Quality Systems in the Pulmonary Function Laboratory

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Chapter 12

Quality Systems in the Pulmonary Function Laboratory

Susan Blonshine

The chapter discusses issues related to a quality system, as introduced in Chapter 1. Although an in-depth review of the quality system is beyond the scope of this chapter, an introduction to the basics of each quality system essential (QSE) and the path of workflow is included to move the laboratory toward total quality management. The referenced Clinical and Laboratory Standards Institute (CLSI) documents will broaden the reader’s understanding of each of the concepts introduced in the chapter and may be essential for meeting accreditation and regulatory standards. The concept of developing a quality manual that addresses policies, processes, and procedures is introduced. Each of the twelve QSEs is discussed with examples for application to the pulmonary function laboratory. The personnel QSE addresses personnel standards, training, and competence assessment. Personnel who perform pulmonary function tests must make decisions during the path of workflow (POW) (pre-testing, testing, and post-testing) that determine the quality of data obtained. Special attention is given to methods by which the pulmonary function technologist can assess data quality through discussion of each component of the path of workflow. Documentation of pulmonary function data quality (e.g., acceptability, repeatability, and reproducibility) is discussed.

The equipment QSE includes equipment standards for spirometers, plethysmographs, gas analyzers, Dlco systems, blood gas analyzers, and metabolic systems. Proper instrument maintenance and calibration are bases for obtaining acceptable and repeatable data. Records are maintained to document each of these activities. The chapter also deals with the process control QSE, which addresses specific quality control (QC) methods for equipment used in pulmonary function testing and blood gas analysis. Problems commonly encountered with various types of equipment are listed to guide in troubleshooting.

The facilities and safety QSE discusses safety and infection control as they relate to patients and to those performing pulmonary function tests.

Using the QSEs as a foundation for quality and incorporating each component of the path of workflow for each test performed leads to a final quality output. As in previous chapters, case studies and self-assessment questions are included.

Quality manual

The initial step in building the quality system is developing a quality manual. The quality manual addresses policies for each of the twelve QSEs. Policies are written to answer the question: What do we do in our organization? Each policy describes the organization’s intent and provides direction for the specific QSE. Policies for the personnel QSE often include the intent and direction for job descriptions and qualifications, orientation, training, competence assessment, and continuing education. Processes are described to transform the policy into action and answer the question: How does this happen in our pulmonary laboratory? Processes are generally a group of activities or procedures. There is a process to obtain reliable spirometry data that may result in a need for several procedures such as quality control, test performance, test result selection and reporting, selection of reference values, and interpretation of results (Table 12-1). Procedures answer the question: How do I do this activity? Each QSE incorporates policies, processes, and procedures to build a platform for the path of workflow to be followed for each test procedure.

Table 12-1

Spirometry Operating Process

Operating Process: Spirometry Test Result Selection and Reporting
Purpose To describe the process for spirometry test result selection and reporting.
Process This process is supported by the steps and documents in the table that follows:
What Happens Who’s Responsible Results: Documents
 

Therapist/technologist Procedures for:

Therapist/technologist Procedures for:

 

Therapist/technologist Procedures for:

Therapist/technologist Procedures for:

Therapist/technologist
Support staff Procedures for:

image

Expected Results: Accurate and reliable test results.

*NOTE: The “best curve” is selected from the largest sum of FVC + FEV1.

(From Blonshine S, Mottram CD, Berte LM, et al. Application of a quality management system model for respiratory services: Approved guidelines. 2nd ed. CLSI document HS4-A2. Wayne, PA: Clinical and Laboratory Standards Institute; 2006.)

Quality system essentials

Organization

The organizational commitment to quality is essential and may be a requirement to comply with governmental and accreditation standards. The organization is responsible for the development of the quality manual and integration into the system by committing time and personnel to the process. The department and pulmonary function laboratory organizational structure is available in the quality manual. A visible management commitment to the implementation of the quality policies, seeking customer feedback, and responding to quality reports is required for success. Risk assessment of the pulmonary laboratory’s work operations processes is included in the organization QSE. The pulmonary laboratory should set quality goals and objectives integrated with the organization’s quality planning.

Customer Focus

The pulmonary laboratory should identify their customers and expectations. Customers include both external and internal groups. Examples of external customers include accreditation and governmental agencies, patients, physicians, nurses, clinical support services, asthma educators, home care companies, and payers. All staff involved in the path of workflow are considered internal customers. An initial step is to evaluate the laboratory’s capability to meet the identified expectations. Physicians ordering tests likely will have an expectation of how long it should take to schedule a patient for testing and the length of time to receive an interpreted copy of the report. Surveys will identify expectations met and potential for continual improvement (Box 12-1). Complaints are recorded and managed according to the nonconforming event management QSE.

Facilities and Safety

The facility should be designed to support the workflow and accommodate the equipment to meet manufacturer’s and standards expectations. It should support efficient processes. The environment, processes, and safety procedures must be compliant with organizational and accreditation standards. Environmental conditions that may impact the quality of the test results are monitored and documented. Use of accurate room temperature, humidity, and barometric pressure monitors is a standard requirement.

Pulmonary function tests, including blood gas analysis, often involve patients with blood-borne or respiratory pathogens. Reasonable precautions applied to testing techniques and equipment handling can prevent cross-contamination among patients. Similar techniques can prevent infection of the technologist performing the tests.

Each laboratory should have written guidelines defining safety and infection control practices. The guidelines should be part of a policy and procedure manual (Box 12-2). Procedures should include, but not be limited to, handwashing techniques, use of protective equipment such as laboratory coats and gloves, and guidelines for equipment cleaning. The handling of contaminated materials (e.g., waste blood) should be clearly described. Policies and procedures should include education of technologists regarding proper handling of biologic hazards. Department policies and procedures should be consistent with those mandated by individual hospitals or institutions. Most accrediting agencies require written plans for safety, waste management, and chemical hygiene. In the United States, the Occupational Safety and Health Administration (OSHA) has published strict guidelines regarding handling of blood and other medical waste (see Evolve). Safety training should be documented and the training records maintained per institutional requirements, accreditation, and regulatory requirements in the records management system. Generally, some areas will require retraining on an annual basis.

Box 12-2   Pulmonary Function Procedure Manual

Items to be included in a typical procedure manual for a pulmonary function laboratory. For each procedure performed, the following should be present:

1. Description of each test performed in the laboratory and its purpose

2. Indications for ordering the test and contraindications, if any

3. Description of the general method(s) and any specific equipment required, including disposable supplies

4. Calibration of equipment required before testing (manufacturer’s documentation may be referenced)

5. Patient preparation for the test, if any (e.g., withholding medication), and patient assessment before beginning the test

6. Step-by-step procedure for measurement/calculation of results; how to perform the measurement or calculation manually is useful for quality monitoring

7. Quality control guidelines with acceptable limits of performance and corrective actions to be taken when control values are outside of their limits

8. Safety precautions related to the procedure (e.g., infection control, hazards) and alert values that require physician notification with read-back of critical results

9. Description of results reporting

10. References for all equations used for calculating results and for predicted normals, including a bibliography

11. Documentation of computer protocols for calculations and data storage; guidelines for computer downtime and software upgrades

12. Dated signatures of medical and technical directors (may be electronic)

Adapted from American Thoracic Society. Pulmonary function laboratory management manual. 2nd ed. New York: American Thoracic Society; 2005.

Pulmonary Function Tests

Pulmonary function testing does not present a significant risk of infection for patients or technologists. However, some potential hazards are involved. Most respiratory pathogens are spread by either direct contact with contaminated equipment or by an airborne route. Airborne organisms may be contained in droplet nuclei, on epithelial cells that have been shed, or in dust particles. The following guidelines can help reduce the possibility of cross-contamination or infection:

1. Disposable mouthpieces and noseclips should be used by the patient during spirometry. Reusable mouthpieces should be disinfected or sterilized after each use. Proper handwashing should be done immediately after direct contact with mouthpieces or valves. Gloves should be worn when handling potentially contaminated equipment. Hands should always be washed between patients and after removing gloves.

2. Tubing or valves through which subjects rebreathe should be changed after each test. Any equipment that shows visual condensation from expired gas should be disinfected before reuse. This is particularly important for maneuvers such as the FVC, where there is a potential for mucus, saliva, or droplet nuclei to contaminate the device. Breathing circuit components should be stored in sealed containers (e.g., plastic bags) after disinfection.

3. Spirometers should be cleaned according to the manufacturer’s recommendations. The frequency of cleaning should be appropriate for the number of tests performed. For open-circuit systems, only that part of the circuit through which air is rebreathed needs to be decontaminated between patients. Some flow-based systems offer pneumotachometers that can be changed between patients. Pneumotachometers not located proximal to the patient are less likely to be contaminated by mucus, saliva, or droplet nuclei.Disposable flow sensors should not be reused. Volume-displacement spirometers should be flushed using their full volume at least five times between patients. Flushing with room air helps clear droplet nuclei or similar airborne particulates. Water-sealed spirometers should be drained at least weekly and allowed to dry completely. They should be refilled with distilled water only. Bellows and rolling-seal spirometers should be disinfected on a routine basis. The spirometer may require recalibration after disinfecting.

4. Systems used for spirometry, lung volumes, and diffusing capacity tests often use breathing manifolds that are susceptible to contamination. Bacteria filters may be used to prevent contamination of these devices. Filters may impose increased resistance, affecting measurement of maximal flows as well as airway resistance or conductance. Some types of filters show increased resistance after continued use in expired gas. Spirometers with bacteria filters should be calibrated with the filter in line; the spirometer should meet the minimal recommendations in Table 12-2 with the filter in place. If filters are used for procedures such as lung volume determinations, their volumes must be included in the calculations.

Table 12-2

Minimal Recommendations for Spirometers
A 3-L calibration syringe is recommended for testing VC and FVC. Twenty-four standardized waveforms are available for validating FVC, FEV1, and FEF25%–75%. Twenty-six standard flow waveforms are available for validating PEF. Other flows require manufacturer’s proof of performance. A sine-wave pump is recommended for MVV validation.

Test Range/Accuracy (BTPS) Flow Range (L/sec) Time (sec) Resistance/Back-Pressure
VC 0.5–8 L/ ±3% of reading or ± 0.05 L, whichever is greater 0–14 30 N/A
FVC 0.5–8 L/ ±3% of reading or ± 0.05 L, whichever is greater 0–14 15 <1.5 cm H2O/L/sec (0.15 kPa/L/sec)
FEV1 0.5–8 L/ ±3% of reading or ± 0.05 L, whichever is greater 0–14 1 <1.5 cm H2O/L/sec (0.15 kPa/L/sec)
Time zero Time point for calculating all FEVT values N/A N/A Back extrapolation
PEF Accuracy: ±10% of reading or ±0.3 L/sec (20 L/min), whichever is greater; repeatability: ±5% of reading or ±0.15 L/sec (10 L/min), whichever is greater 0–14 N/A Mean resistance at 200, 400, 600 L/min (3.3, 6.7, 10 L/sec) <2.5 cm H2O/L/sec (0.25 kPa/L/sec)
image(except PEF) ±5% of reading or ±0.2 L/sec, whichever is greater 0–14 N/A <1.5 cm H2O/L/sec (0.15 kPa/L/sec)
FEF25%–75% 7.0 L/sec /±5% of reading or ±0.2 L/sec, whichever is greater ±14 15 <1.5 cm H2O/L/sec (0.15 kPa/L/sec)
MVV 250 L/min at VT of 2 L/ ±10% of reading or ±15 L/min, whichever is greater ±14 (±3%) 12–15 <1.5 cm H2O/L/sec (0.15 kPa/L/sec)

image

Adapted from Miller MR, Hankinson J, Brusasco V, et al. Standardisation of spirometry. Eur Resp J. 2005; 26:319-338.

5. Small-volume nebulizers, such as those used for bronchodilator administration or bronchial challenge, offer the greatest potential for cross-contamination. These devices, if reused, should be sterilized to destroy vegetative microorganisms, fungal spores, tubercle bacilli, and some viruses. Disposable single-use nebulizers are preferable but may not be practical for routines such as inhalation challenges. Metered-dose devices may be used for bronchodilator studies by using disposable mouthpieces or “spacers” to prevent colonization of the device. Common canister protocols for metered-dose inhaler usage have been evaluated in the laboratory.

6. Gloves or other barrier devices minimize the risk of infection for the technologist who must handle mouthpieces, tubing, or valves. Special precautions should be taken whenever there is evidence of blood on mouthpieces or tubing. There is a risk of acquiring infections such as tuberculosis or pneumonia caused by Pneumocystis carinii from infected patients. The technologist should wear a mask when testing subjects who have active tuberculosis or other diseases that can be transmitted by coughing.

7. Patients with respiratory diseases such as tuberculosis may warrant specially ventilated rooms, particularly if many individuals need testing. Risk of cross-contamination or infection can be greatly reduced by filtering and increasing the exchange rate of air in the testing room. Equipment can be reserved for testing infected patients only. An example may be using a spirometer for cepacia positive patients in a clinic patient room. Special patient organizations such as the Cystic Fibrosis Foundation may have additional requirements for infection control. Patients with known pathogens can also be tested in their own rooms or at the end of the day (to facilitate equipment decontamination).

8. Surveillance may include cultures of reusable components, such as mouthpieces, tubing, and valves, after disinfection.

Blood Gases

The Centers for Disease Control and Prevention (CDC) has established standard precautions that apply to personnel handling blood or other body fluids containing blood. Standard precautions apply to blood, semen, vaginal secretions, cerebrospinal fluid, synovial fluid, pleural fluid, pericardial fluid, and amniotic fluid. Some of these fluids (i.e., blood) are commonly encountered in the blood gas or pulmonary function laboratory. These fluids present a significant risk to the health care worker. Hepatitis B, HIV, and other blood-borne pathogens must be assumed to be present in these fluids.

Body fluids to which the standard precautions do NOT apply include feces, nasal secretions, sputum, sweat, tears, urine, and vomitus, unless they contain visible blood. Some of these fluids may be encountered in the pulmonary function laboratory. These fluids present an extremely low or nonexistent risk for HIV or hepatitis B. However, they are potential sources for nosocomial infections from other non–blood-borne pathogens. Standard precautions do not apply to saliva, but infection control practices such as use of gloves and handwashing further minimize the risk involved in contact with mucous membranes of the mouth.

These standard precautions should be applied in the pulmonary function and/or blood gas laboratory:

1. Treat all blood and body fluid specimens as potentially contaminated.

2. Exercise care to prevent injuries from needles, scalpels, or other sharp instruments. Do not resheath used needles by hand. If a needle must be resheathed, use a one-handed technique or a device that holds the sheath. Do not remove used, unprotected needles from disposable syringes by hand. Do not bend, break, or otherwise manipulate used needles by hand. Use a rubber block or cork to obstruct used needles after arterial punctures. Use needle safety devices (now used in almost all blood gas kits) as described by the manufacturer. Place used syringes and needles, scalpel blades, and other sharp items in puncture-resistant containers. Locate the containers as close as possible to the area of use.

3. Use protective barriers to prevent exposure to blood, body fluids containing visible blood, and other fluids to which standard precautions apply. Examples of protective barriers include gloves, gowns, laboratory coats, masks, and protective eyewear. Gloves should be worn when drawing blood samples, whether from a needle puncture or an indwelling catheter. Gloves cannot prevent penetrating injuries caused by needles or sharp objects. Gloves are also indicated if the technologist has cuts, scratches, or other breaks in the skin. Protective barriers should be used in situations where contamination with blood may occur. These situations include obtaining blood samples from an uncooperative patient, performing finger-heel sticks on infants, and receiving training in blood drawing. Examination gloves should be worn for procedures involving contact with mucous membranes. Masks, gowns, and protective goggles may be indicated for procedures that present a possibility of blood splashing. Blood splashing may occur during arterial line placement or when drawing samples from arterial catheters.

4. Wear gloves while performing blood gas analysis. Laboratory coats or aprons that are resistant to liquids should also be worn. Protective eyewear may be necessary if there is risk of blood splashing during specimen handling. Maintenance of blood gas analyzers, such as repair of electrodes and emptying of waste containers, should be performed wearing similar protective gear. Laboratory coats or aprons should be left in the specimen handling area. Blood waste products (e.g., blood gas syringes) should be discarded in clearly marked biohazard containers.

5. Immediately and thoroughly wash hands and other skin surfaces that are contaminated with blood or other fluids to which the standard precautions apply. Hands should be washed after removing gloves. Blood spills should be cleaned up using a solution of 1 part 5% sodium hypochlorite (bleach) in 9 parts of water. Bleach should also be used to rinse sinks used for blood disposal.

Personnel

The personnel QSE is one of the most important elements in the pulmonary function laboratory quality system because of the impact of the technologist on the quality of the final product. Job qualifications and duties across the path of workflow are outlined and maintained in job descriptions for all personnel in the pulmonary laboratory. The American Association of Respiratory Care (AARC) Clinical Practice Guidelines (CPGs) and the American Thoracic Society − European Respiratory Society (ATS-ERS) standards outline job requirements and qualifications for individuals employed to perform pulmonary function tests. The ATS-ERS standards also suggest training and ongoing education for individuals in the laboratory.

An orientation/training plan and process is required for all new employees. An orientation manual and training guide is developed and updated as required. The training manual may include, but is not limited to, quality management, safety, computer systems, ethics, work processes, and procedures. Records documenting the orientation and training processes are maintained according to the document and records QSE (Table 12-3). Training occurs and documentation is maintained when processes or procedures are updated or added. Performance of quality control procedures has been identified as a primary training need in pulmonary function laboratories globally, regardless of professional credentials. Orientation also includes review of the quality manual and application to work duties in the laboratory.

Computer Safety Work processes and procedures Compliance (United States only)

image

(From Blonshine S, Mottram CD, Berte LM, et al. Application of a quality management system model for respiratory services: Approved guidelines. 2nd ed. CLSI document HS4-A2. Wayne, PA: Clinical and Laboratory Standards Institute; 2006.)

Competence assessment is required by The Joint Commission. Competence may be established initially through formal training programs and professional credentialing. One method of evaluating ongoing competence is completing the National Board for Respiratory Care (NBRC) examinations for the certified pulmonary function technologist (CPFT) or the registered pulmonary function technologist (RPFT).

Adequate staffing is based on performance requirements and published time standards. The AARC has published time standards for the pulmonary function laboratory. Performance appraisals are developed and maintained according to organizational requirements. Records are also maintained for personnel hiring, orientation, training, competence assessment, continuing education, and performance appraisals according to the quality policies, institutional, governmental, and accreditation requirements. The CLSI document on Training and Competence Assessment provides more guidance that can be applied to pulmonary function laboratories.

Purchasing and Inventory

The purchasing QSE portion requires the laboratory to establish criteria for vendor qualification, selection, and evaluation. This is typically accomplished in partnership with the materials management team and identifying the supplies required for the work processes. It is good practice for the laboratory to maintain a copy of all purchase agreements, particularly for major equipment purchases.

The inventory QSE portion requires the laboratory to develop an inventory management system that identifies and maintains supplies for the work processes in a fiscally responsible environment. In order to meet regulatory requirements for consumables or critical supplies such as blood gas reagents, the laboratory must have processes and procedures documented. Records should be maintained with the date received, lot number, expiration dates, if acceptance criteria were met, date placed in service, expiration date, and disposition date if not used.

Equipment

The equipment QSE incorporates a management plan for selection and acquisition (SQ), installation qualification (IQ), identification, validation, re-verification (also referred to as performance qualification [PQ]), calibration, use, maintenance, service, repair, and decommissioning. The QSE also includes a process for operational qualification (OQ). Calibration is addressed with equipment quality control in the process control QSE. Computer system hardware, middleware, and software are also included in the equipment QSE but are not covered in depth in the chapter. Equipment files and records are developed and maintained for all processes and results. The CLSI document on equipment outlines multiple areas to consider and examples to develop a comprehensive equipment management plan. The CLSI guideline addresses all of the activities required from selection through the life of the equipment until it is decommissioned. The plan should include a master list of all equipment with identifying information, calibration and maintenance schedules, individuals responsible, and documentation of periodic review by management and medical director.

Equipment acquisition includes meeting the minimum equipment standards as outlined by the ATS-ERS standards as represented in Tables 12-2 and 12-4 for spirometers. Additional guidance may be found in the ATS-ERS standards for other types of equipment. The selection process may include a list of acceptable vendors, development of a product-evaluation matrix, equipment evaluation (on-site is preferred), written acceptable limits of accuracy and precision, information management options, computer standards, warranty and service agreements, and training options (Box 12-3). The initial selection may include an on-site evaluation with a comparison of old and new equipment.

Table 12-4

Minimum Recommended Scale Factors for Recorders and Displays

Instrument Display Printed Graphs
Resolution Scale Factor* Resolution Scale Factor*
Volume 0.05 L 5 mm/L 0.025 L 10 mm/L
Flow 0.20 L/sec 2.5 mm/L/sec 0.10 L/sec 5 mm/L/sec
Time 0.2 sec 10 mm/sec 0.2 sec 20 mm/sec

image

*Scale factors for flow and volume produce an aspect ratio of 2:1.

Adapted from Miller MR, Hankinson J, Brusasco V, et al. Standardisation of spirometry. Eur Resp J. 2005; 26:319-338.

Installation, Validation, and Verification

Selection for equipment location in the pulmonary laboratory includes consideration of environmental conditions that impact acceptable function. For example, equipment specifications outline temperatures appropriate for spirometry equipment. A plethysmograph is sensitive to pressure changes in the room, vibrations close to the device, or other significant changes such as a fan blowing on the device. The installation process should include a correlation study between old and new equipment. Correlation studies are required for blood gas equipment by CLIA’88 and are also prudent to complete with pulmonary function equipment. Studies have shown bias between vendors and equipment within a specific vendor. Equipment function is validated initially to determine compliance with manufacturer’s specifications, expected accuracy and precision, and quality control standards. The question to answer is: Have the requirements for the intended use or application been fulfilled? Verification means that the specified requirements are fulfilled such as calibration verification. All institutional, regulatory, or governmental requirements should be considered during the installation process (Box 12-4).

Equipment Maintenance

An equipment maintenance plan should be developed and approved. If maintenance is provided by an outside contractor, it should be in compliance with the institutional plan. The type and complexity of instrumentation for a specific test determines the long-term and short-term maintenance that will be required. Daily maintenance includes replacing disposable items such as filters and gas conditioning devices. Preventive maintenance is scheduled in anticipation of equipment malfunction to reduce the possibility of equipment failure. Corrective maintenance or repair is unscheduled service that is required to correct equipment failure. These types of failures are often detected by QC procedures or unusual test results. Familiarity with the operating characteristics of spirometers, gas analyzers, Dlco systems, plethysmographs, metabolic systems, and application software requires manufacturer support and thorough documentation. Accurate records are essential to a comprehensive maintenance program. Documentation of procedures and repairs is required by most accrediting organizations. Upgrades to application software should be considered an essential component of equipment maintenance in the pulmonary function laboratory. Software upgrades generally require a re-verification process. Re-verification is often required after preventive maintenance and repairs (Table 12-5).

Table 12-5

Maintenance and Problem Log

Date Time Maintenance or Problem Resolution Technologist

image

(Courtesy Mayo Clinic, Rochester, MN)

When equipment is removed from service (decommissioning), the date should be documented along with the final disposition of the equipment. Special attention should be given to items such as equipment with biohazard material requiring decontamination or hard drives with patient information.

Process Management

The process management QSE includes multiple areas: analysis, design, and documentation of the pulmonary laboratory path of workflow, process validation or verification, process control or quality control, and a process to make changes to established processes. This should be a major component in the pulmonary laboratory quality plan, record keeping, and procedure manual because of the impact on the accuracy and precision of test results.

QC is essential in the operation of a pulmonary function laboratory to obtain valid and reproducible data. The type of equipment used (e.g., volume-based versus flow-based spirometer) often determines the specific procedures that are required for calibration and QC. For example, both flow-based and volume-based spirometers require calibration with a 3-L syringe, but only volumetric spirometers need to be checked for leaks. The number and complexity of the tests performed may also dictate which equipment and methods are used. Methods and equipment that have been validated in the scientific literature should be used whenever possible. QC is usually easier to perform when standardized techniques are used. The final QC plan includes the schedule of activities, QC methods, procedures for performing the QC methods, tolerance limits, and corrective action. It also must meet accreditation and regulatory requirements.

Control Methods: Mechanical and Biologic

A control is any known test signal for an instrument that can be used to determine its accuracy and precision. Controls or control materials must be available for spirometers, gas analyzers, Dlco systems, plethysmographs, blood gas analyzers, metabolic systems, and other instruments. Because many laboratories use computerized pulmonary function or blood gas analyzers, controls are required to ensure that both software and hardware are functioning within acceptable limits. In many instances, application software is used to record and evaluate control runs (e.g., automated blood gas analyzers). Control methods may vary from a mechanical control such as use of 3-L syringes for spirometers to commercially prepared materials for blood gas analyzers. Another control method is the use of biologic controls, which are test subjects for whom specific variables have been determined.

Quality Control Tools and Materials

Syringes

A large-volume syringe is the most common and frequently used mechanical QC tool used in pulmonary function testing. Syringes used for calibration should be accurate to within ±15 mL or ±0.5% of the stated volume (i.e., 15 mL for a 3-L syringe). Accuracy of calibration syringes should be verified annually. Several companies provide the service globally with the device in Figure 12-1, A and B. Syringes can be checked for leaks simply by occluding the port and trying to empty the syringe. Some laboratories use two syringes: one to calibrate and another to verify volume accuracy. This is highly recommended to exclude the syringe as a source of error. An alternative to have a 3-L and 7-L syringe is depicted in Figure 12-1.

A syringe of at least 3-L volume (see Figure 12-1) should be used to generate a control signal for checking spirometers. A 3-L syringe can be used to verify volume-displacement spirometers and associated deflection of mechanical recorders. A large-volume syringe may also be used to check the volume accuracy of flow-based spirometers. Computerized systems often have the user inject (or withdraw) a 3-L volume to calibrate the spirometer, and then immediately perform additional injections to verify the calibration. Some portable flow-based spirometers (i.e., those using disposable flow sensors) do not provide for calibration but do allow checking or verification of a stored calibration. The calibration or verification should minimally be completed each day testing is completed.

Dlco Simulator

A Dlco simulator is a commercially available device, as depicted in Figure 12-3. This simulator uses precision gas mixtures to allow repeatable Dlco measurements at different levels (e.g., high Dlco, low Dlco) to simulate Dlco results over the range of expected results for patient testing. Two large-volume syringes are included; an adjustable 5-L syringe provides measured inspiratory volumes. A smaller second syringe is loaded with one of the precision gases; this gas is “exhaled” at the end of the breath-hold interval and sampled by the gas analyzers. Application software calculates the expected Dlco with the known gas concentrations (inspired and expired) along with the inspired volume, breath-hold time, and environmental conditions. The measured Dlco is then compared with the expected value and the percent error reported. By using different precision gases and varying the inspired volume, a range of expected Dlco values can be generated. This type of simulator is useful for all laboratories to identify the source of error in Dlco measurements and may also be used for performance qualification when installing new equipment. Use of the device is standard practice by manufacturers developing Dlco systems and evaluation of systems before shipment. It is also very useful for large laboratories with multiple Dlco systems, multicenter research applications in which accurate Dlco measurements are critical, and accreditation or regulatory programs. Studies have shown that the Dlco simulator data correlates with biologic data but may be more sensitive to identify the source of the problem or error.

Plethysmograph volumes can be verified with an isothermal bottle. This device is available commercially (Figure 12-4) or can be constructed. An isothermal volume analog can be constructed from a glass bottle or jar of 4–5 L (for adult-size plethysmographs). The jar is filled with metal wool, usually copper or steel. The metal wool acts as a heat sink (see Figure 12-4) so that small pressure changes within the jar can be measured with minimal temperature change. The mouth of the bottle is fitted with two connectors. One connector attaches to the mouth shutter (or the patient connection). The other is attached to a rubber bulb with a volume of 50–100 mL (e.g., the bulb from a blood pressure cuff). The actual volume of the lung analog can be determined by subtracting the volume of the metal wool from the volume of the bottle. The volume occupied by metal wool is calculated from its weight times its density. The gas volume of the empty bottle may be measured by filling it with water from a volumetric source. The volume of the connectors and rubber bulb should be added to the total volume.

Quality Control Concepts

Two concepts that are central to quality control are accuracy and precision. Accuracy may be defined as the extent to which measurement of a known quantity results in a value approximating that quantity. For most laboratory tests, repeated measurements of a control are made and the mean, or average, is calculated. If the mean value approximates the known value of the control, the instrument is considered accurate.

Precision may be defined as the extent to which repeated measurements of the same quantity can be reproduced. If a control is measured repeatedly and the results are similar, the instrument may be considered precise. Precision is often defined in terms of variability based on the standard deviation (SD) of a series of measurements (Box 12-5).

Box 12-5

The Mean and the Standard Deviation

Calculation of the mean and the standard deviation

The mean (< ?xml:namespace prefix = "mml" />X¯image) and standard deviation (SD) are computed to determine the variability of a series of values. Performing multiple measurements of the same quantity (i.e., the “control”) allows the mean to be determined and precision to be expressed by the SD of the measurements. Assuming that all of the values sampled are normally distributed, 68.3% of them will be within ±1 SD of the mean, 95.5% will be within ±2 SD, and 99.7% within ±3 SD. When the mean and standard deviation have been determined for a series of measurements, subsequent values may be checked to see whether they are “in control.” Values between ±2 and ±3 SD from the mean should occur 5% of the time only (i.e., random error), and values more than ±3 SD from the mean should occur less than 1% of the time.

The mean (X¯image) may be calculated as:

X¯=(X)N

image

where:

∑ = a symbol meaning “the sum of”

X = individual data values

N = number of items sampled

The SD is calculated as follows:

SD=(X)2N

image

where:

X2 = deviations from the mean (XX¯image) squared

N = number of items sampled

If the SD is computed from a sample of 30 data points or less, N-1 is usually substituted for N.

Example calculation of the mean and SD for a series of Pco2 values:

Sample Pco2 (mm Hg) Deviation from the Mean (X) Deviation Squared (X2)
1 39 − 0.9 0.81
2 40 0.1 0.01
3 43 3.1 9.61
4 42 2.1 4.41
5 39 − 0.9 0.81
6 38 − 1.9 3.61
7 40 0.1 0.01
8 41 1.1 1.21
9 38 − 1.9 3.61
10 39 − 0.9 0.81
Total 399 24.90
Mean 39.9

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SD=24.9101 =2.77 =1.66

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The range of Pco2 values (in this example) within 2 SD of the mean is 39.9 ± (2 × 1.66), or from 36.6–43.2 mm Hg.

Accuracy and precision are desirable but may not always be present together in the same instrument. For example, a spirometer that consistently measures a 3-L test volume as 2.5 L is precise but not very accurate. A spirometer that evaluates a 3-L test volume as 2.5, 3.0, and 3.5 L on repeated maneuvers produces an accurate mean of 3.0 L, but the measurements are not precise. Determining both the accuracy and precision of instruments such as spirometers is critical because many pulmonary function variables are effort-dependent. The largest observed value, rather than the mean, is often reported as the best test (see Chapter 2). Reporting the largest result observed is based on the rationale that the subject cannot overshoot on a test that is effort-dependent. Other pulmonary function tests, such as the Dlco, are reported as an average of two or more acceptable maneuvers; in these instances, precision of the measuring devices (e.g., gas analyzers) needs to exceed the normal physiologic variability of the parameter being measured.

For instruments such as blood gas analyzers, accuracy is determined by measuring an unknown control and comparing the results with a large number of laboratories using similar equipment and methods. This is commonly referred to as proficiency testing (PT). Precision for blood gas analyzers is determined by checking the day-to-day variability of controls and expressing the variability in terms of the standard deviation. These general principles for assessing accuracy and precision can be applied to most types of pulmonary function equipment.

Calibration is the process in which the output signal from an instrument is adjusted to match a known input. This may be accomplished by one of several methods:

Calibration involves adjustment of the instrument (or its signal). It should not be confused with verification or QC. QC assesses function of the instrument after it has been calibrated. Most pulmonary function systems use software-based calibration but allow for adjustment of analog outputs as well.

Spirometry Calibration and Mechanical Quality Control

Spirometers that produce a voltage signal by means of a potentiometer (see Chapter 2) normally allow some form of “gain” adjustment so that the analog output can be matched to a known input of either volume or flow. For example, a 10-L volume-displacement spirometer may be equipped with a 10-V potentiometer. The potentiometer amplifier would be adjusted so that 0 V equals 0 L (zero), and 10 V equals 10 L (gain). The calibration could be verified by setting the spirometer at a specific volume and noting the analog signal (e.g., 5 L should equal 5 V).

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