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Development of breathing and sleep
a)
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Breathing
S
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2
ECG
Healthy/mature
physiological apnoea
S
aO
2
HR
b) Airway/lung
problems
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HR
c) Vagal
mechanisms
HR
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Figure 1. The sequence of apnoea, bradycardia and desaturation. a) Physiological apnoea, no desaturation or bradycardia. b) Short apnoea with rapid desaturation due to airway closure, low FRC, ventilation/perfusion mismatch, intrapulmonary shunts and tachycardia. c) Apnoea with bradycardia due to vagal and/or trigeminal inhibition during swallowing, obstruction or reflux. HR: heart rate. Reproduced and modified from Simonds et al. (2012) with permission.
causes such as seizures, cardiac diseases, bacterial infection, metabolic disorders and central hypoventilation. For higher-risk BRUEs, subsequent investigations could include cardiorespiratory function, blood gases and PSG/polygraphy (PG).
BRUEs should not be ignored; they may cause severe hypoxia, even if the link with sudden infant death syndrome (SIDS) is controversial. If there are no serious underlying conditions, the risk of SIDS is certainly low, but the long-term outcome for these infants is yet to be determined.
Further reading
Carroll JL (2003). Developmental plasticity in respiratory control. J Appl Physiol; 94: 375–389.
Cherniack NS (2006). Cardiopulmonary integration: the dark side. Respiration; 73: 733–734.
Cohen G, et al. (2005). Development of chemoreceptor responses in infants. Respir Physiol
Neurobiol; 149: 233–242.
Darnall RA (2010). The role of CO2 and central chemoreception in the control of breathing in
the fetus and the neonate. Respir Physiol Neurobiol; 173: 201–212.
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Gauda EB, et al. (2004). Maturation of peripheral arterial chemoreceptors in relation to
neonatal apnea. Semin Neonatol; 9: 181–194.
Hunt CE, et al. (2004). Cardiorespiratory events detected by home memory monitoring and
one-year neurodevelopmental outcome. J Pediatr; 145: 465–471.
Katz-Salamon M (2004). Delayed chemoreceptor responses in infants with apnea. Arch Dis
Child; 89: 261–266.
Lorch SA, et al. (2011). Epidemiology of apnea and bradycardia resolution in premature infants.
Pediatrics; 128: e366–e373.
Poets CF, et al. (1991). Arterial oxygen saturation and breathing movements during the first
year of life. J Dev Physiol; 15: 341–345.
Praud JP (2010). Upper airway reflexes in response to gastric reflux. Paediatr Respir Rev; 11:
208–212.
Rampogal S, et al. (2022). Brief resolved unexplained events: a new diagnosis, with implications
for evaluation and management. Eur J Pediatr; 181: 463–470.
Simonds AK, et al., eds (2012). ERS Handbook Respiratory Sleep Medicine. Sheeld, European
Respiratory Society.
Acknowledgement
This is an update of the ERS Handbook of Respiratory Sleep Medicine first edition chapter ‘Development of breathing and sleep and physiopathology of apnoea in the first years of life’, by Gary Cohen, Miriam Katz-Salamon and Ha Trang.
375ERS Handbook: Respiratory Sleep Medicine
Sleep disordered breathing
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in children
Refika Ersu and Ha Trang
OSAS
OSAS aects 2–5% of the paediatric population. Partial or total obstruction of the upper airway results in obstructive apnoeas and hypopnoeas during sleep, with or without associated desaturation, hypercapnia and sleep fragmentation. It is thought that there is a continuum between normal state and OSAS, which is the complete clinical presentation of the disorder. Intermediate presentations include 1) primary snoring, which is chronic snoring without associated apnoea or arterial desaturation, and 2) upper airway resistance syndrome (UARS), characterised by inspiratory respiratory eorts during sleep, identified using oesophageal pressure, but without typical apnoea or hypopnoea. It is currently thought that primary snoring may not have adverse eects on health. In contrast, UARS, which is dicult to identify in current practice, may progress towards complications if undiagnosed.
Epidemiology
The prevalence of OSAS in children is estimated to range 0.7–10.3%, with peak incidence at 5–10 years of age. An estimated prevalence of 6.4% in children aged 1–6 years and of 3.7% in children aged 7–12 years has been reported. The prevalence of OSA is unknown in infants and toddlers. OSAS has been shown to occur equally in girls as in boys.
8–10% of children snore regularly. However, not all children who snore have OSAS. Infants can snore without apnoea.
There are no large, controlled, longitudinal studies relating the natural history of OSAS in children. It is not known whether childhood OSAS evolves into adult OSAS,
Key points
• Childhood OSAS is underrecognised.
• Snoring is not predictive of the presence of OSAS.
• PSG is an important tool for diagnosing OSAS.
• Paediatric rules for scoring sleep and respiration of PSG should be used.
• Paediatric criteria for OSAS diagnosis should be used.
• Hypoventilation is more severe in NREM sleep than in REM sleep in CCHS.
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or whether there are two dierent diseases. It has been shown that some infants who previously presented with spells and obstructive apnoea were diagnosed with OSAS during later childhood. Longitudinal studies have shown complete resolution of OSAS, particularly in female children, during the transition to late adolescence or early adulthood, suggesting that childhood and adolescent OSAS may be distinct entities, and that adolescent OSAS is likely to persist into adulthood. Obesity and male sex were consistent key risk factors for OSAS incidence.
Pathophysiology
Factors underlying the development of OSAS in children are primarily associated with reduced patency of the upper airway. The main causes are enlarged tonsils and/or adenoids. However, the pathophysiological mechanisms are multiple and intertwined:
Abnormal craniofacial skeleton, ranging from major malformations (such as Pierre
Robin sequence, Crouzon syndrome, Apert syndrome or achondroplasia), to milder abnormalities that do not fall within a labelled syndrome. The latter may be a moderate hypoplasia of the middle third of the face with arched palate and narrow nasal cavity, or a narrow oropharyngeal cavity, with or without a retrognathia and a lingual retrusion.
Abnormal craniofacial and pharyngeal so tissue, resulting in reduction of the
upper airway size, enlargement of lymphoid tissues (e.g. tonsils and adenoids), cervical fat accumulation (e.g. obesity), increased upper airway collapsibility, nasal obstruction, etc.
Neuromuscular dysfunction, in the broadest sense of the term, including impaired
neurological control of breathing or upper airway muscle tone, etc.
Genetic and environmental factors have been identified in the predisposition for OSAS. The abnormalities are oen numerous and complex. It is not always easy to determine which abnormalities are causes and which are consequences of OSAS.
Clinical presentation
The clinical presentation of OSAS diers with age. Symptoms are dominated by respiratory diculties at night in all age groups – snoring during sleep, breathing pauses, laboured breathing or mouth breathing.
Infants and younger children (1–6 years of age) oen struggle to remain awake at sleep times and adopt unusual positions during sleep, such as prone with the neck extended. Parents complain of sleep problems (restless sleep, frequent body movements, night sweats and frequent nocturnal awakenings) or secondary enuresis. Morning sluggishness and occasional daytime fatigue are reported. Sometimes, nonrespiratory symptoms can be misleading; impaired attention or concentration, hyperactivity, behavioural problems, all oen manifest as altering academic performance.
In older children (pre-adolescent and adolescent), loud snoring and breathing diculties are common. They may report daytime hypersomnolence, resulting in daytime naps, irritability, and impaired concentration and attention. Hypersomnolence is a dicult symptom to assess in children, as typical subjective assessments using questionnaires may be not applicable in this age group. Occasionally, patients may report morning headaches.
Clinical assessment should include a general paediatric evaluation and a comprehensive examination of craniofacial segments and oropharynx (clinical assessment in children is covered further in chapter 17.4 of this Handbook).
377ERS Handbook: Respiratory Sleep Medicine
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Confirming OSAS
PSG
PSG is an important tool that helps: confirm or exclude OSAS; determine the severity of the disorder allowing treatment strategy decisions to be adjusted accordingly; exclude other possible causes of sleepiness. It important to use paediatric scoring and diagnostic sleep study criteria when managing children suspected of OSA. A review of sleep and respiratory rules for PSG in children has been published by the American Academy of Sleep Medicine. The technical and scoring details of paediatric PSG are discussed further in chapter 17.4 of this Handbook.
Young children, typically infants or toddlers, may demonstrate sustained obstruction of breathing during sleep with hypercapnia and/or hypoxaemia, but without typical apnoea or hypopnoea. This pattern is termed ‘obstructive hypoventilation’ and is defined as sleep-related hypoventilation associated with partial airway obstruction.
Diagnosis of UARS is not performed in routine practice, as it requires invasive measurement of oesophageal pressure. Further evaluation of noninvasive techniques of diagnosis is needed.
OSAS is therefore is confirmed with either an elevated AHI or obstructive hypo­ventilation in conjunction with an appropriate history and associated clinical features.
Are there alternative diagnostic procedures for OSAS beyond PSG? Snoring is highly associated with OSAS. However, the presence of snoring does not always imply OSAS, and its intensity is not correlated with OSAS severity. In the same way, thee absence of snoring does not exclude OSAS. Breathing pauses may not be recognised by parents, as they are predominant in REM sleep, which oen occurs late at night. A limited number of paediatric sleep questionnaires are available; some only explore respiratory symptoms (the Brouillette questionnaire), and others explore many domains, such as sleep quality, hypersomnolence and behaviour (the Pediatric Sleep Questionnaire). Some sleep questionnaires are generally in accordance with PSG results, but are not able to dierentiate children with primary snoring from those with OSA, nor are they able to measure the severity of OSA. The ESS, which is widely used in adults, has been modified and adapted for children by changing the nature of diurnal activities. However, this questionnaire is yet to be validated in large paediatric populations and no consensus exists on the cut-o score in children.
Nocturnal home oximetry
Nocturnal home oximetry is typically considered positive when the graphics show bursts of desaturations occurring during one or many periods of 10–30 min overnight. A positive oximetry result may be relatively specific for OSA, but a negative oximetry result does not exclude the disorder. Oximetry can be used as a screening tool in selected populations, but there is no evidence to suggest that oximetry alone can replace PSG for OSA diagnosis.
Respiratory PG
Respiratory polygraphy (PG) is a system of overnight recordings of respiratory parameters without neurological parameters, meaning sleep periods and sleep stages cannot be determined. Few studies have assessed the validity of respiratory PG for the diagnosis of OSA in children. The cut-o value of the frequency of apnoeas and hypopnoeas for diagnosing OSAS with respiratory PG in children is aected by its technical specifications and the setting of the study (attended in-laboratory versus unattended at home). Depending on these measures, PG may overestimate or underestimate the AHI. There is currently no evidence to suggest that ambulatory
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diagnostic techniques have the acceptable degree of diagnostic accuracy to replace PSG. These techniques need to be assessed in larger paediatric populations.
Associated complications
OSAS adversely aects neurocognition and behaviour, the heart and circulation, and growth and metabolism, resulting in increased morbidity in aected children.
Neurocognition and behaviour
The eects of OSAS on neuropsychological and cognitive function have gained a great deal of attention. Early studies reported learning diculties or school problems and it has since been widely acknowledged that neurocognitive deficits are highly prevalent in children with OSAS. These children demonstrate memory and attention impairment, executive function impairment and a lower intellectual quotient than controls. They may also present with behavioural disorders, and various degrees of hyperactivity and aggressiveness, which sometimes evolves into attention-deficit hyperactivity disorder (ADHD). These disorders cause a deterioration in learning abilities and school performance. Importantly, neurocognitive deficits are found to be more pronounced in children with more severe OSAS. Moreover, they are not only found in children with identified OSAS, but are also seen in those with primary snoring, i.e. without identified apnoeas or hypopnoeas. Tonsillectomy significantly improves cognition and behavior of children.
Dierent factors underlying brain deficits have been suggested: hypoxaemia and especially repeated hypoaxemic swings overnight, causing ischaemic injury in vulnerable brain regions including the cerebellum and hippocampus, with the additional negative eect of sleep fragmentation.
Whilst a number of studies have shown that OSAS is associated with cognitive and behavioral disorders in children >2 years of age, there are no such studies in infants and toddlers.
The heart and circulation
In early cases of OSAS, cor pulmonale with HF was a presenting symptom. Now, pulmonary hypertension (PH) may be more commonly asymptomatic. Recent studies have shown that children with OSAS may have systemic hypertension (both diurnal and nocturnal SBP and DBP). More discrete abnormalities can also be observed: loss of wake–sleep modulation of BP (which is mediated by the autonomic nervous system), le ventricular remodelling and endothelial abnormalities. Cardiovascular abnormalities correlate with the desaturation index, suggesting a role for repeated hypoxaemic episodes.
Growth and metabolism
Failure to thrive was a presenting symptom of childhood OSAS in early reports. Resolution of OSAS results in a significant growth rebound. It has been hypothesised that failure to thrive may be caused by a reduction in the release of the growth hormone, caused by sleep fragmentation, or increased energy expenditure during sleep relating to repeated inspiratory eorts against upper airway obstruction. It is unclear whether OSA is associated with insulin resistance in children.
Conclusion
OSAS is common in children. However, it is still under-recognised and under­treated. There remain a number of unaddressed questions about pathophysiology, complications, diagnosis and treatment of OSAS in children. Controlled, longitudinal, large-scale studies are required in order to improve understanding of and care for OSAS in children.
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Sleep hypoventilation syndromes
Sleep hypoventilation syndromes include a wide variety of disorders that aect central control of breathing and/or respiratory mechanics. Alveolar hypoventilation is caused by inadequate ventilation and results in increased P Treatment aims to provide ventilation support through use of NIV, targeting primary
and concomitant hypoxaemia.
aCO
2
disease when possible.
Congenital central hypoventilation syndrome
Congenital central hypoventilation syndrome (CCHS) is the result of congenital failure of autonomic control of breathing. The incidence of CCHS is estimated to be one in 200 000. >90–92% of patients with CCHS harbour PHOX-2B mutations, the most frequent being polyalanine expansions. Treatment is currently supportive through lifelong ventilatory support.
CCHS typically presents at birth. Neonates with CCHS demonstrate repeated apnoeas, cyanosis during sleep, bradycardia and, despite severe hypoxaemia, fail to increase their breathing. PSG shows severe alveolar hypoventilation during sleep with shallow breathing and a slow respiratory rate. Hypoventilation is most severe during sleep, particularly during NREM sleep, when control of breathing depends almost exclusively on the central CO2 level. The hallmark feature of CCHS is an absent or markedly reduced central hypercapnic ventilatory response (HCVR). Ventilatory deficit persists throughout life. With increasing age, most patients can breathe spontaneously while awake. However, 5–10% of them also require ventilatory support during the daytime.
Milder CCHS can be diagnosed during childhood or even adulthood, and typically manifests with cyanotic apnoea spells, unexplained convulsions that are resistant to treatment, a normal EEG, and the ability to breath-hold for prolonged periods. These presentations have been associated with short expansion mutations containing 25 alanine repeats.
Neuromuscular conditions
In contrast to CCHS, ventilatory drive is usually well preserved in neuromuscular disorders. Instead, alveolar hypoventilation occurs as the patient’s respiratory muscles are weakened and cannot withstand the work of breathing. In Duchenne muscular dystrophy, congenital muscular dystrophies and myopathies, inspiratory and expiratory muscle weakness usually progress in tandem. In spinal muscular atrophy, expiratory muscle weakness may initially outstrip expiratory muscle weakness. Scoliosis and upper airway obstruction can add to the mechanical load.
Hypoventilation first occurs in REM sleep, then progresses to NREM sleep and finally to diurnal hypoventilation if the vicious cycle is not addressed. A FVC of <60% predicted and a raised serum bicarbonate level are simple screening tools for nocturnal hypoventilation, and are probably more useful than direct measurements of respiratory muscle strength.
Cough peak flow is a useful measure of cough ecacy. Children over 10 years of age with a cough peak flow of <270 L·min−1 are at risk of diculty clearing secretions, and have an increased rate of chest infections.
Sleep studies should be carried out annually in children with a vital capacity of <60% pred, as well as in those who have lost ambulation or who have symptoms of nocturnal hypoventilation, such as poor sleep quality, frequent awakenings, morning headaches, concentration problems or sleepiness during the day, and loss of appetite at breakfast time. The frequency of sleep study performance should increase if
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symptoms progress or lung function changes rapidly. As a minimum, S end-tidal CO2 tension (P characterised into central and obstructive by multichannel respiratory monitoring.
) should be monitored; respiratory events can be better
ETCO
2
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2
and P
tcCO
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2
Arousals can either be detected with full PSG or through measurement of autonomic surrogates, e.g.heart rate variation. Oximetry alone is not sucient to fully exclude nocturnal hypoventilation, but an overnight oxygen saturation (S who has slept well and who is entirely asymptomatic makes significant nocturnal
) of 93% in a child
pO
2
hypoventilation, requiring ventilatory support, unlikely. The treatment for children with symptomatic nocturnal hypoventilation is positive
pressure ventilation, usually NIV. It is worth noting that until recently, children with neuromuscular disorders who
have received treatment have been symptomatic. This changed in recent years with the development of new drugs that either improve secondary pathophysiological consequences or modify the underlying genetic defect.
Further reading
Aurora RN, et al. (2011). Practice parameters for the respiratory indications for PSG in children.
Sleep; 34: 379–388.
Birnkrant DJ, et al. (2018). Diagnosis and management of Duchenne muscular dystrophy,
part 2: respiratory, cardiac, bone health, and orthopaedic management. Lancet Neurol; 17: 347–361.
Chan KC, et al. (2019). How OSA evolves from childhood to young adulthood: natural history
from a 10-year follow-up study. Chest; 156: 120–130.
Flotats-Bastardas M, et al. (2020). New therapeutics options for pediatric neuromuscular
disorders. Front Pediatr; 8: 583877.
Hull J, et al. (2012). Guideline for respiratory management of children with neuromuscular
weakness. Thorax; 67: Suppl. 1, i1–i40.
Kaditis AG, et al. (2016). Obstructive sleep disordered breathing in 2- to 18-year-old children:
diagnosis and management. Eur Respir J; 47: 69–94.
Maloney MA, et al. (2018). Congenital central hypoventilation syndrome: diagnosis and
management. Expert Rev Respir Med; 12: 283–292.
Redline S, et al. (2007). The scoring of respiratory events in sleep: reliability and validity. J Clin
Sleep Med; 3: 169–200.
Riha RL, et al. (2023). ERS technical standards for using type III devices (limited channel
studies) in the diagnosis of sleep disordered breathing in adults and children. Eur Respir J; 61:
2200422.
Trang H, et al. (2005). The French Congenital Central Hypoventilation Syndrome Registry:
general data, phenotype, and genotype. Chest; 127: 72–79.
Weese-Mayer D, et al. (2010). An ocial ATS clinical policy statement: congential central
hypoventilation syndrome. Am J Respir Crit Care Med; 181: 626–644.
Wise MS, et al. (2011). Executive summary of respiratory indications for polysomnography in
children: an evidence-based review. Sleep; 34: 389–398.
Acknowledgement
This is an update of the ERS Handbook of Respiratory Sleep Medicine first edition chapter ‘Sleep disordered breathing in children’, by Ha Trang and Anita K. Simonds.
381ERS Handbook: Respiratory Sleep Medicine
Comorbid respiratory
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disorders in children
Stijn Verhulst and Brigitte Fauroux
A comorbid respiratory disease can aggravate sleep problems and SDB in children. However, the relationship between SDB and the comorbid respiratory disease may be complex, justifying individualised analysis and management, as illustrated in this chapter, which discusses the interaction between certain respiratory disorders and sleep in children.
Asthma
OSA and asthma are common respiratory disorders in children. They share common risk factors, such as obesity, gastro-oesophageal reflux disease (GORD) and allergic rhinitis. The two conditions are also interrelated: OSA can increase airway inflammation and may consequently be associated with poor asthma control, and asthma is associated with an increase in respiratory eort and intrathoracic pressure swings, which may increase the collapsibility of the upper airways, contributing to the development and worsening of OSA. These high intrathoracic pressure swings may also provoke or exaggerate gastro-oesophageal reflux (GOR), which is a common risk factor. Finally, the overnight respiratory symptoms of OSA and asthma share similarities, such as laboured breathing, arousals, reduced sleep duration and poor sleep quality.
It is important to distinguish nonrespiratory sleep disturbances from SDB. Asthma and SDB are associated with nonrespiratory sleep disturbances, such as reduction in total sleep time, abnormalities in sleep architecture with a reduction in REM sleep, and an increase in light sleep, sleep fragmentation and nocturnal awakenings. Importantly, asthma medications such as corticosteroids and β2-agonists may also impair sleep quality.
Key points
• There is an interaction between sleep, SDB and several chronic respiratory disorders during childhood.
• There is a bidirectional relationship between asthma and OSA in children.
• Allergic rhinitis can contribute to OSA.
• Lung disease and other complications in CF can impact sleep.
• Infants with BPD can present with various sleep problems.
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Although children with asthma are more likely to develop snoring and OSA, the prevalence of OSA in asthmatic children seems to be relatively low and is rarely severe. Rather than a causal association between asthma and SDB, which implies temporality and directionality, the relationship appears to be bidirectional.
In terms of treatment, adenotonsillectomy seems to be associated with an improvement in asthma control. Local corticosteroids and/or leukotriene agonists have been shown to have a beneficial eect on moderate residual OSA aer adenotonsillectomy. Both asthma and SDB require appropriate and individualised treatment.
Allergy
Allergic rhinitis is a common inflammatory disorder of the nasal airways characterised by nasal itching, rhinorrhea, nasal congestion and/or sneezing. Allergic rhinitis has been shown to be associated with SDB and OSA, reduced total sleep time, poor sleep quality, night sweating, nocturnal enuresis and daytime dysfunction.
A systematic review and meta-analysis concluded that sleep duration was similar between patients with allergic rhinitis and controls. However, patients with allergic rhinitis had significantly poorer subjective sleep quality (evaluated via a questionnaire), used more sleep medication (questionnaire), and had a lower subjective (questionnaire) and objective (PSG) sleep eciency. It should be noted that the overall quality of evidence ranged from low to very low, suggesting that conclusions should be made with caution.
In terms of treatment, like asthma, local nasal corticosteroids and/or leukotriene agonists have been shown to have a beneficial eect on mild OSA and on moderate residual OSA aer tonsillectomy, and may thus be beneficial for SDB symptoms in patients with allergic rhinitis.
Cystic fibrosis
Although cystic fibrosis (CF) is generally considered to be a respiratory disease, it aects multiple organ systems. Initial studies that assessed sleep issues in CF focused on respiratory problems: nocturnal hypoxia, alveolar hypoventilation and the risk of airway obstruction from nasal polyps. Treatment evaluations included long-term oxygen (O2) therapy or NIV in cases of nocturnal hypercapnia.
In more recent studies, patients with a better preserved lung function were included, permitting a greater focus on sleep patterns and sleep quality. Reduced sleep duration and poor sleep quality have been found to be very common, and it is thought that they can be explained by chronic pain and cough, frequent stools, GOR, nasal obstruction or sinusitis, and drugs, such as corticosteroids or β-agonists. In teenagers, poor sleep hygiene, sleep debt and poor sleep quality are associated with depression, poor academic performance, and reduced physical activity and quality of life. Restless legs syndrome is also common in adult patients with CF. Although these sleep problems seem more important in patients with a low lung function, they may also be observed in patients with preserved lung function.
It is possible that the consequences of poor sleep may exaggerate the multi-organ morbidity of CF, such as pain, inflammation, susceptibility to infection, and glucose intolerance; however, these aspects are largely under-evaluated. Sleep problems in many patients with CF are dominated by non-SDB problems. Whilst reduced sleep duration and poor sleep quality are extremely common, they are also largely overlooked. Sleep should be evaluated on a routine basis in CF with prospective
383ERS Handbook: Respiratory Sleep Medicine