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H. P. A. Van Dongen and G. A. Kerkhof (Eds.

)
Progress in Brain Research, Vol. 190
ISSN: 0079-6123
Copyright Ó 2011 Elsevier B.V. All rights reserved.

CHAPTER 4

Cognitive recovery following positive airway


pressure (PAP) in sleep apnea

Ellyn E. Matthews{ and Mark S. Aloia{,*

{
College of Nursing, University of Colorado, Aurora, CO, USA
{
Department of Medicine, National Jewish Health, Denver, CO, USA

Abstract: Obstructive sleep apnea–hypopnea syndrome (OSAHS) is a common sleep disorder that is
characterized by repeated episodes of complete or partial cessation of breathing while sleeping. These
recurrent breathing events result in fragmented sleep and recurrent hypoxemia. Distressing daytime
sequelae reported by OSAHS patients include excessive daytime sleepiness, self-reported changes in mood,
and cognitive problems. It has been well established that OSAHS can negatively impact functioning in
multiple cognitive domains, such as attention and memory. In this chapter, neurobehavioral deficits in
OSAHS are discussed, and proposed models of cognitive dysfunction are summarized. Current studies
examining cognitive recovery with positive airway pressure treatment are presented. It appears that the
cognitive dysfunction of OSAHS is not likely to be due to a single mediating mechanism, nor is it pervasive
across all patients. Future research should attempt to identify these moderators for cognitive dysfunction in
OSAHS and to highlight the mechanisms of dysfunction by cognitive domain.

Keywords: sleep apnea; cognition; daytime sleepiness; neuropsychology; positive airway pressure.

Introduction OSAHS is characterized by repeated complete


(apnea) or partial (hypopnea) cessations of
Population-based epidemiologic studies have breathing most typically caused by a narrowing
underscored the high prevalence of obstructive at various potential sites along the upper airway.
sleep apnea–hypopnea syndrome (OSAHS), During these breathing events, arterial oxygen
occurring in 5% of the general population saturation can drop to dangerously low levels
(Young et al., 2002). The pathophysiology of (desaturation), resulting in increased respiratory
effort and arousals from sleep to resume breath-
ing. Recurrent hypoxemia, hypercapnia, and
*Corresponding author.
Tel.: þ 303 270 2386; Fax: þ 303 270 2115
fragmented sleep are direct consequences of
E-mail: aloiam@njhealth.org

DOI: 10.1016/B978-0-444-53817-8.00004-9 71
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OSAHS that can impact neurobehavioral perfor- fully elucidated, but which include barriers
mance (Dempsey et al., 2010). associated with the equipment (e.g., mask discom-
The primary daytime sequelae of OSAHS fort, nasal congestion, nasal dryness) and psycho-
include excessive daytime sleepiness, self- logical barriers to behavior change (Aloia et al.,
reported changes in mood, and cognitive pro- 2005; Matthews and Aloia, 2009). Adherence
blems. Decreased cognitive acuity can have signif- may indeed have implications for the magnitude
icant negative consequences for occupational of cognitive improvements with treatment.
performance, driving safety, educational pursuits,
and global functioning. For example, the risk of
being involved in a motor vehicle accident is sub- Neurobehavioral deficits in OSAHS
stantially higher as the severity of OSAHS
increases (Tregear et al., 2009). Moreover, Neurobehavioral functioning is a broad term that
OSAHS has been associated with an increased includes several specific cognitive functions
risk of comorbid medical illnesses, particularly (Beebe, 2005). Numerous studies of OSAHS have
vascular diseases, such as hypertension, heart dis- examined cognitive deficits, a broad term that
ease, and stroke (Dempsey et al., 2010). Psychiat- describes cognitive performance outside of
ric disorders including depression and anxiety expected normal values in both global and spe-
have also been linked to OSAHS (Saunamaki cific cognitive domains. The cognitive domains
and Jehkonen, 2007) with accompanying func- will be summarized later in this chapter.
tional consequences that can be severe. Neurobehavioral testing is common in studies
of OSAHS; however, cognitive sequelae remain
difficult to interpret given the wide diversity of
OSAHS treatment tests, and lack of standardized characterization
of disease severity (Aloia et al., 2004; Beebe
Although surgical and behavioral (e.g., weight et al., 2003). Until recently, many investigations
loss) options exist for the clinical management of focused on selected cognitive deficits, and few
OSAHS, positive airway pressure (PAP) is con- studies employed comprehensive neuro-
sidered the treatment of choice (Giles et al., behavioral test batteries. Fortunately, the number
2006). PAP consists of a nasal mask attached to of studies examining cognitive deficits is
a pneumatic pump by a flexible air tube, and held expanding and advanced neuroimaging methods
in place by a harness that fits over the head. The are improving our understanding of brain struc-
pump supplies positive air pressure to the upper ture and function in OSAHS (Zimmerman and
airway, preventing it from collapsing during sleep. Aloia, 2006). Studies of cognitive deficits in adult
Once the appropriate pressure is determined, OSAHS participants typically fall into three main
PAP generally eliminates most or all nocturnal areas: pretreatment group comparisons of
breathing disturbances (American Thoracic Soci- OSAHS patients compared to healthy controls;
ety, 1994). With proper use, PAP has been found OSAHS patients compared on levels of disease
to diminish sleep fragmentation, increase noctur- severity; and cognitive impairments before and
nal oxygen saturation, and improve cognitive after treatment, most often PAP.
functioning (Giles et al., 2006). Despite these Apnea patients may exhibit fewer global cogni-
benefits, PAP is not a cure, but provides only a tive impairments when compared to normal
“pneumatic splint” to prevent collapse of the controls because the various components of the
upper airway each night. Unfortunately, research global score may mask specific deficits. Studies
has revealed that long-term adherence to PAP is assessing specific cognitive domains have been
less than optimal for reasons that remain to be more revealing, although cognitive domains are
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not mutually exclusive. Cognitive abilities most in part to the challenging complexity of these
frequently found to be affected by OSAHS are domains. Memory is a broad domain comprised
selective attention (concentration), sustained of long- and short-term memory functions that
attention (vigilance), short-term or working mem- are associated with different memory processes.
ory, executive functioning, and motor functioning, For example, long-term memory includes an epi-
with negligible impact on intellectual and sodic memory component (recollection of specific
language functioning (Beebe et al., 2003). experiences) and a procedural memory compo-
nent (learning skills). The construct of a short-term
memory has evolved to include a multicomponent
Cognitive domains and OSAHS “working memory” subdomain. Working memory
involves temporary storage and management of
The most commonly investigated cognitive limited information required to carry out complex
domains in OSAHS have been vigilance and cognitive tasks such as learning and reasoning.
attention. Although vigilance and attention are Although interrelated, memory subdomains
different constructs, apnea researchers do not can be measured by a variety of specific tests.
always differentiate between them, and tend to Limitations in memory testing have been
favor tests of vigilance. Deficits in vigilance attributed to complications in initial learning, free
include sustained attention, controlled attention, recall, or long-term forgetfulness (Aloia et al.,
information processing, and response time over 2004). Sleep apnea researchers do not always iden-
long periods. This appears to be the domain that tify the precise memory subdomain and processes
is most consistently affected in OSAHS patients that are affected by OSAHS, which has led to diffi-
and it has been suggested that vigilance and culty interpreting discrepant memory-test findings
attention deficits are central to all aspects of across studies (Beebe et al., 2003).
higher order cognitive functioning (Verstraeten Impaired memory has been found in patients
et al., 2004). Attention deficits in OSAHS with moderate and severe OSAHS as well as
patients may affect the ability to both remain older adults with OSAHS, relative to healthy
awake in monotonous situations and manage controls. Greater impairment of information
information in more stimulating conditions retrieval, and verbal and visual episodic memory
(Mazza et al., 2005). This has implications for subdomains have been demonstrated in OSAHS
clinical practice and highlights the importance of patients compared to healthy controls (Ferini-
conducting an adequate panel of vigilance tests. Strambi et al., 2003; Naegele et al., 2006). Deficits
Recent studies have suggested that attention and of working memory in OSAHS patients have
alertness in OSAHS patients may be moderated been reported in some studies (Redline et al.,
by intelligence and age. For example, one study 1997; Salorio et al., 2002; Thomas et al., 2005);
revealed that OSAHS patients with normal intel- however, other studies have failed to demonstrate
ligence had greater deficits in selective and per- this impairment in OSAHS patients (Ferini-
manent attention compared with controls Strambi et al., 2003; Lee et al., 1999). In a large
matched for age and intelligence, and these sample of moderate to severe OSAHS patients
deficits were fully corrected after 1 year of PAP. and closely matched healthy controls, Naegele
High-intelligence OSAHS patients, however, had and colleagues (2006) recently reported that
no greater attention deficits compared with con- OSAHS patients had mild but significant memory
trols of corresponding age and intelligence even impairment affecting episodic, procedural, and
before PAP treatment (Alchanatis et al., 2005). working memory relative to controls. Specifically,
Measures of memory and executive function in OSAHS patients demonstrated a retrieval deficit
OSAHS have been less thoroughly studied, due of episodic memory but intact subdomains of
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maintenance, recognition, and forgetfulness. semantic cues compared to healthy controls. With
Taken together, these studies underscore the the exception of letter fluency, deficits were not
importance of extensive testing of specific mem- observed in general executive control, and reten-
ory subdomains to fully understand deficits in tion of previously encoded information and recog-
OSAHS. Comprehensive testing may provide nition was intact (Salorio et al., 2002).
clues about the affected brain regions and guide Psychomotor functions are characterized by fine
functional brain imaging. motor coordination and psychomotor speed.
Findings from a study of impaired performance Although the exact mechanism is unclear, OSAHS
and decreased brain activation in OSAHS patients appear to perform more poorly on tests of
patients during a working memory task relative psychomotor skills compared to healthy controls
to health controls suggest that compromised brain (see Aloia et al., 2004 for review). The deficits
function in response to cognitive challenges may seem to be linked to fine motor coordination
underlie some of the cognitive deficits seen in abilities rather than to motor speed. There has
patients with OSAHS (Ayalon et al., 2009). been comparatively less discussion about
Archbold and colleagues (2009) found that with psychomotor deficits compared to other cognitive
greater OSAHS severity, neuronal activation dur- domains in OSAHS, in part because of the poten-
ing working memory tasks was increased in the tial overlap with daytime sleepiness; however, this
right parietal lobe, but decreased in the cerebellar does not account for the difference between tests
vermis indicating that the severity of OSA may of fine motor skills and motor speed.
correlate with neural activation during tasks of Cognitive performance has been linked to
working memory (Archbold et al., 2009). severity of OSAHS. Most studies have found
Executive function refers to the ability to develop that OSAHS severity as measured by the
and sustain an organized, goal-directed, and flexible apnea–hypopnea index (AHI) is associated with
approach to problem solving using basic cognitive prolonged reaction times, impaired sustained
skills such as working memory, mental flexibility, attention, and monitoring information. Other
planning, and, to some degree, core language skills. studies have examined specific cognitive domains
The broadness of the executive function construct in relation to the severity of sleep fragmentation
makes it difficult to accurately describe the deficits, and hypoxemia. Contrary to expectation that psy-
assign causation, and distinguish executive dysfunc- chomotor functioning would be associated with
tion from impaired attention. Executive function is hypoxemia, the findings have been inconsistent.
often operationalized as a measure of working Moreover, psychomotor functioning appears to
memory (e.g., Wisconsin Card Sorting Test), set be resistant to PAP treatment, suggesting the
shifting (e.g., Trails B), or verbal fluency (e.g., possibility of an irreversible central nervous
Controlled Oral Word Association), in addition system damage in severe OSAHS.
to testing behavioral inhibition, mental flexibility,
planning, organizations, and problem solving.
Despite the broadness of the concept and Models of neuropsychological deficits in OSAHS
its measurement, OSAHS patients consistently
underperform on tests of executive function rela- Brain operations responsible for cognitive func-
tive to healthy controls. This includes a decreased tion occur primarily in the cerebral cortex (gray
ability to initiate new mental processes and to matter layer covering the frontal lobes of the
inhibit automatic ones relative to controls. In one brain) and its subcortical structures (e.g., the hip-
study, OSAHS patients exhibited less-efficient pocampus and lenticular nuclei). Various discrete
use of semantic clustering, and poorer use of mechanisms of cognitive dysfunction in OSAHS
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have been proposed, including the effects of sleep performance when evaluating executive attention
fragmentation, chronic sleep deprivation, neuro- in patients with severe OSAHS. Attention, vigi-
nal cell loss due to hypoxemia, cerebral vascular lance, and executive functions were assessed
compromise (Aloia et al., 2004; Beebe, 2005; using a battery of established neuropsychological
Lanfranchi and Somers, 2001; Verstraeten and tests including Trail Making Test A,B; Stroop;
Cluydts, 2004), and, most recently, inflammatory and Symbol Digit Modalities Test. The authors
processes (Haensel et al., 2009). Four models will concluded that cognitive performance was com-
be summarized below. parable to the decline found after sleep loss, but
Cumulative evidence in animal and human qualitatively different from patients with chronic
studies suggests that the frontal lobes of the brain obstructive pulmonary disease. Verstraeten and
are most affected by OSAHS. Beebe and Gozal colleagues (2004) suggest that sleepiness is the
(2002) have proposed a model with two primary primary factor in cognitive deficits in sleep apnea,
mechanisms, sleep fragmentation, and hypox- without the need to assume prefrontal brain dam-
emia. Sleep fragmentation is thought to preferen- age. It is suggested that future studies systemati-
tially affect the frontal lobes by disrupting the cally control for lower order functions when
normal restorative processes of sleep, while hyp- assessing executive tasks in OSAHS patients with
oxemia results in cellular changes in the prefron- arousal and attention difficulties. Justification for
tal cortex. This model is supported by basic and a cognitive hierarchy is compelling; however,
clinical studies, particularly studies of the execu- discussion of sleep fragmentation and hypoxemia
tive domain. Limitations of this model include is limited in this model.
exclusion of brain regions other than the frontal A third model, the microvascular theory, was
lobes and little discussion of the nuances of put forth by Aloia and colleagues in 2004. This
executive functions. The authors are credited, model is based on the work of Lanfranchi and
however, with the early development of one of Somers (2001), and extensive cardiovascular and
the first neurofunctional models of OSAHS hypoxia literature establishing a link between car-
(Beebe and Gozal, 2002). diovascular dysfunction and OSAHS. Thus, it was
A second “hierarchical” model posits that plausible to suggest (1) vascular compromise
knowledge of lower order deficits (e.g., attention) might also exist in the small vessels of the brain,
that underlie more complex deficits (e.g., execu- and (2) intermittent hypoxemia of OSAHS would
tive functioning) can provide better understand- preferentially affect the regions of the brain that
ing of the cognitive mechanisms in OSAHS were metabolically active during hypoxemia
(Verstraeten et al., 2004). Previous studies have events. Damage to the vulnerable small vessels
demonstrated that sleep disruption has a pro- may result in a predictable pattern of cognitive
found effect on arousal, processing speed, and deficits of attention, mental processing, memory,
attentional ability. Verstraeten and Cluydts executive abilities, motor speed, and coordina-
(2004) hypothesized that higher order cognitive tion. With sufficient underpinning in the litera-
dysfunction in OSAHS can be explained by ture, Aloia et al. (2004) proposed that this
impairment in both attention decrements and pattern of cognitive dysfunction was present in
slowed mental processing due to sleep disruption. OSAHS, and represented microvascular disease
The authors suggest that theoretical frameworks of the small vessels feeding the white matter of
are helpful in guiding both the choice and inter- the brain. Several studies highlighting the involve-
pretation of higher order cognitive tests. They ment of subcortical white matter of the brain
conducted a study which provides support for this using magnetic resonance imaging (MRI) were
model by controlling for basic attentional presented to support the model. The authors
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demonstrated evidence in a small sample that Alteration in brain morphology and


microvascular diseases could be seen on brain cognitive function
MRI in OSAHS. More recent studies have
demonstrated a significant decrease in the brain's The pathophysiology of alterations in the brain
white-matter volume in OSAHS patients due to OSAHS may involve both chronic and
attributed to decreased myelin and a reduction acute insults on the cerebral vascular structure
in the number of axons which could induce and function. As proposed in the microvascular
alterations in mood and cognition (Macey et al., model of OSAHS-related cognitive dysfunction
2008), while others have failed to find an associa- (Aloia et al., 2004), these vascular changes may
tion between white matter ischemia and OSAHS. lead to alterations in the structure and function
A strength of this model is the ability to merge an of the brain. Studies utilizing neuroimaging in
established mechanism in OSAHS, vascular com- OSAHS are increasing, and may provide unique
promise, with the cognitive aspects of sleep information about brain structures, function, and
apnea. Similar to Verstraeten and Cluydts’ hierar- metabolic composition that are affected by
chical model, however, sleep fragmentation and OSAHS (Zimmerman et al., 2006). Several of
hypoxemia are not well integrated into the model. these studies will be summarized below.
Further research is needed to test and expand this Subcortical brain systems play an important role
model and relate vascular compromise to com- in the regulation of cognitive and emotional pro-
plaints of fatigue and daytime sleepiness. cesses, and frontal–subcortical circuits are a major
Recently, Beebe (2005) developed a comprehen- organizing neural network of the brain. Changes
sive heuristic model in which multiple factors are in subcortical white matter and deep gray matter
proposed to affect neurobehavioral functioning nuclei, often noted in older adults, appear as foci
among individuals with OSAHS. Beebe proposed of increase signal intensity on certain pulse
that the effects of sleep fragmentation and hypox- sequences of MRI. Current data suggest subcorti-
emia are intermingled and may even be synergistic. cal hyperintensities may reflect a spectrum of struc-
He hypothesized that these synergistic mechanisms tural changes resulting from hypoperfusion of
interact with vulnerable brain regions (e.g., the hip- these subcortical regions (Campbell and Coffey,
pocampus, prefrontal cortex, subcortical gray and 2001). In one study of OSAHS patients, Colrain
white matter), suggesting the potential involvement and colleagues (2002) demonstrated a relationship
of small vessels in the brain (Beebe, 2005). between severity of subcortical white matter
Addressing the complexity of higher order cognitive hyperintensities and level of hypoxemia (Colrain
abilities, this model suggests that the mechanisms of et al., 2002). In another study, older adults with
executive functions may be dependent on task severe OSAHS had more subcortical white matter
demands or the testing environment, and deficits hyperintensities on brain MRI (functional MRI,
may be specific to some tasks but not others. Finally, fMRI) relative to those with minimal apnea, and
this model addresses extraneous variables that there was a trend for a negative association
should be considered in the mechanisms of cogni- between subcortical hyperintensities and free
tive dysfunction of OSAHS: (1) genetic endow- recall of a word list (Aloia et al., 2001). These sub-
ment, (2) prior testing experience, and (3) cortical hyperintensities suggest the involvement
sociodemographic factors. Although testing of of small vessel damage in regions where hypo-
this model is needed, it is a useful guide for future perfusion is more prevalent, however, that damage
research, and provides a comprehensive approach to these small vessels can result in a number of cog-
to understanding the wide variation OSAHS nitive problems without specificity of any explicit
cognitive dysfunction, including moderating factors. domain (Aloia et al., 2004).
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Structural volume changes have been demon- cerebral cortex decreased with age, which is indica-
strated in brain regions including areas that regu- tive of cerebral metabolic injury. The severity of
late memory, executive function, and affect (e.g., OSAHS was found to have a significant negative
frontal cortex, anterior cingulate, and hippocam- association with the NAA/Cho ratio for normal-
pus). Several studies utilized MRI to assess gray appearing white matter that was independent of
matter volume, which decreases with atrophy age or comorbid condition, suggesting the severity
and cell death, in regions of the brain involved of OSAHS may be associated with the degree of
in motor regulation of the upper airway and cog- white matter metabolic impairment and this
nitive function. For example, one study compared impairment may be due to cerebrovascular risk
gray matter in 21 males with OSAHS with 21 con- factors (Kamba et al., 2001).
trols, and found significant reductions in gray Previous studies have revealed that OSAHS
matter in several brain regions (i.e., anterior cin- might compromise the recruitment of task-related
gulate, hippocampus, frontal, parietal, and tempo- brain regions compared with controls. Using MRI
ral lobes) that correlated with OSAHS severity signal in OSAHS patients while performing a cog-
(Macey et al., 2002). In another study, gray mat- nitive challenge, both over- and underactivation
ter loss was demonstrated in the hippocampus, a of specific brain regions have been reported
key area for cognitive processing (Morrell et al., (Ayalon et al., 2009). Thomas and colleagues
2003). In contrast, one study did not find a signifi- (2005) found a lack of task-related signal activity
cant loss of gray matter in 27 males with OSAHS in the dorsolateral prefrontal cortex in 16
relative to 24 controls (O’Donoghue et al., 2005). untreated OSAHS patients compared with
These negative results may be due to recruitment matched normal controls during a working mem-
of a younger, healthier sample. ory challenge. In another study using fMRI,
Regional brain metabolism may provide insight OSAHS patients had an increased activation
into abnormalities in neurochemical transmission response in several brain regions involved in atten-
that may reflect pathologic insults to brain integ- tion tasks compared with controls on a verbal
rity. One study using positron emission tomogra- learning task. Notably, OSAHS patients recruited
phy (PET) in OSAHS patients with residual greater brain volume in task-related areas (e.g.,
daytime sleepiness despite effective PAP treat- cingulate, frontal) and other regions, suggesting
ment revealed five of seven participants had the need for compensatory resources (Ayalon
impaired glucose utilization in the frontal, tempo- et al., 2009a).
ral, and/or parietal cortex (Antczak et al., 2007). In summary, the pathophysiology of OSAHS-
Magnetic resonance spectroscopy (MRS) provides related cognitive deficits is controversial and
a measure of metabolic change through the chemi- multifactorial. OSAHS brings with it disturbances
cal activity of neurotransmitters and amino acids in sleep stages, blood oxygenation, and sympa-
(e.g., N-acetylaspartate [NAA], choline [Cho], cre- thetic nervous system regulation. Since OSAHS
atine) that may reflect neural injury. Kamba and appears to affect multiple brain regions, brain
colleagues conducted two studies using MRS. In changes may reflect damage resulting from
the first study, they reported that metabolic several etiologies, including hypoxemia, small
changes occur in normal-appearing white matter vessel damage, cerebral circulation oscillations,
of patients with moderate to severe OSA (Kamba chronic inflammation, all of which can result in
et al., 1997). A follow-up study addressed the local ischemia. This damage suggests an ongoing
effects of potentially confounding comorbid series of accumulated injuries leading to gradual
conditions. Fifty-five patients with severe OSAHS cognitive changes that may be unrecognized by
underwent MRS. The NAA/Cho ratio in the patients and clinicians for some time.
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Neurobehavioral recovery after PAP reach significance. Optimal users (> 6 h of use
nightly) were eight times more likely to exhibited
PAP normalizes both sleep disruption and oxygen normalization of memory function compared with
desaturation and has been found to dramatically poor users at 3 months. These findings suggest that
reduce morbidity and mortality in a variety of memory performance may be reversible with opti-
populations. Owing to these encouraging findings, mal levels of PAP treatment, and OSAHS patients
the effect of PAP on cognitive function has been with memory deficits at baseline may need 6 h
an area of interest for many apnea researchers. of use per night to experience meaningful benefit
In the 1980s, a cadre of researchers provided in memory abilities (Zimmerman et al., 2006).
early evidence of short-term effect of PAP on In a multisite study of adherence in 149 OSAHS
improvement in a variety of cognitive deficits. In patients, Weaver and colleagues (2007) demon-
a review of PAP treatment studies in peer- strated that subjective sleepiness as measured by
reviewed journals from 1985 to 2002, Aloia et al. the Epworth Sleepiness Scale can improve with as
(2004) examined whether pretreatment cognitive few as 4 h of PAP use per night. Objective sleepi-
impairments were permanent or if they remitted ness as measure by the Multiple Sleep Latency Test
with PAP (Aloia et al., 2004). Overall, studies of (MSLT) may require 6 h of use and functional out-
OSAHS and PAP reported a positive association comes associated with sleepiness may take over
between treatment adherence and improved 7 h. These studies, among others, show that adher-
cognitive performance. The review revealed ence as well as test sensitivity must be considered in
attention/vigilance improved in the majority of the design of efficacy trials (Weaver et al., 2007).
studies, but changes in global functioning, execu-
tive functioning, and memory improved in about
half of the studies. Tests of psychomotor function Changes in brain structure and function
and construction, however, failed to improve with after PAP
PAP in most studies. The authors noted that results
may be dependent on the selected neuropsycho- Growing evidence suggest the OSAHS-related
logical tests, which may vary in sensitivity to changes in brain morphology may improve with
the effects of treatment, just as some may be more PAP use. Neuroimaging studies performed during
sensitive to specific cognitive deficits. Since the cognitive testing have provided insight into PAP’s
publication of the review, additional studies have effect on function of neuroanatomical circuits in
provided greater understanding of cognitive recov- the brain. A recent study of the effects of acute with-
ery after effective PAP treatment (see Table 1). drawal of PAP on brain function in nine individuals
Recent studies have concluded that adherence with OSAHS revealed significant treatment effects
to PAP, as measured by hours per night, is an on working memory and recruitment of task-related
important factor when evaluating cognitive out- brain regions during fMRI (Aloia et al., 2009).This
comes. Zimmerman and colleagues (2006) com- study is clinically relevant because it mimics the
pared three groups of memory impaired OSAHS common treatment holidays of many PAP users.
patients based on average PAP use (poor, moder- Although neuroradiography can provide important
ate, optimal users) at 3 months. At baseline, insights into the structural and functional
groups were similar with regard to demographic differences associated with OSAHS, one of the
variables and verbal memory performance. Mod- challenges is to interpret the findings in light of
erate users (2–5 h of use nightly) were three times comorbid conditions that also cause neural injury.
as likely to develop normal memory after A second challenge in cross-sectional studies is the
3 months of PAP compared to poor users (< 2 h timing of neural injury: whether it preceded
of use nightly); however, the difference did not OSAHS or vice versa (Dempsey et al., 2010).
Table 1. Cognitive recovery after PAP for OSAHS (published in the past decade)

Sample

Total # (# men) OSAHS severity


Reference groups Age M (SD) M (SD) Study variables Key findings

Alchanatis et al. 83 OSAHS: AHI: Attention (selective and  The HI and NI OSAHS patient groups
(2005) 47 OSAHS (22 HI 47.3 (7.9) OSAHS: permanent), alertness did not differ with regard to OSAHS
HI, 20 NI) NI 50.3 (7.6) HI 62.8 (22.6) before PAP use and severity or sleepiness
36 healthy Controls: NI 69.6 (22.2) 1 year later  HI patients showed the same attention/
controls HI 49.3 (2.9) Controls: alertness performance compared with HI
(15 HI, 21 NI) NI 48.4 (4.1) HI 4.52 (1.4) controls suggesting a protective effect
NI 3.95 (1.72) against OSAHS cognitive decline
 NI patients showed deficits of reaction
time, and selective and permanent
attention decline compared with NI
controls
 At 1-year follow-up, neither patient
group showed any differences regarding
attention and alertness compared with
the control groups

Aloia et al. 12 64.8 (4.5) RDI: 51.2 (19.8) Attention, constructional  RDI at baseline was associated with
(2003) adherent abilities, motor speed, delayed verbal recall, while oxygen
45.9 (21.7) memory, language, desaturation was associated with both
nonadherent executive functioning delayed recall and constructional abilities
before and 3 months after  Compliant use of CPAP at 3 months was
CPAP associated with greater improvements in
attention, psychomotor speed, executive
functioning, and nonverbal delayed recall
 Attention measures predicted
compliance at 3 months

(Continued)

79
Table 1. Cognitive recovery after PAP for OSAHS (published in the past decade) (Continued)

80
Sample

Total # (# men) OSAHS severity


Reference groups Age M (SD) M (SD) Study variables Key findings

Aloia et al. 9 (5 men) 51.1 (9.3) AHI: 42.4 (28.2) Verbal working memory  Treatment effects on working memory-
(2009) during repeated fMRI related brain activity were significant,
under conditions of PAP with greater deactivation in the right
treatment (at least one posterior insula and overactivation in the
consecutive week) or right inferior parietal lobule
nontreatment (for two  The observed responses to PAP
consecutive nights) treatment withdrawal were more extreme
in all regions of interest, such that
memory-related activity increased and
memory-related deactivation decreased
further relative to the control task

Ancoli-Israel 52 older adults 78.6 (6.8) AHI: 29.8 (16.1) Attention/vigilance,  A comparison of pre- and posttreatment
et al. (2008) with Alzheimer's CPAP CPAP psychomotor speed, neuropsychological test scores after
disease (39 men) 77.7 (7.7) 26.9 (15.5) verbal episodic memory, 3 weeks of therapeutic CPAP compared
27 CPAP Placebo Placebo executive functioning to placebo PAP in both groups showed a
25 placebo pretreatment, at 3 and 6 significant improvement in cognition
weeks  Post hoc examination of change scores
for individual tests suggested
improvements in episodic verbal learning
and memory and some aspects of
executive functioning such as cognitive
flexibility and mental processing speed

Barbe et al. 54 54 (2) AHI: 54 (3) Attention, vigilance,  After 6 weeks of CPAP or placebo, there
(2001) 29 CPAP Adherence to memory, information were no significant changes in objective
25 Placebo CPAP 5.0 processing, visual–motor sleepiness, vigilance, attention, memory,
(0.4) h/day coordination information processing, or visual–motor
Quality of life, objective coordination between the groups
sleepiness
Bardwell (2001) 36 PAP 47 (1.9) RDI: Attention, constructional  Only 1/22 cognitive test scores showed
20 PAP Placebo 48 Placebo abilities, motor speed, significant changes specific to PAP
16 placebo (2.2) 43.6 (6.4) memory, language, treatment: Digit Vigilance-Time
PAP executive functioning (p ¼ 0.035). The PAP group improved
56.8 (5.4) their time (from 7.5 to 6.9 min. p ¼ 0.013)
 The rank-sum test revealed that the PAP
group had significantly better overall
cognitive functioning posttreatment than
the placebo group (mean ranks of 17.8
vs. 20.2, respectively; p ¼ 0.022)
Castronovo et al. 28 (all men) 42.15 (6.64) 50.14 (24.84) Working memory,  Compared to controls, never-treated
(2009) 14 OSAHS patients patients learning, recall, OSAHS patients showed increased
patients 43.93 (7.78) 349.36 (34.15) min/ recognition memory; activations in the left frontal cortex,
14 healthy controls night adherence executive functions medial precuneus, and hippocampus, and
controls (inhibition, selective decreased activations in the caudal pons
attention), vigilance,  OSAHS patients showed decreases in
sleepiness activation in the left inferior frontal gyrus
and anterior cingulate cortex, and
bilaterally in the hippocampus after PAP
compared to baseline suggesting a neural
compensation mechanism, which is
reduced by effective treatment
 Except for the Stroop test,
neurocognitive domains, impaired at
baseline, showed significant
improvement after 3 months of PAP

Cooke et al. 10 (7 men) 75.7 (5.9) AHI: Cognitive decline ,  Compared to the PAP group, the
(2009) 5 sustained PAP 1.6 (2.3) on PAP depressive symptoms, and PAPþ group showed less cognitive
users (PAPþ) Sustained CPAP daytime somnolence decline with sustained CPAP use,
5 discontinued use 13.3 month stabilization of depressive symptoms and
PAP (PAP) (5.2) daytime somnolence, and significant
improvement in subjective sleep quality

Felver-Gant et al. 56 (39 men) 52.8 (11.2) AHI: Working memory,  High adherers showed small
(2007) 41.4 (22.1) executive functioning, improvements in both tests of working
Average motor speed prior to PAP memory (2-back: F46 ¼ 4.73, p < 0.04;
adherence ¼ 4 and at 3 months PASAT: F46 ¼ 4.92, p < 0.04), whereas
(2.22) h/night low adherers performed evidence a
decline in scores over time
 There were no treatment effects for other
cognitive measures of executive
functioning, motor speed

Ferini-Strambi 23 OSAHS 56.52 (6.13) AHI Attention, vigilance,  At baseline, OSAHS patients had a
et al. (2003) patients (21 Patient memory, learning, verbal significant impairment, compared to
men) 54.9 (13.37) ability, executive controls, in tests of sustained attention,
23 controls functions, motor, and visuospatial learning, executive function,
constructional abilities, motor performance, and constructional
sleepiness, depressive abilities
symptoms

(Continued)

81
82
Table 1. Cognitive recovery after PAP for OSAHS (published in the past decade) (Continued)

Sample

Total # (# men) OSAHS severity


Reference groups Age M (SD) M (SD) Study variables Key findings

 After a 15-day PAP, attentive,


visuospatial learning, and motor
performances returned to normal levels
in 16 patients with adherence 5 h/night
 A 4-month PAP did not result in any
further improvement in cognitive tests
 Executive functions and constructional
abilities were not affected by short- and
long-term treatment with PAP

Lim et al. (2007) 46 46.7 (2.4) AHI: Attention, vigilance,  Pretreatment, OSAHS patients showed
17 CPAP PAP 63.5 (7.8), PAP working memory, diffuse impairments, particularly speed of
14 placebo 48.9 (3.2) 65.8 (8.2), Placebo executive functions, information processing, attention, and
15 oxygen placebo 58.6 (8.3), Oxygen psychomotor working memory, executive functioning,
47.1 (2.3) performance, speed of learning, and memory, alertness, and
oxygen information processing, sustained attention
global cognitive score  There was no significant
Time  Treatment interaction for the
global deficit score. When examining
individual neuropsychological test scores,
two thirds of them improved with time
regardless of treatment, although only
Digit Vigilance-Time (p ¼ 0.020) showed
significant improvement specific to
CPAP treatment
 2 weeks of CPAP or oxygen-
supplementation treatment was
insufficient to show overall beneficial
cognitive effects, as compared with
placebo-CPAP. However, 2 weeks of
CPAP treatment might be helpful in
terms of speed of information processing,
vigilance, or sustained attention and
alertness
Munoz et al. 160 patients (156 49 (1) AHI: Vigilance, reaction time,  Before treatment, OSAHS patients were
(2000) men) OSAHS 60 (2) OSAHS daytime sleepiness, significantly more somnolent, anxious,
80 OSAHS 46 (1) control patients depression, and anxiety at and depressed and had a longer reaction
80 healthy baseline and time and poorer vigilance relative to
controls 12  1 months controls
 The use of CPAP improved significantly
the levels of somnolence (p < 0.0001) and
vigilance (p < 0.01), but failed to modify
anxiety and depression

O'Donoghue 51 (all men) 45.7 (10.1) AHI: T1-weighted brain  No areas of gray matter volume change
et al. (2005) 27 OSAHS OSAHS 71.7 (17.0) imaging in a high- were found in OSAHS patients relative
patients 43.3 (9.4) OSAHS resolution MRI pre-PAP, to controls and no differences were seen
24 controls controls 5.9 (4.7) controls at 6 months in bilateral hippocampal, temporal lobe,
or whole brain volumes, assessed by
manual tracing of anatomical borders
 No longitudinal changes were seen in
gray matter density or regional volumes
after PAP treatment, but whole brain
volume decreased slightly without focal
changes after 6 months of continuous
PAP

Sweet et al. 10 (6 men) 51.1 (9.3) AHI: 42.4 (28.2) Working memory,  Compared to the treatment adherent
(2010) sleepiness baseline, significant memory-related
fMRI following regular deactivation was observed during the
CPAP use, and after two PAP withdrawal condition
nights of CPAP  The magnitude of deactivation during
withdrawal withdrawal was significantly associated
with better working memory
performance in the posterior cingulate
and right postcentral gyrus, and greater
sleepiness in the left and right medial
frontal gyrus

Thomas et al. 32 Verbal working memory  Working memory speed in OSAHS


(2005) 16 OSAHS task and fMRI to map patients was significantly slower than in
16 healthy cerebral activation controls, and a group average map
controls showed absence of dorsolateral
prefrontal activation, regardless of
nocturnal hypoxia

(Continued)

83
84
Table 1. Cognitive recovery after PAP for OSAHS (published in the past decade) (Continued)

Sample

Total # (# men) OSAHS severity


Reference groups Age M (SD) M (SD) Study variables Key findings

 After treatment, resolution of subjective


sleepiness contrasted with no significant
change in behavioral performance,
persistent lack of prefrontal activation,
and partial recovery of posterior parietal
activation, suggesting that working
memory may be impaired in OSAHS and
that this impairment is associated with
disproportionate impairment of function
in the dorsolateral prefrontal cortex
 Nocturnal hypoxia may not be a
necessary determinant of cognitive
dysfunction, and sleep fragmentation
may be sufficient

Weaver et al. 149 (87% men) 46.8 (8.8) 64.1 (29.1) Sleepiness (subjective,  There were significant differences in
(2007) objective), functional mean nightly PAP duration between
status treatment responders and nonresponders
Pretreatment, after with regard to sleepiness and daily
3 months of PAP use functioning
 Thresholds above which further
improvements were less likely relative to
nightly duration of CPAP were identified
for Epworth Sleepiness Scale score (4 h),
Multiple Sleep Latency Test (6 h), and
Functional Outcomes associated with
Sleepiness Questionnaire (7.5 h)
 A linear dose-response relationship
(p < 0.01) between increased use and
achieving normal levels was shown for
daytime sleepiness, but only up to 7 h of
PAP use for functional status
Zimmerman 58 (49 men) 48.1 (10.1) 46.1 (27.9) Verbal memory prior to  Logistic regression analyses revealed that
et al. (2006) PAP use: the initiation of PAP the odds of optimal users exhibiting
14 poor treatment and at 3 normalization of memory function
25 moderate 19 months of PAP following 3 months of PAP therapy were
optimal users 7.9 times (p ¼ 0.01) the odds of poor
users exhibiting normalization of
memory abilities
 Overall, 21% of poor users, 44% of
moderate users, and 68% of optimal
users exhibited memory performance in
the clinically normal range following
3 months of PAP use (w(2) ¼ 7.27;
p ¼ 0.03)
 These preliminary findings indicate that
impaired verbal memory performance in
patients with OSA may be reversible
with optimal levels of PAP treatment.
OSA patients exhibiting verbal memory
impairments may experience a clinically
meaningful benefit in their memory
abilities when they use PAP for at least
6 h/night

M (SD), means (standard deviation); OSAHS, obstructive sleep apnea and hypoxia syndrome; HI, high intelligence; NI, normal intelligence; AHI, apnea/hypopnea index; RDI,
respiratory disturbance index; fMRI, functional magnetic resonance imaging.

85
86

Conclusions and future directions Aloia, M. S., Ilniczky, N., Di, D. P., Perlis, M. L.,
Greenblatt, D. W., & Giles, D. E. (2003). Neuropsychologi-
cal changes and treatment compliance in older adults with
In this brief review, the mechanisms of neuro- sleep apnea. Journal of Psychosomatic Research, 54, 71–76.
behavioral dysfunction in OSAHS, and remit- Aloia, M. S., Sweet, L. H., Jerskey, B. A., Zimmerman, M.,
tance of these deficits through PAP treatments Arnedt, J. T., & Millman, R. P. (2009). Treatment effects
have been discussed. Recent publications suggest on brain activity during a working memory task in obstruc-
distinct but not mutually exclusive deficits in mul- tive sleep apnea. Journal of Sleep Research, 18, 404–410.
American Thoracic Society (1994). Indications and standards
tiple cognitive domains. There have been exciting for use of nasal continuous positive airway pressure (CPAP)
new models outlining the mechanisms of cogni- in sleep apnea syndromes. American Journal of Respiratory
tive deficits in OSAHS, and findings based on and Critical Care Medicine, 150, 1738–1745.
advanced neuroimaging methods. It appears that Ancoli-Israel, S., Palmer, B. W., Cooke, J. R., Corey-
the cognitive dysfunction of OSAHS is not likely Bloom, J., Fiorentino, L., Natarajan, L., et al. (2008). Cogni-
tive effects of treating obstructive sleep apnea in
to be due to a single mediating mechanism, nor Alzheimer’s disease: A randomized controlled study. Jour-
is it pervasive across all patients. There has been nal of the American Geriatrics Society, 56, 2076–2081.
growing evidence for the effect of potential Antczak, J., Popp, R., Hajak, G., Zulley, J., Marienhagen, J.,
moderating factors. For example, studies have & Geisler, P. (2007). Positron emission tomography findings
demonstrated that high cognitive reserves may in obstructive sleep apnea patients with residual sleepiness
treated with continuous positive airway pressure. Journal
spare some OSAHS patients from developing of Physiology and Pharmacology, 58(Suppl. 5), 25–35.
cognitive problems (Alchanatis et al., 2005). Archbold, K. H., Borghesani, P. R., Mahurin, R. K.,
Future research should attempt to identify Kapur, V. K., & Landis, C. A. (2009). Neural activation
these moderators for cognitive dysfunction in patterns during working memory tasks and OSA disease
OSAHS and to highlight the mechanisms of severity: Preliminary findings. Journal of Clinical Sleep Med-
icine, 5, 21–27.
dysfunction by cognitive domain. Finally, as our Ayalon, L., Ancoli-Israel, S., & Drummond, S. P. (2009).
knowledge of the physiological consequences of Altered brain activation during response inhibition in obstruc-
OSAHS increases, cognitive research should try tive sleep apnea. Journal of Sleep Research, 18, 204–208.
to develop parsimonious theories of cognitive Ayalon, L., Ancoli-Israel, S., Aka, A. A., McKenna, B. S., &
dysfunction that incorporate these physiological Drummond, S. P. (2009a). Relationship between obstructive
sleep apnea severity and brain activation during a sustained
mechanisms. attention task. Sleep, 32, 373–381.
Barbe, F., Mayoralas, L. R., Duran, J., Masa, J. F.,
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