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Interpretation of Pulmonary Function Tests
The Perioperative Surgical Home
A patient-centered, physician-led system of coordinated care that guides patients throughout the entire surgical experience. From the decision for surgery to discharge from a medical facility and beyond, the PSH model of care is structured to improve patient care and outcomes.
PPCs are common and a major cause of overall perioperative morbidity and mortality.
Even more often than cardiac complications.
The National Surgical Quality Improvement Program (NSQIP) found that PPCs were the most costly of major postoperative medical complications (including cardiac, thromboembolic, and infectious) and resulted in the longest length of hospital stay.
Postoperative Pulmonary Complications
Postoperative Pulmonary Complications
Atelectasis
Infection, including bronchitis and pneumonia
Prolonged mechanical ventilation and
respiratory failure
Exacerbation of underlying chronic lung
disease
Thromboembolic disease
The impact of PPCs has become increasingly apparent,
Estimation of their risk should be a standard element of all preoperative medical evaluations.
This is increasingly driven by evidence-based medicine, rather than expert opinion.
Anesthesiologists should balance the risks and costs of these evaluations against their benefits.
• History and Clinical examination
• Preanesthesia Chest Radiographs
• Consultation with specialists
• Pulmonary function tests
Pulmonary function tests
What Functions We Should Test?
• Airways
– Small
– Large
• Parenchyma
– Alveoli
– Interstisium
• Pulmonary Vasculature
• Bellows & Pump mechanism
– Diaphragm
– Chest wall
• Neural Control of Ventilation
Pulmonary function tests
Tests for Assessment of Mechanical VentilatoryFunctions of the Respiratory System:
• Dynamic Lung Volumes (Spirometry)
• Static Lung Volumes
• Respiratory Muscle Function
– Maximum inspiratory & expiratory pressures
Pulmonary function tests
Tests for Assessment of Gas Exchange:
• Diffusion Capacity DLCO
• Arterial blood gases
• Overnight oximetry
Pulmonary function tests
Tests for Assessment of Cardiopulmonary Interaction:
• Cardiopulmonary exercise testing.
• 6-minute-walk test.
• Right Heart Catheterisation.
Goals of Preoperative PFTPredict the likelihood of PPCs in lung resection surgery or cardiac surgery.
Obtain quantitative baseline information concerning pulmonary function that guides decision making, and identify patients who may benefit from therapy preoperatively.
Obtain baseline pulmonary function data so assessment for liberation of MV and/or tracheal extubation might be based on.
SPIROMETRY
• Spirometry is the most commonly used lung function
screening study.
• It’s role is well established in lung resection or cardiac surgeries.
• Spirometry has NO effective risk prediction value for PPCs.
• There are NO prohibitive threshold for spirometric values below which the risk for surgery would be unacceptable.
• Changes in clinical management due to findings from preoperative spirometry were not reported.
Perioperative Indications of Spirometry
Studies:
1. Routine preoperative spirometry: abnormal
findings in 15.0–51.7% of cases.
2. Indicated preoperative PFT’s were reported as
abnormal in 17.0–27.1% of cases, and
3. Indicated preoperative spirometry were
reported as abnormal in 33.1–45.0% of cases.
The authors reported that a predicted FEV1 of
less than 61%, and a PaO2 less than 70 mmHg
each were independent risk factors for PPCs.
1. Maximal pressures generated in the thorax impact on abdominal and thoracic organs/tissues.
2. Large swings in blood pressure.
3. Expansion of the chest wall and lungs.
4. Active communicable diseases.
Myocardial infarction within the last month
Unstable angina
Recent thoraco-abdominal surgery
Recent ophthalmic surgery
Thoracic or abdominal aneurysm
Current pneumothorax
SPIROMETRY
Modern Spirometry
SpiroSmart
The main spirometry tests are:
FVC (Forced Vital Capacity)
VC (Vital Capacity or Slow Vital Capacity)
MVV (Maximum Voluntary Ventilation)
SPIROMETRY
FVCForced Vital Capacity
Tidal breathing
The patient starts with some tidal breathing.
Maximum inspiration
The patient fills his lungs entirely (TLC). No need to be forced but must be
as deep as possible.
Forced expiration
Immediately after, the patient performs a maximal expiration as fast, as
hard and as long as he can.
Forced inspiration
Immediately after, a second inspiration is performed as forced and as
quickly as possible.
(Slow) Vital Capacity
Inspiratory Vital Capacity: The patient inspires fully and than
slowly expires all the air in his lungs
Expiratory Vital Capacity: the other way around: the patient
expires fully and inspires slowly to a maximum
This test used to be performed to get VC and to be able to calculate the
FEV1/VC ratio (FEV1% or Tiffeneau index).
(Slow) Vital Capacity
The expiratory SVC > FVCIn patients with obstructive small airways disease &
a collapse of the small airways is suspected
Inspiratory VC = Expiratory SVC
= Expiratory FVC
Two graphs:
Volume-time curve
The flow-volume loop
SPIROGRAM
Volume-Time Tracing and Flow-Volume Loop
Identify the anatomic location of airflow
obstruction
Ascertain the
technical
adequacy of a
manoeuvre
They provide important graphic and numeric data regarding the
mechanical properties of the lungs.
Volume Time Graph
A healthy subject will
expire between 70
and 90% of the FVC
in the first second of
the test.
It takes roughly
about 5 sec to expire
the last 10-30 % of
the FVC.
Numeric Data
Volume parameters:
These parameters represent volumes and can be read from the volume-time graph:
• FVC
• FEV1
• FEV.5
• FEV3
• FEV6
• FEV1/FVC ratio (FEV1%)
• FEV3/FVC ratio (FEV3%)
• FEV1/FEV6 ratio (FEV6%)
FVC
FVC is a measure of lung volume.
• Restrictive disorders: ↓↓ FVC
(pulmonary fibrosis, kyphoscoliosis, neuromuscular disease, and pleural effusion).
• Pseudorestriction: ↓↓ FVC with hyperinflated lungs
(due to severe airflow obstruction and air trapping, as in emphysema.)
Forced Expiratory Volume in 1 Second
• Reflects mechanical properties of the large and the medium-sized airways
• It is reduced in obstructive and restrictive disorders
• In normal persons, the FEV1 accounts for the greatest part (80%)
of the exhaled volume from a spirometric manoeuvre
• FEV1%=FEV1/VC X100
• FEV1%=FEV1/FVC X100
• FEV1%=FEV1/FEV6 X100
Nowadays the value is compared to LLN
Tiffeneau index
FEV1 FVC FEV1 %
Obstructive
Lung Disease
Normal(very mild Obstruction)
Or
Decreased(Mod./severe Obstruction)
Normal(Mild/Mod. Obstruction)
Or
Decreased(severe Obstruction)
Decreased
(<70%)
Restrictive
Lung Disease
Normal
Or
Decreased
Decreased Normal
Or
Increased
(≥ 70%)
The Flow-Volume
loop
• It is the most important
graph in spirometry
• The morphology tells
immediately if the test was
well done.
• Begins at ZERO volume & flow.
• The curve rapidly (150 msec) mounts to a peak (PEF) = air expired from the large upper airways (trachea-bronchi).
• The curve descends (=the flow decreases)
FEF25 FEF50 FEF75
• FEF2575: The mean flow between the points FEF25 and FEF 75
• The flow reaches zero & the FVC is reached
No time axis on
the flow-volume loop
Maximal Mid-Expiratory Flow (MMEF)
The maximal flow rates between 25%-75% of the forced vital capacity (FEF25-75%).
• These may provide
information regarding small airway function.
• The lower limit of normal falls significantly with age.
FEV3/FVC ratio
• FEV3% is a new
parameter to assess
small airways function.
• FEF25–75 measurements can
be misleading (false-negative
results and false-positive
results).
Numeric Data
Flow parameters:
These parameters represent flows and can be read from the flow-volume loop:
• PEF
• PIF
• PEF 2575
• PEF 25
• PEF 50
• PEF 75
Obstructive Lung
Disease
• The small airways are partially obstructed
• FEV1 will be too low
• A normal FVC at the early stages
• FEV1% < 70%
• FET (Forced Expiratory Time) is prolonged
• The disease generally affects the expiratory limb (Airflows that are independent of effort is reduced)
• The descending limb of the expiratory loop is typically concave.
• FEF25-75 is low.
• The effort-dependent PEF may be normal or reduced.
Bronchodilator Testing
• Following the administration of a bronchodilator such
as 2.5mg of nebulised salbutamol.
• A positive response: a 12% increase in FEV1 with an increase of 200mls or more.
• When the baseline spirogram is relatively normal. Bronchial challenge testing may also be considered
• PC20FEV1: The provocative concentration dosage level of the inhalational agent (methacholine) required to produce a 20%
reduction in the FEV1.
• PC20FEV1 < 8 mg/mL suggests clinically important airway hyperreactivity
• GOOD –VE TEST
Restrictive Lung Disease
• ↓↓ FEV1
• ↓↓ FVC
• FEV1% is normal or even elevated
• ↓↓ TLC
Restrictive Lung Disease
• The F/V loop is narrowed, but the shape is generally the same as in normal.
• Flow rates are greater than normal at comparable lung volumes because the increased elastic recoil of lungs holds the airways open.
Restrictive Lung Disease
Static Lung Volumes
• Spirometry is an expiratory maneuver.
• ↓↓ VC during spirometry should prompt measurement of TLC to confirm the presence or absence of a true restrictive ventilatory disorder.
• FRC is usually measured by:
1. A gas dilution technique.
2. Body plethysmography.
3. Imaging Techniques.
Residual Volume
Total Lung Capacity
Functional Residual Capacity
↑↑ in patients with
obstructive defects such
as emphysema
↓↓ in patients with
restrictive abnormalities as
kyphoscoliosis.
Nitrogen washout or helium dilution.
Gas dilution techniques
• Measure of all air in the lungs that communicates with the airways.
• A limitation of this technique is that it does not measure air in non-communicating bullae, and therefore it can underestimate TLC, especially in patients with severe emphysema.
Whole body plethysmography
• The patient sits inside an
airtight box, inhales or exhales to a particular volume, and then a shutter drops across their breathing tube. The subject makes respiratory efforts against the closed shutter.
• The changes in pressure in a constant volume box or volume in a constant pressure box is measured.
• The primary advantage of body plethysmography is that it can
measure the total volume of air in the chest, including gas trapped in bullae.
• Another advantage is that this test can be performed quickly.
Whole body plethysmography
• Drawbacks include the complexity of the equipment as
well as the need for a patient to sit in a small enclosed
space.
Diffusion Capacity - DLCO
Diffusion capacity (DLCO) or transfer factor gives important information regarding the integrity and size of:
Single breath technique:
• where 10% helium and 0.3% carbon monoxide are rapidly inspired,
• held for 10 seconds and
• then expired with
• The measurement of the remaining carbon monoxide.
• Comparison of the inspired and expired CO fractions
The alveolar
blood
membrane
Adjustments of DLCO
• Normally the value is corrected for the patient’s haemoglobin (DLCOc).
• The transfer coefficient (KCO) is DLCOc corrected for alveolar volume:
– DLCOc after pneumonectomy will be reduced but
– KCO will be normal
Interpretation
1. Predicted values: spirometry values are compared to the predicted values that are calculated from age, gender, ethnicity and height
2. Lower Limits of Normal (LLN): is the lower fifth percentile of the Gaussian bell curve. This also applies to the Tiffeneauindex.
3. Historical Data: healthy patients will lose up to 25 mL of FEV1 every year from the age of 25. A patient that has blown 120% of his predicted values and blows 100% of his predicted values one year later may have a very big problem
Pathological
Spirometry
One should first make sure that the test was done according to standard, before interpreting the results of the test.
Quality Assessment of the
Spirogram
The volume-time tracing is most useful in assessing
whether the end-of-test criteria have been met,
whereas the F-V loop is most valuable in evaluating the
start-of-test criteria.
Good Quality Flow volume loop:
Typical shape inspiration & expiration
Quality Assessment of the Flow-Volume Loop
A frequent variation of the normal flow-volume loop:
Shoulder in spirometry loops from young females.
Quality Assessment of the Flow-Volume Loop
Reproducibility
To be sure that the patient has blown his maximal values during the FVC spirometry test, it is necessary to let him blow at least twice.
Reproducibility is calculated on three parameters:
1. FEV1
2. FVC
3. PEF
The patient will need to repeat the test until he has blown two reproducible tests or until he has tried 8 times.
Quality Assessment of the Flow-Volume Loop
1. Couphing
The flow to suddenly fall to zero and rise again
Quality Assessment of the Flow-Volume Loop
2. Expiration Too
Slow
The peak flow is not within
the first 100 milliseconds and
there is a dent in the loop
3. Patient hesitates
At the start of the loop
Common Errors
The technique of back-extrapolation of the start of the test to establish a zero time point on the volume-time tracing.
It corrects for delayed or hesitant starts that might otherwise be mistaken for a falsely reduced FEV1.
Quality Assessment of the Flow-Volume Loop
Incomplete Expiration
Quality Assessment of the Flow-Volume Loop
Larger Inspiration Than Expiration
The patient did not fill his lungs
completely before the test:
inspiration>expiration
A sudden drop at the right end
of the loop, the loop is 'cut off‘
FVC is underestimated.
Expiratory Time Not Sufficient:
According to the ATS criteria (American Thoracic Society) expiratory time should be equal to or exceed 6 seconds.
(3 seconds is set as a minimum)
Quality Assessment of the Spirogram
Pulmonary function tests in patientsundergoing lung resection
The British Thoracic Society guidelines:
• Pneumonectomy can be considered with FEV1> 2.0 L
• Lobectomy if FEV1> 1.5 L in the absence of any interstitial lung disease or unexpected disability due to shortness of breath.
As absolute values may be lower in older patients and women, patients are generally considered suitable for resection if
FEV1> 80% predicted and DLCO > 80% predicted.
In case of borderline lung function
The post operative predicted FEV1 and DLCO
(calculated either with knowledge of the number of lung segments to be resected or through quantitative lung perfusion scanning).
Patients with a post operative predicted FEV1 or DLCO < 40%
Patients undergoing lung resection
Are deemed at high risk of peri-operative
death and complications.
• CPET may be necessary for further risk stratification.
• Patients with PFTS below 30% predicted may potentially be considered for lung transplantation assuming no other contraindications are present.
Patients undergoing lung resection
• DLCO should be routinely measured during pre-operative
evaluation of lung resection candidates, regardless of
whether the spirometric evaluation is abnormal.
Large Airway Obstruction
• Tracheal stenosis, goiter
• The top and bottom of the loops are flattened (rectangle).
• Fixed obstruction limits flow equally during inspiration and expiration, and MEF = MIF.
Fixed obstruction of the upper airway
• Unilateral vocal cord paralysis
• When a single vocal cord is paralyzed, it moves passively with pressure gradients across the glottis.
• Therefore, MIF < MEF
• Tracheomalacia
• During a forced inspiration, negative pleural pressure holds the “floppy” trachea open.
• With forced expiration, loss of structural support results in tracheal narrowing of the trachea and a plateau of diminished flow.
• Flow is maintained briefly before airway compression occurs.
Pred. PRE %FVC 5,7 5,01 88%
FEV1 4,75 4,26 90%
FEV1% 82,5 85%
FEF2575 5,19 4,46 86%
PEF 10,45 1,02 97%
FET 5sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %FVC 5,44 5,39 99%
FEV1 4,57 4,20 92%
FEV1% 82,7 78%
FEF2575 5,14 4,47 87%
PEF 10,19 9,68 95%
FET 7sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %FVC 5,12 5,17 101%
FEV1 4,23 3,68 87%
FEV1% 80,9 71%
FEF2575 4,69 3,09 66%
PEF 9,7 4,07 42%
FET 7sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %FVC 3,47 3,48 100%
FEV1 3,07 3,14 102%
FEV1% 88,5 90,2%
FEF2575 4,17 3,84 92%
PEF 7,18 7,25 101%
FET 2,8sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %
FVC 5,49 5,55 101%
FEV1 4,61 3,32 72%
FEV1% 82,7 60
FEF2575 5,16 3,30 64%
PEF 10,25 10,34 101%
FET 12sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %FVC 3,9 3,91 100%
FEV1 3,41 3,51 103%
FEV1% 84,4 89%
FEF2575 4,17 4,57 109%
PEF 7,38 6,8 92%
FET 5sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %FVC 4,63 0,60 13%
FEV1 3,97 0,55 14%
FEV1% 82,7 92,6%
FEF2575 4,86 1,02 21%
PEF 9,33 2,99 32%
FET 3sec
a. The test was not properly executed
b. Normal spirometry
c. Obstructive lung disease
d. Restrictive lung disease
e. Mixed lung disease
f. Upper airway obstruction
Pred. PRE %
FVC 4,79 4,02 84%
FEV1 4,03 3,40 84%
FEV1% 82,7 84,6%
FEF2575 5,1 4,69 92%
PEF 10,07 8,67 86%
FET 7sec