Near-infrared Spectroscopic Method for Assessing the Tissue Oxygenation State of Living Lung TOSHIO NORIYUKI, HIDEKI OHDAN, SHINKICHIRO YOSHIOKA, YOSHIHIRO MIYATA, TOSHIMASA ASAHARA, and KIYOHIKO DOHI Second Department of Surgery, Hiroshima University School of Medicine, 1-2-3 Kasumi, Minami-ku, Hiroshima, Japan To quantify changes in tissue oxygenation of pathologic lungs, we applied a novel method using near-infrared spectroscopy (NIRs). In in vitro experiments, we assayed the effect of photon scattering on the absorption spectra of an in vitro system simulating structures of lung, which consists of test tube containing air in hematocrit tubes and red blood cell suspension with various predetermined hemoglobin concentrations. It was determined that photon scattering of the tissue containing air did not affect the absorption in the NIR region. In in vivo experiments, we tested the applicability of the NIRs technique in rat lungs under the following conditions: (1) hypoxic loading; (2) administration of an inhibitor (NaCN) of the mitochondrial respiratory chain; (3) hemorrhagic shock. We found that: (1) Changes in hemoglobin oxygenation state in the lung measured by NIRs depended on inspired oxygen concentrations; (2) NaCN-induced reduction of cytochrome oxidase a,a3 in the lung was observed; and (3) Total hemoglobin levels in the lung decreased after bleeding. Changes in the hemoglobin oxygenation state and cytochrome oxidase redox state in the lung were determined using the least-square-curve fitting for NIR absorption spectra. Our NIRs technique was capable of assessing the hemoglobin oxygenation and cytochrome oxidase redox state in the lung. Noriyuki T, Ohdan H, Yoshioka S, Miyata Y, Asahara T, Dohi K. Near-infrared spectroscopic method for assessing AM J RESPIR CRIT CARE MED 1997;156:1656–1661. the tissue oxygenation state of living lung. In accordance with recent advances in lung surgery, there is an increasing demand for a less-invasive method to assess the viability of lung tissue. In particular, monitoring of tissue hemodynamics and tissue oxygenation is considered to be important in thoracic surgery with vascular reconstruction, especially lung transplantation (1, 2). In general, optical measurements, including in vivo spectroscopy, have been used for monitoring tissue hemodynamics and oxygenation in brain and liver (3, 4). Near infrared (NIR) spectroscopy takes advantage of effective photon penetration to detect deep hemoglobin (Hb) in intact tissue (5). This method has been used to monitor regional blood volume change, Hb oxygenation and the cytochrome oxidase a.a3 (Cyt.aa3) redox state in organs, but has been applied only to solid organs, such as the brain, muscles, and liver (6–9). In the present study, we examined whether NIR spectroscopy could be applied to the lung to monitor tissue viability. This study was divided into two parts. First, we assayed the effect of photon scattering on the absorption spectrum by in vitro experiments using an in vitro system stimulating the structures of lung. Because the lung contains air and therefore differs from other organs that NIR spectroscopy had been applied. Second, for the in vivo experiments, we tested the appli(Received in original form January 29, 1997 and in revised form June 3, 1977) Supported by the Japanese Ministry of Education, Grant-in-Aid for Scientific Research (B) No. 07457253. Correspondence and requests for reprints should be addressed to Toshio Noriyuki, M.D., Second Department of Surgery, Hiroshima University School of Medicine, 1-2-3 Kasumi, Minami-ku, Hiroshima, 734, Japan. Am J Respir Crit Care Med Vol 156. pp 1656–1661, 1997 cability of NIR spectroscopic techniques in the rat lung under various pathologic conditions (hypoxia, inhibited state of mitochondrial respiration and hemorrhagic shock). Hb oxygenation, total Hb volume, and the redox-state of Cyt.aa3 in the lungs were evaluated with NIR spectroscopy under these conditions. METHODS In Vitro Experiment using In Vitro System Simulating Structure of Lung The in vitro system simulating the structures of the lung consisted of a test tube containing red blood cells (RBCs) suspension and air in hematocrit tubes. Sealed hematocrit tubes containing air were closely packed in the glass test tube (OD 10 mm, ID 8 mm) and the RBCs suspension with and without milk (scattering material) was filled in a gap among hematocrit tubes (Figure 1). Human RBCs were suspended in phosphate-buffered saline at various predetermined Hb concentrations from 0.1 to 1.0 mM. The hematocrit tubes containing air were intended to stimulate alveoli, and the RBCs suspension with milk to simulate scattering biological pigments in the lung. We used NIR spectroscopy to observe the absorption spectra of the in vitro system and the RBCs suspension in the glass test tube, and analyzed changes in Hb concentration as described below. A multichannel photodetector (MCPD-2000; Otuka Electrical Co., Osaka, Japan) with quartz optical fibers and a 300W halogen lamp (Petite Ace 25; Sanyo Denki Co., Tokoyo, Japan), as a light source, were used. MCPD-2000 was connected to a personal computer (PC9821 Xs; NEC, Tokyo, Japan). The tips of the optical fibers for NIR spectroscopy were fixed on the test tube with attachment specially made. As a reference spectrum, yogurt was used for scanning the in vitro system and the RBCs suspension, and the light intensity was adjusted to bring the optical density to between 0.8 and 1.0. The re- 1657 Noriyuki, Ohdan, Yoshioka, et al.: NIR Spectroscopic Method for Lung Figure 1. (A) Photograph of the in vitro system simulating structures of lung. (B) Schematic illustration of horizontal view of the in vitro system. flected light from the in vitro system was scanned within the range of 500 to 1,100 nm, and the sampling time of each scan was 200 msec. The spectra in a series of 20 scans were averaged by the personal computer. The absorption spectra of scattering materials were transformed by applying the following equation to correct their flattened shape attributed to the light path length distribution caused by photon scattering: corrected %abs ( λ ) = 1 ⁄ 7 { %abs ( λ ) ⋅ exp. [ 1.927 %abs ( λ ) ] + %abs ( λ ) ⋅ exp. [ 0.827 %abs ( λ ) ] } ( 10, 11 ) where corrected %abs (l) and %abs (l) are corrected absorption and actual absorption at a wavelength of l, respectively. The difference between the corrected spectrum for Hb concentration of 0.1 mM and that of another concentration was calculated. Multicomponent analysis of the difference in the spectra was performed in a wavelength range of 700 to 1,000 nm with an equation following the Beer-Lambert law. OD ( λ ) = L ( λ ) ⋅ { e 1 ( λ ) ⋅ ∆ [ oxy-Hb ] + e 2 ( λ ) ⋅ ∆ [ deoxy-Hb ] + e 3 ( λ ) ⋅ ∆ [ water ] } where OD (l), L (l), and e1–3 (l) are optical density, mean light path length, and extinction coefficients, respectively, of each component at a wavelength of l. Least-square curve fitting was used to calculate the existential rate of the three components. The relationship of the predetermined RBC concentration and the absorption of total-Hb (a sum of oxy-Hb and deoxy-Hb) measured by NIR spectroscopy was analyzed. In Vivo Experiment using Rat Lung Under Various Pathologic Conditions All procedures involving rats were performed according to the guidelines of the National Institutes of Health “Guide for the Care and Use of Laboratory Animals.” Male Wister rats weighing 250 to 350 g (Charles River Japan, Yokohama, Japan) were prepared with atropine (0.4 mg/kg, i.m.) and anesthetized intraperitoneally with sodium pentobarbital (50 mg/kg) and ketamine (40 mg/kg). After intubation with a 16 G polyvinyl tube (Terumo Co., Tokyo, Japan), the rats were ventilated with a ventilator (SN-480-7; Shinano Co., Tokyo, Japan). The ventilator settings were tidal volume, 10 mL/kg, respiratory frequency, 70 breaths/min, positive end-expiratory pressure, 4 cm H2O. The carotid artery was cannulated with a 3 Fr. polyethylene tube (Atom Co., Tokyo, Japan) for blood pressure monitoring and blood sampling. Thoracostomy was performed in the left 4th intercostal space, and the tips of the fiber bundles for NIR spectroscopy were fixed at a position approximately 3 mm above the lung. Under these conditions, the following studies were performed. Figure 2. Absorption spectra of the RBC suspensions under various hemoglobin (Hb) concentrations. (A) with milk (scattering material) (B) without milk. Hypoxic load. FIO2 was changed by mixing pure nitrogen gas and oxygen gas to create FIO2 of 1.0, 0.6, 0.2, 0.15, and 0.1, and the absorption spectra of four rat lungs were observed by NIR spectroscopy. The difference between the spectrum of the lung was assessed for each FIO2 value and for an FIO2 of 0.2. Through a multicomponent analysis of those different spectra, the changes in concentration of oxy-, deoxyHb, and oxidized and reduced Cyt.aa3 were calculated. Whole blood was simultaneously sampled from a 3 Fr. polyvinyl tube inserted into the carotid artery, and SaO2, PaO2, PaCO2, and pH were measured with a blood gas analyzer (ABL 510; Radiometer Trading Co., Copenhagen, Denmark). Administration of NaCN. Five rats received two doses of NaCN (1 mg/kg) at an interval of 10 min to inhibit the mitochondrial respiratory chain under the condition of FIO2 1.0. Immediately prior to use, NaCN was dissolved in saline at a concentration of 0.25 mg/ml. The systemic blood pressure was monitored by an oscilloscope (DS-3300; Fukuda Electrical Co., Tokyo, Japan) through a transducer. The spectra of the lung were continuously measured at 20-s intervals, and the differences between the spectra of the lung prior to and following NaCN administration were calculated. Using a multicomponent analysis of those different spectra, the changes in concentration of oxy-, deoxy-Hb, and oxidized, and reduced Cyt.aa3 were quantified. Hemorrhagic shock. To create a condition of hemorrhagic shock for five rats, whole blood (5 ml/kg) was rapidly drawn twice at an interval of 10 min via the carotid artery under the condition of FIO2 1.0, and systemic blood pressure was monitored. The spectra of the lung were continuously measured at 30-s intervals, and the differences between the spectra of the lung prior to and following whole blood drawing were calculated. Using a multicomponent analysis of those difference spectra, the changes in concentration of oxy-, deoxy-Hb, and oxidized, and reduced Cyt.aa3 were quantified. In vivo NIR spectroscopy. For in vivo NIR spectrophotometric measurement, the same method as the above mentioned in vitro experiment was used. The tips of the two optical fiber bundles were fixed at a position approximately 3 mm above the lung. The reflected light from the living lung was scanned within the range of 500 to 1,100 nm. The sampling time of each scan was 200 ms, and 20 serial scans were averaged. The difference between the spectrum of the lung under the control condition and that under the manipulated condition in each experiment was calculated. Within the range of 700 to 1,000 nm, the difference in the spectrum was analyzed by a curve-fitting technique based on the least squares method using the standard spectra of purified oxy-Hb, deoxy-Hb, oxidized Cyt.aa3, reduced Cyt.aa3 and water. The five components were fitted with the following equation: OD ( λ ) = L ( λ ) ⋅ { e 1 ( λ ) ⋅ ∆ [ oxy-Hb ] + e 2 ( λ ) ⋅ ∆ [ deoxy-Hb ] + e 3 ( λ ) ⋅ ∆ [ oxidized Cyt.aa 3 ] + e 4 ( λ ) ⋅ ∆ [ reduced Cyt.aa 3 ] + e 5 ( λ ) ⋅ ∆ [ water ] } 1658 AMERICAN JOURNAL OF RESPIRATORY AND CRITICAL CARE MEDICINE VOL 156 1997 where OD (l), L (l), and e1–5 (l) are optical density, mean light path length, and extinction coefficients, respectively, of each component at a wavelength of l. The relative changes in each component were detected using this multicomponent analysis calculated on the basis of singular value decomposition (12). Statistical Analysis All data are express as mean 6 SEM. Correlations between variables in both the in vitro and in vivo experiments were assessed using linear regression analysis. The statistical significance of differences in variables between control and manipulated conditions was assessed by the paired t test. Significance was accepted for p values , 0.05. RESULTS In Vitro Experiment Figures 2 and 3 show absorption spectra of the RBC suspension and the in vitro system with and without milk at various Hb concentrations. In all spectra observed in this experiment, the visible part below 600 nm was rough, caused by preventing transmission over a longer path length due to increasing light scattering. In contrast, the NIR part in the 700 to 1,100 nm range was quite smooth and had a broad peak caused by oxyHb, which increased as the concentration of Hb increased in the fluid. In this region, a peak caused by deoxy-Hb was invisible at 760 nm, because most RBC Hb was oxygenated in room air. Figure 4 shows the relationship between the changes in total Hb measured by NIR spectroscopy and the predetermined Hb concentration in each condition. In all conditions, there were significant correlations: in vitro system with milk: y 5 20.10969 1 5.0752e-2 x, r 5 0.984, p , 0.05, in vitro system without milk: y 5 20.16831 1 9.4931e-2 x, r 5 0.994, p , 0.05, RBC suspension with milk: y 5 20.16324 1 0.10404 x, r 5 0.999, p , 0.05, RBC suspension without milk: y 5 20.19379 1 0.13059 x, r 5 0.998, p , 0.05). In Vivo Experiment Hypoxic load. Figure 5 shows the absorption spectra of rat lung at different FIO2 values. In the NIR part, all spectra of lung obtained from this experiment were stably reproducible. As FIO2 decreased, a peak caused by deoxy-Hb at 760 nm became prominent, and a broad peak at 750 to 950 nm caused by oxyHb became flat. Figure 6A shows the relationship between the change in SaO2 (DSaO2) measured by conventional blood gas analysis and Figure 3. Absorption spectra of the in vitro system under various Hb concentrations. (A) with milk (scattering material) (B) without milk. Figure 4. Linear correlations between the changes in total Hb measured by NIR spectroscopy and predetermined Hb concentration in in vitro systems with and without milk (3/closed squares) and in the RBC suspensions with and without milk (closed triangles/closed diamonds) [in vitro system with milk: y 5 20.10969 1 5.0752e-2 x (r 5 0.984, p , 0.05), in vitro system without milk: y 5 20.16831 1 9.4931e-2 x (r 5 0.994, p , 0.05), RBC suspension with milk: y 5 20.16324 1 0.10404 x (r 5 0.999, p , 0.05), RBC suspension without milk: y 5 20.19370 1 0.13059 x (r 5 0.998, p , 0.05)]. the changes in oxy-Hb in rat lungs measured by NIR spectroscopy. To determine the DSaO2, we subtracted SaO2 under each FIO2 from SaO2 under FIO2 of 0.2. The changes in oxy-Hb correlated closely with DSaO2 (Y 5 0.280877 x 1 0.444212, r 5 0.92, p , 0.001). Figure 6B shows the relationship between DSaO2 and the changes in oxidized and reduced Cyt.aa3 in rat lungs measured by NIR spectroscopy. There was correlation between them (oxidized Cyt.aa3: Y 5 0.0534896 1 0.457061 x, r 5 0.72, p , 0.01, reduced Cyt.aa3: Y 5 0.380488 2 0.0731549 x, r 5 20.72, p , 0.01). Administration of NaCN. Systolic arterial blood pressure fell from 108 6 4.90 mm Hg to 58.6 6 4.02 mm Hg immediately after the first administration of NaCN, and gradually recovered at a level of 74.6 6 3.73 mm Hg at 10 min after administration. The second administration caused a fall of systemic blood pressure to 40.6 6 3.44 mm Hg. Figure 7A shows the time course of the changes in oxidized and reduced Cyt.aa3 after the point of intravenous administration of NaCN. The level of reduced Cyt.aa3 rose significantly immediately after the NaCN administration, and rose still more by repeating the administration. The level of oxidized Figure 5. NIR spectra of rat lung under conditions of FIO2 0.1 to 1.0. 1659 Noriyuki, Ohdan, Yoshioka, et al.: NIR Spectroscopic Method for Lung Figure 6. (A) Linear correlation between the changes in oxy-Hb in rat lungs measured by NIR spectroscopy and the change in Sa O2 (DSaO2) measured by conventional blood gas analysis: Y 5 0.44212 1 0.280877 x (r 5 0.92, p , 0.001). (B) Linear correlations between the change in reduced (closed squares), oxidized (closed diamonds) Cyt.aa3 measured by NIR spectroscopy and DSaO2: [reduced Cyt.aa 3: Y 5 0.380488 2 0.0731549 x (r 5 20.72, p , 0.01), oxidized Cyt.aa3: Y 5 0.457011 1 0.0534896 x (r 5 0.72, p , 0.01)]. Cyt.aa3 fell in response to the rising level of reduced Cyt.aa3. These responses were related to the number of administrations. These data show that the administration of NaCN caused a reduction of Cyt.aa3 in the mitochondria of the lung tissue. Figure 7B shows the time course of changes in oxy-Hb and deoxy- Figure 7. (A) Changes in oxidized (closed squares) and reduced (closed diamonds) Cyt.aa3 after intravenous administration of NaCN. (B) Changes in oxy-Hb (closed squares) and deoxy-Hb (closed diamonds) in lungs following administration of NaCN. Results are expressed as mean 6 SEM; error bars not shown appear within the data point. (n 5 5) *, ** shows significance prior to and following administration of NaCN (p , 0.05). Hb in the lungs after administration of NaCN. The level of oxy-Hb transiently fell immediately after the first NaCN administration, and gradually rose over the initial level. The same response was observed after the second administration. The level of deoxy-Hb remained constant during the observation period. Hemorrhagic shock. Systolic arterial blood pressure fell from 99.6 6 5.13 mm Hg to 68.2 6 6.17 mm Hg immediately after the first blood drawing, and gradually recovered to a level of 83.4 6 2.73 mm Hg until 10 min after the blood drawing. The second blood drawing caused a fall of systemic blood pressure to 43.6 6 3.40 mm Hg. Figure 8 shows the time course of changes in total Hb (oxyHb 1 deoxy-Hb) and reduced Cyt.aa3 in rat lungs after phlebotomy. The level of total Hb fell significantly immediately after the first blood drawing and gradually recovered to the initial level at 10 min after the blood drawing. The second blood drawing resulted in an irreversible fall of total Hb. The level of reduced Cyt.aa3 rose significantly immediately after the first blood drawing and rose still more by the second blood drawing. DISCUSSION It is important to evaluate the hemodynamics and the tissue viability of the lung for thoracic surgery, especially for lung transplantation and operations with vascular reconstruction (1, 2). To quantify changes in tissue oxygenation of pathologic lungs, we applied a novel method using NIR spectroscopy. The parameters measured by NIR spectroscopy (changes in Hb oxygenation and Cyt.aa3 redox state) should be useful markers for evaluating pulmonary function and lung tissue viability, because Cyt.aa3 is the terminal member of the mitochondrial respiratory chain and its redox state changes in response to oxygen availability at the cellular level (13). NIR spectroscopy was first introduced by Jobsis, and has been applied in a number of clinical and physiologic situations (5). It is based on the fact that the absorption intensity of NIR light depends on the level of Hb oxygenation, the redox state of Cyt.aa3, and biological content. In the visible part of the spectrum, below 700 nm, the intense absorption bands of hemoglobin (Hb) and increasing light scattering phenomena prevent Figure 8. Changes in total Hb (closed squares) and reduced Cyt.aa3 (closed diamonds) in rat lungs after blood drawing. Results are expressed as mean 6 SEM; error bars not shown appear within the data point. (n 5 5) *, ** shows significance prior to and following whole blood drawing (p , 0.05). 1660 AMERICAN JOURNAL OF RESPIRATORY AND CRITICAL CARE MEDICINE transmission over longer pathlengths. However, in the 700 nm to 1,300 nm range of NIR, a significant amount of radiation can be effectively transmitted through biological materials over longer distances (5). Absorption by hemoglobin shows an original change within the NIR region depending on oxygenation conditions. In the NIR range, deoxy-Hb has an absorption peak at 760 nm, but oxy-Hb does not (14). Cyt.aa3 has a weak absorption band within the NIR region. When Cyt.aa3 is oxidized, the weak absorption band is in the 780 to 870 nm region with a broad maximum from 820 to 840 nm, and when Cyt.aa3 is reduced, this band disappears (15). NIR spectroscopy takes advantage of changes in the absorption of substances and has been used to monitor regional blood volume change, Hb oxygenation and Cyt.aa3 redox state in organs (6–9). To calculate changes in oxy-Hb, deoxy-Hb, and oxidized and reduced Cyt.aa3 through analysis of the NIR spectra, the following two methods have been used: the three to six separate wavelengths method, which solves simultaneous equations at wavelengths (16–18), and the continuous wavelength method, which involves a curve-fitting technique based on the least-squares method using the spectra of purified standards at wavelength increments of 2 nm between 700 and 1,000 nm (19, 20). In comparison with the former method, the latter has the advantage of compensating for individual variations in background absorption through calculation of differences in the spectra (11, 21, 22). This method could be applied to various organs that may have peculiar pigments. Considering this advantage, we chose the continuous wavelength NIR spectroscopy for the in vivo assessment of lung tissue oxygenation. In order to apply NIR spectroscopy to living lungs, it is necessary to take into account the effect of photon scattering caused by air in alveoli and the effect of changing tissue density on the absorption spectra of the lung due to changing volume caused by respiration. First, we demonstrated in in vitro experiments that the presence of air did not intensify photon scattering in the NIR region, and the Hb level in scattering materials with air was correctly measured by NIR spectroscopy (Figure 4). Next, to determine the changing density of lung tissue due to respiration, we measured the in vivo lung absorption spectra under shortening sampling time (200 msec) and increasing sampling frequency (20 scans) and averaged the spectra obtained by these scans. In vivo experiments demonstrated that reproducible spectra were obtained from living lung tissue under this special measurement condition (Figure 5). These findings support the applicability of NIR spectroscopy to in vivo lungs. Our NIR spectroscopic method for monitoring living tissues has three steps in the process of evaluating changes in biologic components affected by oxygenation. The first step is to scan an actual absorption spectrum of living tissue. The second step is correcting the flattening of this spectrum. With regard to the application of continuous wavelength NIR spectroscopy of biologic tissues, the flattening of the absorption spectra due to photon scattering should be taken into account, because of the light path length distribution and the mean light path length changes as a function of absorption. In this study, therefore, the flattening of the absorption spectra was corrected by applying an equation that incorporated that relationship between e · C (e is the extinction coefficient, C is the concentration of the absorber) and the actual absorption in scattering materials. In prior reports, a similar method has been used, and its usefulness has been proven (10, 11). The last step is a multicomponent least-square curve fitting using of standard spectra for analyzing the corrected spectrum. In the multicomponent curve-fitting, it is necessary to select appropriate standard components which have characteristic absorption VOL 156 1997 spectra in the NIR region. It is well known that oxy-, deoxyHb, and oxidized and reduced Cyt.aa3 should be included in the standard component (5, 23, 24). In addition to these, we chose water as another standard component for the multicomponent analysis because lung edema due to increasing water content in the tissues occurs in various pathologic conditions. In this study, therefore, the above five components were fitted, and relative changes in the components were quantified. The validity of all analyses in this study was confirmed by regression analysis (r . 0.9). To estimate the validity of quantifying Hb oxygenation and Cyt.aa3 redox state in living lungs using of our NIR spectroscopic technique, we performed NIR spectrophotometric measurements in rat lungs under various pathologic conditions such as hypoxia, inhibited state of mitochondrial respiration, and hemorrhagic shock. In the experiment during hypoxia, it was shown that oxy- and deoxy-Hb levels in the lungs measured by NIRs changed reasonably, and the oxy-Hb level correlated closely with SaO2 levels measured simultaneously. In the experiment under an inhibited state of mitochondrial respiration, cyanide-induced Cyt.aa3 redox state response (shifting to reduction state) could be observed in rat lungs in realtime using NIRs. An interesting change in the oxy-Hb level in the lungs was observed, i.e., a transient fall immediately after NaCN administration and a gradual rising over the initial level (25). The transient decrease of arterial blood pressure may have been responsible for the initial fall of the oxy-Hb level, and the later rise may have been caused by the reduced oxygen consumption at the cellular level in lung tissues affected by the inhibition of mitochondrial respiration. And then, the rise of total Hb (oxy-Hb plus deoxy-Hb) may have been caused by cardiac failure induced by cyanide. In the experiment during hemorrhagic shock, a falling total Hb level and the shifting of the Cyt.aa3 redox state to the reduction state in lung tissues could be observed using NIR spectroscopy. These results demonstrate that NIR spectroscopy can quantify the Hb oxygenation and the redox state of Cyt.aa3 in living lungs. There are limitations related to the use of in vivo NIR spectroscopy in living tissues. In our system, only relative changes in each biologic component can be obtained, because a calibration factor has not been established. 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