Central reflex hyperpnea (neurogenic
pulmonary edema)
Basis pontis damage
Pseudobulbar paralysis of voluntary control
Lower pontine tegmentum damage or
dysfunction
Apneustic breathing
Cluster breathing
Short-cycle anoxic-hypercapnic periodic
respiration
Ataxic breathing (Biot)
Medullary dysfunction
Ataxic breathing
Slow regular breathing
Loss of autonomic breathing with preserved
voluntary control
Gasping
46
Plum and Posner’s Diagnosis of Stupor and Coma
pany coma (Table 2–2, Figure 2–3). Chapter 5
discusses respiratory responses to metabolic
disturbances. Because neurogenic and meta-
bolic influences on breathing interact exten-
sively, respiratory changes must be interpreted
cautiously if there is evidence of pulmonary
disease.
The pattern of respiration can give impor-
tant clues concerning the level of brain dam-
age. Once assured that there is adequate ex-
change of oxygen, the physician should watch
the patient spontaneously breathe. Irregulari-
ties of the respiratory pattern that provide clues
to the level of brain damage are described in
the paragraphs below.
PATHOPHYSIOLOGY
Breathing is a sensorimotor act that integrates
nervous influences arising from nearly every
level of the brain and upper spinal cord. In hu-
mans, respiration subserves two major func-
ACh
Muscarinic
Medulla
Midbrain
Spinal Cord:
NE
Xn.
IX and X Nerves
Cervical
Thoracic
Lumbar
Sacral
Cortex
Infralimbic
Cortex
Insular
Cortex
Hypothalamus
Rostral Ventrolateral
Medulla
Nucleus of the
Solitary Tract
Caudal
Ventrolateral
Medulla
Amygdala
Parabrachial Nucleus
VP Thalamus
Nucleus Ambiguus
1-receptor
␣1-receptor
Pons
Figure 2–3. A diagram summarizing the cardiovascular control pathways in the brain. Visceral afferent information (gray)
arrives from nerves IX and X into the nucleus of the solitary tract. This information is then distributed to the parabrachial
nucleus, which relays it to the forebrain, and to the ventrolateral medulla, where it controls cardiovascular reflexes. These
include both vagal control of heart rate (red) and medullary control (purple) of the sympathetic vasomotor control area of
the rostral ventrolateral medulla (orange), which regulates sympathetic outflow to both the heart and the blood vessels
(dark green). Forebrain areas that influence the cardiovascular system (brown) include the insular cortex (a visceral
sensory area), the infralimbic cortex (a visceral motor area), and the amygdala, which produces autonomic emotional
responses. All of these act on the hypothalamic sympathetic activating neurons (light green) in the paraventricular and
lateral hypothalamic areas to provide behavioral and emotional influence over the blood pressure and heart rate. ACh,
acetylcholine; NE, norepinephrine; VP, ventroposterior.
Examination of the Comatose Patient
47
tions: one of metabolism and the other be-
havioral. Metabolically, respiratory control is
directed principally at maintaining tissue oxy-
genation and normal acid-base balance. It is
regulated mainly by reflex neural mechanisms
located in the posterior-dorsal region of the
pons and in the medulla. Behavioral control
of breathing allows it to be integrated with
swallowing, and in humans, with verbal and
emotional communication as well as other
behaviors.
Respiratory rhythm is an intrinsic property
of the brainstem that is generated by a network
of neurons that lie in the ventrolateral medulla,
including the pre-Bo¨tzinger complex
29,30
(see
Figure 2–3). This rhythm is regulated in the
intact brain by a number of influences that
enter via the vagus and glossopharyngeal nerves.
ACh
Medulla
Midbrain
Spinal Cord:
Muscarinic
ACh
ACh
T2-T12: Intercostal Motor Neurons
C3-5: Phrenic Motor Nucleus
Hypoglossal Motor Nucleus
Nicotinic
IX and X Nerves
Cervical
Thoracic
Lumbar
Sacral
Cortex
Prefrontal
Cortex
Hypothalamus
Ventral Respiratory Group
Parabrachial Nucleus
2 adrenergic
NE
T2-8
Pons
Nucleus
Ambiguus
Figure 2–4. A diagram summarizing the respiratory control pathways in the brain. Afferents from the lung (pulmonary
stretch), upper airway (cough reflexes), and carotid body arrive via cranial nerves IX and X in the nucleus of the solitary tract
(gray), also called the dorsal respiratory group. These control airway and respiratory reflexes, analogous to the cardiovas-
cular system, by inputs to the ventrolateral medulla. These include outputs to the airways via the vagus nerve (red) and
outputs from the ventral respiratory group (orange) to the spinal cord, controlling sympathetic airway responses (green)
and respiratory motor (phrenic motor nucleus, blue) and accessory motor (hypoglossal and intercostal, blue) outputs. The
ventral respiratory group is responsible for generating respiratory rhythm. However, it is assisted in this process by the
parabrachial nucleus (or pontine respiratory group, purple), which receives ascending respiratory afferents and integrates
them with other brainstem reflexes (e.g., swallowing). The prefrontal cortex (brown) provides behavioral regulation of
breathing, producing a continual breathing rhythm even in the absence of metabolic need. This influences the hypothal-
amus (light green), which may vary respiratory pattern in coordination with behavior or emotion. ACh, acetylcholine; NE,
norepinephrine.
48
Plum and Posner’s Diagnosis of Stupor and Coma
The carotid sinus branch of the glossopharyn-
geal nerve brings afferents that carry informa-
tion about blood oxygen and carbon dioxide
content, whereas the vagus nerve conveys pul-
monary stretch afferents. These terminate in
the commissural, ventrolateral, intermediate,
and interstitial components of the nucleus of
the solitary tract.
31–33
Chemoreceptor affer-
ents can increase respiratory rate and depth,
whereas pulmonary stretch receptors tend to
inhibit lung inflation (the Herring-Breuer re-
flex). These influences are relayed to reticular
areas in the ventrolateral medulla that regulate
the onset of inspiration and expiration.
34
In
addition, serotoninergic neurons in the ventral
medulla may also serve as chemoreceptors and
directly influence the nearby circuitry that gen-
erates the respiratory rhythm.
35,36
The medullary circuitry that controls respira-
tion is under the control of pontine cell groups
that integrate breathing with ongoing orofacial
stimuli and behaviors.
37
Neurons in the para-
brachial nucleus primarily increase the rate
and depth of respiration, presumably in rela-
tion to emotional responses or in anticipation
of metabolic demand during various behaviors.
On the other hand, neurons located more ven-
trally in the intertrigeminal zone, between the
principal sensory and motor trigeminal nuclei,
produce apneas, which are necessary during
swallowing and in response to noxious chemi-
cal irritation of the airway (e.g., smoke or water
in the nasal passages).
38
Superimposed upon these metabolic de-
mands and basic reflexes, the forebrain can com-
mand a wide range of respiratory responses.
Respiration can be altered by emotional re-
sponse, and it increases in anticipation of met-
abolic demand during voluntary exercise, even
if the muscle that is to be contracted has been
paralyzed (i.e., as a consequence of central
command rather than metabolic reflex). The
pathways that control vocalization in humans
appear to originate in the frontal opercular cor-
tex, which provides premotor and motor inte-
gration of orofacial motor actions. However,
there is also a prefrontal contribution to the
maintenance of respiratory rhythm, even in the
absence of metabolic demand (the basis for
posthyperventilation apnea, described below).
These considerations make the recognition
of respiratory changes useful in the diagnosis of
coma (Figure 2–5).
POSTHYPERVENTILATION APNEA
If the arterial carbon dioxide tension is low-
ered by a brief period of hyperventilation, a
healthy awake subject will nevertheless con-
tinue to breathe with a normal rhythm, at least
initially,
39
albeit at reduced volume, until the
PCO
2
returns to its original level. By contrast,
subjects with diffuse metabolic impairment of
the forebrain, or bilateral structural damage to
the frontal lobes, commonly demonstrate post-
hyperventilation apnea.
40
Their respirations
stop after deep breathing has lowered the car-
bon dioxide content of the blood below its usual
resting level. Rhythmic breathing returns when
endogenous carbon dioxide production raises
the arterial level back to normal.
The demonstration of posthyperventilation
apnea requires that the patient voluntarily take
several deep breaths, so that it is useful in dif-
ferential diagnosis of lethargic or confused pa-
tients, but not in cases of stupor or coma. One
instructs the subject to take five deep breaths.
No other instructions are given. It is useful
for the examiner to place a hand on the pa-
tient’s chest, to make it easier later to detect
when breathing has restarted, and to count
the breaths. If the lungs function well, the ma-
neuver usually lowers the arterial carbon di-
oxide by 8 to 14 torr. At the end of the deep
breathing, wakeful patients without brain dam-
age show little or no apnea (less than 10 sec-
onds). However, in patients with forebrain im-
pairment, the period of apnea may last from 12
to 30 seconds. The neural substrate that pro-
duces a continuous breathing pattern even in
the absence of metabolic need is believed to
include the same frontal pathways that regu-
late behavioral alterations of breathing patterns,
as the continuous breathing pattern disappears
with sleep, bilateral frontal lobe damage, or dif-
fuse metabolic impairment of the hemispheres.
CHEYNE-STOKES RESPIRATION
Cheyne-Stokes respiration
41
is a pattern of
periodic breathing with phases of hyperpnea
alternating regularly with apnea. The depth
of respiration waxes from breath to breath in a
smooth crescendo during onset of the hyper-
pneic phase and then, once a peak is reached,
wanes in an equally smooth decrescendo until a
period of apnea, usually from 10 to 20 seconds,
Examination of the Comatose Patient
49
is reached. The hyperpneic phase usually lasts
longer than the apneic phase (Figure 2–5).
This rhythmic alternation in Cheyne-Stokes
respiration results from the interplay of normal
brainstem respiratory reflexes.
42–45
When the
medullary chemosensory circuits sense ade-
quate oxygen and carbon dioxide tension, they
reduce the rate and depth of respiration, caus-
ing a gradual rise in arterial carbon dioxide ten-
sion. There is normally a short delay of a few
seconds, representing the transit time for fresh
blood from the lungs to reach the left heart
and then the chemoreceptors in the carotid
artery and the brain. By the time the brain be-
gins increasing the rate and depth of respira-
tion, the alveolar carbon dioxide has reached
even higher levels, and so there is a gradual
ramping up of respiration as the brain sees a
rising level of carbon dioxide, despite its ad-
ditional efforts. By the time the brain begins
to see a fall in carbon dioxide tension, the levels
in the alveoli may be quite low. When blood
containing this low level of carbon dioxide
reaches the brain, respiration slows or may even
cease, thus setting off another cycle. Hence,
the periodic cycling is due to the delay (hys-
B
C
D
E
A
B
C
D
E
A
1 min
Figure 2–5. Different abnormal respiratory patterns are associated with pathologic lesions (shaded areas) at various levels
of the brain. Tracings by chest-abdomen pneumography, inspiration reads up. (A) Cheyne-Stokes respiration is seen with
metabolic encephalopathies and with lesions that impair forebrain or diencephalic function. (B) Central neurogenic
hyperventilation is most commonly seen in metabolic encephalopathies, but may rarely be seen in cases of high brainstem
tumors. (C) Apneusis, consisting of inspiratory pauses, may be seen in patients with bilateral pontine lesions. (D) Cluster
breathing and ataxic breathing are seen with lesions at the pontomedullary junction. (E) Apnea occurs when lesions en-
croach on the ventral respiratory group in the ventrolateral medulla bilaterally. (From Saper, C. Brain stem modulation of
sensation, movement, and consciousness. Chapter 45 in: Kandel, ER, Schwartz, JH, Jessel, TM. Principles of Neural Sci-
ence. 4th ed. McGraw-Hill, New York, 2000, pp. 871–909. By permission of McGraw-Hill.)
50
Plum and Posner’s Diagnosis of Stupor and Coma
teresis) in the feedback loop between alveolar
ventilation and brain chemoreceptor sensory
responses.
The Cheyne-Stokes respiratory cycle is not
usually seen in normal individuals because the
circulatory delay between a change in alveolar
blood gases and carbon dioxide tension in the
brain is only a few seconds. Even as circulatory
delay rises with cardiovascular or pulmonary
disease, during waking the descending path-
ways that prevent posthyperventilation apnea
also ensure the persistence of respiration even
during periods of low metabolic need, thus
damping the oscillations that produce Cheyne-
Stokes respiration. However, during sleep or
with bilateral forebrain impairment, due either
to a diffuse metabolic process such as uremia,
hepatic failure, or bilateral damage such as ce-
rebral infarcts or a forebrain mass lesion with
diencephalic displacement, periodic breathing
may emerge.
43–45
In patients with heart fail-
ure, the transit time for blood from the lungs
to reach the carotid and cerebral chemorecep-
tors can become so prolonged as to produce
a Cheyne-Stokes pattern of respiration, even
in the absence of forebrain impairment. Thus,
Cheyne-Stokes respiration is mainly useful as
a sign of intact brainstem respiratory reflexes
in the patients with forebrain impairment, but
cannot be interpreted in the presence of sig-
nificant congestive heart failure.
HYPERVENTILATION IN
COMATOSE PATIENTS
Sustained hyperventilation is often seen in pa-
tients with impaired consciousness, but is usu-
ally a result of either hepatic coma or sepsis,
conditions in which circulating chemical stim-
uli cause hyperpnea, or a metabolic acidosis,
such as diabetic ketoacidosis (see Chapter 5).
Other patients have meningitis caused either
by infection or subarachnoid hemorrhage,
which stimulates chemoreceptors in the brain-
stem,
46
probably by altering CSF pH.
Some patients hyperventilate when intrin-
sic brainstem injury or subarachnoid hemor-
rhage or seizures cause neurogenic pulmonary
edema.
47
The ventilatory response is driven by
pulmonary mechanosensory and chemosensory
receptors. The pulmonary congestion lowers
both the arterial carbon dioxide and the oxygen
tension. Stimulation of pulmonary stretch re-
ceptors is apparently sufficient to cause reflex
hyperpnea, as oxygen therapy sufficient to raise
the arterial oxygen level does not always cor-
rect the overbreathing.
Another small group of patients has been
identified who have hyperventilation associ-
ated with brainstem gliomas or lymphomas.
48,49
These patients have spinal fluid that is acellu-
lar, but generally acidotic compared to arterial
pH. In others, the lumbar CSF may have a nor-
mal pH, but it is believed that the tumor causes
local lactic acidosis, which may trigger brain che-
moreceptors to cause hyperventilation (Figure
2–5).
It is theoretically possible for an irritative
lesion in the region of the parabrachial nu-
cleus or other respiratory centers to produce
hyperpnea.
37
The diagnosis of such true ‘‘cen-
tral neurogenic hyperventilation’’ requires that
with the subject breathing room air, the blood
gases show elevated arterial oxygen tension,
decreased carbon dioxide tension, and an ele-
vated pH. The cerebrospinal fluid likewise must
show an elevated pH and be acellular. The re-
spiratory changes must persist during sleep to
eliminate psychogenic hyperventilation, and
one must exclude the presence of stimulating
drugs, such as salicylates, or disorders that stim-
ulate respiration, such as hepatic failure or un-
derlying systemic infection. Cases fulfilling all
of these criteria have rarely been observed,
50,51
and none that we are aware of has come to post-
mortem examination of the brain.
APNEUSTIC BREATHING
Apneusis is a respiratory pause at full inspira-
tion. Fully developed apneustic breathing, with
each cycle including an inspiratory pause, is
rare in humans, but of considerable localizing
value. Experiments in animals indicate that ap-
neusis develops with injury to the pontine re-
spiratory nuclei described above, and experi-
ence with rare human cases would support this
view
52,53
(see Figure 2–5).
Clinically, end-inspiratory pauses of 2 to 3
seconds usually alternate with end-expiratory
pauses, and both are most frequently encoun-
tered in the setting of pontine infarction due
to basilar artery occlusion. However, apneustic
breathing may rarely be observed in metabolic
encephalopathies, including hypoglycemia, an-
oxia, or meningitis. It is sometimes observed
Examination of the Comatose Patient
51
in cases of transtentorial herniation, as the
brainstem dysfunction advances. At least one
patient with apneusis due to a brainstem in-
farct responded to buspirone, a serotonin 1A
receptor agonist.
53
ATAXIC BREATHING
Irregular, gasping respiration implies damage
to the respiratory rhythm generator at the pre-
Bo¨tzinger level of the upper medulla.
30
This
cell group can be specifically eliminated in ex-
perimental animals by the use of a toxin that
binds to neurons that express NK-1 receptors.
The resulting irregular, gasping breathing is
eerily similar to humans with bilateral rostral
medullary lesions, and it indicates that suffi-
cient neurons survive in the medullary reticu-
lar formation to drive primitive ventilatory ef-
forts, despite the loss of the neurons that cause
smooth to-and-fro respiration.
54
More complete
bilateral lesions of the ventrolateral medullary
reticular formation cause apnea, which is not
compatible with life unless the patient is artifi-
cially ventilated (Figure 2–5).
A variety of intermediate types of breathing
patterns are also seen with high medullary le-
sions. Some patients may breathe in irregular
clusters or ratchet-like breaths separated by
pauses. In other cases, particularly during in-
toxication with opiates or sedative drugs, the
breathing may slow and decline in depth grad-
ually until it fades into complete arrest.
There is a tendency in modern hospitals to
intubate and ventilate patients with structural
coma to protect the airway and permit treat-
ment of respiratory failure. If the patient fights
intubation or ventilation, paralytic drugs are
often administered. This compromises the abil-
ity of the neurologist to assess brainstem re-
flexes, and in some cases may delay diagnosis
and compromise care. Thus, it is important,
whenever possible, to delay intubation until
after the brief coma examination described
here has been completed.
SLEEP APNEA AND ONDINE’S
CURSE
Obstructive sleep apnea is a common disorder
in which the cross-section of the upper air-
way is anatomically narrow.
55,56
During sleep,
the muscles that keep the upper airway open,
including the genioglossus muscle that pulls
the tongue forward, undergo a gradual loss of
tone. This results in critical narrowing of the
airway and the increased rate of movement of
air tends to further reduce airway pressure,
resulting in sudden closure. Liable to the dis-
order are obese patients, because deposition of
fat in neck tissue reduces airway diameter;
men, because the increased ratio of the length
of the airway to its diameter predisposes to
collapse; and middle aged or older patients,
because muscle tone is more reduced during
sleep with age. However, cases may occur in
thin young adults, or even in children. Sleep
apnea typically occurs in cycles lasting a few
minutes each when the patient falls asleep,
airway tone fails and an obstructive apnea oc-
curs, blood oxygen levels fall, carbon dioxide
rises, and the patient is aroused sufficiently to
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