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Journal of Clinical Oncology, Vol 22, No 17 (September 1), 2004: pp. 3475-3484 © 2004 American Society of Clinical Oncology. DOI: 10.1200/JCO.2004.10.218 Use of Surgery Among Elderly Patients With Stage IV Colorectal CancerFrom the Departments of Surgery, Medicine, Epidemiology, and Biostatistics, Memorial Sloan-Kettering Cancer Center, New York, NY Address reprint requests to Deborah Schrag, MD, Memorial Sloan-Kettering Cancer Center, 1275 York Ave, Room Box 221, New York, NY 10021; e-mail: schragd{at}mskcc.org
PURPOSE: The role of surgery to remove the primary tumor among patients with stage IV colorectal cancer (CRC) is controversial. The purpose of this study was to evaluate surgical practice patterns for patients 65 years of age with stage IV CRC in a US population-based cohort. PATIENTS AND METHODS: We used the Surveillance, Epidemiology, and End Results-Medicarelinked database to evaluate the patterns of cancer treatment for 9,011 Medicare beneficiaries presenting with stage IV CRC from 1991 to 1999. Patients were categorized according to whether they had primarycancer-directed surgery (CDS) or no CDS within 4 months of diagnosis. The use of other treatment modalities, including metastasectomy, chemotherapy, and radiation, was evaluated in relationship to whether patients belonged to the CDS or no CDS group. RESULTS: Seventy-two percent (6,469 of 9,011) of patients received CDS, and their 30-day postoperative mortality was 10%. Patients with left-sided or rectal lesions, patients older than age 75 years, blacks, and those of lower socioeconomic status were less likely to undergo CDS; but even among those older than age 75, the CDS rate was 69% (3,378 of 4,909). In contrast, chemotherapy use was less common (47% for patients who had CDS and 31% for those who did not). Metastasectomy was rare; only 3.9% of patients underwent these operations at any point from diagnosis to death. CONCLUSION: Palliative resection of the primary tumor is often performed for elderly US patients with stage IV colorectal cancer. This practice pattern merits re-evaluation, given the improvement in the efficacy of systemic chemotherapy.
For patients with stage IV colorectal cancer, the role of surgery directed toward removal of the primary tumor is controversial, and data to guide treatment decision making are limited. Retrospective case series suggest that surgical outcomes in stage IV disease are related to factors such as the extent of liver disease,1-5 peritoneal disease,2 primary tumor resection,3 tumor differentiation,1 age older than 75 years,4 and cardiovascular disease.5 Small retrospective series have evaluated the role of surgical resection of the primary tumor in the setting of unresectable metastatic disease5,6; however, it is difficult to draw conclusions about the utility of surgery from these analyses because the studies are all small, nonrandomized, and represent selected cohorts often from referral centers with dedicated colorectal surgical teams. Although palliative surgery is indicated for most patients with bowel obstruction or uncontrollable bleeding, the benefit of surgery directed toward removal of the primary tumor for the management of asymptomatic patients with stage IV colorectal cancer and unresectable metastases is uncertain. Recent practice guidelines from the National Comprehensive Cancer Network recommend that patients with stage IV colorectal cancer undergo surgery only if they are symptomatic, at risk of impending obstruction, or have metastatic sites amenable to potentially curative resection.7 Surgical resection of the primary tumor at diagnosis may delay or even preclude systemic chemotherapy. The rationale for up-front surgical resection of the primary tumor is the prevention of acute bowel obstruction later during the treatment course because surgery in the setting of bowel obstruction is associated with higher postoperative mortality. Some patients who do not undergo immediate resection will require surgical intervention at a later date; however, most will never develop bowel obstruction. Prospective studies evaluating immediate versus deferred surgical strategies for managing an asymptomatic primary colorectal cancer in the setting of unresectable metastatic disease have not been conducted. To understand national practice patterns for stage IV colorectal cancer patients, we used Medicare claims and registry data detailing surgery performed for individuals diagnosed within the areas covered by the Surveillance, Epidemiology, and End Results (SEER) Program between 1991 and 1999. We sought to measure how often surgery directed toward removal of the primary tumor is performed in patients with stage IV colorectal cancer, and how often these operations are accompanied (either synchronously or metachronously) by attempts to resect metastatic disease foci.
Data Sources We used the linkage of the SEER with the Center for Medicare and Medicaid Services claims database to identify a cohort of patients diagnosed with stage IV colon or rectal cancer at age 65 years or older. The SEER registries, sponsored by the National Cancer Institute, ascertain all incident cancer cases diagnosed in five states and six US metropolitan areas, representing approximately 14% of the US population.8 The SEER program collects information on each incident cancer, including the primary site and histology (classified according to the International Classification of Diseases [ICD] for Oncology, second edition9), the tumor stage at diagnosis, and patient demographics. The Medicare program provides health insurance for 97% of the US population aged 65 and older. The Medicare Provider Analysis and Review files give details of all hospitalizations for persons eligible for Medicare Part A. To receive payment, hospitals submit medical claims coding up to 10 diagnoses and 10 procedures using the ICD 9th revision, clinical modification (ICD9-CM) classification. For the 96% of Medicare beneficiaries who opt for Part B coverage, claims for care delivered in hospital outpatient departments and physicians' offices are also recorded. Medicare also documents date of death for beneficiaries on the basis of information provided by the Social Security Administration. The SEER and Medicare data have been linked to facilitate population-based studies of cancer treatment. Ninety-four percent of patients in SEER aged 65 or older have been linked successfully to their Medicare records.10
Cohort Definition Under capitation, claims detailing the specific procedures and noncancer diagnoses are not reported to the Health Care Financing Administration by risk-contract health maintenance organizations. Therefore, patients enrolled in these plans were excluded from our cohort. During the study years, 20% of the patients in SEER regions were enrolled in a health maintenance organization at time of diagnosis.
Identification of Surgery and Procedure
Patient Characteristics Associated With Primary CDS Information available in the SEER-Medicarelinked files was used to examine the association between patients' clinical and demographic characteristics and receipt of primary CDS. We evaluated age, sex, race or ethnicity, comorbidity, year of diagnosis, and socioeconomic status (identified by the age-adjusted median income in each patient's census tract of residence).
Romano's modification of the Charlson comorbidity index11,12 was used to adjust for potential confounding based on the severity of noncancer medical illness. The diagnoses included in the Romano-Charlson comorbidity index capture many of the absolute or relative contraindications to surgery. We examined all available inpatient Medicare claims for the 12 months preceding the month before diagnosis, and assigned patients the maximal comorbidity observed (0, 1, or
Other Treatment
Metastasectomy
Statistical Analysis
Table 1 lists baseline characteristics of the entire cohort. We identified 9,011 patients enrolled in Medicare who were diagnosed with stage IV colorectal cancer from 1991 to 1999. Figure 1 illustrates how these individuals were further categorized according to surgical therapy. Among the 9,011 patients, 6,469 (72%) received primary CDS and 2,542 (28%) did not. Of the 28% who did not receive primary CDS, 794 (31%) had diversions, 22 (1%) underwent late CDS, and 1,726 (68%) had no bowel operation whatsoever.
Table 2 lists the percentage of patients who had primary CDS, and the characteristics that were associated with surgery in univariate and multivariate analyses. The rates of CDS declined with age: 76% of 65- to 69-year-old patients received primary CDS, whereas the rate declined to 62% of patients age 85 years. Rates of CDS varied almost as much between patients residing in the lowest and highest quartiles (76% v 62%) of median age-adjusted census tract income as they did by race (73% in whites v 65% in blacks), and both were independently significant in multivariate analysis. Sex was not significantly related to primary CDS. However, rates of primary CDS varied according to marital status: 75% of married patients, 70% of widowed patients, and 65% of single patients had resections. After adjusting for age and other factors in multivariate analysis, the odds ratio for single versus married patients was 0.65 (95% CI, 0.57 to 0.75). Among the SEER registries, CDS rates varied from a low of 66% in Hawaii to a high of 79% in Utah. No generalizations about urban versus rural areas could be made because rural areas were represented by registries with both high (Utah) and low (New Mexico) rates. To determine primary management strategies, and whether CDS is used alone or in conjunction with other therapeutic modalities, we characterized cohort members on the basis of all treatments they received (CDS, chemotherapy, radiation alone, and/or any combination) within 4 months of diagnosis (Fig 2). Of the cohort members, 32% had CDS followed by chemotherapy, and 40% had CDS without chemotherapy. Overall, only 44% of cohort members had chemotherapy administered within 4 months of diagnosis. Palliative radiotherapy was administered to only 12% of cohort members within the first 4 months of treatment; these were primarily patients with rectal cancer. Of note, 18% of cohort members did not receive treatment with any of the major therapeutic modalities within 4 months of diagnosis.
Patients who underwent primary CDS were more likely to receive chemotherapy (47% v 31%; P < .001) and radiation therapy (12% v 15%; P = .01) during their life span, when compared with those in the no CDS group. The median time to initiation of chemotherapy was 58 days in the CDS patients, compared with 38 days in the no CDS patients. The indications for surgery and operation types for the 6,469 (72%) cohort members who had CDS and the 816 (9%) who had surgical diversion or late CDS are listed in Table 3. An ostomy was more common in the no CDS group when compared with the CDS patients (32% [805 of 2,542] v 24% [1,574 of 6,469], respectively; P < .001). Among patients undergoing CDS for colon cancer, 86% had resection with anastomosis and 14% had resection requiring an ostomy. For rectal cancer patients undergoing CDS, these rates were inverted: 31% underwent resection with anastomosis and 69% had resection with ostomy (Table 3). Among the no CDS group, the majority of patients had an ostomy rather than a bypass. Table 3 also indicates that few patients (0.2%) underwent primary resection of their tumor more than 4 months after diagnosis (ie, late CDS).
Metastasectomy was performed rarely. A total of 350 of 9,011 (3.9%) patients in the cohort had either synchronous or metachronous pulmonary resection, hepatectomy, or pelvic exenteration. Among those who underwent primary CDS, 339 of 6,469 (5.2%) had metastasectomy. The vast majority of these were liver resections (Table 3).
Surgical Mortality and Overall Survival
Our analysis of SEER-Medicarelinked data illustrates that surgical resection of the primary tumor is the most common initial management strategy for patients who present with stage IV colorectal cancer. We found that 72% of US patients diagnosed at age 65 years are taken to the operating room. Although surgery directed toward removal of asymptomatic primary tumors in the setting of resectable metastases is a potentially curative treatment strategy,13,14 our analyses demonstrate that few patients undergo resection of metastases. Although hospital finance departments may neglect to bill small items, it is unlikely that major operations such as partial hepatectomy would not be billed to Medicare. Therefore, our study design should provide a realistic population-based portrayal of the frequency with which operations to remove the primary tumor as well as metastatic disease foci are performed in stage IV colorectal cancer patients. Our analysis demonstrates that the majority of elderly patients with stage IV colorectal cancer undergo resection of the primary tumor, and that nearly all such operations are performed with noncurative intent. SEER-Medicare data do not enable us to determine what percentage of these procedures is being performed for palliation of active symptoms, and what percentage is being performed with prophylactic intent. Case series from specialty centers report favorable outcomes in patients who undergo surgery for their local and metastatic disease.13,15 In contrast, our analysis describes what happens in the population as a whole. The data from our current analysis cannot be used to suggest that metastasectomy should be performed more frequently or to define the role of CDS in the stage IV patient. Rather, our analysis of national patterns of care indicates that patients with advanced disease are frequently taken to the operating room, and therefore the role of surgery in this setting merits more systematic evaluation than it has previously received. We hope that the evaluation of practice patterns will promote a dialogue between both surgical and medical oncologists to establish a rationale for determining the conditions and timing of surgical and/or medical intervention. One of the most significant limitations of our analysis is the fact that SEER-Medicare data do not reliably indicate whether patients were symptomatic at presentation. Because screening in the elderly is underused, elderly patients may present with more advanced-stage disease. However, it is unlikely that all cohort members who had surgical resection were symptomatic. We found that patients with right-sided colon cancers were more likely to undergo initial surgery, despite the fact that left-sided and rectal cancers are more likely to obstruct than right-sided lesions. The data also demonstrate that many of the patients with left colon cancers did not have a stoma, which suggests that patients were not completely obstructed because they were able to tolerate a primary anastomosis. This provides indirect evidence that a significant proportion of patients were asymptomatic at the time of surgical resection. Although we cannot reliably distinguish patients who were and were not symptomatic, the 72% surgical resection rate is high, particularly when juxtaposed with the fact that 44% of patients had chemotherapy administered within 4 months of diagnosis (Fig 2). A recently published study of patients in randomized chemotherapy trials who had metastatic disease demonstrated that there were no differences in gastrointestinal complications (fistulas, peritonitis, obstruction) in patients who did not have CDS (n = 82) and patients who had CDS (n = 280),16 lending support to the argument that asymptomatic patients with stage IV colorectal cancer can tolerate chemotherapy without requiring surgery to remove the primary tumor. The opportunity to initiate chemotherapy rapidly is made more important with advances in chemotherapy, in which combinations of infusional FU and oxaliplatin or infusional FU and irinotecan each have response rates that exceed 50%, and have been associated with median survival of 20 months in prospective clinical trials.17,18 Although experience with these combination regimens in the elderly has just begun to emerge and no population-based series are as yet available, preliminary evidence suggests that elderly patients are capable of tolerating these regimens. Pooled analyses of elderly patients who have participated in cooperative group trials suggest that performance status is more powerful than age as a predictor of outcomes.19 In an era in which the efficacy of chemotherapy has so dramatically improved, the threshold for primary surgical management requires re-evaluation. Another limitation of our retrospective cohort study is that we were not able to determine how frequently advanced disease was appreciated preoperatively. Given the widespread availability of imaging modalities throughout the 1990s, many patients would have had preoperative staging (ie, computed tomography [CT], magnetic resonance imaging, and/or ultrasound). If a significant proportion of patients were diagnosed with stage IV disease at surgical exploration, then our results suggest that more intensive preoperative diagnostic evaluation is warranted. The comorbidity algorithm we used did not discriminate well between patients who did or did not receive CDS. On the one hand, patients who have complications related to their cancer diagnosis (eg, bleeding, abscess, perforation) are more likely to undergo primary CDS; on the other hand, debilitated patients are also more likely to be deemed inappropriate surgical candidates. This analysis provokes additional questions that cannot be answered using retrospective registry data and claims histories. Given that surgery is used for palliation, its role in the management of stage IV colorectal cancer needs to be evaluated in terms of symptom control, impact on quality of life, and the extent to which it prolongs survival. Prospective measurement of parameters such as quality of life, number of hospital days, and interval from surgery to initiation of chemotherapy would provide additional insights into the rationale for surgery. Although our observational study design precludes meaningful comparisons of survival differences between groups, we describe outcomes for cohort members to emphasize the fact that survival in the setting of stage IV colorectal cancer remained poor throughout the early 1990s when fluorouracil was the only efficacious chemotherapy available. Since the availability of irinotecan20 in 1996, oxaliplatin in 2002,17 and the monoclonal antibodies cetuximab21 and bevacizumab,22 systemic therapy and the ability to palliate patients medically has improved. Simultaneously, techniques for endoluminal stenting provide an alternative to the need for colonic resection to alleviate obstruction. Conversely, better chemotherapy and longer survival may increase the number of patients who ultimately develop symptoms for their primary tumor, necessitating resection. Better chemotherapy may also render stage IV patients who were unresectable into candidates for potentially curative operations that remove all sites of visible disease. Thus, the role of surgery in this setting merits reevaluation, as it may shift from that of a first-line management strategy to treatment for those patients who obtain a favorable response to first-line systemic chemotherapy. There were other limitations to our analysis. First, claims-based analyses can be subject to inaccuracies because of variations in coding practices.24-26 However, the outcomes measured in our analyses are major surgical procedures, constituting a large source of revenue for both the physician and hospital, and are therefore likely to be reliably reported to Medicare for payment. Second, these findings are specific to patients older than age 65 years enrolled in fee-for-service Medicare, and may not be generalizable to younger patients or those enrolled in managed care. However, our data set is typical of US colorectal cancer patients, given that the vast majority (> 80%) are insured by fee-for-service Medicare, and more than 55% are older than age 65 at diagnosis. Finally, no meaningful comparisons about the efficacy of various treatment strategies can be inferred from this observational analysis because of the strong selection bias for particular treatment strategies on the basis of both measurable and unmeasured factors. Although evidence-based guidelines on surgical issues in colorectal cancer were developed recently,27 the role of surgery for patients with stage IV colorectal cancer was not addressed. Because of the availability of several efficacious combination chemotherapy regimens, our practice is to perform resection of the primary tumor only for patients who are clearly symptomatic or are undergoing resection of metastatic sites of disease with curative intent. Asymptomatic stage IV patients at our institution are currently treated with combination chemotherapy. The recent availability of endoluminal colorectal stenting has also created a new alternative that may obviate the need for surgery in some circumstances. We suggest that before stage IV colorectal cancer patients undergo surgical resection, they should receive careful preoperative staging to evaluate the extent of disease with imaging, such as a contrast-enhanced CT scan of the abdomen and pelvis, and consultation with a multidisciplinary clinical team to inform their treatment decision making. It will be important to revisit surgical practice patterns in the 2000s, in light of recent advances in both chemotherapy and endoluminal stenting. Data from recent randomized controlled trials evaluating systemic chemotherapy may effect significant changes in practice patterns.17,23 The appropriate role of palliative surgery for stage IV colorectal cancer, including its impact on symptom control and quality of life, remains to be fully evaluated.
The authors indicated no potential conflicts of interest.
Authors' disclosures of potential conflicts of interest are found at the end of this article.
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Copyright © 2004 by the American Society of Clinical Oncology, Online ISSN: 1527-7755. Print ISSN: 0732-183X
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