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Ann Thorac Surg 1997;64:960-964
© 1997 The Society of Thoracic Surgeons


Original Article: General Thoracic

Cardiopulmonary Function at Rest and During Exercise After Resection for Bronchial Carcinoma

Klaus R. Larsen, MD, PhD, Ulrik G. Svendsen, MD, DSc, Nils Milman, MD, Jørn Brenøe, MD, Bruno N. Petersen, MD

Department of Pulmonary Medicine and Department of Thoracic and Heart Surgery, Gentofte Hospital, University of Copenhagen, Copenhagen, Denmark

Accepted for publication March 25, 1997.


    Abstract
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
Background. Measurements of postoperative spirometric values after pneumonectomy and lobectomy vary considerably, and few researchers have studied the changes in exercise capacity during maximal work after lung resection. The purpose of this study was to describe the postoperative alterations in cardiopulmonary function.

Methods. Ninety-seven consecutive patients with lung malignancy were prospectively examined with maximal exercise test, spirometry, and arterial gas tensions. Fifty-seven patients were reinvestigated 6 months postoperatively.

Results. In patients having lobectomy, forced expiratory volume in 1 second decreased 8%, and exercise capacity, expressed by maximal oxygen uptake and maximal work rate, significantly decreased 13%. In patients having pneumonectomy forced expiratory volume in 1 second significantly decreased 23%, but the loss in lung volume was partly compensated as measured by exercise capacity, which decreased only 16%. Generally patients with the smallest preoperative forced vital capacity had the smallest postoperative deterioration expressed in percentages. We found a weak correlation between alterations in maximal oxygen uptake and lung function after resection.

Conclusions. Lobectomy is associated with only minor deterioration of lung function and exercise capacity. Pneumonectomy causes a decrease in pulmonary volumes to about 75% of the preoperative values, partly compensated in better oxygen uptake, which postoperatively was about 85% of the preoperative values. Alteration in forced expiratory volume in 1 second is a poor predictor of change in exercise capacity after pulmonary resection.


    Introduction
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
The removal of lung parenchyma from patients with carcinoma of the lung, who are usually smokers with compromised cardiovascular or pulmonary status, may lead to cardiopulmonary failure or death. It is therefore a major factor in the determination of operability to assess the predicted residual pulmonary function after resection. Many centers recommend to operate without additional testing in patients with a preoperative forced expiratory volume in 1 second (FEV1-preop) greater than 2.0 L or 60% of predicted and a diffusion capacity above 60% predicted [15]. If these requirements are not met, a radioisotope scintigraphy is performed to separate functional from nonfunctional lung tissue. A predicted postoperative FEV1 less than 0.8 to 1.0 L is considered indicative of a high risk of postoperative chronic ventilatory insufficiency [58]. Although attempts in this way are made to identify patients with high surgical risk, the postoperative cardiopulmonary function is not always predictable. Measurements of changes in spirometric values after pneumonectomy and lobectomy vary considerably. Most consistent are the measurements after pneumonectomy with deterioration of 29% to 35% in FEV1 and 27% to 44% in forced vital capacity (FVC) [913]. After lobectomy, FEV1 and FVC decrease 12% to 23% and 10% to 30%, respectively [9, 11, 12, 14, 15]. The wide variation is partly explained by variations in methods and how soon after the resection the patients are reinvestigated. Another consideration is the functional status after pulmonary resection. Few researchers have studied the changes in exercise capacity during maximal work after lung resection [9, 10, 12]. Again, the results are conflicting. Markos and associates [9] found a fall in maximal oxygen uptake (O2-Max) and maximal work rate (WR-Max) of 27% and 42%, respectively, 3 months after pneumonectomy, and 13% and 2% after lobectomy. The changes in WR-Max are not correlated to the changes in O2-Max. Corris and associates [10] found a fall in O2-Max of 23% 4 months after pneumonectomy, and Pelletier and coworkers [12] found a fall in WR-Max of 12% and 26% from 29 to 200 days after lobectomy and pneumonectomy, respectively.

The purpose of this study was to describe the postoperative alterations in both lung function and exercise capacity after lung resection for lung carcinoma.


    Material and Methods
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
All patients scheduled to have lung resection were prospectively, consecutively examined with a maximal ramp exercise test, spirometry, and measurements of arterial gas tensions at rest. Patients free of metastatic disease were reinvestigated by identical methods and equipment 6 months postoperatively.


    Patients
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
During a period of 32 months 97 consecutive patients with proven or suspected lung malignancy considered to be surgically resectable on the basis of clinical investigation, chest roentgenography, and bronchoscopy, were included. Of these patients, 40 patients were not reinvestigated for the following reasons: 18 patients were found to have unresectable disease during the operation, 14 patients died within 6 months, 5 had progressive metastatic disease at the time of follow-up and could not participate in exercise testing, and 3 patients refused further investigation. The study was then performed on the basis of 57 resected patients, in whom we were able to repeat the dynamic spirometry and maximum exercise test after 6 months. There were 41 men and 16 women. All had non–small cell carcinoma. No patients were receiving radiation therapy. Sixteen had a pneumonectomy (median age, 59 years; range, 45 to 74 years). Of the 41 patients with lobectomies (median age 67 years; range, 38 to 79 years), 34 patients had simple lobectomy and 7 patients had bilobectomy.

No postoperative rehabilitation or training was provided for the patients.


    Resting Lung Function
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
The FEV1, vital capacity, and FVC were measured (Vitalograph, Buckingham, UK) in accordance with ATS guidelines. All values obtained were also expressed as percentage of predicted values using standardized prediction formulas [16].


    Arterial Blood Gas Analysis
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
Arterial blood at rest was analyzed for oxygen and carbon dioxide tensions (ABL4; Radiometer, Copenhagen, Denmark).


    Exercise Test
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
A multistage ramp, 10- to 15-W/min, maximal exercise protocol was performed in the upright position on an electrically braked cycle ergometer (Medgraphics CPE 2000; Medical Graphics Corporation, MN). Subjects breathed through a low-resistance, low dead-space (100 mL) valve (Hans Rudolph). The following variables were determined throughout the test: WR (W), O2 (mL/min, standard temperature and pressure–dry), carbon dioxide production (mL/min, standard temperature and pressure–dry), ventilation (L/min, body temperature pressure saturated), heart rate (beats/min), capillary saturation (%), and blood pressure (mm Hg). All patients were monitored with a 12-lead electrocardiogram during exercise tests. Hard copies were collected at rest, every minute during work, at maximum exercise, and when arrhythmias or other electrocardiographic changes occurred. Anaerobic threshold corresponding to the O2-max in mL/min was estimated using the V-slope method [17]. The respiratory gas exchange variables were determined on-line using a computer-controlled system (Medical Graphics Corporation 2001) with the cycle ergometer interfaced to the computer and constant feedback on the power output. Data were automatically collected breath-by-breath and the average of eight breaths was reported. Results were compared with predicted values [18].

Patients were asked to refrain from heavy work, smoking, and drinking coffee or tea on the day of exercise test. Patients exercised to exhaustion, or to occurrence of predefined stop criteria: severe angina pectoris; systolic blood pressure greater than 240 mm Hg or blood pressure drop exceeding 20 mm Hg; or capillary saturation less than 80% [19]. Patients indicated the reason for stopping. Confirmation of maximal exercise was assessed by failure of O2 to increase despite further increase in WR, and by a respiratory exchange ratio (CO2 production/O2) greater than 1.09 [19].

The pneumotachograph and gas analyzers were calibrated before each test. The relative humidity, ambient temperature, and barometric pressure were registered and entered. The pneumotachograph was calibrated against a 3.0-L syringe (Hans Rudolph 5530). Gas analyzers were calibrated as a two-point calibration against a commercially available gas mixture (14.0% O2, 6.0% CO2) and ambient air.


    Statistics
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
Differences between reinvestigated patients and those who were not reinvestigated were analyzed with a two-sample rank sum test (Mann-Whitney) for continuous data, and with Fisher's exact test for categorical data. Within patient changes caused by lung resection were analyzed with Mann-Whitney test for all variables. Changes in different parameters in the pneumonectomy group were compared with corresponding changes in the lobectomy group with Mann-Whitney rank sum test. The relation between changes in different parameters was analyzed with Spearman correlation. A p value less than 0.05 was accepted as the significance limit.

The study was approved by the local Ethical Committee and informed consent was obtained.


    Results
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
The effect of lung resection on spirometric and exercise values for patients having pneumonectomy and lobectomy are shown in Table 1Go. Figures 1 and 2GoGo show the range of preoperative and postoperative values and the individual changes for FVC and O2-Max.


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Table 1. . Preoperative and Postoperative Spirometric and Exercise Values and Arterial Blood Gas Analysisa
 


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Fig 1. . Preoperative and postoperative values of forced vital capacity (FVC, in L) for patients having lobectomy and pneumonectomy are scattered around the line of identity.

 


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Fig 2. . Preoperative and postoperative values of maximum oxygen uptake (VO2-Max, mL/min, standard temperature and pressuredry) for patients having lobectomy and pneumonectomy are scattered around the line of identity.

 
In patients having lobectomy, FEV1 decreased 8%, which was not significant. Forced vital capacity significantly decreased 9% and exercise capacity expressed by O2-Max and WR-Max significantly decreased 13%. There was no significant difference between the magnitude of loss of lung volume and loss of exercise capacity. Ventilation on maximal exercise decreased 14% corresponding to the decrease in O2, and this decline was solely a result of a decrease in maximal tidal volume, whereas the frequency of breathing was unaltered. Thus, lobectomy led to a small loss in spirometry variables and exercise capacity.

In patients having pneumonectomy, FEV1 and FVC decreased significantly, 23% and 27%, respectively. In this group the loss in lung volume was partly compensated as measured by exercise capacity. Thus, O2-Max and WR-max decreased only 16% (Table 1Go), which was significantly less than the decrease in FVC. Ventilation on maximal exercise decreased 19%, and, as in the lobectomy patients, this decline was solely due to a decrease in maximal tidal volume, whereas respiratory rate was unaltered. Thus, pneumonectomy led to a bigger permanent loss in spirometry variables, which was partly functionally compensated, as measured by exercise capacity. Spirometry variables could be said to overestimate the decrease in functional capacity after pulmonary resection.

We divided the patients into two groups according to preoperative pulmonary function: FEV1-preop above the median (74% predicted) and FEV1-preop below the median. It appeared that patients with FEV1-preop below the median had a lower postoperative fall in FVC compared with the patients with FEV1-preop above the median (8.2% versus 20.1%; p < 0.05 by Mann-Whitney test). Five patients had a FEV1-preop less than 50% predicted, and 4 of these patients actually increased their postoperative FVC.

Preoperative profiles in pulmonary function showed an obstructive pattern (FEV1/FVC ratio less than 0.7) in half the patients (51%). This remained unchanged after resection.

The correlation between alterations in O2-Max and FVC after resection are depicted in Figure 3Go. Though statistically significant, we only found a weak relation (r = 0.42; p = 0.002) between changes in O2-Max and FVC. The relation between changes in WR-Max and FVC was even weaker (r = 0.25; p = 0.06). Again, this gives an impression that the changes in the functional related variable, O2-Max, are different from the changes in the lung volume variable, FVC.



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Fig 3. . Correlation between alterations in maximal oxygen uptake ({Delta}VO2-Max, % preoperatively) and alterations in forced vital capacity ({Delta}FVC, % preoperatively) after pneumonectomy and lobectomy.

 
We found no significant distinction between right and left side regarding spirometry and exercise variables. There were no differences between the preoperative arterial blood oxygen or carbon dioxide tensions compared with postoperative values. We found no differences in preoperative lung function and exercise variables between patients who completed the study and the 40 patients who we were not able to reinvestigate because of unresectability, death within 6 months, progressive metastatic disease, or refusing further participation.


    Comment
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
In patients with bronchogenic carcinoma the extent of pulmonary resection necessary to accomplish radical extirpation of the tumor is difficult to predict, and before the operation it is necessary to evaluate the pulmonary point of origin and the predicted postoperative values. Measurements of postoperative spirometric values after pneumonectomy and lobectomy vary considerably. Most consistent are the measurements after pneumonectomy with deterioration of 29% to 35% in FEV1 [912, 20] and 27% to 44% in FVC [911]. After lobectomy the findings are more varied with a fall in FEV1 of 12% to 23% [9, 11, 12, 14] and in FVC of 10% to 30% [9, 11, 14, 15]. These differences are partly explained by variations in methods, disease in the investigated patients, and time point of analysis after resection. The fall in FEV1 and FVC are less than expected from the number of resected segments, which is explained by the fact that the neoplasm already preoperatively causes a reduction in lung function. This is confirmed by scintigraphy studies [9, 10, 2023]. Few have studied the changes after lung resection in exercise capacity during maximal work [9, 10, 12]. Again the results are conflicting. Markos and associates [9] found a fall in O2-Max and WR-Max of 27% and 42%, respectively, 3 months after pneumonectomy, and 13% and 2% after lobectomy. This pattern is in itself conflicting because the decrease in O2-Max would be expected to follow the decrease in WR-Max. Corris and associates [10] found a fall in O2-Max of 23% 4 months after pneumonectomy and Pelletier and colleagues [12] found a fall in WR-Max of 12% and 26% from 26 to 200 days after lobectomy and pneumonectomy, respectively. Generally the reports do not satisfactorily account for the selection of patients. Some reports are publishing data on the same number of patients preoperatively and 3 to 4 months postoperatively. There is no information given on the number of patients dying in this period. Several factors may affect the results of the repeated lung function studies apart from the resection of lung tissue itself.

In this study we chose not to reinvestigate our patients before 6 months postoperatively to minimize the influence of pain and atelectasis on performance after thoracotomy and achieve full pulmonary compensation after lung resection. The findings at 6 months postoperatively are probably close to the permanent functional capacity. We used objective parameters in the assessment of the patients attempting to reach actual maximum exercise level. All patients were exercised maximally. Spirometric and exercise values decreased significantly after lung resection. In patients having pneumonectomy the fall in exercise capacity was less than the loss of lung volume. Thus, the loss of volume is partly compensated by better oxygen uptake. This finding is consistent with previous studies showing a structural change with hyperplasia rather than hyperinflation after lung resection [24, 25]. We observed a weak correlation between the changes in spirometric variables and changes in exercise variables. In some patients exercise capacity increased or barely changed even though they lost 30% to 35% of the ventilatory capacity (Fig 3Go); in other patients the ventilatory capacity inversely increased 20% to 25% though exercise capacity decreased 0% to 20%. Then again, some patients increased in both pulmonary function and exercise values. These circumstances could be related to surgical removal of diseased airways, alteration in ventilation/perfusion mismatch, or change in smoking habits. We know now from surgery on patients with chronic obstructive lung disease that removal of emphysematous parts of the lungs can improve elastic properties of the remaining tissue. Some of the lack of decline in exercise values in the pneumonectomy patients could also be related to improved oxygen uptake in the muscles during the 6-month period. We found no changes in weight (73.3 versus 72.7 kg) or body mass index (24.5 versus 24.2 kg/m2) after resection.

The sample size in the lobectomy group (n = 41) ensures an 80% chance of finding a difference of approximately 12% or more in FEV1%, assuming a type 1 error of 0.05 and a type 2 error of 0.2 calculated by using the actual achieved standard deviation [26]. Thus, the fact that the decrease in FEV1 of 8% did not achieve significance possibly reflects a beta error.

The lobectomy group consisted of patients with different degrees of resection; thus, both patients having simple lobectomy and patients having bilobectomy were included in this group. There were, however, no significant differences between patients having simple lobectomy and patients having bilobectomy, and the two groups were thus analyzed together.

In 12 patients with bronchogenic carcinoma we investigated the reproducibility of maximal exercise tests [27]. The within subject variability of O2-Max, maximal CO2 production, and maximal ventilation was found to be less than 4% in two consecutive tests with an interval of 7 days.

In conclusion, lobectomy is very well tolerated and is associated with only minor deterioration of lung function and exercise capacity. Pneumonectomy causes a decrease in pulmonary volumes to about 75% of the preoperative values, but this loss of volume is partly compensated by better oxygen uptake, which postoperatively was about 85% of the preoperative values. Generally patients with the smallest preoperative FVC had the smallest postoperative deterioration expressed in percentages. Change in FEV1 is a poor predictor of change in exercise capacity after pulmonary resection.


    Acknowledgments
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
This study was supported by grants from Velux, Foersom, and Hartmanns Foundations, Denmark.


    Footnotes
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 
Address reprint requests to Dr Larsen, Fossgardsvej 34, DK-2720 Vanlose, Denmark.


    References
 Top
 Footnotes
 Abstract
 Introduction
 Material and Methods
 Patients
 Resting Lung Function
 Arterial Blood Gas Analysis
 Exercise Test
 Statistics
 Results
 Comment
 Acknowledgments
 References
 

  1. Drings P, Vogt-Moykopf I. Pre-operative assessment of patients undergoing surgery for bronchial carcinoma. Eur Soc Pneumol 1986;10:7–11.
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  4. Gilbreth EM, Wiesman IM. Role of exercise stress testing in preoperative evaluation of patients for lung resection. Clin Chest Med 1994;15:389–403.[Medline]
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  8. Drings P. Preoperative assessment of lung cancer. Chest 1989;96:42S–4S.
  9. Markos J, Mullan BP, Hillman DR, et al. Preoperative assessment as a predictor of mortality and morbidity after lung resection. Am Rev Respir Dis 1989;139:902–10.[Medline]
  10. Corris PA, Ellis DA, Hawkins T, Gibson GJ. Use of radionuclide scanning in the preoperative estimation of pulmonary function after pneumonectomy. Thorax 1987;42:285–91.[Abstract/Free Full Text]
  11. Van Mieghem W, Demedts M. Cardiopulmonary function after lobectomy or pneumonectomy for pulmonary neoplasm. Respir Med 1989;83:199–206.[Medline]
  12. Pelletier C, Lapointe L, LeBlanc P. Effects of lung resection on pulmonary function and exercise capacity. Thorax 1990;45:497–502.[Abstract/Free Full Text]
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  23. Wernly JA, DeMeester TR, Kirchner PT, Myerowitz PD, Oxford DE, Golomb HM. Clinical value of quantitative ventilation-perfusion lung scans in the surgical management of bronchogenic carcinoma. J Thorac Cardiovasc Surg 1980;80:535–43.[Medline]
  24. Burri PH, Sehovic S. The adaptive response of the rat lung after bilobectomy. Am Rev Respir Dis 1979;119:769–77.[Medline]
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A-M Nugent, I C Steele, A M Carragher, K McManus, J A McGuigan, J R P Gibbons, M S Riley, and D P Nicholls
Effect of thoracotomy and lung resection on exercise capacity in patients with lung cancer
Thorax, April 1, 1999; 54(4): 334 - 338.
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