© 2002 American Thoracic Society
Continuous Positive Airway Pressure Treatment Improves Baroreflex Control of Heart Rate during Sleep in Severe Obstructive Sleep Apnea SyndromeIstituto di Fisiopatologia Respiratoria, Italian National Research Council, Palermo; Clinica Medica 1, Milano-Bicocca University, Istituto Auxologico Italiano; Centro di Bioingegneria, Fondazione Don Carlo Gnocchi ONLUS, Milano and Politecnico di Milano, Milan; and Clinica Medica, Milano University, Ospedale San Gerardo, Monza, Italy Correspondence and requests for reprints should be addressed to Maria R. Bonsignore, M.D., Istituto di Fisiopatologia Respiratoria, Italian National Research Council, Via Ugo La Malfa, 15390146 Palermo, Italy. E-mail: marisa{at}ifr.pa.cnr.it
The role of the arterial baroreflex in the cardiovascular changes associated with the obstructive sleep apnea syndrome (OSAS), and the effect of nasal continuous positive airway pressure (CPAP) treatment on baroreflex function during sleep are unknown. Baroreflex control of heart rate was studied in 29 normotensive patients with OSAS under no treatment, in 11 age-matched control subjects, and in 10 patients at CPAP withdrawal after 5.5 ± 3.7 (range 314) months of treatment. Baroreflex control of heart rate was assessed by "sequence method" analysis of continuous blood pressure recordings (Finapres) obtained during nocturnal polysomnography. In untreated OSAS, baroreflex sensitivity (BRS) was low during wakefulness and nonrapid eye movement (REM) stage 2 sleep compared with control subjects, and correlated inversely with mean lowest SaO2 and the blood pressure increase after apneas. After CPAP treatment, the apnea-hypopnea index was lower, and mean lowest SaO2 higher than before treatment. After CPAP, patients were more bradycardic, blood pressure and its standard deviation decreased as SaO2 improved in non-REM stage 2 sleep, and BRS increased (nocturnal wakefulness: +59%; non-REM stage 2 sleep: +68% over pretreatment values). Our data suggest that baroreflex dysfunction in OSAS may be at least partly accounted for by nocturnal intermittent hypoxemia, and can be reversed by long-term CPAP treatment.
Key Words: sleep-disordered breathing hypertension autonomic nervous system
Marked cardiovascular fluctuations, secondary to hypoxia-induced sympathetic activation (1), arousal (2), and mechanical effects of airway obstruction (3) occur during sleep in obstructive sleep apnea syndrome (OSAS). However, the cardiovascular effects of OSAS extend beyond night-time: OSAS is associated with diurnal sympathetic hyperactivity (1) and increased blood pressure responsiveness to hypoxia (4, 5), both factors likely contributing to the pathogenesis of sustained systemic hypertension and a high risk for cardiovascular disease (6). The role of the arterial baroreflex in OSAS-induced cardiovascular alterations during sleep and wakefulness is not completely defined. The arterial baroreflex normally buffers acute changes in blood pressure by feedback modulation of sympathetic activity and vascular resistance. During daytime, both decreased (7) and normal (8, 9) baroreflex control of heart rate (HR) were found in untreated patients with OSAS. Therefore, decreased baroreflex efficiency in OSAS could potentiate sympathetic hyperactivity and apnea-associated peripheral vasoconstriction (10). Assessing baroreflex control of HR in OSAS might be clinically relevant, since a low baroreflex sensitivity (BRS) is an unfavorable prognostic indicator and a marker of autonomic dysfunction in diseases such as diabetes (11), chronic heart failure (12), and coronary artery disease (13). Baroreflex activity cannot be directly assessed by nerve recording in humans, partly accounting for the limited knowledge on the effects of OSAS on baroreflex. However, because baroreflex activation/deactivation is associated with changes in the vagal discharge to the heart, baroreflex function can be explored by analyzing HR responses to pharmacologically-induced changes in blood pressure. During sleep, injection of vasoactive substances frequently causes arousal (14), a problem that may be overcome by a technique based on detection of baroreflex sequences (i.e., spontaneous changes in ECG R-R interval associated with blood pressure fluctuations), similar to the effects evoked by bolus injection of vasoactive drugs (15). Spontaneous BRS can be assessed as the sequence slope, as in the traditional method. Disappearance of spontaneous sequences after carotid denervation (16) strongly supports their baroreflex origin. Clinically, the sequence technique was shown to yield results similar to those obtained by the bolus injection method (17), and was employed to study circadian BRS changes in normotensive and hypertensive subjects (18, 19). In nonapneic, nondesaturating snorers, spontaneous BRS decreased during nonrapid eye movement (REM) sleep (20), suggesting that sleep-disordered breathing can impair baroreflex function. No studies have analyzed spontaneous BRS during sleep in untreated OSAS. The effects of continuous positive airway pressure (CPAP) treatment on OSAS-induced autonomic dysfunction and cardiovascular alterations are still controversial. Acute CPAP application normalizes OSAS-induced high cardiovascular variability during sleep (21), but norepinephrine excretion remained high after a single CPAP night (22). After long-term CPAP, sympathetic hyperactivity during wakefulness decreased (23, 24) and autonomic stress tests improved (2527) in patients with good compliance to treatment. Blood pressure during the daytime was reported to decrease (2730) or remain unchanged (24). No studies have examined baroreflex control of HR and cardiovascular variables during sleep in OSAS after long-term CPAP. In this study, we analyzed spontaneous baroreflex control of HR during sleep by the sequence technique in untreated patients with OSAS normotensive during wakefulness, and in healthy control subjects of similar age. Changes in baroreflex control of HR during sleep were assessed in 10 patients on the first night of CPAP withdrawal after prolonged CPAP treatment. This protocol was chosen to study CPAP-treated patients in conditions as similar as possible to those of the control study (31).
Subjects A total of 29 men, normotensive during wakefulness and with newly diagnosed OSAS, and 11 normal men of similar age were studied. Inclusion criteria were: (1) repeated office blood pressure measurements of greater than 140/90 mm Hg; (2) no clinical or laboratory evidence of chronic heart failure, hypertension, or other diseases causing autonomic dysfunction; and (3) no treatment with cardiovascular drugs. No subject reported habitual alcohol intake of more than 30 g/day or drug use. Caffeine intake was 24 cups/day in all subjects. A total of 5 control subjects and 15 patients with OSAS were current smokers (all control subjects and 4 patients with OSAS smoked 7 cigarettes or fewer per day, 7 patients with OSAS smoked 20 cigarettes or fewer per day, and 4 patients with OSAS smoked more than 20 cigarettes per day). Subjects were asked to refrain from caffeine and alcohol consumption and smoking on the day of the study. The effects of CPAP treatment were analyzed in 10 of the 29 patients after at least 3 months of treatment. Body mass index (BMI) and office blood pressure were measured at entry and follow-up. No change in drinking or smoking habits was reported at follow-up. Mean nightly use of CPAP was calculated as the difference in ventilator hourly counts from beginning of treatment to post-CPAP study divided by the number of days of treatment. Polysomnography was obtained in the first night of CPAP withdrawal. All subjects gave informed consent to the study, the protocol of which was approved by the ethics committee of one of the hospitals involved.
Measurements
Data Analysis Short-term cardiovascular variability during nocturnal wakefulness, non-REM stage 2, and REM sleep was estimated in each subject by analyzing all 2-minute segments of the recording showing unchanged polysomnographic stage (32) and blood pressure signal for 85% or more of segment duration (to avoid inclusion of segments with periodic interruptions of Finapres recording). All sleep segments analyzed in patients with OSAS showed recurrence of obstructive apneas. Mean systolic (SBP) and diastolic (DBP) blood pressure and pulse interval (PI) over 2 minutes were calculated, and their standard deviations (SD) taken as estimates of variability. Mean highest and lowest blood-pressure values were calculated in non-REM sleep stage 2 apneas in each patient. The baroreflex was studied by the sequence method (15, 18). Briefly, sequences of four or more consecutive beats where both PI and SBP progressively increased (+PI/+SBP) or decreased (-PI/-SBP) were identified. BRS was calculated as the slope of each sequence (milliseconds/mm Hg). In each subject, mean BRS and number of sequences/hour were calculated in each stage.
Statistical Analysis
Untreated OSAS and Control Subjects Table 1 (left columns) reports anthropometric, daytime blood pressure and sleep data for control subjects and untreated patients with OSAS. Age was similar in both groups, but patients with OSAS showed a greater BMI and higher office blood pressure values, albeit in the normal range. OSAS was severe in our sample, as indicated by the AHI and SaO2 values recorded during sleep. Over an average 5-hour recording of blood pressure, REM sleep was identified in all control subjects and in 26 untreated patients with OSAS, its overall duration being slightly greater in the former than in the latter group. The percentage of non-REM stage 34 sleep was low in both groups. In patients with OSAS the supine position accounted for 71.4 ± 21.4% of total recording.
The mean number of 2-minute segments analyzed to assess cardiovascular variability was similar in control subjects (97 ± 34) and untreated patients with OSAS (94 ± 34), the highest percentage of segments being obtained in non-REM stage 2 sleep (67 ± 10% in control subjects, 77 ± 10% in OSAS, p < 0.01). Mean SBP, DBP, and PI over 2-minute periods did not change significantly from supine wakefulness to sleep (Table 2) . Both nocturnal SBP and DBP were markedly and significantly greater in patients with OSAS than in control subjects, whereas PI was markedly and significantly lower in patients with OSAS. Mean HR values in OSAS and control subjects, respectively, were: 76.8 ± 12.2 and 63.2 ± 7.1 beats per minute (bpm) during wakefulness; 70.3 ± 10.8 and 60.3 ± 7.0 bpm in non-REM stage 2; 68.3 ± 9.0 and 61.0 ± 6.8 bpm in REM sleep; (p < 0.01). Patients with OSAS showed much greater variabilities of SBP, DBP and PI, i.e., larger SD over 2-minute intervals during sleep than control subjects. During interapneic hypertensive peaks in non-REM stage 2 sleep, SBP increased from 123 ± 14 to 165 ± 18 mm Hg, and DBP increased from 61 ± 8 to 91 ± 10 mm Hg. Blood pressure increase after apneas did not correlate with age or AHI. In non-REM stage 2 sleep, mean lowest SaO2 correlated with SD of SBP (r = -0.46, p < 0.05) and mean PI (r = 0.55, p < 0.005). In REM sleep, mean lowest SaO2 correlated with mean SBP and DBP (r = -0.46, p < 0.05 for both), but not with SD of SBP, SD of DBP, mean PI, or SD of PI.
A large number of +PI/+SBP and -PI/-SBP sequences was recorded during polysomnography (i.e., 100 sequences or more per type per subject) in both control subjects and patients with OSAS. The number of sequences did not differ between OSAS and control subjects in any sleep stage (Figure 1 , upper panels). BRS was significantly lower in patients with OSAS than in control subjects during wakefulness and sleep (Figure 1, lower panels). No significant difference in BRS was found between current smokers and nonsmokers in either group.
Spontaneous BRS in patients with OSAS, either during wakefulness or sleep, did not correlate with age, BMI, or AHI. There was, however, a significant correlation between mean lowest SaO2 and BRS (Figure 2) in non-REM sleep (i.e., the lower SaO2, the lower BRS). The same correlation was not significant in REM sleep (Figure 2). Mean BRS in non-REM sleep was lowest in the patients showing marked SBP increase after apneas (r = -0.45, p = 0.01).
Effects of CPAP Treatment The patients studied after CPAP treatment (Table 1, right columns) showed anthropometric characteristics, blood pressure during wakefulness, and OSAS severity in the untreated state similar to those of the entire OSAS group. Mean BMI did not differ between pre- and posttreatment studies. The mean CPAP level prescribed was 11.6 ± 2.5 cm H2O. Average CPAP nightly use was 5.1 ± 1.6 hours, and mean treatment duration was 5.5 ± 3.7 months (range 314 months). At CPAP withdrawal, AHI was lower compared with no treatment. Mean apnea duration was 27.9 ± 9.1 seconds under no treatment, and 26.1 ± 11.5 seconds at CPAP withdrawal (NS). Mean lowest SaO2 in non-REM stage 2 was higher at CPAP withdrawal than under no treatment (Table 1), with a similar trend in REM sleep (paired REM sleep data available in seven patients). Sleep structure (Table 1) did not differ between pre- and post-CPAP studies. The percentage of non-REM stage 34 sleep was low in both studies. Time spent supine did not differ between studies (67.6 ± 23.3% versus 76.8 ± 19.1% of total recording). Similarly, sleep efficiency (total sleep time/time in bed) was 81 ± 11% pretreatment, and 78 ± 14% posttreatment (NS).
CPAP treatment did not affect blood pressure significantly, either during daytime (Table 1) or at night (Table 3)
. The number of 2-minute segments analyzed was similar in pre- (88 ± 33) and post-CPAP (97 ± 27) polysomnographies. Table 3 illustrates the main changes in SBP, DBP, and PI observed at CPAP withdrawal, as compared with no treatment conditions: (1) the trend to increased SD of SBP and DBP from wakefulness to sleep was blunted; (2) the SD of SBP and DBP in non-REM stage 2 sleep decreased; and (3) patients were more bradycardic (i.e., mean PI was higher) in nocturnal wakefulness and non-REM stage 2 sleep. Mean HR before and after treatment, respectively, was: 80.9 ± 12.9 bpm and 68.8 ± 9.7 bpm during wakefulness; 73.2 ± 12.9 and 65.7 ± 9.0 bpm in non-REM stage 2; 66.6 ± 5.6 and 65.3 ± 9.0 bpm in REM sleep (p < 0.01). After treatment, nocturnal HR in OSAS was close to the values found in control subjects. Mean SBP and DBP, and SD of SBP in non-REM stage 2 sleep, decreased in those patients showing an increased mean lowest SaO2 after treatment (r = -0.91, -0.86, and -0.85, respectively, p < 0.002 for all regressions, Figure 3)
; SD of DBP showed a similar trend (p = 0.05, Figure 3). The improvement in mean lowest SaO2 after treatment mostly occurred in young patients (
After CPAP treatment, mean BRS increased compared with pretreatment during nocturnal wakefulness and non-REM stage 2 sleep, but not in REM sleep (Figure 4) . Mean BRS increased from 5.0 ± 1.7 to 8.0 ± 2.9 milliseconds/mm Hg during nocturnal wakefulness (+59%, p < 0.01), and from 5.6 ± 1.5 to 9.3 ± 3.6 milliseconds/mm Hg in non-REM stage 2 sleep (+68%, p = 0.005). Corresponding values in REM sleep were 6.9 ± 2.9 and 7.2 ± 2.8 milliseconds/mm Hg (NS). The number of sequences per hour was similar before and after treatment, the only exception being a small decrease in +PI/+SBP sequences during wakefulness after CPAP (Figure 4).
Figure 5 shows the change in mean BRS from pre- to posttreatment condition in the individual patients. The change in BRS after CPAP ( BRS) did not correlate with age, treatment duration, mean nightly use of CPAP, or the BRS value recorded under no treatment. No significant relationship was found between BRS after treatment and changes in AHI or apnea duration. BRS for -PI/-SBP sequences increased after treatment as mean lowest SaO2 in non-REM stage 2 sleep increased (r = 0.66, p = 0.01). Apnea-induced hypertensive peaks were significantly lower after CPAP (p < 0.05 by paired t test), but their change after treatment did not correlate with BRS.
Our study indicates that baroreflex control of HR during sleep: (1) was impaired in severe untreated OSAS, and (2) improved significantly after CPAP treatment. Spontaneous BRS was much lower in patients with OSAS compared with normal subjects, and was lowest in the patients with the highest apnea-induced hypertensive peaks, supporting the hypothesis that baroreflex dysfunction may contribute to OSAS-induced cardiovascular changes. Significant relationships were found in non-REM sleep between mean lowest SaO2 and BRS under no treatment, and between improved nocturnal SaO2 after CPAP and changes in BRS, mean SBP and DBP, and SBP variability, suggesting a role of hypoxemia in OSAS-induced baroreflex dysfunction. However, because intrathoracic pressure swings during apneas may also decrease after prolonged CPAP treatment (33), the possibility that changes in the mechanical effects of OSAS might contribute to the observed improvement in baroreflex function cannot be excluded. Whatever the mechanism, the increased BRS after treatment supports the concept that long-term CPAP improves cardiovascular control in OSAS.
Before discussing the results, some methodologic issues should be addressed. The sequence technique has been validated in experimental animals (16) and humans (17), and employed in different clinical conditions including sleep (1820). Although we cannot exclude the possibility that baroreflex-like sequences might occur in our experimental conditions independent of baroreflex intervention, previous observations suggested a nonrandom distribution of sequences in the apneic cycle (34). Moreover, preliminary evaluation of our data by spectral analysis of PI and SBP signals at different frequencies (i.e., the In untreated patients with severe OSAS, spontaneous baroreflex control of HR during wakefulness and sleep was low compared with age-matched normal subjects, but patients with OSAS were obese and control subjects were not. Baroreflex control of HR was reported to be lower in obese than nonobese awake humans and improved after weight reduction (35); it also improved after a low-calorie diet in patients with OSAS, but the respective roles of weight reduction and reduced OSAS severity associated with weight loss were not assessed (36). On the other hand, obesity was associated with sympathetic hyperactivity during wakefulness only in patients with sleep-disordered breathing, suggesting a major role of OSAS in the autonomic disturbances associated with obesity (37). Although our study does not allow us to draw any conclusions on the relationship between obesity and BRS, our data support the hypothesis that OSAS affects baroreflex control of HR. Indeed, BRS in untreated OSAS did not correlate with BMI, but correlated with mean lowest SaO2 during sleep (i.e., a marker of OSAS severity). Finally, baroreflex control of HR improved considerably after CPAP treatment, whereas BMI did not change during follow-up. Subjects were asked to avoid drinking and smoking on the days of the study. Some control subjects and OSAS patients were current smokers, but BRS did not differ between smokers and nonsmokers in either group. In addition, the effects of smoking on BRS were previously found to be short-lived (38), and smaller at night compared with daytime (39). Ethanol administration acutely depressed baroreflex sensitivity in humans (40), but none of our subjects could be classified as a moderate or heavy drinker before or after treatment. In severe untreated OSAS, apnea-induced hypoxemia in non-REM sleep correlated significantly with BRS. According to experimental studies on baroreceptorchemoreceptor interactions, marked stimulation of either receptor type was associated with attenuated responses to stimulation of the other receptor (4143). In humans, baroreflex control of HR decreased as hypoxia, acutely induced by simulated high altitude, progressed (44). During acclimatization to high altitude, normal subjects showed an enhanced blood pressure response to hypoxia during wakefulness (45), with a similar trend for the pressor response to periodic breathing during sleep (46), suggesting that chronic hypoxia is likely associated with increased chemoreceptor sensitivity, and thus possibly baroreflex impairment. BRS improved after CPAP treatment, but hypoxemia during sleep was less severe at CPAP withdrawal. Therefore, results of the present study will not allow a determination of whether the observed increase in BRS was secondary to decreased severity of desaturation during sleep or an overall improvement in autonomic function after prolonged treatment. We favor the second hypothesis, because BRS did not show major changes in patients with OSAS during CPAP application (47). There is evidence that regular CPAP treatment in OSAS decreases sympathetic hyperactivity (23, 24), as well as tonic activation of peripheral chemoreceptors (5) and hyperresponsiveness to hypoxia (4, 5). CPAP treatment improved OSAS-induced autonomic dysfunction (2427), and HR during sleep was lower at CPAP withdrawal, observations that are in line with similar findings during wakefulness (26). Thus, we favor the explanation that the improvement in BRS after long-term CPAP seems mostly secondary to chronic rather than acute effects of treatment. The change in BRS did not correlate with compliance to, or duration of, CPAP treatment. Moreover, the link between nocturnal hypoxemia and BRS was weaker after CPAP compared with untreated OSAS. A large number of patients may be needed to show significant relationships between variables. Alternatively, other factors, such as the duration of disease before patients sought medical care, may affect BRS recovery. In the present study, the greatest improvements in nocturnal hypoxemia and cardiovascular variables were observed in relatively young patients. Because the risk of systemic hypertension is higher in younger patients with OSAS compared with older patients (48, 49), our results suggest that it may be young patients who benefit most from CPAP. We did not measure intrathoracic pressure, leaving the important question of the role of OSAS-induced mechanical changes on baroreflex control of HR unaswered. Airway obstruction alters the balance of afferent activity from aortic (intrathoracic) and carotid (extrathoracic) baroreceptors in experimental animals (50). Indirect data by pulse transit time suggest respiratory efforts as a likely explanation for the blunted decline in nocturnal blood pressure seen in apneic patients (3). Spontaneous BRS reflects the integrated response to multiple inputs to cardiovascular control mechanisms, yielding no direct information on the relative roles of mechanical and chemical changes induced by airway obstruction during sleep. However, a direct role of intrathoracic pressure swings on BRS is supported by the finding that spontaneous BRS progressively decreased with increasing snoring frequency in nonapneic, nondesaturating snorers during non-REM sleep (20). The data obtained at CPAP withdrawal do not provide any additional insight into the relative role of apnea-induced mechanical and chemical changes on BRS. Indeed, after prolonged CPAP treatment, esophageal pressure swings were significantly reduced compared with pretreatment studies (33). On the other hand, studying patients on CPAP is not ideal, since CPAP treatment could affect cardiovascular regulation independent of its effects on upper airways. Indeed, decreased venous return and peripheral vasoconstriction were documented in healthy awake subjects during positive-pressure ventilation (51). No significant change in office daytime blood pressure was detected after CPAP treatment, possibly because we studied normotensive subjects. Hypertensive patients with OSAS were excluded due to the known association of high blood pressure with decreased baroreflex function (18). Whether CPAP positively affects baroreflex control of HR in hypertensive OSAS remains to be determined. In the present study, beat-by-beat analysis of blood pressure clearly indicated that both average values and blood pressure variability during sleep fell significantly after treatment. Intermittent 24-hour blood pressure monitoring showed decreased blood pressure after CPAP treatment in those patients with frequent significant desaturation episodes while untreated, but the change in blood pressure was small (29, 30). Therefore, continuous blood pressure recording seems necessary in OSAS to detect changes in nocturnal blood pressure after treatment (52). This study was not randomized or placebo-controlled. Preliminary data by the Oxford group showed no improvement in BRS during wakefulness after sham CPAP, but daytime BRS significantly increased after 4 weeks of effective CPAP treatment (53), ruling out a placebo effect on BRS. Finally, we did not measure left ventricular ejection fraction, but no patient showed clinical symptoms or signs of heart failure, making it unlikely that our findings might be accounted for by changes in cardiac function. Some consistent differences in BRS were observed between non-REM stage 2 and REM sleep: (1) in untreated OSAS, BRS and mean lowest SaO2 correlated in non-REM stage 2 but not in REM sleep; and (2) after CPAP treatment, BRS increased during wakefulness and non-REM sleep, but not in REM sleep. Because REM sleep is normally characterized by increased sympathetic nervous activity compared with non-REM sleep (54), the lack of change in BRS after treatment during REM sleep could reflect the physiologic autonomic imbalance of this sleep phase. The ventilatory response to hypoxia is reduced during REM sleep (55), suggesting decreased chemosensitivity and/or state-dependent effects on the central integration of baroreflex input. In conclusion, CPAP treatment significantly improved the depressed spontaneous baroreflex control of HR found in patients with severe OSAS during sleep. The relationship between nocturnal BRS and OSAS-induced hypertensive peaks supports a link between baroreflex dysfunction, chronic intermittent hypoxia, and sympathetic hyperactivity in OSAS, a result that is similar to data obtained during wakefulness (7). The clinical efficacy of CPAP therapy in decreasing arterial blood pressure or cardiovascular risk in OSAS is still debated (24, 2830). Since arterial baroreflex dysfunction is a marker of high cardiovascular risk in patients with coronary artery disease (13) or heart failure (12), we speculate that it may also indicate an increased cardiovascular risk in patients with OSAS. This study clearly indicates that OSAS-induced baroreflex dysfunction is partly reversible, but long-term prospective observations in larger patient samples are needed to test whether baroreflex control of HR may be used as a clinical risk marker in OSAS. Received in original form July 24, 2001; accepted in final form April 30, 2002
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