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Obstructive Sleep Apnea and the Adult

Perioperative Patient
Dennis L. Spence, NC, USN, PhD, CRNA, Tony Han, MC, USN,
Jason McGuire, NC, USN, PhD, CRNA, Darren Couture, NC, USN, PhD, CRNA

Obstructive sleep apnea (OSA) is a chronic condition of upper airway


obstruction during sleep. It is associated with significant morbidity and
mortality and increases the perioperative risks of surgical patients.
Thus, it is essential that perianesthesia nurses understand how to identify
and manage patients with known or suspected OSA. This continuing ed-
ucation article will review the pathophysiology of OSA, discuss the effects
of anesthesia and opioids on the sleep architecture of the OSA patients,
describe the effects of OSA on postoperative complications, review the lat-
est evidence on screening for undiagnosed OSA in the adult surgical pa-
tient, and review the perioperative management principles for patients
with OSA.
Keywords: anesthesia, obstructive sleep apnea, opioids, postoperative
complications.
Published by Elsevier Inc. on behalf of American Society of PeriAnesthesia
Nurses

OBJECTIVES—(1). IDENTIFY THE pathophysi- OSA is a chronic condition characterized by


ology of obstructive sleep apnea (OSA); (2). frequent episodes of partial or complete upper
Discuss the effects of anesthesia and opioids on airway obstruction that occur during sleep. These
the sleep architecture of the OSA patients; (3). frequent obstructions result in three major effects,
Describe the effects of OSA on postoperative com- recurrent oxyhemoglobin desaturations, sleep
plications; (4). Discuss the latest evidence on fragmentation, and increased fluctuations in intra-
screening for undiagnosed OSA in the adult surgi- thoracic pressure. Over time, these effects are in
cal patient; (5). Discuss the perioperative manage- turn associated with significant morbidity and mor-
ment principles for patients with OSA. tality.1-7 OSA is defined by an apnea/hypopnea

CDR Dennis L. Spence, NC, USN, PhD, CRNA, is the Regional PhD, CRNA, is the Clinical Site Research Director for the Uni-
Director of Nursing Research for the Navy Medicine West formed Services University of the Health Sciences, Nurse Anes-
Region and an Adjunct Associate Professor, Uniformed thesia Program at the Walter Reed National Military Medical
Services University of the Health Sciences, Daniel K. Inouye Center, Bethesda, MD, Assistant Professor, Uniformed Services
Graduate School of Nursing, Bethesda, MD, and Staff Nurse University of the Health Sciences, Daniel K. Inouye Graduate
Anesthetist, Naval Medical Center San Diego, San Diego, CA; School of Nursing, Bethesda, MD, and Staff Nurse Anesthetist,
CAPT Tony Han, MC, USN, is board certified in Internal Medi- Walter Reed National Military Medical Center, Bethesda, MD.
cine, Pulmonary/Critical Care, and Sleep Medicine and the Conflict of interest: None to report.
Director of the Sleep Laboratory, Naval Medical Center San Address correspondence to Dennis L. Spence, Naval Medical
Diego, San Diego, CA; CDR Jason McGuire, NC, USN, PhD, Center San Diego, 34800 Bob Wilson Drive, San Diego, CA
CRNA, is the Regional Director of Nursing Research for the 92134; e-mail address: dennis.l.spence.mil@mail.mil.
National Capital Region and an Adjunct Assistant Professor, Published by Elsevier Inc. on behalf of American Society of
Uniformed Services University of the Health Sciences, Daniel PeriAnesthesia Nurses
K. Inouye Graduate School of Nursing, Bethesda, MD, and 1089-9472/$36.00
Staff Nurse Anesthetist, Walter Reed National Military Medical http://dx.doi.org/10.1016/j.jopan.2014.07.014
Center, Bethesda, MD; and CDR Darren Couture, NC, USN,

528 Journal of PeriAnesthesia Nursing, Vol 30, No 6 (December), 2015: pp 528-545


OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 529

index (AHI) greater than or equal to 5 with or higher airflow velocity, which lowers the intralu-
without daytime sleepiness. Moderate OSA is an minal pressure and contributes to collapse of the
AHI between 15 and 29; severe is an AHI greater upper airway during sleep. Another mechanism
than or equal to 30. Higher rates of OSA are found promoting airway collapse is decreased neuromus-
in obese patients and with older age. cular tone of the dilator muscles (muscles that
keep the airway open), which occurs during sleep,
In the United States, 14% of men and 4% of women and loss of airway dilator reflexes, which normally
have OSA, and it is estimated that 12 to 18 million activate during inspiration.
adults have undiagnosed OSA.8,9 Patients with
severe OSA have higher mortality rates compared Normal sleep architecture in adults is character-
with those without OSA. Young et al9 found that ized by alternating cycles of rapid eye movement
65% of patients who died during the 18-year (REM) and non-REM sleep (three stages). The
follow-up period in the Wisconsin Sleep Cohort REM periods begin 60 to 120 minutes into sleep
Study had undiagnosed OSA (mortality and become longer in duration during successive
rate 5 7.9%). The incidence of undiagnosed OSA cycles throughout the night. There are typically
in surgical patients has been reported as between three to five REM sleep cycles during the night.
21% and 28%.10,11 OSA is associated with Stage 3 non-REM sleep is the deepest stage and pro-
significant comorbidities and increased risk of vides the physically restorative effects of sleep. It is
perioperative complications.5-7,12 What is prominent early in the night and regulated by
alarming to nurses is that in one study, 92% of homeostatic factors. REM sleep is associated with
surgeons and 60% of anesthesia providers failed loss of motor tone and active desynchronized elec-
to identify patients with pre-existing or undiag- troencephalogram (EEG) activity. It is regulated by
nosed moderate-to-severe OSA.13 In community- circadian factors and occurs mostly in the early
dwelling adults (nonsurgical patients), screening morning. OSA tends to be worse during REM sleep.
based simply on gender or obesity tends to miss REM sleep also plays a role in mental recovery and
the presence of OSA.14 Given the high prevalence maintenance.23 Obstructive events have also been
of both diagnosed and undiagnosed OSA in surgi- found to be worse during stage 3 non-REM sleep.
cal patients, it is essential that perianesthesia
nurses have a firm understanding of OSA and During sleep, there is decreased neuromuscular
how to identify patients at risk. tone and compensation of airway dilator muscles
with inspiration. These factors may predispose to
The objectives of this continuing education article airway collapse in OSA patients. During REM
are to (1) review the pathophysiology of OSA, (2) sleep, there is further decrease of muscle tone
discuss the effects of anesthesia and opioids on because of paralysis of skeletal muscles, sparing
the sleep architecture of OSA patients, (3) the eye muscles and diaphragm.15,24 Loss of tone
describe the effects of OSA on postoperative com- of the genioglossus muscle and tensor palatini
plications, (4) review the latest evidence on allows the tongue and upper airway to collapse
screening for undiagnosed OSA in the adult surgi- resulting in obstructed airflow. Clinical signs
cal patient, and (5) review the perioperative man- include loud snoring and witnessed apnea and/or
agement principles for patients with OSA. hypopnea. Obstructive apnea is defined as a
cessation or decreased airflow of greater than or
Pathophysiology of OSA equal to 90% of baseline for greater than or equal
to 10 seconds and is associated with continued
An obstructive apnea is defined as the absence of or increased inspiratory effort. The definition of
airflow for at least 10 seconds despite ventilatory hypopnea is variable, but it generally is defined
efforts (Figure 1). Magnetic resonance imaging of as decreased airflow of 30% to 50% that is
patients with OSA has demonstrated anatomically associated with a 3% to 4% reduction in oxygen
narrower pharyngeal airways secondary to deposi- desaturation compared with baseline.
tion of excess adipose tissue located in the uvula,
tonsillar pillars, tongue, and lateral pharyngeal During obstructive respiratory events, increased
walls when compared with matched controls ventilatory efforts result in EEG microarousals
(Figure 2).22 Decreased airway size results in and may lead to significant sleep fragmentation
530 SPENCE ET AL

Figure 1. Proposed conceptual framework for anesthesia and obstructive sleep apnea. (2) decreased; (1)
increased; (11) moderately increased; and (111) significantly increased. Framework based on understanding
of the pathophysiology of OSA and known effects of anesthetic agents, surgery, and opioids on OSA.4,7,15-21 OSA,
Obstructive sleep apnea; PACU, postanesthesia care unit; ICU, intensive care unit; REM, rapid eye movement
sleep; AHI, apnea/hypopnea index; LSAT, lowest oxygen saturation; T90 & T85, time with SPO2 less than 90% &
85%; STOP-BANG, Snoring, Tiredness, Observed apnea, high blood Pressure, Body mass index greater than
35 kg/m2, Age older than 50, Neck circumference greater than 40 cm, and male Gender; POD, postoperative day.
This figure is available in color online at www.jopan.org.

and poor sleep quality. These arousals rarely result function, increased risk for automobile accidents,
in complete awakening but have a negative effect and sudden cardiac death (Table 1).1-3,25-27
on restorative sleep and contribute to daytime
sleepiness. The arousals result in increased muscle Polysomnography (PSG) (sleep study) is the gold
tone and restoration of airflow with return to standard for the diagnosis of OSA.28,29 Attended
sleep. Patients are generally unaware of these and unattended sleep studies are both approved
events although they may be noted by the bed part- by the Centers for Medicare and Medicaid for the
ner. Moderate-to-severe OSA has been demon- diagnosis of OSA. Unattended sleep studies
strated to increase the incidence of hypertension. typically do not record EEG data to characterize
It is associated with increased strokes, increased sleep stages. OSA is defined as an AHI greater
atrial fibrillation, and reduced left ventricular func- than or equal to 5 with associated symptoms,
tion in heart failure. It is associated with hypergly- such as daytime sleepiness, fatigue, or impaired
cemia in diabetic patients, impaired cognitive cognition, or an AHI greater than or equal to 15
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 531

Figure 2. Comparison of normal and OSA subject airway. Volumetric reconstructions from a series of 3-mm
contiguous axial magnetic resonance images of the mandible (gray), tongue (orange/rust), soft palate (purple),
lateral parapharyngeal fat pads (yellow), and lateral/posterior pharyngeal walls (green) in a weight-matched normal
subject (top) and patient with sleep apnea (bottom), both with an elevated BMI (32.5 kg/m2). Note that the airway is
larger in the normal subject than in the apneic subject. The tongue, soft palate, and lateral pharyngeal walls are larger
in the patient with sleep apnea.22 BMI, body mass index. Reprinted with permission of the American Thoracic
Society. Ó 2014 American Thoracic Society. This figure is available in color online at www.jopan.org.

without associated symptoms. The AHI is used to equal to 15 moderate, and greater than or equal
define the severity of OSA, with an AHI greater to 30 severe OSA, respectively. It is important
than or equal to 5 indicating mild, greater than or that perianesthesia nurses understand and are

Table 1. Coexisting Diseases/Symptoms Associated With OSA


Cardiovascular Neuropsychological Endocrine/Other

 HTN  Daytime somnolence  Glucose intolerance and diabetes


 Arrhythmias:  Cognitive impairment  Obesity
B Atrial fibrillation  Accident proneness  Gastroesophageal reflux disease
B Bradycardia  Anxiety  Potential difficult airway
B Atrioventricular block  Depression
 Coronary artery disease
 Nocturnal angina
 Myocardial infarction
 Congestive heart failure
 Cerebral vascular disease
 Pulmonary HTN
 Sudden cardiac death
OSA, obstructive sleep apnea; HTN, hypertension.
532 SPENCE ET AL

able to interpret the findings of PSG studies been found to suppress REM sleep (airway
because the results will allow them to determine obstruction is most common during REM sleep),
their patients’ OSA severity, and this may have yet increase the severity and duration of moderate
implications for nursing management during the hypoxemia (oxygen saturations between 81% and
perioperative period (Table 2). 90%), increase the number of central apneas, and
contribute to postoperative complications
Effects of Anesthesia/Opioids on OSA (Figure 3).5,15 However, REM sleep suppression
Sleep Architecture the first postoperative night is followed by REM
sleep rebound approximately 3 to 5 days after
Patients with OSA have increased sensitivity to the surgery, resulting in possible worsening of
respiratory depressant effects of anesthetic obstructive symptoms.19-21,31 Liao et al20 reported
agents.30 Additionally, opioids and surgery have that patients with OSA (AHI greater than or equal

Table 2. Common Sleep-Disordered Breathing and PSG Terminology


Sleep Study Terms Definition
OSA A form of sleep-disordered breathing characterized by partial or complete upper airway
obstruction during sleep. Often associated with snoring, witnessed apnea, impaired
cognition, and daytime sleepiness because of reduced restorative sleep (ie, REM sleep and
stage 3 non-REM sleep)
Parameters Type of study (attended or unattended), device (ie, type 3), and parameters measured: snoring,
oral/nasal thermal sensor, nasal air pressure transducer, thoracic and abdominal respiratory
effort (using inductance plethysmography), oxygen saturation, heart rate, and body position.
For attended sleep studies, stages of sleep will be based on EEG results
AHI The number of apnea and hypopneas per hour of sleep. Used to classify OSA severity:*
Mild OSA: 5 to 14
Moderate OSA: 15 to 29
Severe OSA: $30
RDI For attended PSG, apneas, hypopneas, and RERA are added and divided by sleep time
For portable tests (home unattended), it is the number of apneas and hypopneas divided by
recording time
LSAT The lowest oxygen saturation measured during study. Also reported as minimum oxygen
saturation or nadir
T90 & T85 Total duration of measured sleep time with an SPO2 , 90% and 85%
Obstructive apnea Defined by the absence of airflow despite persistent ventilatory efforts, demonstrated by chest
or abdominal wall movements. Measured as a drop in peak thermal sensor excursion by $90%
of the baseline, lasting at least 10 seconds with continued or increased inspiratory effort.
Reported as number of events during the sleep study
Central apnea Central apnea is the absence of airflow because of the lack of ventilatory effort. Measured as a
drop in peak thermal sensor excursion by $90% of the baseline, lasting at least 10 seconds
without inspiratory effort. Reported as number of events during sleep study
Mixed apnea Includes both central and obstructive components with an initial central component followed
by the obstructive component. Measured as a drop in peak thermal sensor excursion by $90%
of the baseline, lasting at least 10 seconds without inspiratory effort in the initial portion of the
event, followed by resumption of inspiratory effort in the second portion of the event.
Reported as number of events during sleep study
Other data For attended sleep studies, the stages and total sleep time will be reported (REM and non-REM).
Cardiac data reported includes highest, lowest, and average heart rate, body position, snoring,
and ECG rhythm
PSG, polysomnography; OSA, obstructive sleep apnea; REM, rapid eye movement; EEG, electroencephalogram; AHI,
apnea/hypopnea index; RDI, respiratory disturbance index; RERA, respiratory effort-related arousal; LSAT, lowest oxy-
gen saturation; T90 & T85, time with SPO2 less than 90% & 85%.
*Centers for Medicare and Medicaid diagnostic criteria for OSA are an AHI $5 with or without associated symptoms of
daytime sleepiness, fatigue, impaired cognition, or an AHI $15 without associated symptoms.
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 533

knee arthroplasty under spinal anesthesia with


postoperative continuous nerve block and no
opioid administration until postoperative day 3.
They found that REM sleep decreased 8% on post-
operative night 1 when compared with the preop-
erative PSG taken 1 day before surgery (P 5 .02;
Figure 4). On postoperative day 5, REM rebound
occurred and REM sleep increased 10% when
compared with postoperative night 1 (P 5 .01).
The median number of oxygen desaturations of
greater than or equal to 4% per hour of sleep
Figure 3. Effects of remifentanil infusion on decreased from 7.8 events/hour to 3.4 events/
oxygen saturations in patients with msoderate OSA. hour on postoperative night 1 (presumably
Remifentanil is an ultra-short-acting opioid infusion. because of decreased REM sleep and lack of opioid
Compared with moderate OSA patients’ baseline pol- administration) and then increased to 14.8 events/
ysomnography, the severity and duration were signif- hour on postoperative night 5. There was a posi-
icantly greater during the remifentanil infusion. SaO2, tive correlation between the increase in REM sleep
oxygen saturation. Figure created from data pub- between postoperative nights 1 and 5 and pain
lished by Bernards et al15 (Reprinted with permission
scores at rest (r 5 0.62, P 5 .01). This suggests
from Anesthesia Abstracts.). This figure is available in
that patients with more pain had a more profound
color online at www.jopan.org.
REM rebound.21 The combination of REM rebound
and opioid administration may have contributed to
to 5) undergoing surgery under general anesthesia the more frequent oxygen desaturations seen on
had a significantly slower recovery of REM sleep postoperative day 5. These findings are significant
and significantly increased AHI and oxygen desatu- because perianesthesia nurses suspect that the
ration index on postoperative day 3 when greatest risk for OSA patients is in the first 24 hours.
compared with their preoperative sleep study. However, these results suggest that nurses should
Chung et al19 found, regardless of the type of anes- also be concerned about worsening obstructive
thesia (regional, monitored anesthesia care, or gen-
eral anesthesia) or surgery (minor or major), that
obstructive events (as measured by AHI) increased
in non-OSA and patients with mild and moderate
OSA on postoperative night 1. Obstructive events
peaked on postoperative night 3 in non-OSA and
in all OSA patients; in patients with severe OSA,
the AHI decreased from 45 events/hour preopera-
tively to 40 events/hour on postoperative night 1
but then increased to 65 events/hour on postoper-
ative night 3. Older patients with more severe pre-
operative OSA and higher postoperative opioid
requirements had more obstructive events postop- Figure 4. Percent REM sleep and ODI 4%. Results
eratively. An increased amount of slow wave sleep are given as median (interquartile range). ODI 4% is
(obstructive events occur less often during slow the number of oxygen desaturation events of greater
wave sleep) and major surgery were associated than or equal to 4%. There was a significant decrease
with decreased obstructive events postoperatively in percent REM sleep between preoperative night 1
and postoperative night 1 (P 5 .02) and significantly
(lower AHI). Given the frequent awakenings for vi-
higher percent REM sleep on postoperative night 5
tal signs and laboratory draws, it is not surprising
when compared with postoperative night 1
that major surgery was associated with reduced (P 5 .01). REM, rapid eye movement; ODI, oxygen
postoperative obstructive events. desaturation index. Figure created from results pub-
lished by Dette et al21 (Reprinted with permission
Dette et al21 evaluated the occurrence of REM from Anesthesia Abstracts). This figure is available
sleep suppression in patients undergoing total in color online at www.jopan.org.
534 SPENCE ET AL

symptoms and postoperative complications up to pain-sedation mismatch (Richmond Agitation


72 hours and beyond when REM rebound occurs. sedation scale score indicating moderate or
REM rebound may also contribute to increased deep sedation or unarousable, plus a pain score
sympathetic activity and is speculated to greater than 5; only one episode needed for an
contribute to postoperative cardiac events.32 yes). Gali et al33 found that patients who were
at high risk for OSA and experienced recurrent
OSA and Postoperative Complications PACU respiratory events were 13 times more
likely to experience a postoperative complication
OSA is associated with an increased incidence of (ie, unplanned ICU admission, need for respira-
difficult intubation, postanesthesia care unit tory therapy, continuous positive airway pressure
(PACU) length of stay, unplanned intensive care [CPAP] therapy, electrocardiographic changes).
unit (ICU) admission, and respiratory, pulmonary, This is one of the few published studies that
and cardiovascular complications during the peri- examined PACU respiratory events as predictors
operative period.5-7,33 Gupta et al5 conducted of postoperative respiratory complications in
one of the first studies on postoperative complica- OSA patients. It provides evidence demonstrating
tions in OSA patients undergoing total knee arthro- the usefulness of a PACU protocol that may help
plasty. The incidence of postoperative perianesthesia nurses identify which patients
complications in OSA patients was 39% vs 18% in may need a higher level of care postoperatively.
the control group (P 5 .001); serious complica-
tions, such as ICU admission, cardiac events, or Hwang et al34 examined the association of sleep-
need for intubation, were also significantly higher disordered breathing (OSA) with postoperative
in the OSA group (24% vs 9%, P 5 .004). Hospital complications. At their institution, a two-step
length of stay was approximately 2 days longer in screening process to identify patients at risk for
OSA patients (P 5 .03). What is significant to OSA was completed on all patients. If patients
nurses is that approximately one-third of OSA pa- had at least two clinical features of OSA, they
tients experienced complications between 24 were selected for a home nocturnal oximetry
and 72 hours after surgery. REM rebound occurs study before surgery (eg, snoring, excessive day-
between 48 and 72 hours after surgery; therefore, time somnolence, witnessed apnea, or crowded
these findings suggest that nurses should be con- oropharynx). They calculated the oxygen desatu-
cerned about the occurrence of complications in ration index greater than or equal to 4%; mild
OSA patients up to 72 hours after surgery. It is OSA was defined as 5 to 20, moderate 20 to 40,
important to note that this study included patients and severe greater than 40 events per hour from
who had surgery between 1995 and 1998. The the oximetry studies. They then evaluated the inci-
awareness of the perioperative implications of dence of postoperative complications, such as
OSA was much less during this period. However, hypoxemia, need for oxygen therapy, atelectasis,
results of this study highlight the importance of or adverse events affecting a major organ system
communication between perianesthesia and that required further monitoring or diagnostic
medical-surgical nurses on patients’ comorbidities testing. Hwang et al34 found that patients with an
during patient handoffs. oxygen desaturation index greater than or equal
to 5 (suspected OSA) were 7.2 times more likely
Gali et al33 examined the relationship between to experience a postoperative complication (95%
recurrent PACU respiratory events and OSA. At confidence interval [CI], 1.5 to 33, P 5 .012).
their institution, OSA patients who experienced The most common complication was hypoxemia.
recurrent PACU respiratory events during the This study was novel in that it demonstrated a stan-
90 minutes after admission had to be admitted dardized preoperative screening process that
overnight to their intermediate care unit with incorporated that oximetry testing could identify
continuous pulse oximetry monitoring for up to patients at risk for OSA-related complications.
48 hours. Recurrent events included bradypnea
(less than eight respirations), apnea greater than Liao et al35 found that patients with OSA had a
or equal to 10 seconds, oxygen desaturations higher incidence of coexisting diseases, difficult
less than 90% despite being on nasal cannula intubation (OSA vs non-OSA: 20% vs 10%,
oxygen (three episodes needed for yes), and P 5 .003), and were almost two times more likely
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 535

to experience a postoperative complication such (odds ratio [OR], 1.9; P , .02), pulmonary embo-
as hypoxemia (44% vs 28%, P , .01). A concern lism (OR, 2.1; P 5 .001), and increased costs
for nurses was that most complications occurred ($61,044 vs $58,813, P , .01) after total joint ar-
after the patients were transferred to the ward throplasty.37
when monitoring was less frequent (25% vs
16%). These results highlight the importance of In contrast, Mokhlesi et al38 examined 91,028
an ensuring information about the patient’s OSA (OSA 5 33,196 vs non-OSA 5 57,832) patients un-
history communicated to ward nurses during pa- dergoing bariatric surgery and found that diag-
tient handoffs and suggest that patients with OSA nosed OSA was associated with a 0.34 times
may need a higher level of monitoring for respira- lower odds of in-hospital death (OR, 0.34; 95%
tory complications postoperatively (ie, continuous CI, 0.23 to 0.50). Patients with OSA were 4.4 times
pulse oximetry [SPO2] or end-tidal carbon dioxide more likely to require emergent tracheal intuba-
[ETCO2]). tion and mechanical ventilation (95% CI, 3.97 to
4.77), 14 times more likely to require postopera-
In the largest study to date, Memtsoudis et al6 tive CPAP (95% CI, 12.1 to 16.5), and atrial fibrilla-
examined more than three million records of US tion was more common (OR, 1.3; 95% CI, 1.1 to
patients undergoing general and orthopaedic sur- 1.4). A significantly higher proportion of patients
gery (ie, total knee and hip arthroplasty). Mem- in the OSA group required emergent intubation
tsoudis et al6 confirmed that patients with OSA and mechanical ventilation on the day of surgery
are at high risk for experiencing serious postoper- or the first postoperative day as compared with
ative pulmonary complications (aspiration pneu- non-OSA patients (90% vs 63%, P , .001). Out-
monia, adult respiratory distress syndrome, comes were much worse in non-OSA patients
postoperative intubation, pulmonary embolism, who required emergent intubation. In this study,
and aspiration). Memtsoudis et al6 found that the bariatric patients with OSA were intubated earlier
prevalence of diagnosed OSA almost doubled be- in the postoperative period compared with non-
tween 1998 and 2007 (prevalence: general surgery OSA patients, and thus their prognosis was better.
1.7%; orthopedic surgery 2.5%); this could be The reason for the lower in-hospital mortality may
because of increasing obesity and/or awareness have been because providers and nurses taking
of the problem. They also found that patients care of bariatric patients with OSA were more vigi-
with OSA tended to be older and sicker (ie, higher lant and had guidelines (ie, use of CPAP, use of
American Society of Anesthesiologists [ASA] class). pulse oximetry) for their postoperative manage-
It is important to point out that the study only ment. It is possible some of the patients in the
examined patients with diagnosed OSA; therefore, non-OSA group may have had undiagnosed OSA.
the results may underestimate the true incidence
of OSA in these populations. However, it does indi- As can be seen from this review of the literature,
cate that OSA prevalence is higher in orthopaedic virtually every one of these studies found higher
patients undergoing joint replacement. The results rates of postoperative complications in patients
also suggest that OSA may be associated with se- with OSA. The most common complication was
vere postoperative pulmonary complications. respiratory, especially hypoxemia. This is not sur-
prising given that patients with OSA are more sen-
In a follow-on study, Memtsoudis et al36 compared sitive to anesthetic agents and postoperative
neuraxial anesthesia alone, to a combination of opioids and thus are more likely to experience
neuraxial anesthesia plus general anesthesia, to hypoxemia and worsening of their obstructive
general anesthesia alone and found that 16% to symptoms. However, serious complications were
18% of OSA patients undergoing total knee and reported. A limitation of the studies reviewed is
hip arthroplasty (N 5 30,024) experienced a major that most were retrospective and thus prone to
complication; however, complication rates were bias. Conducting large prospective trials, including
lower in those who received neuraxial anesthesia randomized controlled trials, are difficult to com-
alone or combined with general anesthesia when plete, and very large sample sizes are needed to
compared with general anesthesia alone. Other in- detect differences in serious complication rates
vestigators have also determined that patients with (ie, in-hospital mortality). Despite these limita-
OSA have higher rates of in-hospital mortality tions, the overwhelming evidence demonstrates
536 SPENCE ET AL

that known or suspected OSA, especially when Table 3. OSA Risk Reduction Precautions
moderate to severe, increases the risk of perioper-
ative complications. These results suggest that  Identify patients with known or suspected OSA (use
OSA (known or suspected) may require a higher STOP-BANG score $3) (consider moderate to severe
level of care postoperatively. OSA if score $5)
 Minimize preoperative sedation
 Prepare for possible difficult airway
Preoperative Screening for OSA
 Minimize use of long-acting opioids.
Given the high rate of postoperative complications  Nonopioid techniques preferable. Consider multi-
associated with OSA, it is essential that health care or- modal analgesic techniques and regional anesthesia
ganizations support protocols and that nurses as well when possible
as others on the perioperative team participate in the  Use short-acting inhaled or intravenous anesthetics
development and implementation of protocols for (ie, desflurane, sevoflurane, propofol)
identifying patients with diagnosed and undiagnosed intraoperatively
moderate-to-severe OSA to enable implementation  Ensure patient is fully conscious and cooperative and
of perioperative OSA risk reduction precautions has full reversal of neuromuscular blockade before
(Table 3).39-42 Current recommendations suggest extubation
that patients suspected of having moderate-to-  Use the nonsupine position for recovery
severe OSA with comorbidities suggestive of long-  Resume CPAP therapy in patients with OSA
standing OSA (uncontrolled hypertension, heart fail-  Consider initiating CPAP postoperatively if noncom-
ure, arrhythmias, cerebrovascular disease, morbid pliant with preoperative CPAP, or if patient has severe
obesity, and metabolic syndrome) and in need of ma- OSA, or experiences recurrent PACU respiratory
jor elective surgery should be referred for preopera- events
tive PSG and possible treatment with CPAP  Consider extended care in a monitored bed with
therapy.39,40,43 Patients with suspected or known continuous ETCO2 and/or SPO2 for moderate-to-
mild OSA typically do not always require severe OSA if postoperative opioids required and/or
preoperative CPAP and can be managed with OSA for recurrent PACU respiratory events
risk reduction precautions (Table 3). CPAP is the  Educate surgeon, patient, and family of how to
treatment of choice for OSA because it helps stent monitor for respiratory events postoperatively
the airways open during sleep and reduces nocturnal OSA, obstructive sleep apnea; SPO2, pulse oximetry/
hypoxemia and AHI, decreases daytime sleepiness, oxygen saturation; STOP-BANG, Snoring, Tiredness,
and improves comorbidities such as hypertension Observed apnea, high blood Pressure, Body mass index
and obesity.44 Unfortunately, it is difficult for many greater than 35 kg/m2, Age older than 50, Neck circum-
patients with suspected OSA to obtain a sleep study ference greater than 40 cm, and male Gender; CPAP,
to confirm the diagnosis and become compliant pre- continuous positive airway pressure; ETCO2, end-tidal
carbon dioxide.
operatively and postoperatively with CPAP.10,43
Note: OSA risk reduction precautions based on pub-
lished research, guidelines, and expert opinion.39-41
Without validated easy-to-use questionnaires, sur-
geons and anesthesia providers may not always
identify patients with OSA. Singh et al13 found In recent years, the STOP-BANG questionnaire
before implementation of a screening question- (eight yes-no questions; greater than or equal to 3
naire (Snoring, Tiredness, Observed apnea, high high-risk OSA) has become one of the most com-
blood Pressure, Body mass index greater than mon validated instruments used and studied
35 kg/m2, Age older than 50, Neck circumference in the preoperative period to identify patients
greater than 40 cm, and male Gender [STOP- at high risk for OSA.7,17,45 The questionnaire
BANG]) for OSA that 92% of surgeons and 60% of contains four questions and four clinical
anesthetists failed to identify patients with pre- characteristics of OSA (Snoring, Tiredness,
existing or undiagnosed moderate-to-severe OSA. Observed apnea, high blood Pressure, Body mass
This study highlights the importance of educating index greater than 35 kg/m2, Age older than 50,
providers and nursing staff and having protocols in Neck circumference greater than 40 cm, and
place to screen for undiagnosed OSA preopera- male Gender). The questionnaire is a self-report
tively. and forced choice (yes/no) questionnaire that
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 537

can be completed in less than 1 minute. A score naires take a longer time to complete, and scoring
greater than or equal to 3 is considered high risk is more complicated than the STOP-BANG.
for OSA. It was based on the Berlin Questionnaire,
consensus of a group of anesthesiologists, sleep STOP-BANG and Perioperative Outcomes
specialists, and literature review. Other question-
naires validated in surgical populations include Use of the STOP-BANG by perianesthesia nurses
the Berlin Questionnaire46 and the ASA OSA has shown value in identification of patients at
Checklist.41 risk for undiagnosed OSA. In an evidence-based
practice project, Lakdawala45 found that imple-
Chung et al17 using PSG found that the odds of mentation of a comprehensive program for
having any degree of OSA (AHI greater than or educating nurses, creating standard OSA order
equal to 5), especially severe OSA (AHI greater sets and guidelines, and use of the STOP-BANG
than or equal to 30), increased as the STOP- for screening surgical patients improved patient
BANG score increased. The sensitivities for a safety by increasing the identification of patients
score of greater than or equal to 3 on the STOP- with undiagnosed OSA. Lakdawala45 found that
BANG with an AHI greater than or equal to 5 before implementation of the STOP-BANG the
(mild OSA), greater than or equal to 15 (moderate documented incidence of undiagnosed OSA was
OSA), and greater than or equal to 30 (severe 3%, and after implementation of the STOP-BANG
OSA) were 83.6%, 92.9%, and 100%, respectively that the percentage of patients at high risk for
(sensitivity refers to the true positive rate; the OSA increased to 17%. Unpublished work by the
percentage of patients correctly identified as hav- lead author on this article found at Naval Hospital
ing that level of OSA severity).10 At a cutoff score Okinawa after implementation of the STOP-BANG
of greater than or equal to 3, the STOP-BANG has that the incidence of undiagnosed OSA increased
a fairly high false-positive rate (low specificity); from 5% to 21% (P , .05) and the frequency of
however, using a cutoff score of greater than or anesthesia consults for suspected OSA increased
equal to 5 was 74% specific for severe OSA from 5% to 25% (P , .05). Overall, these inci-
(AHI greater than or equal to 30) and at greater dences of undiagnosed OSA are consistent with
than or equal to 7 the specificity was 96% (spec- previous investigations.10,11 These findings are
ificity refers to the true-negative rate; the percent- important because they demonstrate how a
age of patients who are correctly identified as not simple screening tool such as the STOP-BANG
having that level of OSA severity).17 Patients with can improve the perianesthesia nurse’s ability to
a STOP-BANG score of 5 were 10 times more identify patients with undiagnosed OSA. Nurses
likely and a score of greater than or equal to 7 can then implement risk reduction strategies
were 15 times more likely to have severe OSA. (Table 3). However, the workload on preoperative
These results suggest that a score of 5 or more nurses may increase because more patients may
may be a better cutoff score for identifying pa- require anesthesia consultation preoperatively.
tients with moderate-to-severe OSA. The implica- Nurses should work with their medical and surgi-
tion for nurses is that if a patient is classified as cal staff to develop screening processes that are
being at low risk (STOP-BANG score less than efficient but that ensure patient safety.
3), there is a low probability of moderate-to-
severe OSA. In contrast, nurses can be fairly confi- The STOP-BANG questionnaire is predictive of
dent if a patient has a high score (greater than or postoperative complications. Vasu et al7 found
equal to 5) that the patient has moderate-to- that surgical patients undergoing major inpatient
severe OSA. Chung et al17 suggest using a STOP- surgery who were identified as high risk for OSA
BANG score of greater than or equal to 3 in based on the STOP-BANG (greater than or equal
populations with high prevalence of moderate- to 3) were 11.3 times more likely to experience a
to-severe OSA (ie, bariatric surgery) but to use a postoperative pulmonary complication. Chung
score of greater than or equal to 5 in surgical pop- et al47 found that the patients classified as being
ulations with lower prevalence rates. The Berlin at high risk for OSA (STOP-BANG score greater
questionnaire and ASA OSA Checklist have than or equal to 3) were three times more likely
between 79% and 89% sensitivity for moderate- to experience a postoperative complication such
to-severe OSA.47 However, both these question- as oxygen desaturation (95% CI, 1.20 to 7.53).
538 SPENCE ET AL

Taken together, these results demonstrate that the families need to be aware that patients with OSA
STOP-BANG is useful in screening and predicting are at risk for respiratory depression after surgery
the severity of undiagnosed OSA and may be help- or ambulatory procedures in which anesthetic
ful in identifying which patients may be at risk for agents have been administered. They also need to
postoperative complications. Both the Society for be made aware that obstructive symptoms, espe-
Ambulatory Anesthesia39 and the American Soci- cially in patients with moderate-to-severe OSA,
ety of PeriAnesthesia Nurses48 recommend use of may worsen 3 to 4 days after surgery when REM
the STOP-BANG in surgical patients. sleep rebounds.19-21,30 There is limited literature
that has compared analgesic techniques on
The STOP-BANG is routinely administered preop- outcomes after surgery in OSA patients; however,
eratively at many large academic medical centers the work by Memtsoudis et al36 suggests that neu-
and at Department of Defense Military Treatment raxial anesthesia is associated with less complica-
Facilities; however, the information obtained tions. Experts believe that the use of regional
from the STOP-BANG is not consistently used to anesthesia (ie, epidural or peripheral nerve
guide intraoperative and postoperative care. The blocks—single shot or continuous) and multi-
reason for this multifaceted implementation of a modal analgesia protocols that minimize opioids
protocol to screen and develop protocols for pa- reduce the likelihood of postoperative complica-
tients for OSA must be seen as a priority for the or- tions. If patient-controlled analgesia is used, basal
ganization and requires multidisciplinary team rates should be avoided in OSA patients, and if
who can incorporate the tool into existing work- available, continuous ETCO2 should be used.49
flow and documentation, educate staff, and track
compliance and ensure sustainment. Use of the The use of postoperative oxygen in OSA patients
Iowa model of evidence-based practice may help should be administered as needed; however, it
nurses when implementing screening programs should be discontinued when patients are able to
at their institutions. maintain their baseline oxygen saturations. It is
important to point out that oxygen therapy may
Additionally, many providers and nurses believe mask or delay recognition of hypoventilation and
further evidence is needed to demonstrate that a life-threatening hypercarbia. Mehta et al50 in a
higher score on the STOP-BANG is predictive of meta-analysis of nonsurgical OSA patients found
worsening postoperative sleep apnea parameters although supplemental oxygen improved oxygen
and clinical outcomes after surgery to justify saturation, it may also increase the duration of
providing a higher level of care. This evidence is apnea-hypopnea events possibly through suppres-
critically important because subjecting OSA pa- sion of the hypoxic respiratory drive. This poten-
tients to unnecessary higher level of care (ie, tial problem may be exacerbated in surgical
extended postanesthesia unit stay, ICU admission, patients who have had anesthesia and are receiving
continuous respiratory monitoring with SPO2, opioids or other sedatives postoperatively.
ETCO2) results in significantly increased costs.42
There is limited literature from the perioperative
Postoperative Management of OSA setting on patient positioning after surgery in OSA
Patients patients. The nonsurgical literature suggests the
sitting or lateral or sitting position reduces obstruc-
In 2014, the ASA updated their guidelines for the tive symptoms.51 Experts recommend that during
perioperative management of OSA patients.41 the postoperative recovery period when possible,
Recently, the Society for Ambulatory Anesthesia39 a nonsupine position should be used.39,41,48
and the American Society of PeriAnesthesia
Nurses48 published guidelines. All three organiza- The 2014 ASA recommendations41 state that the
tions acknowledge that most recommendations literature was insufficient to offer guidance on the
are based on lower levels of evidence. Postopera- most appropriate type of postoperative monitoring
tive concerns addressed in these guidelines in OSA patients (ie, pulse oximetry, continuous
include postoperative analgesia, oxygenation and ETCO2, telemetry, duration, or location [stepdown
ventilation, patient positioning, and monitoring. unit or ICU]). However, they do recommend that
Health care providers, nurses, patients, and their continuous monitoring should be maintained as
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 539

long as the patient is at increased risk for respiratory thesia Patient Safety Foundation recommend contin-
depression. The exact duration of monitoring uous monitoring of oxygenation (ie, SPO2) and
needed is unknown. The duration of monitoring ventilation with continuous ETCO2 in patients
may vary from institution to institution because of receiving opioid therapy (ie, patient-controlled anal-
differences in patient comorbidity, surgical proce- gesia). Use of continuous ETCO2 is preferable
dures performed, resources, and staff experience. because it will detect respiratory depression earlier
than pulse oximetry.49,55 Currently, there is limited
As was described previously, Gali et al33 used a published evidence evaluating the efficacy of
PACU protocol that was based on recurrent respi- continuous ETCO2 on outcomes after surgery in
ratory events to guide the type of monitoring and OSA patients. However, given OSA patients are
location of admission that perianesthesia nurses more sensitive to respiratory depressive effects of
may find useful. Bolden et al52 reported on 428 anesthetic agents and opioids, and their risk of
OSA patients at their institution and found that ep- respiratory complications in unmonitored
isodes of significant oxygen desaturation occurred settings,35,56 it makes sense that this technology
both with oral and intravenous opioids most may help reduce complications in OSA patients.
commonly during the first 24 hours. As a result, However, it is acknowledged that hospital
they developed a protocol at their institution that administrators may request further evidence to
requires all patients with known or suspected support the purchase of additional monitors.
OSA who receive postoperative intravenous opi- Further research is needed on the effect use of
oids to be admitted for 24 hours with continuous continuous ETCO2 and alarm fatigue in nursing staff.
pulse oximetry to ensure adequate oxygenation
and the absence of significant apnea.53 For ambula- CPAP or bilevel PAP is the main treatment for
tory patients, if postoperative opioids are required, OSA. It is recommended that OSA patients on
patients with moderate-to-severe OSA are moni- CPAP therapy bring their devices on the day of
tored similarly for up to 23 hours.52 For ambula- surgery and use them postoperatively, unless con-
tory procedures that require no postoperative traindicated by the surgical procedure. However,
opioids, OSA patients are monitored in the PACU there is limited evidence to support instituting
for at least 3 hours or until physically assessed CPAP or noninvasive positive pressure ventilation
and discharged by the attending anesthesia pro- in patients who have not previously been treated
vider. Patients must maintain an oxygen saturation with these modalities. Liao et al57 randomized 177
of greater than 94% on room air before discharge. OSA patients with an AHI greater than 15 to auto-
titrated CPAP, which was started 3 days before
Although they did not specifically report out- surgery or routine care and found that CPAP
comes in OSA patients, Taenzer et al54 described significantly reduced postoperative AHI; howev-
implementation of a patient surveillance system er, less than 48% of patients used the CPAP for
that included heart rate and pulse oximetry with more than 4 hours per night. Reasons for nonad-
nursing notification of violation of alarm limits herence included postoperative pain, nausea
via wireless pagers. They found that the number and vomiting, and patient’s changing their minds.
of rescue events in surgical and nonsurgical Other investigators have found similar low adher-
patients (ie, rapid response team calls) decreased ence rates.43 Perianesthesia nurses should keep
from 4.4 6 2.9 to 1.9 6 1.7 per 1,000 bed days these findings in mind when developing care
(P , .05) with an estimated cost savings of $1.48 plans that promote CPAP adherence for OSA pa-
million dollars because of decreased ICU transfers. tients postoperatively.
These results provide compelling evidence that
perianesthesia nurses can use to justify implemen- Conclusion
tation of patient surveillance systems for OSA
patients at their institutions. OSA is a common comorbidity seen in surgical
patients that increases their risk of perioperative
Patients with a low respiratory rate may maintain an complications. This article has provided a compre-
oxygen saturation greater than 90%, yet still develop hensive overview and some practical tips that
life-threatening hypercarbia. As a result of sentinel perianesthesia nurses can use to guide the periop-
events, both the Joint Commission and the Anes- erative management of patients with known or
540 SPENCE ET AL

suspected OSA. Readers are encouraged to awarding and administering office for the grant associated
examine their policies and procedures at their in- with this manuscript (HT9404-13-TS12 [N13-P17]). This
manuscript was sponsored by the TriService Nursing Research
stitutions to see if changes can be implemented Program, Uniformed Services University of the Health Sci-
to improve outcomes in OSA patients. ences; however, the information or content and conclusions
neither necessarily represent the official position or policy
Acknowledgment of nor should any official endorsement be inferred by, the Tri-
Service Nursing Research Program, the Uniformed Services
The Uniformed Services University of the Health Sciences, University of the Health Sciences, the Department of Defense,
4301 Jones Bridge Road, Bethesda, MD 20814-4799, is the or the US Government.

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542 SPENCE ET AL

Obstructive Sleep Apnea and the Adult Perioperative Patient


1.5 Contact Hours

Purpose of the Journal of PeriAnesthesia Nursing: To facilitate communication about and deliver
education specific to the body of knowledge unique to the practice of perianesthesia nursing.
Outcome of this CNE Activity: To enable the nurse to implement strategies to promote optimal care
for diagnosed and undiagnosed OSA patients.
Target Audience: All perianesthesia nurses.
Article Objectives: (1) Identify the pathophysiology of OSA. (2) Discuss the effects of anesthesia and
opioids on OSA patients sleep architecture. (3) Describe the effects of OSA on postoperative complications.
(4) Discuss the latest evidence on screening for undiagnosed OSA in the adult surgical patient. (5) Discuss
the perioperative management principles for patients with OSA.
Accreditation
American Society of Perianesthesia Nurses is accredited as a provider of continuing nursing education by
the American Nurses Credentialing Center’s Commission on Accreditation.

Additional provider numbers: Alabama #ABNP0074, California #CEP5197, Florida 50-114.


Registered nurse participants can receive 1.5 contact hours for this activity.
Disclosure: All planners and authors of continuing nursing education activities are required to disclose any
significant financial relationships with the manufacturer(s) of any commercial products, goods or services.
Any conflicts of interest must be resolved prior to the development of the educational activity. Such disclo-
sures are included below.
Planner and Author Disclosure: The members of the planning committee for this continuing nursing
education activity do not have any financial arrangements, interests or affiliations related to the subject mat-
ter of this continuing education activity to disclose.
The author for this continuing nursing education activity does not have any financial arrangements, inter-
ests or affiliations related to the subject matter of this continuing nursing education activity to disclose.
Verification of Participation: Verification of your participation in this educational activity is done by hav-
ing you complete the registration form and submit the form along with the posttest and evaluation form to
the ASPAN national office.
Requirements for Successful Completion: To receive contact hours for this continuing nursing educa-
tion activity you must submit the posttest and evaluation form to the ASPAN national office and achieve a
minimum grade of 80% on the posttest.
Commercial Support/Sponsorship/Unrestricted Educational Grant: No commercial support, spon-
sorship or unrestricted educational grant has been received for this educational activity.
OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 543

Directions: The multiple-choice examination grid provided, (3) complete the evaluation
below is designed to test your understanding form, and (4) tear out the page (or photocopy)
of Obstructive Sleep Apnea and the Adult and submit postmarked before September 30,
Perioperative Patient according to the objec- 2017, with check payable to ASPAN (ASPAN
tives listed. To earn contact hours from the member, $12.00 per test; nonmember, $15.00
American Society of PeriAnesthesia Nurses per test) and return to ASPAN, 90 Frontage
(ASPAN) Continuing Education Provider Road, Cherry Hill, NJ 08034–1424. Notification
Program: (1) read the article, (2) complete the of contact hours awarded will be sent to you
posttest by indicating the answers in the test in 4 to 6 weeks.

Posttest Questions

1. Severe OSA is defined as an AHI: c. Use a basal rate for patient-controlled


a. Greater than or equal to 5 analgesia
b. Greater than or equal to 15 d. Administer long-acting opioids
c. Greater than or equal to 30 6. Which of the following are the most com-
d. Greater than or equal to 20 mon type of postoperative complication
2. Factors that may predispose patients to have experienced by patients with OSA?
OSA include all the following EXCEPT: a. Cardiovascular complications
a. Increased tone of the genioglossus muscle b. Neurological complications
during REM sleep c. Respiratory complications
b. Narrower pharyngeal airways secondary d. All the above
to excess adipose tissue 7. Patients who are at high risk for OSA are __
c. Higher airflow velocity and lower intralu- times more likely to experience PACU respi-
minal upper airway pressure during sleep ratory complications.
d. Decreased neuromuscular tone of the a. 2
dilator muscles during sleep b. 6
3. After surgery, opioids have been found to c. 9
a. Decrease the severity and duration of d. 13
8. Which of the following are NOT clinical
moderate hypoxemia
characteristics of patients with OSA?
b. Decrease the number of central apneas
a. Snoring
c. Reduce postoperative complications
b. Low blood pressure
d. Suppress REM sleep
c. Tiredness during the day
4. With regard to the sleep architecture of the
d. Observed apnea during sleep
OSA patient, which of the following state-
e. Male gender
ments is TRUE?
9. Which of the following scores on the STOP-
a. REM sleep decreases on postoperative
BANG suggests the patient is at high risk for
night 1
OSA?
b. The combination of REM rebound and
a. 1
opioid administration may contribute to
b. 2
postoperative oxygen desaturation
c. $3
c. REM sleep rebound approximately 3 to
10. Which of the following interventions
5 days after surgery
should nurses consider to reduce risk
d. All the above in patients with known or suspected
5. In the immediate postoperative period, what OSA?
nursing action(s) would you consider most a. Use long-acting opioids
beneficial to decrease the risk of oxygen de- b. Position the patient in the supine position
saturation in the patient with OSA? c. Avoid CPAP therapy postoperatively
a. Provide supplemental oxygen as needed d. Use multimodal analgesic techniques
b. Position the patient supine when possible
544 SPENCE ET AL

OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT

ANSWERS

W010917 Please circle the correct answer

1. A. 2. A. 3. A. 4. A. 5. A.
B. B. B. B. B.
C. C. C. C. C.
D. D. D. D. D.

6. A. 7. A. 8. A. 9. A. 10. A.
B. B. B. B. B.
C. C. C. C. C.
D. D. D. D. D.
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OBSTRUCTIVE SLEEP APNEA AND THE ADULT PERIOPERATIVE PATIENT 545

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