Theory of Epithelial Invasion or Migration (Immigration Theory) Another potential mechanism behind the etiopathogenesis of acquired cholesteatoma is epithelial invasion or migration (Fig. 1B). This theory was independently proposed by Habermann in 188810 and Bezold in 1890,11 based on their observations obtained during surgery. Immigration theory assumes that the keratinizing squamous epithelium of the eardrum invades or migrates into the middle ear through a traumatic or iatrogenic defect in the eardrum. The concept of eardrum perforation as a precursor to cholesteatoma has been strengthened by recent findings from Karmody and Northrop.12 By examining histologic sections of temporal bones from 60 children, those researchers found evidence that squamous epithelium actively migrated from the eardrum toward the middle ear. Immigration theory contradicts the assertion that a retraction pocket acts as the precursor of acquired cholesteatoma, and was further corroborated in an animal study by Jackson and Lim,13 who observed migration of keratinizing epithelium into cat bulla by contact guidance. Laryngoscope 125: January 2015 Theory of Squamous Metaplasia The squamous metaplasia theory was first proposed by Wendt in 1873, who theorized that metaplastic transformation of middle ear mucosa into keratinizing epithelium led to the formation of cholesteatomas (Fig. 1C).14 This theory contradicted the simplified and arbitrary definition of acquired cholesteatoma (which described the condition as "skin in the wrong place"), and was widely accepted among otologists in the 19th century.15 In brief, squamous metaplasia theory stated that an enlargement of cholesteatoma intercurrent with infection and inflammation would lead to lysis and perforation of the eardrum, resulting in the typical appearance of acquired cholesteatoma. Sade et al. extended Wendt’s theory by suggesting that chronic irritation can cause pluripotent mucosal epithelial cells to become keratinizing.16 A recent animal study by Yamamoto-Fukuda et al. also strongly supported the metaplasia theory; however, those authors proposed that the epithelial cells in cholesteatoma originated in the eardrum, as cells from the middle ear mucosa and the skin of the external ear canal were not found to form cholesteatomas in response to persistent pathological stimuli.17 Basal Cell Hyperplasia Theory (Papillary Ingrowth Theory) In 1925, the squamous metaplasia theory was challenged by Lange, who proposed the theory of basal cell hyperplasia (Fig. 1D).18 Lange theorized that the subepithelial tissue of Prussak’s space could be invaded by cholesteatoma microcysts within Shrapnell’s membrane (pars flaccida). Prussak’s space is a recess bound medially by the neck of malleus, laterally by the pars flaccida, superiorly by the lateral malleolar fold, and inferiorly by the lateral process of malleus. According to basal cell hyperplasia theory, keratin-filled microcysts, Kuo: Etiopathogenesis of Acquired Cholesteatoma 235 buds, or pseudopods are formed in the basal layer of the epithelium,19 and retraction pockets or eardrum perforations are not necessarily a prerequisite to the formation of cholesteatoma. This theory has been substantiated by several clinical, experimental, and animal studies, and may explain the occurrence of acquired cholesteatomas behind an intact eardrum.19,20 A number of otologists believe that the pathogenesis of cholesteatoma is a complex hybrid process involving these four seemingly discrete mechanisms.8,21 In 2000, Sudhoff and Tos combined the theories of invagination and basal cell hyperplasia to explain the formation of retraction pocket cholesteatoma.8 RECENT BIOMOLECULAR ADVANCES IN THE UNDERSTANDING OF ETIOPATHOGENESIS Cholesteatoma has been recognized for more than 3 centuries; however, the nature of the disorder has yet to be determined. Several plausible mechanisms have been proposed for acquired cholesteatoma; however, no single theory has been able to explain the clinical characteristics of all cholesteatoma types: uncoordinated hyperproliferation, invasion, migration, altered differentiation, aggressiveness, and recidivism.21 Modern technologies have thus prompted a number of researchers to seek explanations at the molecular level. POTENTIAL GENOMIC ALTERATIONS IN CHOLESTEATOMAS Researchers have demonstrated the high proliferative activity of cholesteatoma epithelium using a variety of proliferation markers such as cytokeratins 13/16, Ki67, proliferating cell nuclear antigen, thrombomodulin, argyrophilic nuclear organizer regions, and thymidine.21–24 Compared to normal skin, the cholesteatoma epithelium exhibits a significantly higher percentage of marker-labeled cells. The most direct hypothesis explaining this high proliferation activity is the assertion that cholesteatomas are premalignant or low-grade well-differentiated squamous cell neoplasias.25 However, obtaining evidence to confirm this hypothesis may require further DNA analysis of cholesteatomatous masses.26 Recent studies using microarray analysis techniques have demonstrated that cholesteatoma tissue expresses many tumor-relevant genes that could play a role in pathogenesis.27 For example, epidermal growth factor receptor (EGFR) has been shown to be related to proliferation and differentiation in normal cells in vivo.28 The upregulation and activation of the EGFR, observed in several tumor types, plays an important role in both tumor initiation and progression.29,30 Overexpression of EGFR has also been identified in cholesteatomas, suggesting that variations in EGFR gene regulation could be associated with the proliferation of cholesteatomas.28 Another example of defective gene regulation in cholesteatomas is the overexpression of transforming growth factor a (TGFa), which is a potent stimulator of cell growth and a specific ligand involved in the activation of EGFR.31 Additionally, the proto-oncogenes c-myc and c-jun have been strongly linked to keratinocyte differentiation Laryngoscope 125: January 2015 236 and proliferation in cholesteatomas.32–35 The c-myc gene is located on chromosome 8q24. Previous studies have shown that the aneuploidy of chromosome 8 and copynumber alterations of the c-myc gene are associated with the proliferative and aggressive nature of cholesteatomas.34–36 Aneusomy of chromosomes 7 and 17 has also been suggested to play a crucial role in cholesteatoma growth and bone destruction.36 INSUFFICIENT EVIDENCE FOR GENOMIC INSTABILITY IN CHOLESTEATOMA Connexins, or gap junction proteins, are a family of structurally related transmembrane proteins that assemble to form intercellular channels allowing the rapid transport of selected ions and small molecules.37 Twenty-one connexins have been identified in humans. Connexin 26, also known as gap junction beta-2 (GJB2), is a transmembrane protein encoded by the GJB2 gene, which is expressed in the cochlea and the skin. Mutations in the GJB2 gene have been shown to cause congenital nonsyndromic sensorineural hearing loss and hyperkeratotic skin disorders.38 Microarray analysis by Klenke et al. revealed that the expression of GJB2 gene is higher in cholesteatoma tissue than in the skin of the external auditory canal.27 Choung et al. identified the upregulation of connexin 26 in the epithelium of cholesteatoma in the human middle ear, compared to that found in normal retroauricular skin and the skin of the ear canal.37 Alterations in the expression of connexin 26 may contribute to the multifactorial pathogenesis of cholesteatoma by modifying the intercellular communication between keratinocytes37; therefore, it is reasonable to assume that mutations in the GJB2 gene could alter the development of the cholesteatoma and/or influence the aggressiveness of the lesion.38 However, a prospective observational study by James et al. failed to identify a correlation between GJB2 gene mutations and the severity of cholesteatoma (i.e., the extent of the cholesteatoma and number of eroded ossicles) in 98 cases of pediatric cholesteatoma.38 In addition, James et al. found that only 14% of children with cholesteatoma present variants of the gene GJB2.38 Based on the existing evidence, it is difficult to support a relationship between GJB2 gene mutations and the development of cholesteatoma. Several tumor suppressor genes (e.g., p53, p27, CDH18, 19 and ID4, PAX3, LAMC2, and TRAF2B) have been shown to be down-regulated in cholesteatomas.25,27,39,40 For instance, tumor suppressor p53, encoded by the Tp53 gene, protects the cell from genome mutations and propagation of DNA damage.25,41,42 Mutations in the p53 gene give rise to mutant p53 proteins that are highly expressed in various types of cancer.25,42 Moreover, p53 has been shown to be more strongly expressed in cholesteatoma than in normal skin cells of the eardrum.25 The fact that cholesteatomas present a greater number of p53-positive cells does not necessarily mean that the p53 gene has "mutated." Additionally, there is a wide variation in the percentage of p53-positive cells in Kuo: Etiopathogenesis of Acquired Cholesteatoma all subgroups of cholesteatomas.25 Furthermore, hyperproliferative keratinocytic lesions comprise a wide range of nontumorigenic, pretumorigenic, and tumorigenic conditions.43 As with cholesteatomas, these lesions rarely progress to become apparent neoplasms. In contrast, several cytogenetic and histopathological studies have revealed that cellular dysplasia, an early neoplastic process, is not a critical event in the genesis of cholesteatoma.24,25,44,45 Specifically, in previous research, inherent genomic instability (in the form of abnormal or aneuploid quantities of DNA) was not consistently found to be a critical feature of cholesteatoma.25,46–49 In summary, observations at the biomolecular level have not yet provided sufficient genomic evidence to support premalignant or malignant processes in cholesteatoma. Revealing the actual underlying association between cholesteatoma and neoplasms will require further investigation. EPIGENETIC REGULATION IN CHOLESTEATOMA: THE ROLE OF MICRORNAS MicroRNAs are noncoding small RNA molecules (containing 22–24 nucleotides) that regulate the expression of post-transcriptional messenger RNA (mRNA) via the initiation of mRNA degradation or the inhibition of translation.50–54 Dysregulation of microRNA expression has been implicated in neoplastic and hyperproliferative diseases.51,54 Although microRNAs were identified as early as 1989,55 it was not until the early 2000s that microRNAs were recognized as a particular category of biological regulator with conserved functions.56–58 In 2009, Friedland et al. first described the potential role of microRNA in regulating growth and proliferation in adult acquired cholesteatoma.54 This study identified increased levels of microRNA-21 (hsa-mir-21) concurrent with decreased levels of phosphatase and tensin homolog (PTEN) and programmed cell death 4 (PDCD4) in cholesteatoma, compared to the levels found in normal postauricular skin. PTEN and PDCD4 have been recognized as potent tumor suppressors controlling various aspects of apoptosis, proliferation, invasion, and migration. Friedland et al. postulated that the upregulation of microRNA-21 could lead to the suppression of PTEN and PDCD4, resulting in keratinocyte proliferation, migration, growth, and invasion in cholesteatoma. In another study examining the role of microRNAs in the pathogenesis of cholesteatomas, Chen and Qin found higher levels of microRNA-21 and a more pronounced reduction in PTEN and PDCD4 protein levels in cholesteatoma tissue, compared to that of normal skin, particularly in pediatric patients. Differences between pediatric and adult cholesteatomas with regard to microRNA-21 and its targets (PTEN and PDCD4) were consistent with clinical observations, in which the keratinocyte proliferation levels were higher in children than in adults.38,51,59 Chen and Qin further compared cholesteatomas and normal skin tissue with regard to microRNA-let-7a and its target protein, the high Laryngoscope 125: January 2015 mobility group AT-hook 2 (HMGA2). HMGA2 has been identified as an oncogene, the overexpression of which is a common characteristic of neoplastic cells in experimental as well as human models.60 Chen and Qin identified the upregulation of microRNA-let-7a concurrent with the downregulation of HMGA2 in cholesteatomas, compared with those observed in normal skin. They postulated that microRNA-let-7a may inhibit the expression of HMGA2, leading to a reduction in the proliferation of cholesteatoma cells and increased keratinocyte apoptosis. The stimulatory effect of microRNA-21 on cell proliferation and the antiproliferative effect of microRNA-let7a suggest that a dynamic balance may be involved in the invasive behavior and benign non-neoplastic nature of cholesteatoma. OVER-REACTION OF HOST IMMUNE RESPONSE TO INFLAMMATION Researchers have attempted to identify the precise molecular and cellular dysfunction involved in the cholesteatoma pathogenesis. In contrast to neoplastic transformation, several studies have revealed an association between the progression of cholesteatoma and host immune response to inflammation, such as that observed in the process of wound healing.25,61–63 In particular, Fig. 2. Molecular pathogenesis and mechanisms of cholesteatoma. The interactions between matrix keratinocytes and perimatrix fibroblasts play an important role in the process of tissue homeostasis within cholesteatoma. Differentiation, proliferation and migration of the matrix keratinocytes require both paracrine and autocrine signaling. EGF 5 epidermal growth factor; GM-CSF 5 granulocyte-macrophage colony stimulating factor; IL 5 interleukin; KGF 5 keratinocytes growth factor; PDGF 5 platelet-derived growth factor; PTHrP 5 parathyroid hormonerelated protein; TGF 5 transforming growth factor; TNF-a 5 tumor necrosis factor-alpha. Kuo: Etiopathogenesis of Acquired Cholesteatoma 237 paracrine and autocrine interactions between matrix keratinocytes and perimatrix fibroblasts play an important role in homeostasis and tissue regeneration within cholesteatomas.64,65 As shown in Fig. 2, matrix keratinocytes release proinflammatory cytokines, such as interleukin (IL)21a, IL-1b, IL-6, and IL-8. The keratinocytes also secrete parathyroid-hormone–related protein (PTHrP), which has been listed as a member of the cytokine network and a factor contributing to bone destruction.66 These keratinocyte-derived cytokines subsequently induce perimatrix fibroblasts to secrete several other cytokines, such as keratinocyte growth factor, granulocyte macrophage-colony stimulating factor, epidermal growth factor (EGF), tumor necrosis factor-alpha, platelet-derived growth factor (PDGF), and TGF-a.67–69 These fibroblastderived cytokines in turn induce the differentiation, proliferation, and migration of matrix keratinocytes.21,39,62,64 In addition to paracrine regulatory mechanisms, autocrine loops also play a role in maintaining tissue homeostasis. For example, TGF-a and TGF-b are constitutively expressed in hyperproliferative epithelium, regulating keratinocyte proliferation and differentiation in a process similar to that of the autocrine system (Fig. 2).65,70,71 Additionally, infiltrating inflammatory cells also secrete cytokines to stimulate the induction of hyperproliferative cells in all layers of the cholesteatoma epidermis.20,21,25 Host innate immune response is thus a doubleedged sword. The immune system protects the host against infectious threats; however, over-reactive immune responses also seriously threaten the host by contributing to the aggressiveness of cholesteatoma. REGULATION OF ANGIOGENESIS AND ANGIOGENIC GROWTH FACTORS During inflammation, various cell populations (e.g., monocytes, macrophages, and infiltrating leukocytes) in the matrix and perimatrix release a variety of angiogenic factors, such as vascular endothelial growth factor, EGF, TGF-a, PDGF, IL-8, and cyclooxygenase 2, which subsequently initiate angiogenesis.72,73 Angiogenesis within the perimatrix enables the sustained migration of keratinocytes into the middle ear cavity.72 It has thus been concluded that angiogenesis is pivotal to the proliferation and aggressiveness of cholesteatoma. BONE RESORPTION Bone resorption can be triggered by the effects of local pressure; however, in the 1950s, a link between the chemical lysis of cholesteatoma and bone destruction was proposed.74 The first step in bone resorption is the recruitment of bone marrow mononuclear cells, followed by multinucleation of those cells to form osteoclasts.21 Osteoclastogenesis can be promoted by the upregulated cytokines in cholesteatoma, which can have direct or indirect effects on osteoclasts. These cytokines include IL-1, IL-6, IL-17, interferon-beta, and PTHrP.21,75,76 Recently, immunohistochemical analysis has revealed that receptor activator of nuclear factor kappa-B ligand (RANKL) plays Laryngoscope 125: January 2015 238 a pivotal role in inflammatory bone resorption.77 Activated T and B cells have been found to be important cellular sources of RANKL for osteoclastogenesis.77 Matrix-metalloproteinases (MMPs) are a family of proteolytic enzymes synthesized by various types of cells such as fibroblasts, keratinocytes, macrophages, and endothelial cells. Recent studies have shown that MMPs can promote aggressiveness in cholesteatoma with regard to the destruction of bony tissue.21,39 Pediatric cholesteatomas present particularly severe inflammation with a greater number of metalloproteinases, such that the pediatric disease is characterized as being more aggressive than its counterpart in adults.78 Furthermore, an upregulation of MMP expression (e.g., MMP1, MMP9, MMP10, and MMP12) and a decrease in associated enzyme inhibitors (tissue inhibitor of metalloproteinases) constitute degradation of the extracellular matrix.27 THE ROLE OF INFECTION Recent breakthroughs have suggested that infections in the middle ear may stimulate the aggressiveness of cholesteatoma.62 Squamous epithelium can be rendered destructive in an environment of chronic infection,54 such that the osteolytic effects of cholesteatoma are enhanced. Furthermore, biofilm-forming bacteria within the cholesteatoma matrix could explain antibiotic-resistant middle ear infections and have been shown to play a crucial role in cholesteatoma pathogenesis.79,80 For example, the biofilm-forming Pseudomonas aeruginosa lipopolysaccharide has been shown to activate keratinocyte hyperproliferation.62 Aerobic organisms such as P aeruginosa require oxygen to survive. The process of aerobic metabolism induces the production of reactive oxygen species (ROS), which are highly toxic and deleterious to biological macromolecules. Aerobic cells have developed systems in which antioxidants are used to control the flux of ROS.81 Increases in oxidative stress and decreases in the level of antioxidants have recently been identified in cholesteatoma patients. An imbalance between oxidative processes and antioxidants increases biofilm production and has been shown to be involved in cholesteatoma pathogenesis.82,83 The presence of bacteria may also prevent the cholesteatoma epithelium from activating terminal differentiation and returning to a quiescent state, thereby leading to ongoing proliferative, migratory, and invasive behaviors.25 In addition, the pH of the keratin debris of cholesteatoma has been found to be acidic, and the acidity of keratin debris escaped from the cholesteatoma sac has been proposed to be a critical factor in bone destruction.84,85 Researchers have proven that these acids are derived from aerobic (e.g., Staphylococcus aureus and Proteus species) as well as anaerobic (e.g., Peptococcus and Bacteroides species) microorganisms.86 THE TRUE NATURE OF CHOLESTEATOMA HAS YET TO BE DETERMINED A few cases of cholesteatoma-related carcinoma have been reported87–89; however, a causal association Kuo: Etiopathogenesis of Acquired Cholesteatoma between cholesteatoma and carcinoma remains to be identified. Is cholesteatoma a premalignant or malignant neoplasm? Existing evidence remains insufficient to make a definitive conclusion. Nonetheless, cholesteatomas clearly exhibit clinical features similar to those observed in neoplasms. Based on the current evidence thus far, cholesteatomas can be considered an example of uncontrolled cell growth, capable of altering the balance toward cellular hyperproliferation and enhancing the capacity for invasion and osteolysis. The dysregulation of cell growth control involves internal genomic or epigenetic alterations and external stimuli, which induce excessive host immune response to inflammatory and infectious processes. This comprises several complex and dynamic pathophysiologic changes that involve extracellular and intracellular signal transduction cascades. CONCLUSIONS Recent advances in biomolecular research have enhanced our understanding of the etiopathogenesis of acquired cholesteatoma. 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