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Journal of Clinical Oncology, Vol 26, No 4 (February 1), 2008: pp. 644-649 © 2008 American Society of Clinical Oncology. DOI: 10.1200/JCO.2007.14.1911 Phase II Trial of Preoperative Chemoradiotherapy Followed by Surgical Resection in Patients With Superior Sulcus Non–Small-Cell Lung Cancers: Report of Japan Clinical Oncology Group Trial 9806
From the Department of Medical Oncology and Division of Thoracic Surgery, National Cancer Center Hospital; Department of Thoracic Surgery, Tokyo Medical University; Japan Clinical Oncology Group Data Center, Center for Cancer Control and Information Services, National Cancer Center; Department of Thoracic Surgery, Cancer Institute Hospital, Tokyo; Department of Chest Surgery, National Kyushu Cancer Center, Fukuoka; Pulmonary Unit, Kobe City Medical Center General Hospital, Kobe; Department of Thoracic Surgery, National Cancer Center Hospital East, Kashiwa; Department of Thoracic Surgery, Aichi Cancer Center Hospital, Nagoya; Department of Surgery, National Hospital Organization Kinki-Chuo Chest Medical Center, Sakai; and Department of Thoracic Surgery, Osaka City General Hospital, Osaka, Japan Corresponding author: Hideo Kunitoh, MD, Department of Medical Oncology, National Cancer Center Hospital, 5-1-1 Tsukiji, Chuo-ku, Tokyo 104-0045, Japan; e-mail: hkkunito{at}ncc.go.jp
Purpose To evaluate the safety and efficacy of preoperative chemoradiotherapy followed by surgical resection for superior sulcus tumors (SSTs). Patients and Methods Patients with pathologically documented non–small-cell lung cancer with invasion of the first rib or more superior chest wall were enrolled as eligible; those with distant metastasis, pleural dissemination, and/or mediastinal node involvement were excluded. Patients received two cycles of chemotherapy every 4 weeks as follows; mitomycin 8 mg/m2 on day 1, vindesine 3 mg/m2 on days 1 and 8, and cisplatin 80 mg/m2 on day 1. Radiotherapy directed at the tumor and the ipsilateral supraclavicular nodes was started on day 2 of each course, at the total dose of 45 Gy in 25 fractions, with a 1-week split. Thoracotomy was undertaken 2 to 4 weeks after completion of the chemoradiotherapy. Those with unresectable disease received boost radiotherapy. Results From May 1999 to November 2002, 76 patients were enrolled, of whom 20 had T4 disease; 75 patients were fully assessable. Chemoradiotherapy was generally well tolerated. Fifty-seven patients (76%) underwent surgical resection, and pathologic complete resection was achieved in 51 patients (68%). There were 12 patients with pathologic complete response. Major postoperative morbidity, including chylothorax, empyema, pneumonitis, adult respiratory distress syndrome, and bleeding, was observed in eight patients. There were three treatment-related deaths, including two deaths owing to postsurgical complications and one death owing to sepsis during chemoradiotherapy. The disease-free and overall survival rates at 3 years were 49% and 61%, respectively; at 5 years, they were 45% and 56%, respectively. Conclusion This trimodality approach is safe and effective for the treatment of patients with SSTs.
Superior sulcus tumors (SSTs), involving structures at the thoracic inlet, represent a small subtype of non–small-cell lung carcinoma (NSCLC). These SSTs, first described by Henry Pancoast1,2 and thus also called Pancoast tumors, have posed a challenging problem for surgeons, radiation oncologists, and medical oncologists alike, ever since they were first described.3 Preoperative radiotherapy has long been the community standard in the management of SSTs.4-17 However, both the complete resection rate (approximately 50%) and long-term survival rate (approximately 30%) have remained poor and unchanged over the last 40 years, since the first treatment strategy was reported in the 1960s. Local control has remained the main problem,15,17,18 adversely affecting quality of life as well as survival of patients. Presence of mediastinal lymph node metastasis (N2 status) has been reported to be associated with a particularly poor prognosis.9,18 However, a series of clinical trials over the last two decades have shown concurrent chemoradiotherapy to be beneficial in the treatment of unresectable stage III NSCLC.19-21 The addition of chemotherapy to thoracic radiotherapy seems to suppress distant micrometastases,22,23 and giving concurrent chemotherapy with radiotherapy has been shown to yield improved local control19,24 with survival benefit. Encouraged by the promising data of concurrent chemoradiotherapy for N2 NSCLC, the Southwest Oncology Group (SWOG) applied this modality as preoperative therapy for patients with SSTs (SWOG 9416, Intergroup Trial 0160), and reported favorable results.25 The Japan Clinical Oncology Group (JCOG) launched another trial of this preoperative concurrent chemoradiotherapy, or the trimodality approach, for the treatment of SSTs in 1999, before the first report of SWOG 9416 was published. Our study was initiated to evaluate the safety and efficacy of this treatment strategy in this rare subset of patients with NSCLC. As the induction treatment, we used mitomycin, vindesine, and cisplatin (MVP) combination chemotherapy, which has been demonstrated to be safe and effective for concurrent chemotherapy with thoracic radiotherapy in Japanese trials.19
Eligibility Criteria Patients with untreated histologically or cytologically documented NSCLC involving the superior sulcus with clinical stage T3 or T4 disease were eligible for entry onto this study. T4 diseases included tumor invasion to the spine (including to a transverse process of vertebra), aorta, or superior vena cava; invasion to the chest wall or subclavian vessels was included in T3 disease. Involvement of the superior sulcus was confirmed by computed tomographic (CT) or magnetic resonance imaging (MRI) evidence of tumor invasion of the first rib or more superior chest wall. Patients with pleural or pericardial dissemination, malignant effusion, and/or distant metastasis (M1) were excluded. Those with clinical N2 disease (mediastinal node involvement) were also excluded; all mediastinal nodes measuring 1.0 cm in size on CT images were required to be biopsied and documented to be negative for metastasis before patient enrollment. However, those with ipsilateral supraclavicular node involvement (N3) were eligible, unless it was accompanied by mediastinal node metastasis. Each patient was required to fulfill the following criteria: 15 to 74 years of age, Eastern Cooperative Oncology Group performance status of 0 to 1; adequate organ function (ie, leukocyte count 4,000/µL, platelet count 105/µL, hemoglobin 11.0 g/dL, serum creatinine less than 1.5 mg/dL, creatinine clearance 60 mL/min, serum bilirubin less than 1.5 mg/dL, serum ALT and AST less than double the upper limit of the institutional normal range, arterial partial pressure of oxygen 70 mmHg, and predicted postoperative forced expiratory volume in 1 second 0.8 L. From July 2001, when the protocol was revised after the death of a patient from septic shock during chemoradiotherapy, those patients with systemic use of corticosteroids were excluded. Patient eligibility was confirmed by the JCOG Data Center before patient registration. This study was approved by the institutional review boards at each participating center, and written informed consent was obtained from all patients.
Treatment Plan The second cycle of chemotherapy was postponed until all the severe toxicities recovered to grade 1 or 0. If the second cycle could not be started within 2 weeks of the due date, it was canceled, and the patient received only preoperative radiotherapy, if possible.
Induction radiotherapy.
Thoracic radiotherapy was started with a linear accelerator ( Surgery. After the induction chemoradiotherapy, each case was re-evaluated to determine the clinical response and resectability. The resectability of the tumor was determined by the multimodality team of each institution, irrespective of the clinical response (tumor shrinkage). Surgical resection of the tumor was performed 2 to 4 weeks after the completion of the induction therapy. The surgical procedures undertaken included lobectomy or pneumonectomy, with systematic node dissection. Standard systematic node dissection, ND2, includes complete removal of the hilar and mediastinal nodes. Less complete dissection includes ND0 (ie, no systematic dissection with or without lymph node sampling) or ND1 (ie, hilar node dissection with or without mediastinal lymph node sampling). Boost therapy. For unresected or incompletely resected cases, boost radiotherapy of 21.6 Gy in 12 fractions was given. Those who were judged to have undergone complete resection were followed up without additional therapy until clinical evidence of recurrence.
Patient Evaluation and Follow-Up Chemotherapy toxicity was evaluated according to the JCOG Toxicity Criteria,26 modified from the National Cancer Institute Common Toxicity Criteria version 1. Tumor responses were assessed radiographically according to the standard, two-dimensional WHO criteria27 and were classified into complete response (CR), partial response, no change, progressive disease (PD), and not assessable. Response confirmation at 4 weeks or longer intervals was not necessitated. After curative resection and/or definitive boost radiotherapy, the patients were followed up with periodic re-evaluation, including with chest CT, as well as a systemic survey every 6 months for the first 3 years.
Central Review
Statistical Considerations Secondary end points included the objective tumor response to chemotherapy, complete resection rate, and postsurgical morbidity/mortality. Both overall survival (OS) and progression-free survival (PFS) were calculated from the date of enrollment by the Kaplan-Meier method. For exploratory analysis to identify prognostic factors, the OS or PFS of subgroups was compared by two-sided log-rank tests. All analyses were performed with the SAS software version 8.2 (SAS Institute, Cary, NC).
Patient Characteristics From May 1999 to November 2002, 76 patients from 19 institutions were enrolled onto the study. Three patients were ineligible. One patient was found to have concomitant anemia and did not receive the protocol treatment. Two others were found ineligible by the central review, after completion of the protocol therapy; the tumor was judged not to involve the first rib in one case, and in the other, a mediastinal node was judged to be enlarged on chest CT, without confirmation by mediastinoscopy. These two cases were included in the analysis. Therefore, 75 patients were analyzed to determine the toxicities, response rates, surgical and pathologic results, PFS, and OS. All 76 patients were included in the analysis of the patient characteristics, as shown in Table 1. In each of the T4 cases, the tumor was judged to have involved the spine. Nodal status was clinically determined and was pathologically confirmed in only a few cases.
Induction Therapy Delivery and Toxicity The study schema with the actual numbers of patients receiving the protocol therapy is shown in Appendix Figure A1 (online only). The induction therapy could be completed in 71 (95%) of the 75 patients. The treatment was terminated in the remaining four patients after only one course of chemotherapy (owing to the development of adverse events in two cases, patient refusal in one case, and early toxicity-related death in one case). Table 2 lists the major toxicities of the protocol therapy. They were mainly hematologic, and although more than 80% of the patients experienced neutropenia/leukopenia, they were generally transient and not complicated by infection/fever. Overall, toxicities were well tolerated. There was one toxic death on chemoradiotherapy day 6 as a result of severe myelosuppression and subsequent development of septic shock.
Clinical Response to the Induction Therapy The clinical responses of the 75 eligible patients to induction therapy were judged radiologically and confirmed by the central review. The responses were as follows: CR, 0 patients; partial response, 46 patients; no change, 22 patients; PD, five patients; not assessable, two patients. The overall response rate was 61% (95% CI, 49% to 72%).
Surgical and Pathologic Results The results of thoracotomy were as follows: gross residual tumor (R2 resection, including one with probe thoracotomy), three patients; microscopically residual tumor on pathologic review (R1 resection), three patients; complete surgical and pathologic resection (R0 resection), 51 patients. Pathologic downstaging of the tumor as compared with the clinical stage before induction therapy was achieved in 23 patients (40% of the patients who underwent surgery); this is an inherently inaccurate figure and should be interpreted as such, owing to the lack of pathologic confirmation of the c stage at presentation. Pathologic CR, with no residual viable tumor cells in the resected specimens, was achieved in 12 patients (16% of the 75 treated patients). Table 3 lists the surgical and pathologic results according to the initial clinical T factor.
The major postoperative morbidities included adult respiratory distress syndrome (ARDS) in two patients, empyema in two patients, chylothorax in two patients, and pneumonitis in two patients. One patient died of sudden major bleeding on postoperative day 24. The bleeding was identified at autopsy as being from an intercostal artery. Another patient died of ARDS after off-protocol pneumonectomy. The patient had been judged to have PD in response to the induction therapy as a result of emergence of intrapulmonary metastases. The attending surgeon and the patient agreed to salvage surgery, and the patient developed postoperative ARDS. Thus the total number of toxic deaths was three, including one caused by septic shock during the induction, one by delayed postoperative bleeding, and one by the development of ARDS after off-protocol, salvage surgery.
Boost Therapy
PFS and OS
Pattern of Relapse So far, 39 patients have experienced tumor relapse. Table 4 lists the initial relapse sites, according to the curative extent of the surgical resection. For unresected or incompletely resected cases, locoregional relapse was predominant. To the contrary, for completely resected cases, relapse at distant sites was the most frequent relapse pattern, with some brain-only relapse patients.
We conducted a multi-institutional phase II trial of a trimodality approach, namely, preoperative chemoradiotherapy followed by surgical resection, in patients with SSTs. Because of the rarity of this subtype of NSCLC, no randomized trial has been conducted previously.28 Our report is the second of a large-scale, prospective trial after SWOG 9416/INT 0160 and reproduced its favorable outcomes.25 The long-term results of the SWOG 9416/INT 0160 trial were recently published.29 Although the chemotherapy regimens used were different, a standard classic platinum-based combination was used in both. The preoperative radiotherapy doses were also identical (45 Gy), although a 1-week split (interval between two sessions) was included in our protocol (but not in the SWOG trial). Boost chemotherapy was planned after curative resection in the SWOG trial, but the compliance rate was poor,25 as in other perioperative therapy reports; we had anticipated that the majority of the patients would not be fit enough for additional toxic therapy after a major thoracic surgery and did not include it in our protocol. Despite these minor differences, the results of the two trials were strikingly similar (Table A1, online only). The radiologic response rate was higher, whereas the pathologic CR rate was lower in our trial, but the differences were probably not clinically relevant, considering interobserver differences in the response evaluation and the well-known discrepancy between clinical versus pathologic effects. The intensive trimodality approach was found to be feasible in both reports, with a reasonably low toxic death rate of 4%. The resection rate, which had remained unchanged at approximately 50% for almost 40 years with conventional preoperative radiotherapy, was approximately 70% in both studies. Particularly noteworthy was the reproducibility of the favorable survival data, with a 5-year OS rate of 44% in the United States trial and 56% in our trial, which were clearly superior to the historical value of 30%.3,25 A shift in the trend of clinical problems also became clear.25,28, 29 The relapse patterns changed from predominantly locoregional17,18 to mainly distant recurrences in cases with complete resection,25,28,29 and a significant number of such patients suffered from metastasis in the brain as the initial site of relapse.29 To the contrary, complete resection could be achieved in less than half of the patients with c-T4 disease, and neither local control nor long-term survival was satisfactory in those in whom it could not be achieved. It seems that there might be room for improvement in radiotherapy. Several questions remain unresolved. One is that of management of patients with mediastinal node involvement. These clinical N2 cases have been known to have the poorest prognosis9,18 and were excluded from both the SWOG and JCOG trials. Although trimodality approaches have been reported in cases with clinical N2 stage NSCLC,30,31 inclusion of the hilar and mediastinal nodes in the irradiation field increased the toxicity risk to an unacceptable level in our prior phase II trial (JCOG 9805).32 In addition to the unresolved questions above, our study also had a critical limitation. Although this was a prospective, large-scale, and multi-institutional trial, no definite conclusions could be obtained from the single-arm phase II study. As repeatedly pointed out, however, a phase III trial would be unrealistic due to the rarity of SSTs. Possibly, clinical questions common with other patient subsets could be tested in a phase III trial targeting a broader patient population; for example, patients with SSTs and other stage III NSCLC could be enrolled onto a phase III trial of prophylactic cranial irradiation after definitive induction therapy.33 In conclusion, we report a favorable outcome of preoperative chemoradiotherapy in patients with SSTs, confirming the results of the previous SWOG/Intergroup trial. We believe that this strategy may be acceptable as standard for the treatment of this disease and also serves as a reference for future trials.
The author(s) indicated no potential conflicts of interest.
Conception and design: Hideo Kunitoh, Harubumi Kato, Nagahiro Saijo Financial support: Nagahiro Saijo Administrative support: Nagahiro Saijo Provision of study materials or patients: Hideo Kunitoh, Harubumi Kato, Masahiro Tsuboi, Hisao Asamura, Yukito Ichonose, Nobuyuki Katakami, Kanji Nagai, Tetsuya Mitsudomi, Akihide Matsumura, Ken Nakagawa, Hirohito Tada Collection and assembly of data: Masahiro Tsuboi, Taro Shibata Data analysis and interpretation: Taro Shibata Manuscript writing: Hideo Kunitoh, Taro Shibata Final approval of manuscript: Hideo Kunitoh, Harubumi Kato, Masahiro Tsuboi, Taro Shibata, Hisao Asamura, Yukito Ichonose, Nobuyuki Katakami, Kanji Nagai, Tetsuya Mitsudomi, Akihide Matsumura, Ken Nakagawa, Hirohito Tada, Nagahiro Saijo
Appendix 1. Sample Size Calculations The sample size was initially calculated based on the following assumptions: expected 3-year survival rate of 50% versus threshold value of 30%. To attain 90% power with a one-sided error of 0.05, the required sample size was at least 49 patients. Hence the initial study design envisioned enrollment of 50 fully eligible patients over 3 years. In October 2001, when the first report by the SWOG 9416 (Rusch VW, Giroux DJ, Kraul MJ, et al: J Thorac Cardiovasc Surg 121:472-483, 2001) had been available, the protocol was modified to set the sample size at 75 patients, with 70 patients being fully eligible. The revision was based on the updated assumption of an expected 3-year survival rate of 50% versus threshold value of 33%. The 3-year survival rate was estimated by the Kaplan-Meier method and presented with 95% CI. This sample size was expected to yield a 95% CI of the 3-year survival rate of ± 12%, whereas the original sample size would have yielded a value of ± 14%.
Appendix 2. Study Participants
We thank Mieko Imai for data management and Takashi Asakawa and Naoki Ishizuka, PhD, for statistical analyses.
Supported by the Grant-in-Aid for Cancer Research from the Ministry of Health, Labour and Welfare of Japan (Grants No. 11S-2, 11S-4, 14S-2, 14S-4, 17S-2, and 17S-5). Presented in part at the 39th Annual Meeting of the American Society of Clinical Oncology, May 31-June 3, 2003, Chicago, IL, and at the 11th World Conference on Lung Cancer, July 3-6, 2005, Barcelona, Spain. Authors disclosures of potential conflicts of interest and author contributions are found at the end of this article.
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Copyright © 2008 by the American Society of Clinical Oncology, Online ISSN: 1527-7755. Print ISSN: 0732-183X
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