10.1245/ASO.2006.02.003
Annals of Surgical Oncology 13:66-74 (2006)
© 2006 Society of Surgical Oncology
Effect of Neoadjuvant Chemoradiation on Operative Mortality and Morbidity for Pancreaticoduodenectomy
Tsung-Yen Cheng, MD,
Ketan Sheth, MD,
Rebekah R. White, MD,
Tomio Ueno, MD, PhD,
Cheng-Fang Hung, MS,
Bryan M. Clary, MD,
Theodore N. Pappas, MD and
Douglas S. Tyler, MD
Department of Surgery, Duke University Medical Center, Box 3118, Durham, North Carolina 27710
Correspondence: Address correspondence and reprint requests to: Douglas S. Tyler, MD; E-mail: tyler002{at}acpub.duke.edu
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ABSTRACT
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Background: Neoadjuvant chemoradiotherapy (neo-CRT) is being used with increasing frequency for periampullary tumors, but how it alters the complication rate of pancreaticoduodenectomy (PD) is unclear.
Methods: A retrospective analysis was conducted of 79 patients with periampullary malignancies who received 5-fluorouracilbased neo-CRT followed by PD.
Results: There was no difference in mortality between PD after neo-CRT (3.8%) and conventional PD for either malignant (4.5%) or benign (2.2%) disease. Focusing only on patients with malignancy, the neo-CRT group had a significantly lower pancreatic leak rate than the conventional group (10% vs. 43%; P < .001). Intra-abdominal abscesses were less common in the neo-CRT group (8.8% vs. 21%; P = .019), and there was one (1.2%) amylase-rich abscess in neo-CRT group, compared with eight (12%) in the conventional group. In addition, two patients in the conventional group died of leak-associated sepsis, compared with none in the neo-CRT group. Multivariate analysis revealed that neoadjuvant chemoradiation (odds ratio, .15) was the most significant factor associated with a reduced risk of pancreatic leak.
Conclusions: Neo-CRT does not increase the mortality or morbidity of PD. In contrast, neo-CRT was associated with a marked reduction in the incidence of pancreatic leak, as well as leak-associated morbidity and mortality.
Key Words: Pancreaticoduodenectomy Neoadjuvant therapy Morbidity Mortality Pancreatic leak
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INTRODUCTION
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Pancreaticoduodenectomy (PD) remains the only potentially curative treatment for periampullary malignancies. The addition of adjuvant therapy in hopes of increasing survival has produced favorable results. Neoadjuvant chemoradiotherapy (neo-CRT) preceding PD for periampullary malignancy has been shown to produce survival comparable to that of PD with adjuvant chemoradiation.1,2 Moreover, decreased locoregional failure has been demonstrated with neo-CRT.1 Neo-CRT has several theoretical benefits over adjuvant therapy. Preoperative chemo-radiation ensures that the treatment modality will be received by all patients. Currently, approximately 25% of patients who have PD first cannot undergo adjuvant therapy because of delayed recovery or operative complications.3,4 Furthermore, occult metastasis may become evident during neo-CRT that would give some insight to the tumor biology and possibly spare patients the morbidity of a laparotomy. Prior studies have revealed that 20% of initially resectable tumors were detected to have distant metastasis on restaging computed tomographic scanning.1,3 Another possible benefit of neo-CRT is increasing the probability of a negative margin, especially the retroperitoneal margin, at the time of operation.1,2 Resistance to the application of neo-CRT has stemmed from the belief that patients who undergo neo-CRT have a decreased nutritional and immunological status that would handicap their recovery from a PD and increase the complication rate. One of the most common complications is pancreatic leak and fistulization from the pancreaticojejunostomy. It is interesting to note that earlier studies report a decreased pancreaticojejunal anastomosis leak with preoperative radiotherapy (50 Gy).5,6
Although the operative morbidity and mortality from a PD continue to decline, it remains a formidable challenge for patients to recover without incident. Advancements in surgeon experience, technique, technology, and perioperative care have decreased the mortality rate to <5% in most centers.79 The morbidity associated with PD is reported with wide variability in the literature, and scant information exists regarding PD morbidity in the setting of neoadjuvant therapy. The objective of this study was to determine the effect of neo-CRT on the operative morbidity and mortality of PD and to compare it with the conventional PD (without neo-adjuvant therapy) approach.
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METHODS
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Between February 1995 and April 2003, 79 patients (neo-CRT group) with periampullary malignancy underwent PD after neo-CRT. From 1995 to 1998, patients who received neoadjuvant therapy were part of an institutional protocol. Since 1998, patients have been given the option of receiving neoadjuvant therapy off protocol. During the same time period (19952003), 112 patients, including 67 patients (conventional group) with periampullary malignancy and 45 patients with benign diseases, underwent PD as their first therapeutic intervention. The neo-CRT and conventional groups were then compared by using a retrospective review of the medical records. Operative mortality and surgical and nonsurgical morbidity of the neo-CRT and conventional groups were then statistically evaluated. Two surgeons from a single institution performed the vast majority of the operations.
The treatment protocol for neo-CRT for periampullary cancer in this institution has been previously described by White et al.2 Briefly, the chemotherapy was 5-fluorouracil based. External beam radiotherapy was delivered at an initial dose of 4500 cGy in 180-cGy fractions, with a boost dose of 540 cGy to the tumor bed. After neo-CRT, patients were given a 3- to 4-week convalescence for recovery of blood counts and nutrition. Patients then had a restaging computed tomographic scan and were reclassified with respect to resectability. Resectability was determined by cross-sectional imaging criteria: (1) there was no extrapancreatic disease, (2) there was no direct invasion of the superior mesenteric artery or celiac artery, and (3) the portal vein and superior mesenteric vein were patent. All patients had a cytological or pathologic diagnosis before treatment. PD was then performed on the candidates who met radiologically resectable criteria. Staging laparoscopy was performed to rule out peritoneal seeding or liver metastasis. The standard operative procedure included resection of pancreatic head, duodenum, and distal stomach. The pancreatic neck and bile duct margin were evaluated by frozen section. The retro-peritoneal margin was marked by a stitch for further pathologic examination. Pancreatic reconstruction was then performed to the proximal jejunum with either a duct-to-mucosa or invagination method according to surgeon preference. Biliary and gastric anastomoses were then performed. Feeding jejunostomy was also placed at the initial operation.
Definitions
Surgical Complications
Delayed gastric emptying: radiological or scinti-graphic evidence of delayed gastric emptying or postoperative nasogastric tube decompression >2 weeks.
Pancreatic leak: amylase level of any drainage fluid that was three times the value of serum amylase. Amylase-rich intra-abdominal abscess was classified in both the pancreatic leak and intra-abdominal abscess categories.
Intra-abdominal abscess: culture-positive purulent drainage obtained from percutaneous drainage or reoperative intervention. Amylase-rich abscess was classified in both the pancreatic leak and intra-abdominal abscess categories.
Sterile fluid collection: culture-negative intra-abdominal fluid collection.
Bile leaks: bilious drainage from intraoperatively placed drains or radiographically proven fluid collection requiring percutaneous drainage and demonstrating increased bilirubin levels.
Cholangitis: fever, jaundice, leukocytosis, and culture-positive bile.
Gastrojejunostomy leak: radiographic evidence or operative finding of gastrojejunal anastomotic leak.
Intestinal obstruction: clinical and/or radiographic evidence of mechanical bowel obstruction.
Gastrointestinal bleeding: any Hemoccult (Beckman-Coulter, Fullerton, CA)positive hematemesis, hematochezia, or melena requiring blood product transfusion or reoperation.
Nongastrointestinal bleeding: intra-abdominal bleeding from the operative field other than that characterized as gastrointestinal.
Wound disruption: nonhealing of fascial layer of wound with or without surgical repair.
Wound infection or delayed healing: discharge from wound >7 days after operation with or without evidence of infection, excluding wound disruption.
Enterocutaneous fistula: a persistent sinus with radiographic evidence of continuity with the gastrointestinal tract.
Chyle leak: lymphatic drainage with increased triglyceride levels and response to treatment with medium-chain triglycerides or total parenteral nutrition/fasting.
Nonsurgical Complications
Clostridium difficile colitis: diarrhea with positive clostridium toxin A requiring antimicrobial therapy.
Urinary tract infection: culture-positive urine with urinalysis-proven pyuria.
Deep venous thrombosis: demonstrated by venous duplex ultrasonography.
Myocardial infarction: increase of serum creatinine kinase and/or troponin levels with or without accompanying electrocardiographic changes.
Arrhythmia: characteristic electrocardiographic abnormality with or without symptoms requiring pharmacological or electrical intervention.
Pneumonia: fever, leukocytosis, culture-positive sputum with leukocytes on Gram stain, and chest radiograph demonstrating focal infiltrates.
Mortality: death during the initial operative hospitalization or within 30 days of discharge.
Reoperation: any subsequent surgical procedure performed for the management of complications from PD.
Readmission: subsequent hospital admission associated with PD within 3 months of initial discharge.
Morbidity: any surgical or nonsurgical complication necessitating a prolonged stay, further diagnostic testing, or therapeutic intervention. Each individual could have more than one complication, but when the morbidity rate was calculated, each patient was taken as with or without complication.
Statistical Analysis
The rates of mortality and each item of morbidity in malignant disease were compared by using the
2 test with or without Fishers exact test. Univariate analysis of factors such as age, sex, diabetes mellitus, coronary artery disease, preoperative plasma total bilirubin level, operative blood loss, tumor location, method of pancreaticojejunostomy, and neo-CRT for operative morbidity and pancreatic leak were assessed with the
2 test with or without Fishers exact test for categorical variables and Students t-test for continuous variables. Multivariate analysis of these factors was performed with logistic regression software (SAS, version 8.2; SAS Institute, Cary, NC).
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RESULTS
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Demographics
The pathologic diagnoses of the patients with periampullary malignancy (n = 146) who underwent PD are listed in Table 1
. The sex, age, underlying comorbidities, operative blood loss, preoperative biliary status, and technique of pancreaticojejunostomy are listed in Table 2
. There was not a significant difference in median age, sex, technique of pancreaticojejunostomy, or median blood loss between the neo-CRT and conventional groups. Patients with benign disease were younger, with a median age of 53 years. The number of people with diabetes mellitus was significantly higher in the neo-CRT group when compared with the conventional group (18 vs. 6, respectively; P < .05). A significant difference also existed in the preoperative total plasma bilirubin level (.6 mg/dL in the neoadjuvant group and 1.1 mg/dL in the conventional group; P < .001). This difference correlated with the significantly greater rate of pre-operative biliary drainage in the neo-CRT group in comparison to the conventional group (91% vs. 76%, respectively; P = .01). The number of PDs performed each year stratified by benign disease and treatment group for malignant disease is shown in Fig. 1
.

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FIG. 1. Distribution of patient volume during 1995 to 2003 at a single tertiary care university hospital. There was no significant difference in volume between the groups in any given year. Neo-CRT, neoadjuvant chemoradiotherapy.
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The median postoperative length of stay, operative mortality, total (surgical and nonsurgical) morbidity, and reoperation and readmission rates are listed in Table 3
. There was no significant difference in these five variables when the neo-CRT group was compared with the conventional group. Although there was no significant difference in operative mortality between the neo-CRT (3.8%) and conventional (4.5%) groups, the cause of death was different. The three deaths in the neoadjuvant group were all due to nonsurgical complications, such as heart disease or pneumonia. However, two out of three deaths in the conventional group were sequelae of pancreatic leak and sepsis.
Operative Morbidity
Fourteen surgical complications were characterized and quantified, including delayed gastric emptying, pancreatic leak, intra-abdominal abscess, sterile intra-abdominal fluid collection, bile leak, cholangitis, gastrojejunostomy leak, intestinal obstruction, gastrointestinal bleeding, bleeding of nongastrointestinal origin, wound-related complications, enterocutaneous fistula, and chyle leak (Table 4
). The neo-CRT group had a lower overall rate of surgical complications in comparison to the conventional group. However, this was not statistically significant (65.8% vs. 77.6%, respectively; P = .11). In comparison with the conventional group, the neo-CRT group did have a significantly lower rate of pancreatic leak (10.1% vs. 43.3%; P < .001) and intra-abdominal abscess (8.8% vs. 20.9%; P < .03).
The nonsurgical complication rate was not significantly different between the neo-CRT and conventional groups (20.3% vs. 20.9%, respectively; P = .92; Table 5
). As a whole, operative morbidity (surgical and nonsurgical) was also not significantly different between the two groups (74.4% vs. 79.1%; P = .53).
Factors Associated With Operative Morbidity
In patients with periampullary malignancy (n = 146), age, sex, underlying comorbidities (diabetes and coronary artery disease), preoperative total bilirubin, intraoperative blood loss, the technique of pancreaticojejunostomy, and neo-CRT were put into the analysis for association with operative morbidity. In both univariate and multivariate analysis and logistic regression, only male sex was significant (odds ratio, 2.19; P < .05).
When tumor location was added into the univariate analysis of pancreatic leak, origination of the tumor at the pancreatic head correlated with a significantly higher leak rate in the conventional group compared with the neo-CRT group (24.1% vs. 4.8%, respectively; P = .006). Origination of the tumor at the ampulla of Vater did not have a significantly demonstrable difference between groups. Within the neo-CRT group, there was a significantly higher rate of leak when the tumor was located in the ampulla in comparison to the pancreatic head (36.4% vs. 4.8%, respectively; P = .001). This also bears out within the conventional group (ampulla, 52.6%; pancreatic head, 24.1%; P = .04; Table 6
).
The technique of pancreaticojejunostomy was evaluated with respect to pancreatic leak. The duct-to-mucosa method (leak rate, 17%) proved to be superior to the invagination method (leak rate, 35.9%; P = .02) in both groups. Patients within the neo-CRT group did not have a significant difference in leak rate, whereas those in the conventional group who underwent duct-to-mucosa anastomosis had a significantly lower leak rate (P = .03; Table 7
).
Analysis via logistic regression revealed that neo-adjuvant therapy (odds ratio, .16; P < .001) and tumor location/ampullary origin (odds ratio, 2.58; P = .047) were significant variables for pancreatic leak. The technique of duct-to-mucosa method had an odds ratio of .46, but this was not statistically significant (P = .078).
Patients with a pancreatic leak were graded on a clinical severity scale into four grades: grade A, spontaneous healing of amylase-rich fluid with drains inserted during initial PD operation without a need for further procedures; grade B, amylase-rich intra-abdominal abscess or inadequate drainage of a previously placed surgical drain necessitating radiological-guided drainage; grade C, bleeding complication, enterocutaneous fistula, or persistent fistula necessitating operative intervention; and grade D, leak or fistula directly contributing to mortality. Grades C and D were classified as major leaks. Under these definitions, comparison of the neoadjuvant group with the conventional group is shown in Fig. 2
. The severity of pancreatic leak was less in the neo-adjuvant group.

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FIG. 2. Grading of the severity of pancreatic leak according to clinical significance (see text for definitions). The neoadjuvant chemoradiotherapy (neo-CRT) group had a trend toward a decreased severity of pancreatic leak.
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There were more intra-abdominal abscesses associated with the conventional group than with the neo-CRT group, as shown in Table 8
. It was also observed that a greater proportion of abscesses in the conventional group were amylase rich, whereas most abscesses in the neo-CRT group were amylase poor. It should be noted that amylase data for three patients in the conventional were not available at the time of the study. In addition, coexisting pancreatic leaks were more frequent in the conventional group.
The number of patients undergoing reoperation was the same in both the neo-CRT (n = 9) and conventional (n = 9) groups. However, the reason for operative intervention was different. Most PD patients in the conventional group underwent an additional operation as a sequela of their pancreatic leak, whereas none of the neo-CRT patients required reoperation secondary to the pancreatic leak. The neo-CRT patients required reoperations for bleeding, obstruction, and nonpancreatic fistulas. Comparison of causes of reoperation is shown in Table 9
.
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DISCUSSION
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PD is the mainstay of treatment for periampullary tumors, including those in the pancreatic head and ampulla of Vater. Adjuvant therapy and, more recently, neoadjuvant therapy have been applied to improve survival in periampullary malignancy. The effects of neoadjuvant therapy on operative morbidity and mortality of PD were evaluated in this study. The data demonstrate a beneficial affect of neo-CRT by reducing the incidence of pancreatic leak and its related morbidities, such as intra-abdominal abscess. It was also shown that a higher incidence of pancreatic leak is associated with tumors resected from the ampulla of Vater than with tumors resected from the head of the pancreas. This difference was abrogated by neoadjuvant therapy. In addition, the reduction in pancreatic leak observed from performing a duct-to-mucosa anastomosis was also attenuated by neoadjuvant therapy. The overall mortality was <5% and is consistent with that in most high-volume centers.
The overall morbidity from a PD remains high, approaching 40% to 50%. Leak from the pancreatic anastomosis continues to be a major cause of morbidity from PD and is second only to delayed gastric emptying in terms of causes of morbidity. A variety of techniques for pancreatic anastomosis have been described and debated in the literature in an effort to curb the leak rate.6,1015 These include duct-to-mucosa versus invagination pancreaticojejunostomy, pancreaticogastrostomy, and the utility of stenting and Octreotide (Novartis, East Hanover, NJ). It has been reported in previous studies that the technique of duct-to-mucosa anastomosis is superior to the invagination method, and this is becoming the preferred method for many pancreatic surgeons.10 Nevertheless, pancreatic leak/fistula rates remain highly variable (1.6%25%). This wide variability may be the direct result of the lack of a uniformly accepted definition of a pancreatic leak or fistula. Definitions include drainage of fluid with an amylase concentration greater than three times normal, radiographic demonstration, and >50 mL of amylase-rich fluid per day through the surgically placed drains on or after postoperative day 10.9,1425 There is also a subtle difference between a leak and a fistula that in most studies is overlooked, and the terms are used interchangeably. The lack of standardized definitions for leaks and fistulas makes comparisons within the literature challenging. Table 10
lists some of the more common definitions of pancreatic leak and fistula used in reported series and the respective leak/fistula rate reported. In this series, a liberal definition of pancreatic leak was chosen to allow for a more thorough analysis between the neo-CRT PD and conventional PD groups. In our retrospective design, we defined pancreatic leak as an amylase level of any drainage or aspirated fluid that was three times the serum level. Use of a more inclusive rather than an exclusive or more clinically relevant definition permitted for scrutiny of our data and highlighted areas in which further investigations may be warranted.
The relationship of a pancreatic leak and an intra-abdominal abscess is also controversial. It has been suggested that anastomotic failure should encompass the sum of pancreatic fistulas and intra-abdominal abscesses.15 This is currently not the standard, and most surgeons routinely check the amylase content of drain output, which can differentiate the two. Postoperative Octreotide was not routinely used in this series, and it has not been shown by many series to prevent pancreatic leak or fistula. Pancreaticojejunostomy was the major method of pancreatic anastomosis. Surgeons had their preference of anastomosis methods: duct-to-mucosa or invagination. Patients with resection of a pancreatic head adenocarcinoma had a leak rate of 11%, which is consistent with the literature.10 However, the leak rate increases dramatically to nearly 50% in patients undergoing PD for an ampullary malignancy. This phenomenon is not new and most likely is due to the surrounding pancreatitis/firmer gland and dilated duct seen with pancreatic head cancers. In both instances, the leak rate was less when neo-CRT was administered. Patients who underwent PD for pancreatic adenocarcinoma of the head after neo-CRT had a leak rate of 4.8%, which is lower than previously reported rates.
Ampullary cancer has been shown to be associated with a higher pancreatic fistula rate than pancreatic head cancer.7,32,33 In one series that defined pancreatic leak as drainage of >30 mL of amylase-rich fluid from intraoperatively placed closed-suction drains after the fifth postoperative day, a pancreatic fistula rate of 21.8% was observed for ampullary cancer and 6% for pancreatic head cancer.32 Another series reported similar results, with a pancreatic fistula rate of 25% for ampullary cancer and 14% for PD overall.33 Although the definition of pancreatic leak was different in this study, the results are comparable.
Another observation from this analysis was that the duct-to-mucosa pancreaticojejunostomy had a decreased rate of pancreatic leak in both the conventional and neo-CRT groups, although it was not statistically significant in the neo-CRT group. Collectively, the duct-to-mucosa leak rate was 17%, and the invagination leak rate was 35.9%. It is interesting to note that neo-CRT decreased the pancreatic leak rate for the invagination method from 55.8% to 13.3%. This suggests that neo-CRT may provide some protection from pancreatic leak that is independent of the technique of anastomosis. This may indicate a role for neo-CRT in patients who are at high risk for a leak. For example, this study would imply that patients with a malignancy of the ampulla of Vater may benefit from neo-CRT and a duct-to-mucosa anastomosis.
Univariate analysis and logistic regression revealed that neo-CRT was the most important protective factor from pancreatic leak. Experience with neo-CRT in rectal cancer shows an increase in operative time, blood loss, and pelvic abscess but no increase in the anastomotic leak rate.34 Ishikawa et al.5 were the first to suggest that preoperative radiotherapy may prevent pancreatic fistula formation after PD. In that series, 22 of 76 patients received 50 Gy of external-beam irradiation before surgery, and only 1 (5%) of these patients developed a pancreatic fistula. In comparison, 10 (19%) of the 54 patients who did not receive preoperative radiation developed a pancreatic fistula. Another study compared 46 (42%) of 110 patients who received preoperative 5-fluorouracilbased chemoradiation with 64 patients who did not have preoperative chemoradiation; this study found pancreatic leak rates of 7% and 11%, respectively.6 Hence, there is no consensus as to the beneficial affect of neo-CRT on pancreatic leak or fistula formation.
The pancreatic leakassociated mortality was also less in the neo-CRT group. No deaths were related to the pancreatic leak in the neo-CRT group, whereas two of three deaths in the conventional group were directly related to leak-associated sepsis. Although the sample size is too small to draw any conclusions from, it does follow a trend that neo-CRT offers some protection from the severity of the leak. As described previously, the severity of the pancreatic leak was graded. In the neo-CRT group, all were classified as minor, either grade A or B. By contrast, the conventional group had 18 minor (grade A or B) and 7 major (grade C or D) leaks. Thus, not only did the conventional group have a higher pancreatic leak rate, but also the severity of the leak was considerably greater. This also demonstrates a protective role from pancreatic leak afforded by neo-CRT.
In conclusion, neo-CRT does not increase the surgical mortality or morbidity of PD. It does not alter the postoperative length of stay or readmission rate in comparison to conventional PD without prior chemoradiation. However, the data do show that neo-CRT was associated with a marked reduction in the incidence of pancreatic leak, as well as leak-associated morbidity. Furthermore, the increased risk of pancreatic leak seen with an ampulla of Vater malignancy and the use of an invagination pancreaticojejunostomy was abrogated by the use of neo-CRT. These data highlight the need for a prospective, randomized trial that would evaluate the affect of neo-CRT on the morbidity and mortality of a PD. In the interim, this study demonstrates that neoadjuvant therapy may offer some benefit in decreasing the incidence of complications associated with PD, namely, pancreatic leak and its concomitant morbidities.
Received for publication February 7, 2005.
Accepted for publication August 1, 2005.
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