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* From the Clinic of Respiratory Diseases (Drs. Beccaria, Corsico, Fulgoni, Zoia, Casali, and Cerveri), and Department of Surgery (Dr. Orlandoni), University of PaviaIRCCS, Policlinico "S.Matteo", Pavia, Italy.
Correspondence to: Angelo Corsico, MD, Clinica Malattie Apparato Respiratorio, Università di PaviaIRCCS, Policlinico "S. Matteo" via Taramelli 5, 27100 Pavia, Italy; e-mail: isa{at}mbox.systemy.it
| Abstract |
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O2max) as a criterion for operability
and as a predictor of long-term disability. Design: Prospective study.
Setting: Outpatients and inpatients of a university hospital.
Participants: Sixty-two consecutive patients (mean ± SD age, 62 ± 8 years; 51 male and 11 female patients) were preoperatively evaluated for lung cancer resection (pneumonectomy or bilobectomy [n = 14] and lobectomy [n = 48]).
Measurements: Clinical examination and
recorded respiratory symptoms and spirometry results before surgery and
6 months after surgery. If predicted postoperative FEV1
(ppoFEV1) was < 40%, patients underwent exercise
testing; if
O2max was between 10
mL/kg/min and 20 mL/kg/min, patients underwent a split-function
study.
Results: All the patients with
ppoFEV1
40%even those patients (26%) with
FEV1 < 80%underwent thoracotomy without further tests.
Seven patients with ppoFEV1 < 40% underwent exercise
testing, and three of them underwent a split-function study. Nine
patients (15%; including six patients with COPD and one patient with
asthma) had immediate postoperative complications (pneumonia
[n = 5] and respiratory failure [n = 4]); seven of these
patients had ppoFEV1
40%. ppoFEV1
significantly underestimated the actual postoperative FEV1
(poFEV1; p < 0.001) 6 months after pneumonectomy or
bilobectomy but was reliable for actual poFEV1 after
lobectomy. Two patients with predicted postoperative
O2max > 10 mL/kg/min became oxygen
dependent and had marked limitation of daily living.
Conclusions: ppoFEV1
40% reliably
identifies patients not requiring further tests and not at long-term
risk of respiratory disability.
O2max,
effective for defining the immediate surgical risk, is not useful in
predicting long-term disability.
Key Words: lung neoplasms postoperative complications respiratory function tests thoracotomy
| Introduction |
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We therefore designed a prospective study in a sample of patients
undergoing lung surgery for cancer, reassessing lung function and
clinical respiratory evaluation 6 months after thoracotomy. The aims of
the study were to assess: (1) the possibility of a simple calculation
of predicted postoperative FEV1
(ppoFEV1), based on the number of the
bronchopulmonary segments removed,9
predicting long-term
postoperative lung function loss; and (2) to evaluate the usefulness of
maximal oxygen consumption
(
O2max)
proposed2
8
as the final criterion for operability in
predicting long-term disability.
| Materials and Methods |
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O2max
(ppo
O2max) being < 10
mL/kg/min; 9 patients died (8 patients died at home within 6 months
after surgery because of relapse, and 1 patient died immediately after
surgery because of hemorrhage); 4 patients were withdrawn because they
received radiotherapy or chemotherapy after the surgery; 2 patients
were withdrawn because of bullectomy concomitant with lung cancer
resection; and 15 patients were living too far away or refused to
undergo further follow-up studies. The mean ± SD age of the sample was 62 ± 8 years; 51 patients were male and 11 were female, 6 were nonsmokers, 30 were smokers, and 26 were ex-smokers. Clinically, the stage of lung cancer was IA/B in 25 patients, IIA/B in 28 patients, and IIIA in 9 patients, according to international stage grouping.10 Of the 51 male patients, 2 patients underwent right pneumonectomy, 9 underwent left pneumonectomy, 3 underwent right bilobectomy, 10 underwent upper right lobectomy, 2 underwent medial lobectomy, 4 underwent lower right lobectomy, 12 underwent upper left lobectomy, and 9 underwent lower left lobectomy. Out of the 11 female patients, 5 underwent upper right lobectomy, 4 underwent upper left lobectomy, and 2 underwent lower left lobectomy.
All of the 62 patients included in the study analysis underwent
preoperative clinical and functional assessments in the week prior to
their operation, and again 6 months later. The preoperative workup
included a complete clinical examination, detailed recording of
respiratory symptoms, spirometry, and a carbon monoxide diffusion test.
If the ppoFEV1 was < 40% of the predicted
normal value, the patients underwent exercise testing; and, as
suggested by Wyser et al,8
when
O2max was between 10 mL/kg/min
and 20 mL/kg/min, they also underwent a split-function study to
determine their ppo
O2max. This
criterion is commonly reported in the recent literature as identifying
high-risk patients.2
All patients were followed up
prospectively after surgery, and respiratory complications occurring
during the patients hospitalization were recorded. For the purposes
of this study, we considered pneumonia, atelectasis, and respiratory
failure as respiratory complications. Six months after surgery, the
patients again underwent a complete clinical examination, and
respiratory symptoms and results of spirometry were recorded.
Pulmonary Function Tests
Lung volumes were measured by a water-sealed spirometer
(Pulmonet III; Sensor Medics; Anaheim, CA). Measurements were performed
according to the European Community for Coal and Steel
statements11
and to the American Thoracic Society
recommendations.12
The best FVC measurement was recorded,
as was the FEV1 and the
FEV1/FVC ratio. Obstruction was defined as
FEV1/FVC < 88% predicted.13
Diffusion capacity of the lung for carbon monoxide (DLCO) was determined using the single-breath method (Transferscreen-II; Jaeger; Wuerzburg, Germany) and corrected for hemoglobin content. Since the correction of DLCO for alveolar volume did not influence the results of our analysis, only uncorrected DLCO values are reported. Measurements were performed according to the European Community for Coal and Steel11 and American Thoracic Society12 guidelines.
ppoFEV1
ppoFEV1 was obtained using preoperative
pulmonary function testing data and information on the number of
bronchopulmonary segments removed (which can usually be predicted on
the basis of preoperative radiologic studies).
ppoFEV1 was calculated using the following
formula: ppoFEV1 = poFEV1 x (1 - [S x
5.26]/100), where S = number of bronchopulmonary segments removed,
and poFEV1 = postoperative
FEV1.9
14
15
The right and left
lower lobes were considered to have five bronchopulmonary segments, the
right middle lobe had two bronchopulmonary segments, the right upper
lobe had three bronchopulmonary segments, and the left upper lobe had
four bronchopulmonary segments.
Exercise Testing
Exercise capacity was determined by an incremental exercise test
on a cycle ergometer with breath-by-breath analysis of gas exchange
(Vmax 29C; Sensor Medics). Baseline measurements were recorded after a
resting period of at least 3 min on the bicycle. The exercise protocol
consisted of a 1-min warm-up period and a 10-W/min workload increase
until the patient was unable to continue because of the severity of
dyspnea or leg discomfort. Heart rate, ECG, and hemoglobin oxygen
saturation were monitored during the exercise study. Continuous
measurements of ventilation,
O2, carbon dioxide production,
and pulse rate were averaged every 10 s.
O2max was defined as the highest oxygen
consumption achieved during the exercise test.
Split-Function Studies
Split-function studies of regional pulmonary function were
performed using 99mTc lung perfusion scans. The
studies were performed with the patient in a seated upright position
and breathing normally at rest. The postoperative exercise capacity was
calculated by the fractional contribution of the lung tissue to be
resected to overall lung function using the following formula:
ppo
O2max = preoperative
O2max x (1 - fractional
contribution of tissue to be resected).
Data Analysis
All values are presented as mean ± SD. Differences between
actual poFEV1 and ppoFEV1
were tested by the paired Students t test. Values of
p < 0.05 were considered statistically significant. Differences
between actual poFEV1 and
ppoFEV1 were also compared using linear
correlation analysis. Pneumonectomy and bilobectomy were considered
together in the analyses.
| Results |
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O2max > 20 mL/kg/min, and
they were scheduled for surgery; three patients had a
O2max between 10 mL/kg/min and 20
mL/kg/min and underwent a split-function study to determine their
predicted postoperative lung function. Since their
ppo
O2max was > 10 mL/kg/min,
they were accepted for thoracotomy. Of these seven patients, two
patients with peripheral lung cancer and COPD underwent lobectomy, and
five patients with atelectasis underwent pneumonectomy (three of these
patients also had COPD).
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40% of the predicted normal value;
the two COPD patients with acute respiratory failure had
ppoFEV1 < 40%. The mean hospital stay of all
patients was 17 ± 11 days, and that of the patients with respiratory
complications was 52 ± 3 days. The mean values and SDs of ppoFEV1 and actual poFEV1 measured 6 months after surgery, for the whole sample and separately for patients who underwent lobectomy and for those who underwent pneumonectomy or bilobectomy, are given in Table 2 . Figures 1 , 2 show the linear correlation between ppoFEV1 and actual poFEV1, respectively, in patients who underwent lobectomy and in those who underwent pneumonectomy or bilobectomy. ppoFEV1 was reliable for all the patients who underwent lobectomy, while it differed significantly from the actual poFEV1 (p < 0.001) in all the patients who underwent pneumonectomy or bilobectomy. Likewise, ppoFEV1 was significantly different from the actual poFEV1 (p < 0.01) in the subgroup of patients with atelectasis or hilar disease or endobronchial involvement. Half of these subjects had undergone pneumonectomy or bilobectomy. Considering separately subjects with atelectasis who underwent pneumonectomy or bilobectomy and those who underwent lobectomy, ppoFEV1 significantly underestimated the actual poFEV1 only in the former group (Table 3 ).
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O2max > 20
mL/kg/min, who underwent pneumonectomy, had a much higher actual
poFEV1 than that predicted and did not have
appreciable worsening of their respiratory symptoms. Two of the three
other patients with ppoFEV1 < 40% of the
predicted normal value and ppo
O2max
> 10 mL/kg/min, who reported dyspnea on exertion during the
preoperative clinical evaluation, at the assessment 6 months after
surgery complained of severe dyspnea, were oxygen dependent, and had
marked limitation in performing activities of daily living. One of them
underwent pneumonectomy and the other a lobectomy; in both patients,
the actual value was almost identical to the
ppoFEV1, below 1 L. The third subject, who
underwent lobectomy, again had an actual value very accurately
predicted by ppoFEV1just > 1 Lbut did not
report relevant worsening of dyspnea.
Because a large number of patients (31 of 93 patients) in this study
were unavailable for follow-up,
we report baseline pulmonary function data and
ppoFEV1 for this group (Table 4)
. Four of these
patients (13%) had ppoFEV1 < 40% of the
predicted normal value and underwent an exercise test: two patients had
a
O2max > 20 mL/kg/min and they were
scheduled for surgery, and two patients had a
O2max between 10 mL/kg/min and 20
mL/kg/min and underwent a split-function study. One of them was
considered inoperable on the basis of exercise testing results and the
split-function study. Six patients (19%) developed immediate
bronchopulmonary postoperative complications (pneumonia and/or acute
respiratory failure), and one of them died immediately after surgery
because of hemorrhage. These patients that were unavailable for the
follow-up study had preoperative pulmonary function data, immediate
surgical risk, and immediate complications similar to the 62 patients
included in the study analysis.
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| Discussion |
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40% of the predicted normal value,
in identifying patients who can undergo lung resection without further
tests and without long-term risk of respiratory disability. In the
algorithm proposed by Wyser et al,8
patients with
FEV1 and DLCO < 80% predicted were
considered to require further tests. In our sample, 16 patients (26%)
had FEV1 < 80% but
ppoFEV1
40% of the predicted normal value;
according to Wyser et al,8
these patients should undergo
further tests, whereas such a test can, in fact, be avoided on the
basis of the simple calculation of ppoFEV1. This
is particularly important because these studies are expensive,
time-consuming, and not readily available in all hospitals, while the
number of patients needing lung resection is increasing and the delay
between preoperative evaluation and surgery may worsen prognosis.
None of our subjects with ppoFEV1
40% of the
predicted normal values had long-term complications.
ppoFEV1, besides being easy, simple, and cost
saving and time saving, also offers a useful measurement for evaluating
residual lung function. There was only a 15% short-term incidence of
pulmonary complications after thoracotomy in our sample; this is
consistent with results from other studies.8
9
Four of our
five patients with pneumonia had COPD; one of the two patients with
acute respiratory failure requiring mechanical ventilation was
asthmatic with normal preoperative lung function. Many factors may
contribute to the risk of postoperative complications, including
smoking, poor general health status, older age, obesity, COPD, and
asthma.17
A variety of indexes have been tested in
attempts to predict pulmonary complications, but without definitive
results having been reached.3
8
9
18
One of the
difficulties encountered in analyzing the literature on preoperative
pulmonary testing arises from a lack of consensus about what
constitutes a postoperative pulmonary complication.4
Our
sample was a selected one, being composed of subjects without cardiac
comorbidity in whom resection was planned after evaluation of operative
factors. Unfortunately, because of the small number of our subjects
with complications, we could not perform a multivariate analysis. From
our results, we can only argue that, independently of lung function,
concomitant respiratory diseasesvery common in these patientsplay
an important role in determining the onset of perioperative pulmonary
complications.
All seven patients with ppoFEV1 < 40% of the predicted normal value were operated on, their surgical risk having been defined as acceptable on the basis of the further tests proposed by Wyser et al.8 What is an acceptable surgical risk in a disease with high mortality is, however, still an open problem,19 even if some functional cut-off values are now available.2 Olsen4 concludes an editorial by stating, "do what you and your center do best... but treat the patient." There is consensus in literature that resections not exceeding one lobe lead to very little permanent functional deficit, whereas pneumonectomies cause a permanent deficit that is greater for pulmonary function than for exercise capacity.20 However long-term problems are possible even following lobectomy if the functional situation is already critical before surgery.
As far as long-term respiratory disability is concerned, our results
document that two of seven patients with ppoFEV1
< 40% of the predicted normal value and
ppo
O2max > 10 mL/kg/min, thus with
acceptable surgical risk, developed chronic respiratory failure, were
oxygen dependent with severe dyspnea, and had a very poor quality of
life. The cut-off values we used according to Wyser et
al,8
effective for defining the immediate surgical risk,
were not able to predict long-term disability in our two patients. One
of these patients had only lobectomy, and even the low permanent loss
in pulmonary function caused by lobectomy can be sufficient to cause
severe worsening of symptoms. Indeed, it is well-known that dyspnea
ratings and lung function are separate factors that independently
characterize the condition of patients with COPD, even if there is a
significant correlation between them.21
Although there are
studies that describe quality-of-life issues, predictors of
debility, and other poor outcomes, they have gained little attention,
especially as applied to pulmonary patients with severe
impairment.7
In any case, their results are mixed and,
moreover, they did not test the more recently proposed lung function
indexes as predictors.4
22
23
24
Therefore, we emphasize the
need for selective studies on severely ill patients, using appropriate
tools, such as a dyspnea scale and questionnaires on quality of life,
to evaluate long-term results.
In conclusion, we suggest that the ppoFEV1 can be used as a first-line test to define patients as having a low risk for surgery and for long-term complications. While awaiting validation studies of new cut-off points to predict long-term risks, patients defined as having a short-term, highbut acceptablerisk for surgery should be informed on the possible long-term consequences of thoracotomy. The final decision should be made only after discussing their transient state and the intermediate and long-term scenario after surgery with the patients.
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| Acknowledgements |
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| Footnotes |
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O2max = predicted postoperative
maximal oxygen consumption; TLC = total lung capacity;
O2max = maximal oxygen consumption Received for publication August 11, 2000. Accepted for publication February 14, 2001.
| References |
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