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Original Paper

Neonatology 2015;108:277–282 Received: April 8, 2015


Accepted after revision: June 24, 2015
DOI: 10.1159/000437204
Published online: September 1, 2015

Impact of Volume Guarantee on High-Frequency


Oscillatory Ventilation in Preterm Infants:
A Randomized Crossover Clinical Trial
Burcin Iscan Nuray Duman Funda Tuzun Abdullah Kumral Hasan Ozkan
Division of Neonatology, Department of Pediatrics, Faculty of Medicine, Dokuz Eylül University, Izmir, Turkey

Key Words than HFOV alone. Conclusion: This is the first prospective,
High-frequency oscillatory ventilation · Hypocarbia · randomized, short-term crossover clinical study that com-
Optimal lung volume strategy · Randomized controlled pared HFOV with and without VG in infants with acute RDS.
trial · Premature infant · Ventilator-induced lung injury · Because of the lower VThf fluctuation and lower incidences
Volume guarantee · Volume-targeting ventilation of out-of-target PCO2 levels, HFOV combined with VG seems
to be feasible for preterm infants. However, the results
should be interpreted with caution due to the small sample
Abstract size and short-term crossover design of the study.
Background: High-frequency oscillatory ventilation (HFOV) © 2015 S. Karger AG, Basel
Menos DBP pero mas fuga aerea y
with volume guarantee (VG) is a new ventilation mode that
mas daño neuro
allows the clinician to set a mean tidal volume to be deliv-
ered. Objective: This study aimed to investigate whether Introduction
HFOV with a VG option may result in constant tidal volume
delivery and less fluctuant CO2 levels compared to HFOV High-frequency oscillatory ventilation (HFOV) has
alone in premature infants with respiratory distress syn- been widely used for the treatment of infants with respira-
drome (RDS). Methods: Inborn infants at less than 32 weeks tory distress syndrome (RDS) [1]. Potential advantages of
of gestation with RDS requiring invasive mechanical ventila- HFOV over conventional mechanical ventilation include
tion were eligible. Patients were randomized to receive the use of small tidal volumes and the safer use of higher
HFOV + VG or HFOV alone as the initial ventilator mode and mean airway pressure than is generally used during con-
then crossed over to the other mode. HFOV was performed ventional mechanical ventilation [2]. According to the re-
with ‘optimal lung volume strategy’ during both of the peri- sults of the latest Cochrane review [3], the use of elective
ods. Results: Twenty infants were evaluated. The mean high- HFOV compared with conventional mechanical ventila-
frequency tidal volume (VThf) and CO2 diffusion coefficient tion results in a minor reduction in the risk of chronic lung
(DCO2) were significantly higher in the HFOV + VG mode disease; however, the evidence is weakened by the incon-
than HFOV alone. HFOV + VG maintains VThf within the tar- sistency of this effect across trials. In addition, the benefit
get range more consistently than HFOV. The incidences of could be counteracted by an increased risk of acute air leak
hypocarbia and hypercarbia were lower in HFOV with VG and poor short-term neurological outcomes.
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© 2015 S. Karger AG, Basel Prof. Dr. Hasan Ozkan


1661–7800/15/1084–0277$39.50/0 Division of Neonatology, Department of Pediatrics
Faculty of Medicine, Dokuz Eylül University
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E-Mail karger@karger.com
TR–35340 Izmir (Turkey)
www.karger.com/neo
E-Mail hozkandeu @ gmail.com
Vafo +vg vtidal mas constante y
CO2 también
Although several mechanisms of gas exchange have Ventilators
been described, high-frequency tidal volume (VThf) is HFOV was delivered with a Draeger VN500 ventilator. The
VN500 ventilator uses a venturi system to generate oscillatory
very important for CO2 elimination during HFOV. VThf pressure amplitudes and resultant tidal volumes during HFOV.
is mostly generated by fluctuations of the pressure (ΔPhf) The VG mode is volume-targeted ventilation. The clinical team
around the mean airway pressure (Paw) and the frequency selects a target VT and an amplitude pressure limit during the
(ƒ) [4]. The amount of VThf can also be related to other HFOV combined with VG ventilation. The microprocessor
factors such as endotracheal tube size and lung compli- compares the VT of the previous breath, using exhaled VT, and
adjusts the working pressure up or down to try to achieve the
ance [5]. All of these factors can cause large variations of set VT.
tidal volume and CO2 removal, which may reduce the ef-
fectiveness of high-frequency oscillation [6]. Ventilation Strategies No mencionan Paw
A new concept of volume-targeted ventilation during The ventilation strategy was performed similarly with an op-
HFOV has been introduced in some new-generation neo- timal volume strategy in both periods. Opening pressure, closing
pressure and optimal pressure were determined using the lung
natal HFOV devices. Volume-targeted ventilation is recruitment maneuver as previously described [9]. The time
known to improve neonatal prognosis in preterm infants spent during mean arterial blood pressure adjustments was not
when added to conventional ventilation [7, 8]. However, included in the study period. After the lung recruitment maneu-
volume-targeted ventilation combined with high-fre- ver, lung volume was controlled by chest radiography and the
quency ventilation has not been adequately evaluated. right diaphragm was kept at the level of the 9th rib. A constant
frequency of 10 Hz and oscillatory inspiratory/expiratory ratio
We hypothesized that when compared to HFOV alone, of 1:1 were used in all infants during both high-frequency venti-
HFOV with volume guarantee (VG) may result in con- lation periods. The amplitude set at equal to the Paw value at the
stant tidal volume delivery and less fluctuant CO2 levels beginning was increased until visible chest wall movement was
in premature infants with RDS. observed and VThf equaled 2 ml/kg in the high-frequency oscil-
24-32 sdg. Incubación primeras 6 horas. De lation without VG period. If the PCO2 value was outside the tar-
inicio Vafo o Vafo mas vg get range, the amplitude was adjusted up or down in increments
Materials and Methods of 10–20% as necessary in the HFOV alone period. On the basis
of our clinical experience, in the HFOV + VG mode, the VThf was
Study Design, Patients and Interventions set at 2 ml/kg initially. The amplitude limit was set at 15–20%
The randomized, crossover, prospective trial was conducted at above the average amplitude needed to achieve the target VThf.
the Neonatal Intensive Care Unit (NICU) at Dokuz Eylül Univer- Subsequently, if the PCO2 value was outside the target range, the
sity Hospital in Izmir, Turkey, from August 2013 to September set VThf was adjusted by the clinical team in increments of 0.5
2014. Inborn premature infants at 24–32 weeks’ gestation who re- ml/kg as necessary. In the present study, target ranges for PCO2
quired endotracheal intubation in the delivery room or in the NICU and pH values during the first 24 h of life were accepted as 5–7
within the first 6 h of life owing to severe RDS were considered eli- and 7.25–7.40 kPa, respectively [10]. Arterialized capillary blood
gible for the study. Patients receiving neuromuscular paralysis or gases were measured on admission, at the 20th min after ran-
narcotic analgesics and those with >20% endotracheal tube leak and domization and then at 30- to 40-min intervals or more often as
congenital anomalies affecting the cardiac, respiratory or central needed using a blood gas analyzer (ABLTM 700; Radiometer, Co-
nervous system were excluded. Although we usually allow endotra- penhagen, Denmark). Fraction of inspired oxygen (FiO2) was
cheal tube leaks up to 40% in clinical practice, we wanted to negate given as needed to achieve an SpO2 between 90 and 95% by pulse
the effect of leakage in this trial. All enrolled infants received surfac- oximetry.
tant treatment (200 mg/kg, Curosurf®; Chiesi Pharmaceuticals,
Parma, Italy) in the delivery room or in the NICU and ventilated Data Acquisition and Analysis
initially using the Assist Control (A/C) with VG mode (VN500; A hot-wire anemometer placed on the airway opening contin-
Draeger, Lübeck, Germany) approximately for a 1-hour stabiliza- uously measured the flow and tidal volume during HFOV. VThf,
tion period. Infants were randomly assigned to receive either HFOV Paw, pressure swing around the mean Paw (∆Phf) and the CO2 dif-
or HFOV with VG as the initial ventilation mode using a block ran- fusion coefficient (DCO2) were calculated as VT2 × fR (ml2/s) and
domization. Patients were treated for another 2 h with the first recorded at 5-min intervals using proprietary software (VentView
mode of ventilation. At the end of the initial 2 h, patients were then 2.n software; Draeger). The infants were switched to conventional
crossed over to the other mode of ventilation for 2 h. There was a ventilation at the end of each period and both consecutive breaths
minimum 15-min ‘washout’ period between the changes in the ven- dynamic compliance (CDyn) and airway resistance (R) were mea-
tilator modes using the A/C with VG mode. In this study, we used sured during conventional ventilation. The data were then con-
early HFOV instead of rescue therapy as we aimed to evaluate the verted into a spreadsheet (Microsoft Excel; Microsoft Corp., Red-
short-term effects of HFOV before lung mechanics and PCO2 levels mond, Wash., USA) for analysis. These data were averaged over
are affected by conventional mechanical ventilation. 2-hour periods and the mean values were compared between the
Parents gave informed consent and the study protocol was ap- groups. Infants were also monitored using pulse oximetry (Mashi-
proved by the institute’s committee on human research (Dokuz mo Radical 7; Mashimo Corp., Irvine, Calif., USA) and blood pres-
Eylül University Faculty of Medicine, Committee on Human Re- sure measurements were recorded at 15-min intervals (Infinity
search). 1 hr Vafo mas vg Kappa; Draeger).
Luego 2 Hrs Vafo al azar
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Luego 2 Hrs con el otro Vafo


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278 Neonatology 2015;108:277–282 Iscan/Duman/Tuzun/Kumral/Ozkan


DOI: 10.1159/000437204
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Statistics Table 1. Patient characteristics
The main outcome variables were the percentages of time that
VThf and PCO2 were outside the target range. Power analysis, Subject Gender GA, Weight, 5′ Apgar Surfactant, Age at intu-
based on an anticipated reduction of the proportion of PCO2 out- No. weeks g score doses bation, h
side the target range from 40 to 20%, yielded a need for 20 obser-
vations per group (α: 0.05; power: 80%). The normality of data was 1 female 26 927 7 1 0
determined by a one-sample Kolmogorov-Smirnov test. The χ2 2 male 26 876 4 1 0
test for dependent groups (McNemar’s test) was used to analyze 3 male 28 921 8 1 2
categorical variables, including the proportion of VThf and PCO2 4 male 29 704 6 1 0
outside the target range. The paired sample t test was used to com- 5 female 28 1,060 7 1 0
pare continuous variables. Statistical analysis was performed using 6 female 27 1,080 7 1 0
the SPSS 15.0 software program (IBM SPSS Statistics, Chicago, Ill., 7 male 32 1,376 7 1 4
USA). Statistical significance was set at p < 0.05. 8 female 32 1,960 9 1 2
20 bebés 9 male 31 1,150 9 1 1
10 male 28 1,240 7 2 0
11 male 32 1,364 7 1 0
Results 12 female 24 737 6 1 0
13 male 24 740 7 1 0
A total of 116 preterm infants less than 32 weeks’ ges- 14 male 27 821 5 1 2
tation were admitted to the NICU during the study pe- 15 female 27 580 5 1 0
16 female 32 2,055 6 1 1
riod. Twenty-four infants were considered eligible for the 17 male 27 802 6 1 1
study; however, 4 infants were excluded owing to the ex- 18 male 27 1,150 7 2 0
clusion criteria (1 with cardiac anomaly and 3 with endo- 19 male 28 1,244 6 1 0
tracheal tube leakage). The study population consisted of 20 male 28 853 8 2 0
infants who were 28 ± 2.4 weeks’ gestation and 1,080 ±
GA = Gestational age.
390 g. Thirteen infants were intubated and administered
surfactant in the delivery room, whereas the remaining 7
infants were intubated and administered surfactant in the
Table 2. Data on the prestudy period ventilation characteristics
NICU within the median 2nd hour of life. The median age and blood gases analysis in the A/C + VG mode
at the entry to the study was the 1st hour of life (range:
1–5). The demographic and clinical characteristics of the Measurements Mean ± SD Range
infants are summarized in table 1. Data on the prestudy
period ventilation characteristics and blood gases analysis PIP, cm H2O 15.1 ± 4.6 12 – 22
results in A/C + VG mode are summarized in table 2. Paw, cm H2O 8.6 ± 1.4 6.7 – 12
FiO2, % 26.9 ± 11,6 21 – 85
Paw, amplitude, VThf, DCO2 and FiO2 were obtained VT, ml/kg 4.3 ± 1.8 3.5 – 5.2
from infants during each trial period. CDyn and R values PEEP, cm H2O 5.9 ± 0.3 4.8 – 6.7
were recorded during the course of conventional ventila- CDyn, ml/cm H2O/kg 0.84 ± 0.4 0.33 – 1.70
tion, during washout periods and upon the completion of R, cm H2O/l/s 102 ± 34 72 – 137
the trial periods. There were no differences between venti- pH 7.26 ± 0.08 7.09 – 7.40
PCO2, mm Hg 54.07 ± 13.2 31.9 – 87
lation modes in terms of mean Paw, amplitude, FiO2, CDyn HCO3, mEq/l 20.57 ± 2.05 16.9 – 24.7
or R during each trial period (table  3). However, mean
VThf and DCO2 decreased significantly during the HFOV PIP = Peak inspiratory pressure; PEEP = positive end-expira-
period (p = 0.019 and p = 0.038, respectively; fig. 1). tory pressure.
When compared to HFOV alone, the proportion of
PCO2 values outside the target range was significantly
lower during the HFOV + VG period (table 4). The pro- 0.03). However, the proportion of VThf values above the
portion of VThf values within the target range (1.5–2.5 target range (>2.5 ml/kg) was not significantly different
ml/kg) was significantly higher during the HFOV + VG between the two periods (fig. 2).
period, compared to the HFOV alone period (80 and The median number of ventilator adjustments per pa-
35%, respectively; p = 0.004). The proportion of VThf val- tient was 2 (range: 1–4) in the HFOV mode and 1 (range:
ues below the target range (<1.5 ml/kg) was also signifi- 1–2) in the HFOV + VG mode (p = 0.502). The median
cantly lower during the HFOV + VG period compared to number of blood gas assessments per patient was 2 (range:
the HFOV alone period (15 and 45%, respectively; p = 2–4) in the HFOV mode, and 2 (range: 2–3) in the HFOV
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HFOV with VG Neonatology 2015;108:277–282 279


DOI: 10.1159/000437204
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2.50 100 25

80

Amplitude (cm H2O)


2.00 20

DCO2 (ml2/s)
VThf (ml/kg)

60
1.50 15
40
1.00 10
20

0.50 0 5
a HFOV HFOV + VG b HFOV HFOV + VG c HFOV HFOV + VG

Fig. 1. Evaluation of VThf, DCO2 and amplitude levels in the 0.038). c Evaluation of the amplitude levels in the HFOV and
HFOV and HFOV + VG groups. a Evaluation of VThf values in HFOV + VG groups. There was not a statistically significant dif-
the HFOV and HFOV + VG groups. There was a significant dif- ference between the two groups regarding mean amplitude mea-
ference between the two groups in terms of VThf values (p = 0.019). surements (p = 0.218). The lower and upper margins of each box
b Evaluation of gas transport coefficient (DCO2) in the HFOV and correspond to quartiles (i.e. percentiles 25 and 75), the line in the
HFOV + VG groups. Mean DCO2 measurements were significant- middle of the box corresponds to the median, the whiskers corre-
ly different between the HFOV and HFOV + VG groups (p = spond to percentiles 10 and 90, and stars correspond to extremes.

Table 3. Ventilation characteristics and blood gas analysis results during the trial periods

Measurements HFOV HFOV+VG Paired t test Difference score


(n = 20) (n = 20) p values mean±SD 95% CI
mean ± SD mean ± SD
lower upper

Amplitude, cm H2O 14.04 ± 4.72 15.47 ± 4.55 0.218 –1.43 ± 5 –3.77 0.91
Paw, cm H2O 10.05 ± 1.85 9.99 ± 1.86 0.195 0.06 ± 0.22 –0.03 0.17
FiO2, % 23.45 ± 3.72 22.35 ± 3.15 0.217 1.1 ± 3.85 –0.7 2.9
VThf, ml/kg 1.59 ± 0.45 1.82 ± 0.18 0.019* –0.22 ± 0.39 –0.41 –0.04
DCO2, ml2/s 35.6 ± 19.1 40.5 ± 13.4 0.038* –4.88±.2 –13.4 –3.6
CDyn, ml/cm H2O/kg 1.01 ± 0.87 0.86 ± 0.63 0.437 0.15 ± 0.88 –0.25 0.56
R, cm H2O/l/s 96.8 ± 30 87.6 ± 33.6 0.075 9.2 ± 21.8 –1 19.4
pH 7.29 ± 0.75 7.33 ± 0.54 0.014* – 0.4 ± 0.3 –0.04 –0.01
PCO2, mm Hg 49.1 ± 10.7 43.9 ± 7.5 0.013* 5.2 ± 2.4 3.5 5.1
HCO3, mEq/l 21.1 ± 1.6 21.8 ± 1.6 0.07 –0.69 ± 2 –1.2 0.07

* p < 0.05.

La oxigenación es igual

+ VG mode (p = 0.930). All of the cases achieved target There was no difference between ventilation modes in
blood gas by the end of the HFOV + VG period, whereas terms of mean heart rate, SpO2, perfusion index, Pleth
4 infants did not achieve it by the end of the HFOV alone variability index and mean arterial blood pressure during
period (p = 0.034). each trial period.
Overall, 51 (63%) normocapnic measurements, 11
(13%) hypocapnic measurements and 19 (24%) hypercap-
nic measurements were recorded during all the periods. Discussion
The median VThf levels at the time of the normocapnic,
hypocapnic and hypercapnic measurements were 1.74 ± This is the first prospective, randomized, crossover clin-
0.41 (95% CI: 1.64–1.85), 1.97 ± 0.16 (95% CI: 1.76–2.17) ical trial comparing HFOV with and without VG in infants
and 1.59 ± 0.38 (95% CI: 1.37–1.82), respectively. with acute RDS. The present study has demonstrated that
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280 Neonatology 2015;108:277–282 Iscan/Duman/Tuzun/Kumral/Ozkan


DOI: 10.1159/000437204
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Table 4. The incidence of hypercarbia and hypocarbia in the study
% High VThf periods
100 Target VThf
15% Low VThf PCO2, HFOV HFOV+VG pb
20%
mm Hg (kPa) (n = 41)a (n = 40)a
80
37.5 – 52.5 (5 – 7) 21 30 0.04**
≤37.5 (≤5) 7 4 0.01**
60 35%
≥52.5 (≥7) 13 6 0.014**
80% a
Number of blood samples in each period. b χ2 test for depen-
40
dent groups (McNemar’s test). ** p < 0.05.

45%
20

5%
median hypocapnic tidal volume was 1.97 ml/kg and me-
0
HFOV HFOV + VG
dian hypercapnic tidal volume was 1.54 ml/kg in preterm
infants during the initial phase of RDS. Further studies
are needed to investigate whether these values change
Fig. 2. Incidence of low, normal and high VT during each study
period. with gestational or postnatal age and underlying disease.
An HFOV + VG strategy allows for the independent
Volumen tidal constante pese a
adjustment of VThf and frequency. We used a constant
cambios de la cmplianza
frequency to reduce the determinants of VThf. Mukerji et
HFOV with VG reduces the incidence of PCO2 exceeding al. [13] compared the DCO2 and VT values against the
the target range and maintains VThf within the target range frequencies of 5–15 Hz both with and without a constant
more consistently than HFOV alone. VT in an artificial lung model. They suggested that if
To our knowledge, there is only one published animal VThf can be held constant and delivered reliably, the high-
study assessing the effects of an HFOV + VG strategy on est frequency should be used to maximize ventilation ef-
CO2 levels in an experimental model of RDS. The results ficacy while minimizing barotrauma. It is interesting to
indicated that changes in the VThf settings caused signif- note that this challenges the current practice of using a
icant alterations in PCO2 during HFOV + VG. In addi- starting frequency of 10 Hz in HFV. As they suggested,
Puercostion, after changing the lung condition by depletion of the clinical benefit of utilizing such a strategy is unknown
surfactant, PCO2 remained unchanged, as the VThf set- and requires further clinical investigation.
ting was maintained constant by modifications in the am- There were three main limitations of this study: cross-
plitude determined by the ventilator [11]. Similarly, the over design, small sample size and lack of follow-up. The
present study demonstrated more uniform tidal volume main strengths were the randomized prospective design
delivery during VG ventilation even under conditions of and objective results based on continuous and standard-
rapidly changing lung compliance in the first hours of life. ized measurements.
The most important consideration is that the optimal In summary, our results suggest that when compared
initial value of set VThf is not yet clearly known. We ini- to HFOV alone, an HFOV + VG strategy provides better
tially used a target VThf of 2 ml/kg as the expected dead ventilation and can achieve optimal gas exchange. Be-
space was thought to be approximately 2.2 ml/kg in cause of the lower VThf variability and lower incidences
healthy awake neonates [12]. To date, few studies have of out-of-target PCO2 levels, HFOV + VG seems to be
evaluated the optimal VThf target in neonates during feasible for preterm infants. The results of this study need
HFOV. Zimova-Herknerova and Plavka [6] showed that to be interpreted cautiously. It should be noted that this
the median delivered normocapnic tidal volume during was a selected population of preterm infants with very
HFOV was 1.67 ml/kg, and the median hypocapnic and low leak who were studied over a short period of time;
hypercapnic tidal volumes were 1.94 ml/kg and 1.54 ml/ therefore, the results cannot be extrapolated to all infants
kg, respectively, in a heterogeneous group of newborns on HFOV. Further randomized controlled studies with
ventilated by HFOV at any time during their hospital larger sample sizes are required to determine if HFOV +
stay. Our study demonstrated that the median delivered VG offers short- and long-term advantages over HFOV
normocapnic tidal volume during HFOV was 1.74 ml/kg, alone in preterm infants with RDS.
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HFOV with VG Neonatology 2015;108:277–282 281


DOI: 10.1159/000437204
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Disclosure Statement All of the authors stated that there is no conflict of interest. No financial assistance was
received to support this study.

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