20 C.F.R. § 718.103

Pulmonary function tests

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(a) Any report of pulmonary function tests submitted in connection with a claim for benefits shall record the results of flow versus volume (flow-volume loop). The instrument shall simultaneously provide records of volume versus time (spirometric tracing). The report shall provide the results of the forced expiratory volume in one second (FEV1) and the forced vital capacity (FVC). The report shall also provide the FEV1/FVC ratio, expressed as a percentage. If the maximum voluntary ventilation (MVV) is reported, the results of such test shall be obtained independently rather than calculated from the results of the FEV1.

(b) All pulmonary function test results submitted in connection with a claim for benefits shall be accompanied by three tracings of the flow versus volume and the electronically derived volume versus time tracings. If the MVV is reported, two tracings of the MVV whose values are within 10% of each other shall be sufficient. Pulmonary function test results developed in connection with a claim for benefits shall also include a statement signed by the physician or technician conducting the test setting forth the following:

(1) Date and time of test;

(2) Name, DOL claim number, age, height, and weight of claimant at the time of the test;

(3) Name of technician;

(4) Name and signature of physician supervising the test;

(5) Claimant's ability to understand the instructions, ability to follow directions and degree of cooperation in performing the tests. If the claimant is unable to complete the test, the person executing the report shall set forth the reasons for such failure;

(6) Paper speed of the instrument used;

(7) Name of the instrument used;

(8) Whether a bronchodilator was administered. If a bronchodilator is administered, the physician's report must detail values obtained both before and after administration of the bronchodilator and explain the significance of the results obtained; and

(9) That the requirements of paragraphs (b) and (c) of this section have been complied with.

(c) Except as provided in this paragraph, no results of a pulmonary function study shall constitute evidence of the presence or absence of a respiratory or pulmonary impairment unless it is conducted and reported in accordance with the requirements of this section and Appendix B to this part. In the absence of evidence to the contrary, compliance with the requirements of Appendix B shall be presumed. In the case of a deceased miner, where no pulmonary function tests are in substantial compliance with paragraphs (a) and (b) and Appendix B, noncomplying tests may form the basis for a finding if, in the opinion of the adjudication officer, the tests demonstrate technically valid results obtained with good cooperation of the miner.

Notes of Decisions

Cited in 17 cases (4 in the last 5 years), 1986–2026 · leading case: Mullins Coal Co. of Va. v. Dir., Off. of Workers' Comp. Programs, 484 U.S. 135 (1988).

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Mullins Coal Co. of Va. v. Dir., Off. of Workers' Comp. Programs, 484 U.S. 135 (1988). · cites it 4× “20 CFR §§ 718.103 ; 410.430. Similarly, a blood gas study may also have separate components, one reflecting the results obtained at rest, and the other reporting the results of testing during exercise.”

Dir., Off. of Workers' Comp. Programs, U.S. Dep't of Labor v. William Siwiec, 894 F.2d 635 (3rd Cir. 1990). · cites it 8× “20 C.F.R. § 718.103 (b)(5). All such studies must also be accompanied by three tracings of each pulmonary function test performed.”

McCain v. Dir., Off. of Workers Comp. Programs, 58 F. App'x 184 (6th Cir. 2003). · cites it 2× “See 20 C.F.R. §§ 718.103 (a), 718.4. "The FEV measures in liters the volume of air which can be forcibly expelled from the lungs after maximum effort over a period of one second.”

Wilson v. Colvin, 107 F. Supp. 3d 387 (S.D.N.Y. 2015). “See 20 C.F.R. § 718.103 ; Frank Bloch, Bloch on Social Security § 3:15 (2015).”

Walter Wiley v. Consolidation Coal Co., Dir., Off. of Workers' Comp. Programs, United States Dep't of Labor, Parties-In-Interest, 915 F.2d 1076 (6th Cir. 1990). · cites it 4× “We recognize that 20 C.F.R. § 718.103 standards should apply to Part 727 claims generally, and specifically to pulmonary function studies conducted after March 31, 1980, the effective date of the regulation.”

In the Matter of Twin Pines Coal Co. v. United States Dep't of Labor, & Charles L. White, Real Party in Interest, 854 F.2d 1212 (10th Cir. 1988). “Although Twin Pines acknowledges that it is not "essential to finding error,” it also asserts that the proper evidentiary requirements for ventilatory studies in this case are established in 20 C.F.R. § 718.103 which in addition to requiring the statement required by § 410.”

The Youghiogheny & Ohio Coal Co. v. Wayne N. McAngues & Dir., Off. of Workers' Comp. Programs, United States Dep't of Labor, 996 F.2d 130 (6th Cir. 1993). “therefore invalid under 20 C.F.R. § 718.103 (b)(6), which requires that the paper speed, inter alia, be stated for every test.”

Stapleton v. Westmoreland Coal Co., 785 F.2d 424 (4th Cir. 1986). “20 C.F.R. §§ 718.103 ; 410.430. Similarly, a blood gas study may also.”

S. Ohio Coal Co. v. OWCP, 128 F.4th 809 (6th Cir. 2025). · cites it 2× “Together 20 C.F.R. § 718.103 and Appendix B set out additional standards specific to PFTs, including that compliant PFTs must be accompanied by statements setting forth, among other things, the degree of the claimant’s comprehension and cooperation with testing procedures, and…”

Walter Wiley v. Consolidation Coal Co., Dir., Off. of Workers' Comp. Programs, United States Dep't of Labor, Parties-In-Interest, 892 F.2d 498 (6th Cir. 1989). “This requirement, found in 20 C.F.R. § 718.103 , likely did apply to a finding of conformity in Clayton, which was decided in 1984.”

Prater v. Hite Preparation Co., 829 F.2d 1363 (6th Cir. 1987). · cites it 2× “” 20 C.F.R. § 718.103 (b) (1987). And subsection 718.”

In Re Nat'l Gypsum Co., 257 B.R. 184 (Bankr. N.D. Tex. 2000). “Function Testing” shall mean spirometry, lung column, and diffusing capacity (“DLCO”) testing that (a) has been performed at an accredited hospital or (b) substantially conforms to quality criteria established by the American Thoracic Society (“ATS”) and is performed on…”

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