Background Among patients who have undergone high-risk operationsfor cancer, postoperative mortality rates are often lower athospitals where more of these procedures are performed. We undertooka population-based study to estimate the extent to which thenumber of procedures performed at a hospital (hospital volume)is associated with survival after resection for lung cancer.
Methods We studied patients 65 years old or older who receiveda diagnosis of stage I, II, or IIIA nonsmall-cell lungcancer between 1985 and 1996, resided in 1 of the 10 study areascovered by the Surveillance, Epidemiology, and End Results Program,and underwent surgery at a hospital that participates in theNationwide Inpatient Sample (2118 patients and 76 hospitals).
Results The volume of procedures at the hospital was positivelyassociated with the survival of patients (P<0.001). Fiveyears after surgery, 44 percent of patients who underwent operationsat the hospitals with the highest volume were alive, as comparedwith 33 percent of those who underwent operations at the hospitalswith the lowest volume. Patients at the highest-volume hospitalsalso had lower rates of postoperative complications (20 percentvs. 44 percent) and lower 30-day mortality (3 percent vs. 6percent) than those at the lowest-volume hospitals.
Conclusions Patients who undergo resection for lung cancer athospitals that perform large numbers of such procedures arelikely to survive longer than patients who have such surgeryat hospitals with a low volume of lung-resection procedures.
An association between the number of operations for cancer performedat a hospital (hospital volume) and the outcome of those operationshas been shown for esophagectomy and pancreatectomy,1,2,3 aswell as for operations for breast cancer, colon cancer, andprostate cancer.4,5,6,7,8,9,10,11 There is, however, incompleteevidence concerning this association in the case of surgeryfor lung cancer. Neither Khuri and colleagues12 nor Begg etal.1 (who focused exclusively on pneumectomy) found a significanttrend toward lower 30-day mortality at hospitals with high volumesof lung-cancer operations. Romano and Mark, however, found thatin-hospital mortality rates were significantly lower after resectionsfor lung cancer at hospitals with high volumes of the procedure.13
In this study of the relation between hospital volume and outcomeafter surgery for lung cancer, we examined the rates of survivaland postoperative complications in both teaching and nonteachinghospitals.14,15
Methods
Sources of Data
The Surveillance, Epidemiology, and End Results Program and Medicare
Patients were identified from the Surveillance, Epidemiology,and Ends Results (SEER) Cancer Registries, which have been linkedto data on Medicare hospitalizations. The SEER data base containsdetailed information on all newly diagnosed cases of cancerin five metropolitan areas (San Francisco, Oakland, and SanJose, California; Detroit; Atlanta; Seattle; and Los AngelesCounty) and five states (Connecticut, Utah, New Mexico, Iowa,and Hawaii).16 The Medicare data base contains information onhospital-discharge diagnoses from 1984 onward and informationon the dates of death of the participants who have died.
We determined from the SEER data base the following characteristicsof patients: sex, race, age at diagnosis, and stage of cancer(patients with unknown nodal status were excluded). We assigneda socioeconomic status to patients on the basis of the medianincome in the ZIP Code of residence (obtained from the 1990U.S. Census). We used the International Classification of Diseases,9th Revision, Clinical Modification (ICD-9-CM)17 discharge codesfrom the admission during which surgery was performed to determineboth the extent of chronic illness as measured by the Romanomodification18 of the Charlson comorbidity index19 and the operationthat was performed: partial lobectomy (wedge or segmental resection,ICD-9-CM code 32.2 or 32.3), lobectomy (ICD-9-CM code 32.1 or32.4), or pneumonectomy (ICD-9-CM code 32.5 or 32.6).
The Nationwide Inpatient Sample
Hospitals were identified from the Nationwide Inpatient Sample(NIS).20 The NIS consists of a stratified random sample of 1012hospitals in 22 states; data from 5 of these states (California,Connecticut, Iowa, Utah, and Washington) overlap with thosefrom SEER regions and include American Hospital Association(AHA) hospital identifiers that make linkage between the twodata bases possible. The NIS contains complete data on dischargesfrom each participating hospital and reports the teaching statusand type of location (urban or nonurban) of the hospital. Weassigned to each hospital the characteristics and the annualvolume of procedures that were documented for the 1997 dischargesin the NIS. To calculate the volume of procedures, we countedthe number of patients whose records indicated a diagnosis oflung cancer (principal NIS diagnosis code, 19) and the performanceof lung resection (principal NIS procedure code, 36).
Study Patients
We analyzed data on 2118 patients in the SEERMedicaredata base who received a diagnosis of lung cancer between 1985and 1996 and who underwent resection for lung cancer at 1 of76 hospitals included in the NIS for 1997. These patients weredrawn from the 12,921 patients 65 years old or older who residedin 1 of the 10 areas covered by the SEER data base and who metthe following requirements: a diagnosis of primary cancer ofthe lung (International Classification of Diseases for Oncology,2nd edition21 [ICD-O-2] codes 34.0 through 34.9) between 1985and 1996, with nonsmall-cell histologic features (ICD-O-2morphology [M] codes other than 8000, 8002, 8041 through 8045,8240, 8241, 8244, and 8246); stage I, II, or IIIA disease accordingto the criteria of the American Joint Committee on Cancer Staging22,23;indemnity insurance through the Medicare program; and lung resectionwithin four months after diagnosis. The hospitals were drawnfrom the pool of 1012 hospitals that participate in the NIS,in 423 of which at least one operation for lung cancer was performedin 1997. The patients and hospitals we studied had characteristicssimilar to those in the parent data bases (Table 1), with theexception that more hospitals in our study were investor-ownedrather than not-for-profit.
Table 1. Characteristics of the Patients Identified through the SEERMedicare Data Base and of the Hospitals Identified from the Nationwide Inpatient Sample That Were Included in or Excluded from the Study.
Analyses of the Entire SEERMedicare Cohort
The principal advantage of using the NIS to ascertain the volumeof procedures is that it contains a count of the actual numberof lung-cancer operations performed during one year at eachhospital, but major disadvantages are that only a small proportionof the patients covered by the SEERMedicare data baseunderwent their procedures at a facility that participated inthe NIS and that the 1997 NIS data do not cover the same periodas the SEERMedicare data we used. We chose to use theNIS data because they allowed us to express results in termsof the actual volume of procedures. We also repeated all theanalyses using the entire SEERMedicare cohort, and whenrelevant, we report summary statistics and P values from theseanalyses, for which the characteristics of the hospitals werederived from the 1993 AHA data base.
Outcomes after Resection for Lung Cancer
We assessed survival and the frequency of postoperative complicationsafter resection for lung cancer. We evaluated the absolute durationof survival from the date of hospitalization for surgery tothe date of death as reported to Medicare, as well as the likelihoodof survival at 30 days and 2 years. Records of deaths are completethrough December 31, 1994, for patients with lung cancer diagnosedbefore 1991 and through December 31, 1998, for those with lungcancer diagnosed between 1991 and 1996. The follow-up for allpatients was at least two years. For the patients who were stillalive, data were censored as of these dates.
The frequency of postoperative complications and the lengthof stay after the admission for surgery were determined on thebasis of claims in the Medicare file.24,25 We separated seriousacute complications into surgical and pulmonary complications.Surgical complications included pneumothorax, pulmonary collapse,and accidental puncture, damage, or contamination of the surgicalsite (ICD-9-CM codes 512.0, 512.1, 512.8, 518, 518.1, 998.2through 998.81, E870.0, and E871.0); pulmonary complicationsincluded new-onset pulmonary insufficiency and respiratory arrest(ICD-9-CM codes 518.5, 518.81, 518.82, 799.1, and 997.3). Thisgroup of diagnoses is distinct from those used to calculatethe RomanoCharlson index, which we used to measure comorbidity.The latter index focuses on chronic illnesses such as congestiveheart failure (ICD-9-CM codes 402 through 404), liver disease(ICD-9-CM code 572), and chronic obstructive pulmonary disease(ICD-9-CM codes 415.0, 416.8, 416.9, 491 through 494, and 496).
Statistical Analysis
The results are presented according to category of the hospital'svolume of procedures exclusively for purposes of illustration.In all the statistical tests, the volume was considered as acontinuous measure, and variances were adjusted to correct forthe fact that these data include multiple observations fromsome hospitals. Categorical outcomes (30-day survival, 2-yearsurvival, presence or absence of complications, and characteristicsof the hospitals and the patients) were assessed by means ofa modified version of the MantelHaenszel test for trendin all unadjusted analyses and by a method involving generalizedestimating equations for all analyses that included other covariates.26,27,28The association between the length of stay and the volume ofprocedures was assessed by means of the rank-correlation test.Survival data were assessed by means of a Cox proportional-hazardsmodel in which we adjusted the variance using the Robust macrodeveloped for use with SAS software (SAS Institute, Cary, N.C.).29All analyses were performed with SAS software, version 8.0.All P values are two-sided. The categorizations of the covariatesincluded in the models are reflected in Table 2, and the particularcovariates included in each model are specified in Table 3 andTable 4.
Table 2. Characteristics of the 76 Hospitals Studied, According to the Volume of Lung-Cancer Resections Performed during 1997, and of 2118 Medicare Beneficiaries with Stage I, II, or IIIA NonSmall-Cell Lung Cancer Who Underwent Lung-Cancer Resection between 1985 and 1996 at One of These Hospitals.
Table 4. Relation between the Volume of Procedures, Complications, and Survival after Operations for Primary Lung Cancer.
Results
Characteristics of the Hospitals
For the purpose of illustration, the hospitals are categorizedaccording to the number of lung-cancer operations performedin 1997 (Table 2). In nearly half the hospitals (34 of 76),fewer than nine lung-cancer operations were performed in thatyear. In contrast, at 16 of the 76 hospitals (21 percent) 20to 66 procedures were performed in 1997, and at 2 hospitals(3 percent) 67 to 100 were performed. Hospitals in which highernumbers of lung-cancer operations were performed tended to beteaching hospitals in urban locations. There were no significanttrends that associated the volume of procedures with the characteristicsof the patients listed in Table 2.
The Relation between Volume and Outcome
The 30-day, 2-year, and overall rates of survival were all significantlyassociated with the volume of procedures (Table 3). The mostimportant difference between high-volume and low-volume hospitalswas in overall survival. The rate of survival at five yearswas 44 percent among patients who underwent resection at eitherof the two hospitals with the highest volume of procedures and33 percent among patients who had surgery at a hospital in whichfewer than nine operations were performed in 1997. An analysisof the entire SEERMedicare cohort demonstrated a significantbut more limited difference (7 percentage points; P<0.001)in five-year survival between the hospitals with the lowestvolume (36 percent) and those with the highest volume (43 percent).We also observed that for each increment in the procedure-volumecategory, overall survival improved both in absolute terms (Figure 1)and within analyses that adjusted for other factors thatinfluence survival (Table 3).
Figure 1. Survival of Medicare Beneficiaries 65 Years of Age or Older Who Received a Diagnosis of Stage I, II, or IIIA NonSmall-Cell Lung Cancer between 1985 and 1996 and Underwent Resection for Lung Cancer, According to the Volume of Such Procedures Performed Annually at the Hospitals Where the Patients Were Treated.
Procedure volume was determined on the basis of data from the 1997 Nationwide Inpatient Sample. A total of 2118 patients were included in the analysis.
The Relation among Teaching Status, Volume, and Survival
Overall, the rate of five-year survival among patients who underwentsurgery at a teaching hospital was 42 percent, as compared with34 percent among those at nonteaching hospitals (P<0.001).After stratifying hospitals according to their volume of procedures,we also observed a relation between the rate of survival andthe volume of procedures in teaching hospitals in particular(Table 3).
Postoperative Complications
We found a strong negative association between the volume ofthe procedures and the likelihood of either operative (P<0.001)or pulmonary (P=0.002) complications (Table 4), with complicationrates that were twice as high at hospitals with the lowest volumeas at those with the highest volume. We also observed a relationbetween longer hospital stays and hospitals with lower volume(Table 4). Although this latter association is unlikely to beclinically significant, it supports our hypothesis that thepostoperative course at hospitals with lower volumes is, onaverage, more complex. The primary association between hospitalvolume and survival was only marginally altered when we simultaneouslyconsidered the effect of complications on survival through eitherstratified or multivariate analyses (Table 4). In other words,these results are not consistent with the hypothesis that differencesin complication rates are the chief explanation for the relationbetween volume and survival.
Discussion
We found a rate of survival at five years that was higher by11 percentage points (44 percent vs. 33 percent) among patientswho underwent resections for lung cancer at hospitals with thehighest volumes of such procedures than among those at the hospitalswith the lowest volumes. Moreover, regardless of the volumeof procedures, the rate of survival was better among patientswho had their operations at teaching hospitals rather than nonteachinghospitals, although this finding did not confound the relationbetween volume and outcome.
Serious postoperative complications occurred at the hospitalswith the lowest volume twice as often as at those with the highestvolume (44 percent vs. 20 percent). It seemed plausible thatthese higher rates of complications might explain the relationbetween the hospital's volume of procedures and long-term survival.However, the complications we identified in the Medicare filesonly partially explained the association between high volumeand a higher rate of overall survival. Whether a clearer picturewould have emerged if we had more complete documentation ofpostoperative events (such as can be obtained through a reviewof patients' charts) remains an open question.
Our study has other limitations because of the incompletenessof the data on the hospitals and the patients included in NIS,Medicare, and the SEER data base. The hospitals included inthe 1997 NIS are characterized simply as teaching or nonteaching,belying the complex array of organizational frameworks thatexists. The 1997 data may also have limited relevance to patientswho entered the cohort in the earlier years of our study. Incompletedata on adjuvant treatment and miscoded data on coexisting conditions(both potential problems with Medicare records) are also mattersof concern. The lack of data on adjuvant treatment, however,should not have affected our results for two reasons. First,randomized trials have not demonstrated a consistent survivalbenefit for patients with stage I or stage II disease a category that includes 89 percent of the patients in our study.30,31Second, in a separate analysis of patients with early-stagedisease, the results were similar to those in the cohort asa whole (data not shown).32
As for miscoding or incomplete coding of coexisting conditions,33there were no discernible differences between the groups ofpatients in the characteristics we measured (Table 2), whichlessens the likelihood that unobserved differences in thesefactors are an important source of bias. The staging informationin the SEER data base may also have biased our results, especiallybecause the sampling of mediastinal lymph nodes may be morethorough in hospitals with high volumes of procedures than inthose with low volumes. However, among patients with stage IA(T1N0M0) disease who had undergone lobectomy (17 percent ofthe cohort), the relation between the volume of procedures andfive-year survival was of the same magnitude as that in theentire cohort (data not shown). In this subgroup of patients,we know that the stage was probably ascertained correctly. Atleast one N1 node was examined, and the likelihood of a "skip"metastasis to the N2 node is very low (4 to 8 percent in mostreports).34,35
How should we react to these findings? Survival might be improvedby identifying the variations in perioperative and intraoperativecare that are responsible for the differences we found. A studyin which an association between volume and outcome was identifiedin the care of patients with myocardial infarction found thatdifferential use of aspirin, beta-blockers, and other therapiesaccounted for some of the differences in outcome that appearedto be linked to the volume of procedures.36 An alternative responseto our results would be to limit the performance of resectionsfor lung cancer to centers with better outcomes. This approachhas been endorsed by a number of investigators,37,38,39,40 aswell as in a recent report from the Institute of Medicine onthe quality of care for cancer in the United States.41
We hesitate to advocate this latter approach for three reasons.First, shifting surgical patients to a few institutions withhigh volumes of procedures may have unintended effects on thequality of care both at those institutions, which would facesubstantial increases in the volume of patients, and at theinstitutions with low volumes, where the care of the remainingpatients might suffer. Second, increased volume and the teachingstatus of the hospital appear to be markers of improved outcome,but these characteristics do not, in isolation, identify individualhigh-quality hospitals.42 Finally, the association we observedbetween the volume of procedures and postoperative complicationshints at the possibility that rectifiable variations in caremay account for differences in outcome. Targeting these variationsmay be the best way to achieve a durable improvement in thetreatment of patients with early-stage lung cancer.
Supported by a grant (RO1-CA-090226, to Dr. Bach) from the NationalCancer Institute.
We are indebted to the staffs of the Applied Research Program,National Cancer Institute; the Office of Information Servicesand the Office of Strategic Planning, Health Care FinancingAdministration; Information Management Services; the SEER Programtumor registries that created the SEERMedicare data base;and the Healthcare Cost and Utilization Project, 1988 through1997, that created the Nationwide Inpatient Sample; to LarryKaiser and Joan Warren for their thoughtful input; and to SherylRifas-Shiman and Sofia Yakren for their dedicated assistance.The interpretation and reporting of the data are the sole responsibilityof the authors.
Source Information
From the Health Outcomes Research Group, the Departments of Epidemiology and Biostatistics (P.B.B., L.D.C., D.S., S.E.G., C.B.B.), Medicine (P.B.B., D.S.), and Surgery (R.J.D.), Memorial Sloan-Kettering Cancer Center, New York.
Address reprint requests to Dr. Bach at the Health Outcomes Research Group, Department of Epidemiology and Biostatistics, Memorial Sloan-Kettering Cancer Center, 1275 York Ave., Box 221, New York, NY 10021.
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