(Circulation. 1997;96:2221-2227.)
© 1997 American Heart Association, Inc.
Articles |
From HarborUCLA Medical Center, UCLA School of Medicine (K.W., Y.-Y. Z., L.L.), Torrance, Calif; Herzzentrum Ludwigshafen (A.G.), Department of Cardiology and Pneumonology, Ludwigshafen, Germany; Ospedale Cardiologico G.M. Lancisi (R.B.), Ancona, Italy; 2nd Department of Internal Medicine, Tokyo Medical and Dental University (A.K.), Tokyo, Japan; and Istituto di Cardiologia dell'Universita degli Studi (P.G.A.), Centro di Studio per le Richerche Cardiovascolari del Consiglio Nazionale delle Richerche, Fondazione Monzino, IRCCS, Milan, Italy.
Correspondence to Karlman Wasserman, MD, PhD, HarborUCLA Medical Center, Box 405, 1000 W Carson St, Torrance, CA 90509.
| Abstract |
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Methods and Results Centers in Germany, Italy, Japan, and
the United States participated in this study. Each center contributed
studies on patients and normal subjects of similar age and sex. One
hundred thirty patients with chronic HF and 52 healthy subjects
participated. Spirometric and breath-by-breath gas exchange
measurements were made during rest and increasing cycle exercise.
Arterial blood was sampled for measurement of pH,
PaCO2, PaO2, and
lactate during exercise in 85 patients. Resting forced expiratory
volume in 1 second (FEV1) and vital capacity (VC) were
proportionately reduced at all levels of impairment. Patients with more
severe HF had greater tachypnea and a smaller tidal volume
(VT) at a given exercise expired volume per unit time
(
E). This was associated with an expiratory flow
pattern characteristic of lung restriction.
E and
CO2 as a function of
O2 were increased during exercise in HF
patients. The increases were greater the lower the peak
O2 per kilogram of body weight. The
ratio of VD (physiological dead space)
to VT and the difference between arterial and
end tidal PCO2 at peak
O2 also increased inversely with peak
O2/kg. In contrast, the difference
between alveolar and arterial PO2
and PaCO2 were both normal, on average, at peak
O2 regardless of the level of
impairment. The more severe the exercise limitation, the higher the
lactate and the lower the HCO3- at a given
O2, although pH was tightly
regulated.
Conclusions The increase in
E in chronic
HF patients is caused by an increase in VD/VT
due to high ventilation/perfusion mismatching, an increase in
CO2 relative to
O2 resulting from
HCO3- buffering of lactic acid, and a decrease
in PaCO2 due to tight regulation of
arterial pH. With regard to the excessive
E in HF patients, the increases in
VD/VT and
CO2
relative to
O2 are more important as the
patient becomes more exercise limited. Regional hypoperfusion but not
hypoventilation typifies lung gas exchange in HF. This and other
mechanisms might account for the restrictive changes leading to
exercise tachypnea in HF patients.
Key Words: ventilation perfusion oxygen metabolism hypertension, pulmonary
| Introduction |
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A can be simply quantified from measurement of
CO2 output (
CO2) and the
"ideal" alveolar CO2 concentration estimated from the
arterial CO2 tension
(PaCO2) as shown in the following equation:
![]() | (1) |
A as body
temperature, pressure, saturate with H2O (BTPS) and
CO2 as standard temperature (0°C),
pressure (760 mm Hg), dry (0% water vapor) (STPD). Because the
physiological dead space must also be ventilated,
our interest must be in the minute ventilation (
E),
ie,
A plus the physiological
dead space ventilation, as shown in Equation 2
![]() | (2) |
E as shown in the following useful equation:
![]() | (3) |
E was found to increase
linearly and uniformly with
CO2 when the
work was performed without lactic acidosis in normal
subjects.9 The relatively consistent values for
PaCO2 and VD/VT
obtained for normal subjects account for the similar ventilatory
responses to exercise observed below the lactate
threshold.9 This contrasts with the variable
ventilatory responses in patient populations with diseases involving
the heart, lungs, and pulmonary circulation.10
Sullivan et al7 and Kobayashi et al,4
using arterial PaCO2 to calculate
VD, found that exercise VD/VT was
increased in HF patients. CO2 production should
also be increased at a given rate of aerobic respiration
(
O2) in HF patients compared with that
observed in normal subjects because additional CO2 is
released by the cell at a relatively low WR when intracellular
HCO3- buffers lactic acid.9 11
Also, the ventilatory response relative to the increase in
O2 may be more steep in HF patients than
in normal subjects when the CO2 set point
(PaCO2) is reduced (Equation 3
), because as the
exercise-induced lactic acidosis develops, H+ stimulates
the carotid bodies.12 Thus, the inappropriately large
ventilatory response (
E) in HF patients may be
caused in part or entirely by all three variables shown in Equation 3
. The present study was conducted to investigate the role of each
variable in the ventilatory response to exercise in patients with
HF and how each changes in relation to the severity of cardiac
dysfunction.
| Methods |
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O2
and LAT of the patients from each center are shown in Table 1
O2 and LAT for the
normal subjects were 24.8±7.1 and 15.2±5.2, respectively. Diagnoses,
NYHA functional class, ejection fraction, and treatment at the time of
study for the HF patient groups are shown in Table 2
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The patients were divided into three groups according to exercise
limitation, similar to the approach of Weber13 in which
cardiac function is classified according to peak
O2 per kilogram of body
weight. In the present study, group 1 had peak
O2 >16 mL ·
min-1 · kg-1
(least severe), group 2 had peak
O2 of
12 to 16 mL · min-1 ·
kg-1 (moderately severe), and group 3 had peak
O2 <12 mL ·
min-1 · kg-1
(most severe). The mean±SE of the LAT/peak
O2 ratios was 0.68±0.013, 0.71±0.016,
and 0.72±0.030 for groups 1, 2, and 3, respectively. These values were
significantly higher than for the normal group (0.56±0.016). Informed
consent was obtained from each patient. The study was approved by each
institution's human subjects committee.
The rate of the WR increase was between 10 and 15 W/min. The subjects
reached the point of fatigue in 5 to 12 minutes of the incremental
period of exercise. Gas exchange was measured breath by breath at all
institutions. At Harbor-UCLA and Ludwigshafen, a Medical Graphics CPX
Metabolic Cart was used. In Ancona and Milan, Italy, a
SensorMedics Metabolic Cart was used. In Tokyo, Japan, a
Minato Metabolic Cart was used. The LAT was measured by the
v-slope method14 15 in which
CO2 is plotted as a function of
O2, breath by breath or over several
breaths. The breakpoint at which
CO2
increases more rapidly than
O2 is taken
as the LAT, on the basis of previous research.14
Arterial blood was sampled during exercise in 85 HF
patients from a percutaneously placed catheter in the
radial or brachial artery. Arterial blood gases, pH, and
lactate were measured with electrodes by standard methods.
Data Analysis
Unless otherwise described, values are expressed as mean±SE.
Student's t tests were used to compare differences between
control and HF patients. Multiple comparison ANOVA tests were used to
compare differences among the three groups of HF patients. Simple
linear regression analysis was used to examine relationships
between P(A-a)O2, P(a-ET)CO2, and
VD/VT as functions of peak
O2. P<.05 was considered
significant.
| Results |
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Exercise Minute Ventilation as Related to Exercise
Limitation
The increase in exercise ventilation as related to
O2 in patients with HF is shown in Fig 2
. Those patients with the more impaired
exercise capacity, expressed as peak
O2/kg, have a higher ventilatory
requirement.
E at the peak
O2 of the most limited group was almost
twice normal.
|
Breathing Pattern in Chronic HF
Fig 3
shows the VT
normalized to body height as a function of exercise
E for work performed up to peak
O2 in normal subjects and patients with
HF. The lower the peak
O2, the smaller
the height-adjusted VT and the faster the breathing
frequency at a given
E.
|
Increase in
O2 and
CO2 as Related to Exercise
Limitation
The rate at which
O2 and
CO2 increased per watt of work was
calculated for the progressively increasing exercise period beginning 1
minute after the WR started to increase. The delay of 1 minute after
the start of the increase in WR was used to take into account the time
constant for
O2 to respond to the
increasing WR (
35 seconds for normal subjects17 ). The
mean±SD for 
O2/
WR is 10.3±1.0
mL · min-1 ·
W-1 for a normal population.18
Data for the HF subjects are shown in Table 3
. The ratio of

O2/
WR progressively decreased the
lower the peak
O2, being significant for
the <12 mL · min-1 ·
kg-1 functional group. In contrast

CO2/
WR did not change
significantly as related to the degree of cardiac impairment,
reflecting additional CO2 produced during
HCO3- buffering of accumulating lactic
acid19 when ATP is regenerated anaerobically.
The slower rise in
O2 as WR increases
indicates that there is less ATP regenerated aerobically in the more
severely limited patients.
|
Arterial Blood Gases, pH, and
VD/VT as Related to Exercise
Limitation
Fig 4
shows the changes in
PaCO2, PETCO2, and
P(a-ET)CO2 at peak
O2 for 83 of the 85 patients with
arterial blood gases (data of 2 subjects were deleted for
this plot because the investigator believed that these subjects stopped
exercise without making a maximum effort). PaCO2 was not
affected by the degree of impairment. However,
PETCO2 decreased as peak
O2 decreased. Thus, although
P(a-ET)CO2 is negative by
4 mm Hg on
average in normal subjects,20
P(a-ET)CO2 became more positive the more
severe the exercise limitation.
|
Exercise PaO2, PAO2, and
P(A-a)O2 as a function of peak
O2 are shown in Fig 5
for the 83 subjects. PaO2,
PAO2, and P(A-a)O2 were normal at
peak
O2 without a systematic change as
related to exercise limitation, in contrast to CO2
exchange.
|
The VD/VT at peak
O2 was calculated from the Bohr
equation, ie,
VD/VT=(PaCO2-PECO2)/PaCO2
where PaCO2 is assumed to be the ideal alveolar
PCO2 and PECO2 is the
mixed expired PCO2. The breathing-valve dead
space is subtracted from VD and VT. The
VD/VT is high in almost all patients with HF
and is elevated above normal to a greater degree the more severe the
exercise limitation (Fig 6
).
|
Exercise Lactate and Acid-Base Changes as Related to Cardiac
Dysfunction
At any given
O2, the lactate
increase and HCO3- decrease are greater the
more severe the exercise impairment (Fig 7
). Arterial pH is well
controlled at the low metabolic rates of the more
exercise-limited HF patients but decreases as
O2 increases in a similar pattern to
that for normal subjects.21
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| Discussion |
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E is notably high
in HF patients. The greater the dysfunction, the greater the increase
in
E.1 2 3 6 24 Therefore, we classified
the degree of cardiac dysfunction in each HF patient by their peak
O2 per kilogram of body weight,
believing this to be more quantitative than the NYHA grading.
Nevertheless, 50% of NYHA functional class III patients were in the
group with peak
O2 <12 mL ·
min-1 · kg-1
whereas only 24% of this class were in the >16 mL ·
min-1 · kg-1
group. The anaerobic threshold has also been a useful
measure of cardiac dysfunction.13 25 Had we graded
function by the anaerobic threshold or the percent of
predicted peak
O2, such as reported by
Stelken et al,26 it is unlikely that we would have reached
substantially different conclusions.
How worsening cardiac function brings about an increase in ventilation
should be addressed within the framework of the three factors that
determine the magnitude of the ventilatory response to a given level of
exercise and the physiological mechanisms
controlling each. The magnitude of the ventilatory response is
inversely related to the arterial
PCO2 (CO2 set point) and directly
related to the CO2 production and
VD/VT (Equation 3
). Thus, to understand the
pathophysiological mechanisms leading to the
increased ventilatory response and its relationship to the degree of
exercise impairment, each of the three physical factors that determine
the response were investigated.
As shown in Table 3
and as previously reported,8
CO2 production is increased relative to
O2 in HF patients at WRs that are
regarded to be mild or moderate for normal subjects. Because the
skeletal muscle respiratory quotient is close to 1.0, the total body
respiratory quotient normally increases as WR increases. However, the
slope of increase in
CO2 relative to
O2 of the exercising muscle cannot be
>1.0 unless lactic acid is accumulating in the cells and its
H+ is simultaneously buffered by bicarbonate.
As shown in Table 3
, the slope of

O2/
WR is decreased the lower the
peak
O2. In contrast,

CO2/
WR is not significantly
changed. This demonstrates the increasing importance of CO2
from buffering of lactic acid by HCO3- as a
source of ventilatory drive relative to that from CO2
derived from aerobic metabolism as exercise limitation from
heart failure becomes more marked.
The ventilatory response also depends on how tightly pH and
PaCO2 are regulated as WR is increased. However, there
appears to be nothing unusual about the control mechanisms that
regulate pH and PaCO2 in HF patients during exercise (Figs 4
and 7
). The end-exercise PaCO2 is only slightly reduced
from that at rest. The three patient groups did not differ with respect
to regulation of arterial pH as
O2 increased. Patients with the lowest
peak
O2 values had the least
end-exercise arterial metabolic acidosis,
although the lactate increase was greater for the WR performed (Fig 7
).
Despite the relatively small arterial lactic acidosis at
peak
O2 in the group with the lowest
peak
O2, metabolic acid
buffering takes place at a high rate relative to
O2 in the muscles (Table 3
). The
increasing proportion of
O2 derived from
HCO3- buffering relative to that coming from
aerobic metabolism accounts for a relatively steep
ventilatory response to exercise above the lactate threshold when
ventilation is plotted as a function of
O2.
As shown in Fig 2
, the patients in group 3 (peak
O2 <12 mL ·
min-1 · kg-1),
at their average peak
O2 (782.5
mL/min), had an average
E and increase in
E in response to exercise of 169% and 203% of the
normal group, respectively. When Equation 3
is applied, using the data
in Table 3
and Figs 4
and 6
, it can be estimated that the increase in
ventilatory response observed in the HF patients at their peak
O2 could be attributed to all three
factors in the equation. The reduction in PaCO2 (from 38 to
35 mm Hg), the increase in
CO2,
(743.4 to 1093 mL/min), and the increase in
VD/VT (0.25 to 0.48) account for 8%, 47% and
45% of the increase in ventilatory response, respectively.
The increase in VD/VT (Fig 6
) and
P(a-ET)CO2 (Fig 4
) in proportion to the degree of exercise
limitation without the development of arterial hypoxemia or
increased P(A-a)O2 (Fig 5
) is an observation of great
importance in understanding why patients with more severe cardiac
dysfunction have a greater ventilatory requirement at any given WR.
These observations suggest that pathologically high
ventilation/perfusion ratio mismatching occurs in HF patients without
significant (from the point of view of gas exchange) low
ventilation/perfusion ratio mismatching. This places the abnormality on
the pulmonary circulation rather than the airway side of the
gas exchange unit, ie, perfusion is reduced or absent in the
well-ventilated lung. If pulmonary edema developed during
maximal exercise, we might have expected arterial
hypoxia and cough to develop. However, P(A-a)O2
was usually normal at maximal exercise, and a cough after the exercise
was uncommon in the HF patients studied.
Perhaps the decrease in pulmonary perfusion relative to alveolar ventilation results from uneven elevations in pulmonary venous pressure, with greater reduction in perfusion to lung units with higher venous pressures. Alternatively, because of chronic pulmonary stasis, pulmonary blood vessels might have become thrombosed. A third mechanism accounting for the increase in VD/VT might be a change in paracrine secretion regulating pulmonary vasomotor tone. Relative stasis and decreased shear stress in the pulmonary blood vessels might reduce nitric oxide production and increase endothelin-1 production, both of which would promote pulmonary vasoconstriction.27 A reduction in nitric oxide production has been described in the pulmonary artery of an animal model of chronic HF.28 The pulmonary vasoconstriction resulting from the reduction in vasodilator paracrines and the increase in vasoconstrictor paracrines in the pulmonary circulation should increase VD/VT. This vasoconstrictor mechanism would protect the lungs from high-pressure fluid transudation from the capillary bed (pulmonary edema). This hypothesis is supported by the report of Bocchi et al,29 which showed that administration of exogenous nitric oxide to the lungs of cardiac patients promotes pulmonary edema in HF but not other cardiac patients.
It is not likely that the increased VD/VT
is due to the breathing pattern of patients with HF, although this
breathing pattern may contribute to the increase. During exercise, the
VT values are above the resting levels, whereas
VD/VT values are higher than normal resting
values (Fig 6
).
The reduced FEV1 in proportion to VC (Fig 1
) suggests that
patients with stable HF may develop lung restriction. In agreement with
this was the finding that the expiratory flow pattern at maximal
exercise was normal or characteristic of a restrictive lung defect in
which peak flow occurs toward the middle of expiration (1/2
sine-wave pattern) during spontaneous breathing in a subset of six HF
patients from the Harbor-UCLA laboratory. This contrasts with the
expiratory flow pattern of patients with obstructive lung disease. In
the latter, the peak expiratory flow occurs very early in
expiration, and the expiratory flow pattern is trapezoidal in
appearance.30
It is tempting to link the decrease in pulmonary blood flow to ventilated lung, evident from the finding of increased VD/VT and P(a-ET)CO2 but normal P(A-a)O2, to the changes in lung mechanics observed in HF. Regional hypoperfusion reduces alveolar PCO2. This has been described as an operational mechanism for the restrictive changes that occur in the lung in animals31 32 and humans33 when lung perfusion is decreased. Lung restriction takes place by contraction of alveolar duct smooth muscle, resulting in reduced lung compliance (increased lung stiffness) without increased airway resistance. Colebatch et al31 and Nadel et al32 showed that gas was expelled from the lungs and lung compliance decreased immediately after the intravenous injection of substances that reduce pulmonary blood flow in experimental dogs and cats. Histological studies showed a simultaneous reduction in acinar volume. It was concluded that smooth muscle contraction can take place in the peripheral regions of the lungs, reducing lung compliance without increasing airway resistance (pneumoconstriction).
Pneumoconstriction was also observed by Swenson et al33 in humans during unilateral pulmonary artery occlusion. This decreased the ventilation of the nonperfused lung by reducing its distensibility. PaCO2 remained unchanged because ventilation shifted to the lung with perfusion and greater distensibility. The lung with reduced blood flow, of course, had reduced CO2 in its alveoli. The reduction in alveolar PCO2 was suggested as the mechanism for pneumoconstriction because the reduced lung distensibility was reversed when the nonperfused lung was ventilated with 6% CO2.33
Another mechanism accounting for the restrictive changes might be the cardiomegaly that was likely present in some of these patients. A large heart volume would displace lung gas. Hosenpud et al34 reported that "almost" 70% of the increase in vital capacity measured after heart transplantation could be accounted for by the change in heart volume. Although there was no evidence of pulmonary congestion at rest, an engorged lung might become relatively rigid from the high pressure in pulmonary blood vessels. However, neither the cardiomegaly nor the lung plethora mechanism would explain the increase in VD/VT and P(a-ET)CO2 observed in the HF patients in the present study.
Finally, pulmonary fibrosis secondary to long-standing pulmonary edema or thrombosis might account for restrictive changes. However, lung restriction secondary to pulmonary fibrosis would not be expected to reverse. Hosenpud et al,34 Agostoni et al,35 and Kleber et al5 all observed improvement in the restrictive changes in the lungs of HF patients after different forms of treatment (heart transplantation, ultrafiltration, and afterload reducing and diuretic therapy, respectively). Further studies are needed to document the extent of reversibility of the restrictive changes and high ventilation/perfusion mismatching observed in HF patients.
We conclude that the high ventilatory response to exercise relative to
O2 in HF patients is due primarily to
two mechanisms: the increase in
CO2
relative to
O2 due to
HCO3- buffering of the accumulating lactic
acid and the increase in VD/VT due to reduced
perfusion of ventilated lung. These mechanisms are of increasing
importance as the HF patient becomes more dysfunctional. The lung of HF
patients also undergoes restrictive changes. The restrictive changes
may be linked to the high ventilation/perfusion mismatching that takes
place in the lungs of HF patients.
| Selected Abbreviations and Acronyms |
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Received March 17, 1997; revision received May 21, 1997; accepted May 28, 1997.
| References |
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