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Determination of the optimal surgical procedure by identifying risk factors for pneumonia after transthoracic esophagectomy

  • Masato Hayashi
  • Hiroya TakeuchiEmail author
  • Rieko Nakamura
  • Koichi Suda
  • Norihito Wada
  • Hirofumi Kawakubo
  • Yuko Kitagawa
Original Article



Esophagectomy is associated with a high risk of postoperative complications, and the respiratory complications are the most common. Therefore, stratification of patients based on preoperative risk factors is essential. This study aimed to identify the risk of postoperative pneumonia (POP) based on the preoperative factors and determine the optimal perioperative surgical management strategy.


This retrospective study involved 207 patients who underwent esophagectomy. The patients were divided into two groups, namely, with POP and without POP. To identify the risk factors for POP, the pre- and perioperative characteristics were analyzed. A receiver operating characteristics curve was used to determine a cutoff value of 2.40 L for the forced expiratory volume in 1 s (FEV1.0) and the cohort was divided into a high- and low-FEV1.0 group. A second analysis was then performed to determine the optimal surgical management for patients at a high risk for POP.


POP occurred in 45 (21.7%) patients. A multiple logistic regression analysis showed that FEV1.0 was significantly lower in the POP (+) group (P = 0.020); thus, a low FEV1.0 was found to be a risk factor for POP. Multiple logistic regression analysis showed that open thoracotomy was a significant risk factor for POP in low FEV1.0 patients (P = 0.013).


A low FEV1.0 and an open thoracotomy are risk factors for POP. Therefore, patients with low FEV1.0 should be managed carefully and video-assisted thoracic surgery should be considered.


Esophagectomy Esophageal neoplasm Pneumonia 



The authors thank Kumiko Motooka, who belongs to the staff at Keio University School of Medicine, for her help in the preparation of this report.

Compliance with ethical standards

Ethical Statement

All procedures followed were in accordance with the ethical standards of the responsible committee on human experimentation (institutional and national) and with the Helsinki Declaration of 1964 and later versions. Informed consent or substitute for it was obtained from all patients for being included in the study.

Conflict of interest

Author Masato Hayashi, Corresponding Author Hiroya Takeuchi, Author Rieko Nakamura, Author Koichi Suda, Author Norihito Wada, Author Hirofumi Kawakubo, and Author Yuko Kitagawa declare that they have no conflict of interest.


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Copyright information

© The Japan Esophageal Society 2019

Authors and Affiliations

  • Masato Hayashi
    • 1
  • Hiroya Takeuchi
    • 1
    • 2
    Email author
  • Rieko Nakamura
    • 1
  • Koichi Suda
    • 1
  • Norihito Wada
    • 1
  • Hirofumi Kawakubo
    • 1
  • Yuko Kitagawa
    • 1
  1. 1.Department of SurgeryKeio University School of MedicineTokyoJapan
  2. 2.Department of SurgeryHamamatsu University School of MedicineShizuokaJapan

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