Epoc Gold 2004

*GOLD summary 03 revise new
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Global Initiative for Chronic

Obstructive
Lung
Disease
GLOBAL STRATEGY FOR THE DIAGNOSIS,

MANAGEMENT, AND PREVENTION OF
CHRONIC OBSTRUCTIVE PULMONARY DISEASE
UPDATED 2003
EXECUTIVE SUMMARY
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EXECUTIVE SUMMARY
UPDATED 2003
GLOBAL STRATEGY FOR THE DIAGNOSIS, MANAGEMENT,

AND PREVENTION OF CHRONIC OBSTRUCTIVE PULMONARY DISEASE
(Based on an April 1998 NHLBI/WHO Workshop)
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Global Strategy for the Diagnosis, Management, and Prevention of

Chronic Obstructive Pulmonary Disease: NHLBI/WHO Workshop
National Heart, Lung, and Blood Institute: Claude Lenfant, MD
World Health Organization: Nikolai Khaltaev, MD
April 1998 Workshop Panel
Romain Pauwels, MD, PhD, Chair
Ghent University Hospital
Ghent, Belgium
Dirkje S. Postma, MD
Academic Hospital Groningen
Groningen, the Netherlands
Nicholas Anthonisen, MD
University of Manitoba
Winnipeg, Manitoba, Canada
Klaus F. Rabe, MD
Leiden University Medical Center
Leiden, the Netherlands
William C. Bailey, MD
University of Alabama at Birmingham
Birmingham, Alabama, US
Scott D. Ramsey, MD, PhD

University of Washington
Seattle, Washington, US
Peter J. Barnes, MD
National Heart & Lung Institute
London, UK
Stephen I. Rennard, MD
University of Nebraska Medical Center
Omaha, Nebraska, US
A. Sonia Buist, MD
Oregon Health Sciences University
Portland, Oregon, US
Roberto Rodriguez-Roisin, MD
University of Barcelona
Barcelona, Spain
Peter Calverley, MD
University Hospital, Aintree
Liverpool, UK
Nikos Siafakas, MD
University of Crete Medical School
Heraklion, Greece
Tim Clark, MD
Imperial College
London, UK
Sean D. Sullivan, PhD

Leonardo Fabbri, MD
University of Modena & Reggio Emilia
Modena, Italy
Wan-Cheng Tan, MD
National University Hospital
Singapore
Yoshinosuke Fukuchi, MD
Juntendo University
Tokyo, Japan
GOLD Staff
Sarah DeWeerdt
Editor
Lawrence Grouse, MD, PhD

Suzanne S. Hurd, PhD

Scientific Director
Bethesda, Maryland, US
James C. Hogg, MD
St. Pauls Hospital
Vancouver, British Columbia, Canada
Christine Jenkins, MD
Concord Hospital
Sydney, New South Wales, Australia
ii
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Consultant Reviewers
Belgian Society of Pneumology

Marc Decramer
Jean-Claude Yernault
Individuals
Sherwood Burge (UK)
Moira Chan-Yeung (Hong Kong)
James Donohue (US)
Nicholas J. Gross (US)
Helgo Magnussen (Germany)
Donald Mahler (US)
Jean-Francois Muir (France)
Mrigrendra Pandey (India)
Peter Pare (Canada)
Thomas Petty (US)
Michael Plit (South Africa)
Sri Ram (US)
Harold Rea (New Zealand)
Andrea Rossi (Italy)
Maureen Rutten-van Molken (The Netherlands)
Marina Saetta (Italy)
Raj Singh (India)
Frank Speizer (US)
Robert Stockley (UK)
Donald Tashkin (US)
Ian Town (New Zealand)
Paul Vermeire (Belgium)
Gregory Wagner (US)
Scott Weiss (US)
Miel Wouters (The Netherlands)
Jan Zielinski (Poland)
British Thoracic Society

Neil Pride
Organizations
Hungarian Respiratory Society

Pal Magyar
Canadian Thoracic Society

Louis-Philippe Boulet
Kenneth Chapman
Chinese Respiratory Society
Nan-Shan Zhong
Yuanjue Zhu
Croatian Respiratory Society
Neven Rakusic
Davor Plavec
Czech Thoracic Society
Stanislav Kos
Jaromir Musil
Vladimir Vondra
European Respiratory Society
Marc Decramer (Belgium)
French Speaking Pneumological Society
Michel Fournier
Thomas Similowski
American College of Chest Physicians

Suzanne Pingleton
Japanese Respiratory Society

Yoshinosuke Fukuchi
American Thoracic Society

Bart Celli
William Martin
Thoracic Society of Australia and New Zealand

Alastair Stewart
David McKenzie
Peter Frith
Latin American Thoracic Society

Juan Figueroa (Argentina)
Maria Christina Machado (Brazil)
Ilma Paschoal (Brazil)
Jose Jardim (Brazil)
Gisele Borzone (Chile)
Orlando Diaz (Chile)
Patricio Gonzales (Chile)
Carmen Lisboa (Chile)
Rogelio Perez Padilla (Mexico)
Jorge Rodriguez De Marco (Uruguay)
Maria Victorina Lopez (Uruguay)
Roberto Lopez (Uruguay)
Australian Lung Foundation

Robert Edwards
Malaysian Thoracic Society

Zin Zainudin
Austrian Respiratory Society

Friedriech Kummer
Arab Respiratory Society
Salem El Sayed
iii
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Norwegian Thoracic Society

Amund Gulsvik
Ernst Omenaas
Polish Phthisiopneumonological Society
Michal Pirozynski
Romanian Society of Pulmonary Diseases
Traian Mihaescu
Sabina Antoniu
Singapore Thoracic Society
Alan Ng
Wei Keong
Slovakian Pneumological and Phthisiological Society
Ladislav Chovan
Slovenian Respiratory Society
Stanislav Suskovic
South African Thoracic Society
James Joubert
Spanish Society of Pneumology
Teodoro Montemayor Rubio
Victor Sobradillo
Swedish Society for Chest Physicians
Kjell Larsson
Sven Larsson
Claes-Goran Lofdahl
Swiss Pulmonary Society
Philippe Leuenberger
Erich Russi
Thoracic Society of Thailand
Ploysongsang Youngyudh
Vietnam Asthma-Allergology and Clinical
Immunology Association
Nguyen Nang An
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TABLE OF CONTENTS
Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi
Methods Used to Update Report; Summary Recommendations . . . . . . . . . . . . . . . . . . . . vii
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1. Definition and Classification of Severity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Definition . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Classification of Severity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
Pathogenesis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Pathology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
Pathophysiology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
2. Burden of COPD.. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Epidemiology . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Economic and Social Burden of COPD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 4
Risk Factors. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
3. Four Components of COPD Management . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Introduction. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Component 1: Assess and Monitor Disease . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Diagnosis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
Ongoing Monitoring and Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8
Component 2: Reduce Risk Factors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Smoking Prevention and Cessation .. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 9
Occupational Exposures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Indoor/Outdoor Air Pollution . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10
Component 3: Manage Stable COPD . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Education . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Pharmacologic Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 11
Bronchodilators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 12
Glucocorticosteroids. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Other Pharmacologic Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Non-Pharmacologic Treatment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Rehabilitation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Oxygen Therapy . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 15
Ventilatory Support . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Surgical Treatments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
Component 4: Manage Exacerbations . . . .
Diagnosis and Assessment of Severity
Home Management. . . . . . . . . . . . . . .
Hospital Management. . . . . . . . . . . . .
Hospital Discharge and Follow-up . . . .
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16
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20
4. Future Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 21
References
. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 22
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PREFACE
hronic Obstructive Pulmonary Disease (COPD) is a

major public health problem. It is the fourth leading
cause of chronic morbidity and mortality in the United
States1 and is projected to rank fifth in 2020 as a worldwide burden of disease according to a study published by
the World Bank/World Health Organization2. Yet, COPD
fails to receive adequate attention from the health care
community and government officials. With these concerns in mind, a committed group of scientists encouraged the US National Heart, Lung, and Blood Institute
and the World Health Organization to form the Global
Initiative for Chronic Obstructive Lung Disease (GOLD).
Among GOLDs important objectives are to increase
awareness of COPD and to help the thousands of people
who suffer from this disease and die prematurely from
COPD or its complications.
Development of the Workshop Report was supported

through educational grants to the Department of
Respiratory Diseases of the Ghent University Hospital,
Belgium (WHO Collaborating Center for the Management
of Asthma and COPD) from Altana, Andi-Ventis,
AstraZeneca, Aventis, Bayer, Boehringer Ingelheim,
Chiesi, GlaxoSmithKline, Merck, Sharp & Dohme,
Mitsubishi Pharma, Nikken Chemicals, Novartis, Pfizer,
Schering-Plough, and Zambon
Romain Pauwels, MD, PhD
Ghent, Belgium
Chair, GOLD Executive Comittee
The first step in the GOLD program was to prepare a

consensus Workshop Report, Global Strategy for the
Diagnosis, Management, and Prevention of COPD. The
GOLD Expert Panel, a distinguished group of health
professionals from the fields of respiratory medicine,
epidemiology, socioeconomics, public health, and health
education, reviewed existing COPD guidelines, as well as
new information on pathogenic mechanisms of COPD as
they developed a consensus document. Many recommendations will require additional study and evaluation as
the GOLD program is implemented.
A major problem is the incomplete information about the
causes and prevalence of COPD, especially in developing countries. While cigarette smoking is a major known
risk factor, much remains to be learned about other
causes of this disease. The GOLD Initiative will bring
COPD to the attention of governments, public health
officials, health care workers, and the general public, but
a concerted effort by all involved in health care will be
necessary to control this major public health problem.
I would like to acknowledge the dedicated individuals
who prepared the Workshop Report. We look forward to
working with all interested organizations and individuals,
to meet the goals of the GOLD Initiative.
8
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Methodology and Summary of New Recommendations*
GOLD Science Committee** was established to

review published research that impacts on
recommendations for COPD presented in the 2001
GOLD Workshop Report, and to post an updated report
yearly on the GOLD website. The 2003 update includes
review of publications from June 2000 (approximate time
of completion of the 2001 report) through March 2003.
Each year, a new update report will be posted; a revision
of the entire document will be prepared approximately
every 5 years.
criteria. Of these, 36 papers were identified to have an

impact on the GOLD report, either by: 1) confirming, that
is, adding or replacing an existing reference, or 2)
modifying, that is, changing the text or introducing a
concept that required a new recommendation to the
report. The major modifications introduced to the
management section include:
The position of long-acting and short-acting
bronchodilators, including the introduction of the new
long-acting anticholinergic, tiotropium
The position of inhaled glucocorticosteroids and
combination of inhaled long-acting 2-agonists/glucocorticosteroids
Evidence related to length of pulmonary rehabilitation
programs
Home vs. hospital care for COPD exacerbations
Methods: The process included a Pub Med search using

search fields established by the Committee: 1) COPD
OR chronic bronchitis OR emphysema, All Fields, All
Adult, 19+ years, only items with abstracts, Clinical Trial,
Human, sorted by Authors; and 2) COPD OR chronic
bronchitis OR emphysema AND systematic, All fields,
All adult, 19+ years, only items with abstracts, Human,
sorted by Author. In addition, publications in peer review
journals not captured by Pub Med could be submitted
to individual members of the Committee providing an
abstract and the full paper were submitted in (or
translated into) English.
Because of difficulties encountered using the 2001 GOLD

classification by severity in the dissemination process,
and in line with the recommendations that are being proposed by the COPD Guidelines Committee nominated
jointly by the European Respiratory Society and by the
American Thoracic Society, the classification was maintained, but the stages of severity were renamed into 0=At
Risk, I=Mild, II=Moderate, III=Severe, and IV=Very severe
to replace stages At Risk (0), Mild (I), Moderate (IIA, IIB),
and Severe (III) respectively.
All members of the Committee received a summary of

citations and all abstracts. Each abstract was assigned
to 2 Committee members (members were not assigned
to a paper where he/she appears as an Author), although
any member was offered the opportunity to provide an
opinion on any abstract. Members evaluated the
abstract or, up to her/his judgment, the full publication, by
answering specific written questions from a short
questionnaire, and to indicate if the scientific data presented impacted on recommendations in the GOLD
Workshop Report. If so, the member was asked to
specifically identify modifications that should be made.
The entire GOLD Science Committee met on a regular
basis to discuss each individual publication that was
indicated to have an impact on COPD management by
at least 1 member of the Committee, and to reach a
consensus on the changes in the report. Disagreements
were decided by vote.
The 2001 GOLD Workshop Report included the recommendation to use regular treatment with bronchodilators
for moderate to severe COPD, mentioning that longacting bronchodilators were more convenient than shortacting bronchodilators. Based on publications that
appeared since June 2000, the updated 2003 GOLD
Workshop Report recommends for moderate to very
severe COPD use of regular treatment with long-acting
bronchodilators, including tiotropium, rather than shortacting bronchodilators (Evidence A).
The 2001 Report included the recommendation to use
inhaled glucocorticosteroids for patients with moderate
COPD or more, providing they had a spirometric
response to a short-term course of steroids and/or an
FEV1 < 50% predicted and frequent exacerbations. This
recommendation was assigned (Evidence B) reflecting
the inconsistency of response to inhaled glucocorticosteroids reported in the literature. Based on publications
appearing since June 2000, the 2003 Report recommends
use of inhaled glucocorticosteroids only in patients with
severe and very severe (Stages III and IV) COPD (called
Summary of New Recommendations: Between June

2000 and March 2003, 241 articles met the search
*Fabbri LM, Hurd SS. GOLD Scientific Committee. Global
Strategy for the Diagnosis, Management, and Prevention of
COPD 2003 Update. (Editorial) Eur Resp J. 2003;22:1-2
**Members: L. Fabbri, Chair; P. Barnes, S. Buist, P. Calverley,
Y. Fukuchi, W. MacNee, R. Pauwels, K. Rabe, R. RodriguezRoisin, I. Zielinki
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Page 10
IIB and III in the 2001 Report) and frequent exacerbations, assigning to the recommendation (Evidence A),
reflecting the consistency of the response to inhaled glucocorticosteroids in more severe patients reported in the
literature.
The 2001 Report did not include a specific recommendation for the duration of rehabilitation programs. Based
on publications appearing since June 2000, the 2003
Report recommends a duration of at least 2 months for
rehabilitation programs, assigning to the recommendation
(Evidence B), reflecting the limited number of studies
available.
The 2001 GOLD Workshop Report did not include a
specific recommendation for the nurse administered
home care as an alternative to hospitalization of patients
with COPD exacerbations. Based on publications
appearing since June 2000, the 2003 GOLD Workshop
Report suggests that nurse-administered home care
represents an effective and practical alternative to
hospitalization in selected patients with exacerbations of
COPD without acidotic respiratory failure. However,
because the exact criteria for home compared to hospital
treatment remains uncertain, and may vary by health
care setting, no level of evidence was assigned to this
recommendation.
Finally, in addition to small changes and correction of
mistakes contained in the original document, the
Committee identified important issues for which the new
scientific evidence reviewed was considered insufficient
to change the 2001 Report, but that were judged as
priority issues to be addressed in the 2004 update. These
include antibiotic treatment of COPD exacerbations,
step-up/down of pharmacological treatment, use of
walking aids for rehabilitation, and anesthesia in severe
COPD patients undergoing surgery.
Prior to its release, the proposed modifications to the
2001 GOLD Workshop Report were submitted to the GOLD
Executive Committee for approval. The 2003 GOLD
Workshop Report (Executive Summary and Pocket
Guide) and the complete list of references examined by
the Committee are available on the GOLD website
(www.goldcopd.com).
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INTRODUCTION
Chronic Obstructive Pulmonary Disease (COPD) is a
major cause of chronic morbidity and mortality throughout
the world. COPD is currently the fourth leading cause of
death in the world3, and further increases in the
prevalence and mortality of the disease can be predicted
in the coming decades. A unified international effort is
required to reverse these trends.
Evidence
Category
Sources of
Evidence
The Global Initiative for Chronic Obstructive Lung

Disease (GOLD) is conducted in collaboration with the
US National Heart, Lung, and Blood Institute (NHLBI)
and the World Health Organization (WHO). Its goals are
to increase awareness of COPD and decrease morbidity
and mortality from this disease. GOLD aims to improve
prevention and management of COPD through a
concerted worldwide effort of people involved in all facets
of health care and health care policy, and to encourage a
renewed research interest in this extremely prevalent
disease.
Randomized
controlled
trials (RCTs).
Rich body of
data.
Evidence is from endpoints of

well-designed RCTs that provide
a consistent pattern of findings
in the population for which the
recommendation is made.
Category A requires substantial
numbers of studies involving
substantial numbers of
participants.
Randomized
controlled
trials (RCTs).
Limited body
of data.
Evidence is from endpoints of

intervention studies that include
only a limited number of
patients, posthoc or subgroup
analysis of RCTs, or meta-analysis of RCTs. In general,
Category B pertains when few
randomized trials exist, they are
small in size, they were undertaken in a population that differs
from the target population of the
recommendation, or the results
are somewhat inconsistent.
Nonrandomized
trials.
Observational studies.
Evidence is from outcomes of

uncontrolled or nonrandomized
trials or from observational
studies.
Panel
Consensus
Judgment.
This category is used only in

cases where the provision of
some guidance was deemed
valuable but the clinical literature
addressing the subject was
deemed insufficient to justify
placement in one of the other
categories. The Panel
Consensus is based on clinical
experience or knowledge that
does not meet the above-listed
criteria.
Table 1 - Description of Levels of Evidence
The GOLD Workshop Report, Global Strategy for the

Diagnosis, Management, and Prevention of COPD,
presents a COPD management plan with four
components: (1) Assess and Monitor Disease; (2) Reduce
Risk Factors; (3) Manage Stable COPD; (4) Manage
Exacerbations. The Workshop Report is based on the
best-validated current concepts of COPD pathogenesis
and the available evidence on the most appropriate
management and prevention strategies. It has been
developed by individuals with expertise in COPD
research and patient care and extensively reviewed by
many experts and scientific societies. Prior to its release
for publication, the Workshop Report was reviewed by
the NHLBI and the WHO. This Executive Summary
provides key information about COPD; the full Workshop
Report provides more details.
In section 3, Four Components of COPD Management,

levels of evidence are assigned to statements, where
appropriate, using a system developed by the NHLBI
(Table 1). Levels of evidence are indicated in boldface
enclosed in parentheses after the relevant statement
e.g., (Evidence A).
Definition
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1. DEFINITION AND
CLASSIFICATION OF SEVERITY
CLASSIFICATION OF SEVERITY
For educational reasons, a simple classification of disease
severity into four stages is recommended (Table 2). The
management of COPD is largely symptom driven, and
there is only an imperfect relationship between the degree
of airflow limitation and the presence of symptoms. The
staging, therefore, is a pragmatic approach aimed at
practical implementation and should only be regarded as
an educational tool, and a very general indication of the
approach to management. All FEV1 values refer to
post-bronchodilator FEV1.
DEFINITION
COPD is a disease state characterized by airflow limitation
that is not fully reversible. The airflow limitation is usually
both progressive and associated with an abnormal inflammatory response of the lungs to noxious particles or gases.
A diagnosis of COPD should be considered in any patient
who has symptoms of cough, sputum production, or
dyspnea, and/or a history of exposure to risk factors for the
disease. The diagnosis is confirmed by spirometry. The
presence of a postbronchodilator FEV1 < 80% of the
predicted value in combination with an FEV1/FVC < 70%
confirms the presence of airflow limitation that is not fully
reversible. Where spirometry is unavailable, the diagnosis
of COPD should be made using all available tools. Clinical
symptoms and signs, such as abnormal shortness of
breath and increased forced expiratory time, can be used to
help with the diagnosis. A low peak flow is consistent with
COPD, but has poor specificity since it can be caused by
other lung diseases and by poor performance. In the
interest of improving the diagnosis of COPD, every effort
should be made to provide access to standardized
spirometry. Chronic cough and sputum production often
precede the development of airflow limitation by many
years, although not all individuals with cough and sputum
production go onto develop COPD.
Stage 0: At Risk - Characterized by chronic cough and

sputum production. Lung function, as measured by
spirometry, is still normal.
Stage I: Mild COPD - Characterized by mild airflow
limitation (FEV1/FVC < 70% but FEV1 80% predicted)
and usually, but not always, by chronic cough and
sputum production. At this stage, the individual may
not even be aware that his or her lung function is
abnormal.
Stage II: Moderate COPD - Characterized by worsening airflow limitation (50% FEV1 < 80% predicted) and usually
the progression of symptoms, with shortness of breath
typically developing on exertion. This is the stage at which
patients typically seek medical attention because of
dyspnea or an exacerbation of their disease.
Table 2 - Classification of Severity*

Stage
Characteristics
0:
At Risk
normal spirometry
chronic symptoms (cough, sputum production)
I:
Mild COPD
FEV1/FVC < 70%

FEV1 80% predicted
with or without chronic symptoms (cough, sputum production)
II: Moderate COPD
FEV1/FVC < 70%

50% FEV1 < 80% predicted
III: Severe COPD
FEV1/FVC < 70%

30% FEV1 < 50% predicted
IV: Very Severe COPD
FEV1/FVC < 70%

FEV1 < 30% predicted or FEV1 < 50% predicted plus chronic respiratory failure
*Classification based on postbronchodilator FEV1

FEV1: forced expiratory volume in one second; FVC: forced vital capacity; respiratory failure: arterial partial pressure of oxygen
(PaO2) less than 8.0 kPa (60 mm Hg) with or without arterial partial pressure of CO2 (PaCO2) greater than 6.7 kPa (50 mm Hg)
while breathing air at sea level.
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In the central airways the trachea, bronchi, and bronchioles greater than 2-4 mm in internal diameter inflammatory cells infiltrate the surface epithelium9,20,21. Enlarged
mucus secreting glands and an increase in the number of
goblet cells are associated with mucus hypersecretion. In
the peripheral airways small bronchi and bronchioles
that have an internal diameter of less than 2 mm chronic inflammation leads to repeated cycles of injury and
repair of the airway wall22. The repair process results in a
structural remodeling of the airway wall, with increasing
collagen content and scar tissue formation, that narrows
the lumen and produces fixed airways obstruction23.
Stage III: Severe COPD - characterized by further worsening of airflow limitation (30% FEV1 < 50% predicted),
increased shortness of breath, and repeated exacerbations
which have an impact on patients quality of life.
Stage IV: Very Severe COPD - Characterized by severe
air-flow limitation (FEV1 < 30% predicted) or the presence
of chronic respiratory failure. Patients may have very severe
(Stage IV) COPD even if the FEV1 is > 30% predicted,
whenever these complications are present. At this stage,
quality of life is appreciably impaired and exacerbations
may be life-threatening.
Poorly reversible airflow limitation associated with
bronchiectasis, cystic fibrosis, tuberculosis, or asthma is
not included except insofar as these conditions overlap
with COPD. In many developing countries both pulmonary tuberculosis and COPD are common. Therefore,
in all subjects with symptoms of COPD, a possible
diagnosis of tuberculosis should be considered especially
in areas where this disease is known to be prevalent. In
countries in which the prevalence of tuberculosis is
greatly diminished, the possible diagnosis of this disease
is sometimes overlooked.
Destruction of the lung parenchyma in COPD patients

typically occurs as centrilobular emphysema. This
involves dilatation and destruction of the respiratory
bronchioles24. These lesions occur more frequently in the
upper lung regions in milder cases, but in advanced disease they may appear diffusely throughout the entire
lung and also involve destruction of the pulmonary capillary bed. An imbalance of endogenous proteinases and
antiproteinases in the lung due to genetic factors or the
action of inflammatory cells and mediators is thought to
be a major mechanism behind emphysematous lung
destruction. Oxidative stress, another consequence of
inflammation, may also contribute25.
PATHOGENESIS
COPD is characterized by chronic inflammation
throughout the airways, parenchyma, and pulmonary
vasculature. Macrophages, T lymphocytes
(predominately CD8+), and neutrophils are increased in
various parts of the lung. Activated inflammatory cells
release a variety of mediators including leukotriene
B4 (LTB4)4, interleukin 8 (IL-8)5-7, tumor necrosis factor
(TNF-)5,8, and others capable of damaging lung
structures and/or sustaining neutrophilic inflammation.
In addition to inflammation, two other processes thought
to be important in the pathogenesis of COPD are an
imbalance of proteinases and antiproteinases in the lung,
and oxidative stress.
Pulmonary vascular changes in COPD are characterized

by a thickening of the vessel wall that begins early in the
natural history of the disease. Thickening of the intima is
the first structural change26, followed by an increase in
smooth muscle and the infiltration of the vessel wall by
inflammatory cells27. As COPD worsens, greater amounts
of smooth muscle, proteoglycans, and collagen28 further
thicken the vessel wall.
PATHOPHYSIOLOGY
Pathological changes in the lungs lead to corresponding
physiological changes characteristic of the disease, including mucus hypersecretion, ciliary dysfunction, airflow limitation, pulmonary hyperinflation, gas exchange abnormalities,
pulmonary hypertension, and cor pulmonale. They usually
develop in this order over the course of the disease.
Inflammation of the lungs is caused by exposure to inhaled

noxious particles and gases. Cigarette smoke can induce
inflammation and directly damage the lungs9-14. Although
fewer data are available, it is likely that other COPD risk
factors initiate a similar inflammatory process15-19. It is
believed that this inflammation can then lead to COPD.
PATHOLOGY
Mucus hypersecretion and ciliary dysfunction lead to

chronic cough and sputum production. These symptoms
can be present for many years before other symptoms or
physiological abnormalities develop.
Pathological changes characteristic of COPD are

found in the central airways, peripheral airways, lung
parenchyma, and pulmonary vasculature.
Expiratory airflow limitation, best measured through

spirometry, is the hallmark physiological change of COPD3
and the key to diagnosis of the disease. It is primarily
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due to fixed airways obstruction and the consequent

increase in airways resistance. Destruction of alveolar
attachments, which inhibits the ability of the small airways to maintain patency, plays a smaller role.
Table 3 - Four-Country Comparison of COPD Direct

and Indirect Costs
Country (ref)
UK33
The Netherlands34
Sweden35
US1
In advanced COPD, peripheral airways obstruction,

parenchymal destruction, and pulmonary vascular
abnormalities reduce the lungs capacity for gas
exchange, producing hypoxemia and, later on, hypercapnia. Pulmonary hypertension, which develops late in the
course of COPD (Stage IV: Very Severe COPD), is the
major cardiovascular complication of COPD and is
associated with the development of cor pulmonale and a
poor prognosis29. The prevalence and natural history of
cor pulmonale in COPD are not yet clear.
Year
1996
1993
1991
1993
Direct Cost Indirect Cost

Total
(US$ Millions) (US$ Millions) (US$ Millions)
778
256
179
14,700
3,312
N/A
281
9,200
4,090
N/A
460
23,900
Per Capita*
(US$)
65
N/A#
60
87
* Per capita valuation based on 1993 population estimates from the

United Nations Population Council and expressed in 1993 US dollars.
# The authors did not provide estimates of indirect costs.
Mortality: COPD is currently the fourth leading cause

of death in the world2, and further increases in the
prevalence and mortality of the disease can be predicted
in the coming decades2,32. In the US, COPD death rates
are very low among people under age 45 but then increase
with age, and COPD becomes the fourth or fifth leading
cause of death among those over 451.
2. BURDEN OF COPD
EPIDEMIOLOGY
ECONOMIC AND SOCIAL BURDEN OF COPD

Most of the information available on COPD prevalence,
morbidity, and mortality comes from developed countries.
Even in these countries, accurate epidemiological data
on COPD are difficult and expensive to collect.
Table 3 provides an understanding of the relative economic

burden of COPD in four countries with Western styles of
medical practice and social or private insurance structures.
Similar data from developing countries are not available.
Prevalence and morbidity data greatly underestimate the

total burden of COPD because the disease is usually not
diagnosed until it is clinically apparent and moderately
advanced. The imprecise and variable definitions of
COPD have made it hard to quantify the morbidity and
mortality of this disease in developed30 and developing
countries. Mortality data also underestimate COPD as a
cause of death because the disease is more likely to be
cited as a contributory than as an underlying cause of
death, or may not be cited at all31.
The Global Burden of Disease Study2,32 estimated the

fraction of mortality and disability attributable to major
diseases and injuries using a composite measure of the
burden of each health problem, the Disability-Adjusted
Life Year (DALY= the sum of years lost because of pre-
Table 4 - Leading Causes of Disability-Adjusted Life Years

(DALYs) Lost Worldwide: 1990 and 2020 (Projected)2,32
Disease or
Injury
Prevalence: In the Global Burden of Disease Study

conducted under the auspices of the WHO and the World
Bank2,32, the worldwide prevalence of COPD in 1990 was
estimated to be 9.34/1,000 in men and 7.33/1,000 in
women. However, these estimates include all ages and
underestimate the true prevalence of COPD in older
adults. The prevalence of COPD is highest in countries
where cigarette smoking has been, or still is, very
common, while the prevalence is lowest in countries
where smoking is less common, or total tobacco
consumption per individual is low.
Rank
1990
Lower respiratory infections

Diarrheal diseases
Perinatal period conditions
Unipolar major depression
Ischemic heart disease
Cerebrovascular disease
Tuberculosis
Measles
Road traffic accidents
Congenital anomalies
Malaria
COPD
Trachea, bronchus, lung cancer
Morbidity: The limited data that are available indicate

that morbidity due to COPD increases with age and is
greater in men than women1. COPD is responsible for
a significant part of physician visits, emergency
department visits, and hospitalizations.
1
2
3
4
5
6
7
8
9
10
11
12
33
Percent of
Total DALYs
8.2
7.2
6.7
3.7
3.4
2.8
2.8
2.6
2.5
2.4
2.3
2.1
0.6
Rank
2020
Percent of
Total DALYs
6
9
11
2
1
4
7
25
3
13
19
5
15
3.1
2.7
2.5
5.7
5.9
4.4
3.1
1.1
5.1
2.2
1.5
4.1
1.8
Excerpted with permission from Murray CJL, Lopez AD. Science 1999;
274:740-3. Copyright 1999 American Association for the Advancement
of Science
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mature mortality and years of life lived with disability,

adjusted for the severity of disability). According to
projections, COPD will be the fifth leading cause of
DALYs lost worldwide in 2020 (in 1990 it ranked twelfth),
behind ischemic heart disease, major depression, traffic
accidents, and cerebrovascular disease (Table 4).
Lung Growth: Lung growth is related to processes occurring during gestation, birth weight, and exposures during
childhood46-50. Reduced maximal attained lung function
(as measured by spirometry) may identify individuals who
are at increased risk for the development of COPD51.
Exposures
RISK FACTORS
Tobacco Smoke: Cigarette smokers have a higher
prevalence of lung-function abnormalities and respiratory
symptoms, a greater annual rate of decline in FEV1, and
higher death rates for COPD than nonsmokers. Pipe and
cigar smokers have higher COPD morbidity and mortality
rates than nonsmokers, although their rates are lower
than those for cigarette smokers52. Not all smokers
develop clinically significant COPD, which suggests
that genetic factors must modify each individuals
risk. Passive exposure to cigarette smoke may also
contribute to respiratory symptoms and COPD by
increasing the lungs total burden of inhaled particulates
and gases36,53,54. Smoking during pregnancy may also
pose a risk for the fetus, by affecting lung growth and
development in utero and possibly the priming of the
immune system50,55.
Risk factors for COPD include both host factors and

environmental exposures, and the disease usually
arises from an interaction between these two types of
factors. The host factor that is best documented is a rare
hereditary deficiency of alpha-1 antitrypsin. Other genes
involved in the pathogenesis of COPD have not yet been
identified. The major environmental factors are tobacco
smoke; heavy exposure to occupational dusts and
chemicals (vapors, irritants, fumes); and indoor/outdoor
air pollution.
The role of gender as a risk factor for COPD remains
unclear. In the past, most studies showed that COPD
prevalence and mortality were greater among men than
women36-39. More recent studies1,40 from developed
countries show that the prevalence of the disease is almost
equal in men and women, which probably reflects changing
patterns of tobacco smoking. Some studies have in fact
suggested that women are more susceptible to the effects
of tobacco smoke than men38,41. This is an important question given the increasing rate of smoking among women in
both developed and developing countries.
Occupational Dusts and Chemicals: When the exposures are sufficiently intense or prolonged, occupational
dusts and chemicals (vapors, irritants, fumes) can cause
COPD independently of cigarette smoking and increase
the risk of the disease in the presence of concurrent
cigarte smoking56. Exposure to particulate matter,
irritants, organic dusts, and sensitizing agents can cause
an increase in airway hyperresponsiveness57, especially
in airways already damaged by other occupational
exposures, cigarette smoke, or asthma.
Host Factors
Genes: It is believed that many genetic factors increase
(or decrease) a persons risk of developing COPD. The
genetic risk factor that is best documented is a rare
hereditary deficiency of alpha-1 antitrypsin42-44. Premature
and accelerated development of panlobular emphysema
and decline in lung function occurs in many smokers and
nonsmokers with the severe deficiency, although smoking
increases the risk appreciably. Other genes involved in
the pathogenesis of COPD have not yet been identified.
Outdoor and Indoor Air Pollution: High levels of urban air

pollution are harmful to persons with existing heart or
lung disease. The role of outdoor air pollution in causing
COPD is unclear, but appears to be small when
compared with cigarette smoking. Indoor air pollution
from biomass fuel, burned for cooking and heating in
poorly vented dwellings, has been implicated as a risk
factor for the development of COPD58-67.
Airway Hyperresponsiveness: Asthma and airway hyperresponsiveness, identified as risk factors that contribute
to the development of COPD45, are complex disorders
related to a number of genetic and environmental factors.
How they influence the development of COPD is
unknown. Airway hyperresponsiveness may also develop
after exposure to tobacco smoke or other environmental
insults and thus may be a result of smoking-related
airways disease.
Infections: A history of severe childhood respiratory

infection has been associated with reduced lung function
and increased respiratory symptoms in adulthood51.
However, viral infections may be related to another factor,
e.g., low birth weight, that itself is related to COPD.
Socioeconomic Status: There is evidence that the risk of
developing COPD is inversely related to socioeconomic
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status68. It is not clear, however, whether this pattern

reflects exposures to indoor and outdoor air pollutants,
crowding, poor nutrition, or other factors that are related
to socioeconomic status67,69.
COMPONENT 1: ASSESS
AND MONITOR DISEASE
3. THE FOUR COMPONENTS

OF COPD MANAGEMENT
KEY POINTS
Diagnosis of COPD is based on a history of

exposure to risk factors and the presence of
airflow limitation that is not fully reversible, with
or without the presence of symptoms.
Patients who have chronic cough and sputum

production with a history of exposure to risk
factors should be tested for airflow limitation,
even if they do not have dyspnea.
For the diagnosis and assessment of COPD,

spirometry is the gold standard as it is the most
reproducible, standardized, and objective way
of measuring airflow limitation. FEV1/FVC <
70% and a postbronchodilator FEV1 < 80%
predicted confirms the presence of airflow limitation that is not fully reversible.
Health care workers involved in the diagnosis

and management of COPD patients should
have access to spirometry.
Measurement of arterial blood gas tensions

should be considered in all patients with
FEV1 < 40% predicted or clinical signs suggestive of respiratory failure or right heart failure.
INTRODUCTION
An effective COPD management plan includes four
components: (1) Assess and Monitor Disease;
(2) Reduce Risk Factors; (3) Manage Stable COPD;
(4) Manage Exacerbations.
The goals of effective COPD management are to:
Prevent disease progression
Relieve symptoms
Improve exercise tolerance
Improve health status
Prevent and treat complications
Prevent and treat exacerbations
Reduce mortality.
These goals should be reached with a minimum of side
effects from treatment, a particular challenge in COPD
patients where comorbidities are common. The extent to
which these goals can be realized varies with each
individual, and some treatments will produce benefits in
more than one area. In selecting a treatment plan, the
benefits and risks to the individual and the costs, direct
and indirect, to the community must be considered.
Patients should be identified before the end stage of the
illness, when disability is substantial. However, the
benefits of community-based spirometric screening, of
either the general population or smokers, are still unclear.
Educating patients and physicians to recognize that
cough, sputum production, and especially breathlessness
are not trivial symptoms is an essential aspect of the
public health care of this disease.
DIAGNOSIS
A diagnosis of COPD (Table 5) should be considered in
any patient who has cough, sputum production, or
dyspnea, and/or a history of exposure to risk factors for
the disease. The diagnosis is confirmed by an objective
measure of airflow limitation, preferably spirometry.
Reduction of therapy once symptom control has been

achieved is not normally possible in COPD. Further
deterioration of lung function usually requires the
progressive introduction of more treatments, both
pharmacologic and non-pharmacologic, to attempt to
limit the impact of these changes. Exacerbations of
signs and symptoms, a hallmark of COPD, impair
patients quality of life and decrease their health status.
Appropriate treatment and measures to prevent further
exacerbations should be implemented as quickly as
possible.
Assessment of Symptoms: Chronic cough, usually the

first symptom of COPD to develop70, may initially be
intermittent, but later is present every day, often throughout the day, and is seldom entirely nocturnal. In some
cases, significant airflow limitation may develop without
the presence of a cough. Small quantities of tenacious
sputum are commonly raised by COPD patients after
coughing bouts. Dyspnea is the reason most patients
seek medical attention and is a major cause of disability
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and anxiety associated with the disease. As lung function deteriorates, breathlessness becomes more intrusive. Wheezing and chest tightness are relatively nonspecific symptoms and may vary between days and over
the course of a single day. An absence of wheezing or
chest tightness does not exclude a diagnosis of COPD.
Social and family support available to the patient

Possibilities for reducing risk factors, especially
smoking cessation.
Physical Examination: Though an important part of
patient care, a physical examination is rarely diagnostic
in COPD. Physical signs of airflow limitation are rarely
present until significant impairment of lung function has
occurred71,72, and their detection has a relatively low
sensitivity and specificity.
Table 5 - Key Indicators for Considering a Diagnosis of COPD

Consider COPD and perform spirometry if any of these indicators are
present. These indicators are not diagnostic by themselves, but the
presence of multiple key indicators increases the probability of a diagnosis of COPD. Spirometry is needed to establish a diagnosis of COPD.
Chronic cough:
Present intermittently or every day.

Often present throughout the day;
seldom only nocturnal.
Chronic sputum
production:
Any pattern of chronic sputum

production may indicate COPD.
Dyspnea that is:
Progressive (worsens over time).

Persistent (present every day).
Described by the patient as:
increased effort to breathe,
heaviness, air hunger, or gasping.
Worse on exercise.
Worse during respiratory infections.
History of
exposure to
risk factors,
especially:
Tobacco smoke.
Occupational dusts and chemicals.
Smoke from home cooking
and heating fuels.
Measurement of Airflow Limitation: To help identify

patients earlier in the course of the disease, spirometry
should be performed for patients who have chronic cough
and sputum production and a history of exposure to risk
factors, even if they do not have dyspnea. Spirometry
should measure the maximal volume of air forcibly
exhaled from the point of maximal inhalation (forced vital
capacity, FVC) and the volume of air exhaled during the
first second of this maneuver (forced expiratory volume in
one second, FEV1), and the ratio of these two measurements (FEV1/FVC) should be calculated. Patients with
COPD typically show a decrease in both FEV1 and FVC.
The presence of a postbronchodilator FEV1 < 80% of the
predicted value in combination with an FEV1/FVC < 70%
confirms the presence of airflow limitation that is not fully
reversible. The FEV1/FVC on its own is a more sensitive
measure of airflow limitation, and an FEV1/FVC < 70% is
considered an early sign of airflow limitation in patients
whose FEV1 remains normal ( 80% predicted). This
approach to defining airflow limitation is a pragmatic one
in view of the fact that universally applicable reference
values for FEV1 and FVC are not available.
Medical History: A detailed medical history of a new

patient known or thought to have COPD should assess:
Assessment of Severity: Assessment of severity

(Table 2) is based on the level of symptoms, severity of
the spirometric abnormality, and the presence of complications such as respiratory failure and right heart failure.
Exposure to risk factors

Past medical history, including asthma, allergy,
sinusitis or nasal polyps, respiratory infections in
childhood, and other respiratory diseases
Family history of COPD or other chronic
respiratory disease
Pattern of symptom development
History of exacerbations or previous
hospitalizations for respiratory disorder
Presence of comorbidities, such as heart disease
and rheumatic disease, that may also contribute to
restriction of activity
Appropriateness of current medical treatments
Impact of disease on patients life, including
limitation of activity; missed work and economic
impact; effect on family routines; and feelings of
depression or anxiety
Additional Investigations: For patients in Stage II:

Moderate COPD and beyond, the following additional
investigations may be useful.
Bronchodilator reversibility testing: Generally performed
only once, at the time of diagnosis, this test is useful to
help rule out a diagnosis of asthma, to establish a
patients best attainable lung function, to gauge a
patients prognosis, and to guide treatment decisions.
However, even patients who do not show a significant
FEV1 response to a short-acting bronchodilator test may
benefit symptomatically from long-term bronchodilator
treatment.
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Chest X-ray: A chest X-ray is seldom diagnostic in

COPD unless obvious bullous disease is present, but it is
valuable in excluding alternative diagnoses. Computed
tomography (CT) of the chest is not routinely recommended. However, when there is doubt about the
diagnosis of COPD, high resolution CT (HRCT) might
help in the differential diagnosis. In addition, if a surgical
procedure such as bullectomy or lung volume reduction
is contemplated, chest CT is helpful.
Table 6 - Differential Diagnosis of COPD

Diagnosis
Suggestive Features*
COPD
Onset in mid-life.
Symptoms slowly progressive.
Long smoking history.
Dyspnea during exercise.
Largely irreversible airflow
limitation.
Asthma
Onset early in life (often childhood).

Symptoms vary from day to day.
Symptoms at night/early morning.
Allergy, rhinitis, and/or eczema also
present.
Family history of asthma.
Largely reversible airflow limitation.
Arterial blood gas measurement: In advanced COPD,

measurement of arterial blood gases is important. This
test should be performed in patients with FEV1 < 40%
predicted or with clinical signs suggestive of respiratory
failure or right heart failure. Clinical signs of respiratory
failure or right heart failure include central cyanosis,
ankle swelling, and an increase in the jugular venous
pressure. Clinical signs of hypercapnia are extremely
nonspecific outside of exacerbations. Respiratory failure
is indicated by a PaO2 < 8.0 kPa (60 mm Hg) with or
without PaCO2 > 6.7 kPa (50 mm Hg) while breathing air
at sea level. Measurement of arterial blood gases should
be obtained by arterial puncture; finger or ear oximeters
for assessing arterial oxygen saturation (SaO2) are less
reliable.
Congestive Heart Failure
Fine basilar crackles on auscultation.

Chest X-ray shows dilated heart,
pulmonary edema.
Pulmonary function tests indicate volume
restriction, not airflow limitation.
Bronchiectasis
Alpha-1 antitrypsin deficiency screening: In patients who

develop COPD at a young age (< 45 years) or who have
a strong family history of the disease, it may be valuable
to identify coexisting alpha-1 antitrypsin deficiency. This
could lead to family screening and appropriate
counseling.
Large volumes of purulent sputum.

Commonly associated with bacterial
infection.
Coarse crackles/clubbing on auscultation.
Chest X-ray/CT shows bronchial dilation,
bronchial wall thickening.
Tuberculosis
Onset all ages.

Chest X-ray shows lung infiltrate or
nodular lesions.
Microbiological confirmation.
High local prevalence of tuberculosis.
Obliterative Bronchiolitis
Onset in younger age, nonsmokers.

May have history of rheumatoid arthritis
or fume exposure.
CT on expiration shows hypodense areas.
Diffuse Panbronchiolitis
Most patients are male and nonsmokers.

Almost all have chronic sinusitis.
Chest X-ray and HRCT show diffuse
small centrilobular nodular opacities and
hyperinflation.
Differential Diagnosis: A major differential diagnosis is

asthma. In some patients with chronic asthma, a clear
distinction from COPD is not possible using current
imaging and physiological testing techniques. In these
cases, current management is similar to that of asthma.
Other potential diagnoses are usually easier to
distinguish from COPD (Table 6).
ONGOING MONITORING AND ASSESSMENT

Monitor Disease Progression and Development of
Complications: COPD is usually a progressive disease,
and a patients lung function can be expected to worsen
over time, even with the best available care. Symptoms
and objective measures of airflow limitation should be
*These features tend to be characteristic of the respective diseases, but

do not occur in every case. For example, a person who has never
smoked may develop COPD (especially in the developing world, where
other risk factors may be more important than cigarette smoking);
asthma may develop in adult and even elderly patients.
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Smoking cessation is the single most effective and

cost-effective way to reduce the risk of developing
COPD and stop its progression. Even a brief, 3-minute
period of counseling to urge a smoker to quit can be
effective, and at the very least this should be done for
every smoker at every visit75,76. Health education, public
policy, and information dissemination programs are all
vital components in a comprehensive cessation effort.
cotherapy is recommended when counseling is not

sufficient to help patients quit smoking. Numerous studies
indicate that nicotine replacement therapy in any form
(nicotine gum, inhaler, nasal spray, transdermal patch,
sublingual tablet, or lozenge) reliably increases long-term
smoking abstinence rates78,83. The antidepressants
bupropion84 and nortriptyline have also been shown to
increase long-term quit rates, although fewer studies have
been conducted with these medications78,83. The effectiveness of the antihypertensive drug clonidine is limited by
side effects83. Special consideration should be given before
using pharmacotherapy in selected populations: people
with medical contraindications, light smokers (fewer than
10 cigarettes/day), and pregnant and adolescent smokers.
Guidelines for Smoking Cessation: Guidelines for

smoking cessation were published by the US Agency for
Health Care Policy and Research (AHCPR) in 199677 and
updated in 2000 by the US Public Health Service in
Treating Tobacco Use and Dependence: A Clinical
Practice Guideline78.
OCCUPATIONAL EXPOSURES
Smoking Cessation Intervention Process: The Public
Health Service Report recommends a five-step program
for intervention (Table 7), which provides a strategic
framework helpful to health care providers interested in
helping their patients stop smoking. Three types of
counseling are especially effective: practical counseling,
social support as part of treatment, and social support
arranged outside of treatment77-81 (Evidence A).
Although it is not known how many individuals are at risk of

developing respiratory disease from occupational exposures
in either developing or developed countries, many occupationally induced respiratory disorders can be reduced or
controlled through a variety of strategies aimed at reducing
the burden of inhaled particles and gases85. Emphasis
should be on primary prevention, which is best achieved
by the elimination or reduction of exposures to various
substances in the workplace. Secondary prevention,
achieved through epidemiologic surveillance and early
case detection, is also of great importance.
Pharmacotherapy: Numerous effective pharmacotherapies for smoking cessation now exist78,82,83 (Evidence A).
Except in the presence of special circumstances, pharma-
Table 7 - Strategies to Help the Patient

Willing to Quit Smoking78
INDOOR/OUTDOOR AIR POLLUTION

Individuals experience diverse indoor and outdoor
environments throughout the day, each of which has its
own unique set of air contaminants. Although outdoor
and indoor air pollution are generally thought of separately,
the concept of total personal exposure may be more
relevant for COPD. Reducing the risk from indoor and
outdoor air pollution requires a combination of public policy
and protective steps taken by individual patients.
1. ASK: Systematically identify all tobacco users at

every visit.
Implement an office-wide system that ensures that, for
EVERY patient at EVERY clinic visit, tobacco-use status
is queried and documented.
2. ADVISE: Strongly urge all tobacco users to quit.
In a clear, strong, and personalized manner, urge every
tobacco user to quit.
The health care provider should consider susceptibility

(including family history, exposure to indoor/outdoor
pollution) for each individual patient86. Those who are at
high risk should avoid vigorous exercise outdoors during
pollution episodes. If various solid fuels are used for
cooking and heating, adequate ventilation should be
encouraged. Persons with severe COPD should monitor
public announcements of air quality and should stay
indoors when air quality is poor. Under most circumstances,
health care providers should not suggest respiratory
protection as a method for reducing the risks of ambient air
pollution. Air cleaners have not been shown to have health
benefits, whether directed at pollutants generated by indoor
sources or at those brought in with outdoor air.
3. ASSESS: Determine willingness to make a quit attempt.

Ask every tobacco user if he or she is willing to make a
quit attempt at this time (e.g., within the next 30 days).
4. ASSIST: Aid the patient in quitting.
Help the patient with a quit plan; provide practical counseling; provide intra-treatment social support; help the patient
obtain extra-treatment social support; recommend use of
approved pharmacotherapy except in special circumstances; provide supplementary materials.
5. ARRANGE: Schedule follow-up contact.
Schedule follow-up contact, either in person or via
telephone.
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monitored for development of complications and to

determine when to adjust therapy.
COMPONENT 2: REDUCE RISK FACTORS
Follow-up visits should include a discussion of new or

worsening symptoms. Spirometry should be performed
if there is a substantial increase in symptoms or a
complication. Measurement of arterial blood gas
tensions should be performed in all patients with an
FEV1 < 40% predicted or clinical signs of respiratory
failure or right heart failure. Elevation of the jugular
venous pressure and the presence of pitting ankle
edema are often the most useful findings suggestive of
right heart failure in clinical practice. Measurement of
pulmonary arterial pressure is not recommended in
clinical practice as it does not add practical information
beyond that obtained from a knowledge of PaO2.
KEY POINTS
Reduction of total personal exposure to tobacco
smoke, occupational dusts and chemicals, and
indoor and outdoor air pollutants are important
goals to prevent the onset and progression of
COPD.
Monitor Pharmacotherapy and Other Medical

Treatment: In order to adjust therapy appropriately as
the disease progresses, each follow-up visit should
include a discussion of the current therapeutic regimen.
Dosages of various medications, adherence to the
regimen, inhaler technique, effectiveness of the current
regime at controlling symptoms, and side effects of
treatment should be monitored.
Monitor Exacerbation History: Frequency, severity, and
likely causes of exacerbations should be evaluated.
Increased sputum volume, acutely worsening dyspnea,
and the presence of purulent sputum should be noted.
Severity can be estimated by the increased need for
bronchodilator medication or glucocorticosteroids and by
the need for antibiotic treatment. Hospitalizations should
be documented, including the facility, duration of stay,
and any use of critical care or intubation.
Monitor Comorbidities: In treating patients with COPD,
it is important to consider the presence of concomitant
conditions such as bronchial carcinoma, tuberculosis,
sleep apnea, and left heart failure. The appropriate
diagnostic tools (chest radiograph, ECG, etc.) should be
used whenever symptoms (e.g., hemoptysis) suggest
one of these conditions.
Smoking cessation is the single most effective

and cost-effective intervention to reduce
the risk of developing COPD and stop its
progression (Evidence A).
Brief tobacco dependence treatment is

effective (Evidence A) and every tobacco
user should be offered at least this treatment
at every visit to the health care provider.
Three types of counseling are especially

effective: practical counseling, social support
as part of treatment, and social support
arranged outside of treatment (Evidence A).
Several effective pharmacotherapies for

tobacco dependence are available (Evidence
A), and at least one of these medications
should be added to counseling if necessary
and in the absence of contraindications.
Progression of many occupationally induced

respiratory disorders can be reduced or
controlled through a variety of strategies aimed
at reducing the burden of inhaled particles and
gases (Evidence B).
SMOKING PREVENTION AND CESSATION

Comprehensive tobacco control policies and programs
with clear, consistent, and repeated nonsmoking
messages should be delivered through every feasible
channel. Legislation to establish smoke-free schools,
public facilities, and work environments should be
encouraged by government officials, public health
workers, and the public.
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INTRODUCTION
COMPONENT 3:
MANAGE STABLE COPD
The overall approach to managing stable COPD should

be characterized by a stepwise increase in treatment,
depending on the severity of the disease. The management strategy is based on an individualized assessment
of disease severity and response to various therapies.
Disease severity is determined by the severity of symptoms and airflow limitation, as well as other factors such
as the frequency and severity of exacerbations, complications, respiratory failure, comorbidities (cardiovascular
disease, sleep-related disorders, etc.), and the general
health status of the patient. Treatment depends on the
patients educational level and willingness to apply the
recommended management, on cultural and local
condi-tions, and on the availability of medications.
KEY POINTS
The overall approach to managing stable
COPD should be characterized by a stepwise
increase in treatment, depending on the
severity of the disease.
For patients with COPD, health education can

play a role in improving skills, ability to cope
with illness, and health status. It is effective in
accomplishing certain goals, including smoking
cessation (Evidence A).
None of the existing medications for COPD

has been shown to modify the long-term
decline in lung function that is the hallmark of
this disease (Evidence A). Therefore, pharmacotherapy for COPD is used to decrease symptoms and/or complications.
Bronchodilator medications are central to the

symptomatic management of COPD (Evidence
A). They are given on an as-needed basis or on
a regular basis to prevent or reduce symptoms.
The principal bronchodilator treatments are

2-agonists, anticholinergics, theophylline, and
a combination of one or more of these drugs
(Evidence A).
Regular treatment with long-acting bronchodilators is more effective and convenient than
treatment with short-acting bronchodilators, but
more expensive (Evidence A).
The addition of regular treatment with inhaled

glucocorticosteroids to bronchodilator treatment
is appropriate for symptomatic COPD patients
with an FEV1 < 50% predicted (Stage III:
Severe COPD and Stage IV: Very Severe
COPD) and repeated exacerbations
(Evidence A).
Chronic treatment with systemic glucocorticosteroids should be avoided because of an

unfavorable benefit-to-risk ratio (Evidence A) .
All COPD patients benefit from exercise

training programs, improving with respect to
both exercise tolerance and symptoms of
dyspnea and fatigue (Evidence A).
EDUCATION
Although patient education alone does not improve
exercise performance or lung function87-90, it can play a
role in improving skills, ability to cope with illness, and
health status91. In addition, patient education is effective
in accomplishing certain specific goals, including smoking
cessation41 (Evidence A), initiating discussions and
understanding of advance directives and end-of-life
issues92 (Evidence B), and improving patient responses
to exacerbations93,94 (Evidence B).
Education may take place in many settings: consultations
with physicians or other health care workers, home-care
or outreach programs, and comprehensive pulmonary
rehabilitation programs. It should be tailored to the needs
and environment of the patient, interactive, directed at
improving quality of life, simple to follow, practical, and
appropriate to the intellectual and social skills of the
patient and the caregiver. The topics that seem most
appropriate for an education program to cover include:
smoking cessation; basic information about COPD and
pathophysiology of the disease; general approach to
therapy and specific aspects of medical treatment;
self-management skills; strategies to help minimize
dyspnea; advice about when to seek help; self-management and decision-making in exacerbations; and advance
directives and end-of-life issues.
PHARMACOLOGIC TREATMENT
Pharmacologic therapy (Table 8) is used to prevent and
control symptoms, reduce the frequency and severity of
exacerbations, improve health status, and improve
exercise tolerance. None of the existing medications for
COPD (Table 10) has been shown to modify the long-
The long-term administration of oxygen

(> 15 hours per day) to patients with chronic
respiratory failure has been shown to increase
survival (Evidence A).
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term decline in lung function that is the hallmark of this

disease41,95-98 (Evidence A). However, this should not
preclude efforts to use medications to control symptoms.
Table 9 - Bronchodilators in Stable COPD

Bronchodilator medications are central to symptom
management in COPD.
Inhaled therapy is preferred.
The choice between 2-agonist, anticholinergic,
theophylline, or combination therapy depends on availability
and individual response in terms of symptom relief and side
effects.
Bronchodilators are prescribed on an as-needed or on a
regular basis to prevent or reduce symptoms.
Long-acting inhaled bronchodilators are more effective and
convenient, but more expensive.
Combining bronchodilators may improve efficacy and
decrease the risk of side effects compared to increasing the
dose of a single bronchodilator.
BRONCHODILATORS
Bronchodilator medications are central to the symptomatic
management of COPD99-102 (Evidence A) (Table 9). They
are given either on an as-needed basis for relief of
persistent or worsening symptoms, or on a regular basis to
prevent or reduce symptoms. Dose-response relationships
using the FEV1 as the outcome are relatively flat with all
classes of bronchodilators. Side effects are pharmacologically predictable and dose-dependent. Adverse effects
are less likely, and resolve more rapidly after treatment
withdrawal, with inhaled than with oral treatment. When
treatment is given by the inhaled route, attention to
effective drug delivery and training in inhaler technique
is essential.
choice depends on the availability of the medication and

the patients response. All categories of bronchodilators
have been shown to increase exercise capacity in COPD,
without necessarily producing significant changes in
FEV1103,104 (Evidence A).
Bronchodilator drugs commonly used in treating COPD,

2-agonists, anticholinergics, and methylxanthines. The
Table 8 - Therapy at Each Stage of COPD
Old
0: At Risk
I: Mild
IIA
New
Characteristics
0: At Risk
Chronic symptoms
Exposure to risk
factors
Normal spirametry
I: Mild
FEV1/FVC < 70%
FEV1 80%
With or without
symptoms
II: Moderate
IIB
III: Severe
II: Moderate
III: Severe
IV: Very Severe
FEV1/FVC < 70%

50% FEV1 < 80%
With or without
symptoms
FEV1/FVC < 70%

30% FEV1 < 50%
With or without
symptoms
FEV1/FVC < 70%

FEV1 < 30% or FEV1 < 50%
predicted plus chronic
respiratory failure
Avoidance of risk factor(s); influenza vaccination

Add short-acting bronchodilator when needed
Add regular treatment with one or more
long-acting bronchodilators
Add rehabilitation
Add inhaled glucocorticosteroids
if repeated exacerbations
Add longterm oxygen
if chronic
respiratory
failure
Consider
surgical
treatments
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Regular treatment with long-acting bronchodilators is

more effective and convenient than treatment with shortacting bronchodilators, but more expensive105-107
(Evidence A). Regular use of a long-acting 2-agonist105
or long-acting anticholinergic improves health status105-107.
Theophylline is effective in COPD, but due to its potential
toxicity, inhaled bronchodilators are preferred when avail-
able. All studies that have shown efficacy of theophylline

in COPD were done with slow-release preparations.
Combining drugs with different mechanisms and durations of action might increase the degree of bronchodilation for equivalent or lesser side effects. A combination of
a short-acting 2-agonist and an anticholinergic produces
Table 10 - Commonly Used Formulations of Drugs for COPD

Drug
Inhaler
(g)
Solution for
Nebulizer (mg/ml)
Oral
100-200 (MDI)
0.05% (Syrup)
100, 200 (MDI & DPI)
5mg (Pill)
Vials for injection

(mg)
Duration of Action
(hours)
2-agonists
Short-acting
Fenoterol
Salbutamol (albuterol)
4-6
0.1, 0.5
4-6
0.2, 0.25
4-6
Syrup 0.024%
Terbutaline
400, 500 (DPI)
2.5, 5 (Pill)
Long-acting
Formoterol
4.512 (MDI & DPI)
12+
Salmeterol
25-50 (MDI & DPI)
12+
Anticholinergics
Short-acting
Ipratropium bromide
20, 40 (MDI)
0.25-0.5
6-8
Oxitropium bromide
100 (MDI)
1.5
7-9
Long-acting
Tiotropium
18 (DPI)
+24
Combination short-acting 2-agonists plus anticholinergic in one inhaler

Fenoterol/Ipratropium
200/80 (MDI)
1.25/0.5
6-8
Salbutamol/Ipratropium
75/15 (MDI)
0.75/4.5
6-8
Methylxanthines
Aminophylline
200-600 mg (Pill)
Theophylline (SR)
100-600 mg (Pill)
240 mg
Variable, up to 24
Inhaled glucocorticosteroids
Beclomethasone
50- 400 (MDI & DPI)
0.2-0.4
Budesonide
100, 200, 400 (DPI)
0.20, 0.25, 0.5
Fluticasone
50-500 (MDI & DPI)
Triamcinolone
100 (MDI)
40
40
Combination long-acting 2-agonists plus glucocorticosteroids in one inhaler

Formoterol/Budesonide
4.5/80, 160 (DPI)

(9/320) (DPI)
Salmeterol/Fluticasone
50/100, 250, 500 (DPI)

25/50, 125, 250 (MDI)
Systemic glucocorticosteroids
Prednisone
Methyl-prednisolone
5-60 mg (Pill)
10-2000 mg
4, 8, 16 mg (Pill)
MDI=metered dose inhaler; DPI=dry powder inhaler
13
Variable, up to 24
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ng
is mounting evidence, however, that a short course of
oral glucocorticosteroids is a poor predictor of the longterm response to inhaled glucocorticosteroids in
COPD97,123.
greater and more sustained improvements in FEV1

than either alone and does not produce evidence of
tachyphylaxis over 90 days of treatment108-110 (Evidence A).
Combination of a 2-agonist, an anticholinergic, and/or
theophylline may produce additional improvements in
lung function108,111-115 and health status104,108,111,116. Increasing
the number of drugs usually increases costs, and an
equivalent benefit may occur by increasing the dose of
one bronchodilator when side effects are not a limiting
factor. Detailed assessments of this approach have not
been carried out.
t-
Long-term treatment with oral glucocorticosteroids is not

recommended in COPD124-126 (Evidence A). There is no
evidence of long-term benefit from this treatment.
Moreover, a side effect of long-term treatment with
systemic glucocorticosteroids is steroid myopathy125,126, which
contributes to muscle weakness, decreased functionality,
and respiratory failure in patients with advanced COPD.
Increasing the dose of either a 2-agonist or an

anticholinergic, especially when given by a wet nebulizer,
appears to provide subjective benefit in acute episodes117
(Evidence B). Some patients may request regular
treatment with high-dose, nebulized bronchodilators118,
especially if they have experienced subjective benefit from
this treatment during an exacerbation. Clear scientific
evidence for this approach is lacking, but one option is to
examine the improvement in mean daily peak expiratory
flow recording during 2 weeks of treatment in the home
and continue with nebulizer therapy if a significant
improvement occurs118. In general, nebulized therapy for
a stable patient is not appropriate unless it has been
shown to be better than conventional dose therapy.
OTHER PHARMACOLOGIC TREATMENTS

Vaccines: Influenza vaccines can reduce serious
illness and death in COPD patients by about 50%127.
Vaccines containing killed or live, inactivated viruses
are recommended128, and should be given once
(in autumn) or twice (in autumn and winter) each year
(Evidence A). A pneumococcal vaccine containing 23
virulent serotypes has been used but sufficient data to
support its general use in COPD patients are lacking129-131
(Evidence B).
Alpha-1 Antitrypsin Augmentation Therapy: Young
patients with severe hereditary alpha-1 antitrypsin
deficiency and established emphysema may be
candidates for alpha-1 antitrypsin augmentation therapy.
However, this therapy is very expensive, is not available
in most countries, and is not recommended for COPD
that is unrelated to alpha-1 antitrypsin deficiency
(Evidence C).
GLUCOCORTICOSTEROIDS
Regular treatment with inhaled glucocorticosteroids does

not modify the long-term decline of FEV1 in patients with
COPD95-98. However, data from four large studies119-122
provide evidence that regular treatment with inhaled
glucocorticosteroids is appropriate for symptomatic
COPD patients with an FEV1 < 50% predicted (Stage III:
Severe COPD and Stage IV: Very Severe COPD) and
repeated exacerbations (for example, 3 in the last three
years). This treatment has been shown to reduce the
frequency of exacerbations and improve health status
(Evidence A). In three of these studies119,121,122,
glucocorticosteroid combined with a long-acting 2agonist was more effective than the individual
components (Evidence A). The dose-response relationships and long-term safety of inhaled glucocorticosteroids
in COPD are not known.
Mucolytic (Mucokinetic, Mucoregulator) Agents

(ambroxol, erdosteine, carbocysteine, iodinated glycerol):
Although a few patients with viscous sputum may benefit
from mucolytics134,135, the overall benefits seem to be very
small. Therefore, the widespread use of these agents
cannot be recommended on the basis of the present
evidence (Evidence D).
Many existing COPD guidelines recommend the use of a

short course (two weeks) of oral glucocorticosteroids to
identify COPD patients who might benefit from long-term
treatment with oral or inhaled glucocorticosteroids. There
Antioxidant Agents: Antioxidants, in particular

N-acetylcysteine, have been shown to reduce the
frequency of exacerbations and could have a role in the
treatment of patients with recurrent exacerbations136-139
Antibiotics: The use of antibiotics, other than in

treating infectious exacerbations of COPD and other
bacterial infections, is not recommended132,133
(Evidence A).
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(Evidence B). However, before their routine use can be

recommended, the results of ongoing trials will have to
be carefully evaluated.
including exercise deconditioning, relative social isolation,

altered mood states (especially depression), muscle
wasting, and weight loss. COPD patients at all stages
of disease benefit from exercise training programs,
improving with respect to both exercise tolerance and
symptoms of dyspnea and fatigue154 (Evidence A). The
minimum length of an effective rehabilitation program is
two months; the longer the program continues, the more
effective the results155-157 (Evidence B). However, as yet,
no effective structure has been developed to maintain the
effects over time158. Benefits have been reported from
rehabilitation programs conducted in inpatient, outpatient,
and home settings159-161.
Immunoregulators (Immunostimulators,
Immunomodulators): A study using an immunostimulator in COPD showed a decrease in the severity (though
not in the frequency) of exacerbations140, but these
results have not been duplicated. Thus, the regular use
of this therapy cannot be recommended based on the
present evidence141 (Evidence B).
Antitussives: Cough, although sometimes a troublesome symptom in COPD, has a significant protective
role142. Thus, the regular use of antitussives is
contraindicated in stable COPD (Evidence D).
Ideally, pulmonary rehabilitation should involve several

types of health professionals. A comprehensive
pulmonary rehabilitation program includes exercise
training, nutrition counseling, and education. Baseline and
outcome assessments of each participant in a pulmonary
rehabilitation program should be made to quantify
individual gains and target areas for improvement and
should include:
Vasodilators: In patients with stable COPD, inhaled

nitric oxide can worsen gas exchange because of altered
hypoxic regulation of ventilation-perfusion balance143,144
and thus is contraindicated.
Respiratory Stimulants: The use of doxapram, a
non-specific respiratory stimulant available as an
intravenous formulation, is not recommended in stable
COPD (Evidence D). Almitrine bismesylate is not recommended for regular use in stable COPD patients145-147
(Evidence B).
Detailed medical history and physical examination

Measurement of spirometry before and after a
bronchodilator drug
Assessment of exercise capacity
Measurement of health status and the impact of
breathlessness
Assessment of inspiratory and expiratory muscle
strength and lower limb strength (e.g., quadriceps)
in patients who suffer from muscle wasting
(optional).
Narcotics: The use of oral and parenteral opioids are

effective for treating dyspnea in COPD patients with
advanced disease. There are insufficient data to
conclude whether nebulized opioids are effective148.
However, there are some clinical studies suggesting that
morphine used to control dyspnea may have serious
adverse effects and its benefits may be limited to a few
sensitive subjects149-153.
The first two assessments are important for establishing

entry suitability and baseline status but are not used in
outcome assessment. The last three assessments are
baseline and outcome measures.
Others: Nedocromil, leukotriene modifiers, and

alternative healing methods (e.g., herbal medicine,
acupuncture, homeopathy) have not been adequately
tested in COPD patients and thus cannot be
recommended at this time.
OXYGEN THERAPY
The long-term administration of oxygen (>15 hours per
day) to patients with chronic respiratory failure has been
shown to increase survival162-164 (Evidence A). It can
also have a beneficial impact on hemodynamics,
hematologic characteristics, exercise capacity, lung
mechanics, and mental state164.
NON-PHARMACOLOGIC TREATMENT
REHABILITATION
The principal goals of pulmonary rehabilitation are to
reduce symptoms, improve quality of life, and increase
physical and emotional participation in everyday
activities. To accomplish these goals, pulmonary
rehabilitation covers a range of non-pulmonary problems
Long-term oxygen therapy is generally introduced in

Stage IV: Very Severe COPD for patients who have:
PaO2 at or below 7.3 kPa (55 mm Hg) or SaO2 at or
below 88%, with or without hypercapnia; or
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PaO2 between 7.3 kPa (55 mm Hg) and 8.0 kPa

(60 mm Hg) or SaO2 89%, if there is evidence of
pulmonary hypertension, peripheral edema
suggesting congestive heart failure, or polycythemia
(hematocrit > 55%).
COMPONENT 4:
MANAGE EXACERBATIONS
KEY POINTS
Exacerbations of respiratory symptoms requiring
medical intervention are important clinical events
in COPD.
The goal of long-term oxygen therapy is to increase the

baseline PaO2 to at least 8.0 kPa (60 mm Hg) at sea
level and rest, and/or produce SaO2 at least 90%, which
will preserve vital organ function by ensuring an adequate delivery of oxygen.
A decision about the use of long-term oxygen should be
based on the waking PaO2 values. The prescription
should always include the source of supplemental oxygen
(gas or liquid), the method of delivery, duration of use, and
the flow rate at rest, during exercise, and during sleep.
The most common causes of an exacerbation

are infection of the tracheobronchial tree and air
pollution, but the cause of about one-third of
severe exacerbations cannot be identified
(Evidence B).
Inhaled bronchodilators (particularly inhaled 2agonists and/or anticholinergics), theophylline,

and systemic, preferably oral, glucocorticosteroids are effective treatments for exacerbations of COPD (Evidence A).
Patients experiencing COPD exacerbations with

clinical signs of airway infection (e.g., increased
volume and change of color of sputum, and/or
fever) may benefit from antibiotic treatment
(Evidence B).
Noninvasive intermittent positive pressure ventilation (NIPPV) in exacerbations improves blood

gases and pH, reduces in-hospital mortality,
decreases the need for invasive mechanical
ventilation and intubation, and decreases the
length of hospital stay (Evidence A).
VENTILATORY SUPPORT
To date there is no convincing evidence that mechanical
ventilatory support has a role in the routine management
of stable COPD.
SURGICAL TREATMENTS
Bullectomy: In carefully selected patients, this procedure is effective in reducing dyspnea and improving lung
function165 (Evidence C). A thoracic CT scan, arterial
blood gas measurement, and comprehensive respiratory
function tests are essential before making a decision
regarding a patients suitability for resection of a bulla.
Lung Volume Reduction Surgery (LVRS): Although
there are some encouraging reports (Evidence C), LVRS
is still an unproven palliative surgical procedure166,167.
Several large randomized studies are now underway to
investigate the effectiveness and cost of LVRS in comparison to vigorous conventional therapy169. Patients with
an FEV1 < 20 % predicted and either homogeneous
emphysema on HRCT or a DLCO < 20 % predicted
were shown to be at high risk for death after LVRS and
unlikely to benefit from the intervention168. Until additional
results from these studies are known, LVRS cannot be
recommended for widespread use.
COPD is often associated with exacerbations of

symptoms171-174. The economic and social burden of
COPD exacerbations is extremely high. The most
common causes of an exacerbation are infection of the
tracheobronchial tree175-179 and air pollution180, but the
cause of about one-third of severe exacerbations cannot
be identified. The role of bacterial infections, once
believed to be the main cause of COPD exacerbations,
is controversial175-179,181-184. Conditions that may mimic the
symptoms of an exacerbation include pneumonia,
congestive heart failure, pneumothorax, pleural effusion,
pulmonary embolism, and arrhythmia.
Lung Transplantation: In appropriately selected

patients with very advanced COPD, lung transplantation
has been shown to improve quality of life and functional
capacity170 (Evidence C). Criteria for referral for lung
transplantation include FEV1 < 35% predicted, PaO2 <
7.3-8.0 kPa (55-60 mm Hg), PaCO2 > 6.7 kPa (50 mm
Hg), and secondary pulmonary hypertension170.
DIAGNOSIS AND ASSESSMENT OF SEVERITY

Increased breathlessness, the main symptom of an
exacerbation, is often accompanied by wheezing and
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chest tightness, increased cough and sputum, change

of the color and/or tenacity of sputum, and fever.
Exacerbations may also be accompanied by a number
of nonspecific complaints, such as malaise, insomnia,
sleepiness, fatigue, depression, and confusion. A decrease
in exercise tolerance, fever, and/or new radiological
anomalies suggestive of pulmonary disease may herald a
COPD exacerbation. An increase in sputum volume and
purulence points to a bacterial cause, as does a prior
history of chronic sputum production179.
pulmonary arteries lead to confusing ECG and

radiographic results. Spiral CT scanning and angiography
and perhaps specific D-dimer assays are the best tools
presently available for diagnosis of pulmonary embolism
in patients with COPD but ventilation-perfusion scanning
is of no value. A low systolic blood pressure and an
inability to increase the PaO2 above 8.0 kPa (60 mm Hg)
despite high-flow oxygen also suggest pulmonary
embolism. If there are strong indications that pulmonary
embolism has occurred, it is best to treat for this along
with the exacerbation.
The assessment of the severity of an exacerbation is

based on the patients medical history before the exacerbation, symptoms, physical examination, lung function
tests, arterial blood gas measurements, and other
laboratory tests. The medical history should cover how
long worsening or new symptoms have been present, the
frequency and severity of breathlessness and coughing
attacks, sputum volume and color, limitation of daily
activities, any previous episodes/exacerbations and
whether they required hospitalization, and the present
treatment regimen. When available, prior measurements
of lung function and arterial blood gases are extremely
useful for comparison with those made during the acute
episode, as an acute change in these tests is more
important than their absolute values. In patients with very
severe COPD, the most important sign of severe exacerbation is a change in alertness of the patient and this
signals a need for immediate evaluation in the hospital.
Other Laboratory Tests: The whole blood count may

identify polycythemia (hematocrit > 55%) or bleeding.
White blood cell counts are usually not very informative.
The presence of purulent sputum during an exacerbation
of symptoms is sufficient indication for starting antibiotic
treatment. Streptococcus pneumoniae, Hemophilus
influenzae, and Moraxella catarrhalis are the most
common bacterial pathogens involved in COPD exacerbations. If an infectious exacerbation does not respond
to initial antibiotic treatment, a sputum culture and an
antibiogram should be performed. Biochemical tests can
reveal whether the cause of the exacerbation is an
electrolyte disturbance(s) (hyponatremia, hypokalemia,
etc.), a diabetic crisis, or poor nutrition (low proteins), and
may suggest a metabolic acid-base disorder.
HOME MANAGEMENT
Lung Function Tests: Even simple lung function tests

can be difficult for a sick patient to perform properly. In
general, a PEF < 100 L per minute or an FEV1 < 1.00 L
indicates a severe exacerbation185-187.
There is increasing interest in home care for end-stage

COPD patients, although economic studies of home care
services have yielded mixed results. A major outstanding
issue is when to treat an exacerbation at home and when
to hospitalize the patient.
Assessment of Arterial Blood Gases: In the hospital,

measurement of arterial blood gases is essential to
assess the severity of an exacerbation. A PaO2 < 8.0
kPa (60 mm Hg) and/or SaO2 < 90% with or without
PaCO2 > 6.7 kPa, 50 mmHg (when breathing room air)
indicates respiratory failure. In addition, PaO2 < 6.7 kPa
(50 mm Hg), PaCO2 > 9.3 kPa (70 mm Hg), and pH <
7.30 point towards a life-threatening episode that needs
close monitoring or critical management188.
Bronchodilator Therapy: Home management of COPD

exacerbations involves increasing the dose and/or
frequency of existing bronchodilator therapy (Evidence
A). If not already used, an anticholinergic can be added
until the symptoms improve. In more severe cases,
high-dose nebulized therapy can be given on an asneeded basis for several days if a suitable nebulizer is
available. However, long-term use of nebulizer therapy
after an acute episode is not routinely recommended.
Chest X-ray and ECG: Chest radiographs (posterior/

anterior plus lateral) are useful in identifying alternative
diagnoses that can mimic the symptoms of an exacerbation. An ECG aids in the diagnosis of right ventricular
hypertrophy, arrhythmias, and ischemic episodes.
Pulmonary embolism can be very difficult to distinguish
from an exacerbation, especially in severe COPD,
because right ventricular hypertrophy and large
Glucocorticosteroids: Systemic glucocorticosteroids are

beneficial in the management of exacerbations of COPD.
They shorten recovery time and help to restore lung
function more quickly189-191 (Evidence A). They should be
considered in addition to bronchodilators if the patients
baseline FEV1 is < 50% predicted. A dose of 40 mg
prednisolone per day for 10 days is recommended
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(Evidence D). One large study indicates that nebulized

budesonide may be an alternative to oral glucocorticosteroids in the treatment of nonacidotic exacerbations192.
support and a supervised medical care package after an

initial emergency room assessment has been much more
successful195. However, detailed cost-benefit analyses of
these approaches are awaited.
Antibiotics: Antibiotics are only effective when patients

with worsening dyspnea and cough also have increased
sputum volume and purulence174 (Evidence B). The
choice of agents should reflect local patterns of antibiotic
sensitivity among S. pneumoniae, H. influenzae, and M.
catarrhalis.
A range of criteria to consider for hospital assessment/

admission for exacerbations of COPD are shown in
Table 11. Some patients need immediate admission to
Table 13 - Management of Severe but Not Lifethreatening Exacerbations of COPD in the
Emergency Department or the Hospital*
HOSPITAL MANAGEMENT
Assess severity of symptoms, blood gases, chest X-ray.

Administer controlled oxygen therapy and repeat arterial
blood gas measurement after 30 minutes.
Bronchodilators:
Increase doses
or frequency.
Combine 2-agonists
and anticholinergics.
Use spacers or air-driven
nebulizers.
Consider adding intravenous methylxanthine,
if needed.
Add
glucocorticosteroids Oral or intravenous.
Consider antibiotics
When signs of bacterial
infection, oral or occasionally
intravenous.
Consider noninvasive mechanical ventilation.
At all times:
Monitor fluid balance
and nutrition.
Consider subcutaneous
heparin.
Identify and treat associated
conditions (e.g., heart failure,
arrhythmias).
Closely monitor condition
of the patient.
The risk of dying from an exacerbation of COPD is

closely related to the development of respiratory acidosis,
the presence of significant comorbidities, and the need
for ventilatory support193. Patients lacking these features
are not at high risk of dying, but those with severe underlying COPD often require hospitalization in any case.
Attempts at managing such patients entirely in the
community have met with only limited success194, but
returning them to their homes with increased social
Table 11 - Indications for Hospital Assessment or
Admission for Exacerbations of COPD*
Marked increase in intensity of symptoms, such as sudden development of resting dyspnea.

Severe background COPD.
Onset of new physical signs (e.g., cyanosis, peripheral
edema).
Failure of exacerbation to respond to initial medical
management.
Significant comorbidities.
Newly occurring arrhythmias.
Diagnostic uncertainty.
Older age.
Insufficient home support.
* Local resources need to be considered
Table 12 - Indications for ICU Admission of Patients

with Exacerbations of COPD*
Severe dyspnea that responds inadequately to initial

emergency therapy.
Confusion, lethargy, coma.
Persistent or worsening hypoxemia (PaO2 < 5.3 kPa,

40 mm Hg), and/or severe/worsening hypercapnia
(PaCO2 > 8.0 kPa, 60 mm Hg), and/or severe/worsening
respiratory acidosis (pH < 7.25) despite supplemental
oxygen and NIPPV.
an intensive care unit (ICU) (Table 12). Admission of

patients with severe COPD exacerbations to intermediate
or special respiratory care units may be appropriate if
personnel, skills, and equipment are available to identify
and manage acute respiratory failure successfully.
The first actions when a patient reaches the emergency
department are to provide controlled oxygen therapy and
to determine whether the exacerbation is life-threatening. If
so, the patient should be admitted to the ICU immeditely.
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Otherwise, the patient may be managed in the emergency

department or hospital as detailed in Table 13.
morbidity and to relieve symptoms. Ventilatory support

includes both noninvasive mechanical ventilation using
either negative or positive pressure devices, and invasive
(conventional) mechanical ventilation by oro-/naso-tracheal tube or tracheostomy.
Controlled Oxygen Therapy: Oxygen therapy is the

cornerstone of hospital treatment of COPD exacerbations. Adequate levels of oxygenation (PaO2 > 8.0 kPa,
60 mm Hg or SaO2 > 90%) are easy to achieve in
uncomplicated exacerbations, but CO2 retention can
occur insidiously with little change in symptoms. Once
oxygen is started, arterial blood gases should be checked
30 minutes later to ensure satisfactory oxygenation
without CO2 retention or acidosis. Venturi masks are more
accurate sources of controlled oxygen than are nasal
prongs but are more likely to be removed by the patient.
Noninvasive Mechanical Ventilation: Noninvasive

intermittent positive pressure ventilation (NIPPV) has
been studied in many uncontrolled and five randomized
controlled trials in acute respiratory failure202,203. The
studies show consistently positive results with success
rates of 80-85%204. Taken together they provide evidence
that NIPPV increases pH, reduces PaCO2, reduces the
Table 14 - Indications and Relative

Contraindications for NIPPV203,204
Bronchodilator Therapy: Short-acting, inhaled 2-agonists are usually the preferred bronchodilators for the
treatment of exacerbations of COPD85,133,134 (Evidence A).
If a prompt response to these drugs does not occur, the
addition of an anticholinergic is recommended, even
though evidence concerning the effectiveness of this
combination is rather controversial196,197. Despite its
widespread clinical use, the role of aminophylline in the
treatment of COPD exacerbations remains controversial.
Most studies of aminophylline have demonstrated minor
improvements in lung volumes without showing gas
exchange deterioration198,199. In more severe exacerbations, addition of an oral or intravenous methylxanthine
to the treatment can be considered. However, close
monitoring of serum theophylline is recommended to
avoid the side effects of these drugs198,200,201.
Selection criteria
Moderate to severe dyspnea with use of

accessory muscles and paradoxical abdominal motion.
Moderate to severe acidosis (pH < 7.35) and hypercapnia

(PaCO2 > 6.0 kPa, 45mm Hg)209.
Respiratory frequency > 25 breaths per minute.
Exclusion criteria
Glucocorticosteroids: Oral or intravenous glucocorticosteroids are recommended as an addition to

bronchodilator therapy (plus eventually antibiotics and
oxygen therapy) in the hospital management of
exacerbations of COPD189-191 (Evidence A). The exact
dose that should be given is not known, but high doses
are associated with a significant risk of side effects. Thirty
to 40 mg of oral prednisolone daily for 10 to 14 days is a
reasonable compromise between efficacy and safety
(Evidence D). Prolonged treatment does not result in a
greater efficacy and increases the risk of side effects.
Respiratory arrest.
Cardiovascular instability (hypotension, arrhythmias,

myocardial infarction).
Somnolence, impaired mental status, uncooperative

patient.
High aspiration risk; viscous or copious secretions.
Recent facial or gastroesophageal surgery.
Craniofacial trauma, fixed nasopharyngeal abnormalities.
Extreme obesity.
severity of breathlessness in the first 4 hours of

treatment, and decreases the length of hospital stay
(Evidence A). More importantly, mortality or its surrogate, intubation rate is reduced by this intervention205-208.
However, NIPPV is not appropriate for all patients, as
summarized in Table 14.
Antibiotics: Antibiotics are only effective when patients

with worsening dyspnea and cough also have increased
sputum volume and purulence141. The choice of agents
should reflect local patterns of antibiotic sensitivity among
S. pneumoniae, H. influenzae, and M. catarrhalis.
Invasive (Conventional) Mechanical Ventilation: Patients

who show impending acute respiratory failure and those
with life-threatening acid-base status abnormalities
and/or altered mental status despite aggressive
pharmacologic therapy are likely to be the best
candidates for invasive mechanical ventilation. The
indications for initiating mechanical ventilation during
exacerbations of COPD are shown in Table 15, the first
being the commonest and most important reason. The
Ventilatory Support: The primary objectives of mechanical support in patients with exacerbations in Stage IV:
Very Severe COPD are to decrease mortality and
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three ventilatory modes most widely used are assistedcontrol ventilation, and pressure support ventilation
alone or in combination with intermittent mandatory
ventilation210.
Similar findings have been reported when NIPPV is used

after extubation for hypercapnic respiratory failure214
(Evidence C).
Other Measures: Further treatment measures that can
be used in the hospital include: fluid administration
(accurate monitoring of fluid balance is essential);
nutrition (supplementary when the patient is too dyspneic
to eat); low molecular weight heparin in immobilized,
polycythemic, or dehydrated patients with or without a
history of thromboembolic disease; sputum clearance (by
stimulating coughing and low volume forced expirations
as in home management). Manual or mechanical chest
percussion and postural drainage may be beneficial in
patients producing > 25 ml sputum per day or with lobar
atelectasis.
The use of invasive ventilation in end-stage COPD

patients is influenced by the likely reversibility of the
precipitating event, the patients wishes, and the availability of intensive care facilities. Major hazards include
the risk of ventilator-acquired pneumonia (especially
Table 15 - Indications for
Invasive Mechanical Ventilation
Severe dyspnea with use of accessory muscles and

paradoxical abdominal motion.
Respiratory frequency > 35 breaths per minute.
Life-threatening hypoxemia (PaO2 < 5.3 kPa, 40 mm Hg
or PaO2/FiO2* < 200 mm Hg).
Severe acidosis (pH < 7.25) and hypercapnia
(PaCO2 > 8.0 kPa, 60 mm Hg).
Respiratory arrest.
Somnolence, impaired mental status.
Cardiovascular complications (hypotension, shock, heart
failure).
Other complications (metabolic abnormalities, sepsis,
pneumonia, pulmonary embolism, barotrauma, massive
pleural effusion).
NIPPV failure (or exclusion criteria, see Table 14).
HOSPITAL DISCHARGE AND FOLLOW-UP

Insufficient clinical data exist to establish the optimal
duration of hospitalization for acute exacerbations of
COPD171,215,216. Consensus and limited data support the
discharge criteria listed in Table 16. Table 17 provides
items to include in a follow-up assessment 4 to 6 weeks
Table 16 - Discharge Criteria for Patients
with Exacerbations of COPD
Inhaled 2-agonist therapy is required no more
frequently than every 4 hrs.
Patient, if previously ambulatory, is able to walk across
room.
Patient is able to eat and sleep without frequent awakening by dyspnea.
Patient has been clinically stable for 12-24 hrs.
Arterial blood gases have been stable for 12-24 hrs.
Patient (or home caregiver) fully understands correct use
of medications.
Follow-up and home care arrangements have been
completed (e.g., visiting nurse, oxygen delivery, meal
provisions).
Patient, family, and physician are confident patient
can manage successfully.
when multiresistant organisms are prevalent),

barotrauma, and failure to wean to spontaneous ventilation. Contrary to some opinions, mortality among COPD
patients with respiratory failure is no greater than mortality among patients ventilated for non-COPD causes.
When possible, a clear statement of the patients own
treatment wishes an advance directive or living will
makes these difficult decisions much easier to resolve.
Weaning or discontinuation from mechanical ventilation
can be particularly difficult and hazardous in patients
with COPD, and the best method to wean patients from
the ventilator remains a matter of debate211,212. Whether
pressure support or a T-piece trial is used, weaning
is shortened when a clinical protocol is adopted
(Evidence A). Noninvasive ventilation (NIV) has been
applied to facilitate the weaning process in COPD
patients with acute orchronic respiratory failure213.
Compared with invasive pressure support ventilation,
noninvasive intermittent positive pressure ventilation
(NIPPV) during weaning shortened weaning time,
reduced the stay in the inten-sive care unit, decreased
the incidence of nosocomial pneumonia, and improved
60-day survival rates213.
Table 17 - Follow-up Assessment 4-6 Weeks After

Discharge from Hospital for Exacerbations
of COPD
20
Ability to cope in usual environment.

Measurement of FEV1.
Reassessment of inhaler technique.
Understanding of recommended treatment regimen.
Need for long-term oxygen therapy and/or home
nebulizer (for patients with very severe COPD).
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cytokines), that may predict the clinical usefulness of new

management and prevention strategies for COPD need
to be developed.
after discharge from the hospital. Thereafter, follow-up is

the same as for stable COPD, including supervising
smoking cessation, monitoring the effectiveness of each
drug treatment, and monitoring changes in spirometric
parameters85. Home visits by a community nurse may
permit earlier discharge of patients hospitalized with a
non-acidotic exacerbation of COPD, without increasing
readmission rate217-220
Information is needed about the cellular and molecular

mechanisms of inflammation in stable COPD and in
exacerbations. Inflammatory responses in nonsmokers,
ex-smokers, and smokers with and without COPD should
be compared. The mechanisms responsible for the
persistence of the inflammatory response in COPD
should be investigated. Why inflammation in COPD is
poorly responsive to glucocorticosteroids and what
treatments other than glucocorticosteroids are effective in
suppressing inflammation in COPD are research topics
that could lead to new treatment modalities.
If hypoxemia developed during the exacerbation, arterial

blood gases should be rechecked at discharge and at the
follow-up visit. If the patient remains hypoxemic, longterm oxygen therapy should be instituted. Decisions
about continuous domiciliary oxygen based on the
severity of the acute hypoxemia during an exacerbation
are frequently misleading.
There is a pressing need to develop drugs that control

symptoms and prevent the progression of COPD. Some
progress has been made and there are several classes
of drugs that are now in preclinical and clinical development for use in COPD patients.
The opportunities for prevention of future exacerbations

should be reviewed before discharge with particular
attention to future influenza vaccination plans, knowledge
of current therapy including inhaler technique221,222, and how
to recognize symptoms of exacerbations. Pharmacotherapy
known to reduce the number of exacerbations should be
considered. Social problems should be discussed and
principal caregivers identified if the patient has a significant
persisting disability.
Standardized methods for tracking trends in COPD

prevalence, morbidity, and mortality over time need to be
developed so that countries can plan for future increases
in the need for health care services in view of predicted
increases in COPD. This need is especially urgent in
developing countries with limited health care resources.
4. FUTURE RESEARCH
Longitudinal studies demonstrating the course of

COPD are needed in a variety of populations exposed to
various risk factors. Such studies would provide insight
into the pathogenesis of COPD, identify additional
genetic bases for COPD, and identify how genetic risk
factors interact with environmental risk factors in specific
patient populations. Factors that determine why some,
but not all, smokers develop COPD need to be identified.
A better understanding of molecular and cellular pathogenic

mechanisms of COPD should lead to many new directions
for both basic and clinical investigations. Improved methods
for early detection, new approaches for interventions
through targeted pharmacotherapy, possible means to
identify the susceptible smoker, and more effective means
of managing exacerbations are needed. Some research
recommendations are provided; there are many additional
avenues to explore.
Data are needed on the use, cost, and relative

distribution of medical and non-medical resources for
COPD, especially in countries where smoking and other
risk factors are prevalent. These data are likely to have
some impact on health policy and resource allocation
decisions. As options for treating COPD grow, more
research will be needed to help guide health care
providers and health budget managers regarding the
most efficient and effective ways of managing this
disease. Methods and strategies for implementation of
COPD management programs in developing countries
will require special attention.
Until there is a better understanding of the causal

mechanisms of COPD, an absolutely rigid definition of
COPD, and its relationship to other obstructive airways
diseases, will remain controversial. Defining characteristics
of COPD should be better identified.
The stages of COPD and the disease course will
vary from one patient to another. The GOLD Report
describes four stages and their clinical utility needs to
be evaluated.
Surrogate markers of inflammation, possibly derived
from sputum (cells, mediators, enzymes) or exhaled
condensates (lipid mediators, reactive oxygen species,
While spirometry is recommended to assess and

monitor COPD, other measures need to be developed
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Collecting and evaluating data to set levels of severity

for COPD exacerbations would stimulate standardization
of this outcome measure that is so frequently used in
clinical trials. Better data on outcomes of COPD
exacerbations would allow physicians to provide better
advice to patients on possible outcomes and appropriateness of various types of treatment. Further exploration of
the ethical principles of life support and greater insights
into the behavioral influences that inhibit discussion of
end-of-life issues are needed, along with studies to
define the needs of end-stage COPD patients.
and evaluated in clinical practice. Reproducible and

inexpensive exercise-testing methodologies (e.g., stairclimbing tests) suitable for use in developing countries
need to be evaluated and their use encouraged.
Spirometers need to be developed that can ensure
economical and accurate performance when a relatively
untrained operator administers the test.
Since COPD is not fully reversible (with current
therapies) and slowly progressive, it will become ever
more important to identify early cases as more effective
therapies emerge. Consensus on standard methods for
detection and definition of early disease needs to be
developed. Data to show whether or not screening
spirometry is effective in directing management decisions
in COPD outcomes are required.
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*GOLD summary 03 revise new

Global Initiative for Chronic

GLOBAL STRATEGY FOR THE DIAGNOSIS,

*GOLD summary 03 revise new

GLOBAL STRATEGY FOR THE DIAGNOSIS, MANAGEMENT,

*GOLD summary 03 revise new

Global Strategy for the Diagnosis, Management, and Prevention of

Scott D. Ramsey, MD, PhD

Sean D. Sullivan, PhD

Lawrence Grouse, MD, PhD

Suzanne S. Hurd, PhD

*GOLD summary 03 revise new

Belgian Society of Pneumology

British Thoracic Society

Hungarian Respiratory Society

Canadian Thoracic Society

American College of Chest Physicians

Japanese Respiratory Society

American Thoracic Society

Thoracic Society of Australia and New Zealand

Latin American Thoracic Society

Australian Lung Foundation

Malaysian Thoracic Society

Austrian Respiratory Society

*GOLD summary 03 revise new

Norwegian Thoracic Society

*GOLD summary 03 revise new

*GOLD summary 03 revise new

hronic Obstructive Pulmonary Disease (COPD) is a

Development of the Workshop Report was supported

The first step in the GOLD program was to prepare a

*GOLD summary 03 revise new

Methodology and Summary of New Recommendations*

GOLD Science Committee** was established to

criteria. Of these, 36 papers were identified to have an

Methods: The process included a Pub Med search using

Because of difficulties encountered using the 2001 GOLD

All members of the Committee received a summary of

Summary of New Recommendations: Between June

*GOLD summary 03 revise new

*GOLD summary 03 revise new

The Global Initiative for Chronic Obstructive Lung

Evidence is from endpoints of

Evidence is from endpoints of

Evidence is from outcomes of

This category is used only in

Table 1 - Description of Levels of Evidence

The GOLD Workshop Report, Global Strategy for the

In section 3, Four Components of COPD Management,

*GOLD summary 03 revise new

Stage 0: At Risk - Characterized by chronic cough and

Table 2 - Classification of Severity*

FEV1/FVC < 70%

II: Moderate COPD

FEV1/FVC < 70%

III: Severe COPD

FEV1/FVC < 70%

IV: Very Severe COPD

FEV1/FVC < 70%

*Classification based on postbronchodilator FEV1