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756 Thorax 1996;51:756-761

Techniques in mechanical ventilation: principles


and practice
J M Shneerson

The principles and practice of managing mech- which allows for the leak and setting a pressure
anical ventilation are often daunting to chest limit during inspiration as a safety measure in
physicians. It is easy to see why this should be. case the leak decreases.
Firstly, the physician's experience of ventilators The ventilator may be time cycled from in-
is usually in intensive care units where the spiration to expiration but is said to be triggered
responsibility rests largely, but often to a loosely if a change in pressure or flow due to the
defined degree, with anaesthetists. The com- patient's effort alters the phase of respiration.
plex and rapidly changing medical problems of The patient's influence on ventilation can
patients require frequent adjustments to the therefore range from the extreme of controlled
ventilator settings. In addition, there is a wide ventilation where the tidal volume, frequency,
range of ventilators and the details of their inspiratory and expiratory times are fixed, to
performance characteristics are often un- pressure preset ventilation with triggering of
available to the user. The classification of vent- both inspiration and expiration, in which the
ilators is becoming more complex and more patient can modify all of these variables. Syn-
unsatisfactory as their versatility increases, and chronised intermittent mandatory ventilation
the nomenclature of the various modes of vent- (SIMV) combines volume preset breaths which
ilation is inconsistent and confusing.' Many of can be triggered, with spontaneous breaths with
these have been inadequately assessed and their or without a preset pressure. Other less com-
clinical indications are uncertain. Lastly, there monly used techniques such as airway pressure
is an increasing range of interfaces (such as release ventilation, volume or pressure con-
nasal and face masks and new designs of trolled inverse ratio ventilation, proportional
tracheostomy tubes) between the ventilator and assisted ventilation and high frequency vent-
the patient to choose from and with which few ilation have been developed but are not in
doctors are familiar.2 widespread use3 and will not be considered
Patients with both extrapulmonary restrictive further here.
disorders and chronic airflow obstruction are, Once the principles underlying the ventil-
however, being treated with ventilators in in- atory methods have been established, it is
creasing numbers on medical wards and in important to ascertain the details of the per-
their homes, as well as in intensive care units. formance characteristics of the ventilator itself.
Decisions about how and when to initiate vent- The manufacturers' manuals often give little
ilation, how to wean the patient from the ventil- explicit information and there is a remarkable
ator, and how to provide long term ventilatory paucity of data in the published literature about
support are having to be faced increasingly how closely different ventilators approximate
frequently. This review addresses the principles to the ideal properties that would be expected
and some of the practical issues of this type of from their brief technical descriptions. This
treatment. void frequently leads to practical difficulties
and unexpected complications in ventilator
management. Ideally, the ventilator will ac-
Techniques of ventilation and their curately deliver the preset flow or pressure wave
limitations form in the face of varying patient mechanics
The conventional descriptions of ventilators and changing leaks and it should be able to
and ventilatory methods are complex and in- provide sufficient flow for patients requiring
consistent. The names used by manufacturers high inspiratory flow rates.4 The inspiratory
for the method of support can be misleading resistance of the ventilator and circuit should
and it is more important to understand what the be low ifthe patient is triggering breaths and the
ventilator is actually doing. Ventilators which trigger delay should be short. The expiratory
generate a predetermined flow rate, which is resistance of the circuit should be low5 and the
usually either constant or a half sine, ramp, or extent of rebreathing within the circuit, which
reverse ramp wave form, and which have a
can vary considerably,6 should be minimal.
fixed inspiratory time will deliver a predictable
tidal volume. This volume preset ventilation
contrasts with pressure preset ventilation in Principles of gas exchange during
which a predetermined pressure waveform is ventilation
Respiratory Support delivered. The tidal volume will depend on The primary aim of mechanical ventilation is
and Sleep Centre, the impedance to inflation and the patient's to improve alveolar gas exchange. The three
Papworth Hospital, respiratory effort, but the ventilator can com- components of the system - the ventilator to-
Papworth Everard, pensate for leaks. Some degree of leak com- gether with its inspiratory and expiratory cir-
Cambridge CB3 8RE,
UK pensation is also possible with volume preset cuits, the patient, and the interface between
JM Shneerson ventilators by providing a high tidal volume the two - are in series and all influence gas
Techniques in mechanical ventilation: principles and practice 757

exchange. The minute ventilation is the prod- patient. The dead space of a nasotracheal or
uct of the respiratory frequency and the tidal orotracheal tube is greater than that of a
volume, but there are complexities even in tracheostomy tube and, similarly, the dead
this apparently simple relationship. Altering the space of a face mask is greater than that of a
frequency, for instance, changes inspiratory nasal mask or mouth piece. The larger volume
and expiratory times which affect the mean interfaces require more flow from the patient
inspiratory flow rate in volume preset vent- to trigger the ventilator because the pressure
ilators, the time for equilibration of alveolar fall within them is inversely related to their
gases and, especially in the presence of airflow volume, although this effect may be counter-
obstruction, the end expiratory volume. balanced by the higher resistance of narrower
The tidal volume leaving the ventilator dur- interfaces, such as a small tracheostomy tube,
ing inspiration has three destinations: (1) leaks; which increases the effort needed to trigger the
(2) dead space ventilation; and (3) alveolar ventilator.
ventilation. Within the patient, the anatomical dead
space may be partially bypassed by a tracheo-
stomy but not by non-invasive techniques
LEAKS such as nasal ventilation and, in general, the
The gas from the ventilator follows the path of physiological dead space is increased rather
lowest impedance which may be into the lungs, than decreased during mechanical ventilation,
especially if an inspiratory effort is synchronised particularly if the patient becomes hyper-
with the ventilator's inspiratory phase, or it inflated.
may be lost through leaks in the system. These
may be within the ventilator or its circuit, at
the interface with or within the patient. An ALVEOLAR VENTILATION
initial search for disconnections in the ventil- The distribution of the remaining part of the
ator system should be made, but more com- tidal volume among the alveoli is determined
monly leaks are related to the interface with by factors such as the inspiratory time and the
the patient. Some air usually leaks around a inspiratory pressure and flow pattern which
cuffed endotracheal or tracheostomy tube but result from the interaction of the ventilator
the leak is greater with an uncuffed tube. This and the patient's respiratory efforts, and the
is usually fairly constant and can be reduced compliance and resistance of the alveoli. In
by selecting a tube which is large relative to lung diseases these are heterogeneous and an
the tracheal lumen. The leak does, however, increase in the tidal volume may only over-
vary according to the pressure generated in distend the alveoli with the shortest time
the trachea by the ventilator and the patient's constants without any increase in gas exchange.
efforts and the control of upper airway patency, Recruitment of alveoli with longer time con-
particularly at the laryngeal level.78 Leaks stants may be achieved by prolonging the in-
around both face and nasal mask systems and, spiratory time or adding an end inspiratory
with the latter, through the mouth are often a pause.
problem. They may be associated with a raised
pressure in the upper airway when this ob-
structs or when the patient and ventilator are Aims of ventilation
uncoordinated, or with a low upper airway Ventilation is usually only a part of the overall
pressure when the muscles controlling the treatment and needs to be coordinated with
palate and lips fail to provide an airtight seal. the other components of the management plan.
This seal varies according to the degree of Clearly defined goals are essential whenever
synchronisation between the ventilator and the patients are ventilated, although it is rare for
patient, any underlying neuromuscular disease, all of these to be achieved simultaneously.
the stage of sleep, and probably with the in- Compromises are inevitable and the priorities
dividual's intrinsic coordination of the upper of treatment and the risks of the ventilator
airway muscles. Leaks may also occur within settings have to be carefully assessed.
the patient, for instance, through a broncho- The following questions should be addressed
pleural fistula or by air entering the oeso- whenever ventilation is being considered.
phagus rather than the trachea. Volume preset
ventilators with a high flow capacity and pres-
sure limiting may cope adequately with leaks IS NORMALISATION OF THE ARTERIAL BLOOD
but, in general, they are better compensated GASES THE AIM?
for by pressure preset ventilators. In general the answer to this question is yes,
and only in exceptional circumstances should
abnormal blood gas tensions be accepted.
DEAD SPACE VENTILATION Patients with acute on chronic respiratory
The dead space of each ventilator circuit varies disorders are often managed with the aim of
and is dependent on the length and diameter of maintaining a degree of hypercapnia on the
the connecting tubing. The gas under positive assumption that this is their normal state and
pressure stretches the circuit by 2-3 ml/cm H20 that lowering the Pco2 will lead to apnoea
inspiratory pressure (the compressible volume). and difficulties in withdrawing ventilatory as-
This is equivalent to an increase in dead space sistance. This assumption should not be made
since this volume never reaches the patient. unless the premorbid blood gas tensions are
The second component of the dead space is available and, in any case, the concentration of
within the interface of the system with the bicarbonate in the cerebrospinal fluid rapidly
758 Shneerson

equilibrates with a lowered arterial Pco2 so that flow rather than inspiratory time, although this
after 24-48 hours the sensitivity to changes in type of flow triggering is only available on some
Pco2 increases. The Pco2 can usually be re- pressure preset ventilators.'4 15
duced satisfactorily by ventilation although Inspiratory muscle activity during expiration
supplemental oxygen may be required to main- slows the expiratory flow rate (braked ex-
tain normal Po2.9 piration) which, while it may be beneficial in
Occasionally, patients with severely ab- preventing airway closure, will trigger another
normal resistance or compliance cannot be inspiration if it leads to a negative airway pres-
ventilated adequately, and the peak inspiratory sure. If this occurs before the previous tidal
pressure required to provide a satisfactory tidal volume has been fully exhaled, hyperinflation
volume may rise to potentially dangerous levels will develop (breath stacking), particularly with
(40-50 cm H20). The risk of barotrauma and volume rather than pressure preset ventilators.
the adverse effects on cardiac function may be There do not appear to be any advantages
sufficient to warrant a reduction in tidal volume from incoordination between the ventilator and
or frequency, or both, to levels which allow the the patient although minor degrees can occur
Pco2 to rise in a planned fashion (controlledI without any distress such as in IMV, as long as
hypoventilation or permissive hypercapnia).- 1 gas exchange, inspiratory flow rates, respiratory
Conversely, hyperventilation is occasionally re- frequency, and lung volume remain satis-
quired for the specific indication of reducing factory. The converse of incoordination, syn-
intracranial pressure when a Pco2 of about chrony, is usually - but not always - beneficial.
4 kPa should be aimed for. Better alveolar ventilation (as well as respiratory
muscle rest) may be obtained if the patient's
respiration remains passive, stable, and fully
IS THE AIM OF VENTILATION PURELY TO supported by the ventilator.
REPLACE A FAILED OR INACTIVATED
RESPIRATORY PUMP?
This may be the goal, for instance, in tetra- IS THE AIM OF VENTILATION TO MODIFY THE
plegics, during general anaesthesia with muscle PATIENT'S OWN RESPIRATORY ACTIVITY?
relaxants in patients who have to be sedated The patient's respiratory pattern can be modi-
and paralysed to tolerate ventilation or in order fied considerably by the ventilator. This
to avoid a raised intracranial pressure due to important but underemphasised concept con-
coughing. The patient plays a purely passive flicts with the usual advice to match the ventil-
role and contributes nothing to the work of ator to the patient. The patient can and often
breathing. Controlled ventilation in which the must be matched to the ventilator. In its sim-
patient receives a fixed tidal volume at a pre- plest form this idea is quite obvious. The res-
determined flow rate and with a fixed frequency piratory pattern can be altered through relief
is the mode of choice. of anxiety and discomfort once adequate ventil-
atory support is established. Similarly, res-
piration can be modified by normalising the
IS THE AIM OF VENTILATION TO SUPPLEMENT arterial blood gases which reduces the bio-
THE PATIENT'S OWN RESPIRATORY ACTIVITY? chemical drive to respiration. More subtle
In this situation the ventilator is more than interactions are also possible. The breath to
purely an external energy source. It is also breath and intrabreath respiratory activity can
an additional respiratory control mechanism be modified by, for instance, altering the in-
which interacts with the patient's intrinsic res- spiratory flow rate and inspiratory and ex-
piratory control system. The respiratory cycles piratory time, tidal volume and lung volume.
of both the patient and the ventilator may The mechanisms probably involve mechano-
be partly or totally synchronised or may be receptor reflexes from the upper airway and
uncoordinated. lungs.'6 The microprocessor controls on mod-
Synchronisation of the patient's inspiratory ern ventilators are becoming increasingly soph-
efforts can trigger ventilator breaths in the assist isticated, and although none can approach the
control and SIMV modes and with pressure flexibility of a spontaneously breathing subject,
support. With the latter it can also augment to the scope for influencing the patient's res-
a variable degree the volume delivered from piratory activity will undoubtedly increase over
the ventilator, but with volume preset vent- the next few years.
ilators any continuing inspiratory activity will
increase the work of breathing but will not
increase the tidal volume. Triggering and in- IS THE AIM OF VENTILATION TO TREAT AS WELL
spiratory muscle activity after the onset of the AS TO SUPPORT THE PATIENT?
ventilator's flow can occur separately or to- There is no doubt that mechanical ventilation
gether in a single breath.'213 can support the failing respiratory pump and
An uncoordinated expiratory effort during that there is a spectrum of interaction between
the inspiratory phase with a volume preset the patient and the machine. What is still un-
ventilator raises the airway pressure so that air certain is to what extent, and how, ventilation
is vented from the system at the pressure limit, can improve the underlying pathophysiological
thereby reducing the tidal volume. With pres- changes which have led to respiratory failure.
sure preset machines the predetermined wave Most of the effects of ventilation discussed
form is reached with a lower tidal volume. This below are transient but, with long term noc-
type of incoordination can be overcome by turnal ventilation, some must persist long
triggering the ventilator into expiration by air- enough to explain the clinical and physiological
Techniques in mechanical ventilation: principles and practice 759

improvements that are seen during the daytime. after ventilation has been discontinued. A small
The most important possibilities are respiratory improvement in chest wall and lung compliance
drive, respiratory muscle function, respiratory may last for a few hours'8 but other benefits
mechanics, and ventilation/perfusion match- such as reversal of abdominal paradoxical
ing. movement due to diaphragm weakness are lost
after ventilation is discontinued. Alterations in
upper airway resistance due to positive pressure
Respiratory drive during nasal ventilation are transient but, to-
Ventilation can influence respiratory drive by, gether with a reduction in dead space, persist
for instance, altering the arterial Pco, which, with a tracheostomy as long as this is in use
by lowering the concentration of bicarbonate whether the patient is breathing spontaneously
in the cerebrospinal fluid, increases the re- or being ventilated.
sponse to hypercapnia. Relief of sleep dep-
rivation also improves the respiratory drive
through largely unknown mechanisms and, oc- Ventilationlperf,usion (V/Q) matching
casionally, hypoxic depression of the respiratory Most ofthe effects ofventilation on V/Q match-
centres can also be reversed. The more subtle ing are also transient. Regional perfusion de-
and rapidly changing interactions between the pends on the resistance of the pulmonary
ventilator and the patient's respiratory control arterial circulation (which is affected by grav-
system which are mediated through reflex and itational forces, lung disease, vascular tone, and
behavioural mechanisms have been described lung volume) and cardiac output. An increase
above. in intrathoracic pressure reduces the intra-
vascular blood volume, right ventricular inflow,
and left ventricular outflow. These problems
Respiratory muscle function are therefore seen if the mean inspiratory pres-
The concept of chronic respiratory muscle fat- sure is high and if the inspiratory time is pro-
igue or incipient fatigue has stimulated efforts longed, or if the mean expiratory pressure is
to rest the respiratory muscles and reduce the raised, for instance, with positive end expiratory
work of breathing.'7 Muscle fatigue has, never- pressure (PEEP) or continuous positive airway
theless, only been demonstrated in a few cir- pressure (CPAP). Intravenous fluids may be
cumstances and it seems more likely that the needed to expand the intravascular volume
central respiratory control mechanisms adapt and oxygen may be added to maintain the
their output to prevent it from developing. In myocardial contractility.
any case rest can only be achieved if none of the It is difficult to manipulate these aspects
ventilator breaths are triggered or augmented, of airway, cardiac, and vascular function to
which is unusual if the patient has any residual optimise V/Q matching but, in general, this is
respiratory drive and muscle strength. Studies usually improved by prolonging the inspiratory
attempting to rest the respiratory muscles have, time with or without an end inspiratory pause'9
not surprisingly, shown no consistent pattern to assist equilibration of gases within the alveoli
of changes. Resting the muscles to relieve or and, if necessary, an increase in the tidal volume
avoid fatigue should be distinguished from the with or without PEEP or sighs to prevent airway
use of sedation and muscle paralysis for patients closure.
whose incoordination with the ventilator can-
not be controlled in any other way.
A further problem with resting the respiratory WHAT ARE THE OTHER ASSOCIATED AIMS OF
muscles is that weaning requires increasing TREATMENT THAT ARE LINKED TO VENTILATORY
muscle activity for which it may prove best to SUPPORT?
have exercised the muscles in order to condition Ventilatory failure is often associated with im-
or train them rather than risk disuse atrophy paired bulbar function, especially in neuro-
through rest. In practice, the aims of both muscular disorders such as motor neurone
respiratory muscle rest and muscle training are disease. The ability to cough, swallow, and
probably too narrow. The goal should be to speak may be reduced. In these situations, or
optimise the pattern of respiratory muscle ac- if the level of consciousness is impaired, airway
tivity in order to enable the patient initially to protection and access to tracheobronchial
be adequately ventilated by the machine and secretions with a cuffed tracheostomy or endo-
subsequently to help to regain as much res- tracheal tube may be as important as ventilatory
piratory muscle strength and endurance as pos- support. In contrast, if the latter is the only
sible in order to become independent of the necessity, a nasal or face mask or a mouth piece
ventilator. It may be best to rest the respiratory (or, if there is upper airway obstruction, an
muscles during the initial stages of an acute uncuffed tracheostomy tube) may be sufficient.
illness or when the patient is systemically un-
well, but after this a change in strategy to
increase the work of breathing and improve IS COMPLETE WEANING THE AIM OF
muscle performance may assist the weaning VENTILATION?
process. This is usually the end point of ventilation,
particularly ifthe patient has undergone surgery
and does not have any chronic respiratory dis-
Respiratory mechanics order but long term, usually nocturnal, non-
Most of the effects of ventilation on respiratory invasive ventilatory support is nevertheless
mechanics are transient but a few may persist being increasingly provided. This is particularly
760 Shneerson

effective in neuromuscular and skeletal dis- may enable this to be achieved. If the patient
orders but is also of some benefit to carefully makes expiratory efforts during inspiration the
selected patients with chronic airflow ob- inspiratory time may need to be shortened,
struction.20 These subjects are, in effect, only although this may worsen any hypoxia. Al-
partially weaned and this long term option ternatively, a flow cycled ventilator with pres-
should be considered during the phase of con- sure support may be preferable as long as the
tinuous ventilator dependency if this is pro- ventilator can achieve a sufficiently high pres-
longed following an acute illness. sure to generate an adequate tidal volume.
Patients with airflow obstruction due to, for
instance, chronic bronchitis or asthma pose
Ventilation in practice different problems. Their expiratory flow lim-
The optimal ventilator settings for each patient itation leads to an increase in end expiratory
are mainly determined by the metabolic re- volume and pressure (autoPEEP) unless the
quirements, respiratory drive, and mechanics. expiratory time is sufficient for the previous
Normal subjects under general anaesthesia or tidal volume to be completely exhaled. The
after an overdose of a sedative drug, and those expiratory resistance of the ventilator and inter-
with little residual respiratory drive or strength face should be minimised by, for example, the
- for example, tetraplegics - are easy to ventilate use of a larger tracheostomy tube or a low
in the controlled mode since their mechanics resistance expiratory valve. In order to preserve
are normal. Underinflation can be avoided by an adequate expiratory time the inspiratory
increasing the tidal volume of the ventilator, time is shortened and the respiratory frequency
with or without PEEP, and hyperinflation can is reduced. Tidal volume is kept small to mini-
be prevented by reducing the tidal volume and mise the risk of barotrauma which is related to
frequency, avoiding breath stacking, length- the peak inspiratory pressure, although some
ening the expiratory time, and adding PEEP of this is dissipated along the airways and is not
to counteract any autoPEEP. In subjects with applied to the alveoli. PEEP may be required to
some residual respiratory activity, respiratory overcome any autoPEEP.22
muscle rest may be achieved by reducing the These constraints due to mechanical con-
respiratory drive by, for instance, increasing the siderations lead to a narrow range of settings
inspired oxygen concentration or lowering the which is able to provide adequate alveolar vent-
Pco2, increasing the level of pressure support ilation. An important additional problem, how-
or tidal volume, and increasing the frequency ever, is the instability of the respiratory pattern.
of the ventilator. Adjustment of the ventilator During wakefulness this is due to behavioural
settings can also promote synchronisation or influences23 such as anxiety, discomfort, and
provoke incoordination. Synchronisation is, in pain, but during sleep different factors operate.
general, facilitated by a low circuit inspiratory Firstly, there are physiological irregularities
and expiratory resistance, a low trigger thresh- during light non-rapid eye movement sleep,
old with a short delay (which may necessitate usually at sleep onset, and during phasic rapid
flow cycling from expiration to inspiration and eye movement sleep. Secondly, upper airway
in some patients from inspiration to expiration resistance increases and diaphragmatic func-
as well), and a sufficiently fast inspiratory flow tion is reduced, particularly during rapid eye
rate to meet the patient's demands.2' movement sleep, so that lung volume changes
The ventilator can usually be easily adjusted and chemoreflexes and mechanoreflexes are
for patients with neuromuscular and skeletal activated. Any increase in tidal volume, how-
disorders despite their reduced chest wall and ever, requires a longer expiratory time to pre-
lung compliance. Assist control or pressure vent an increase in end expiratory volume and
support ventilation is preferable to controlled autoPEEP from developing if expiratory airflow
ventilation since it allows the patient to trigger limitation is severe, whereas a reduction in tidal
inspiration and, in the case of pressure support, volume leads to a disproportionate reduction
to have some control over tidal volume as well. in alveolar ventilation because of the high
A high respiratory frequency and low tidal physiological dead space in these patients. The
volume are usually required, but if this is very resulting changes in blood gas tensions modify
low either a reduction in frequency with a larger the patient's respiratory drive and may tend to
tidal volume or the addition of PEEP can perpetuate the oscillation of the respiratory
overcome any tendency to basal airway closure. pattern outside the narrow range of settings
Similar considerations apply to patients with that enable adequate ventilation to be achieved.
diffuse pulmonary disorders such as fibrosing The combination of mechanical limitations,
alveolitis, although hypercapnia is usually only respiratory instability, and rapidly changing
a preterminal complication and ventilatory sup- blood gas tensions leads to a constantly fluc-
port is rarely indicated. These patients often tuating tidal volume, lung volume, respiratory
have a greatly reduced respiratory system com- rate, inspiratory and expiratory times and flow
pliance and a strong respiratory drive, perhaps rates, both when the patients are clinically
due to stimulation of pulmonary mechano- stable and particularly during either infective
receptors. The high respiratory drive can be at exacerbations or, in the case of asthma,
least reduced by relieving hypoxia and hyper- acute episodes of bronchoconstriction. Syn-
capnia and it is important to maximise syn- chronisation with the ventilator varies from
chronisation between the patient and the moment to moment and it may be necessary
ventilator. A high mean inspiratory flow rate, to reduce the patient's respiratory drive by,
low tidal volume, high frequency, and ap- for instance, lowering the metabolic rate (for
propriate adjustment of the trigger threshold example, by treating any infection), relieving
Techniques in mechanical ventilation: principles and practice 761

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