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Published online before print October 4, 2007
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From the Departments of Surgery and Community and Preventive Medicine,
* Mount Sinai School of Medicine, New York, New York; and the Department of Surgery,
Hillman Cancer Center, University of Pittsburgh, Pittsburgh, Pennsylvania
| Abstract |
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| Introduction |
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20 to 30% of patients with pathological-negative LNs by current methods of analysis (pN0) develop recurrent disease. Thus, these patients that seem to have localized disease, in fact, harbor occult metastatic disease that is undetected by current pathological or clinical evaluation. Throughout the last 2 decades, techniques have been forwarded to improve the sensitivity of LN analysis including improved sampling through serial and/or step-sectioning3 and improved sensitivity through immunohistochemistry (IHC) or RT-PCR. Multiple studies have shown that these techniques identify metastases that cannot be appreciated using standard light microscopy and limited sampling of the LN. However, the clinical significance of this micrometastatic LN disease in CRC and other malignancies remains controversial. In this article, we review publications that have evaluated the clinical significance of occult LN metastasis in CRC.
| Definition of Micrometastasis and Occult Disease |
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To avoid confusion, patients identified with occult disease should now be classified as pN0(i+) if detection is negative by hematoxylin and eosin (H&E) staining but positive by IHC or pN0(mol+) if detection is positive by molecular techniques such as RT-PCR. This level of distinction will facilitate our understanding of the clinical significance of small-volume LN metastases. In this article, we review all appropriate studies that have aimed to determine the clinical significance of this previously occult disease, while recognizing that each of these studies differ subtly with regard to definitions and methodologies used to identify occult metastasis within LNs of CRC patients.
| Search Methods and Article Selection |
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Studies that evaluated a small number of patients (n < 25) or those that did not correlate their findings to outcome were excluded. Because there is evidence in T3 rectal cancer patients that neoadjuvant radiation therapy has survival benefit23 and most of these patients do receive this therapy, identifying the clinical significance of occult metastasis to regional LN in rectal cancer patients may be confounded by this additional therapy. Thus, one study24 entirely composed of rectal cancer patients was also excluded. Attention to specimen handling, ie, warm ischemia time, could impact these studies; however, this issue is rarely addressed in the reviewed literature and could not be used as a selection criteria or for subsequent critical analysis of the studies. Using this process, 13 studies that used IHC staining and six studies that used RT-PCR were identified and subsequently reviewed.
| Review of Experimental Methodology |
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First, current evidence suggests that a minimum of 12 LNs be reviewed for accurate staging,25
and a recent report from Cancer and Leukemia Group B 8000126
further supported this notion by demonstrating that IHC analysis of multiple levels of CRC sentinel nodes was not enough to overcome a sampling error. In the reviewed studies, the number of nodes examined ranged from 4 to 51 (Tables 1
and 2)
. One study did not report the mean number of nodes examined.9
In another study, the technique of xylene fat clearance was used to increase the amount of nodes sampled per patient to 51.11
Only 5 of 11 IHC studies examined the recommended 12 or more nodes per patient necessary for accurate staging. The number of LNs examined by molecular methods ranged between 2 and 15. Only two studies analyzed more than 12 nodes,18, 20
and both showed a significant difference in outcome. Thus, the majority of these studies do not seem to have harvested or analyzed 12 nodes per patient.
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Antibodies for IHC
The choice of antibody in IHC or of RNA marker in molecular studies is an important factor in the ability to accurately identify occult disease. AE1/AE3 (DAKO, Carpinteria, CA) is the most widely used antibody for IHC analysis of LN from CRC patients. This polyclonal antibody is raised against several cytokeratins, including CK19. CAM 5.2 is an antibody to CK8 and CK18, but it has been criticized as lacking specificity in a report that showed CAM 5.2 stains macrophages found in normal LNs containing phagocytosed cytokeratins.27
Interestingly, studies that used the AE1/AE3 antibody identified occult disease in a mean of 35% and median of 28% of patients, whereas studies that used the CAM 5.2 antibody upstaged a mean of 56% and a median of 60% of patients (Table 1)
. This suggests that sensitivity and specificity of IHC analyses are dependent on the selected protein marker and corresponding antibody.
The Ber-EP4 antibody is an infrequently used antibody that immunostains TACSTD-1, a surface glycoprotein expressed by nearly all epithelial cells. Broll and colleagues9 have reported complete concordance in classification between Ber-EP4- and AE1/AE3-stained specimens. The one other antibody used in these studies was CC49, an antibody against tumor-associated glycoprotein 72 (TAG-72). This protein is expressed by most colonic adenocarcinomas, as well as cancers of the breast, lung, ovaries, pancreas, stomach, and esophagus.28 CC49 was used in only one study, concurrently with AE1/AE3.6 Finally, we identified a methodological problem in how one study evaluated specimens by staining with two antibodies. Cutait and colleagues8 used both an anti-CEA and AE1/AE3 antibodies. Specifically, they selected patients and LNs that stained positively for CEA and then performed an AE1/AE3 IHC test only on those LNs. Therefore, the sensitivity in that study is not reflective of the sensitivity of AE1/AE3 itself. Whenever criteria are established that a patient has to screen positive by two methods to be considered positive, this will always result in lower sensitivity than would be obtained from using either screen alone. In summary, a variety of antibodies have been used for IHC detection of occult disease in the LN of CRC patients. However, a gold standard has not been clearly established. The largest experience is clearly with the AE1/AE3 antibody; CAM 5.2 may lack specificity.
mRNA Markers for RT-PCR
A number of mRNA markers have been used for the detection of occult metastases in the LN of CRC patients by RT-PCR. In a recent publication, Xi and colleagues29
identified the differential, relative expression of various markers between primary tumors and normal LNs in cancer patients. The six most useful markers for metastatic CRC detection were CEA, CK19, CK20, CDX1, TACSTD-1, and villin-1. One other reported marker for CRC is CK18.30, 31
Xi and colleagues29
found this marker should be less specific because of higher background expression in normal LNs. All of the reviewed studies that used RT-PCR used CEA or CK20 mRNA markers (Table 2)
.
Importantly, one limitation of RT-PCR for the detection of occult disease is the potential for a lack of specificity because of low-level expression of the mRNA marker by lymphocytes or other cells present in benign LNs. This pitfall can be overcome, and a marker made specific for the presence of metastasis, by using quantitative techniques (ie, qRT-PCR). Xi and colleagues29 demonstrated background expression of CEA, CK19, CDX1, and TACSTD-1 in benign LNs; thus any study that utilizes these markers and does not use qRT-PCR with expression cutoff decision rules has significant potential to falsely identify LNs as positive for metastatic disease. By comparing the expression of each of these markers to an endogenous control, Xi and colleagues29 found that each of these six mRNA markers had a ratio of expression in tumors compared with expression in LNs from patients without cancer greater than 300 (median tumor expression of marker/highest benign LN expression). Only one study using molecular methods of occult disease detection applied qRT-PCR.22 Thus, most of the reviewed molecular studies were subject to false-positive results.
In summary, there are a number of mRNA markers proven to be useful for the detection of occult CRC metastases within LN, provided qRT-PCR is used. Based on our review, the marker with the strongest theoretical value and empirical experimental data for occult CRC metastasis detection by molecular means is CK20. This marker seems to be expressed in virtually all CRCs32 producing high sensitivity, and importantly, the background expression of CK20 in normal LNs is negligible, facilitating high specificity.
Issues Common to Markers and Antibodies
Finally, additional issues regarding mRNA markers and IHC antibodies warrant consideration. The majority of used markers/antibodies in the reviewed studies (Tables 1
and 2)
are against epithelial cell-related markers rather than cancer-specific markers. A potential pitfall of epithelial cell-related markers is increased sensitivity at the expense of specificity. To overcome this, a pathologist must review the positively stained cells to confirm there are morphological characteristics consistent with cancer cells. This was clearly done and reported in some,8, 14
but not all, of the reviewed studies. Despite this quality control step, Noura and colleagues17
upstaged 54.7% of patients as opposed to only 15.7% in the results of Palma and colleagues14
despite the use of the same antibody on stage 2 patients. This disparity in the frequency of finding occult disease using the same antibody raises concerns regarding specificity.
Clinical Follow-Up
For CRC, the accepted standard for adequate follow-up is 5-year OS or 3-year disease-specific survival.33
In this respect, all of the studies reviewed (Tables 1
and 2)
seem to have had adequate follow-up, but consistent methods of outcome assessment were not used. Very few of the reviewed studies reported the percentage of patients lost during follow-up. One study excluded 33 of 100 patients that were either lost to follow-up or died of an unrelated disease.16
This could lead to bias because patients lost to follow-up may have a higher disease-specific mortality than the rest of a studys population. Another study reported specific data regarding patients that died from CRC and patients that were alive without disease, but the study did not give any data in regard to those that were alive with recurrence.22
With respect to the frequency of encountered events as a measure of appropriate sampling, the expected recurrence rate in LN-negative patients should be
25%. The recurrence rates of the reviewed studies typically fell within reasonable proximity to this benchmark.
Statistical Analysis and Power
We reviewed the studies for their statistical power to test the hypothesis that occult metastases to the LN of CRC patients are clinically significant. We first estimated what the anticipated effect is for a patient with pN0 disease being up-staged to pN0+ disease (Table 3)
. This table demonstrates 5-year OS and is organized to demonstrate the percentage change in recurrence rates associated with upstaging from N0 status to N1 for each given tumor (T) size (T1, T2, and so forth). In essence, for T1 and T2 tumors, the identification of nodal metastasis is associated with a 10% decrease in 5-year OS, and for T3 tumors the decrease is 21%.
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Using the same statistical methods, we examined each negative study (Table 5)
looking at the size and split of pN0+ and pN0– patients for that individual study. Our goal was to see how small an effect each study was capable of detecting. To modify this analysis to be study specific, we incorporated the percent upstaged from each study and the total number of patients in each study (Tables 1
and 2)
. For example, the study by Oberg and colleagues10
had 40% power to detect a 90 versus 80% 5-year OS difference. This was based on the size of the study (147 patients) and the percentage of patients that were upstaged (32%). Based on this analysis, 5 of the 11 negative studies had 80% or greater power to detect a large (90 versus 60%) 5-year OS difference. Not a single negative study had 80% power to detect a difference in survival between 90 and 70%. Therefore, it is possible that a type 2 error (acceptance of the null hypothesis when it is false or, stated differently, a significant difference exists but is not identified because of inadequate sample size) occurred in many or all of these studies (Table 5)
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| Are Occult LN Metastases Clinically Significant? |
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50% of pN1 patients recur) and that lymphatic metastasis is not the only potential mechanism of disease dissemination and recurrence. To address these issues, it would be helpful if future studies paid close attention to the site of disease recurrence (regional or distant) and included some assessment of hematogenous spread of tumor cells either in the peripheral blood or the bone marrow. In summary, it is unclear if there is a clinically significant difference in detecting occult LN disease by IHC. Several studies show survival trends. However, clinically significant (P < 0.05) differences were observed in only 3 of 11 studies. In general, most studies that analyzed a large number of nodes and upstaged a high percentage of patients did find a survival trend; only one of the five studies with ideal LN sampling did not show any survival trend. The one study that had a reverse trend [patients with pNO(i–) LNs having worse survival]) stained all LNs for CEA before using the AE1/AE3 antibody. It is possible that this approach may have adversely impacted sensitivity. Thus, we cannot strongly conclude that IHC-detected occult disease is associated with clinically significant worse outcome.
Molecular Studies
The molecular studies represent a comparatively smaller group. The size of the studies ranged from 26 to 141 patients. The studies consisted of all stage 1 and/or stage 2 CRC patients except for two. Bustin and colleagues22
seem to have included 10 stage 3 patients in their original group of 42 patients. Similarly, Merrie and colleagues18
list 59 patients as having positive LNs by light microscopy at the time of surgery. For the purpose of our analysis, stage 3 patients in both studies were excluded (Table 2)
. RT-PCR was the predominant technique used for analysis of the LNs in all of the studies—but only one study used qRT-PCR.22
The oldest study reviewed used mutant-allele-specific amplification, with attention focused on K-ras and p53 mutations.20
One clear criticism of this study is that mutant-allele-specific amplification was limited to only 71 of the original 120 (59%) primary tumors that actually had these mutations. Thus, the clinical utility of this approach is less clear.
With regard to the molecular studies, the percentage of upstaging patients ranged from 29.7 to 54%. The follow-up for most studies exceeded 5 years. The two exceptions had median follow-up of 42 and 47.3 months.18, 22 Neither of these two studies reported recurrence data, which would have proven more informative than OS given the shorter follow-up period. The overall recurrence rate ranged from 19 to 41% in four of six studies in which these data were reported. This is a considerably higher rate of recurrence than would be anticipated in groups of stage 1 and stage 2 CRC patients.
In the one study using qRT-PCR reported by Bustin and colleagues,22
the markers CK20, CEA, and guanyl cyclase C (GCC) were examined for occult disease detection in LN from CRC patients (Table 2)
. GCC is a transmembrane receptor selectively expressed in mid-gut and hind-gut intestinal mucosa.22
Using these three markers, they were able to differentiate expression levels between three categories of LNs including normal LNs from patients without cancer, histologically negative LNs from cancer patients, and histologically positive LNs from cancer patients. For all three markers, expression level differences comparing each type of LN were significant (CK20, P < 0.001; CEA, P < 0.0001; GCC, P < 0.05). This study was not able to determine cutoff thresholds for the differential expression that correlated with patient outcome. Overall, the molecular studies clearly suggested a clinical relevance to finding occult disease in LNs from CRC patients (Table 2)
. The fact that many of these studies were able to find clinical relevance while still being susceptible to sampling error, suggests that there is clinical relevance to molecular analysis of LNs in CRC.
| Discussion |
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For CRC, the current data favors detection of occult disease in CRC LNs by means of RT-PCR. There are at least four studies using this method of detection showing prognostic significance of identified occult disease. In contrast, several studies aimed at identifying occult disease using IHC failed to demonstrate clinical significance. However, none of the current studies were adequately powered to definitively conclude that IHC-detected disease is not clinically significant. Realizing this limitation, despite significant differences in experimental methodology, Iddings and colleagues37 very recently performed a meta-analysis of eight IHC-based and three RT-PCR-based studies. They concluded that occult metastases identified by RT-PCR, but not IHC, are associated with a worse clinical outcome. Thus, our review and the findings of Iddings and colleagues37 suggest that RT-PCR, but not IHC analysis, seems to be a useful tool in identifying a higher risk group within stage 2 CRC patients. The reason(s) IHC identification of occult LN metastasis fails to convey prognostic information remains unclear but may be related to a lack of appropriate criteria to characterize the LN as positive.
Sampling error may be efficiently reduced if a technique such as SLN mapping with isosulfan blue dye is used to direct increased assessment of a subset of LNs. Saha and colleagues38, 39 routinely use this technique in colon cancer and are able to identify SLN in 99.1% of colon cancer cases. This group and others subsequently use serial sectioning with 5 to 10 sections and IHC staining of the SLN to minimize sampling errors and maximize sensitivity. However, in contrast to breast cancer and melanoma, the identification of skip metastases (metastasis is identified in other resected, nonsentinel nodes) has caused significant concern regarding the use of SLN biopsy in CRC. These skip metastases have been reported to be identified in as many as 53.8% of cases,40 suggesting that all resected LNs need to be reviewed regardless of the status of the SLN. The recent CALGB 80001 results also argue in favor of analyzing all of the resected LNs.26 Thus, SLN identification and analysis remains controversial and not widely used for CRC. Although review of existing studies does not facilitate a firm conclusion regarding how many LNs need to be evaluated or the value of SLN mapping, we believe that any subsequent studies of occult LN metastasis detection in CRC should be designed to evaluate at least 12 LNs.
The future directions of staging CRC will be guided by clinical significance, efficiency, and, of course, cost. One currently promising but costly technique involves the use of microarray analysis of the primary tumor. In two separate studies, microarray analysis was used in conjunction with standard histological analysis of LNs. Both studies showed utility in this technique predicting recurrence from tumor signature alone.41, 42 The study by Wang and colleagues41 validated the relapse signature in tumors from 36 independent patients. Although this is not currently clinically practical, the prospect of obtaining a colonoscopic biopsy and directing treatment from this small specimen cannot be ignored.
In summary, there is substantial evidence that RT-PCR analysis of LNs with specific markers can help identify pN0 CRC patients at increased risk for recurrence. The identification of occult disease identified by the less expensive and readily applicable IHC techniques may also ultimately prove to be associated with worse outcome, but a number of inadequately powered studies have concluded conversely. A meta-analysis of these methodologically disparate studies similarly failed to demonstrate that occult LN metastasis identified by IHC is clinically prognostic of worse outcome. An adequately powered and carefully designed study that determines if occult LN metastasis detected by IHC is prognostic of worse outcome is warranted. Existing data suggests that a randomized trial assessing the potential benefit of adjuvant therapy in patients with N0(mol+) or N0(i+) is also essential.
| Footnotes |
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Supported in part by the National Institutes of Health (grant CA-01958 to S.J.H.).
Accepted for publication May 11, 2007.
| References |
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