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EUROPEAN RESPIRATORY REVIEW

REVIEW
C. AIGNER ET AL.

Resectable non-stage IV nonsmall cell lung cancer: the surgical


perspective
1
Clemens Aigner , Hasan Batirel 2, Rudolf M. Huber 3
, David R. Jones 4
, Alan D.L. Sihoe 5
,
Tomaž Štupnik 6
and Alessandro Brunelli 7

1
Department of Thoracic Surgery, Medical University of Vienna, Vienna, Austria. 2Department of Thoracic Surgery, Marmara University,
Istanbul, Turkey. 3Division of Respiratory Medicine and Thoracic Oncology, and Thoracic Oncology Centre Munich, Ludwig-Maximilians-
Universität in Munich, Munich, Germany. 4Department of Thoracic Surgery, Memorial Sloan-Kettering Cancer Center, New York, NY,
USA. 5Department of Cardio-Thoracic Surgery, CUHK Medical Centre, Hong Kong, China. 6Department of Thoracic Surgery, Ljubljana
University Medical Centre, Ljubljana, Slovenia. 7Department of Thoracic Surgery, St James’s University Hospital, Leeds, UK.

Corresponding author: Alessandro Brunelli (brunellialex@gmail.com)

Shareable abstract (@ERSpublications)


Surgery represents a key element in the multidisciplinary management of lung cancer. Surgical
aspects such as operability, resectability, surgical access and extent of resection are important and
should be learned by all nonsurgical members of the MDT. https://bit.ly/41WDYmx

Cite this article as: Aigner C, Batirel H, Huber RM, et al. Resectable non-stage IV nonsmall cell lung
cancer: the surgical perspective. Eur Respir Rev 2024; 33: 230195 [DOI: 10.1183/16000617.0195-2023].

Abstract
Copyright ©The authors 2024 Surgery remains an essential element of the multimodality radical treatment of patients with early-stage
nonsmall cell lung cancer. In addition, thoracic surgery is one of the key specialties involved in the lung
This version is distributed under
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cancer tumour board. The importance of the surgeon in the setting of a multidisciplinary panel is ever-
Commons Attribution increasing in light of the crucial concept of resectability, which is at the base of patient selection for
Non-Commercial Licence 4.0. neoadjuvant/adjuvant treatments within trials and in real-world practice. This review covers some of the
For commercial reproduction topics which are relevant in the daily practice of a thoracic oncological surgeon and should also be known
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by the nonsurgical members of the tumour board. It covers the following topics: the pre-operative selection
permissions@ersnet.org
of the surgical candidate in terms of fitness in light of the ever-improving nonsurgical treatment
Received: 9 Oct 2023 alternatives unfit patients may benefit from; the definition of resectability, which is so important to include
Accepted: 11 Jan 2024 patients into trials and to select the most appropriate radical treatment; the impact of surgical access and
surgical extension with the evolving role of minimally invasive surgery, sublobar resections and
parenchymal-sparing sleeve resections to avoid pneumonectomy.

Introduction
Surgery remains an essential element of the multimodality radical treatment of patients with early-stage
nonsmall cell lung cancer (NSCLC). As a consequence, the surgeon is one of the essential members in the
tumour board. Their importance in the setting of a multidisciplinary panel is ever-increasing in light of the
crucial concept of resectability, which is at the base of patient selection for neoadjuvant/adjuvant treatments.

In this review we will cover some of the topics which are relevant in the daily practice of a thoracic
surgeon and should also be known by the nonsurgical members of the tumour board: the pre-operative
fitness evaluation of the surgical candidate in light of the ever-improving nonsurgical treatment alternatives
unfit patients may benefit from; the definition of resectability which is critical to select the most
appropriate radical treatment; and the impact of the surgical access and surgical extension with the
evolving role of minimally invasive surgery (MIS), sublobar resections and parenchymal-sparing sleeve
resections to avoid pneumonectomy.

Methods
Search strategy
The search strategy was as follows: original talks addressing the subject from the Collaborative Course of
the European Society of Thoracic Surgeons (ESTS) and the European Respiratory Society (ERS) on

https://doi.org/10.1183/16000617.0195-2023 Eur Respir Rev 2024; 33: 230195


EUROPEAN RESPIRATORY REVIEW POTENTIALLY OPERABLE LUNG CANCER | C. AIGNER ET AL.

Thoracic Oncology held in Zurich (February 2023) and their relevant references were included. Additional
searches for each of the subtopics included in this narrative review were conducted to retrieve relevant
publications which were not discussed during the presentation at the aforementioned meeting.
Peer-reviewed studies in English from January 1990 to June 2023 from PubMed and MEDLINE databases
were evaluated with regard to the immediate affinity of the published papers to the original talks. Letters to
the Editor, congress abstracts and case reports were excluded.

It is not our aim to provide an extensive and systematic review of the topics presented here. Instead, this
review aims to further our understanding of the most recent expert opinion and related evidence in
pre-operative selection of the surgical candidate, definition of resectability, impact of the surgical access on
outcome, and parenchymal-sparing resections for early-stage and more locally advanced-stage lung cancer.

Pre-operative risk assessment of the surgical candidate


Early and localised NSCLC is a heterogenous potentially curable group with various tumour stages,
biology and varying prognosis. Treatment options range from segmentectomy in early lung cancer to
radiotherapy plus systemic therapy in a multimodality setting in more advanced disease. To improve
oncological outcome, patients are often treated with various treatment modalities. Their toxicities and
functional impairments can overlap and be increased.

Comorbidities and risks in lung cancer patients


Major issues can be bronchopulmonary and cardiovascular as well as liver, renal and neurological diseases,
diabetes and alterations of the immune system [1–3]. Scarce evidence regarding consequences can be
found for many comorbidities; however, there are specific recommendations for COPD and cardiovascular
diseases.

For interstitial lung diseases (ILDs), literature mostly from Asia describes increased surgical complications,
mostly pulmonary adverse events, and early deaths [4–6]. Also, for stereotactic and conventional
radiotherapy, increased pulmonary complications are reported [7–9]. Acute ILD exacerbations have a high
risk of death (25–100%).

Patients with specific comorbidities (HIV, dialysis, severe immunosuppression, organ transplant, severe
autoimmune disease and pulmonary hypertension) should be treated in centres able to provide radical
treatment as well as experience in supporting these comorbidities.

Unwanted effects of treatment


For surgery, general anaesthesia, mechanical ventilation and partial collapse of the lung are needed. This
impacts primarily the respiratory system, reducing lung volumes, particularly functional residual capacity,
and causing post-operative complications [10]. Resection causes loss of lung volume, impaired breathing
mechanics and pain, which can increase complications.

Radiotherapy can induce radiation pneumonitis and eventually lung volume loss, and cardiac damage [9,
11–13].

Some systemic treatments such as chemotherapies, e.g. induction chemotherapy, can impair lung function
[14–16]. Immunotherapy can cause pneumonitis [17]. Intercurrent complications such as infections due to
immunosuppression or allergies can further compromise the patient.

Pulmonary function and prognosis


Pre-operatively, forced expiratory volume in 1 s (FEV1) is usually measured. A correlation with pulmonary
complications and mortality is accepted. Pre-operative diffusing capacity of the lung for carbon monoxide
(DLCO) is separately predictive of morbidity and mortality [18, 19]. It is also predictive of toxicity for
chemoradiotherapy [20]. The calculated, estimated post-operative values for FEV1, DLCO and peak oxygen
uptake ( peak V′O2) can give additional information [21, 22].

Exercise tests evaluate overall cardiopulmonary function, and partly also coordination, metabolism and
muscle strength. In particular, peak V′O2 and the slope of minute ventilation to carbon dioxide production
(V′E/V′CO2) during ergo-spirometry are predictive for post-operative complications and mortality [23–27].

Prognostic factors and possible harm by treatments


The natural course of lung cancer is influenced by performance status [28]. It is used as an important
decision factor for treatment. There are also several risk scores published, which are not generally used.

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The concepts of frailty and nutrition in oncology are also relevant to lung cancer. The prevalence of frailty
in lung cancer is 45%, and frailty increases mortality (hazard ratio 3.01) [29] and therapeutic toxicity (odds
ratio 2.60) [30]. For patients aged >60 years, frailty phenotype assessment can be considered [31].

Malnutrition is prevalent in lung cancer patients and impacts post-operative complications and 1-year
mortality [32]. For patients with underweight or unintentional loss of 10% of their body weight, the
application of the Nutritional Risk Index or Nutritional Risk Score can be considered.

Guidelines for assessing the risk of surgical candidates


Some guidelines have been published for the evaluation for curative therapy. Regarding surgery, especially
the ERS/ESTS and American College of Chest Physicians guidelines have to be mentioned [33, 34]. They
focus on cardiological and pulmonary risk factors and were published several years ago. Meanwhile,
further improvements of peri-operative management (especially enhanced recovery after surgery (ERAS))
and thoracic techniques (video-assisted thoracoscopic surgery (VATS) and robot-assisted thoracic surgery
(RATS)) have occurred [35–37]. Many treatments are now multimodal, including immunotherapy and
advanced radiation techniques.

An Expert Panel of the American Association for Thoracic Surgery Clinical Practice Standards Committee
recently generated a list of important risk factors in the determination of high risk for lobectomy. The most
important factors for high risk were the need for supplemental oxygen because of severe underlying lung
disease, low DLCO, the presence of frailty, and the overall assessment of daily activity and functional
status [38]. A Task Force of the ERS/ESTS is currently updating its guidelines.

Risk reduction by preventive measures and optimisation of general conditions


For surgery, several options for risk minimisation exist: smoking cessation, optimising current treatment of
comorbidities, pre- and post-operative rehabilitation, and optimisation around surgery (ERAS, minimal
invasive thoracic surgery (MITS) and sublobar resection).

Those who quit smoking ∼4 weeks before surgery have a reduced risk of post-surgical complications
[39–41].

In terms of pre- and post-operative rehabilitation, patients who are taught breathing exercises
pre-operatively or who strengthen their respiratory muscles before surgery with a loaded resistive breathing
device can halve their risk of developing post-operative pulmonary complications after major surgery [10].
Pre-operative exercise training improves physical fitness and reduces the risk of post-operative pulmonary
complications while minimising hospital resources utilisation [42]. Exercise training improves exercise
capacity and quadriceps muscle force, and probably quality of life, and decreases dyspnoea following lung
resection for NSCLC [43, 44].

How to choose the right treatment


Multidisciplinary team discussions must consider the patient’s wishes and the individual situation as well
as the available options. The best treatment regarding the tumour may not be the best option for the
patient. For example, in real life, 408 out of 686 (59%) stage III lung cancer patients were considered as
ineligible for concurrent chemoradiation [45]. Experienced centres and interdisciplinary specialist
discussion are important, at least in patients with increased risk. For example, patients with resection for
early-stage NSCLC at facilities with higher use of stereotactic body radiotherapy (SBRT) showed lower
rates of post-operative mortality [46].

Definition of resectability in locally advanced disease


Complete resection is the main aim of a cancer operation. It has been clearly defined for lung cancer
surgery; however, in locally advanced disease, there are peculiarities when mediastinal lymph nodes or
anatomical structures are involved. Complete resection is defined as microscopically tumour-free resection
margins, systematic nodal dissection or lobe-specific systematic nodal dissection, no extracapsular nodal
extension of the tumour and no metastasis in the highest mediastinal node. If any of the aforementioned
criteria are not achieved the resection should be regarded as incomplete. Other criteria that define
incomplete resection are microscopically positive pleural or pericardial effusions [47]. Uncertain resection
is defined as the presence of carcinoma in situ at the bronchial margin or positive pleural lavage cytology
while the resection margins are free and no residual tumour is left [47]. In an oncologically acceptable
operation, ESTS guidelines recommend removal of, at least, three hilar and interlobar nodes and three
mediastinal nodes from three stations in which the subcarinal is always included [48]. Complete resection
and lymph node negativity are proven prognostic factors of long-term survival after resection for locally

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advanced lung cancer. Thus, pre-resection invasive staging of the hilar and mediastinal lymph nodes is
recommended in these patients. Despite radiologically negative findings, 13–15% lymph node positivity is
found in post-resection specimens [49].

T-based resectability
The 8th edition of the TNM (tumour, node, metastasis) staging system of lung cancer describes locally
advanced disease as a T3 or T4 tumour with intrapulmonary, hilar or mediastinal lymph node involvement
[50]. A T3 tumour is >5 cm but ⩽7 cm in greatest dimension or associated with separate tumour nodule(s)
in the same lobe as the primary tumour or directly invades the chest wall (including the parietal pleura and
superior sulcus tumours), phrenic nerve and parietal pericardium. A T4 tumour is >7 cm in greatest
dimension or associated with separate tumour nodule(s) in a different ipsilateral lobe than that of the
primary tumour or invades the diaphragm, mediastinum, heart, great vessels, trachea, recurrent laryngeal
nerve, oesophagus, vertebral body and carina [50].

Bronchus
There are a few studies suggesting a 1.5–2 cm bronchial resection margin [51, 52]; however, these
suggestions have not been tested in prospective randomised studies and would not be considered strong
evidence. Tumour positivity can be observed in the epithelium, stroma and adventitia of the bronchus [53].
Extramucosal spread has been described as a poor prognostic factor [54]. Safe margins are more frequently
achieved after neoadjuvant treatment [53].

Chest wall
Chest wall invasion is categorised according to the depth of invasion, namely parietal pleura, bony
structures and soft tissues. Depth of invasion is correlated with prognosis, meaning deeper invasion leads
to poorer prognosis [55]. Similarly, a 2 cm clean resection margin is recommended for lung cancers with
chest wall invasion [56]. This not always achievable, especially if the invasion is in the posterior
paravertebral area or thoracic inlet.

Others
Complete en bloc resection with clear margins is associated with favourable prognosis in T4 tumours with
invasion to the carina, vertebra, vena cava, atrium and aorta [57, 58]. However, these are very challenging
cases that require expertise and most of those cases are performed in experienced centres [55, 58–61]. The
results of those series are reported in table 1. Neoadjuvant treatment was shown to improve complete
resection rates and is thus highly recommended in such cases [58]. There is no recommendation for margin
distance; however, a wider margin would lead to a lower local recurrence rate.

N-based resectability
There has been no advantage of complete mediastinal lymph node dissection in early-stage lung cancer if
the sampling of ipsilateral mediastinal lymph nodes was negative for metastasis [62]. It is also evident that
with increasing T stage, the likelihood of mediastinal lymph node metastasis is higher. Thus, a complete
mediastinal lymph node dissection is recommended for accurate staging and complete resection in locally
advanced lung cancer [48].

TABLE 1 Important series in the literature evaluating resection of locally advanced tumours

First author Patients Stage Favourable subgroup 90-day 5-year


(year) [ref.] (n) mortality (%) survival (%)

DODDOLI (2005) [55] 84 T3–4, chest wall, No lymph node involvement, extrathoracic extension NS 29.7
>6 cm
RUSCH (2007) [59] 29 T4, superior Complete pathological response NS 37
sulcus
YILDIZELI (2008) [60] 271 T4 Lymph node negativity, complete resection; subclavian 4# 38.4
artery invasion poor prognostic factor
LI (2019) [61] 1588 T4N0–1 T4 direct tumour invasion 5.7 44.8
TOWE (2021) [58] 1101 T4N0–1 Neoadjuvant treatment (3-fold higher complete NS 54¶
resection rate)
T: tumour; N: node; NS: not stated. #: 30-day mortality; ¶: neoadjuvant treatment group (n=506) survival.

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N1 disease
Multiple N1 or N1 station ( peripheral/hilar) metastases were associated with poor prognosis compared with
single N1 or N1 station metastasis [63]. Direct invasion to N1 lymph nodes had better survival compared
with hilar lymph node metastasis [64]. There is no proven benefit in terms of locoregional recurrence and
long-term survival by performing a pneumonectomy if the metastatic lymph nodes can be completely
resected with lesser resections and clean margins [63, 64].

N2 disease
Complete resection for N status is defined as nonmetastatic lymph nodes in the highest lymph node station
of the ipsilateral side [48]. This can be interpreted as 2R in the right side and 4L in the left side if a
pre-operative mediastinoscopy or endobronchial ultrasound is not performed to evaluate 2L. Surgical
resection in lung cancer with N2 disease has not been associated with improved survival [65].

However, single-station N2 disease with upper lobe tumours or mediastinal lymph node clearance after
neoadjuvant treatment was associated with significantly longer survival rates [66, 67]. Multiple N2 or
bulky N2 disease is associated with poor survival and a decision should be made in a multidisciplinary
board meeting for these borderline resectable cases [68, 69].

Considerations after neoadjuvant treatment


Neoadjuvant treatment in various forms is intended to achieve responses in the primary tumour. A much
higher rate (almost 30–50%) of major or complete pathological response is observed in locally advanced
lung cancers following neoadjuvant chemoimmunotherapy compared with chemotherapy alone [70].
Handling of the tumour specimen to determine margins is based on a series of recommendations by a
multidisciplinary group [71]. “Tumour bed” is the preferred term to describe the major components,
namely viable tumour, necrosis or stroma which can include inflammation or fibrosis. It is still not clear
how the resection status should be defined if there is a complete response (necrosis or inflammation/
fibrosis) of the tumour at the surgical margin.

Impact of surgical access (open and MIS (VATS and RATS)) on outcome
Surgical resection of lung cancer can be accomplished using various thoracic accesses. The most
commonly used are thoracotomy (also known as the open approach) and MIS access, either by VATS or
RATS. Over the years, numerous variations of these approaches have been developed, utilising different
numbers of ports, various surgical instruments and devices, CO2 insufflation, nonintubated anaesthesia, etc.

Overview of the evidence


Multiple benefits of the VATS approach have been reported [72]. MIS was found to reduce acute and
chronic pain, and thus require a shorter length of hospitalisation [73]. Thoracoscopic lobectomy was
associated with less morbidity and mortality, fewer complications, increased quality of life, and a more
rapid return to function than lobectomy by thoracotomy [74, 75]. In older patients, more independence
after discharge was reported after VATS lobectomy [76]. Thoracoscopic lobectomy was also found to
improve the ability of patients to complete post-operative chemotherapy regimens [77]. Overall costs of
VATS lobectomy were similar to or lower than open lobectomy [78], while RATS was more expensive
and led to longer operating times [79].

Due to their nonrandomised retrospective observational nature, these studies carry a moderate to high bias
prevalence that reduces the generalisability of their findings. A recently published meta-analysis of 19
retrospective trials tried to address this problem [80]. Both MIS approaches (VATS and RATS) were found
superior regarding near-term mortality in early- and advanced-stage lung cancer and elderly patients.
However, benefits were not demonstrated for high-risk patients. Overall survival was similar between open
and MIS approaches in all subgroup comparisons. When comparing RATS with VATS, disease-free
survival was improved when the robotic approach was used, without any significant difference in overall
survival. No statistically significant difference was found regarding overall survival or disease-free survival
when comparing RATS with open procedures [80].

Recently, the results of two large randomised controlled trials (RCTs) studying the impact of VATS access
were also published [81, 82]. Each trial randomised more than 500 patients.

LONG et al. [81] reported that VATS had an advantage in terms of surgery time and bleeding, with similar
short-term complications and outcomes compared with thoracotomy. There were no statistically significant
differences in chest tube duration, length of hospital stay or complications between the two groups.

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LIM et al. [82] reported that VATS led to a better recovery of physical function at 5 weeks, with no
difference in physical function at 6 and 12 months, compared with thoracotomy, and no difference in
oncological outcomes such as disease-free survival and overall survival. Patients experienced less
in-hospital pain with less analgesic consumption after VATS lobectomy. The benefit was sustained on all
pain-related quality-of-life subscales (including overall, chest and incision pain) documented for up to
1 year. There was no difference in serious adverse events in the hospital, but safety issues, such as
prolonged air leakage and vascular injury, were more common in the VATS group.

A meta-analysis of seven RCTs found that VATS and thoracotomy did not differ in terms of operating
time or early mortality [83]. However, hospital stay was slightly shorter in VATS compared with
thoracotomy. The two approaches also did not differ in terms of bleeding, prolonged air leakage, acute
respiratory failure or arrhythmia. However, the certainty level was low due to a limited number of
complications and significant measurement variations.

Interpretation
There is now a worldwide consensus and a recommendation that MIS techniques should be preferred for
the surgical treatment of lung cancer in patients with no anatomical or surgical contraindications as long as
there is no compromise of the standard oncological and dissection principles of thoracic surgery [84].

Since current evidence indicates that the benefit of MIS is moderate and short lived, a more prudent
recommendation for the use of MIS in lung cancer surgery may be more appropriate, particularly when
utilising MIS in patients with more significant technical challenges and risks of surgical complications,
such as in advanced lung cancer, post-neoadjuvant chemoimmunotherapy [71] and complex pulmonary
resections with bronchovascular reconstructions [85].

There is a significant learning curve associated with VATS lobectomies [86]. When surgeons insufficiently
proficient in MIS are suggested to obsessively utilise this technique to avoid the nonrecommended open
approach, they may unintentionally compromise clinical outcomes due to prolonged surgery time,
increased bleeding [87] or even catastrophic complications [88].

Considering the even longer learning curve associated with anatomical segmental resections [89],
thoracotomy may be still considered in some complex situations for this procedure.

Over the past decades, the open technique has advanced along with MIS. New devices such as
endo-staplers, advanced energy devices, novel surgical instruments, intra-operative magnification and
three-dimensional reconstruction have increased the efficiency of open lung cancer surgery and reduced the
size of the thoracotomy, procedure time and post-operative complications. The utilisation of ERAS has
significantly reduced post-operative morbidity and hospital stay in open lung cancer surgery. At the same
time, the benefit of ERAS in VATS was relatively minor [90]. In a multivariate comparison of predictors
of prolonged hospital stay, the benefit of ERAS in lung cancer surgery was roughly 2-fold compared with
the benefit of VATS [91].

Sublobar versus lobar resection for early-stage NSCLC


An anatomical lobectomy has long been established as the “gold standard” for curative resection of
early-stage lung cancer [92–94]. However, the potential of sublobar resection to better preserve lung
function compared with lobectomy continued to prove alluring to surgeons [95, 96] and clinical experience
accumulated over the last couple of decades has now identified niches where such limited resection may be
an alternative, or even possibly preferable, to lobectomy.

Compromised patients
Because the volume of lung removed is reduced, sublobar resection logically should most benefit
“compromised” patients. A 2016 multicentre study from Japan on patients with clinical stage I lung cancer
who were deemed unfit for lobectomy found that sublobar resection could yield a 3-year overall survival
rate of 79.0% and a 3-year recurrence-free survival rate of 75.9% [97]. Similar results were found in
another Japanese study on patients deemed unfit for lobectomy [98]. Patients with fewer than two “high
risk” factors and undergoing a sublobar resection had a 3-year recurrence-free survival rate of 95%. A
2014 systematic review further found that sublobar resection for patients with clinical stage IA lung cancer
yielded mortality rates of 0–1.4%, 5-year overall survival rates of 40–79% and local recurrence rates of
5.2–5.5% [99]. While these figures are generally inferior to those expected for lobectomy in
noncompromised patients, they are nonetheless acceptable for patients who cannot receive lobectomy.
Moreover, a number of studies have suggested that sublobar resection offered similar morbidity rates as

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SBRT but possibly better mid- to long-term survival [100, 101]. Such clinical evidence has now led to
sublobar resection (especially segmentectomy) being recognised in major guidelines today as appropriate in
compromised patients with poor pulmonary reserve or other major comorbidities that contraindicate
lobectomy [102, 103].

Intentional sublobar resection


Surveillance Epidemiology End Results (SEER) database results demonstrate significantly worse survival
for small (⩽2 cm) NSCLC patients after intentional sublobar resection than after lobectomy during 1987–
1997 [102]. However, over time, the difference progressively reduced. By 2005–2008, the difference
between sublobar resection and lobectomy was no longer significant [102]. It is probable that this
phenomenon may be the result of two areas of progress: refinement of sublobar surgery and better patient
selection for sublobar resection.

Surgical considerations
Many observational studies over the past two decades have consistently demonstrated that anatomical
segmentectomy offers superior survival to nonanatomical wedge resections when treating stage IA lung
cancer [103, 104]. This may be related to the increased likelihood of segmentectomy achieving wide
resection margins compared with wedge resection. A study from 2007 found that local recurrence after
sublobar resection was significantly more likely if the resection margin was <1 cm [105] and a study from
2013 also found that a wedge resection was significantly more likely to result in a resection margin <1 cm
than a segmentectomy [106]. Nevertheless, the recent CALGB 140503 randomised trial showed equal
5-year survival between sublobar resection and lobectomy for cT1aN0 lung cancer even though the
sublobar arm included 58.8% patients receiving wedge resections [107]. This has generated considerable
discussion over whether wedge resection may eventually prove equivalent to segmentectomy.

The other area where surgical technique may influence the results of sublobar resection is the strategy for
lymph node dissection. Several observational studies have consistently demonstrated that with sublobar
resection for clinical stage I lung cancer, survival is significantly worse in patients where no lymph node
dissection or sampling had been performed [108, 109]. In risk factor analyses for sublobar resection of
lung cancer, lymph node dissection and upstaging have also been shown to be correlated with oncological
outcomes [110, 111]. An elegant study from 2011 showed that sublobar resection (mostly wedge
resections) without lymph node sampling resulted in significantly worse overall and recurrence-free
survival than lobectomy for small (⩽2 cm) NSCLC [112]. However, when sublobar resection was
performed with lymph node sampling, that difference compared with lobectomy was erased. There is
currently broad consensus that nodal dissection should be performed for sublobar resection for lung cancer.
However, much greater controversy exists over what should be done if N1 nodal metastasis is found during
a sublobar resection. One school of thought argues that conversion to a lobectomy is mandatory [113].
However, the opposing school of thought posits that lobectomy is unnecessary, pointing to a number of
studies that have repeatedly shown that lobectomy offers no better survival than segmentectomy should
unexpected N1 nodal metastasis be found [114–116].

Patient selection considerations


The appearance of the target cancer on computed tomography (CT) scanning as a ground-glass opacity
(GGO) or lesion with a consolidation-to-tumour ratio (CTR) <50% generally indicates suitability for
resection by sublobar resection. In risk factor analyses for sublobar resection of lung cancer from Japan,
such CT appearance has been shown to be correlated with oncological outcomes [117, 118]. A systematic
review of 14 cases series from Japan looking at resection of GGOs or lesions with CTR ⩽50% (studies
included 52–100% of all resections by wedge resection or segmentectomy) found that both 5-year overall
and 5-year disease-free survival rates ranged from 93% to 100%, with a local recurrence rate of 0% [119].
It is probable that such GGO or GGO-dominant lesions may represent pre-malignant or less aggressive
forms of adenocarcinoma [120]. The Japanese JCOG0804 multi-institutional confirmatory phase III trial
evaluated the use of sublobar resection for peripheral GGO-dominant lung cancer in 314 patients (82%
wedge resections) and confirmed a 5-year recurrence-free survival rate of 99.7% (95% CI 97.7–100.0%),
with no local relapse [121]. Current guidelines recognise pre-malignant histology and/or CTR <50% as
criteria for choosing to electively perform sublobar resection [93].

The other key criterion in selecting for sublobar resection is a tumour size ⩽2 cm. A meta-analysis of 22
observational studies comparing segmentectomy versus lobectomy for stage I lung cancer in 2013 noted
that the hazard ratios of overall and cancer-specific survival indicated significant benefits of lobectomy for
stage I, stage IA and stage IA with tumours 2–3 cm in size: 1.20 (95% CI 1.04–1.38; p=0.011), 1.24 (95%
CI 1.08–1.42; p=0.002) and 1.41 (95% CI 1.14–1.71; p=0.001), respectively [122]. However, if only

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tumours ⩽2 cm were considered, segmentectomy provided an effect equivalent to that of lobectomy:


hazard ratio 1.05 (95% CI 0.89–1.24; p=0.550). The most important clinical evidence to date of course
comes from the two major randomised trials comparing sublobar resection versus lobectomy. The Japanese
JCOG0802 trial looked at 1106 patients with peripheral tumours ⩽2 cm and with CTR >50%
(solid-dominant) and found that segmentectomy was noninferior to lobectomy in terms of 5-year overall
survival [36]. The North American CALGB 140503 trial similarly looked at peripheral tumours ⩽2 cm and
found that sublobar resection (58.8% wedge resections) was again noninferior to lobectomy in both 5-year
disease-free and 5-year overall survival rates [107].

Other indications
The rise in interest in sublobar resection coincides with the advent of the era of low-dose CT screening for
lung cancer, which has the potential to reduce lung cancer mortality more than any known treatment
[123–126]. However, current guidelines on how to manage screening-detected lesions tend to recommend
conservative “wait-and-see” approaches for almost all such lesions [93]. This caution arises from a concern
of over-diagnosis (some lesions may not be cancerous), which in turn stems from the perception that
surgical intervention (traditionally lobectomy) is relatively traumatic [127]. Modern sublobar resection
performed via MIS access approaches promises to significantly reduce the morbidity of intervention [128].
There is therefore a school of thought that now suggests a more proactive strategy for intervening and even
resecting screening-detected lesions using sublobar resection, lowering thresholds for considering surgery
[129, 130].

Another increasingly recognised indication for sublobar resection is multifocal lung cancer [131–133]. In
such situations, sublobar resection becomes important to achieve multiple curative resections without
excessive sacrificing of the patient’s lung function [133, 134].

Parenchymal-sparing sleeve resections or pneumonectomy


Sleeve resections of the bronchial tree and/or the pulmonary arterial vasculature are established
parenchymal-sparing resection techniques for centrally located NSCLC with airway or vascular invasion as
well as in tumours directly originating from the airway. Whenever feasible, parenchyma-sparing resection
techniques are preferable over pneumonectomy due to superior peri-operative and long-term outcomes as
well as quality of life. Sleeve resections are feasible from the level of the trachea to the segmental level
with various reconstruction techniques available.

Pre-operative work-up should always include bronchoscopic assessment and consideration of risk factors
for anastomotic healing beyond standard imaging and functional tests [135].

No prospective randomised trial comparing survival after sleeve lobectomy versus pneumonectomy has
been conducted and probably never will be. Thus, approximation of benefit can best be obtained by large,
matched cohorts. A recent propensity score-matched analysis retrospectively compared 665 patients
undergoing sleeve lobectomy with 665 patients undergoing pneumonectomy (9.7% of the sleeve resections
were combined bronchovascular procedures) [136]. Complication rates (3.61% versus 8.72%) as well as
30- and 90-day mortality (0.6% and 1.5% versus 0.9% and 3.91%) were lower in the sleeve group; 5-year
overall survival (61% versus 44.7%) as well as 5-year disease-free survival (56.6% versus 46.2%) were
superior in the sleeve cohort. Another recent study from the same institution compared exclusively 139
bronchovascular sleeve resections with pneumonectomy and found similar results [137].

Functional and oncological outcomes after sleeve lobectomy are comparable to standard lobectomy
[138, 139], even though a higher peri-operative mortality has been described by a single retrospective
analysis which found 5-year survival rates to be comparable again [140].

The ESTS database, one of the largest international thoracic surgical databases, was analysed for patients
undergoing sleeve lobectomy or bilobectomy [141]. 1652 patients were found eligible for analysis. 161
(9.7%) underwent a VATS procedure. Neoadjuvant treatment was given in 24.1% of patients without
increased morbidity or mortality. The overall mortality was low (2.2%) and complication rates were within
the expected range. Bronchial anastomotic complications occurred in 1.8% and in the majority of cases
(79.8%) were managed surgically. The minimally invasive VATS approach was associated with a
decreased post-operative complication rate (odds ratio 0.64, 95% CI 0.42–0.98) in multivariable analysis
and a shorter length of stay (median (interquartile range) 5 (3–8) versus 8 (7–12) days). The conversion
rate, however, was relatively high at 21.1%. Other recent publications confirm the reduced number of
complications after MIS [142] and the noninferiority in survival rate of a VATS approach compared with
open surgery [143].

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While sleeve lobectomy is a safe procedure, several technical issues can be debated. While some centres
advocated routine coverage of the bronchial anastomosis, in retrospective data of several institutions it
has been shown that neither the number of anastomotic complications nor the peri-operative mortality or
long-term outcome is influenced by wrapping the anastomosis. This is also valid for the subgroup of
patients receiving neoadjuvant chemotherapy or chemoradiotherapy [144]. This also corresponds to the
observations in lung transplantation irrespective of the actual suture technique used [145, 146]. A single
running suture technique is feasible for sleeve resections as well as interrupted stitches on the
cartilaginous portion.

Most of the available single-centre analyses report peri-operative complication rates and mortality in sleeve
resections after neoadjuvant chemotherapy or chemoradiotherapy comparable to primary surgery [147–149].
Adding neoadjuvant immunotherapy neither increases peri-operative morbidity nor mortality [150–152]
and does not seem to impair anastomotic healing. Only limited data are available on the best timing of
sleeve resection after neoadjuvant therapy [153], thus no firm conclusion can be drawn at this stage.

Particularly for low-grade malignancies and tumours directly originating from the central airways, several
advanced parenchymal-sparing resection and reconstruction techniques including neo-carinal formation
have been described; however, these are mainly limited to individual case reports or small case series
[154–158].

Points for clinical practice or future research

• Pre-operative selection of the surgical candidate. The flow of the decision includes: 1) assessment of
respiratory and cardiovascular risk as well as general patient condition and comorbidities; 2) evaluation of
physical activity/exercise capacity and options for improvement; 3) specific therapy options according to
tumour stage, biology and patient situation; 4) assumed oncological outcome (multidisciplinary
discussion); 5) overall evaluation of risks versus benefit (multidisciplinary discussion) and shared decision
making with the patient; and 6) re-evaluation after each therapy step.
• Importance of the surgical access. The ideal surgical access should be individualised to a particular lung
cancer resection. It should provide an optimal balance of safety, speed, cost-efficiency, and short- and
long-term oncological outcomes. Selection should be based on the patient’s characteristics, the surgeon’s
skills, and the whole surgical and hospital environment. The relatively moderate short-term benefits of MIS
over thoracotomy should always be weighed against its potential downsides. Sometimes, this can only be
decided during the procedure. Therefore, any conversion from MIS to thoracotomy should never be seen as
a failure, only performed in case of a vascular injury with severe bleeding. Instead, conversion should be
made as a conscious decision to use thoracotomy to provide the patient with the best outcome of lung
cancer resection.
• Define resectability in locally advanced lung cancer. The following criteria might be used in clinical
practice: 1) ensure a 2 cm margin on the chest wall and safe distance from the tumour on the airway/
bronchus considering peribronchial extension of the tumour; 2) consider tumour-free margins that can be
achieved safely for T4 tumours (no distance recommendations); 3) there is no need for pneumonectomy if
interlobar, hilar lymph nodes are completely removed; 4) perform removal of lymph nodes based on
lymph node staging guideline recommendations; and 5) these cases should always be discussed at
multidisciplinary meetings (in addition, a higher rate of neoadjuvant or peri-operative treatment should be
pursued to achieve higher complete resection rates).
• Lobar versus sublobar resections for early-stage lung cancers. Accumulation of clinical data internationally
has now identified several areas where sublobar resection is justified for the curative treatment of
early-stage lung cancer. In compromised patients who cannot receive lobectomy, sublobar resection offers
acceptable oncological outcomes which may be superior to nonsurgical modalities. In elective situations,
sublobar resection appears appropriate for GGO and GGO-dominant lesions ⩽2 cm in size, preferably with
segmentectomy and lymph node dissection performed. The latest randomised trial data suggest
indications may be extended to even solid and solid-dominant cancers ⩽2 cm in size. The management of
screening-detected lesions and multifocal lung cancer are niches where sublobar resection appears to be
gaining increasing importance.
• Parenchymal-sparing resections for locally advanced lung cancer. Bronchial and bronchovascular sleeve
resections are established routine procedures in the treatment of NSCLC as well as in other tumours
originating from the central airways. Parenchyma-sparing techniques should be used whenever feasible to
achieve a complete resection. Sleeve resections can be safely performed after neoadjuvant therapy including
regimens containing immune checkpoint inhibitors as well as by MIS approaches in selected patients.

https://doi.org/10.1183/16000617.0195-2023 9
EUROPEAN RESPIRATORY REVIEW POTENTIALLY OPERABLE LUNG CANCER | C. AIGNER ET AL.

Provenance: Commissioned article, peer reviewed.

Conflicts of interest: The authors report the following conflicts of interest in the past 36 months. C. Aigner
participated in an advisory board with and received personal consulting fees from AstraZeneca, BMS, MSD, Roche
and Ewimed; and received institutional grants from BMS, Ewimed, PharmaCept, Medtronic and D-A-CH medical
group. H. Batirel participated in an advisory board with and received personal consulting fees from AstraZeneca,
Johnson & Johnson and Medtronic; and is the Secretary General of the ESTS. R.M. Huber participated in an
advisory board with AstraZeneca, Novocure, BMS, Bayer, Roche, Boehringer Ingelheim, Beigene, Sanofi, Janssen
and Merck; and is a co-chair of the ERS/ESTS Task Force on “Fitness for radical therapy in lung cancer” and IASLC
Deputy Chair of the Screening and Early Detection Committee. D.R. Jones has no conflicts to declare. A.D.L. Sihoe
received speaker honoraria from AstraZeneca, Medela, Medtronic and Roche; and is a member of the Board of
Directors of the STS, ASCVTS and Asia Thoracocospic Surgery Education Platform. T. Štupnik received speaker
honoraria from Johnson & Johnson, Roche and MSD; and participated in an advisory board with AstraZeneca and
Johnson & Johnson. A. Brunelli participated in an advisory board with and received personal consulting fees from
AstraZeneca, BMS, MSD, Roche, Johnson & Johnson and Medtronic; and is a co-chair of the ERS/ESTS Task Force
on “Fitness for radical therapy in lung cancer” and member of the Board of Directors of the ESTS and STS.

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