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Mary C. Townsend, DrPH, and the Occupational and Environmental Lung Disorders Committee
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
curves, and test results from at least the time curves and ISO minimum aspect ratios
TABLE 1. Spirometry in the
3 best maneuvers, and preferably from all for these displays, as well as providing a
Occupational Setting—2011 Update
saved efforts; (4) optionally provide a sep- standard spirometer electronic output (see
Topics
arate final spirometry summary report for the Appendix).
Equipment Performance interpretation of the best test results; (5)
provide computer-derived technical quality Spirometer Accuracy Checks
Spirometer specifications
indicators; (6) provide a dedicated routine The 2005 ATS/ERS Spirometry
Validation testing of spirometers
for verifying spirometer calibration; and Statement recommends that the accuracy of
Spirometer accuracy checks (7) save indefinitely a comprehensive elec- both volume- and flow-type spirometers is
Avoiding sensor errors during subject tests tronic record of all calibration and calibra- checked at least daily when a spirometer is in
Conducting Tests tion verification results. These ACOEM and use. The acceptable spirometer response to
Technician training ATS/ERS recommendations and ISO re- a standard 3-L calibration syringe injection
Conducting the test quirements apply to both volume- and flow- has been expanded to ±3.5% of the injected
Testing goal for a valid test type spirometers. volume, or 2.90 to 3.10 L.4
Reporting results Flow-type spirometer calibration is
Quality assurance reviews
Validation Testing of checked by injecting the 3-L calibration
Comparing Results With Reference Values
Spirometers syringe at three different speeds to verify
The ATS/ERS 2005 statement and spirometer accuracy as varying flow rates
Reference values
the 2009 ISO 26782 Standard6 include enter the spirometer.4 The American
Race adjustment of predicted values and Thoracic Society/European Respiratory
waveforms for validation testing of spirom-
LLNs eters. Manufacturers submit a prototype Society-recommended injection speeds are
Interpretation algorithm spirometer and software for validation test- approximately 6 L/s, 1 L/s, and 0.5 L/s,
Evaluating Results Over Time ing, which is preferably administered by produced by injecting 3 L over approxi-
Longitudinal interpretation an independent testing laboratory, or some- mately 0.5, 3, and 6 or more seconds. An
Pre- to post-bronchodilator changes in times by the manufacturer. A letter or cer- acceptable spirometer response to each
pulmonary function tificate is generated if the spirometer passes injection is a value between 2.90 and
the testing. In addition to passing validation 3.10 L. If disposable sensors are used,
LLN, lower limits of normal testing of a spirometer’s operating character- it is recommended that a new sensor be
istics, users in the occupational setting also drawn from the patient supply each time
volume-time curves which meets or exceeds need to determine whether the spirometer the calibration is checked. This frequent
ATS/ERS minimum size and ISO minimum meets ATS/ERS specifications of adequate sampling and evaluation of sensors used for
aspect ratio standards; (2) graphs in hard- real-time displays and hard-copy graphs, subject testing will help prevent erroneous
copy printouts that meet or exceed ATS/ERS and standard spirometer electronic output4 subject test results caused by deteriorating
minimum size standards; and (3) standard (see the Appendix). accuracy of the sensor supplies over time.
electronic spirometer output of results and If spirometers are purchased for use Volume spirometers are checked for
curves. in the occupational health setting, ACOEM leaks daily and each time a breathing hose
Beyond meeting these ATS/ERS strongly recommends that (1) the manufac- is changed (leaks are acceptable if they are
minimum recommendations and ISO min- turer needs to provide written verification smaller than 30 mL/min), as well as for the
imum requirements, ACOEM also recom- that the spirometer successfully passed its response to a single injection of a 3-L cali-
mends that spirometers used for occupa- validation testing, preferably conducted by bration syringe. Quarterly checks of volume
tional spirometry tests (1) save all infor- an independent testing laboratory, and that spirometer linearity are also recommended
mation from up to eight maneuvers in a the tested spirometer and software version by ATS/ERS.
subject test session; (2) permit later editing correspond with the model and software ver- Calibration syringes are checked for
and deletion of earlier flawed test results; sion being purchased; and (2) the spirometer leakage on a monthly basis.4 Syringes are re-
(3) provide a complete spirometry test re- needs to meet the ATS/ERS recommended calibrated periodically by the manufacturer
port for review of technical quality, which minimum real-time display and hard-copy using a method traceable to the National In-
includes all flow-volume and volume-time graph sizes for flow-volume and volume- stitute of Standards and Technology. Recali-
bration is also needed whenever the syringe
stops are reset or become loose. Syringes
are stored near the spirometer so that both
are stored and used under the same environ-
mental conditions.
Before performing accuracy checks,
spirometer users need to determine whether
a 3-L syringe injection simply verifies
the spirometer’s accuracy or whether, in
fact, it resets the spirometer’s calibra-
tion. Many currently available spirome-
ters permit users only to check the cali-
FIGURE 1. Valid test. Flow-volume curve (left) emphasizes start of test, rising im- bration; that is, the calibration itself can-
mediately to a sharp peak and smoothly descending to zero flow. Volume-time not be altered. However, some spirome-
curve (right) emphasizes end of test, initially rising rapidly, and then gradually flat- ters’ settings are changed when a calibra-
tening out and reaching 1 second of no visible volume change, at the FVC plateau. tion syringe is injected, and other spirom-
To permit effective subject coaching, the American Thoracic Society/European Res- eters’ settings are automatically changed
piratory Society recommends using spirometers that show both graphical displays if the spirometer fails to pass its accu-
as the test is performed and in sufficient size to clearly reveal technical errors. racy check. When altering the calibration,
570
C 2011 American College of Occupational and Environmental Medicine
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
C 2011 American College of Occupational and Environmental Medicine 571
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
572
C 2011 American College of Occupational and Environmental Medicine
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
C 2011 American College of Occupational and Environmental Medicine 573
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
sum of (FEV1 + FVC). The highest peak try standardization statements strongly rec- The American College of Occupa-
expiratory flow recorded from among all ac- ommend that spirograms be reviewed pe- tional and Environmental Medicine highly
ceptable curves is to be reported. riodically to provide regular feedback on recommends that facilities performing oc-
The American College of Occupa- the quality of each technician’s testing.3,14 cupational spirometry tests establish on-
tional and Environmental Medicine recom- Quality assurance reviews can be performed going programs that provide quality assur-
mends that occupational spirometry test re- on electronically saved tracings or on copies ance review of spirograms on a regular ba-
ports include values and curves from all ac- of spirograms. It is recommended that sam- sis. The frequency of such reviews needs to
ceptable curves and that the largest FVC ples of randomly selected tests, all invalid be at least quarterly, and more often if tech-
and largest FEV1 be interpreted, even if they tests, and tests with abnormally low or im- nicians are inexperienced or if poor techni-
come from different curves. Default spirom- probably high results (FEV1 or FVC > cal quality is observed. As recommended by
eter configurations need to be examined and, 130% of predicted) be reviewed. Because the California Department of Public Health,
if possible, adjusted to meet these recom- of their profound impact on test results, fig- the goal of such reviews is to maintain the
mendations. ures illustrating some of the technical er- technical quality of spirometry tests at a
rors that can affect spirometry test results high level, assuring that 80% or more of
Quality Assurance Reviews are presented in the 1994 ATS spirometry an occupational health program’s spirom-
In addition to emphasizing technician update16 and included in Figs. 2 to 12 in this etry tests are technically acceptable. It is
training, recent ATS/ERS and ATS spirome- statement. recommended that reviews be conducted by
those experienced in recognizing and cor-
recting flawed spirometry tests results.11
574
C 2011 American College of Occupational and Environmental Medicine
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
C 2011 American College of Occupational and Environmental Medicine 575
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
reference values are adjusted when a cumstances in which they are conducting based on a single research study, both in-
worker’s race/ethnicity differs from the ref- spirometry tests. dices need to be drawn from a single source
erence study subjects’; and (3) selection of of reference values.5,19
the interpretation algorithm used to catego- Reference Values Many reference value studies have
rize pulmonary function as normal or ab- Reference values define the expected been conducted in a single geographical
normal, that is, the choice of lung function average and lower boundary of the refer- location,20,21 but ATS/ERS,5 ACOEM,1 and
parameters to be evaluated and the sequence ence range for individuals with the same the sixth edition of the American Medical
in which they are examined. demographic characteristics as the worker Association (AMA) Guides to the Evalu-
The American College of Occupa- being tested. Reference values are gen- ation of Permanent Impairment18 recom-
tional and Environmental Medicine’s 2000 erated from research studies of asymp- mend using reference values generated from
spirometry statement identified normal, ob- tomatic never smokers of varying ages and the 3rd National Health and Nutrition Ex-
structive, and restrictive impairment pat- heights, both genders, and sometimes vary- amination Survey (NHANES III).22 The 3rd
terns, as well as grading the severity of ing ethnic/racial backgrounds. Subject eth- National Health and Nutrition Examination
those impairments. However, since 2005, nic/racial group is based on self-report, and Survey studied a random sample of never
several conflicting schemes are now rec- height in stocking feet needs to be mea- smokers from across the United States, us-
ommended for grading severity.5,17,18 Since sured periodically. The relationships of pul- ing spirometry testing of high technical
the most critical concern of occupational monary function parameters with these four quality, and including three ethnic/racial
screening spirometry is to separate abnor- demographic variables are summarized in groups. Therefore, race-specific NHANES
mal from normal, this ACOEM statement regression equations, which produce aver- III reference equations are available for
focuses only on that task, for which there age “predicted” values and fifth percentile whites, African Americans, and Mexican-
is strong consensus. Choice of a severity- lower limits of normal (LLN). Since pre- Americans. If the NHANES III reference
grading scheme will be left to the practi- dicted values and LLNs describe the aver- values are not available on older spirome-
tioner’s discretion, depending upon the cir- age and the bottom of the reference range ters, the Crapo reference values20 are closer
576
C 2011 American College of Occupational and Environmental Medicine
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JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
to the NHANES’ values than other available equations if the Crapo equations are not istani) are tested, race-specific NHANES
prediction equations.23 available. Since reference values vary sig- reference values are not available. Though
The American College of Occupa- nificantly and may strongly affect the per- less desirable than race-specific values,24
tional and Environmental Medicine, along cent of predicted values, the selected refer- white-predicted values and LLNs for FVC
with ATS/ERS and the AMA guides sixth ence values need to be documented on the and FEV1 need to be multiplied by a scal-
edition, endorses use of the NHANES III spirometry printout. ing factor to account for the larger thoracic
(Hankinson) reference values in the occu- cages observed in whites when compared
pational setting, unless a regulation man- Race Adjustment of Predicted with Asians of the same age, height, and
dates another specific set of reference val- Values and Lower Limits of gender. The scaling factor recommended by
ues. National Health and Nutrition Exami- Normals ATS/ERS in 2005, 0.94, was based on two
nation Survey reference values can be calcu- If a worker’s self-reported race/ small studies5 and there is recent evidence
lated for individuals, using a reference value ethnicity is the same as that of the ref- that this factor may not be optimal. Studies
calculator at www.cdc.gov/niosh/topics/ erence value group, no adjustment of reported since 2005 indicate that the previ-
spirometry/RefCalculator.html. Tables of the worker’s reference values is required. ously used scaling factor of 0.88 may still
NHANES III predicted values, but not Since NHANES III reference values were be the most appropriate choice for Asians
LLNs, can be obtained at www.cdc. generated specifically for whites, African as well as for African Americans.25,26
gov/niosh/topics/spirometry/nhanes.html. If Americans, and Hispanics, the predicted If NHANES III reference values
NHANES III reference values are not avail- values and LLNs are not adjusted when are not available to evaluate an African
able on a spirometer, ACOEM now recom- workers of these race/ethnicity groups are American’s pulmonary function, and the
mends selecting the Crapo prediction equa- tested. However, when Asian workers (ie, only available reference values are drawn
tions, and only using the Knudson 1983 Chinese, Japanese, East Indian, or Pak- from studies of whites, for example, Crapo20
C 2011 American College of Occupational and Environmental Medicine 577
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
or Knudson21 predicted values, the white dicted value, and an observed FEV1 /FVC cut points from the 1986 ATS statement are
predicted values and LLNs for FVC and ratio less than 0.70,28 the ATS/ERS offi- consistent with those used in OSHA’s cot-
FEV1 need to be multiplied by 0.88 to ob- cial recommendations continue to explic- ton dust standard12 and they largely overlap
tain appropriate predicted values and LLNs itly discourage use of these definitions.5,19 those employed in the sixth edition of the
for the African American employee.1,5 The As pulmonary function declines with age, AMA guides.18 However, these cut points
single exception to this recommendation is the fifth percentile LLN also declines, label- are lower than the sample method presented
for cotton-exposed workers for whom the ing only 5% of normal individuals in each by the ATS/ERS in 2005.5
Knudson 197627 prediction equations and age group as “abnormal.” In contrast, as age
a scaling factor of 0.85 must be used for increases, increasing proportions of nonex- Restrictive Impairment
African American workers, as mandated by posed healthy individuals fall below 80% In the absence of airways obstruc-
OSHA.12 of predicted or a measured FEV1 /FVC ra- tion (FEV1 /FVC ≥ LLN), Step 3 of Fig. 13
The American College of Occupa- tio of 0.70, creating an increasing pool of evaluates the FVC, to determine whether
tional and Environmental Medicine and false positives in an aging workforce.19,29,30 restrictive impairment may exist. If FVC is
ATS/ERS recommend that race-specific These fixed definitions of abnormality also less than LLN, restrictive impairment is pos-
NHANES III reference values be used yield some false negatives in young workers. sible, and it may need to be confirmed using
whenever possible, basing the worker’s As recommended by the ATS since 1991,5,19 additional tests of pulmonary function, such
race/ethnicity on self-report. To evaluate using the fifth percentile LLN to define ab- as lung volume measurements. In the pres-
Asian workers, ACOEM continues to rec- normality for the major spirometry mea- ence of airways obstruction (FEV1 /FVC <
ommend that white predicted values and surements avoids these problems. As de- LLN), FVC less than LLN indicates a pos-
LLNs for FVC and FEV1 be multiplied by a scribed later, the LLN is used to identify sible mixed impairment pattern, and its re-
scaling factor of 0.88 to obtain appropriate both obstructive and restrictive impairment strictive component may also need to be
Asian reference values. If NHANES III ref- patterns. confirmed by additional PFTs.
erence values are not available when African In 2005, ATS/ERS recommended
American workers are tested, and white- Obstructive Impairment grading restrictive impairment, as well as
predicted values need to be used, ACOEM As shown in Fig. 13, the first step airways obstruction, using the FEV1 % of
recommends applying a scaling factor of in interpreting spirometry test results is to predicted.5 From a practical standpoint, this
0.88 to the white-predicted values and LLNs determine whether a valid test has been may be reasonable since both the FVC and
for FVC and FEV1 , unless other practices performed or if more maneuvers may be FEV1 are reduced as restrictive impairment
are mandated by an applicable regulation. needed. Once test validity has been estab- progresses, and the common technical prob-
Note that FEV1 /FVC predicted values and lished, Step 2 shows that the FEV1 /FVC lems of early termination of maneuvers and
LLNs are not race-adjusted. is the first measurement to be evaluated, to zero-flow errors are less likely to impair the
“distinguish obstructive from nonobstruc- accuracy of the FEV1 than the FVC. How-
Interpretation Algorithm tive patterns.”19 When the FEV1 /FVC and ever, for workers with mixed impairment
For two decades, ATS has consis- FEV1 are both less than their LLNs, air- patterns, grading the restrictive impairment
tently recommended applying a stepwise ways obstruction is present. However, when using FEV1 % of predicted might slightly
algorithm to three pulmonary function pa- FEV1 /FVC is less than LLN, but FEV1 is overstate the severity of restriction due to
rameters to interpret spirometry results.5,19 more than its LLN, borderline obstruction or the coexisting obstructive reduction of the
The American College of Occupational and a normal physiologic variant may exist. The FEV1 .
Environmental Medicine endorsed this ap- ATS/ERS cautions that an FEV1 /FVC be- By relying on the FEV1 % of pre-
proach in its 2000 statement.1 Since con- low the LLN combined with FVC and FEV1 dicted, the ATS/ERS 2005 definitions of re-
sensus exists on how to distinguish nor- more than 100% of predicted is “sometimes strictive impairment severity now differ sig-
mal from abnormal results, and which mea- seen in healthy subjects, including athletes” nificantly from those presented in the AMA
surements identify obstructive or restrictive and may be due to dysanaptic growth of the guides sixth edition.18 The AMA guides re-
impairment, these determinations are pre- alveoli. This pattern is labeled as a possible mains closer to the ATS 1986 respiratory
sented in Fig. 13. “normal physiologic variant,”5,19 and is not impairment definitions, labeling mild re-
In contrast to the determination unusual among physically fit nonsmoking striction as FVC between 60% and 69% of
of normal/abnormal, recommendations for emergency responders, firefighters, and po- predicted, moderate restriction as FVC be-
grading severity of impairment are now lice. However, if these healthy workers are tween 51% and 59% of predicted, and severe
quite disparate,5,17,18 and so this statement’s exposed to known hazardous substances, the restriction as an FVC between 45% and 50%
interpretation algorithm shown in Fig. 13 possibility of obstructive impairment needs of predicted.
does not grade severity of impairment. As to be considered when a reduced FEV1 /FVC
noted later, practitioners need to choose an is observed.
impairment-grading scheme that is most ap- Though not included in Fig. 13, all Forced Expiratory Flow Rates
propriate for their specific needs. grading schemes for severity of airways ob- Because of the wide variability of
struction rely on the FEV1 percent of pre- the FEF25%–75% and the instantaneous flow
Lower Limit of Normal Defines dicted, applying one of several definitions, rates, both within and between healthy sub-
Abnormality whose “number of categories and exact cut- jects, ATS/ERS continues to strongly dis-
Since 1991, the ATS has officially en- off points are arbitrary.”5,17,18 Widely used courage their use for diagnosing small air-
dorsed using the fifth percentile, the point schemes are based on the 1986 ATS res- way disease in individual patients5,19 or for
below which 5% of nonexposed asymp- piratory impairment categories, which de- assessing respiratory impairment. Interpre-
tomatic subjects are expected to fall, as the fine an FEV1 down to 60% of predicted tation of FEF25%–75% and other flow rates
lower limit of the reference range (LLN).19 as mild obstruction, an FEV1 between 41% is not recommended if the FEV1 and the
Though two older cutoff points for abnor- and 59% of predicted as moderate obstruc- FEV1 /FVC are within the reference range,
mality have re-emerged in some chronic ob- tion, and an FEV1 of 40% or less of pre- although the flow rates may be used to con-
structive pulmonary disease screening rec- dicted as severe obstruction, as was done firm the presence of airways obstruction in
ommendations, that is, 80% of the pre- in the 2000 ACOEM statement.1,17 These the presence of a borderline FEV1 /FVC.5,19
578
C 2011 American College of Occupational and Environmental Medicine
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
The American College of Occupa- tal Medicine has discussed some of these uation of patient spirometry test results rela-
tional and Environmental Medicine con- issues in detail.2 tive to the cross-sectional reference range. In
tinues to strongly recommend that occu- The importance of conducting valid contrast, relatively little evaluation of lung
pational medicine practitioners follow the tests, maintaining high technical quality, function loss over time has occurred. Since
ATS/ERS algorithm for separating nor- and using spirometers that exceed minimum 1991, ATS has recommended that a year-to-
mal from abnormal test results. Presence standards for accuracy and precision cannot year change in healthy individuals needs to
of airways obstruction is indicated by an be overstated when evaluating change over exceed 15% before it is considered as clini-
FEV1 /FVC below the worker’s LLN, and time.2,11 As discussed earlier, both over- and cally meaningful, so that “changes” in lung
presence of possible restrictive impairment under-recording of results can be caused by function are not likely to be caused only
is indicated by an FVC less than LLN. errors in technique, flawed spirometer cali- by measurement variability.5,19 In 1995,
Practitioners need to remember that an bration, or sensor problems that occur dur- NIOSH adopted this definition48 and rec-
FEV1 /FVC that is barely abnormal, in the ing the subject test. Such problems can bias ommended that an age-adjusted percent
presence of both FEV1 and FVC more than the estimates of change, for example, mak- decline from baseline be calculated, with
100% of predicted, may indicate a normal ing declines appear “excessive” if a baseline medical referral if the FEV1 declined by
physiologic variant pattern in healthy non- is falsely elevated, or conversely, masking a 15% or more after taking aging effects into
smoking populations, such as emergency re- true loss if the baseline is under-recorded or account.
sponders. However, if such healthy workers follow-up results are over-recorded. To provide some guidance for oc-
are exposed to known respiratory hazards, it Of particular concern in the occu- cupational medicine practitioners, ACOEM
is recommended that the possibility of air- pational setting is the variation in techni- adopted these definitions and approaches
ways obstruction be also considered when cal quality and testing protocols that occurs when it defined its longitudinal normal limit
an abnormal FEV1 /FVC is observed. when occupational health vendors, spirom- in 2004.2 A worker’s longitudinal normal
eters, or both are changed frequently. Such limit is derived specifically from his/her
LONGITUDINAL inconsistency makes it difficult to accurately baseline results, and corresponds to a 15%
INTERPRETATION measure a worker’s change in pulmonary drop from the baseline, after allowing for ex-
The goal of evaluating change over function over time. On-going quality assur- pected average loss due to aging. Falling be-
time in medical surveillance programs is to ance (QA) reviews of spirometry test results low the longitudinal normal limit means that
identify pulmonary function that may be de- are critical in such situations. As an ad- the worker has lost more lung function than
clining faster than expected over time. Con- junct to a QA program, public domain soft- was expected due to aging and measurement
firmation of an excessive decline then needs ware, Spirola (Centers for Disease Control variability. After a low value is confirmed,
to trigger referral for further medical eval- and Prevention/NIOSH, Atlanta, GA),47 is medical referral is recommended. In 2007,
uation to determine whether possible injury available to help users examine the variabil- the California Department of Public Health
or harm has been caused by workplace or ity of their serial pulmonary function data, recommended using the cutoff of a 15%
other exposures. Finding excessive declines which is often increased by poor technical decline to trigger a medical evaluation for
also needs to prompt interventions such as quality. However, users need to remember flavor manufacturing workers.11 This cutoff
removal from hazardous exposures, smok- that some respiratory diseases also cause in- was chosen to avoid the false positives that
ing cessation, initiation of appropriate res- creased variability over time, and that tech- are likely to occur when pulmonary func-
piratory protection, or identification of new nical errors, which are consistent over time tion is measured in many non-standardized,
hazardous exposures. Large short-term de- may bias spirometry results without increas- real-world clinic situations.
clines have served as important early indi- ing their variability. And finally, NIOSH researchers have
cators of respiratory disease in some food Occupational medicine practitioners been working to expand the practice of lon-
flavorings manufacturing workers.31–36 In need to determine whether monitoring de- gitudinal evaluation of pulmonary function,
contrast, small short-term lung function de- cline in pulmonary function has been shown developing public domain software, Spirola,
clines are variable,37–40 though long-term to be effective in screening for a particular for this purpose, and analyzing several large
excessive loss of pulmonary function may outcome disease of interest. There is general standardized databases, to determine how
predict increased respiratory disease and consensus that early detection of accelerated tightly the longitudinal lower limit of normal
mortality.41,42 pulmonary function decline in flavoring and might be set when high quality test results
Longitudinal evaluation is particu- microwave-popcorn manufacturing work- are evaluated over time.8,47 The National In-
larly important for many healthy work- ers should trigger comprehensive medical stitute for Occupational Safety and Health
ers whose baseline pulmonary function is evaluation and workplace interventions.11 estimates of abnormal longitudinal change,
above average (>100% predicted). Since However, the effectiveness of monitoring obtained from good quality results for nor-
such workers start off so far above aver- longitudinal pulmonary function is less mal healthy workers, are generally smaller
age, they can experience significant lung clearly demonstrated in other occupational than the 15% recommended by ACOEM,
function decline without falling below the settings. Therefore, practitioners need to re- ATS/ERS, and the 1995 NIOSH criteria
cross-sectional LLN and being labeled “ab- gard the finding of a possible excessive de- document, and so a range of cutoffs for ex-
normal” on any single PFT. If high-quality cline as an opportunity to further assess an cessive pulmonary function declines may
serial spirometry tests are recorded over individual’s health, and not use it as a la- emerge as clinical experience with these
an adequate length of time, longitudinal bel or to stigmatize a worker. Such inappro- measurements accumulates. For now, the
evaluation may reveal deterioration ear- priate labeling may negatively impact the recommendation of a NIOSH Health Haz-
lier than repeated traditional cross-sectional worker’s employment status while not gain- ard Evaluation may be generally appropriate
evaluations.2,9,43 Factors other than work- ing him/her any improvement in respiratory for longitudinal evaluations of pulmonary
place exposures that influence lung func- health. function: “. . . workers with FEV1 falls of
tion change over time include technical as- about 10% to 15% (depending on spirome-
pects of test performance, weight gain,44–46 try quality) [emphasis added] from baseline
other lung conditions (eg, asthma), and per- Longitudinal interpretation should be medically evaluated.”49
sonal habits (eg, smoking). The American Clinicians have accumulated many The American College of Occupa-
College of Occupational and Environmen- decades of experience in the traditional eval- tional and Environmental Medicine strongly
C 2011 American College of Occupational and Environmental Medicine 579
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
recommends that the interpretation of pul- standard operating procedures. Such a man- c. Spirometer accuracy checks
monary function change over time requires ual will permit troubleshooting if problems The American College of Occupa-
both an evaluation of the technical quality of arise with test results. tional and Environmental Medicine recom-
the tests and an adequate length of follow- mends that:
up. When high-quality spirometry testing a. Spirometer specifications r Spirometer accuracy be checked daily
is in place, ACOEM continues to recom- 1. The American College of Occu-
mend medical referral for workers whose when in use, following the steps outlined
pational and Environmental Medicine rec- in this document;
FEV1 losses exceed 15%, after allowing for ommends that spirometers of all types r Tracings and records from these checks
the expected loss due to aging. Smaller de- meet or exceed recommendations made by
clines of 10% to 15%, after allowing for the be saved indefinitely;
ATS/ERS 2005 and, eventually, by ISO r A log is kept of technical problems found
expected loss due to aging, may be impor- 26782:
tant when the relationship between longi- and solved, as well as all changes in pro-
tudinal results and the endpoint disease is r Performance-based criteria for spirome- tocol, computer software, or equipment;
clear. These smaller declines must first be and
ter operation, including, for example, ac- r Spirometers purchased for use in the oc-
confirmed, and then, if the technical quality curacy, precision, linearity, frequency re-
of the pulmonary function measurement is cupational setting have dedicated calibra-
sponse, expiratory flow impedance, and
adequate, acted upon. tion check routines (as noted earlier).
other factors;
r Minimum sizes and aspect ratios for
Pre- to Postbronchodilator Changes real-time displays of flow-volume and
d. Avoiding sensor errors during sub-
in Pulmonary Function volume-time curves and graphs in hard- ject tests
r Users of flow-type spirometers need to
There is general agreement that a copy printouts (see the Appendix); and
pre- to postbronchodilator increase in FEV1 r Standard electronic spirometer output of recognize the flawed curves and test re-
(and/or FVC) needs to be at least 12% of results and curves. sults that may be caused by sensor con-
the initial value and 0.2 L to be called tamination or zero-flow errors (Figs. 2 to
significant, that is, a bronchodilator re- 2. It is also recommended that 5); and
spirometers which will be used in the oc- r Protocols need to be established and used
sponse that is suggestive of airways hyperre-
activity.5,50–52 Percent change from the ini- cupational setting: to prevent these errors from occurring and
tial value is calculated as [(initial value – r Store all information from up to eight ma- to correct the errors if they do occur. See
postbronchodilator value)/initial value] × the text for specific suggestions.
neuvers in a subject test session;
100. However, failure to achieve such a re- r Permit later editing and deletion of earlier
sponse to bronchodilators does not com-
2. Conducting Tests
flawed test results;
pletely exclude the possibility of reversible r Be capable of including all flow-volume a. Technician training
airways disease, and testing may have to be and volume-time curves and all test re- All technicians conducting occupa-
repeated more than once. Attention focuses sults from at least the three best maneu- tional spirometry tests should successfully
first on changes in the FEV1 and then, sec- vers, and preferably from all saved ef- complete a NIOSH-approved spirometry
ondly, on the FVC because changes in the forts, in the spirometry test report; course initially, and a NIOSH-approved re-
FVC may be produced by varying lengths r Provide computer-derived technical qual- fresher course every 5 years.
of expiration recorded before or after the ity indicators;
bronchodilator. r Provide a dedicated routine for verifying b. Conducting the test
The American College of Occupa- spirometer calibration; and r Technicians need to explain, demonstrate,
tional and Environmental Medicine contin- r Save indefinitely a comprehensive elec- and actively coach workers to perform
ues to recommend that a pre- to postbron- tronic record of all calibration and cali- maximal inspirations, hard and fast ex-
chodilator increase in FEV1 (and/or FVC) bration verification results. piratory blasts, and complete expirations.
be 12% or more of the initial value and r Testing should be conducted standing,
at least 0.2 L to be considered sugges-
b. Validation testing of spirometers positioning a sturdy chair without wheels
tive of reversible obstructive airways dis-
If spirometers are purchased for use behind the subject, unless the subject has
ease. The American College of Occupa-
in the occupational health setting, ACOEM previously experienced a problem with
tional and Environmental Medicine also
strongly recommends that: fainting.
concurs with the ATS and the AMA that r Record test posture on the spirometry
determinations of permanent impairment r The manufacturer needs to provide writ- record and use the same posture for all
need to use a worker’s best values for FVC
ten verification that the spirometer suc- serial tests over time.
and FEV1 , whether recorded before or after
cessfully passed its validation testing, r Disposable nose clips are recommended.
bronchodilator administration.
preferably conducted by an independent
testing laboratory, and that the tested c. Testing goal for a valid test
ACOEM r To achieve a valid test, occupational
spirometer and software version corre-
RECOMMENDATIONS–2011 spond with the model and software ver- spirometry should attempt to record 3 or
1. Equipment Performance sion being purchased; and more acceptable curves, with FVC and
The American College of Occupa-
r The spirometer needs to meet the FEV1 repeatability of 0.15 L (150 mL) or
tional and Environmental Medicine rec- ATS/ERS recommended minimum real- less. A poster portraying many unaccept-
ommends that facilities performing occu- time display and hardcopy graph sizes able curves has recently been published
pational spirometry tests maintain a pro- for flow-volume and volume-time curves by NIOSH.53 See the text for definitions
cedure manual documenting equipment and ISO minimum aspect ratios for these of terms.
type, spirometer configuration, manufac- displays, as well as providing a standard r Failure to achieve repeatability is of-
turer’s guidelines, calibration log, service spirometer electronic output (see the Ap- ten caused by submaximal inhalations,
and repair records, personnel training, and pendix). though very poor repeatability (eg,
580
C 2011 American College of Occupational and Environmental Medicine
Copyright © 2011 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
> 0.50 L) may indicate sensor contami- r Apply a scaling (“race-adjustment”) fac- b. Pre- to postbronchodilator changes
nation or zero-flow errors. tor of 0.88 to white-predicted values and in pulmonary function
r Failure to achieve repeatability needs to LLNs for FVC and FEV1 to obtain appro- r A pre- to postbronchodilator FEV1 or
be taken into account during the interpre- priate reference values for Asian workers. FVC increase of 12% of the initial value
tation of results. r If NHANES III reference values are not and 0.2 L is suggestive of reversible ob-
available when testing African American structive airways disease.
d. Reporting results workers, apply a scaling factor of 0.88 r Determinations of permanent impair-
r Spirometry test reports need to present re- to white-predicted values and LLNs for ment need to be based on a worker’s
sults and curves from all acceptable ma- FVC and FEV1 , unless other practices are best values for FVC and FEV1 , whether
neuvers to permit technical quality to be mandated by an applicable regulation. recorded before or after a bronchodilator.
r The predicted FEV1 /FVC and its LLN
fully evaluated.
r The largest FVC and largest FEV1 are are not race adjusted. ACKNOWLEDGMENTS
interpreted, even if they come from dif- The committee thanks, first and fore-
ferent curves. Note that many currently most, the many members of the occupational
available spirometers fail to meet this c. Interpretation algorithm health community who for decades have
ATS/ERS and OSHA requirement. r To separate normal from abnormal test re- generously shared their interest, questions,
r Test reports need to list the source of the and perspectives on occupational spirom-
sults, first examine the FEV1 /FVC to de-
reference values used as well as display- termine whether obstructive impairment etry testing. Second, the committee thanks
ing the LLNs for clinician evaluation. is present, and then evaluate the FVC to Drs John Hankinson and Philip Harber for
r Default spirometer configurations need to their support and insightful comments dur-
determine whether restrictive impairment
be examined and often adjusted, if possi- may exist. The FEV1 is examined if the ing the development of this position state-
ble, to meet these requirements and rec- FEV1 /FVC indicates possible obstructive ment. This guidance statement was reviewed
ommendations. impairment, as shown in Fig. 13. by ACOEM Council of Scientific Advisors,
r All three indices of pulmonary function and approved by ACOEM Board of Direc-
e. Quality assurance reviews are considered abnormal if they fall be- tors on January 23, 2010.
r The American College of Occupational low their fifth percentile LLN. Fixed cut-
and Environmental Medicine recom- off points for abnormality such as 80% REFERENCES
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JOEM r Volume 53, Number 5, May 2011 ACOEM Guidance Statement
C 2011 American College of Occupational and Environmental Medicine 583
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Spirometry in Occupational Health JOEM r Volume 53, Number 5, May 2011
584
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