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CHEST Original Research

SLEEP MEDICINE

Effects of Dynamic Bilevel Positive


Airway Pressure Support on Central
Sleep Apnea in Men With Heart Failure*
Michael Arzt, MD; Roland Wensel, MD, PhD; Sylvia Montalvan, MD;
Thomas Schichtl, MD; Stephan Schroll, MD; Stephan Budweiser, MD;
Friedrich C. Blumberg, MD; Gunther A. J. Riegger, MD;
and Michael Pfeifer, MD

Background: Treatment with continuous positive airway pressure (CPAP) improves cardiac
function in chronic heart failure (CHF) patients with central sleep apnea (CSA)-Cheyne-Stokes
respiration (CSR) by stabilizing ventilation, but frequently central apneas and hypopneas persist.
Our objective was to test the hypothesis that flow-targeted dynamic bilevel positive airway
pressure (BPAP) support (BiPAP autoSV; Respironics; Murrysville, PA) effectively suppresses
CSR-CSA in CHF patients.
Methods: We studied 14 CHF patients with CSR-CSA (and residual CSA on positive airway pressure
therapy) during 3 consecutive nights: (1) diagnostic polysomnography, (2) CPAP (n 10) or BPAP
(n 4) titration, and (3) dynamic flow-targeted dynamic BPAP support with an expiratory positive
airway pressure (EPAP) set to suppress obstructive respiratory events, and an inspiratory positive
airway pressure (IPAP) dynamically ranging between 0 and 15 cm H2O above the EPAP.
Results: CPAP or BPAP significantly reduced the apnea-hypopnea index (AHI) [mean SD, 46 4
events/h to 22 4 events/h; p 0.001] compared to the first night without treatment. Flow-targeted
dynamic BPAP support (mean EPAP, 6.5 1.7 cm H2O; maximal IPAP, 21.9 2.1 cm H2O) further
reduced the AHI to 4 1/h of sleep compared to the untreated (p < 0.001) and CPAP or BPAP night
(p 0.002). After the first night of flow-targeted dynamic BPAP support, patients rated on an analog
scale (range, 0 to 10) the treatment as comfortable (6.9 0.6), and the sleep quality as improved
compared to previous nights (7.4 0.6).
Conclusion: Flow-targeted dynamic BPAP support effectively suppresses CSR-CSA in patients with
CHF and is well tolerated. (CHEST 2008; 134:61 66)

Key words: cardiology; central sleep apnea; ventilation

Abbreviations: AHI apnea-hypopnea index; BPAP bilevel positive airway pressure; CANPAP Canadian Trial of
Continuous Positive Airway Pressure for Patients with Central Sleep Apnea and Heart Failure; CHF chronic heart failure;
CPAP continuous positive airway pressure; CSA central sleep apnea; CSR Cheyne-Stokes respiration;
EPAP expiratory positive airway pressure; IPAP inspiratory positive airway pressure

C apnea
heyne-Stokes respiration (CSR)-central sleep
(CSA) is a common breathing disorder in
surges in sympathetic nervous system activity and
BP.8 Ultimately, the presence of CSR-CSA and its
25 to 40% of patients with chronic heart failure adverse effects confer an increased risk of mortality
(CHF).13 In such patients, ventilation is destabilized
by a combination of high controller gain (increased For editorial comment see page 4
carbon dioxide responsiveness), hypocapnia resulting
from lung edema (high filling pressures), and a long in CHF patients independent of underlying cardiac
circulation time.37 CSR-CSA may contribute to function.9 11
disease progression by exposing the failing ventricle Treatment of CSR-CSA with continuous positive
to intermittent hypoxia, arousals from sleep, and airway pressure (CPAP) has been demonstrated to

www.chestjournal.org CHEST / 134 / 1 / JULY, 2008 61


stabilize ventilation, attenuate sympathetic activa- dynamic BPAP, our objective was to test the hypoth-
tion, and improve left ventricular function in patients esis that it effectively suppresses CSR-CSA in CHF
with CHF and CSR-CSA.1214 In the largest trial14 of patients in whom CSR-CSA persisted using conven-
CPAP in CHF patients with CSR-CSA (Canadian tional CPAP or BPAP therapy.
Trial of Continuous Positive Airway Pressure for
Patients With Central Sleep Apnea and Heart Fail-
ure [CANPAP]), the investigators found only a 50% Materials and Methods
reduction in the apnea-hypopnea index (AHI) [ap-
neas and hypopneas per hour of sleep] and no Patients
beneficial effects on prognosis. However, a stratified
analysis15 of the CANPAP trial demonstrated that Inclusion criteria were as follows: (1) age between 18 and 80
years; (2) CHF due to ischemic, hypertensive, or idiopathic
increases in left ventricular ejection fraction and dilated cardiomyopathy with a left ventricular ejection fraction
transplant-free survival were greater in those CHF 45% as determined by resting echocardiography or by radio-
patients in whom CPAP suppressed CSR-CSA than nuclidventriculography; (3) CSR-CSA (AHI 15/h, 80% cen-
in the control group. These data suggest that a tral apneas and hypopneas); and (4) a residual AHI 10/h during
reduction in AHI in response to CPAP is a predictor a previous sleep study (not part of this trial) on conventional
CPAP or BPAP (without back-up rate) therapy. Patients who had
of improved cardiovascular outcome in CHF pa- a residual AHI 10/h after 27 11 weeks of CPAP or BPAP
tients with CSR-CSA. therapy were pooled in one group because the only mid-term
As a large proportion of CPAP-treated CHF pa- (cross-over) randomized trial17 comparing the effects of BPAP
tients with CSR-CSA have residual apneas and hy- and CPAP on CSA in CHF patients demonstrated that the
popneas,14 and suppression of CSR-CSA appears to pretreatment AHI of 26.7 10.7/h was similar significantly
reduced by CPAP and BPAP to 7.7 5.6/h and 6.5 6.6/h,
be a possible mechanism by which positive airway respectively.
pressure support can improve cardiovascular out- Exclusion criteria were as follows: (1) a history of unstable
come in CHF patients,10,12,13,15,16 conventional angina, cardiac surgery, or documented myocardial infarction
CPAP may not be the optimal therapeutic approach within 3 months of entry into the study; (2) CHF due to valvular
in these patients. Therefore, devices that suppress heart disease; (3) daytime hypercapnia or the need for mechan-
ical ventilatory assistance for comorbid conditions; (4) important
CSR-CSA more effectively are needed. COPD (FEV1 70% of predicted value or FEV1/FVC 60%);
One such approach is flow-targeted dynamic bi- (5) pregnancy; and (6) a history of pneumothorax and/or pneu-
level positive airway pressure (BPAP) support momediastinum. We studied 14 consecutive sleep clinic patients
(BiPAP autoSV; Respironics; Murrysville, PA), with CHF who met the inclusion and exclusion criteria above.
which has been developed to normalize breathing in The investigation conforms with the principles outlined in the
Declaration of Helsinki. The patients gave written informed
patients with both obstructive sleep apnea and CSR- consent to participate in this prospective study, which had been
CSA. The flow-targeted dynamic BPAP device pro- approved by the Ethics of Human Research Committee of the
vides a minimum expiratory positive airway pressure University of Regensburg.
(EPAP) to maintain upper-airway patency and elim-
inate obstructive apneas and hypopneas. In addition, Baseline Assessment
the device modulates inspiratory positive airway
pressure (IPAP) in order to maintain a target inspira- Demographic information, anthropometric measurements, and
tory airflow and eliminate central apneas and hypop- status of CHF including objective evidence of systolic left
ventricular dysfunction and status of sleep-disordered breathing
neas. In this first clinical evaluation of flow-targeted (without positive pressure support) were assessed in all 14
eligible patients. During the first night of polysomnography, body
*From the Department of Internal Medicine II, Divisions of position, eye and leg movements, cardiotachography, nasobuccal
Pneumology and Cardiology (Drs. Arzt, Wensel, Schroll, and airflow (pressure cannula), thoracoabdominal movements (In-
Riegger), University of Regensburg, Regensburg; the Center for ductotrace; Ambulatory Monitoring; Ardsley, NY), and pulse
Pneumology (Drs. Schichtl, Montalvan, Budweiser, and Pfeifer),
Donaustauf Hospital, Donaustauf; and Prosper Hospital (Dr. oximetry were recorded (Alice 3.5; Respironics). Bedtime and
Blumberg), Recklinghausen, Germany. awakening time were at the discretion of each subject. Sleep
Dr. Arzt received lecture fees from Respironics ($1,500 in 2007). studies were scored by an experienced clinician who was blinded
The other authors have no actual and potential conflicts of to the applied treatment modality, using standard criteria.18
interest to disclose. Apneas were defined as absence of tidal volume for 10 s
Manuscript received July 2, 2007; revision accepted September (measured reduction of airflow to 10% peak nominal air-
19, 2007. flow). Hypopneas were defined as a 50% reduction in air flow
Reproduction of this article is prohibited without written permission from baseline for 10 s or with a discernable reduction in
from the American College of Chest Physicians (www.chestjournal. airflow associated with a 4% oxygen desaturation or an arousal.
org/misc/reprints.shtml).
Correspondence to: Michael Arzt, MD, Department of Internal Apneas and hypopneas were classified obstructive if out-of-phase
Medicine II, Pneumology, University of Regensburg, Franz-Josef- thoracoabdominal motion or airflow limitation was present. The
Strau-Allee 11, 93042 Regensburg, Germany; e-mail: michael. AHI was defined as the mean number of apneas and hypopneas
arzt@klinik.uni-regensburg.de per hour of sleep, and the oxygen desaturation index was defined
DOI: 10.1378/chest.07-1620 as the number of oxygen desaturations 4%/h of sleep.

62 Original Research
Principles of Operation of Flow-Targeted Dynamic BPAP a repeated-measures analysis of variance with post hoc contrasts
by t tests was used. A two-sided p value 0.05 was considered to
Flow-targeted dynamic BPAP provides positive airway pres- indicate statistical significance.
sure support to sustain upper-airway patency. The EPAP is manu-
ally set to eliminate obstructive apnea/hypopnea during sleep,
which can be determined during conventional in-laboratory
polysomnography in CPAP mode. In this clinical evaluation, the Results
minimal IPAP is manually set at the determined EPAP level Patient Characteristics
(minimal IPAP EPAP). In addition, the flow-targeted dynamic
BPAP device modulates the IPAP above the EPAP as required to Table 1 displays the baseline characteristics of the
maintain a target peak inspiratory airflow: when the device
14 male patients. They were mildly overweight and
detects normal breathing, flow-targeted dynamic BPAP operates
like conventional CPAP by providing the minimal IPAP had moderate-to-severe CHF due to ischemic, idio-
( EPAP); when the patient does not maintain the target peak pathic, and hypertensive cardiomyopathy. All pa-
inspiratory airflow, the device increases the IPAP above the tients were receiving stable and optimal cardiac
EPAP up to a maximum IPAP, which can be set by the user (15 medication for at least 4 weeks before entry into the
cm H2O above EPAP in this clinical evaluation). The device also
trial (Table 1). During the diagnostic polysomnogra-
provides an automatic back-up rate should sustained apnea be
detected. In order to avoid hyperventilating the patient and to phy, untreated patients had moderate-to-severe
promote spontaneous breathing, the target inspiratory flow is set CSR-CSA with 94% central apneas and frequent
to below the mean inspiratory flow during spontaneous breathing mild oxygen desaturations (Table 2). Patients slept
by the patient, and the timing of the back-up rate begins with for only 5.5 h, and sleep efficiency (total sleep
time delay and is set to a slower rate than the average respiratory
time/time in bed) was reduced (73 3%).
rate of the patient.

Protocol and Intervention


Effects of CPAP/BPAP and Flow-Targeted
Dynamic BPAP
After one diagnostic polysomnography, flow-targeted dynamic
BPAP was initiated during 2 consecutive nights with full poly-
Applied Pressures
somnography. Patients were blinded to the applied treatment During the CPAP/BPAP titration night, CPAP was
modality: during the first night, positive pressure support was
titrated using the flow-targeted dynamic BPAP device in CPAP
increased up to a mean maximum of 8.3 0.9 cm
(n 10) or BPAP (n 4) mode (depending of the treatment of H2O (n 10) and a mean maximum IPAP/EPAP of
sleep-disordered breathing the patients received before entry 13.5 3.0 cm H2O/7.6 1.7 cm H2O (n 4), and
into the study) in order to achieve maximal suppression of apneas patients spent at least 80% (81 14%) of the time
and hypopneas. Titration was started at 5.4 1.9 cm H2O receiving pressure settings optimally suppressing ap-
CPAP/EPAP pressure, which was increased in increments of 1 to
2.5 cm H2O until obstructive apneas and hypopneas were
neas and hypopneas. During the first night of flow-
optimally treated. Patients spent 81 14% of the time receiving
optimal positive airway pressure settings. During the second
consecutive night, flow-targeted dynamic BPAP was initiated;
EPAP was set to the optimal CPAP/EPAP levels determined Table 1Baseline Characteristics of Heart Failure
during the second (previous) night. IPAP dynamically ranged Patients*
from 0 to 15 cm H2O above EPAP. CPAP/BPAP and flow-
targeted dynamic BPAP were applied in a fixed order rather than Variables Data
a randomized order because the optimal EPAP had to be deter-
mined by retitration of CPAP or BPAP using a standardized protocol Patients, No. 14
to evaluate the optimal settings for CPAP, BPAP, and flow-targeted Age, yr 65 1
dynamic BPAP treatment. The morning following initiation of Male gender 14 (100)
flow-targeted dynamic BPAP, subjects completed a visual analog Body mass index, kg/m 28 1
scale of perceived treatment comfort and sleep quality. The analog Cause of heart failure
scale included two items: (1) how would you describe the comfort of Ischemic 6 (43)
the therapy you received through the night? Values ranged from 0 Nonischemic 8 (57)
(treatment was very uncomfortable) to 10 (treatment was very Medications
comfortable); and (2) how would you describe the quality of the rest Angiotensin-converting enzyme 13 (93)
you had last night? Values ranged from 0 (this was the worst night of inhibitors or angiotensin-1
sleep I have had in quite some time) and 10 (this was the best night inhibitors
of sleep I have had in quite some time). Loop diuretics 13 (93)
Spironolactone 7 (50)
Digoxin 3 (21)
Statistical Analysis -Blocker 14 (100)
Exercise capacity and cardiac function
All data were analyzed using statistical software (SPSS, version
NYHA functional class II 8 (57)
11.0; SPSS; Chicago, IL). Data are shown as mean SD. To
NYHA functional class III 6 (43)
assess differences in the number of respiratory events, oxygen
Left ventricular ejection fraction, % 27.4 2.2
saturation and polysomnographic measures of sleep quality be-
tween the sleep study at baseline, the CPAP/BPAP titration *Data are presented as mean SE or No. (%) unless otherwise
night, and the treatment night with flow-targeted dynamic BPAP, indicated. NYHA New York Heart Association.

www.chestjournal.org CHEST / 134 / 1 / JULY, 2008 63


Table 2Short-term Effects of CPAP/BPAP and Flow-Targeted Dynamic BPAP in Patients With CHF and
CSR-CSA*

Flow-Directed p Value, Untreated p Value, CPAP/BPAP


CPAP/ Dynamic p Value, Untreated vs Flow-Directed vs Flow-Directed
Variables Untreated BPAP BPAP vs CPAP/BPAP Dynamic BPAP Dynamic BPAP

Breathing during sleep


AHI, events/h 46 4 22 4 41 0.001 0.001 0.002
Apnea index, events/h 34 5 16 3 10 0.003 0.001 0.012
Central apnea index, 32 5 15 3 10 0.006 0.001 0.014
events/h
Oxygen desaturation index, 42 4 22 6 21 0.005 0.001 0.005
events/h
Mean oxygen saturation, % 92.1 0.3 93.5 0.3 93.7 0.4 0.016 0.005 1.0
Minimum oxygen 80.2 1.6 79.9 3.9 92.1 0.9 1.0 0.016 0.015
saturation, %
Sleep characteristics
Arousal index, events/h 30 3 25 4 18 3 1.0 0.061 0.471
Total sleep time, min 331 17 371 12 371 15 0.187 0.181 1.0
Sleep efficiency, % 73 3 79 2 89 11 0.449 0.247 1.0
Slow-wave sleep, % 15.9 2.6 24.4 3.6 25.3 2.4 0.131 0.081 1.0
Rapid eye movement sleep, % 9.9 1.2 14.1 1.4 13.4 1.9 0.167 0.336 1.0
*Data are presented as mean SD.

targeted dynamic BPAP, maximum IPAP and mean Sleep Quality and Treatment Comfort
EPAP were set at 21.8 2.1 cm H2O and 6.5 1.7
With both CPAP/BPAP and flow-targeted dy-
cm H2O, respectively. The mean IPAP that was
namic BPAP therapies, reductions in CSR-CSA were
actually applied by the flow-targeted dynamic BPAP
accompanied by trends (not statistically significant)
device was 8.0 2.4 cm H2O, significantly below the
toward improvement in objective measures of sleep
maximum IPAP. No adverse clinical event occurred.
quality and quantity (Table 2). With CPAP/BPAP
and flow-targeted dynamic BPAP, the arousal index
Breathing During Sleep was reduced by 17% and 40%, respectively; patients
Both therapies, CPAP/BPAP and flow-targeted slept 40 min longer and had 8% and 18% higher
dynamic BPAP, improved CSR-CSA compared to
the untreated night as indicated by a significant fall
in AHI, apnea index, central apnea index, and oxygen p<0.001
desaturation index as well as a significant increase in p<0.001 p=0.002
Apnea-hypopnea Index [no./h]

mean nocturnal oxygen saturation (Table 2). The 80

reduction of AHI by CPAP (n 10) and BPAP 70

(n 4) compared to the diagnostic polysomnogra- 60


50
phy was similar (53 18% vs 52 55%, p 0.723). 40
Flow-targeted dynamic BPAP reduced AHI, apnea 30
index, central apnea index, and oxygen desaturation 20
index significantly more than CPAP/BPAP therapy. 10
Minimal oxygen saturation was also significantly 0
higher with flow-targeted dynamic BPAP than with Untreated CPAP/BPAP BiPAP autoSV
CPAP/BPAP. In contrast to CPAP/BPAP, flow-
targeted dynamic BPAP further reduced the initial Figure 1. Individual data of 14 patients with CHF and moderate-
to-severe CSR-CSA (mean AHI, 46 4/h of sleep) are displayed.
AHI (range, 23 to 72/h of sleep) to below the With CPAP or BPAP therapy, significant CSR-CSA persists in 50%
threshold of 15 apneas and hypopneas per hour of of CHF patients (mean AHI, 22 4/h of sleep). Flow-targeted
sleep (which defined the presence of CSR-CSA in dynamic BPAP (BiPAP autoSV; Respironics) effectively suppresses
AHI (mean AHI, 4 1/h of sleep) in all individuals below the
this clinical evaluation) in all individuals (Fig 1). In threshold of 15 apneas and hypopneas per hour of sleep (dashed
addition, the suppression of residual AHI by flow- line), which defined the presence of CSR-CSA in this clinical
targeted dynamic BPAP compared to the CPAP evaluation. Patients who were treated with CPAP before the trial
and during the second night of the trial are depicted as . Patients
(n 10) or BPAP (n 4) night was similar who were treated with BPAP before the trial and during the second
(85 11% vs 84 6%, p 0.751). night of the trial are depicted as .

64 Original Research
A 15/h of sleep). The CANPAP investigators14 found
that CPAP reduced the AHI from 40 to 19/h of
Treatment was very
uncomfortable
Treatment was very
comfortable
sleep, indicating that a large proportion of patients
still had substantial CSR-CSA (AHI 15/h of sleep)
when receiving CPAP. In the only trial that com-
B
pared the CPAP and BPAP (without back-up rate)
treatment after 1 night, Kohnlein et al17 found
This was the worst night sleep This was the best night sleep
in quite some time in quite some time that BPAP and CPAP led to similar improvements in
CSR-CSA in 16 CHF patients.
0 2 4 6 8 10 In our clinical evaluation of flow-targeted dynamic
BPAP in CHF patients with CSR-CSA, we observed
Figure 2. The morning following 1 night of treatment with a near elimination of CSR-CSA (AHI from 46 to 4/h
flow-targeted dynamic BPAP, the subjects completed a visual
analog scale. The analog scale included two items: (1) top, A: how of sleep) during the first night of treatment. The
would you describe the comfort of the therapy you received comparison of the approximately 90% AHI reduc-
through the night? and (2) bottom, B: how would you describe tion with flow-targeted dynamic BPAP to the approx-
the quality of the rest you had last night? Possible values ranged
from 0 to 10. The mean rating SE after the first night with imately 50% AHI reduction with CPAP or BPAP in
flow-targeted dynamic BPAP for item 1 was 6.9 0.6 and for our clinical evaluation as well as in the CANPAP
item 2 was 7.4 0.6. trial14 strongly suggests that flow-targeted dynamic
BPAP is more effective than CPAP in normalizing
nocturnal breathing in CHF patients with CSR-CSA.
sleep efficiency. Again, none of these changes Our observed results with flow-targeted dynamic
reached statistical significance. As depicted in Figure BPAP on CSR-CSA were similar to those trials evalu-
2, CHF patients perceived the first night of noctur- ating a device with volume-targeted adaptive servoven-
nal treatment with flow-targeted dynamic BPAP as tilation. Teschler and colleagues19 studied 14 CHF
comfortable and rated the quality of sleep as better patients with similar CSR-CSA severity and observed
than average. Only one patient, who completed the an 86% reduction in AHI, with a residual AHI of 6/h of
study but did not tolerate wearing a face mask, rated sleep. In another study, Morgenthaler and collegues20
below average in both analog scales. observed a near elimination of respiratory events (AHI of
1/h of sleep) in 21 patients with predominantly normal
cardiac function and CSR-CSA, mixed sleep apnea, or
Discussion complex sleep apnea, who had a residual AHI of 34/h of
sleep with conventional CPAP (not part of the trial).
In the first clinical evaluation of the flow-targeted Suppression of CSR-CSA and normalization of
dynamic BPAP device, patients with CHF and moder- nocturnal oxygenation by flow-targeted dynamic
ate-to-severe CSR-CSA were evaluated. The major BPAP were accompanied by trends toward improved
findings are that CPAP/BPAP and flow-targeted dy- objective measures of sleep continuity and quality.
namic BPAP reduced the frequency of apneas and However, none of these effects reached statistical
hypopneas during sleep. While the CHF patients had significance, which may be a result of a lack of study
substantial residual CSR-CSA with CPAP/BPAP ther- power rather than a lack of effect. The magnitude of
apy, flow-targeted dynamic BPAP effectively elimi- effects of flow-targeted dynamic BPAP on sleep
nated apneas and hypopneas during sleep on the first efficiency and slow-wave sleep compare to those of
night of treatment. These effects were accompanied by Teschler and colleagues19 with volume-triggered
a trend toward improved sleep continuity and sleep adaptive servoventilation.
architecture. Treatment with flow-targeted dynamic This first clinical evaluation of flow-targeted dynamic
BPAP was perceived as comfortable, and sleep quality BPAP has to be interpreted considering the following
during the first night of device use was subjectively limitations: it is possible that a full night of fixed optimal
improved compared to recent nights. CPAP or BPAP would have suppressed CSR-CSA
For this study, we selected CHF patients who had more effectively as our CPAP/BPAP night that in-
residual CSR-CSA (AHI 10/h) during a previous cluded titration. However, we do not believe that this
sleep study with conventional CPAP or BPAP. Com- influenced our results significantly because only pa-
pared to the first night without treatment, we found tients with a residual AHI 10/h during a previous
a significant reduction of AHI and central apnea sleep study with conventional CPAP or BPAP therapy
index of 52% and 53%, respectively, during the night (not part of this trial) were included, and patients spent
with CPAP or BPAP. These findings are similar to 80% receiving optimal CPAP/BPAP settings during
those reported from the CANPAP trial14 involving the titration night in our trial. Moreover, the observed
258 heart failure patients with CSR-CSA (AHI 52% reduction of CSR-CSA events by CPAP/BPAP

www.chestjournal.org CHEST / 134 / 1 / JULY, 2008 65


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66 Original Research

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