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REVIEW
URRENT
C
OPINION
Noninvasive ventilation and high-flow nasal oxygen
for acute respiratory failure: is less more?
Arnaud W. Thille a,b, Rémi Coudroy a,b, and Jean-Pierre Frat a,b
Purpose of review
High-flow nasal oxygen and noninvasive ventilation (NIV) are two strategies representing an alternative to
standard oxygen in the management of respiratory failure.
Recent findings
Although high-flow nasal oxygen has shown promising results in patients with de-novo acute respiratory
failure, further large clinical trials are needed to determine the best oxygenation strategy. As NIV may have
deleterious effects, especially in patients generating strong inspiratory efforts, protective NIV using higher
levels of positive-end expiratory pressure, more prolonged sessions and additional interfaces such as
helmets should be assessed in the future. Whereas NIV is the first-line ventilation strategy in patients with
acute exacerbation of chronic lung diseases, high-flow nasal oxygen could be an alternative to NIV after
partial reversal of respiratory acidosis. To prevent severe hypoxemia during intubation of hypoxemic
patients or to prevent postextubation respiratory failure in patients at high-risk of reintubation, NIV is the
best strategy for preoxygenation or immediately after extubation in ICUs.
Summary
New large-scale clinical trials are needed to compare high-flow nasal oxygen with standard oxygen in
patients with de-novo acute respiratory failure to determine the reference treatment. After which, more
protective NIV could be assessed among the more severe patients.
Keywords
acute respiratory failure, high-flow nasal oxygen, noninvasive ventilation, respiratory insufficiency
INTRODUCTION
Reports on the first randomized clinical trials (RCTs)
on noninvasive ventilation (NIV) were published in
the 1990s and showed marked clinical improvement
in patients with acute respiratory failure due to
cardiogenic pulmonary edema or to chronic
obstructive pulmonary disease (COPD) [1,2]. During
the 2000s, the use of NIV in ICUs has been growing
as a treatment for all forms of respiratory failure,
especially in patients with de-novo acute respiratory
failure, that is without underlying cardiac or chronic
lung disease. Contrary to all expectations, a clinical
trial published in 2004 suggested for the first time
that patients treated by NIV for respiratory failure
may have an increased risk of death as compared
with standard oxygen [3]. In the 2010s, the first pilot
studies appeared on high-flow nasal oxygen as an
alternative to standard oxygen, and in 2015, a large
clinical trial including 310 patients with de-novo
acute respiratory failure radically transformed the
existing paradigms [4]. Mortality of patients treated
with high-flow nasal oxygen was found to be lower
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than in patients treated with standard oxygen and
above all, lower than in patients treated with highflow nasal oxygen alternating with NIV sessions,
thereby suggesting deleterious effects of NIV. A
post-hoc analysis of this study showed that patients
generating large tidal volumes 1 h after NIV initiation (>9 ml/kg of predicted body weight) had higher
mortality than those with lower tidal volumes [5].
Surprisingly, tidal volumes had never been reported
in previous trials, and thereby seemed not to be
considered as a criterion of respiratory severity.
These findings reinforced the concept of patient
self-inflicted, otherwise known as effort-dependent
a
Centre Hospitalier Universitaire de Poitiers, Médecine Intensive Réanimation and bCentre d’Investigation Clinique 1402 ALIVE, INSERM,
Université de Poitiers, Poitiers, France
Correspondence to Arnaud W. Thille, Service de Médecine Intensive
Réanimation, CHU de Poitiers, 2 Rue la Milétrie, 86021 Poitiers Cedex,
France. Tel: +33 549444007; e-mail: aw.thille@gmail.com
Curr Opin Crit Care 2021, 27:60–65
DOI:10.1097/MCC.0000000000000785
Volume 27 Number 1 February 2021
Copyright © 2020 Wolters Kluwer Health, Inc. All rights reserved.
Noninvasive ventilation and high-flow nasal oxygen Thille et al.
KEY POINTS
Although high-flow nasal oxygen has shown promising
results in patients with de-novo acute respiratory failure,
other studies are needed to recommend it as a first-line
strategy of oxygenation. Whereas NIV may have
deleterious effects, especially in patients with strong
inspiratory efforts, ongoing research is aimed at
assessing protective NIV using higher levels of positiveend expiratory pressure, more prolonged sessions and
other interfaces such as a helmet.
Whereas NIV is the first-line strategy of ventilation in
patients with acute exacerbation of chronic lung
disease with respiratory acidosis (pH 7.35), high-flow
nasal oxygen could be an alternative to standard
oxygen between NIV sessions or even an alternative to
NIV after partial reversal of respiratory acidosis.
To prevent severe hypoxemia during intubation of
hypoxemic patients or to prevent postextubation
respiratory failure in patients at high-risk of
reintubation, NIV is the best strategy to apply for
preoxygenation or immediately after extubation
in ICUs.
lung injury, meaning that despite moderate pressure-support levels, patients generating strong inspiratory efforts receive in return large tidal volumes,
which worsen preexisting lung injury [6]. Therefore,
assessment of respiratory effort might help to deliver
a more protective noninvasive strategy of ventilation by mitigating patient effort and moderating
subsequent tidal volumes.
PATIENTS WITH DE-NOVO ACUTE
RESPIRATORY FAILURE
To highlight the role of patient respiratory effort, a
physiological study including 30 patients with acute
respiratory failure found monitoring of inspiratory
effort using esophageal pressure measurements to be
a major predictor of NIV failure [7 ]. The drop of
esophageal pressure (DPes) reflecting the magnitude
of inspiratory effort was markedly higher 2 h after
NIV initiation among patients who failed NIV and
required intubation than in those who improved
under NIV. By contrast, a reduction in DPes of at least
10 cmH2O after 2 h of NIV was strongly associated
with avoidance of intubation, and represented the
most accurate predictor of treatment success, much
more predictive than large tidal volumes exceeding
9 ml/kg or severity of hypoxemia (PaO2/FiO2).
In a systematic review comparing intubation
rates according to NIV protocol (14 trials gathering
750 patients), intubation rate was not influenced by
duration of NIV sessions or type of ventilator, but
&&
was lower when using high positive end-expiratory
pressure (PEEP) levels (>6 cmH2O) [8]. Thereby,
adjustment of high PEEP levels could be a major
determinant of ventilator settings under NIV in view
of decreasing inspiratory effort [9] and of promoting
alveolar recruitment as is the case in patients with
acute respiratory distress syndrome.
When compared with the face mask, the helmet
is an interface apparently more comfortable for
patients (avoiding facial pressure points), and may
thereby be an alternative enabling delivery of more
prolonged NIV sessions with higher levels of pressure [10]. A physiological study of 15 patients with
acute respiratory failure compared high-flow nasal
oxygen with a flow at 50 l/min vs. NIV using helmet
delivering high PEEP (at least 10 cmH2O) and high
pressure-support levels (10–15 cmH2O) [11 ]. Compared with high-flow nasal oxygen, NIV with a
helmet markedly improved oxygenation and significantly reduced dyspnea, respiratory rate, and
patient effort, whereas comfort and PCO2 remained
similar. Significantly, the beneficial physiological
effects of helmet NIV were more pronounced in
patients who made more vigorous spontaneous
efforts (i.e., they exhibited a more pronounced
reduction of spontaneous effort when switched to
helmet NIV). However, the transpulmonary pressure swing seemed to be higher with a helmet than
with high-flow nasal oxygen which may potentially
worsen lung injury in some patients. Further clinical
trials are needed to confirm physiological effects
before it can be used safely in clinical practice.
Despite improved understanding of physiological determinants, whether NIV is beneficial or deleterious remain controversial, and the latest clinical
practice guidelines the experts were unable to offer a
recommendation [12]. In a network meta-analysis
including 3804 patients from 25 RCTs, treatment
with NIV or with high-flow nasal oxygen were both
associated with lower risk of endotracheal intubation. However, only NIV was associated with a lower
risk of mortality as compared with oxygen (low certainty for helmet and moderate certainty for facemask) [13]. This finding does not necessarily mean
that NIV is more effective than high-flow nasal oxygen in management of acute respiratory failure. Far
more studies have been conducted on NIV than on
high-flow nasal oxygen, and many NIV trials
included mixed populations with COPD or postoperative patients, who are known to benefit from
NIV, or immunocompromised patients, who might
likewise show greater improvement with NIV. Up
until now, the largest RCT including homogeneous
patients with de-novo acute respiratory failure found
a lower mortality with high-flow nasal oxygen than
with NIV or standard oxygen [4].
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&&
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Respiratory system
In patients treated with high-flow nasal oxygen,
calculation of the ROX index (ratio of SpO2/FIO2 to
respiratory rate) has been proposed as an easy-to-use
index facilitating the decision of intubation [14 ].
The diagnostic accuracy of this index has been
assessed in a multicenter prospective observational
cohort study including 191 patients treated with
high-flow nasal oxygen (36% required intubation).
Two hours after initiation of high-flow nasal oxygen, ROX index at least 4.88 was associated with
lower risk of intubation, whereas ROX index less
than 2.85 was a good predictor of intubation. On the
other hand, modalities for separation from highflow nasal oxygen in patients improving have been
poorly studied. A retrospective monocenter study
including 190 patients treated with high-low nasal
oxygen found that ROX index at least 9.2 and a
criterion even easier to use, that is FiO2 of 40% or less
at time of the separation, were the two best predictors of successful separation from high-flow nasal
oxygen [15 ]. Lastly, patients included in future
trials should be perfectly comparable in terms of
respiratory severity, especially the PaO2/FiO2 ratio
which is a good indicator of oxygenation. Whereas
FiO2 is adjusted using NIV or high-flow nasal oxygen, it is not known under standard oxygen. The
reliability of different inspired oxygen fraction estimation methods has been assessed in 262 patients
with acute hypoxemic respiratory failure breathing
spontaneously through nonrebreather reservoir bag
oxygen mask [16 ]. As compared with inspired oxygen fraction measured inside the mask, the most
accurate estimation method was the following:
21% þ oxygen flow rate (in l/min) 3. Other estimation methods overestimated inspired oxygen fraction and hypoxemia severity.
&
&
&
PATIENTS WITH CORONAVIRUS DISEASE
2019
In patients with respiratory failure related to coronavirus disease 2019 (COVID-19), several studies
have reported promising results using high-flow
nasal oxygen or NIV to avoid intubation, with
intubation rates ranging from 20 over 50%
[17,18,19 ,20]. Given the small number of studies
and low level of evidence, the best oxygenation
strategy remains to be determined. In a cohort of
146 COVID-19 patients treated with high-flow nasal
oxygen in ICUs, the intubation rate was 56% and
ICU mortality was 25% [19 ]. Using a propensity
score-matched analysis, patients treated with highflow nasal oxygen seemed to have lower intubation
rates than those not receiving high-flow nasal oxygen. One of these studies suggests that these strategies are even feasible outside ICUs and are associated
&
&
62
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with favorable outcomes notwithstanding a risk of
staff contamination [18]. However, several in vitro
studies assessing bio-aerosol dispersion with a manikin found that the exhaled smoke dispersion distance using high-flow nasal oxygen at 60 l/min was
similar compared with an oxygen mask at 15 l/min,
and even lower than when using nonrebreathing
and Venturi masks [21].
IMMUNOCOMPROMISED PATIENTS
The use of NIV is still recommended in management
of immunocompromised patients with acute respiratory failure [12]. However, the strength of this
recommendation is only conditional given the
moderate certainty of evidence. The largest RCT
performed up until now found no beneficial effects
of NIV in terms of intubation and mortality rates as
compared with oxygen alone [22].
The mortality of immunocompromised
patients requiring intubation is particularly high,
and could explain a particular indication of NIV in
this context to avoid intubation at all costs. Nevertheless, NIV does not seem more efficient in immunocompromised patients than in other patients. In
a study including 208 patients treated by NIV for
acute hypoxemic respiratory failure, the risk of
intubation was not higher in immunocompromised patients than in the others using propensity-matched analysis, whereas their risk of death
was increased by 2.6-fold in the ICU [23]. In this
population, the most effective strategy of oxygenation is not clearly established. A large multicenter
trial compared high-flow nasal oxygen vs. standard
oxygen in 778 immunocompromised patients with
acute hypoxemic respiratory failure [24 ]. Overall
intubation and day-28 mortality rates did not differ
between the two groups of treatment. However, a
high proportion of patients died without prior intubation, meaning that they had a do-not-intubate
order, and this might have mitigated the potential
beneficial effects of high-flow nasal oxygen for
patients treated for acute respiratory failure with
full code ICU management.
As previous studies did not necessarily use
protective NIV, a study protocol aiming to compare protective NIV, that is using prolonged sessions with high levels of PEEP and targeting low
tidal volumes vs. high-flow nasal oxygen therapy
alone in a large RCT has been designed [25]. This
multicenter trial planned to include 300 immunocompromised patients with acute hypoxemic
respiratory failure and to assess the day-28 mortality rate as main outcome. In the absence of NIV
superiority, we could assume that NIV may
no longer be recommended for management of
&&
Volume 27 Number 1 February 2021
Copyright © 2020 Wolters Kluwer Health, Inc. All rights reserved.
Noninvasive ventilation and high-flow nasal oxygen Thille et al.
acute respiratory failure in immunocompromised
patients.
PATIENTS WITH CHRONIC LUNG DISEASE
NIV is obviously the first-line strategy of ventilation
in patients with acute exacerbation of chronic lung
disease with respiratory acidosis (pH 7.35) [12]. The
usual rate of intubation in patients with COPD treated
with NIV in ICUs is around 15%. The HACOR score
(including heart rate, acidosis, consciousness, oxygenation, and respiratory rate) collected 1–2 h after
NIV initiation may help to predict the risk of NIV
failure [26]. In a cohort of 500 COPD patients, the
higher the HACOR score the higher the risk of intubation, at a rate exceeding 50% in patients with a
HACOR score above five points. This score could be of
use in deciding intubation because in most at-risk
patients intubation delayed beyond 48 h has been
associated with increased hospital mortality. Highflow nasal oxygen could be an alternative to standard
oxygen between NIV sessions or even an alternative
to NIV after partial reversal of respiratory acidosis. In a
randomized crossover physiologic study including 30
COPD patients recovering from an episode of acute
respiratory failure, switching from NIV to standard
oxygen increased respiratory rate and work of breathing, which was estimated using diaphragm ultrasonography, whereas it remained stable when
switching from NIV to high-flow nasal oxygen at
50 l/min, and resulted in improved comfort [27]. In
another physiological study including 12 hypercapnic COPD patients who had clinical improvement
after initial treatment with NIV, work of breathing
measured using esophageal pressure under high-flow
nasal oxygen at 30 l/min was similar to work of
breathing measured under NIV [28 ]. However, flow
higher than 30 l/min was associated with increased
work of breathing in half of patients, suggesting that a
flow rate at 30 l/min could be the best setting in COPD
patients recovering from acute respiratory failure. In a
prospective pilot study including 50 COPD patients
recovering from an episode of acute hypercapnic
respiratory failure, switch from NIV to high-flow
nasal oxygen at least 8 h a day and during the night
led to significantly decreased PaCO2 in patients with
pure COPD whereas it has no effect on patients with
associated obstructive sleep apnea [29].
&
PREOXYGENATION OF HYPOXEMIC
PATIENTS
The risk of severe hypoxemia (most often defined as
pulse oximetry below 80%) is particularly frequent
during the intubation procedure, especially in
previously hypoxemic patients, with the ultimate
complication being the risk of cardiac arrest related
to hypoxia. Preoxygenation with the aim of increasing
functional residual capacity and oxygen reserves to
obtain the highest level of SpO2 before intubation may
prevent severe hypoxemia. A large-scale RCT has compared preoxygenation with NIV or high-flow nasal
oxygen in 314 hypoxemic patients requiring intubation in 28 ICUs [30 ]. Severe hypoxemia episodes were
particularly frequent (26% of patients) but did not
differ between the two methods. However, severe
hypoxemia occurred less frequently after preoxygenation with NIV than with high-flow oxygen among the
242 patients with moderate-to-severe hypoxemia
(PaO2/FiO2 200 mmHg) before intubation (24 vs.
35%; P ¼ 0.0459 after adjustment). These results were
confirmed in a recent network meta-analysis of randomized trials including 959 patients from seven
studies suggesting that NIV was safe and probably
the most effective preoxygenation method compared
with standard or high-flow nasal oxygen [31]. Consequently, although there is no a strong certainty in the
evidence, NIV may be suggested for preoxygenation of
most hypoxemic patients before intubation in ICUs.
Another RCT has shown that continuation of bagmask ventilation in ICU patients between induction
and intubation helped to decrease the risk of severe
hypoxia compared with no ventilation [32]. This study
is particularly interesting because it goes against popular belief and suggests that continuation of ventilation during the apnea phase is not harmful despite a
theoretical risk of inhalation. Considering that NIV
may be the most effective preoxygenation strategy, it
should be delivered using pressure-assist controlled
ventilation (with a back-up respiratory rate of 10
cycles/min) rather than using pressure-support ventilation to continue positive pressure ventilation during
apnea between induction and intubation.
&&
AFTER EXTUBATION
In a large clinical trial, 641 patients extubated after at
least 24 h of mechanical ventilation and considered
at high-risk of reintubation, that is older than 65 years
or with underlying chronic cardiac or lung disease,
were randomly assigned to receive high-flow nasal
oxygen alone or alternating with NIV sessions for
48 h after extubation with the aim of preventing
respiratory failure [33 ]. The proportion of patients
who developed postextubation respiratory failure or
required reintubation was significantly lower with
NIV than with high-flow nasal oxygen alone.
Whereas the most recent international clinical practice guidelines recommend NIV after extubation
patients at high-risk of extubation failure in ICUs,
the strength of this recommendation was only conditional given the moderate certainty of evidence
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&&
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63
Respiratory system
[12]. This recent RCT further reinforces certainty and
could consequently change clinical practice and contribute to the establishment of a strong recommendation on preventive NIV after extubation of patients
at high-risk of reintubation in ICUs.
IN CONCLUSION
The use of NIV as first-line strategy of ventilation is
particularly efficient to treat respiratory failure in
patients with chronic lung disease, or to prevent
respiratory failure after extubation, while highflow nasal oxygen maybe an alternative to standard
oxygen between NIV sessions. In patients with denovo acute respiratory failure the best oxygenation
strategy remains uncertain. Only one RCT has
reported lower risk of mortality with high-flow
nasal oxygen compared with all other strategies
of oxygenation. Protective NIV using high levels
of PEEP and low levels of pressure-support or delivered through helmet might be an alternative for
future research.
Acknowledgements
We thank Jeffrey Arsham (CHU de Poitiers, Poitiers,
France) for reviewing and editing the original Englishlanguage article.
Financial support and sponsorship
None.
Conflicts of interest
A.W.T. reported receiving grants from the French Ministry of Health and personal fees (payment for lectures and
travel expense coverage to attend scientific meetings)
from Fisher & Paykel Healthcare, Maquet-Getinge, GE
Healthcare, and Covidien.
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&&
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