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Sleep Disorders andtheNose:
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What Is theEvidence Base?
ThomasVerse andStefanMüller
10
Summary
This chapter considers the evidence base between the nasal airway and sleep. This important rela­tionship will be considered for both obstructive sleep apnoea and simple snoring.
The pathophysiology is explained and will cover the various theories of airway dynamics and airway collapse during sleep. This includes a short resumé of nitric oxide and its physiological effects.
The evidence base for effects of medication and alar splints is presented. The effect of nasal surgery on obstructive sleep apnoea in the appli­cation of positive airway pressure and simple snoring is then considered.
Introduction
Neither airway obstruction nor the generation of snoring sounds occur in the nose. Nevertheless, the topic ‘Nose’ always features prominently on the agenda of conferences about sleep medicine. Even the often-cited Hippocrates (460–370 BC) described a causal connection between nasal pol­yps and non-restorative sleep. As early as 1581,
T. Verse (*) · S. Müller Department for Otorhinolaryngology, Head and Neck Surgery, Asklepios Klinikum Harburg, Asklepios Campus Hamburg, Semmelweis University Budapest, Hamburg, Germany e-mail: t.verse@asklepios.com
Levinus Lemnious rst mentioned non- restorative sleep caused by oral breathing in supine position [1]. The rst modern scientic reports date back to the end of the nineteenth century. In 1898, Wells [2] reported an improvement of vigilance in eight out of ten patients following nasal septoplasty.
Both, during the awake state and during sleep, nasal breathing is the natural physiological route for breathing [3, 4]. Under normal circumstances, less than 10% of humans breathe through their mouth. The nose is our major portal for inspired air, and nasal pathology is responsible for caus­ing signicant disturbance of inspirational air ow [5, 6]. With this in mind, many people and physicians likewise assume that nasal pathology also plays a signicant role in the pathophysiol­ogy of sleep-related breathing disorders (SDB).
In addition, many patients suffering from acute or chronic impairment of nasal breathing report a subjective deterioration of their individ­ual sleep quality with consecutive daytime symp­toms such as fatigue, sleepiness and lack of concentration. This in turn leads to many rhinolo­gists having to face expectations from their patients that improvement of nasal obstruction not only solves their daytime nasal symptoms but also reduces the severity of SDB and the effects on their daily routines.
This chapter focusses on the relationship between nasal obstruction and sleep quality, as well as on the relationship between nasal obstruc­tion and severity of SDB.
© The Author(s), under exclusive license to Springer Nature Switzerland AG 2023 A. C. Swift et al. (eds.), Contemporary Rhinology: Science and Practice,
https://doi.org/10.1007/978-3-031-28690-2_10
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Pathophysiology
Nasal Breathing During theAwake State
In the awake state, about 50–60% of the resis­tance of the complete upper airway is allotted to the nose [7]. This means the largest component of the entire upper airway resistance is located in the nose. As stated above, the nose can be regarded as the physiological breathing path. In healthy, awake and upright sitting subjects, as much as 92% of the entire airway resistance was found in the nose and only 8% in the oral section of the upper airway [8].
The body position has a considerable inu­ence on nasal resistance. Nasal resistance (Rn) increases if the body position changes from sit­ting to supine. A shift as little as 10° leads to a signicant alteration of Rn. These changes were even more clearly seen in patients with allergic or acute rhinitis as compared to a control group [9].
Nasal Breathing During Sleep
In comparison to being awake, nasal resistance (Rn) does not change if the subject falls asleep [10], but the entire upper airway resistance increases distinctively. This implies an increased airway resistance within the pharyngeal sections of the upper airway. In fact, during sleep, the largest contributor to total upper airway resis­tance is located in the pharynx. In other words, the most signicant change of the entire upper airway resistance, whilst falling asleep, occurs in the pharynx and not the nose.
How Can Nasal Obstruction Promote Upper Airway Collapse?
This important question has several hypotheses and is still open to debate. Currently, there are four possible theories.
Starling Resistor
An increase in nasal resistance (Rn) increases the total resistance of the upper airway (RUA).
However, during sleep, Rn only represents a small component of R in Rn result in relatively slight changes in R
This infers that changes
UA.
UA.
In contrast to the nose, the pharynx lacks bony or cartilaginous structures to resist the negative pressure of inspiration. Hence, we can assume that the pharynx reacts like a Starling resistor. A higher preload, in terms of an increased Rn, should create a greater negative pressure that induces collapse during inspiration, causing obstruction in the weakest segment of the chain, namely the pharynx.
Investigations with unilateral nasal dressings were able to provoke some obstructive apnoeas in non-OSA patients, but the effects were not enough to induce clinically signicant obstruc­tive sleep apnoea [1113].
The effects of temporary nasal obstruction were investigated in subjects with seasonal aller­gic rhinitis as a more natural, physiological model. Polysomnographic data showed signi­cantly more obstructive breathing events during the allergic season as compared to the period out­side of the allergic season [14]. However, whilst the effect was statistically signicant, the change in absolute values was not strong enough to induce clinically signicant OSA (apnoea index:
0.7/h versus 1.7/h).
In conclusion, if we consider the background of reported published data, we can assume that partial nasal obstruction may worsen pre-existing OSA or annoying snoring. However, based on current evidence, partial nasal obstruction is most unlikely to represent a major factor in the patho­genesis of OSA.
Increase inOral Breathing
When the nose is completely blocked there is an automatic switch to oral breathing. It has been demonstrated that, in healthy subjects, the critical collapse pressure (Pcrit) during sleep is signi­cantly reduced by blocking both nares with a dressing [15]. A decreased Pcrit in turn increases the likeliness of airway obstruction. In other words, increased oral breathing destabilizes the upper airway.
A similar study showed the upper airway resistance to increase signicantly for oral com­pared with nasal breathing [16]. Two out of ten
10 Sleep Disorders andtheNose: What Is theEvidence Base?
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healthy subjects developed clinically signicant OSA whilst their noses were completely occluded, but the other eight subjects showed little or no change in their polysomnographic data [17]. The evidence suggests that the change from nasal to oral breathing results in clinically notable consequences a subgroup of patients (20% in the before mentioned study), whilst the majority of patients do not show any signicant clinical effects. It may be surmised that this par­ticular subgroup already had pre-existing sub­clinical SDB, even with an open nasal airway.
Loss ofNasal Reexes
Trigeminally mediated nasal reexes are crucial to maintaining nasal patency. Several studies show that the application of local anaesthesia to the nasal mucosa induces a combination of cen­tral and obstructive apnoeas [18, 19]. White etal. described transient, severe OSA after local anaes­thesia in the nose in three out of ten healthy sub­jects, whilst seven patients did not show any change in their sleep parameters. When the local anaesthetic was replaced by a placebo, none of the subjects developed transient OSA.
In addition to this, there seems to be a sub­group of patients in whom nasal reexes play an important role in maintaining airway patency.
Nitric Oxide (Nitrogen Monoxide: NO)
Nitric oxide (NO) is produced in a signicant quantity within the nose and the paranasal sinuses. Nitric oxide reaches the lower parts of the airway with the nasal inspirational airow [20]. NO is a bronchial dilator, thereby increas­ing oxygen saturation of arterial blood [21].
In addition to enhancing oxygenation, NO has several other signicant effects that include maintaining muscle tone, the neuromuscular con­trol of the pharynx, the respiratory drive and the regulation of sleep.
To our knowledge, a thorough, comprehensive analysis of the role of NO in the pathogenesis of sleep-disordered breathing does not exist.
In summary: Nasal obstruction seems to be associated with snoring and apnoeas. However, a direct correlation between nasal obstruction and the severity of SDB has not been demonstrated [22]. Currently, this implies that the nose adds
very little to the severity of obstructive sleep apnoea (OSA).
Clinical Results
The following data is based on two meta- analyses (published in German and English), which form the basis of the German S2E guideline ‘ENT-
specic therapy of obstructive sleep apnea in adults’ [23] and the German S3 Guideline ‘The diagnosis and treatment of snoring in adults
[24]. These guidelines only include studies inves­tigating nasal interventional treatments, and excludes interventions that do not include the nose. Whilst the chapter does not include all of the references within the guidelines, the list includes more recent, additional references.
Eects ofConservative Treatment
Medication
In a recent meta-analysis, that included 58 RCTs, medication had no signicant effect on the sever­ity of OSA in adults [25]. Altogether, a respect­able 44 drugs and drug-combinations were investigated. The medications could be classied into seven pathomechanism groups, but none of these focused on nasal obstruction.
The above-mentioned German guidelines include two case–control series with only 22 patients. These two series focused on the effect of nasal decongestion (with xylometazoline) on sleep in patients with OSA.Neither study show any effect on the severity of sleep apnoea, but one report described a subjective improvement in sleep quality.
Anti-allergic Treatments
Topical nasal corticosteroids improve both sub­jective and objective quality of sleep in adults with allergic rhinitis. The degree of improvement signicantly correlates with the width of the nasal airway. Two randomized controlled trials (RCTs) demonstrated a statistically signicant reduction of the apnoea–hypopnea index (AHI) after treatment topical steroids for several weeks but use of a placebo showed no effect. However,
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the effect was limited to a decrease of 10–20% of the pre-treatment baseline AHI.
In a recent Cochrane review of children with OSA [26], ve RCTs were identied (three using topical steroids and two based on Montelukast). All studies could show the superiority of verum versus placebo with regard to objective polysom­nographic parameters including AHI, oxygen desaturation index (ODI), respiratory arousal index and nadir oxygen saturation. Again, whilst these effects are highly signicant, in most cases they are not sufcient to achieve cure of the underlying OSA. Another meta-analysis [27], including ve RCTs (Montelukast with or with­out additional topical steroids), describes the same effects in a total of 166 children.
It is therefore clear from the present data that anti-allergic treatments can decrease the severity of OSA.However, one question that is left unan­swered in our knowledge is the duration of these effects once the anti-allergic treatment is stopped.
Nasal Dilators
These can be divided into external (plasters) and internal nasal dilators (Fig.10.1). The question as to whether nasal dilators affect the severity of OSA has been considered by probing two meta­analyses. The German guideline [23] included data of 194 patients (11 studies) under this cate­gory. The more recent meta- analysis [28] included 147 patients (9 studies). Both meta­analyses were unable to demonstrate any signi­cant effects of nasal dilators on OSA severity.
However, two individual studies within the con­sidered papers provided additional information on subjective outcome: both studies demon­strated signicant benet from the nasal dilation in reducing daytime sleepiness, although the objective AHI remained unchanged.
The effect of nasal dilators on simple snoring has also been considered. Several clinical trials reported nasal dilators having a positive effect on simple snoring [24]. The German guideline rec­ommend a trial with a nasal dilator for the treat­ment of simple snoring. Trial data has shown that a positive effect from using nasal dilators during sleep can predict the likely effect from nasal sur­gery. In our unit, we use nasal dilators in this manner in our daily practice, with relatively good results.
Results ofSurgical Intervention
Nasal Surgery forOSA
The meta-analysis conducted for the German guideline identied 28 studies, including 717 patients, having isolated nasal surgery for the treatment of OSA.All studies provided pre- and post-operative polysomnographic data. A further four articles on this topic have since been identi­ed [2932]. With the exception of ve studies, 27 papers were case series with a low grade of evidence (Table 10.1 summarizes the data). On collating the data, the average AHI was reduced from 30.5 to 27.9 breathing events per hour of sleep. Only 7 out of 32 studies described a statis­tically signicant decrease of the AHI. These ndings are consistent with data that shows that additional nasal surgery does not improve the success rates of multi-level surgery concepts for treating OSA [33]. It is therefore clearly apparent that it is not possible to successfully treat OSA in the vast majority of patients by only performing nasal surgery. Further reviews come to the same conclusion [6, 34, 35].
In contrast, focusing on subjective outcome parameters for nasal surgery, it has a huge impact on the patient’s well-being. Altogether, data from 16 studies (446 patients) concerning daytime sleepiness, as assessed by the Epworth Sleepiness Fig. 10.1 Internal nasal dilator
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Author N Follow-up AHI pre AHI post P value ESS pre ESS post P value EBM
Rubin AH etal. (1983) 9 1–6 37.8 26.7 <0.05 No data No data 4
Dayal VS and Phillipson EA (1985) 6 4–44 46.8 28.2 n.s. No data No data 4
Caldarelli DD etal. (1985) 23 No data 44.2 41.5 n.s. No data No data 4
Aubert-Tulkens G etal. (1989) 2 2–3 47.5 48.5 - No data No data 4
Sériès F etal. (1992) 20 2–3 39.8 36.8 n.s. No data No data 4
Table 10.1 Effect of isolated nasal surgery on severity of obstructive sleep apnea
Sériès F etal. (1993) 14 2–3 17.8 16 n.s. No data No data 4
Utley DS etal. (1997) 4 No data 11.9 27 - 7.8 6.8 n.s. 4
Verse T etal. (1998) 2 3–4 14 57.7 - 6 12 n.s. 4
Friedman M etal. (2000) 22 >1.5 31.6 39.5 n.s. No data No data 4
Kalam I. (2002) 21 No data 14 11 <0.05 No data No data 4
Verse T etal. (2002) 26 3–50 31.6 28.9 n.s. 11.9 7.7 <0.001 4
Kim ST etal. (2004) 21 1 39 29 <0.0001 No data No data 4
Balcerzak J etal. (2004) 22 2 48.1 48.8 n.s. No data No data 4
Nakata S etal. (2005) 12 No data 55.9 47.8 n.s. 11.7 3.3 <0.045 4
Virkkula P etal. (2006) 40 2–6 13.6 14.9 n.s. No data No data 4
Koutsourelakis I etal. (2008) 27 3–4 31.5 31.5 n.s. 13.4 11.7 <0.01 2b
Li HY etal. (2008) 51 3 37.4 38.1 n.s. 10.0 8.0 <0.001 4
Nakata S etal. (2008) 49 No data 49.6 42.5 n.s. 10.6 4.5 4
Morinaga M etal. (2009) 35 No data 43.5 38.6 n.s. No data No data 4
Tosun F etal. (2009) 27 3 6.7 5.6 n.s. 9.4 4.1 <0.01 4
Li HY etal. (2009) 44 3 36.4 37.5 n.s. 10.6 7.6 <0.05 3b
Bican A etal. (2010) 20 3 43.1 24.6 <0.05 17.1 11.1 <0.01 4
Choi JH etal. (2011) 22 3 28.9 26.1 n.s. 8.8 6.3 <0.001 4
Suoglu M etal. (2012) 28 3 32.5 32.4 n.s. 9.3 5.9 <0.001 4
Victores AJ and Takashima M (2012) 24 3 23.6 20.4 n.s. 12.3 6.6 <0.05 4
Hu B etal. (2013) 79 6 27.7 26.3 n.s. No data No data 3b
Poirier J etal. (2014) 11 6 33.2 29.4 n.s. No data No data 4
Yalamanchali S etal. (2014) 56 1.5 33.5 29.4 n.s. No data No data 4
Moxness MH etal. (2014) 59 3 18.2 16.6 n.s. 10.7 8.9 <0.001 3b
Park CY etal. (2014) 25 2 23.9 12.2 <0.05 9.7 5.8 <0.05 4
Shuaib SW etal. (2015) 26 4 24.7 16.0 <0.05 11.5 7.5 0.003 4
Xiao Y etal. (2016) 30 3 49.7 43.1 <0.05 No data No data 3b
Total 857 1–44 30.52 27.89 11.06 6.79 B
AHI apnea hypopnea index, ESS Epworth Sleepiness scale
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Scale (ESS; Table 10.1), shows that the mean ESS values decreased from 11.0 to 7.0. Similar results are shown by a meta-analysis from Li and colleagues [34].
Several other studies demonstrate signicant improvements to other parameters and dimen­sions of quality of life. The Patient Related Outcome Measure (PROMS) tools used include the ‘Snore Outcome Survey’ [36], the ‘SF-36’ [37], the NOSE-questionnaire [38], the Pittsburgh Sleep Quality Index [32] amongst various other outcome measure tools.
In summary, isolated nasal surgery rarely com­pletely eliminates OSA, but more recent studies show at least a limited effect on OSA severity. However, nasal surgery has various positive effects on the sleep quality. As patients with OSA often suffer from non-restorative sleep, many patients will benet from nasal surgery. Our per­sonal belief is that this fact is too often neglected.
Nasal Surgery andPAP
Nasal surgery has been shown to improve or even enable necessary PAP-treatment in patients with various nasal pathologies [39, 40]. Current data shows that the effective level of positive airway pressure can be successfully reduced by about 2cmH2O following nasal surgery (Table10.2). However, the data sets are from non-controlled case series and should therefore be regarded as
preliminary. Future scientic results may well change this assessment.
Nasal Surgery andSimple Snoring
The work on the German guideline on snoring in adults [24] identied a number of case–control series, whereby the follow-up period was gener­ally 6 months. A retrospective study compared septoplasty and turbinoplasty with other surgical procedures for simple snoring, and found the for­mer to be effective in signicantly improving subjective snoring intensity. Prospective case– control series have also demonstrated the positive effect of septoplasty as the only procedure on subjective, but not objective, snoring intensity.
The results of the above-mentioned studies suggest that a surgical improvement in nasal air­ow leads to a subjective reduction in snoring. Not surprisingly, possible side effects and compli­cations of the procedure do not differ from nasal surgery for a primary rhinological indication.
Against the background of data, the German guideline suggests that nasal surgery should be offered to patients with objective nasal pathology combined with a subjective nasal breathing impairment. Due to a lack of evidence, a state­ment cannot be made on the effectiveness of nasal surgery in snorers with no subjective nasal breath­ing impairment but objective nasal pathologies. Maybe nasal surgery can help in these cases, too?
Table 10.2 Effect of isolated nasal surgery on effective PAP (positive airway pressure)
Autor N Mayer-Brix J etal.
(1989) Friedman M etal.
(2000) Dorn M etal. (2001) 5 11.8 8.6 <0.05 4 Masdon JL etal.
(2004) Nakata S etal.
(2005) Zonato AI etal.
(2006) Sooglu M etal.
(2012) Poirier J etal. (2014) 18 11.9 9.2 n.s. 4
Total 117 11.2 9.4 C
3 9.7 6 No data 4
6 9.3 6.7 <0.05 4
35 9.7 8.9 n.s. 4
5 16.8 12 <0.05 4
17 12.4 10.2 <0.001 4
28 11.2 10.4 n.s. 4
CPAP pre (cmH2O)
CPAP post (cmH2O) p-Wert EBM
10 Sleep Disorders andtheNose: What Is theEvidence Base?
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Conclusion
In the healthy awake subject, the nose contributes up to 60% of the normal airow and plays a sig­nicant role in the total resistance of the upper airway. However, during sleep, the pharyngeal sections of the upper airway become the predom­inant factor. This is why the nose does not signi­cantly change its resistance during transition from awake to sleep, whilst the resistance of the pharynx considerably increases, thus increasing the overall total airway resistance.
From the evidence base, it is not surprising that the relief of nasal obstruction hardly affects the severity of OSA. Simple snoring, however, does improve to some extent. Patients suffering from allergic or acute rhinitis should benet from anti-allergic treatment.
In contrast to the relatively discrete objective changes in respiratory parameters, the benet of nasal surgery regarding the quality of sleep and daytime symptoms, and hence quality of life, is impressive. These subjective improvements apply to patients with sleep disordered breathing disorders as well for sleep-healthy subjects.
In this respect, we should consider including sleep disorders caused by impaired nasal breath­ing into the international classication of sleep disorders. At present, this clinical scenario is not included nor mentioned.
In conclusion, treatment of nasal obstruction should be considered for patients suffering from subjectively impaired nasal breathing or those with signicant daytime fatigue that cannot be successfully treated otherwise.
Working Examples of Clinical Scenarios Case 1: Presentation and Management
A 54-year-old man with: BMI 32.5kgm−2; ESS 12; PSQI 6; AHI 28.9; supine: AHI 38.0; non­supine: AHI 20.5. Signicant nasal obstruction due to septal devia­tion and enlarged conchae. Tonsillar hypertrophy (Brodsky Grade 3), long uvula, webbing 8mm (Fig.10.2). Small lingual tonsils (Friedman 1). Regular epi­glottis (Fig.10.3). Non-compliant to PAP treatment.
Fig. 10.2 Case 1. Enlarged uvula and tonsillar hypertro­phy (Brodsky Grade 3)
Fig. 10.3 Case 1. Small lingual tonsils (Friedman 1). Regular epiglottis
• The nasal obstruction can be resolved by nasal
• The pharyngeal obstruction can be resolved
• We usually avoid performing nasal and pha-
123
Factors to consider:
The options
septoplasty and reduction of inferior turbinates.
by uvulopalatopharyngoplasty in combination with tonsillectomy. We usually perform radio­frequency treatment of the base of tongue in addition, as this combination does not increase post-operative morbidity and is likely to have an additional positive effect on the clinical outcome of OSA.
The management plans
ryngeal surgery at the same time. Combining
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T. Verse and S. Müller
both operations would incur much greater
post-operative risk and morbidity.
• We would recommend performing the nasal
surgery rst.
• Following nasal surgery, we offer a new trial
with PAP.Effective and successful nasal sur-
gery is likely to improve both the effectiveness
and tolerance of PAP.
• Should PAP still be problematic for the patient
or something that they would prefer not to use,
we would then recommend pharyngeal sur-
gery as described above.
• Nasal surgery can substantially improve sleep
quality and daytime symptoms. This may lead
to difculty in convincing some patients that
they still have sleep apnoea that requires inter-
ventional treatment. We therefore recommend
further sleep studies in such patients.
Case 2: Presentation and Management
A 48-year-old woman: BMI 35.5kgm−2; ESS 7; PSQI 4. She had severe septal deviation and chronic rhi­nosinusitis with large nasal polyps. She was successfully treated with PAP. Sinonasal surgery was therefore not recommended.
Factors to consider:
• The combination of OSA, general anaesthesia
and nasal surgery is associated with increased
perioperative risk and is only recommended
when necessary.
• Sinonasal surgery in patients with moderate to
severe OSA is always preformed as an
inpatient.
• The anaesthesiologist should be experienced
and informed about the presence of OSA prior
to surgery.
• We try to manage these patients without nasal
dressings wherever possible.
Post-operative care
• Postoperatively, patients with moderate to
severe OSA (AHI >20) are monitored for 4h
in the recovery room. Complications will typi-
cally occur within the very rst few hours fol-
lowing extubation.
• Patients with complications are monitored overnight in an intermediate care unit.
• Patients are otherwise managed overnight on a regular ward.
Key Learning Points
• Nasal obstruction seems to be associated with snoring and apnoeas.
• Evidence suggests that the nose adds very lit­tle to the severity of obstructive sleep apnoea (OSA).
• Medication has no identiable effect on the severity of sleep apnoea, but subjective improvement in sleep quality may occur.
• Anti-allergic treatments can decrease the severity of OSA.
• Meta-analyses are unable to demonstrate any signicant effect from nasal dilators on OSA severity.
• Nasal dilators have a positive effect on simple snoring.
• OSA cannot be successfully treated in the vast majority of patients by only performing nasal surgery.
• Nasal surgery has various positive effects on the sleep quality.
• Nasal surgery has been shown to improve or even enable necessary PAP treatment in patients with various nasal pathologies.
• Septoplasty as the only procedure is effective on subjective, but not objective, snoring intensity.
Conict of Interest T.Verse and S.Müller do not have any conicts of interest.
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