Spirometry

Description
Spirometry (Current Procedural Terminology [CPT] code 94010 [spirometry], 94060 [spirometry
before and after bronchodilators]) assesses the integrated mechanical function of the lung, chest
wall, and respiratory muscles by measuring the total volume of air exhaled from a full lung (total lung
capacity [TLC]) to maximal expiration (residual volume). This volume, the forced vital capacity (FVC)
and the forced expiratory volume in the first second of the forceful exhalation (FEV 1), should be
repeatable to within 0.15 L upon repeat efforts unless the largest value for either parameter is less
than 1 L. In this case, the expected repeatability is to within 0.1 L of the largest value. The patient is
instructed to inhale as much as possible and then exhale rapidly and forcefully for as long as flow
can be maintained. The patient should exhale for at least six seconds.
Reduction in the amount of air exhaled forcefully in the first second of the forced exhalation (FEV 1)
may reflect reduction in the maximum inflation of the lungs (TLC), obstruction of the airways, or
respiratory muscle weakness. Airway obstruction is the most common cause of reduction in FEV 1.
Airflow obstruction may be secondary to bronchospasm, airway inflammation, loss of lung elastic
recoil, increased secretions in the airway or any combination of these causes. Response of FEV 1 to
inhaled bronchodilators is used to assess the reversibility of airway obstruction.

Indications
Spirometry is used to establish baseline lung function, evaluate dyspnea, detect pulmonary disease,
monitor effects of therapies used to treat respiratory disease, evaluate respiratory impairment,
evaluate operative risk, and perform surveillance for occupational-related lung disease.

Contraindications
Relative contraindications for spirometry include hemoptysis of unknown origin, pneumothorax,
unstable angina pectoris, recent myocardial infarction, thoracic aneurysms, abdominal aneurysms,
cerebral aneurysms, recent eye surgery (within 2 weeks due to increased intraocular pressure
during forced expiration), recent abdominal or thoracic surgical procedures, and patients with a
history of syncope associated with forced exhalation. Patients with active tuberculosis should not be
tested.

Patient care/preparations
Two choices are available with respect to bronchodilator and medication use prior to testing. Patients
may withhold oral and inhaled bronchodilators to establish baseline lung function and evaluate
maximum bronchodilator response, or they may continue taking medication as prescribed. If
medications are withheld, a risk of exacerbation of bronchial spasm exists.

Interpretation
Interpretation of spirometry results should begin with an assessment of test quality. Failure to meet
performance standards can result in unreliable test results (see the image below). The American
Thoracic Society (ATS) defines acceptable spirometry as an expiratory effort that has the following
characteristics:

Shows minimal hesitation at the start of the forced expiration (extrapolated volume (EV) <
5% of FVC or 0.15 L, whichever is larger)
Has no cough in the first second of forced exhalation
Meets one of three criteria that define a valid end-of-test: (a) smooth curvilinear rise of the
volume-time tracing to a plateau of at least 1 second's duration; (b) if a test fails to exhibit an

expiratory plateau, a forced expiratory time (FET) of 15 seconds; or (c) when the patient cannot or
should not continue forced exhalation for valid medical reasons

Flow-volume characteristics of technically

correct and technically deficient spirometry.

In patients that have significant loss of lung elastic recoil (pulmonary emphysema), spirometry may
show "negative effort dependence of forced expiratory flow." In other words, the effort that has the
highest peak expiratory effort may produce a lower FEV1 because of dynamic compression of the
larger airways. In this circumstance, the effort with the highest FEV 1 produced by a submaximal effort
should not be reported. Although not yet a standard, it appears that selecting only efforts that have a
time to peak flow (TPEF) less than or equal to 0.12 seconds helps eliminate this effect.
Additionally, the two largest values for FVC and the two largest values for FEV 1 in the same testing
session should vary by no more than 0.15 L (0.1 L if the largest value is < 1 L). A recent study has
shown start-of-test problems (affecting FEV1measurements) to be relatively uncommon (2%
prevalence in one series) and end-of-test problems (affecting FVC quality) being very common (6184% prevalence). Allowing the patient to relax and push gently after 3-4 seconds of forced
exhalation has been shown to greatly enhance the ability of patients with airflow obstruction to
satisfy end-of-test criteria.
Inspection of the volume-time tracing aids in identification of early termination of expiration by
evaluating the presence of an expiratory plateau. In the absence of an expiratory plateau, a 12- to
15-second expiratory time ensures the quality of the FVC. Inspection of the start of the volume-time
tracing can identify a hesitant start, which can result in a falsely low FEV 1. Reproducibility of the FVC
and the FEV1helps ensure that the results truly represent the patient's lung function. Attention should
be focused on three key parameters: FVC, FEV1, and the FEV1 -to-FVC ratio.
In the United States, normal values and lower limits of normal defined by Hankinson et al [1] (the
National Health and Nutrition Examination Survey [NHANES] III predicted set) should be used.
These provide specific equations for whites, African Americans and Mexican Americans. If the
patient belongs to another ethnic group, the predicted values and lower limits of normal provided for
whites by Hankinson et al should be reduced by 12% by multiplying the predicted value by 0.88
before comparison with the patient's results.
Abnormalities can be classified by the physiologic patterns outlined below.

Obstructive defects
Disproportionate reduction in the FEV1 as compared to the FVC (and therefore the FEV1 -to-FVC
ratio) is the hallmark of obstructive lung diseases. This physiologic category of lung diseases

includes but is not limited to asthma, acute and chronic bronchitis, emphysema, bronchiectasis,
cystic fibrosis, alpha 1-antitrypsin deficiency, and bronchiolitis. The expiratory flow at any given
expiratory volume is reduced. The mechanism responsible for the reduction in airflow can be
bronchial spasm, airway inflammation, increased intraluminal secretions, and/or reduction in
parenchymal support of the airways due to loss of lung elastic recoil.
The use of a fixed lower limit of normal for the FEV1/FVC ratio as proposed by the Global Initiative for
Obstructive Lung Disease (GOLD) lacks a scientific basis and results in misclassifying patients at
either end of the age spectrum. Young patients are classified as "normal" when airflow obstruction is
present, and older patients are classified as showing obstruction when no airflow obstruction is
present. The use of the GOLD threshold for identifying airway obstruction should be discouraged in
clinical practice where or when computerized predicted values are available.

Assessment of reversibility of airway obstruction

When airway obstruction is identified on spirometry, assessing response to inhaled bronchodilators
is useful. The ATS has recommended that the threshold for significant response be demonstration of
an increase of at least 12% and 0.2 L in either FVC (provided the expiratory time for both sessions
agree within 10%) or FEV1 on a spirogram performed 10-15 minutes after inhalation of a therapeutic
dose of a bronchodilating agent. New standards recommend the use of four inhalations (100 mcg
each, 400 mcg total dose) of albuterol administered through a valved spacer device. When concern
about tremor or heart rate exists, lower doses may be used. Response to an anticholinergic drug
may be assessed 30 minutes after four inhalations (40 mcg each, 160 mcg total dose) of ipratropium
bromide. Failure to respond to bronchodilator challenge does not preclude clinical benefit from
bronchodilators. A positive response to the bronchodilators may correlate with response to steroid
therapy.

Restrictive defects
Reduction in the FVC with a normal or elevated FEV 1 -to-FVC ratio should trigger further diagnostic
workup to rule out restrictive lung disease. Because the FEV1 is a fraction of the FVC, it also is
reduced, but the FEV1 -to-FVC ratio is preserved at a normal or elevated level. Measuring the TLC
and residual volume (RV) can confirm restriction suggested by spirometry. See the image below.

This is a graph of lung volumes in health and

in disease, showing the various lung subdivisions. Normal aging results in an increase in functional reserve capacity
(FRC) and residual volume (RV) and a normal total lung capacity (TLC) percentage. Obstructive lung diseases cause
hyperinflation (increase in RV and FRC) with a relatively normal forced vital capacity (FVC). In severe emphysema,
the TLC percentage can exceed 150%, with the RV impinging on the FVC. Restrictive lung diseases exhibit reduced
TLC percentage with relative preservation of the RV/TLC percentage in fibrosis, a reduced inspiratory capacity and
expiratory reserve volume (ERV) in neuromuscular disease, and severe reduction of the ERV in extreme obesity.

Quantification of impairment by spirometry

In normal spirometry, FVC, FEV1, and FEV1 -to-FVC ratio are above the lower limit of normal. The
lower limit of normal is defined as the result of the mean predicted value (based on the patient's sex,
age, and height) minus 1.64 times the standard error of the estimate from the population study on

which the reference equation is based. If the lower limit of normal is not available, the FVC and
FEV1should be greater than or equal to 80% of predicted, and the FEV1 -to-FVC ratio should be no
more than 8-9 absolute percentage points below the predicted ratio. The ATS has recommended the
use of lower limits of normal instead of the 80% of predicted for setting the threshold that defines
abnormal test results.
A reduced FVC on spirometry in the absence of a reduced FEV1 -to-FVC ratio suggests a restrictive
ventilatory problem. An inappropriately shortened exhalation during spirometry can (and often does)
result in a reduced FVC. Causes of restriction on spirometry include obesity, cardiomegaly, ascites,
pregnancy, pleural effusion, pleural tumors, kyphoscoliosis, pulmonary fibrosis, neuromuscular
disease, diaphragm weakness or paralysis, space-occupying lesions, lung resection, congestive
heart failure, inadequate inspiration or expiration secondary to pain, and severe obstructive lung
disease. The severity of reductions in the FVC and/or the FEV1 can be characterized by the following
scheme:

Mild - 70-79% of predicted

Moderate - 60-69% of predicted
Moderately severe - 50-59%
Severe - 35-49% of predicted
Very severe - Less than 35% of predicted
Note that small airway obstruction may be present even when the FEV1/FVC% is above the lower
limit of normal. The mid-flow rate or forced expiratory flow occurring in the middle 50% of the
patient's exhaled volume (FEF25-75%) may fall below its lower limit of normal even when the FVC, FEV1,
and FEV1/FVC% are all normal.
The lower limit of normal for the FEF25-75% can be less than 50% of the mean predicted value, making
it important to use the lower limit of normal defined by the 95% confidence limit of the mean
predicted value rather than a threshold defined by a fixed percentage of the predicted value. The
FEF25-75% is also very dependent on expiratory time. If expiratory times of spirometry efforts vary by
more than 10%, comparisons of the FEF25-75% before and after bronchodilator challenge are difficult to
interpret. Early termination of expiration shifts the middle 50% of the exhaled volume toward the start
of the exhalation, artifactually raising the FEF25-75%.

Special assessments
Sitting versus supine vital capacity: Evaluation of diaphragm strength can be accomplished by
measuring the vital capacity in an upright or sitting position followed by a measurement made in the
supine position. A reduction in the vital capacity to less than 90% of the upright vital capacity
suggests diaphragm weakness or paralysis. Interpreting an increased reduction in vital capacity in
the supine position as diaphragm dysfunction should be made cautiously if the patient's body mass
index is greater than 45 kg/m2. Studies reporting the normal reduction of the vital capacity of less
than 10% from upright to supine were conducted with individuals who were not obese. Slightly
greater reductions in obese individuals in a supine position may not indicate diaphragm dysfunction,
but rather an increase in the resistance to diaphragm descent. Reductions in the supine vital
capacity more than 20% of baseline indicate hemidiaphragm or diaphragm dysfunction or paralysis.
Upper airway obstructions: The configuration of the flow-volume curve of a properly performed
spirometry test can be used to demonstrate various abnormalities of the larger central airways
(larynx, trachea, right and left mainstem bronchi). Three patterns of flow-volume abnormalities can
be detected: (1) variable intrathoracic obstructions, (2) variable extrathoracic obstructions, and (3)
fixed upper airway obstructions. Reproducing these findings on every effort is important because
spurious nonreproducible reductions in inspiratory flow are not uncommon after completion of forced
expirations in subjects without upper airway obstruction. Examples of variable intrathoracic

obstruction include localized tumors of the lower trachea or mainstem bronchus, tracheomalacia,
and airway changes associated with polychondritis.
Variable upper airway obstructions demonstrate flow reductions that vary with the phase of forced
respirations. Variable intrathoracic obstructions demonstrate reduction of airflow during forced
expirations with preservation of a normal inspiratory flow configuration. This is observed as a plateau
across a broad volume range on the expired flow limb of the flow-volume curve. The reduction in
airflow results from a narrowing of the airway inside the thorax, in part because of a narrowing or
collapse of the airway secondary to extraluminal pressures exceeding intraluminal pressures during
expiration.
Variable extrathoracic obstructions demonstrate reduction of inspired flows during forced inspirations
with preservation of expiratory flows. Again, the major cause of the reduced flow during inspiration is
airway narrowing secondary to extraluminal pressures exceeding intraluminal pressures during
inspiration. Causes of this type of upper airway obstruction include unilateral and bilateral vocal cord
paralysis, vocal cord adhesions, vocal cord constriction, laryngeal edema, and upper airway
narrowing associated with obstructive sleep apnea.
Fixed upper airway obstructions demonstrate plateaus of flow during both forced inspiration and
forced expiration. Causes of fixed upper airway obstruction include goiters, endotracheal neoplasms,
stenosis of both main bronchi, postintubation stenosis, and performance of the test through a
tracheostomy tube or other fixed orifice device. (See the images below.)

Flow reduction must be consistent on every

effort to be considered actual flow limitation. Fixed upper airway obstruction may be caused by postintubation
stenosis, goiter, endotracheal neoplasms, and bronchial stenosis. Variable extrathoracic obstruction may be caused
by bilateral and unilateral vocal cord paralysis, vocal cord constriction, reduced pharyngeal cross-sectional area, and
airway burns. Variable intrathoracic obstruction may be caused by tracheomalacia, polychondritis, and tumors of the
lower trachea or main bronchus.

Flow reduction must be consistent on every

effort to be considered actual flow limitation. Fixed upper airway obstruction may be caused by postintubation
stenosis, goiter, endotracheal neoplasms, and bronchial stenosis. Variable intrathoracic obstruction may be caused
by tracheomalacia, polychondritis, and tumors of the lower trachea or main bronchus. Variable extrathoracic
obstruction may be caused by bilateral and unilateral vocal cord paralysis, vocal cord constriction, reduced
pharyngeal cross-sectional area, and airway burns.

Assessment of operative risk

While no single test can effectively predict intraoperative and postoperative morbidity and mortality
from pulmonary complications, the FEV1 obtained from good quality spirometry is a useful tool. When
the FEV1 is greater than 2 L or 50% of predicted, major complications are rare.
Operative risk is heavily dependent on the surgical site, with chest surgery having the highest risk for
postoperative complications, followed by upper and lower abdominal sites. Patient-related factors
associated with increased operative risk for pulmonary complications include preexisting pulmonary
disease, cardiovascular disease, pulmonary hypertension, dyspnea upon exertion, heavy smoking
history, respiratory infection, cough (particularly productive cough), advanced age (>70 y),
malnutrition, general debilitation, obesity, and prolonged surgery.
Assessment for lung surgery typically involves prediction of a postoperative FEV 1by using the
preoperative FEV1. In a borderline case, consideration of the contribution of the remaining portions
can be assessed by a perfusion scan. The relative percentage of perfusion (Q) of the remaining lung
or lung segments usually is proportional to its contribution to ventilation and can be used to estimate
postoperative function as shown in the following equation:
Postoperative FEV1 = Preoperative FEV1 Q% of the remaining lung
For example, if the preoperative FEV1 is 1.6 L and the lung to be resected demonstrates 40%
perfusion, the postoperative FEV1 would be 1.6 0.6 = 0.96 L. An estimated postoperative FEV1 of
less than 0.8 L often is associated with chronic respiratory failure and may indicate an unacceptable
degree of operative risk.Arterial blood gases (ABGs) and cardiopulmonary exercise testing may help
evaluate operative risk in patients who have a preoperative FEV1 below 2 L or 50% of predicted.
The algorithm for clearance of candidates for lung resection proposed by Bolinger and
Perruchoud[2] has been successfully evaluated in 137 consecutive patients who were referred for
resection by Wyser et al[3] with an overall mortality of 1.5% and is detailed in Cardiopulmonary Stress
Testing. Patients with a negative cardiac history and ECG that demonstrate an FEV 1 and a diffusing
capacity of lung for carbon monoxide (DLCO) that are greater than 80% of predicted are judged to
be able to undergo pneumonectomy safely.

Technical considerations
The ATS has published guidelines for a standardized technique that includes spirometer
performance standards. A reasonable end-point for the maneuver in the absence of true flow
cessation (ie, airway obstruction is present) is 15 seconds. Patients often discontinue the forced
exhalation prematurely because of the discomfort of prolonged forced exhalation. A modified
technique in which the patient exhales with maximum force for three seconds followed by continued
relaxed exhalation has been shown to enhance the patient's ability to sustain expiration, thereby
yielding a larger FVC in patients with airflow obstruction.

Office spirometry
In 2000, the National Lung Health and Education Program (NLHEP) proposed an initiative to identify
approximately 13 million Americans with undiagnosed chronic obstructive pulmonary disease
(COPD) by performing spirometry on two groups of patients, ie, (1) those aged 45 years or older
who are actively smoking or who have quit within the last year and (2) those aged 25 years or older
who have respiratory symptoms (eg, cough, dyspnea, wheezing), regardless of smoking history.
[4]
Based on the last NHANES survey, approximately 50-60 million Americans fall into one of these
groups.
The proposal suggests that every primary care practitioner, internist and general practitioner should
have the capability of administering a form of spirometry test that would presumably be easier to
administer than the standard spirometry test. This test, referred to as office spirometry, would differ

from standard spirometry in both instrumentation and procedure. Office spirometry exhalations
would automatically terminate at six seconds rather than continuing to an expiratory plateau. The
forced expiratory volume at 6 seconds (FEV6) would act as a surrogate for the FVC. Likewise, the
FEV1/FEV6% would act as a surrogate for the FEV1/FVC%. Normal values for both the FEV6 and the
FEV1/FEV6% are provided by Hankinson et al (NHANES III predicted set).
A study suggesting that the sensitivity for detecting obstruction using the FEV 1/FEV6% is greater than
95% has been challenged by another study that suggests the sensitivity of the FEV 1/FEV6% for
detecting obstruction is closer to 80%. The NLHEP recommends that abnormalities detected by
office spirometry be confirmed by diagnostic spirometry (using the FVC and the FEV 1/FVC%) and
lung volumes, if necessary.