Sentinel Node Biopsy and Axillary Dissection
Hiram S. Cody, III
In the pregenomic era, axillary lymph node status was the most important prognostic factor for patients with operable breast cancer and consequently the goals of axillary surgery have been (1) staging/prognostication, (2) local control, and (3) arguably, a small survival benefit. For these purposes, axillary lymph node dissection (ALND) has been the gold standard for most of the 20th century, but since the mid-1990s has largely given way to sentinel lymph node biopsy (SLNB). Here we will review the historic background of ALND and SLNB, the indications for each procedure, and the operative techniques.
History
Jean Louis Petit (1674 to 1750), director of the French Surgical Academy, was probably the first surgeon to articulate a unified concept for breast cancer surgery (1). He emphasized the importance of an en bloc resection of the breast and axillary nodes, but his insight came too early: Although breast cancer had been considered surgically incurable for most of the 19th century, Halsted’s landmark 1894 (2) and 1907 (3) reports of his meticulous technique for “radical mastectomy” (RM)—including removal of the breast, pectoral muscles, and axillary contents—demonstrated a reduction in local recurrence (LR) and apparent cure for about one-third of patients. The concept that minimizing LR would maximize survival made RM the standard operation for the next 70 years despite later reports of more radical (extended RM) (4) or less radical (modified RM) (5) techniques. In the “Halstedian” era, the goal was to maximize cure by minimizing local failure.
In the 1970s, Fisher proposed that breast cancer was a systemic disease from the outset and that survival was largely a function of tumor biology, not extent of surgery (6). The “Fisher hypothesis” was first tested in the National Surgical Adjuvant Breast and Bowel Project (NSABP) B-04 randomized trial (1971 to 1974). At 25 years’ follow-up (7), variations in extent of axillary surgery for mastectomy patients with clinically node-positive breast cancer (RM vs. total mastectomy/radiotherapy [RT]) or clinically node-negative disease (RM vs. total mastectomy/RT vs. total mastectomy alone) yielded no differences in any category of survival. B-04 did confirm the overwhelming prognostic significance of axillary node metastasis, and ALND was incorporated into all subsequent NSABP trials for invasive breast cancer, including NSABP B-06, in which survival at 20 years (8) was comparable for mastectomy versus breast-conserving surgery. In the “Fisher” era, the primary goal of ALND was prognostication to guide systemic therapy, a secondary objective was local control, and a survival benefit was unproved.
We now know that both Halsted and Fisher were right. A remarkable series of meta-analyses from the Early Breast Cancer Trialists’ Collaborative Group (EBCTCG) confirms that breast cancer is a family of diseases with a wide spectrum of behavior (9), ranging from predominantly local (Halsted) to predominantly systemic (Fisher) phenotypes. First, the EBCTCG showed that local control and survival are related (42,000 women in 78 randomized trials) and estimated that for every four LRs prevented, one life would be saved (10). Second, they confirmed that there is no survival advantage for more radical versus less radical versions of mastectomy (3,400 women in nine trials) or for mastectomy versus breast conservation (3,100 women in seven trials) (11). Finally, they demonstrated an incremental survival benefit from the addition of systemic adjuvant therapy (chemo- or hormonal) to local treatment (8,000 to 33,000 women in six separate meta-analyses comprising 194 trials) (12). These results highlight the multidisciplinary nature of contemporary breast cancer treatment and the importance of collaboration among the disciplines of surgical, medical, and radiation oncology.
The SLN concept, first articulated by Cabanas in 1977 (13) for penile cancer and independently by Morton et al. in 1992 (14) for melanoma, is that (a) the first—or first few—regional lymph nodes draining a tumor site could predict the status of that regional node basin, (b) these nodes could be reliably mapped by injections of radiotracer and/or dye, and (c) SLN-negative patients might thereby avoid the added morbidity of regional node dissection. Krag et al. (15) in 1993 (using isotope mapping) and Giuliano et al. (16) in 1994 (using blue dye) were the first to report SLNB for breast cancer. Since then, an
extensive literature covering all aspects of the procedure and including seven randomized trials comparing SLNB with ALND has confirmed that the morbidity of SLNB is less than that of ALND, that staging accuracy is at least equivalent, and that for SLN-negative patients survival and other disease-related adverse events are comparable on long-term follow-up (17). It is now also clear that many patients with positive SLN do not require ALND; in the landmark ACOSOG Z0011 trial (18), patients with cT1–2N0 breast cancers, 1–2 hematoxylin and eosin (H&E)–positive SLN, and treated with breast conservation including whole-breast RT were randomized to SLNB alone versus SLNB plus ALND. At 10 years follow-up (19) there were no differences in any category of survival or in the rates of local, regional node or distant recurrence, even though additional positive nodes were found in 27% of ALND specimens. The International Breast Cancer Study Group (IBCSG) Trial 23–01 (20) similarly randomized patients with SLN micrometastases to SLNB versus SLNB with ALND, and at 10 years found no advantage for ALND.
extensive literature covering all aspects of the procedure and including seven randomized trials comparing SLNB with ALND has confirmed that the morbidity of SLNB is less than that of ALND, that staging accuracy is at least equivalent, and that for SLN-negative patients survival and other disease-related adverse events are comparable on long-term follow-up (17). It is now also clear that many patients with positive SLN do not require ALND; in the landmark ACOSOG Z0011 trial (18), patients with cT1–2N0 breast cancers, 1–2 hematoxylin and eosin (H&E)–positive SLN, and treated with breast conservation including whole-breast RT were randomized to SLNB alone versus SLNB plus ALND. At 10 years follow-up (19) there were no differences in any category of survival or in the rates of local, regional node or distant recurrence, even though additional positive nodes were found in 27% of ALND specimens. The International Breast Cancer Study Group (IBCSG) Trial 23–01 (20) similarly randomized patients with SLN micrometastases to SLNB versus SLNB with ALND, and at 10 years found no advantage for ALND.
Case Selection for SLNB
Early in the SLN era there were many putative contraindications to the procedure and much concern about the “learning curve” during which one’s early experience with SLNB should be validated by a planned “backup” ALND. It is now clear that SLNB is suitable for virtually all patients with cN0 operable invasive breast cancers and that—using standardized techniques—the “learning curve” is as short as one case (21). SLNB is also indicated for patients with ductal carcinoma in situ (DCIS) who require mastectomy (or for whom invasion is suspected based on the presence of a mass) and for patients with clinically suspicious nodes but a nondiagnostic needle biopsy. SLNB is indicated for patients who are cN0 but node positive on FNA or core biopsy, 50% of whom in our own experience (22) had 1 to 2 positive SLNs, meeting Z0011 criteria and avoiding ALND. SLNB is indicated for patients who are cN0 following neoadjuvant chemotherapy, whether they were node negative (23) or node positive, upfront (24). SLNB is reasonable but admittedly very low yield for prophylactic mastectomy, where invasive cancer will be found in a few percent of patients. SLNB is feasible in patients with locally recurrent breast cancer and prior axillary surgery (25), especially if fewer than 10 nodes were removed in a prior SLNB or ALND, but the benefit of “reoperative SLNB” is unproved (26). Finally, prior aesthetic breast surgery, augmentation or reduction, is not a contraindication to SLNB (27,28).
Technique of SLNB
SLNB requires close collaboration among the disciplines of nuclear medicine, surgery, and pathology and although SLNB works well with a variety of techniques, each institution will want to develop its own specialty-specific consensus protocols. The following represents the SLNB literature as a whole and our own institutional experience with more than 25,000 procedures since 1995.
Nuclear Medicine
The success of SLNB is maximized, and the false-negative rate is minimized, by the combination of radioisotope and blue dye, but radioisotope accounts for the greatest proportion of this success, and with experience the marginal benefit of blue dye diminishes (29,30). The isotope of choice is technetium (Tc99m) bound to a variety of carriers, most commonly sulfur colloid (United States), colloidal albumin (Europe), and antimony (Australia). Novel carriers and nonradioactive techniques (fluorescence, ultrasound microbubbles, and magnetic particles) (31) report mapping success comparable to legacy agents.
There is no standardization of isotope dose, particle size, volume of injectate, timing of injection, or site of injection, and many methods appear to work well. Our preference (32) is to inject 0.1 mCi (3.7 MBq) of unfiltered Tc99m–sulfur colloid on the morning of surgery or 0.5 mCi (18.5 MBq) the day before. With this protocol, which allows for radioactive decay (the half-life of Tc99m is 6 hours) we have observed equivalent results with same-day or day-before isotope (33). It appears that the performance of unfiltered and filtered isotope preparations is similar.
We inject a volume of 0.05 cc; this has the advantage of leaving a very small “hot spot” on the breast, so as not to overshadow the axilla in patients with upper outer quadrant tumors. We inject intradermally at a single site over the tumor, having found this technique superior to parenchymal or peritumoral injection. These results have been independently confirmed in a randomized trial by Povoski et al. (34) and in the large multicenter Louisville Sentinel Node Trial (35): superficial injections (intradermal, subdermal, or subareolar) were more successful than parenchymal (peritumoral) injection or dye-only techniques. Across the SLNB literature the false-negative rate of all methods was similar, suggesting that the lymphatics of the entire breast usually drain to the same few SLNs (36).
Although preoperative lymphoscintigraphy (LSG) is essential in SLNB for melanoma, its role in breast cancer is debatable. LSG does not improve the identification of axillary SLN, other than to alert the surgeon that more than one axillary SLN is present. Even when the LSG is negative, a hand-held gamma probe will usually identify “hot” SLN at surgery. LSG can identify nonaxillary lymphatic drainage (primarily to the internal mammary nodes) in a minority of patients, but the impact of this
information on treatment, local control, or survival is unproved.
information on treatment, local control, or survival is unproved.
Surgery
For breast conservation we perform SLNB under local anesthetic with intravenous (IV) sedation and for mastectomy under general anesthesia. Before starting surgery, we inject 1 to 5 cc of isosulfan blue dye subdermally in the breast, (a) at a single site over the tumor, (b) just superolateral to a surgical biopsy site, or (c) in the subareolar area. Using a hand-held gamma probe, we identify and mark the isotope injection site in the breast, any focal hot spots in the axilla, and any intervening hot spots that might suggest the presence of intramammary SLN.
SLNB is best done prior to the breast operation—while the lymphatics are still intact—and through a separate transverse skin line incision in the axilla. Even tumors high in the axillary tail will be further from the axilla than they appear, and one should avoid the temptation to do the entire operation through a single incision except perhaps for mastectomy done through a single oblique incision, where SLNB is easily done through the axillary end of the incision prior to proceeding with the mastectomy.
SLNB is best done under direct vision and with adequate exposure, as inadvertent division of sensory nerves probably accounts for most of the reported morbidity of SLNB. As dissection is deepened through the axillary fascia, any blue lymphatics are left intact and traced proximally into the axilla, blue nodes are identified, and the gamma probe is used to identify any “hot” nodes. SLN are usually found low in level I, but in about 25% of cases they are found at other locations: posteriorly along the latissimus muscle, higher in the axilla near the axillary vein, beneath the pectoralis minor in levels II to III, and (much less often) as Rotter (interpectoral) or intramammary SLN. The gamma probe is very useful throughout this dissection and is indispensable in the very large or fatty axilla where identification of blue lymphatics/nodes can be challenging.
All blue and/or “hot” nodes are removed, typically a median of 2 to 3 per patient. When multiple hot SLNs (or a diffusely hot axilla) are found, we make every effort to remove the hottest SLN, which will be positive in 80% of SLN-positive patients (37). We do not in general submit large numbers of SLN, having found that 98% of positive SLN are identified within the first three SLNs and 99% within the first four SLNs submitted (38). Another useful guideline is the “10% rule,” in which all nodes with counts ≥10% of the hottest node are submitted as SLN. For patients who were node positive prior to neoadjuvant chemotherapy, the false-negative rate of SLNB is minimized by using dual tracers (blue dye plus isotope) and by removing at least three SLNs (39,40,41).
A final and critical element in SLNB is careful palpation of the axilla and the submission of any palpably suspicious nodes as SLN. In our initial experience with SLNB (42), we reported that a false-negative rate of 14% defining the SLNs as blue and/or hot was reduced to 4.6% by defining the SLNs as blue and/or hot and/or palpable.
The axillary incision after SLNB is closed routinely without drainage. The morbidity of SLNB is less than that of ALND but is not zero. Patients may experience pain, seroma, hematoma, or infection. Blue dye may cause transient bluish-green discoloration of the skin and urine, blue urticaria in <1%, and anaphylactic reactions in <0.5% of patients (43).
Pathology
Our previous practice of intraoperative SLN frozen section and consent to proceed with ALND if SLN positive is now limited to patients outside the Z0011 selection criteria, largely those having a mastectomy or SLNB after neoadjuvant chemotherapy.
Axillary nodes have typically been examined by a single H&E–stained section, despite evidence that additional study (serial sections and/or immunohistochemical [IHC] stains for cytokeratins) could identify missed nodal metastases in a significant fraction of patients (44). These enhanced techniques—prohibitive for the examination of an entire ALND specimen—became feasible for SLNB and promised more accurate staging and selection of treatment. We now know from two large prospective trials (45,46) in which all treatment was based on the results of routine H&E staining that subsequent serial sectioning and IHC staining upstaged 10% to 16% of patients to SLN positive but that survival among those converted to node positive—90% of whom has already received systemic adjuvant therapy—was unaffected. One must conclude that SLN “ultrastaging” beyond routine H&E may result in overtreatment without affecting outcome.