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Lasers in Surgery and Medicine 48:538–545 (2016)

Using Fourier Transform Infrared Spectroscopy to


Evaluate Biological Effects Induced by Photodynamic
Therapy
Cassio A. Lima, MSc,1 Viviane P. Goulart, MSc,1 Luciana Correa, PhD,2 and Denise M. Zezell, PhD
1
1
Instituto de Pesquisas Energ
eticas e Nucleares, IPEN – CNEN/SP, Universidade de Sao Paulo,
Sao Paulo SP 05508 000, Brazil
2
Faculdade de Odontologia, Universidade de Sao ~ Paulo, Sao
~ Paulo SP 05508 000, Brazil

Background and Objective: Vibrational spectroscopic well as from healthy skin. Thus, the method can be used for
methods associated with multivariate statistical techni- early diagnosis of premalignant skin lesions, as well as to
ques have been succeeded in discriminating skin lesions evaluate the response to photodynamic treatment. Lasers
from normal tissues. However, there is no study exploring Surg. Med. 48:538–545, 2016. ß 2016 Wiley Periodicals, Inc.
the potential of these techniques to assess the alterations
promoted by photodynamic effect in tissue. The present Key words: 5-aminolevulinic acid (ALA); attenuated
study aims to demonstrate the ability of Fourier Transform total reflectance (ATR); biochemical characterization;
Infrared (FTIR) spectroscopy on Attenuated total reflec- cutaneous squamous cell carcinoma; Fourier transform
tion (ATR) sampling mode associated with principal infrared spectroscopy; neoplastic lesion; principal compo-
component-linear discriminant analysis (PC-LDA) to nent analysis
evaluate the biochemical changes caused by photodynamic
therapy (PDT) in skin neoplastic tissue.
Materials and Methods: Cutaneous neoplastic lesions, INTRODUCTION
precursors of squamous cell carcinoma (SCC), were Nonmelanoma skin cancers (NMSCs) are the most
chemically induced in Swiss mice and submitted to a common form of malignancy in humans and have
single session of 5-aminolevulinic acid (ALA)-mediated increased their incidence over the past several deca-
PDT. Tissue sections with 5 mm thickness were obtained des [1,2]. Increase of exposure to UV radiation and aging of
from formalin-fixed paraffin-embedded (FFPE) and proc- the population, among other, have been associated as the
essed prior to the histopathological analysis and spectro- main factors for this growing incidence [3]. NMSC refers to
scopic measurements. Spectra were collected in both squamous cell carcinoma (SCC) and basal cell
mid-infrared region using a FTIR spectrometer on ATR carcinoma (BCC), which are the main types of non-
sampling mode. Principal Component-Linear Discrimi- melanoma skin cancer diagnosed in humans [2]. Despite
nant Analysis (PC-LDA) was applied on preprocessed of a relatively low mortality rate related to these cancers,
second derivatives spectra. Biochemical changes were their available treatments expensive and submit the
assessed using PCA-loadings and accuracy of classification patient to morbidity [3].
was obtained from PC-LDA . Traditional treatments of cutaneous cancers may
Results: Sub-bands of Amide I (1,624 and 1,650 cm 1) and include surgery (surgical excision, Mohs surgery, curet-
Amide II (1,517 cm 1) indicated a protein overexpression tage and electrodessication, cryo surgery, laser surgery,
in non-treated and post-PDT neoplastic tissue compared etc.) and/or ionizing radiation (radiotherapy and
with healthy skin, as well as a decrease in collagen fibers
(1,204, 1,236, 1,282, and 1,338 cm 1) and glycogen (1,028,
1,082, and 1,151 cm 1) content. Photosensitized neoplastic Conflict of Interest Disclosures: All authors have completed
tissue revealed shifted peak position and decreased and submitted the ICMJE Form for Disclosure of Potential
Conflicts of Interest and none were reported.
b-sheet secondary structure of proteins (1,624 cm 1) Contract grant sponsor: FAPESP CEPID; Contract
amount in comparison to non-treated neoplastic lesions. grant number: 05/51689-2; Contract grant sponsor: CAPES
PC-LDA score plots discriminated non-treated neoplastic PROCAD; Contract grant number: 88881.068505/2014-01;
Contract grant sponsor: CNPq INCT; Contract grant number:
skin spectra from post-PDT cutaneous lesions with 573.916/2008-0; Contract grant sponsor: PQ; Contract
accuracy of 92.8%, whereas non-treated neoplastic skin grant number: 312397/2013-5.

was discriminated from healthy tissue with 93.5% accu- Correspondence to: Prof. Denise M. Zezell, PhD, IPEN – CNEN/
SP, Center for Lasers and Applications (CLA) Av. Lineu Prestes,
racy and post-PDT cutaneous lesions was discriminated 2242- CEP 05508-000, S~ ao Paulo-SP, Brazil. E-mail: zezell@usp.br
from healthy tissue with 89.7% accuracy. Accepted 31 December 2015
Published online 22 February 2016 in Wiley Online Library
Conclusion: PC-LDA was able to discriminate ATR-FTIR (wileyonlinelibrary.com).
spectra of non-treated and post-PDT neoplastic lesions, as DOI 10.1002/lsm.22473

ß 2016 Wiley Periodicals, Inc.


FTIR TO EVALUATE THE EFFECTS INDUCED BY PDT 539

chemotherapy [4]. Moreover, photodynamic therapy (PDT) component-linear discriminant analysis (PC-LDA), to
is a promising minimally invasive alternative that does not evaluate the biochemical changes caused by photodynamic
require surgical intervention or exposure to ionizing therapy mediated by 5-aminolevulinic acid (ALA) in
radiation [5]. PDT is based in the administration of a cutaneous neoplastic lesions precursors of squamous cell
photosensitizer (PS) molecule activated by light at a carcinoma.
specific wavelength, which promotes a series of biochemi-
cal events and leads the tumor cells to death [6]. Different MATERIALS AND METHODS
death mechanisms, such as apoptosis, necrosis, and Chemical Carcinogenesis
autophagy are not independent and may occur at the
Neoplastic lesions were induced on Swiss mice using a
same time in a photosensitized lesion [7]. The individual
well-established multi-stage chemical-carcinogenesis pro-
contribution of each mechanism to the overall result (cell
tocol for obtaining cutaneous squamous cell carcinoma [24].
death) is still an open question, but it is already known that
After approval by the Committee on Animal Research and
the response to PDT may vary with the cell type
Ethics (71/10-CEUA-IPEN/SP), 50 female mice aged from
(phenotype and metabolic potential), total fluence deliv-
8 to 10 weeks with 20 g of body mass were divided into three
ered, types of PS and the time interval between PS
groups: healthy skin (G1), neoplastic tissue (G2), and post-
application and light irradiation [7]. Thus, defining and
PDT neoplastic lesions (G3) (Table 1).
understanding biochemical events caused by PDT may
Animals from all groups were anesthetized with
result in designing better treatment protocols [7].
ketamine (0.35 ml/kg) and xylazine (0.20 ml/kg) during
Several techniques use dyes and markers to characterize
all experiment protocol. Mice from G2 and G3 groups were
and visualize morphological and biochemical features of
submitted to chemical carcinogenesis, consisting in two
tissues. Complete characterization of a biological event
stages: initiation and promotion. In the first one, a single
may require more than one molecular marker, as well as
dose of 50-mg 7,12-dimethyl-benzanthracene (DMBA)
multiple staining. Vibrational spectroscopy has been
diluted in 100 ml of acetone was topical applied on the
established for biomedical applications over the past
shaved backs of the mice. The promotion phase began
decades and presents a potential to study biochemical
1 week after and consisted in a bi-weekly application of 5-g
changes induced by PDT, which does not require multiple
12-O-tetradecanoyl-phorbol-13-acetate (TPA) diluted in
staining or complex methods for sample
200 ml of acetone for 28 weeks. After 28 weeks, the animals
preparation [8–14].
obtained visible single or multiple tumor nodules with
In particular, there must be a change in the dipole
verrucous aspect, but only 33 animals were further
moment during the vibration of a molecular bond in order
evaluated due to a high death rate of 34%. This death
to be infrared active and quantitatively measured by
rate is in agreement with other studies and is related to the
Fourier transform infrared (FTIR) spectroscopy, providing
toxicity of DMBA/TPA, long induction time and the poor
biochemical complementary information to the morpho-
state of the animals during the experiment [24]. The
logical histopathology using the same biopsy material
control group (G1) only received topical application of
without any staining [9,15].
acetone. Mice from G2 group were euthanized at the end of
Transmission, Reflection–Absorption (transflection), and
chemical carcinogenesis and animals from G3 were
Attenuated Total Reflection (ATR) are the most used
submitted to photodynamic therapy.
experimental setups to acquire FTIR spectra [16]. Previous
studies have outlined spectral alterations obtained in
Photodynamic Therapy (PDT)
transmission and transflection sampling mode [16], which
implies in additional preprocessing methods prior to spectro- Single-session PDT was performed in mice using a
scopic analysis. On the other hand, ATR sampling mode does photosensitizer cream prepared with active principle being
not present these undesired spectral contributions, has a 5-aminolevulinic acid (ALA) (20%) and other ingredients
high SNR (signal-to-noise ratio) in comparison to the others
and provides a simple and powerful tool for analyzing liquids
and thin films samples with no preparation method [9,15,17]. TABLE 1. Mice Groups
Macro ATR-FTIR spectroscopy provides a single spectrum,
which represents the average signal from the sample area Number of Number of
where the light passed through [17], and can also be collected Number biopsies per spectra
with a fiber-ATR that in the future can measure directly on Group Description of mice animal collected
patient’s skin [18,19].
G1 Healthy 13 5–6 70
Discrimination between skin lesions and normal tissues
skin
using vibrational spectroscopy techniques associated with
G2 Non-treated 13 5–6 70
multivariate statistical methods have been outlined by
neoplastic
another works [20–23]. However, to the best of our
skin
knowledge, there is no study exploring the potential of
G3 Post-PDT 7 4 28
these techniques to assess the alterations promoted by
neoplastic
PDT. In this way, the present study demonstrates the
lesions
ability of ATR-FTIR spectroscopy associated with principal
540 LIMA ET AL.

kept confidential (patent pending PIN80705591-9). The RESULTS


cream was applied on the tumor lesions with 5-mm
Histopathological Analysis
additional margin using a disposable plastic spatula and
the excess was removed with a gauze before PDT. Considering the histopathological analysis as gold
Irradiation was performed using a cluster of LEDs standard, the anatomopathological features of each group
emitting at 630 nm with fluence-rate of 5 mW/cm2 and were assessed in order to evaluate the biological effects
fluence of 12 J/cm2. Animals were euthanized 10 days after promoted by PDT on neoplastic lesions (Fig. 1).
PDT session and skin biopsies were extracted and Healthy skin (Fig. 1A) is composed by a thin stratum
processed for spectroscopic and histopathological corneum at the epidermis, dense dermis layer, hair
evaluation. follicles, and organized hypodermis. Figure 1B displays
the histological profile obtained for G2, which shows a
Sample Preparation thick stratum corneum covering an intense proliferation
of keratinocytes in exophytic profile. Neoplastic invasion
Skin samples obtained with excisional biopsies were
was not evident in all cases, but in these cases the lesions
formalin-fixed and paraffin-embedded (FFPE). Sample
were considered as potentially malignant (evolving to
sections with 5 mm thickness were obtained and placed
squamous cell carcinoma) due to the moderate dysplasia
in MirrIR low-E-coated slides (Kevley Technologies,
observed in the epithelial basal layer. After 10 days of
Chesterland, OH) for spectroscopic analysis. Considering
PDT, most cases exhibited residual lesions with histo-
that paraffin presents active vibrational modes in the
pathological characteristics similar to the original
analyzed wavenumber range, the sections were submitted
tumors.
to dewaxing protocol prior to the spectroscopic measure-
ments. For paraffin removal, FFPE sections were
ATR-FTIR Spectroscopy
immersed into two baths of xylene during 10 minutes
and one bath of absolute ethanol during 5 minutes. After Figure 2 shows the fingerprint region of ATR-FTIR
this, samples were kept in a desiccator for 24 hours [25]. spectra of each group, which has been frequently used in
For histopathological evaluation, FFPE sections were spectroscopic studies of biological tissues due to the
hematoxylin-eosin (H&E) stained and anatomopatholog- presence of vibrational modes related to important cell
ical features were assessed by a pathologist. content [8].
Second derivatives of absorbance are shown in Figure 3
and depicts vibrational modes overlapped in the raw
FTIR Spectroscopy spectra.
Data acquisition. Spectra were collected using a All groups presented similar vibrational modes with
Fourier transform infrared spectrometer (Thermo Nicolet subtle differences in amplitude of second derivatives. The
6700, Waltham, MA) operating with an Attenuated Total biological assignments of bands depicted in Figure 3 are
Reflectance (ATR) accessory as sampling mode (Smart shown in Table 2.
Orbit, Thermo Scientific, Waltham, MA). Measurements
were performed in mid-infrared region (4,000–400 cm 1) Principal Component-Linear Discriminant
with spectral resolution of 4 cm 1 and 100 scans per Analysis (PC-LDA)
spectrum. Samples were pressed into ATR diamond crystal The use of chemometric methods, which are consisted by
with standardized pressure and each spectrum obtained application of multivariate statistical techniques for
represents the averaged from 10 replicates measured in interpretation of spectroscopic measurements, have been
each sample. widely used and fully succeed to characterize biological
Pre-processing data. ATR-FTIR data were vector- tissues [8,9,20]. Among these methods, principal compo-
normalized and second derivative of absorbance was nent analysis (PCA) is the most used for classification, as
calculated to reduce baseline offset and assess the over- well as for description and interpretation of the data set.
lapping sub-bands in raw spectrum. For signal-smoothing, Aiming to increase the efficiency of classification, PCA can
spectra were submitted to Savitzky–Golay filter with a be associated to Linear Discriminant Analysis (LDA),
polynomial of second order in an eleven points window. which provides data classification based on an optimized
Spectral analysis. Principal Component Analysis criterion for better class separability. In LDA, the
(PCA) was performed on second derivatives in the classification criterion is identified using the scatter
fingerprint spectral region (900–1,800 cm 1). In order to measure of within class and between class variance. In
evaluate the ability of PCA to classify spectral data, each PC-LDA association, PC scores obtained are used as input
group was analyzed against each other and the accuracy of data for LDA, resulting in a classification method that
sorting was calculated considering spectral distribution in filter out noise and employ optimum variables [26]. Thus,
PCA score plots. In addition, PCA-loadings were used to PC-LDA was applied on second derivatives of ATR-FTIR
evaluate the biochemical changes presented by samples in spectra and the method was validated by leave-one-out
all groups. All pre-processing steps and spectral analysis cross-validation (LOOCV), wherein the model is developed
were performed using software Matlab1 R2015 (Math- with an n-1 spectrum, and the left-out spectrum is tested to
Works, Natick, MA). verify the model.
FTIR TO EVALUATE THE EFFECTS INDUCED BY PDT 541

Fig. 1. Light microscopy of representative histological sections hematoxylin–eosin (H&E) stained;


(A) G1 represents healthy skin; (B) G2 is neoplastic lesion precursor of SCC; and (C) G3 is post-PDT
neoplastic lesion.

Figure 4 displays PCA score plots and loadings obtained principal component, which explains 12.3% of global
for groups compared to each other. Spectra from G1 are variance as depicted in Figure 4E.
represented by diamonds; G2 is depicted by black circles Considering the first two principal components as input
and stars are spectra related to G3. Dashed line centered in on LDA we calculated the accuracy, sensitivity, and
zero position of each score plot shows the best principal specificity of classification, as shown in Table 3.
component to discriminate the data set. According to For G1  G2, we considered true positive as PC-scores of
Figure 4A and C, which depicts score plots for G1  G2 and G2 spectra in G2 group the negative side of PC-1; true
G1  G3, the first principal component was the best PC to negative as PC-scores of G1 spectra in G1 group the
discriminate the groups and explained 37% and 31% of positive side of PC-1; false positive as PC-scores of G1
global variance, respectively. On the other hand, discrimi- spectra in G2 group the negative side of PC-1; and false
nation between G2 and G3 was better using the second negative as PC-scores of G2 spectra in G1 group the

Fig. 2. Fingerprint region (900–1800 cm 1) of averaged ATR- Fig. 3. Second derivatives of averaged spectra obtained for
FTIR spectra for healthy skin (G1), neoplastic tissue (G2), and healthy skin (G1), neoplastic tissue (G2), and post-PDT neoplastic
post-PDT neoplastic lesions (G3). lesions (G3).
542 LIMA ET AL.

TABLE 2. Biological Assignments for Vibrational Modes Observed in the Second Derivative of Averaged Spectra

Peak Assignment Ref. no.

1,028 Glycogen absorption due to C─O and C─C stretching [12,36,37]


and C─O─H deformation motions
1,082 PO 2 symmetric Glycogen absorption due to C─O and [12,36,38]
C─C stretching and C─O─H deformation motions
1,151 Glycogen absorption due to C─O and C─C stretching [12,36,37]
and C─O─H deformation motions
1,173 C─O stretching (in malignant tissues) [33,36]
1,204 Collagen [28,36,39,40]
1,236 PO 2 assymmetric Collagen [12,28,36,39]
1,282 Collagen [12,28,36,39]
1,338 Collagen [12,28,36,39]
1,517 Amide II [36]
1,624 b-sheet structure of amide I [41–44]
1,650 a-helix structure of amide I [36,42–44]

Fig. 4. PCA score plots and loadings obtained for pairwise comparison between the groups. A, C,
and E display scores for the first two principal components. B, D, and F show loadings associated
with the PC that better discriminated the data in the score plot. Black circles represent Neoplastic
group (G2); Stars display post-PDT neoplastic skin (G3); and diamond represent healthy skin (G1).
FTIR TO EVALUATE THE EFFECTS INDUCED BY PDT 543

TABLE 3. Distribution of the Dataset in Groups for the Calculus of the Accuracy of Clustering Classification

True True False False Accuracy Sensitivity Specificity


positive negative positive negative (%) (%) (%)

G1  G2 61 70 0 9 93.5 87.14 100


G1  G3 18 70 0 10 89.7 64.2 100
G2  G3 25 66 4 3 92.8 89.2 94.28

positive side of PC-1. In case of G1  G3, true positive are for G1  G2; 89.7% for G1  G3, and 92.8% in G2  G3.
PC-scores of G3 spectra in G3 group the negative side of Comparison of G2 and G3 against G1 showed similar
PC-1; true negative are PC-scores of G1 spectra in G1 results, and a decrease in vibrational modes related to the
group the positive side of PC-1; false positive as PC-scores glycogen and collagen fibers were observed, as well as an
of G1 spectra in G3 group the negative side of PC-1; and increase in bands associated with protein content.
false negative as PC-scores of G3 spectra in G1 group the Mantsch et al. identified the decrease in collagen as
positive side of PC-1. Finally, for the case of G2  G3, we typical for potentially malignant carcinomas [28], which
considered true positive as PC-scores of G3 spectra in G3 fits the lesions discussed in this work due to the moderate
group the negative side of PC-2; true negative as PC-scores dysplasia observed by histopathology. The same behavior
of G2 spectra in G2 group the positive side of PC-2; false was observed in the spectroscopic characterization of basal
positive as G2 spectra in G3 group the negative side of cell carcinoma [29] and was attributed to the degradation
PC-2; and false negative as PC-scores of G3 spectra in G2 of collagen fibers of extracellular matrix. In fact, some
group the positive side of PC-1. studies have outlined that certain tumor cells, including
Figure 4B, D, and F display loading plots related to SCC, release specific enzymes that degrade collagen fibers
principal components that better discriminated each data so that the tumor can spread through surrounding tissue
set. Positive scores are associated with negative loadings and metastasize to distant sites [30,31].
and negative scores relate to positive loadings because The decrease in glycogen on neoplastic tissues is
PCA technique was applied on second derivatives of ATR- probably a consequence of this cell content serving as a
FTIR spectra [27]. source of energy for keratinization of stratum corneum,
PC-1 loadings obtained with G1  G2 and G1  G3 proliferation of neoplastic cells and other cell activities
score plots showed similar loadings, as displayed by demands.
Figure 4B and D. In both cases, vibrational modes related A number of publications have reported an increase in
to glycogen (1,028, 1,082, and 1,151 cm 1), phosphate symmetric and asymmetric phosphate stretching from
stretchings (1,082 and 1,236 cm 1) and collagen fibers nucleic acids as a consequence of one of the most important
(1,204, 1,236, 1,282, and 1,338 cm 1) presented negative neoplastic cell features: the numerous and uncontrollable
loadings, which are correlated with positive scores along replication of the modified DNA [32–34]. However, the
PC-1. Thus, it is possible to conclude that G1 presents peak positions of these vibrational modes are also related
larger amount of the cell content related to these to other cell content. Thus, the effect of each structure may
vibrational modes. On the other hand, bands associated interact to each other and result in the amplification or
with protein content (Amides I and II) presented an reduction of measured absorbance. In this sense, we
increase in the spectra of G2 and G3 against G1, due to the suggest that the absorption intensity increase in wave-
presence of positive loadings at 1,517, 1,624, and numbers assigned to nucleic acids were masked by higher
1,650 cm 1, which are correlated with negative scores absorbance values presented by vibrational modes of other
along PC-1. structures absorbing in the same peaks.
For G2  G3, PC-2 was the principal component that Protein overexpression presented by G2 and G3 com-
better discriminated spectral data, and its loadings are pared to G1 may be a consequence of intense metabolic
displayed by Figure 4F. In this one, the band peaking at activity of neoplastic cells and its high demand for proteins
1,626 cm 1 presented negative loading, consequently, it is performing signaling pathways for proliferation of cancer
correlated with positive scores from PC-2. Hence, it can be cell, oncogenic kinases signaling, transcriptional regula-
concluded that G2 contain larger amount of proteins in tion, and other functions [15]. In addition to this, G2
b-sheet secondary structure. spectra showed higher value for the sub-band of Amide I
related to b-sheet secondary structure of proteins in
DISCUSSION comparison with G3 and was the only one to shift its
In the present work, we used ATR-FTIR spectroscopy peak position, suggesting changes in hydrogen bonding
associated with PCA to evaluate the biochemical effects between peptide groups and consequently in molecular
promoted by PDT in cutaneous neoplastic lesions precur- geometry of proteins.
sors of SCC. Similarity obtained for vibrational modes from G2 and
Associating ATR-FTIR and PC-LDA showed good G3 compared to G1 is an evidence that there are still some
accuracy on classifying the data set resulting in 93.5% active lesions in PDT-treated neoplastic skin, which match
544 LIMA ET AL.

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