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a Surgical Outcomes Research Center, University of Washington, Seattle, Washington
b Division of Cardiothoracic Surgery, University of Washington, Seattle, Washington
c Division of General Surgery, Department of Surgery, University of Washington, Seattle, Washington
Accepted for publication April 28, 2008.
* Address correspondence to Dr Flum, Department of Surgery, University of Washington, 1959 NE Pacific, Box 356410, Seattle, WA 98195-6310 (Email: daveflum{at}u.washington.edu).
| Abstract |
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Methods: Surveillance, Epidemiology, and End-Results-Medicare data were used for a cohort study (1992 to 2002) of patients with stage IIIB lung cancer defined by T4 tumors. Patient characteristics, tumor size, nodal status, use of staging modalities, extent of resection, multi-modality therapy, and provider volume were examined. Follow-up death data were available through 2005.
Results: Among 13,077 cases of T4 lung tumors, 1177 patients (9%) underwent resection. Over time, use of mediastinoscopy (20%) did not change (p = 0.49); mediastinal lymphadenectomy increased from 10% to 29% (p < 0.001) and neoadjuvant therapy from 4% to 8% (p = 0.04). Five-year survival rates increased from 15% to 35% (p < 0.001). A higher hazard of death was associated with increasing age (hazard ratio [HR], 1.02; 95% confidence interval [CI], 1.00 to 1.03), comorbidity index of 3 vs 0 (HR, 1.66; 95% CI 1.24 to 2.21), tumor size 3 cm or more (HR, 1.55; 95% CI, 1.30 to 1.84), N2/N3 nodes (HR, 1.67; 95% CI, 1.40 to 1.98), and sublobar resection (HR, 1.55; 95% CI, 1.26 to 1.90). Mediastinal lymphadenectomy had a significantly lower hazard of death (HR, 0.78; 95% CI, 0.64 to 0.95). Improvements in overall survival over time persisted after adjustment for these factors (p = 0.007).
Conclusions: Temporal changes in the operative management of T4 tumors coincided with improvements in long-term survival. Our findings corroborate prior work and practice guidelines supporting operative therapy for select patients with T4 lung cancer.
| Introduction |
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Safe and efficacious surgical therapy for T4 lung tumors likely represents an evolution in cancer management. For instance, given the limitations of radiographic staging of T status, particularly for tumors close to the chest wall or mediastinum [10], the number of explorations and resections might have increased over time. Because nodal involvement has been shown to be a strong predictor of poor prognosis among operated patients with T4 tumors [1–3, 5], more extensive preoperative and intraoperative staging of the mediastinum might have occurred over time. Early success with the use of induction chemoradiation therapy for invasive superior sulcus tumors [11] might have extended to all potentially resectable T4 tumors. It is unknown whether these changes in management have actually occurred in the general community.
We used the Surveillance, Epidemiology, and End-Results (SEER-Medicare) database to describe temporal trends in the management and outcomes of patients who underwent operative management of T4 lung tumors, and conducted exploratory analyses of potential factors associated with outcomes and underlying any observed trends in outcomes.
| Material and Methods |
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The following sequential exclusions were made among 221,208 lung cancer cases identified through SEER-Medicare: patients diagnosed at the time of autopsy/death (n = 5109), younger than then 66 years of age (n = 33,509), without NSCLC histology (n = 66,821), without stage IIIB cancer defined by a T4 tumor (n = 96,029), with a diagnosis of another malignancy between 3 months before and 6 months after lung cancer diagnosis (n = 498), and with partial fee-for-service or concurrent health maintenance organization enrollment, or both, between 1 year before and 6 months after lung cancer diagnosis (n = 6325).
The Klabunde-modified Charlson Comorbidity Index (CCI) was calculated using claims within the Physician/Carrier and Outpatient files in the year before diagnosis [13]. Information about tumor size, location, histology, and nodal status was available through SEER and based on available information within 4 months of diagnosis. The use of staging and therapeutic modalities was defined using claims within the Physician/Carrier and Outpatient files coded by the Healthcare Common Procedure Coding System, International Classification of Diseases, or Revenue Center Codes (Appendix), or both. Billing codes for positron emission tomography (PET) were only available for the period 1998 to 2002, and the code for mediastinal lymphadenectomy was only available between 1994 and 2002. Volume measurements were based on average yearly provider volume among SEER-Medicare patients. Providers within the highest quartile of caseload were categorized as a high-volume provider.
Outcomes were death within 30 days of operation, time to death from any cause, and time to death from lung cancer. Follow-up was available through 2005 for all cause death data (from Medicare), and through 2004 for cause-specific death data (from SEER).
Statistical analyses were conducted using Stata Special Edition 9.2 software (StataCorp, College Station, TX). Unadjusted overall survival estimates were obtained using the Kaplan-Meier method. Estimates of the cumulative incidence of lung cancer death were used to calculate unadjusted lung cancer cause-specific survival rates to account for the competing risk of death from other causes [14]. Logistic regression was used for trend and exploratory analyses of binary end points (healthcare utilization and 30-day death). Cox proportional-hazards models were used for trend and exploratory analyses of time to death from any cause or lung cancer. Survival time was defined as the interval between date of diagnosis and date of death or censoring. Exploratory multivariate analyses were conducted on a case-complete basis and adjusted for clustering at the hospital level. Two-sided p < 0.05 was considered statistically significant.
| Results |
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Only 9% of patients underwent resection (Table 1). Of these patients, 20% underwent mediastinoscopy, and that proportion did not change over time (p = 0.49). Use of PET increased from 5% in 1998 to 49% in 2002 (p < 0.001). Mediastinal lymphadenectomy was done in 19%, and that proportion increased from 10% in 1994 to 28% in 2002 (p < 0.001). Most resected patients did not receive neoadjuvant therapy, although the use of neoadjuvant therapy increased from 4% in 1992 to 8% in 2002 (p = 0.04). Of the patients who survived their operation for 30 days, 47% received adjuvant therapy (25% radiation only, 9% chemotherapy only, and 12% chemoradiation therapy). The use of adjuvant therapy decreased from 55% in 1992 to 40% in 2002 (p = 0.001). Trends in health care utilization were not affected by adjustment for age, sex, race, comorbidity index, SEER registry, or clustering.
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| Comment |
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Accurate staging of tumor extent is an important component of lung cancer management. Computed tomography (CT) of the chest has limited value in characterizing tumor invasion. Whereas clinical staging tends to underestimate tumor stage, radiographic staging with CT tends to overstage T status in more than 50% of patients [10]. More accurate staging can be achieved by thoracic exploration, leading to appropriate surgical therapy for patients with T1-T3 tumors and a more informed decision about the resectability of true T4 tumors. Surprisingly, we did not observe an increase in the proportion of explorations or resections, or both, over time among patients with T4 tumors. Although imaging resolution has likely improved with time, the ability of CT imaging to define tumor invasion into adjacent structures has likely not. Because the consequences of overstaging are more ominous than understaging—given the potential for recommending palliative rather than curative therapy—patients with a limited extent of T4 disease by radiographic staging should be considered for surgical exploration to maximize the chance of cure. Although not recommended in recent practice guidelines [16, 17], thoracic exploration might be a necessary and appropriate component of staging for select patients with potentially resectable, clinically staged T4 N0-1 lung cancer.
The strong association between nodal status and survival described in this and other studies [1–3, 5] is the basis for recent practice guidelines recommending (1) routine PET and mediastinoscopy for all potentially resectable patients with T4 tumors and (2) resection only for those with N0-1 nodal status [16, 17]. One reason for the high proportion (22%) of N2/N3 disease among operated on patients in our cohort may have been inadequate mediastinal staging. Rapid adoption of PET resulted in 49% of patients having been staged with this modality in 2002, but the use of mediastinoscopy did not increase over the time. In 2002, only 10% of resected patients underwent both PET and mediastinoscopy. Long-term outcomes associated with surgical therapy for T4 lung cancer will likely improve further if surgeons more accurately select only patients with N0-1 disease.
Despite a significant rise in use of neoadjuvant therapy over time, we found no association between neoadjuvant therapy and survival. These findings are in contrast with recent results from a multicenter, prospective trial of superior sulcus tumors demonstrating improved survival rates associated with the use of induction chemoradiation therapy compared with historical data [18]. One explanation is that neoadjuvant therapy may not improve the ability to achieve complete resection in patients with T4 disease and that preoperative therapy is not beneficial so long as complete resection is accomplished. Alternatively, patients in the general community who would be expected to benefit from neoadjuvant therapy—for instance those with systemic disease evidenced by mediastinal nodal involvement—might not have been offered surgical therapy. Another possible explanation relates to the type of induction therapy used. In the Southwest Oncology Group (SWOG) trial, patients with superior sulcus tumors received only chemoradiation therapy, whereas patients in our cohort received radiation, chemotherapy, and chemoradiation therapy. Survival rates are known to vary by type of induction therapy [19]. Finally, our cohort likely consisted of a heterogeneous group of T4 tumors, whereas the SWOG trial consisted only of patients with superior sulcus tumors, including T3 and T4 tumors. This difference in patient composition is unlikely to explain the apparent lack of benefit of neoadjuvant therapy, because excellent outcomes have been reported among heterogeneous groups of T4 patients [4, 6] and groups defined by mediastinal invasion [2], airway involvement [5], superior vena cava invasion [8], and multi-focal lobar involvement [7, 9]. Importantly, we found no association between neoadjuvant therapy and an increased risk of early death after resection.
The use of adjuvant therapy decreased over time and was associated with a significantly increased risk of death. Adjuvant radiation therapy is used for local control of incompletely resected tumors and adjacent lymph nodes, whereas adjuvant chemotherapy is used to treat suspected occult systemic disease. The declining use of adjuvant therapy over the study period may be the result of better preoperative patient selection. Meta-analyses of trials of adjuvant therapy for early-stage lung cancer revealed survival benefits associated with adjuvant chemotherapy [20] and survival decrements associated with radiation therapy [21]. In our study, adjuvant radiation therapy (HR, 1.38; 95% CI, 1.11 to 1.72) and chemotherapy (HR, 1.46; 95% CI, 1.06 to 2.01) were both associated with a higher risk of death. The most likely reason for these discrepant findings is confounding. Because we could not measure (and therefore adjust) for the indications for adjuvant therapy, it is likely that the apparently higher risk of death associated with adjuvant therapy is actually a consequence of the indications for therapy rather than therapy itself. Other potential explanations are that adjuvant therapy was not used for the appropriate indications, alkylating rather than platinum-based agents were used during the period of study [20], the results of the meta-analyses are not generalizable to patients with T4 tumors, or adjuvant therapy is truly detrimental.
The risk of adverse outcomes after operative management was associated with nonmodifiable factors. Increasing age, comorbid conditions, and tumor size were associated with higher risks of early- and long-term death in our cohort, but 5-year overall survival rates for operated patients older than 80 years (15%, 95% CI, 10% to 22%), with a comorbidity index of 3+ (14%, 95% CI, 7% to 22%), or with a tumor 3 cm or larger (16%, 95% CI, 14% to 29%) were still higher than aggregate survival estimates for stage IIIB cancer (3% to 7%). An observational study such as this one cannot prove that operative management led to better survival rates in these subgroups, although it remains a plausible explanation given the findings. Factors associated with adverse outcomes should be discussed with patients as a standard part of informed consent, but risk factors should not obviate thoracic surgical consultation or resection in appropriately selected patients. Subsequent studies should attempt to identify modifiable risk factors for adverse outcomes associated with operative management of T4 tumors.
This investigation has several limitations. Our findings may be generalizable to elderly Medicare beneficiaries only, but only if management and outcomes are different for patients 65 and younger or those with alternative health plans. We were not able to adjust for important factors associated with outcome—such as lung function, performance status, residual tumor, lymphovascular invasion, bulky vs microscopic nodal involvement, degree of invasion, involved viscera, or operative details—potentially leading to spurious associations in our exploratory analyses. We included surgeon and hospital volume in exploratory models to adjustment for the potentially confounding effects of previously described volume-outcome relationships [22–24], but in our models we did not observe these associations. A likely explanation is the method of calculating volume using the SEER-Medicare population, which tends to bias the volume-outcome relationship towards the null [25] and may have resulted in inadequate adjustment. Results pertaining to cause-specific survival should be interpreted with caution, because SEER records the cause of death based on death certificate information, and the validity of this approach is controversial [26]. Patients with missing covariate data had significantly higher 30-day case-fatality rates (16% vs 8%, p < 0.001) and lower 5-year overall survival rates (11% vs 23%, p < 0.001), possibly biasing exploratory multivariate analyses. The main findings of our study—health care utilization and outcome estimates and trend analyses—would not have been biased because these calculations did not exclude patients with missing covariate data from the analysis.
This study has several implications. Patients with limited T4 N0-1 disease may be amenable to complete surgical resection with a substantially better chance of survival than patients with other manifestations of disease also classified as stage IIIB. The former should receive consultation with an experienced thoracic surgical oncologist, as recommended by current guidelines [16, 17]. When counseling patients selected to undergo resection on the risks and benefits of surgical therapy, surgeons can supplement information about their individual or institutional experience with outcomes based on data from this nationally representative experience. The preliminary data generated from our exploratory analyses might be used to plan multicenter, prospective investigations of staging and multimodality therapy that could help to define the evaluation and selection of patients to be considered for advanced surgical treatment with curative intent. Improved application of staging modalities (PET and mediastinoscopy) is especially important in the evaluation of locally advanced lung cancer and is critical for selecting patients that may most benefit from an operation.
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HCPCS = Healthcare Common Procedure Coding System; ICD-9 = International Classification of Diseases, 9th Clinical Modification; PET = positron emission tomography; RCC = Revenue Center Code.
| Acknowledgments |
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