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Measurement of FRC, DLCO, RV, and Closing Capacity (CC)
First: Understanding the Lung Volume Map
Before measurement methods, it helps to understand how these volumes relate:
TLC = IRV + TV + ERV + RV
FRC = ERV + RV
CC = CV + RV
- FRC = volume in the lungs at end of a normal quiet expiration (tidal exhalation), where inspiratory and expiratory muscles are both relaxed. Normal ~2.5 L.
- RV = volume remaining after a maximal forced exhalation. Normal ~1.2 L.
- DLCO = rate of CO transfer across the alveolar-capillary membrane.
- CC (Closing Capacity) = lung volume at which dependent small airways start to close. CC = Closing Volume (CV) + RV.
Why FRC, RV, CC, and DLCO cannot be measured by simple spirometry: Spirometry measures volumes of gas that can be moved in and out. The gas that remains in the lung after maximal expiration (RV) cannot be exhaled and therefore cannot be detected by a spirometer directly. FRC and CC require gas dilution or pressure-volume techniques.
1. MEASUREMENT OF FRC
FRC is the key starting volume for all the following techniques, since it is the natural resting position of the chest.
Method 1 - Body Plethysmography (Body Box) - Gold Standard
Principle: Boyle's Law - at constant temperature, pressure × volume = constant (P1V1 = P2V2)
Equipment: An airtight, rigid, constant-volume chamber (the "body box") in which the patient sits. The box contains a pressure transducer.
Procedure:
- The patient sits inside the sealed airtight box and breathes normally to allow tidal breathing.
- At end-expiration (i.e., at FRC), a shutter in the mouthpiece is closed.
- The patient makes panting inspiratory efforts against the closed shutter.
- As the diaphragm contracts:
- Thoracic volume increases → alveolar pressure decreases (below atmospheric)
- The increase in thoracic volume compresses the air inside the box → box pressure rises
- The relationship between the change in mouth pressure (≈ alveolar pressure, ΔPalv) and the change in box pressure (ΔPbox, which reflects change in thoracic volume, ΔV) allows FRC to be calculated:
Formula:
FRC = ΔV / (ΔPalv / Patm)
Where ΔV is derived from the box pressure change (since box is constant volume).
Advantages:
- Measures all intrathoracic gas, including trapped (non-communicating) gas behind closed airways
- Therefore gives the largest value of FRC among the three methods
- Most accurate in obstructive lung disease
Disadvantages:
- Expensive, bulky equipment
- Requires patient cooperation (panting)
- May overestimate FRC if abdominal gas is compressed and decompressed during panting maneuvers
- Claustrophobia
Method 2 - Helium Dilution (Closed Circuit)
Principle: Conservation of mass - an inert, insoluble gas (helium) is diluted by the FRC gas volume. Since helium is not absorbed, its total amount (molecules) remains constant.
Equipment: Closed spirometer circuit containing a known volume (V1) and known concentration (C1) of helium. The circuit also contains a CO2 absorber and O2 supply.
Procedure:
- The patient breathes quietly until end-expiration (at FRC).
- At this point, the patient is connected to the closed circuit.
- The patient continues to breathe within this closed circuit. Helium from the circuit mixes with and is diluted by the gas in the lungs.
- Breathing continues until helium concentration equilibrates (same concentration throughout the circuit + lungs).
- Final helium concentration (C2) is measured.
Formula:
C1 × V1 = C2 × (V1 + FRC)
Therefore:
FRC = [(C1 × V1) / C2] - V1
Normal values: FRC ~2.5 L (supine ~1.8 L)
Advantages:
- Simple, inexpensive, widely available
- Good for normal lungs
Disadvantages:
- Underestimates FRC in patients with significant airway obstruction (e.g., emphysema, COPD) because gas trapped behind closed airways does not equilibrate with the helium circuit - so "non-communicating" gas is missed
- Takes longer (up to 10 minutes) in obstructive disease
- Other insoluble gases (e.g., sulfur hexafluoride, SF6) can be used by the same principle
Method 3 - Nitrogen Washout (Open Circuit)
Principle: Conservation of mass - nitrogen is a naturally present, inert, non-absorbed gas in the lungs (~80% of lung gas at FRC). It can be "washed out" by breathing 100% oxygen.
Procedure:
- At end-expiration (FRC), the patient is switched to breathe 100% oxygen.
- As the patient breathes O2, the nitrogen is progressively exhaled and "washed out."
- The expired gas is continuously sampled and N2 concentration is measured.
- The test ends when expired N2 falls to <1.5% (approximately 7 minutes).
- The total volume of nitrogen exhaled is calculated by integrating the N2 concentration × expired volume over the test period.
Formula:
Since N2 was 80% of lung gas at the start:
FRC = Total volume of N2 exhaled / 0.80
(Or more precisely: FRC = Volume of N2 exhaled / [initial N2 fraction - final N2 fraction])
Advantages:
- Does not require a closed circuit or special inert gas
- Modern ventilators have built-in software to estimate FRC using this technique at the bedside (valuable in ICU)
Disadvantages:
- Like helium dilution, underestimates FRC in obstructive disease (non-communicating trapped gas is not washed out)
- Patient must breathe from 100% O2 source (some discomfort, risk of N2 narcosis reversal)
- The test is slow in severe obstruction
Method 4 - Imaging
- CT scan of the chest can estimate FRC with reasonable accuracy by measuring gas volume.
- MRI (especially hyperpolarised gas MRI) can measure regional FRC.
- CT may overestimate FRC because it measures all intrathoracic gas (including non-ventilated regions).
- Used mainly in research and in specific clinical situations.
Comparison of FRC Methods
| Method | Principle | Includes Trapped Gas? | Best For |
|---|
| Body plethysmography | Boyle's Law | YES | Obstructive disease, most accurate |
| Helium dilution | Dilution equilibrium | NO | Normal lungs, simple setup |
| N2 washout | Mass conservation | NO | ICU (ventilator-modified version) |
| CT/MRI | Direct volumetry | YES (all gas) | Research |
2. MEASUREMENT OF RESIDUAL VOLUME (RV)
RV cannot be measured directly by spirometry (you cannot exhale it out). However, once FRC is measured, RV is simply calculated.
Method 1 - Derivation from FRC
RV = FRC - ERV
Where ERV (Expiratory Reserve Volume) is the extra gas that can be forcibly exhaled after a normal tidal exhalation - this IS measurable by spirometry.
- Measure FRC by any of the above methods.
- Measure ERV by spirometry (normal ~1.2 L).
- RV = FRC - ERV (normal RV ~1.2 L)
Method 2 - Derivation from TLC
RV = TLC - VC
Where:
- TLC (Total Lung Capacity) = measured by plethysmography or dilution
- VC (Vital Capacity) = easily measured by spirometry
Method 3 - Body Plethysmography (Direct)
The same body box technique that measures FRC can directly measure RV if the panting maneuver is performed after a maximal forced exhalation (i.e., at RV instead of FRC).
Normal RV: ~1.2 L (increases with age and in obstructive disease due to air trapping)
Clinical significance of raised RV:
- Obstructive disease (COPD, emphysema): RV ↑↑ due to air trapping
- RV/TLC ratio >35% suggests hyperinflation
- RV/TLC ratio >40% suggests significant air trapping
3. MEASUREMENT OF DLCO (Diffusing Capacity for Carbon Monoxide)
Principle
DLCO quantifies the functional capillary surface area available for gas exchange. The rate of gas transfer across the alveolar-capillary membrane depends on:
- Surface area of membrane available for gas exchange
- Pressure gradient (alveolar CO partial pressure minus blood CO partial pressure)
- Solubility and molecular weight of the gas
- Thickness of the alveolar-capillary membrane
Why use CO? Because CO has an extremely high affinity for haemoglobin (~240x that of O2). This means that dissolved CO in blood remains near zero - blood CO partial pressure ≈ 0. Therefore, the partial pressure of CO in blood never builds up to limit transfer. CO transfer is thus limited only by membrane thickness and surface area, not by blood flow (unlike O2 in exercise). This makes CO the ideal test gas.
Standard Method - Single-Breath DLCO (Krogh Technique) - Most Widely Used
Procedure:
- Patient exhales completely to RV.
- Patient inhales rapidly to TLC a gas mixture containing:
- 0.3% CO (tracer gas)
- 10% Helium (inert tracer to measure alveolar volume and dilution)
- 21% O2
- Balance: N2
- Patient holds breath for exactly 10 seconds (breath-hold at TLC).
- Patient exhales rapidly; the first 750 mL is discarded (to clear anatomical dead space).
- An alveolar sample of exhaled gas is collected and analysed for CO and He concentrations.
Calculations:
- The He dilution tells us the alveolar volume (VA) at which gas exchange occurred.
- The difference between CO inhaled and CO exhaled gives the amount of CO transferred.
Formula:
DLCO = (Rate of CO uptake) / (Mean alveolar CO partial pressure)
DLCO = [VA × ln(FiCO/FeCO)] / (PB × breath-hold time)
Where:
- VA = alveolar volume (from He dilution)
- FiCO / FeCO = inspired/expired CO fractions
- PB = barometric pressure
Normal DLCO: ~25 mL/min/mmHg (varies with age, sex, height, haemoglobin)
Other DLCO Methods (Less Common)
| Method | Description |
|---|
| Steady-state method | Patient breathes low-concentration CO continuously at rest or exercise; DLCO calculated from arterial PCO2 and expired CO. Less practical. |
| Rebreathing method | Patient rebreathes from a bag containing CO mixture; used in patients who cannot hold their breath. Less accurate. |
| Intrabreath method | DLCO calculated breath-by-breath from a single exhalation; useful in patients who can't hold their breath (ventilated patients). |
Factors Affecting DLCO
Reduced DLCO (membrane disease / surface area loss):
- Interstitial lung disease (ILD/IPF) - thickened membrane
- Emphysema - destroyed alveolar walls, reduced surface area
- Pulmonary embolism - reduced capillary perfusion
- Anaemia - reduced Hb available to bind CO
- Pneumonectomy / lobectomy
Increased DLCO:
- Polycythaemia (more Hb)
- Left-to-right intracardiac shunts (increased pulmonary blood flow)
- Pulmonary haemorrhage (alveolar red cells absorb CO)
- Exercise (increased recruitment of pulmonary capillaries)
- Asthma (mildly increased)
Clinical cut-off: DLCO <60% of predicted = increased risk of postoperative pulmonary complications; warrants cardiopulmonary exercise testing (CPET) before major surgery.
4. MEASUREMENT OF CLOSING CAPACITY (CC)
Definitions
- Closing Volume (CV): The volume of gas exhaled from the point where dependent small airways (which lack cartilaginous support) begin to close, down to RV.
- Closing Capacity (CC): CC = CV + RV. The total lung volume at which dependent airway closure begins.
- Small airways in dependent lung zones close first because:
- Gravity reduces the lung volume in dependent areas (diaphragmatic effect)
- These airways rely on radial traction from elastic recoil of surrounding parenchyma to stay open; at low lung volumes this traction is lost
Method 1 - Single-Breath Nitrogen Washout (Fowler / Resident Gas Technique)
This is the most commonly used method. It uses the fact that at RV, the residual gas is preferentially distributed to the non-dependent (apical) alveoli (as dependent alveoli have been compressed), so their N2 concentration differs from the rest of the lung.
Procedure:
- Patient exhales fully to RV (maximally).
- Patient then inhales a single breath of 100% O2 all the way to TLC.
- The O2 preferentially enters dependent (basal) alveoli first (they are more compliant at low volumes)
- Apical alveoli already contain the residual N2 from the previous breath; they receive less O2
- Result: after the O2 breath, basal alveoli have a lower N2 concentration than apical alveoli
- The patient exhales slowly and steadily from TLC to RV, while expired N2 concentration is continuously measured.
The 4 Phases of Expiration (N2 concentration curve):
| Phase | What is exhaled | N2 concentration |
|---|
| Phase I | Anatomical dead space gas (pure O2, no N2) | ~0% |
| Phase II | Mixture of dead space + alveolar gas | Rapid rise |
| Phase III | "Alveolar plateau" - mixed alveolar gas from all lung zones | Slowly rising, relatively flat |
| Phase IV | Closing volume begins here | Sharp upswing |
- The onset of Phase IV = Closing Volume begins (dependent airways start to close; only N2-rich apical alveoli continue to contribute exhaled gas → N2 concentration suddenly rises steeply).
- The volume exhaled from the Phase III-IV junction down to RV = Closing Volume (CV).
- CC = CV + RV
Normal values (from Fishman's):
- CV: ~400 mL
- CV/VC: ~8%
- CC: ~1900 mL
- CC/FRC: ~30%
Method 2 - Bolus (Resident Gas) Technique
Procedure:
- Patient exhales to RV.
- Patient inhales a small bolus of 100% O2 (usually 500 mL) at the very start of the inhalation from RV.
- This bolus enters dependent airways first (where O2 replaces N2).
- The remainder of the breath to TLC is with air (not 100% O2).
- Patient then exhales slowly from TLC to RV with continuous N2 monitoring.
Interpretation:
- Phase IV onset is identified similarly as in the single-breath technique.
- Because only a bolus of O2 was given, the phase IV rise is sharper and easier to identify.
Method 3 - Using Other Tracer Gases
The same principle can be applied using boluses of helium, argon, or SF6 instead of O2/N2. The closing volume is detected as the point where the tracer gas concentration in expired gas changes abruptly, indicating that the low-tracer-concentration dependent alveoli have stopped contributing (their airways closed).
Clinical Significance of CC
| Condition | Effect on CC | Consequence |
|---|
| Normal young adult | CC << FRC | Airways stay open throughout tidal breathing - no shunt |
| Age 44 years (supine) | CC ≈ FRC | Small airways begin closing during normal tidal breathing in supine position → shunt begins |
| Age 66 years (upright) | CC ≥ FRC (even upright) | Significant shunting even when upright → explains ↓ PaO2 with age |
| Morbid obesity | FRC ↓↓, CC unchanged | CC ≥ FRC → airway closure during tidal breathing → ↓ PaO2 |
| Pregnancy | FRC ↓ (diaphragm pushed up), CC unchanged | CC > FRC → rapid desaturation on apnea (critical for RSI!) |
| General anaesthesia (supine) | FRC ↓ by ~20%, CC unchanged | CC ≥ FRC → atelectasis, shunting |
| COPD / emphysema | CC ↑↑↑ (early airway closure) | Massive air trapping; CC >> FRC |
Key clinical point: When CC exceeds FRC, dependent small airways close during normal tidal breathing - the alveoli distal to those closed airways continue to be perfused but not ventilated, creating a true intrapulmonary shunt (venous admixture), causing hypoxaemia.
Summary Comparison Table
| Parameter | What it measures | Methods | Normal value |
|---|
| FRC | Resting lung volume (end quiet expiration) | Body plethysmography, He dilution, N2 washout, CT | ~2.5 L |
| RV | Minimum lung volume (maximal expiration) | Derived: FRC - ERV or TLC - VC; body plethysmography | ~1.2 L |
| DLCO | Alveolar-capillary membrane gas transfer | Single-breath CO (standard); steady-state; rebreathing | ~25 mL/min/mmHg |
| CC | Volume at which dependent airways close | Single-breath N2 washout (Phase IV onset); bolus technique | CV ~400 mL; CC/FRC ~30% |
Sources: Miller's Anesthesia 10e, pp. 1303-1304; Morgan & Mikhail's Clinical Anesthesiology 7e, pp. 925-927; Murray & Nadel's Textbook of Respiratory Medicine, p. 253; Fishman's Pulmonary Diseases and Disorders, Appendix B