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Effect of Supplemental Oxygen on Sleep Architecture and Cardiorespiratory Events in Preterm Infants

Narong Simakajornboon, MD^*,, Robert C. Beckerman, MD^*,, Cindy Mack, RPSGT, Denise Sharon, MD, PhD and David Gozal, MD

^* Constance S. Kaufman Pediatric Pulmonary Research Laboratory, Department of Pediatrics, Tulane University School of Medicine, New Orleans, Louisiana
Comprehensive Sleep Medicine Center, Tulane University Hospital and Clinics, New Orleans, Louisiana
Kosair Children’s Hospital Research Institute and Division of Pediatric Sleep Medicine, Department of Pediatrics, University of Louisville School of Medicine, Louisville, Kentucky

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	ABSTRACT

TOP ABSTRACT INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION REFERENCES

 
Objective. To investigate the effect of low-flow supplemental oxygen (SupOx) on sleep architecture and cardiorespiratory events in asymptomatic preterm infants.

Methods. An overnight polysomnographic evaluation was conducted prospectively in 23 premature infants who were born at 30.0 ± 3.2 (standard deviation) weeks’ gestational age and studied at 38.1 ± 4.4 weeks’ postconceptional age. Infants were free of any adverse events, including cardiorespiratory monitor alarms in the nursery for at least 1 week before the study. Infants received room air (RA) or SupOx via nasal cannula at 0.25 L/min.

Results. Quiet sleep density was increased during SupOx (33.3 ± 10.8% vs 26.6 ± 10.0% total sleep time [TST] in RA), and a reciprocal decrease in active sleep density was observed (61.5 ± 11.1% vs 68.4 ± 9.9% TST in RA). No differences in sleep efficiency emerged (69.7 ± 10.6% SupOx vs 69.7 ± 8.8% RA). SupOx elicited significant decreases in apnea index (3.8 ± 2.4 events/h vs 11.1 ± 6.4 events/h in RA) and in the percentage of time spent in periodic breathing (1.8 ± 2.9% vs 6.7 ± 8.9% in RA). In addition, SupOx decreased the frequency of bradycardic events (0.3 ± 0.8 events vs 2.5 ± 0.03 events in RA) and improved overall oxygen saturation (98.7 ± 1.1% vs 96.4 ± 2.2%). No changes in alveolar ventilation, as derived from end-tidal CO₂ measurements, was detected (38.6 ± 5.8 mm Hg in SupOx vs 38.4 ± 5.4 mm Hg in RA).

Conclusions. Asymptomatic preterm infants exhibit frequent and potentially clinically adverse cardiorespiratory events when assessed in the sleep laboratory. Administration of SupOx to these infants is associated with an increase in the overall duration and percentage TST spent in quiet sleep with reciprocal changes in active sleep. In addition, improvement in respiratory stability is observed with the use of low-flow SupOx, as evidenced by a decrease in apnea, periodic breathing, and bradycardia, without adverse effects on alveolar ventilation.

Key Words: apnea of prematurity • supplemental oxygen • infant sleep • bradycardia • prematurity

Abbreviations: SupOx, supplemental oxygen • CNLD, chronic neonatal lung disease • REM, rapid eye movement • FIO₂, fraction of inspired oxygen • RA, room air • AS, active sleep • QS, quiet sleep • IS, indeterminate sleep • TST, total sleep time • AI, apnea index • ROP, retinopathy of prematurity

	INTRODUCTION

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The effect of supplemental oxygen (SupOx) on cardiorespiratory events and sleep architecture in premature infants has been previously investigated, albeit not extensively. In these few studies, apnea of prematurity and periodic breathing resolve when oxygen concentration is increased to a threshold level.^1,2 Rigatto and Brady³ further reported that inhalation of 100% O₂ is associated with a decrease in periodic breathing and an increase in minute ventilation. In fact, a modest increase in inspired oxygen concentration decreased apnea and periodicity in preterm infants, not via an increase in alveolar ventilation but rather through a decrease in breath-to-breath variability.⁴ The effect of SupOx on sleep in infants with chronic neonatal lung disease (CNLD) was also studied; SupOx increased rapid eye movement (REM) sleep and decreased REM arousal in patients with CNLD.⁵ A later study, however, indicated that higher oxyhemoglobin saturations decreased sleep efficiency but did not modify REM sleep duration or arousal index.⁶ These somewhat contradictory findings prompted us to investigate how SupOx modifies sleep architecture and cardiorespiratory events during a polysomnographic study of asymptomatic preterm infants.

	METHODS

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An overnight polysomnographic evaluation was conducted in asymptomatic premature infants who were free of any adverse events, including cardiorespiratory monitor alarms in the nursery for at least 1 week before the study. All infants were considered stable and were ready for discharge from the nursery by their medical and other caregivers. Infants were excluded from the study when they had significant medical problems, including genetic diseases, craniofacial anomalies, grade 3 and 4 intraventricular hemorrhage, chronic lung disease requiring continuous oxygen supplementation, and neuromuscular diseases. The study was approved by the Committee on Use of Human Subjects at Tulane University Health Science Center, and parental informed consent was obtained.

Both room temperature and infant clothing and bedcovers were identical to those used in the nursery. The 10-hour studies were performed by randomly dividing the study into room air or SupOx via nasal cannula at 0.25 L/min. One group was studied on room air and then followed by SupOx; the second group was initially studied on SupOx and then followed by room air. Normal randomization procedures were applied for group assignment. The SupOx flow rate was set at 0.25 L/min, based on previous studies on the effect of SupOx on sleep in chronic neonatal lung diseases.^5,6 This flow delivered a fraction of inspired oxygen (FIO₂) of approximately 35% to 45% in infants who weighed between 2.2 and 2.6 kg.⁷ Studies were considered acceptable only when both portions included at least 4 hours of valid recordings, because it has been previously shown that the reliability of apnea estimation is adequate only when study duration exceeds 3 hours.⁸ Although no infants received supplemental oxygen before their arrival to the sleep laboratory, room air was discontinued and SupOx instituted when infants developed significant oxygen desaturation episodes.

The polysomnographic studies were done by using Alice 3 Polygraph Recorder (Healthdyne, Marietta, GA). The standard infant montage was used, and the following variables were recorded simultaneously: body position, left and right electrooculogram, 3-channel electroencephalogram (C3A2, C4A1, and O1A2), chin electromyogram, pulse oximetry and pulse wave form, thoracic and abdominal inductance plethysmography, nasal airflow, end-tidal PCO₂, and transcutaneous PO₂ and PCO₂. An accelerometer was also placed on 1 arm to measure gross body movements. Sleep scoring was performed using standard criteria for the scoring of states of sleep and wakefulness in newborn infants using electroencephalogram and electromyogram patterns and behavioral observation.⁹ The scoring was performed by 2 qualified scorers, who were blinded to the order of oxygen administration. The reliability of the scoring was accepted when there was >90% agreement between the 2 scorers, and data were recorded as the average of the findings. For periods corresponding to room air (RA) and SupOx, the time spent in active sleep (AS), quiet sleep (QS), and indeterminate sleep (IS) was calculated and expressed as percentage of total sleep time (%TST), and sleep efficiency was derived from the ratio between sleep duration as a function of recording duration. Cardiorespiratory variables were scored as apnea index (AI; number of apneic events/hour TST), periodic breathing (expressed in %TST), total number of bradycardic events, average SPO₂, and average end-tidal PCO₂. The average SPO₂ was calculated from the actual reading of all valid SPO₂, with SPO₂ values during movement artifact being excluded. The average end-tidal PCO₂ was obtained from the mean of the highest valid value of end-tidal PCO₂ in any given 30-second epoch. Periodic breathing was defined as a series of 3 or more apneic events of at least 3 seconds’ duration, separated by <20 seconds of uninterrupted breathing.¹⁰ Apnea (central, obstructive, or mixed) that lasted >5 seconds was scored; however, hypopneic events were not scored. The distribution of different type of apnea was calculated as percentage of total apnea.

Statistical Analysis
Numerical variables were expressed as the mean ± standard deviation, unless otherwise specified. All parameters were assessed and, except for the number of bradycardic events, passed the Kolmogorov and Smirnov normality test.¹¹ Two-tailed t tests were therefore used, whereas the number of bradycardic events was compared by Wilcoxon matched-pairs signed rank test. P < .05 was considered to have achieved statistical significance.

	RESULTS

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Twenty-three of 28 premature infants had sufficient quality recordings during RA and SupOx to allow analysis. Thirteen were boys. The average gestational age at birth was 30.0 ± 3.2 weeks, and the postconceptional age at the time of polysomnographic study was 38.1 ± 4.4 weeks. Compared with RA, SupOx was associated with a significant increase in QS density (33.3 ± 10.8% vs 26.6 ± 10.0% in RA; P < .001; Fig 1) and a reciprocal decrease in AS density (61.5 ± 11.1% vs 68.4 ± 9.9% in RA; P < .001; Fig 1). No significant differences in the percentage of IS (5.2 ± 2.5% vs 4.6 ± 1.3%; not significant) and sleep efficiency (69.7 ± 10.6% vs 69.7 ± 8.8% RA; not significant) emerged.

View larger version (16K): [in this window] [in a new window]   Fig 1. Effects of SupOx on sleep architecture in premature infants. The y axis represents the percentage of QS (A), AS (B), IS (C), and sleep efficiency (D) as a function of TST, in RA and after initiation of SupOx. SupOx was associated with a significant increase in QS density and a decrease in AS density. No differences in IS and sleep efficiency were observed.

View larger version (16K): [in this window] [in a new window]   Fig 2. Effects of SupOx on cardiorespiratory events. The y axis represents the AI (/hour; A), percentage of periodic breathing (B), total bradycardic events (C), and average PCO2 (D) in RA and after initiation of SupOx. A decrease in the AI and periodic breathing and a trend toward decrease in total bradycardic events are observed after initiation of SupOx without any significant changes in the average PCO2.

	DISCUSSION

TOP ABSTRACT INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION REFERENCES

It is now well established that preterm infants with or without bronchopulmonary dysplasia may have clinically significant apnea and oxygen desaturation.^12–14 In addition, preterm infants have significantly more apneic episodes, desaturation, and periodic breathing when they reach term than infants who are born at term.¹³ Although some infants may become symptomatic, several studies have pointed out that a large percentage of apnea and bradycardia will not be detected by the nursing staff.^14,15 Furthermore, clinical observation alone not only identified significantly less true apnea and bradycardia but also substantially misclassified the type of apnea in these infants.¹⁵ The present study further substantiates these findings, particularly because infants who were enrolled in this study were reported as asymptomatic by the nursing staff, whereas the overnight polysomnographic evaluation revealed significant apnea and bradycardia. Stebbens et al¹⁶ showed that preterm infants have baseline values of oxyhemoglobin saturation in the same range as those of full-term infants and that punctual measurements may not provide reliable information. In contrast, multichannel polysomnographic recordings may identify clinically asymptomatic infants with significant apnea, although they will not predict the risk for apparent life-threatening events.¹⁷

The mechanisms underlying the effect of SupOx on apnea and periodic breathing are unclear. Several putative models of feedback respiratory control would predict increased system stability when heightened peripheral chemoreceptor afferent inputs are reduced by SupOx. Indeed, preterm infants with lower baseline oxyhemoglobin saturations are more prone to have apnea and periodic breathing.¹⁸ Furthermore, exposure to an hypoxic gas mixture may lead to prolonged or recurrent apnea in infants.¹⁹ Conversely, decreases in apnea density and periodic breathing ensued after inhalation of 100%.^20,21 It is interesting that despite the silencing of peripheral chemoreceptor gain induced by SupOx, increases in minute ventilation occurred, suggesting that improved neural tissue oxygenation has a facilitatory effect on overall neural respiratory output.^20,21 This latter mechanism may be mediated by increased nitric oxide release in brainstem regions subserving ventilation²² and may account for the emergence of decreased breath-to-breath variability of minute ventilation.⁴ Thus, our study confirms previous findings indicating that apnea of prematurity can be treated by increasing the FIO₂.¹ The FIO₂ required to eliminate apnea, however, varies between studies. Fenner et al¹ found no change in number of apneic episodes until a given "threshold" concentration was achieved, whereas Weintraub et al⁴ did not identify any evidence for such a threshold, such that regularization of breathing patterns and disappearance of apnea were gradual in their infants. We chose a fixed flow of oxygen and therefore cannot compare our results with other studies because the actual FIO₂ was not only variable among the different infants but also varied from moment to moment in the same infant as determined from their instantaneous minute ventilation.⁷

The most apparent effect on cardiovascular function induced by apnea is the rapid development of bradycardia. Bradycardia may be initiated by hypoxemia or may represent a chemoreceptor-mediated vagal reflex.²³ Furthermore, even short-lasting central, obstructive, or mixed apneic events may affect cerebral hemodynamics in preterm infants.²⁴ Although the ultimate long-term adverse consequences of such bradycardic episodes and regional brain flow fluctuations are still unclear, the number of bradycardic events tended to decrease after the initiation of low-flow SupOx.

SupOx not only improved cardiorespiratory stability but also altered sleep architecture. The use of SupOx in preterm infants was associated with an increase in QS with a reciprocal decrease in AS. Our findings concur with those of Fitzgerald et al,⁶ who showed that elevation of inspired oxygen concentrations in infants with CNLD resulted in a trend toward higher percentage of slow-wave sleep and decreased AS. These authors further speculated that an increased percentage of slow-wave sleep may contribute to improved growth in CNLD infants who maintained higher oxygenation; the latter coincides with normalization of growth hormone urinary excretion.²⁵ The association between improved oxygenation and resultant changes in QS density and accelerated growth would be predicted from the well-known interactions between decreased work of breathing induced by enhanced respiratory stability during SupOx breathing, as well as by the beneficial effect that SupOx would impose on growth hormone end-organ downstream signaling pathway.^26,27 Furthermore, QS will enhance growth hormone pulsatile release,²⁸ and increased growth hormone levels will further induce increased QS density.^29,30 Thus, increased QS density induced by SupOx not only may ameliorate cardiorespiratory instability but also could lead to improved growth patterns in preterm infants without CNLD.

Multiple concerns have arisen regarding the use of SupOx in preterm infants. First and foremost has been the concern that SupOx will exacerbate retinopathy of prematurity (ROP), because earlier studies showed a correlation between the prolonged administration of a high percentage of oxygen and increased vision loss as a result of ROP.³¹ More recently, however, the use of SupOx actually has been associated with a decrease in the proliferative vasculopathy of ROP in an animal model³² and with regression of prethreshold ROP in infants.³³ These observations on the beneficial effects of SupOx on visual outcome were confirmed recently by a large multicenter study in infants who had prethreshold ROP.³⁴ Second, the use of SupOx was postulated to increase the risk of adverse pulmonary events, including pneumonia and exacerbation of chronic lung disease.³⁴ Although evidence suggests that SupOx may superimpose an oxidant-like injury on disease lung, there is limited data on the effect of SupOx on lung injury in infants with no baseline lung disease. Third, SupOx theoretically could impose an adverse effect on alveolar ventilation by reducing peripheral chemoreceptor function and therefore induce clinically significant hypercapnia. Although such concern has been voiced for many years, our study measured CO₂ homeostasis during SupOx administration, and no differences in either the end-tidal CO₂ or transcutaneous PCO₂ emerged.

	CONCLUSION

TOP ABSTRACT INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION REFERENCES

 
Otherwise asymptomatic preterm infants exhibit frequent adverse cardiorespiratory events when they are studied in the sleep laboratory. The use of SupOx was associated with increased quiet sleep and with a decrease in apnea density, time spent in periodic breathing, and number of bradycardic events without any adverse consequences on alveolar ventilation. These findings support the need for a larger multicenter prospective study to examine whether more liberal use of supplemental oxygen may lead to improved cardiorespiratory stability, growth, and/or developmental outcome in these asymptomatic preterm infants.

	ACKNOWLEDGMENTS

 
This study was supported by the American Heart Association Southeast Affiliate (0160230B) and the Constance Kaufman Endowment Fund. Dr Gozal was supported by National Institutes of Health grant HL-65270, Department of Education grant H324E011001, and the Commonwealth of Kentucky Research Challenge Trust Fund.

	FOOTNOTES

 
Received for publication Nov 27, 2001; Accepted Apr 3, 2002.

Reprint requests to (N.S.) Department of Pediatrics, Tulane University School of Medicine, SL-37, New Orleans, LA 70112. E-mail: nsimaka{at}tulane.edu

	REFERENCES

TOP ABSTRACT INTRODUCTION METHODS RESULTS DISCUSSION CONCLUSION REFERENCES

 

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This Article Abstract Full Text (PDF) P3Rs: Submit a response Alert me when this article is cited Alert me when P3Rs are posted Alert me if a correction is posted Citation Map Services E-mail this article to a friend Similar articles in this journal Similar articles in ISI Web of Science Similar articles in PubMed Alert me to new issues of the journal Add to My File Cabinet Download to citation manager Citing Articles Citing Articles via HighWire Citing Articles via CrossRef Citing Articles via ISI Web of Science (14) Citing Articles via Google Scholar Google Scholar Articles by Simakajornboon, N. Articles by Gozal, D. Search for Related Content PubMed PubMed Citation Articles by Simakajornboon, N. Articles by Gozal, D. Related Collections Premature & Newborn

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