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Received: 31 May 2020 Revised: 28 July 2020 Accepted: 10 August 2020
DOI: 10.1002/tbio.202000013

REVIEW

Optical coherence tomography for tissue classification


of the larynx in an outpatient setting-a translational
challenge on the verge of a resolution?

Lukas Wittig | Christian Betz | Dennis Eggert

Universitätsklinikum Hamburg-
Eppendorf, Otorhinolaryngology, Head
Abstract
and Neck Surgery, Hamburg, Germany The detection and tissue classifica-
tion of mucosal lesions of the upper
Correspondence
Lukas Wittig, Universitätsklinikum aerodigestive tract (UADT) is crucial for the development of a treatment plan.
Hamburg-Eppendorf, Using modern endoscopic examination techniques mucosal changes can be
Otorhinolaryngology, Head and Neck
detected early on in an office-based setting. However, the further classifica-
Surgery, Martinistrasse 52, 20246
Hamburg, Germany. tion of these lesions requires a surgical procedure with a biopsy taken under
Email: lu.wittig@uke.de general anesthesia. Optical coherence tomography (OCT) is a noninvasive,
light-based optical tool which can provide high-resolution cross-sectional
images of tissue at near microscopic resolution. Applying it through a single
mode optical fiber allows endoscopic approaches. Routine endoscopic assess-
ment and a thin epithelial layer makes the larynx the perfect organ for
implementing OCT into the clinical endoscopic routine. This review is
focused on summarizing previous and ongoing translational applications of
OCT imaging for tissue classification in the UADT focusing on the larynx,
discussing limitations and benefits and offering an outlook on possible future
applications.

KEYWORDS
cancer, deep learning, larynx, mucosal lesion, optical coherence tomography, upper
aerodigestive tract

1 | INTRODUCTION Tissue analysis is a main aspect in confirming a diag-


nosis in the field of oncology. The early classification of
1.1 | Laryngeal lesions mucosal lesions in the upper aerodigestive tract (UADT)
and especially its detection of malignant transformation
Global cancer statistics noted 177.422 new cases of laryn- is crucial for developing a treatment plan.
geal carcinoma in the year 2018.[1] About 90% of all head State-of-the-art in examining the larynx is handheld
and neck cancers and thus also those of the larynx are flexible or rigid video laryngoscopes. The introduction of
squamous cell carcinomas arising from the epithelial endoscopic tools in the daily practice has improved
lining.[2] the detection rate of premalignant laryngeal lesions.

This is an open access article under the terms of the Creative Commons Attribution License, which permits use, distribution and reproduction in any medium, provided
the original work is properly cited.
© 2020 The Authors. Translational Biophotonics published by Wiley-VCH GmbH.

Translational Biophotonics. 2021;3:e202000013. www.tbio-journal.org 1 of 9


https://doi.org/10.1002/tbio.202000013
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2 of 9 WITTIG ET AL.

However, the detection of a laryngeal lesion is limited to The focus of this article is the discussion of the
the description of morphological aspects on the tissue's challenges in bringing endoscopic guided OCT of the lar-
surface and the nomenclature is not consistent. For ynx into clinical routine and providing possible solutions
example, the clinical terms leucoplakia, erythroplakia or how to overcome them.
chronic laryngitis—to name but a few—merely describe
the outer appearance and cannot differentiate benign
hyperplastic or premalignant dysplastic epithelial 1.2 | Optical coherence tomography
lesions.[3] The risk for malignant transformation or early
invasive growth cannot be determined with certainty.[4] In the life sciences and especially in medicine, optical tools
A meta-analysis of 940 cases of laryngeal dysplasia have been used for over a century for diagnostic purposes
found an overall malignant transformation rate of 14%, starting with common light microscopes. Since then, the
with severe dysplasia having an increased rate of malignant technological progress has been enormous and in the last
transformation compared to mild dysplasia.[5] decades the science of biophotonics has emerged. This
Therefore, the gold standard to further classify field includes different light-based technologies for the
endoscopically detected lesions is invasive biopsies and a imaging of biologic matter. One of these technologies, first
histopathological assessment requiring general anesthe- described for analyzing biologic tissue in 1991 by Huang
sia.[6, 7] Besides the general risks of general anesthesia, et al., is OCT.[9] The technology of optical coherence-
every biopsy may lead to tissue damage and scar forma- domain reflectometry was initially used to localize faults
tion. The function of the larynx is especially sensitive to in fiber optic networks before it was introduced and devel-
epithelial changes and scarring, so that even a small tis- oped further for biological applications.[10, 11]
sue biopsy can cause long-term adverse effects such as OCT is a noninvasive light-based optical tool, which
dysphonia.[5] Isenberg et al. presented data that biopsies can provide high-resolution cross-sectional images of tissue
taken from leucoplakia of the larynx showed no dysplasia using a near-infrared light beam. In 1997, Tearney et al.
in about 50% of the cases.[4] However, even laryngeal presented in vivo images of human tissues with resolutions
lesions with no dysplasia in the initial biopsy had in the order of 10 μm and penetration depths of around
an increased risk for transforming into an invasive 2-3 mm,[12] even though empirically, the imaging quality
squamous cell cancer in the future. significantly deteriorates beyond 1.5 mm in mucosal tissue.
These findings underline the importance for a better Using low-coherence interferometry, the basic principle
diagnostic risk stratification of laryngeal lesions without of OCT is the measurement of backscattered near-infrared
invasive biopsies under general anesthesia. In this regard, light from a tissue probe, similar to the ultrasound technol-
a tool would be desirable that is on the one hand capable ogy. The main components are a light source, an interfer-
of detecting early invasive growth or high-grade dysplasia ometer, a detector and an application system.
of the larynx in need of surgical intervention, but that In 2002, the first commercialized OCT system for oph-
could—on the other hand—differentiate laryngeal lesions thalmology was Federal Drug Administration (FDA)-
with no or low-grade dysplasia thus preventing unneces- approved.[13] The time-domain technology (TD-OCT) uses
sary surgeries. At the same time, it should be a reliable a moving mirror for the reference arm limiting the acquisi-
tool for follow-up examinations of these latter lesions tion rate to about 400 A-scans/s with axial resolution of
without performing recurrent invasive biopsies. about 10 μm,[14] making it susceptible for motion artifacts
For decades, several studies have been published with especially in awake patients (Figure 1, left). Since then,
different classification systems trying to stratify the risk multiple advances in the technology of OCT (ie, improved
for malignant transformation based on histologic find- optical designs and the development of faster computa-
ings.[7, 8] Currently used classification systems are the tional imaging) enabled Fourier-Domain (FD) detection
WHO dysplasia system, the squamous intraepithelial methods with increased imaging speed and better resolu-
neoplasia, and the Ljubljana classification.[3] What all tion (Figure 1, right). FD-OCT achieves axial resolutions
those histopathologic classification systems have in of about 2 μm and image acquisition speeds ranging
common is the use of traditional light microscope exami- between 26 000 and 100 000 A-scans/s [15] .
nation based on architectural and cytological changes. Rel-
evant aspects are, that is, irregular epithelia stratification
and the loss of polarity of basal cells. 2 | O C T I N TH E L A R Y N X
A noninvasive tool that is capable of imaging epithe-
lial surfaces in a vertical fashion with an almost similar The development of higher performance OCT systems
resolution to traditional light microscopy is optical has led to a wide field of clinical applications apart from
coherence tomography (OCT). ophthalmology. Today, two-dimensional and three-
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WITTIG ET AL. 3 of 9

F I G U R E 1 On the left, a
schematic setup of a TD-OCT
System using a movable mirror
for the reference arm is shown
with a corresponding OCT
image and histologic slide from
the lower lip. On the right, a
schematic setup of a FD-OCT
System using a linear detector is
depicted with a corresponding
OCT image and histologic slide
taken from the same spot from
the lower lip. The epithelial
layer (E), the basement
membrane (BM) and the lamina
propria (LP) are clearly
distinguishable on the OCT
images. The mucosal structure
of the inner lip is very similar to
that of the larynx. (Scale bar
shows 1 mm). OCT, optical
coherence tomography

dimensional live OCT images of tissue at near histopath- esophagus, dysplasia, and esophageal adenocarcinoma
ologic resolution can be derived from different anatomi- during a regular endoscopic examination in humans.[21]
cal sites.[16–18] A major focus is the differentiation and In spite of the good accessibility of the larynx for
classification of tissue in the different fields of oncology endoscopic examinations and the clinical dilemma of
and a vast amount of studies have been published ex vivo differentiating laryngeal lesions as described above, only
and in vivo. few studies have been published using OCT imaging of
By developing single mode optical fibers, the range of the larynx, and even fewer trials have investigated
OCT applications has been extended to all endoscopically laryngeal OCT in an office-based setting. This is even
accessible areas as well. The combination of OCT and a more unfortunate, as this organ seems better suited for
flexible endoscope was first described by Sergeev et al. in OCT examinations than any other due to the fact that
1997.[19] The optical fiber of the endoscope could be con- the regular epithelium is constantly thin, whereas
veniently inserted through the working channel of the mucosal pathologies (such as premalignant changes)
endoscope. In the same year, Tearney et al. published regularly show a thickening of the epithelial layer. This
cross-sectional images of the rabbit gastrointestinal and was shown in a detailed histopathologic assessment by
respiratory tracts at 10 μm resolution using a catheter Arens et al., where the group showed that a progressive
endoscope.[12] thickening of the epithelial layer of the vocal folds—
In 2005, Tsuboi et al. showed that endobronchial which has a “normal” thickness of 110 to 186 μm—
OCT can be used to identify abnormal areas of the bron- directly correlates with the grade of epithelial dysplasia
chial wall[20] in resected lung-specimen of the human. (ED), carcinoma in situ (CIS) to early invasive carci-
Two-years later, Chen et al. demonstrated the feasibility noma (EIC) (ED I-258 μm; ED II-301 μm; CIS-445 μm;
of real-time OCT imaging to differentiate Barrett's EIC-974 μm).[22]
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4 of 9 WITTIG ET AL.

An important early study on the usage of OCT solely introducing the OCT probe. The OCT probe was placed
in the larynx was published in 2005 by Wong et al. In in direct contact to the vocal folds under local anesthesia
their trial, they performed OCT imaging of the larynx in successfully obtaining OCT images, as well as
82 patients during endoscopic surgery under general polarization-sensitive OCT (PS-OCT) images. Through
anesthesia, using a handheld probe in near contact to the PS-OCT, the collagen fiber orientation and density could
target site and showed that the mean epithelial thickness be detected, thus better revealing characteristics within
of vocal cords, aryepiglottic fold und epiglottis ranges in the lamina propria. However, in this proof of concept sce-
between 129 and 185 μm, thus correlating closely to nario no histopathological correlation was performed.[31]
the histologically assessed data by Arens et al. Further In 2008 Sepehr et al. confirmed the proof of concept and
did Wong et al. show that OCT is able to provide infor- clearly identified laryngeal mucosal microstructure using
mation on the integrity of the basement membrane and an OCT fiber introduced through a vertebrate tube glued
the structure of the lamina propria as additional key to the flexible endoscope. They stated that fibreoptic
factors in distinguishing between microinvasive cancer, trans-nasal OCT of the larynx has “the potential to aid in
premalignant lesions and benign disorders.[23] The largest diagnosing laryngeal lesions, to provide more targeted
study to date investigating laryngeal lesions with biopsy of suspicious lesions, and to allow more objective
OCT was published by Kraft et al. in 2008, examining noninvasive monitoring of disease progression and
217 laryngeal lesions in patients undergoing elective response to therapeutic interventions.”[32] One major
microlaryngoscopy. Similar to the study cited before, the weakness of the above-mentioned setups was the image
authors also stated the penetration of the basement mem- acquisition in direct contact to the tissue using an image
brane to be the most important criterion in OCT for inva- plane orthogonal to the long axis of the probe requiring
sion; they were thereby able to correctly predict the grade large amounts of local anesthesia. Although when in
of dysplasia in 71% and malignancy in 93% of their cases. direct contact to the tissue there is only little risk of pro-
This notion was repeatedly confirmed, for example in ducing movement artifacts, acceptance by the patient
two case series using an operating microscope with an might be limited. Further, a tubing for the rotating OCT
integrated OCT system published by Just et al.[24] and fiber was necessary being a limiting factor in the quality
Englhard et al.,[17] where it was shown that it is possible and speed of data acquisition.
to differentiate various laryngeal lesions via OCT imag- Possibly because of these weaknesses, studies with
ing. In addition, Volgger et al. described the application rigid laryngoscopes have been published as well. Guo
of a TD-OCT System under general anesthesia for laryn- et al. presented a first approach in 2006 using a prototype
geal lesions and again stated a good correlation of OCT rigid 90 laryngoscope. They presented high-resolution
images and histopathologic slides.[25] Wong et al. were OCT images depicting the epithelium, basement layer,
further able to improve the OCT acquisition rate and and lamina propria. Two major challenges pointed out
reconstruct virtual 3D models of the subglottis in chil- were motion artifacts and focusing.[33] The individual
dren using a FD-OCT-System with a rotational probe anatomy of every patient changes the necessary working
inside a transparent fluorinated ethylenepropylene (FEP) distance, asking for manual adjustment of the laryngo-
sheath for imaging.[26] scope by the physician. In 2009 Guo et al., presented a
Thus, the studies cited above as well as several others similar setup with a gradient-index lens rod probe all-
have sufficiently proven the general ability of OCT to owing capturing in vivo images with 8 fps reducing
depict the microstructure of the epithelial layer in the lar- motion artifacts and improving the handling for the phy-
ynx with contact and noncontact systems, either inte- sician.[34] Within the same year the group presented a
grated into a microscope or with an handheld probe swept-source OCT system integrated into a 90 rigid
under general anesthesia.[17, 23, 27–30] All of them state laryngoscope with video-rate imaging.[35] A similar setup
the diagnostic potential of OCT in the larynx in differen- with an automated and fast adjusting focusing system
tiating premalignant from early malignant changes. was presented in 2015 by Donner et al further improving
However, an office-based approach seems to be espe- OCT imaging of the larynx. The presented OCT laryngo-
cially suitable for OCT. For this reason, we searched the scope combines video laryngoscopic imaging and OCT in
Medline database for appropriate and relevant publica- one endoscope providing standard handling ergonomics
tions in May 2020, focusing on endoscopic OCT imaging for the physician and a fixed lateral position reference of
of the larynx in awake patients. Thereby, only a very lim- the OCT-scan-line within the camera images.[36] The
ited number of studies was found. measured mean epithelial thickness of 109.5 μm in
In 2006 Klein et al., presented a first study with an female test persons and 135.4 μm in male test persons
outpatient-based scenario. They used a flexible trans- was in good agreement with previously published data by
nasal endoscope with an operating channel for Wong et al.[23] They further stated their confidence, “that
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WITTIG ET AL. 5 of 9

these cross-sectional images can support the decision- classification are chosen and weighted by the algorithm
making to take a biopsy in patients having dysplasia of itself and not predefined by the user. After being trained,
the vocal fold epithelium” and further underlined the a CNN can perform the classification on new datasets
need for “correlation of histologic studies and the without annotation. The performance of a CNN is depen-
cross-sectional OCT images.”[36] dent on both the number and quality of the training datasets
The latest study published in 2016 by Coughlan et al and on the image quality of the datasets that are to be classi-
demonstrated for the first time a cross-sectional view of fied. The more training datasets, the better the annotation
laryngeal vibration in vivo during phonation.[37] Besides of the training datasets and the higher the image quality the
offering interesting approaches for phoniatric research, better the CNN will perform the classification. The shortage
an irregular vibration of the vocal folds is a known indi- of training datasets with good annotations is the main
cator for epithelial malignancies and might add to the challenge in applying CNNs in medical imaging.[43]
diagnostic purpose of differentiating laryngeal lesions. Deep learning methods have been used for tissue clas-
In a nutshell, the above-mentioned studies show the sification of the UADT with different imaging techniques
potential of OCT of the larynx in an office-based setting in a number of studies so far.[44–48] Only one small study;
and have documented the tremendous technical however, investigated deep learning methods for tissue
improvement throughout the years. However, the need classification of the UADT using OCT imaging.[49]
for trials combining the acquisition of high-resolution Gessert et al. stated that automated classification might
OCT images of laryngeal lesions in awake patients and a add to the expert's decision-making. However, a larger
thorough histopathologic correlation is still largely dataset of high-quality full resolution OCT are needed to
unmet. As well, since no established imaging atlas for improve the classification performance.
OCT in the laryngeal mucosa is available, the interpreta- We conclude that several smaller studies state a high
tion is highly dependable on the examiner's knowledge of potential for improving the diagnostic quality using deep
vocal fold anatomy and OCT imaging. learning methods. The open challenge in the transla-
Possibly due to these shortcomings, no laryngoscope tional process is the combination of optical imaging, the
with an integrated OCT system is commercially available routine endoscopic examination and automated tissue
to our knowledge until today. classification.

3 | A N A L Y Z I N G O C T DA T A BY 4 | C O N C L U S I O N A N D PR O S P E C T S
DEEP LEARNING METHODS
The afore-noted studies have pointed out that OCT can
Probably the most challenging part in OCT imaging for a generate high-resolution and (in the case of FF-OCT)
clinician is the interpretation of OCT images. Direct sub- even near-histopathologic images of tissue from different
jective interpretation of OCT images by human observers anatomical sites and computational processing should be
requires extensive training.[38] This becomes even more further able to deliver real-time evaluations. Being a non-
challenging with modern OCT systems that can acquire invasive, marker-free technique, OCT has the potential to
OCT images at video rate with more than 40 images/s. As improve laryngeal cancer detection and become a stan-
mentioned earlier, the interpretation of OCT images is dard method in this field. The objective interpretation of
highly based on the experience of the clinician causing OCT images and videos—independent of the experience
an interobserver variability. This can lead to delayed of the clinician—based on deep learning techniques
diagnoses and worse outcomes of the patients.[39] For the is a promising approach which should become more
everyday practice a tool is needed which can classify the important in the future.
OCT images with a high rate of sensitivity and specificity. OCT as a diagnostic tool seems especially suitable for
A promising adjunct is deep learning techniques, endoscopic tissue classification of the larynx in an outpa-
especially neural networks. Neural networks are comput- tient setting. Ideally, a biocompatible OCT probe is either
ing systems inspired by biological neural networks (eg, inserted through the working channel of a flexible laryn-
the human brain).[40] They can be trained to perform goscope for this purpose or is directly integrated into the
tasks based on input examples, generally without being laryngoscope. In this way, the OCT image can be directly
programmed with task-specific rules. Convolutional neu- correlated with the video image. Figure 2A-C shows the
ral networks (CNNs) are superior in image classification exemplary insertion of a suited OCT probe into a com-
compared to other algorithms.[41, 42] To perform a task mercial flexible video laryngoscope (Olympus ENF-VT3).
like image classification a CNN is trained with a set of The OCT images can be acquired during a regular endo-
annotated datasets. The image features that are used for scopic examination of the larynx in awake and upright
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6 of 9 WITTIG ET AL.

F I G U R E 2 Onsite tissue classification of laryngeal lesions by noncontact endoscopic OCT. A, A biocompatible OCT probe, B, can be
inserted into the working channel of a flexible video laryngoscope. C, The endoscope still has its full flexibility. D, Video image of the OCT
probe aimed at vocal folds, E, with the corresponding OCT image. OCT, optical coherence tomography

F I G U R E 3 Deep learning workflow for automated tissue classification in OCT images. An OCT image or video is first preprocessed
and then analyzed by deep learning techniques such as convolutional neural networks. The final output could classify the tissue into
different groups supporting the physician's decision: benign (no further action is needed), malignant (a surgical resection should be
performed soon), unclear (further investigations are needed)

sitting patients. A video image and the corresponding classification in the larynx. For example, the imaging
OCT image of the vocal folds is shown in Figure 2D,E. depth and the resolution of OCT scans can be improved
By applying an automated tissue classification system by using a vertical-cavity surface emitting laser (VCSEL)
based on deep learning techniques, this approach might that sweeps through the bandwidth as light source.[50]
then be used to automatically differentiate benign lesions Very high-imaging speeds of up to 580 000 axial scans/s
and malignant lesions independent of the examiner's provide a high-axial resolution of 9 to 12 μm in the tissue,
experience in OCT imaging (deep learning workflow and an imaging depth of up to 38 mm have been reported
shown in Figure 3). using this technology.[51] The clinical utility of this
Apart from these practical issues that require atten- device, however, is yet to be determined.[50]
tion, new technical developments are at the horizon that Another highly interesting technical development
have the potential to improve the OCT-based tissue that might be interesting with regards to laryngeal
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WITTIG ET AL. 7 of 9

F I G U R E 4 OCT images of a hyperkeratotic lesion of the left vocal fold. On the left shows the vocal fold before laser ablation with the
corresponding OCT image slides taken from lateral (1) to medial (30) clearly depicting the thickening of the epithelium (17, 25, 30) as
indicated by the red arrow. On the right shows the vocal fold after laser ablation with corresponding OCT image slides, again taken from
lateral (5) to medial (25) depicting a smooth epithelial surface. OCT, optical coherence tomography

OCT-imaging has recently been proposed,[52] where the an effective adjunct during therapeutic interventions
additional analysis of the ATP-dependent motion of cel- within the larynx. Not long ago, it has been shown that
lular structures allows for an increase of the resolution an OCT-based tissue differentiation of oral mucosa—
into a submicrometer range. Due to its subcellular resolu- being similar to laryngeal mucosa—can effectively be
tion, this development provides for histology-like con- used for an intraoperative delineation of oral cancer
trasts in OCT images. So far it has only been margins after resection.[16] If this could be proven for the
implemented in an ex vivo setting and not been applied larynx as well, OCT might in the future add to or even sub-
clinically. Still, it might be a promising tool for a “histo- stitute the current gold standard of frozen section pathology
logical analysis” of unstained tissues. as a means to obtain clear margins during (pre)cancer
Last but not least, other advanced OCT techniques such resections in the larynx.
as optical coherence elastography (OCE), polarization- Figure 4 provides another example for the thera-
sensitive OCT (PS-OCT) and full-field OCT (FF-OCT) peutic potential of OCT in the larynx. It shows a so far
might be integrated into the systems in order to provide unpublished OCT image series taken with an OCT-
additional information such as relative tissue stiffness, microscope (OPMedT iOCT-camera, HS Hi-R 1000G-
tissue-specific contrast based on polarized light (eg, colla- microscope Haag-Streit Surgical GmbH, Wedel, Ger-
gen fibers) or an improved resolution down to a subcellular many) during microlaryngoscopy of a benign hyperker-
level.[53–57] Especially OCE has shown positive results in atotic lesion of the left vocal cord before and after CO2
the detection of cancer margins.[58, 59] Still, these tech- LASER ablation. The hyperkeratotic layer that is
niques have not yet been tested in the larynx for clinical clearly depicted in the OCT images before the interven-
purposes, but they might show some potential for future tion, is completely gone afterwards, but with the epi-
applications. thelial layer being largely intact. This application
Apart from these promising technical innovations, might help to predict the healing process after thera-
there are numerous further possible applications for OCT peutic procedures, which should be very good in the
within the larynx. For example, it might be useful as presented case.
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8 of 9 WITTIG ET AL.

As a further, more visionary outlook into the future, [12] G. J. Tearney, M. E. Brezinski, B. E. Bouma, S. A. Boppart, C.
OCT could in the long run be used for marker-less, real- Pitris, J. F. Southern, J. G. Fujimoto, Science 1997, 276, 2037.
time tracking during surgery. This becomes especially [13] A. Zysk, F. Nguyen, A. Oldenburg, D. Marks, S. Boppart,
J. Biomed. Opt. 2007, 12, 051403.
interesting in robot-assisted laser surgery, where a closed
[14] A. Yasin Alibhai, C. Or, A. J. Witkin, Curr. Ophthalmol.
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guided based on the OCT signal. In theory, the larynx [15] A. C. Sull, L. N. Vuong, L. L. Price, V. J. Srinivasan, I.
might be an ideal candidate for marker-less OCT-tracked, Gorczynska, J. G. Fujimoto, J. S. Schuman, J. S. Duker, Retina
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this technique merits further evaluation. [16] S. P. Sunny, S. Agarwal, B. L. James, E. Heidari, A.
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Hedne, P. Wilder-Smith, A. Suresh, M. A. Kuriakose, Oral.
recent publications on OCT-based tissue classification of
Oncol. 2019, 92, 12.
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[17] A. S. Englhard, T. Betz, V. Volgger, E. Lankenau, G. J.
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