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The Use of Valeriana officinalis (Valerian) in Improving Sleep in Patients Who Are Undergoing Treatment for Cancer: A Phase III Randomized, Placebo-Controlled, Double-Blind Study (NCCTG Trial, N01C5)

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The Use of Valeriana officinalis (Valerian) in Improving Sleep in Patients Who Are Undergoing Treatment for Cancer: A Phase III Randomized, Placebo-Controlled, Double-Blind Study (NCCTG Trial, N01C5)

Original research

The Use of Valeriana officinalis (Valerian) in Improving Sleep in Patients Who Are Undergoing Treatment for Cancer: A Phase III Randomized, Placebo-Controlled, Double-Blind Study (NCCTG Trial, N01C5)

Debra L. Barton RN, PhD, AOCN, FAAN

, a,
, Pamela J. Atherton MSa, Brent A. Bauer MDa, Dennis F. Moore Jr MDa, Bassam I. Mattar MDa, Beth I. LaVasseur RNa, Kendrith M. Rowland Jr MDa, Robin T. Zon MDa, Nguyet A. LeLindqwister MDa, Gauri G. Nagargoje MDa, Timothy I. Morgenthaler MDa, Jeff A. Sloan PhDa and Charles L. Loprinzi MDa

a Mayo Clinic Rochester, Rochester, and Metro-MN CCOP, St. Louis Park, Minnesota; Wichita Community Clinical Oncology, Wichita, Kansas; Michigan Cancer Research Consortium, Ann Arbor, Michigan; Carle Cancer Center CCOP, Urbana, and the Illinois Oncology Research Association CCOP, Peoria, Illinois; Northern Indiana Cancer Research Consortium, South Bend, Indiana

Received 19 April 2010; 

accepted 13 December 2010. 

Available online 13 February 2011.

Abstract

Sleep disorders are a substantial problem for cancer survivors, with prevalence estimates ranging from 23% to 61%. Although numerous prescription hypnotics are available, few are approved for long-term use or have demonstrated benefit in this circumstance. Hypnotics may have unwanted side effects and are costly, and cancer survivors often wish to avoid prescription drugs. New options with limited side effects are needed. The purpose of this trial was to evaluate the efficacy of a Valerian officinalis supplement for sleep in people with cancer who were undergoing cancer treatment. Participants were randomized to receive 450 mg of valerian or placebo orally 1 hour before bedtime for 8 weeks. The primary end point was area under the curve (AUC) of the overall Pittsburgh Sleep Quality Index (PSQI). Secondary outcomes included the Functional Outcomes of Sleep Questionnaire, the Brief Fatigue Inventory (BFI), and the Profile of Mood States (POMS). Toxicity was evaluated with both self-reported numeric analogue scale questions and the Common Terminology Criteria for Adverse Events (CTCAE), version 3.0. Questionnaires were completed at baseline and at 4 and 8 weeks. A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007, with 119 being evaluable for the primary end point. The AUC over the 8 weeks for valerian was 51.4 (SD = 16), while that for placebo was 49.7 (SD = 15), with a P value of 0.6957. A supplemental, exploratory analysis revealed that several fatigue end points, as measured by the BFI and POMS, were significantly better for those taking valerian over placebo. Participants also reported less trouble with sleep and less drowsiness on valerian than placebo. There were no significant differences in toxicities as measured by self-report or the CTCAE except for mild alkaline phosphatase increases, which were slightly more common in the placebo group. This study failed to provide data to support the hypothesis that valerian, 450 mg, at bedtime could improve sleep as measured by the PSQI. However, exploratory analyses revealed improvement in some secondary outcomes, such as fatigue. Further research with valerian exploring physiologic effects in oncology symptom management may be warranted.

Article Outline

Pharmacological Treatments for Insomnia

The Use of Valeriana officinalis for Sleep

Methods

Results

Discussion

Acknowledgements

References

Disordered sleep has been found to be common in cancer survivors and to contribute to fatigue and impaired overall functioning. The true prevalence and incidence of sleep disorders in the oncology population is not well documented, though reports range from 23% to 61%.[1], [2], [3], [4], [5], [6], [7] and [8] Some research suggests that sleep–wake disturbances are more prevalent in patients with cancer than in other populations.9 In addition, Miller and colleagues6 suggest that a disturbed sleep–wake cycle may well be a main predictor of, and contributor to, other symptoms such as fatigue, depressed mood, and cognitive dysfunction. Evaluating and improving sleep may have broad ramifications for cancer survivors.

Insomnia is present when there is repeated difficulty initiating or maintaining sleep or impairment in sleep quality that occurs despite adequate time and opportunity for sleep, and there is some form of daytime impairment as a result.10 Secondary insomnia is denoted when insomnia is prominent and develops in the setting of another primary medical or psychiatric illness or in the setting of a separate sleep disorder such as sleep apnea.[10], [11] and [12] Sleep disturbance can be associated with poor work performance, increased anxiety and depression, poor cognitive functioning, and impairment of overall quality of life (QOL).[13], [14], [15] and [16] A recent Institute of Medicine report highlighted the severe costs to individuals and society of untreated insomnia.17

Davidson and colleagues2 conducted a cross-sectional descriptive study in six malignant disease clinics from a regional cancer center in Canada. Those surveyed included patients with breast, gastrointestinal, gynecological, genitourinary, lung, and nonmelanoma skin cancers. Insomnia was defined as a report of trouble sleeping on at least 7 of the previous 28 nights, interfering with daytime functioning. More patients who had treatment within the past 6 months reported insomnia, use of sleeping pills, sleeping more than usual, or fatigue. There were no differences based on type of cancer or treatment. Baker and colleagues18 surveyed 752 adult patients who had been diagnosed with 1 of the 10 most commonly occurring cancers to identify which problems cancer survivors experience in dealing with their cancer and its treatment 1 year after diagnosis. Sleep difficulties ranked fifth on the list and were reported by 48% of the sample.

Fatigue is related to sleep disturbance. Although cancer-related fatigue is not necessarily relieved by sleep or rest, insomnia and sleep disturbances clearly contribute to fatigue issues. Fatigue and sleep disturbances are undoubtedly interwoven symptoms and may be difficult to separate. It is not known how much variance in fatigue is explained by sleep problems or in what situations sleep is a major contributor.

Pharmacological Treatments for Insomnia

Because sleep complaints are common, hypnotics are among the most commonly prescribed medications for cancer patients, being prescribed for insomnia in up to 44% of patients.19 Agents most commonly used are benzodiazepine receptor agonists, including true benzodiazepines, such as flurazepam, triazolam, quazepam, estazolam, and temazepam, and the nonbenzodiazepine agents zolpidem (Ambien®), zaleplon (Sonata®), and eszopiclone (Lunesta®), which decrease subjective time to sleep onset, improve sleep efficiency, decrease the number of awakenings, and increase total sleep duration.[20], [21], [22] and [23] Eszopiclone, extended-release formulations of zolpidem (Ambien), and ramelteon (a melatonin receptor agonist) are approved for prolonged use in patients with chronic insomnia;24 but other hypnotics lack well-established effectiveness and safety data for use beyond brief intervals in situational insomnia or as part of a combined approach using cognitive-behavioral therapy (CBT) and brief pharmacological therapy.

In general, improvements in various sleep end points with pharmacologic therapy have been modest, with mean differences in sleep latency being about 15 minutes, wake after sleep onset improving by about 26 minutes, and total sleep time improving by about 40 minutes.[22], [24] and [25] Although subjective improvements are often noted, hypnotic medications are associated with a number of risks, including residual next-day hypersomnia, dizziness, lightheadedness, impaired mental status, and increased risk of falls and hip fractures, especially in elderly patients when taking longer-acting hypnotics.[26], [27], [28], [29], [30] and [31] Clearly, better options to improve sleep are still needed.

The Use of Valeriana officinalis for Sleep

Valeriana officinalis is a perennial herb found in North America, Europe, and Asia. In the United States, it is primarily sold as a sleeping aid, while in Europe it is used for restlessness, tremors, and anxiety. There are three main chemicals that are thought to be the active components of the plant. These are the essential oils valerenic acid and valenol, valepotriates, and a few alkaloids. Herbal extracts of V. officinalis can be ground root, aqueous or aqueous-alcoholic extracts using 70% ethanol and herb-to-extract ratios of 4–7:1. Single recommended doses range from 400 to 900 mg at bedtime.32 Most sleep studies have used 400 or 450 mg for their trials, with a couple of dose-finding trials showing that 900 mg was not significantly better than 450 mg.[33] and [34] The main impact of valerian from those studies has been on sleep latency (time to fall asleep), and this has improved more in patients who had reported a longer time to fall asleep and who considered themselves poor sleepers.[33], [34], [35], [36] and [37]

Most reviews proclaim V. officinalis to be a safe herb with no drug interactions, the only adverse event being daytime sedation at higher doses.[38] and [39] Anecdotal reports of side effects include headaches, nausea, heart palpitations, and benzodiazepine-like withdrawal symptoms when stopping the agent.40 Some concern has been raised as to whether valerian might interfere with cytochrome P-450 metabolism. An article by Budzinski and colleagues reviews numerous herbs and quantitates their interaction with cytochrome P-450.41 Out of 21 herbs tested, V. officinalis ranked at the bottom of interaction potential, rating a 15 out of a possible 16 (1 being the highest, 16 being the lowest).

The cost of V. officinalis, compared to other prescription sleep aids, is less, with a 1-month supply costing around $10 per month. By contrast, zolpidem, for example, costs over $80 per month.

Therefore, based on the favorable toxicity profile, low cost, and promising but limited pilot data, this current trial was designed to evaluate 450 mg of valerian at bedtime for sleep disturbance.

Methods

The primary purpose of this trial was to assess the effect of a standardized preparation of valerian in improving sleep in patients undergoing therapy for cancer. Secondary goals were to assess its safety as well as effect on anxiety, fatigue, and activities of daily living.

Patients eligible for this trial included adults diagnosed with cancer and receiving therapy (radiation, chemotherapy, oral antitumor agents, or endocrine therapy). Patients had to report difficulty sleeping of 4 or more on a scale of 0–10, had to have a life expectancy ≥6 months, and had to have an Eastern Cooperative Oncology Group (ECOG) performance score (PS) of 0 or 1. They could not have an abnormally elevated serum glutamic-oxaloacetic transaminase (SGOT) and/or alkaline phosphatase. Patients were excluded for prior use of valerian for sleep, use of other prescription sleep aids in the past 30 days, or a diagnosis of obstructive sleep apnea or primary insomnia per Diagnostic and Statistical Manual, 4th edition (DSM-IV), criteria. Pregnant and nursing women were also excluded, as were patients with known sleep disturbance etiologies such as nighttime hot flashes, uncontrolled pain, and/or diarrhea.

Participants were randomized to receive 450 mg of oral valerian or placebo, to be taken 1 hour before bedtime for 8 weeks. The valerian used was pure ground, raw root, from one lot and standardized to contain 0.8% valerenic acid. Valerian capsules and matching placebo, a gelatin capsule, were supplied by Hi-Health (Scottsdale, AZ). Both valerian and placebo were stored in the same containers so that the placebo would acquire some of the valerian smell. Self-report booklets were completed at baseline and at weeks 4 and 8 and contained the Pittsburgh Sleep Quality Index (PSQI),42 the Profile of Moods States (POMS),43 the Functional Outcomes of Sleep Questionnaire (FOSQ),44 and the Brief Fatigue Inventory (BFI).45 Assessments were scored according to the appropriate algorithms, and total and subscale scores were transformed to a 0–100 scale, with 100 being best. Self-reported symptoms were recorded weekly using a self-report numeric analogue scale, called the Symptom Experience Diary (SED). Toxicity was also assessed every 2 weeks during a clinical research associate/nurse phone call using the Common Terminology Criteria for Adverse Events (CTCAE, v 3.0).

The primary end point was the normalized (averaged) area under the curve (AUC) of the PSQI between the two arms, compared using the Kruskal-Wallis test. Secondary analyses compared AUC scores of other assessments and toxicity incidence. Toxicity comparisons were performed using the chi-squared test or the Kruskal-Wallis test, as appropriate. As an intent-to-treat (ITT) analysis, using chi-squares tests, patients were categorized as a success if there was a 10-point improvement in the assessment score at week 4 or 8 and a failure if there was no improvement or data were missing.

All hypothesis testing was carried out using a two-sided alternative hypothesis and a 5% Type I error rate. A two-sample t-test with 100 patients per group provided 94% power to detect 50% times the standard deviation (SD) of the end point under study.46 This effect size is considered moderate and has been declared the minimally clinically significant difference for QOL end points.[47] and [48]

Results

A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007. The consort diagram depicts the flow of data (Figure 1). Twenty-three patients withdrew before starting the study treatment. Primary end-point data were available on 119 patients (62 receiving valerian and 57 receiving placebo). Baseline characteristics and baseline patient reported outcomes were well balanced between arms with no statistically significant differences ([Table 1] and [Table 2]).

 

 



Figure 1. 

Consort Diagram

Table 1. Demographic Characteristics

VALERIAN (N = 102)PLACEBO (N = 100)P
Gender0.387
 Female82 (80%)85 (85%)
Age (years)0.546
 Mean (SD)59.5 (11.95)58.3 (12.71)
Sleep scale group0.963
 Mildly impaired67 (66%)66 (66%)
 Moderately or severely impaired35 (34%)34 (34%)
Sleep scale score0.841
 Mean (SD)6.6 (1.43)6.6 (1.69)
Primary tumor site0.526
 Breast64 (63%)66 (67%)
 Colon9 (9%)5 (5%)
 Prostate3 (3%)1 (1%)
 Other25 (25%)27 (27%)
Tumor status0.322
 Resected with no residual64 (64%)71 (71%)
 Resected with known residual17 (17%)12 (13%)
 Unresected19 (19%)13 (14%)
Treatment type0.966
 Radiation therapy6 (5.9%)6 (6%)
 Parenteral chemotherapy38 (37%)39 (39%)
 Oral therapy40 (39%)40 (40%)
 Combined modality18 (18%)15 (15%)
Concurrent radiation0.926
 Yes23 (23%)22 (22%)
Concurrent cancer therapy0.679
 Yes56 (55%)52 (53%)
Planned or concurrent hormone0.667
 Yes51 (51%)53 (54%)

Table 2. Distribution of Baseline Assessment Scores

VALERIAN (N = 101)PLACEBO (N = 96)P
PSQI total10.695
 Mean (SD)41.3 (13.92)42.4 (14.97)
POMS-SF total0.883
 Mean (SD)65.0 (14.28)63.9 (16.46)
FOSQ total0.927
 Mean (SD)73.7 (16.07)72.8 (18.37)
Fatigue Now0.285
 Mean (SD)45.7 (24.41)49.4 (25.00)
Usual Fatigue0.216
 Mean (SD)46.8 (23.27)51.1 (24.73)
Worst Fatigue0.522
 Mean (SD)35.2 (24.67)37.9 (26.37)
Total Interference0.268
 Mean (SD)61.4 (25.05)57.1 (27.37)

The primary end point of treatment effectiveness was measured using the normalized AUC calculated using baseline, week 4, and week 8 PSQI total scores. The Wilcoxon rank-sum test P value for the total PSQI score was nonsignificant (valerian AUC = 51.4, SD = 16; placebo AUC = 49.7, SD = 15; P = 0.696) (Figure 2). Similarly the FOSQ was not significantly different between groups either overall or on any subscale score.



Figure 2. 

Pittsburgh Sleep Quality Index Overall Score, AUC

Supplemental and exploratory analyses using changes from baseline, however, showed a significant difference in the change from baseline in the amount of sleep at night at week 4 (P = 0.008), favoring the valerian group. Change from baseline in the categorical value for sleep latency was also significantly different at week 4, where 10% of valerian patients indicated longer time to fall asleep compared to 28% on placebo and 43% of valerian patients reported less time to fall asleep compared to 32% on placebo (P = 0.03) (Table 3). The ITT analysis indicated that about 9% more patients experienced a success on valerian relative to placebo, but this was not statistically significant. When scores on the PSQI were divided into ≤5 and >5 (this latter group representing sleep problems), there were fewer patients in the valerian group having sleep problems by week 8 (64% vs 80%, P = 0.56).

Table 3. Percent of patients reporting categorical changes from baseline on the Pittsburgh Sleep Quality Index Subscales

VALERIANPLACEBOP
Sleep quality0.199
 Week 4
  Worse2 (3%)5 (8%)
  Same33 (49%)37 (57%)
  Better33 (49%)23 (35%)
 Week 80.927
  Worse3 (5%)2 (3%)
  Same26 (41%)25 (42%)
  Better35 (55%)32 (54%)
Sleep latency0.030
 Week 4
  Worse6 (10%)18 (28%)
  Same30 (48%)26 (40%)
  Better27 (43%)21 (32%)
 Week 80.072
  Worse3 (5%)11 (18%)
  Same28 (47%)29 (48%)
  Better27 (47%)21 (34%)
Sleep duration0.244
 Week 4
  Worse6 (9%)10 (16%)
  Same26 (39%)29 (46%)
  Better34 (52%)24 (38%)
 Week 80.148
  Worse8 (13%)4 (7%)
  Same19 (31%)28 (48%)
  Better34 (56%)27 (46%)
Sleep efficiency0.295
 Week 4
  Worse7 (12%)13 (22%)
  Same26 (43%)23 (39%)
  Better28 (46%)23 (39%)
 Week 80.758
  Worse11 (19%)9 (16%)
  Same19 (33%)22 (39%)
  Better28 (48%)25 (45%)
Sleep disturbance0.738
 Week 4
  Worse9 (15%)11 (18%)
  Same41 (66%)40 (67%)
  Better12 (19%)9 (15%)
 Week 80.177
  Worse10 (16%)7 (13%)
  Same35 (57%)41 (73%)
  Better16 (26%)8 (14%)
Daytime dysfunction0.114
 Week 4
  Worse6 (9%)13 (19%)
  Same42 (60%)40 (60%)
  Better22 (31%)14 (21%)
 Week 80.478
  Worse6 (10%)8 (13%)
  Same27 (43%)31 (50%)
  Better30 (48%)23 (37%)

While the POMS AUC scores indicated no difference between treatment arms, the mean change from baseline at weeks 4 and 8 was significantly different for the Fatigue-Inertia subscale at weeks 4 (P = 0.004) and 8 (P = 0.02), with the valerian arm reporting better scores (Table 4). On the BFI, the valerian arm scored significantly better than the placebo arm in the mean change from baseline at weeks 4 and 8 on the Fatigue Now (P = 0.003 and P = 0.01, respectively) and Usual Fatigue (P = 0.02 and P = 0.046, respectively) items (Table 4).

Table 4. Brief Fatigue Inventory (BFI) and Profile of Mood States (POMS): Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
BFI
 Fatigue NowWeek 413.21.5<0.01
Week 822.110.5<0.01
 Usual FatigueWeek 412.84.20.02
Week 819.410.00.05
 Worst FatigueWeek 411.23.20.03
Week 814.812.40.65
 Activity InterferenceWeek 46.24.10.75
Week 812.310.80.75
POMS
 Anger-HostilityWeek 43.52.00.53
Week 83.94.20.89
 Vigor-ActivityWeek 42.0-0.40.43
Week 82.04.70.34
 Depression-DejectionWeek 43.75.50.21
Week 83.75.40.25
 Confusion-BewildermentWeek 44.82.60.26
Week 85.33.40.79
 Fatigue-InertiaWeek 413.92.8<0.01
Week 817.59.20.02
 TensionAnxietyWeek 46.35.60.85
Week 89.28.90.54
 Total scoreWeek 45.73.00.19
Week 86.96.00.90

In terms of toxicity, there were no significant differences between arms for the self-reported side effect items (headache, trouble waking, nausea) at baseline, week 4, or week 8 (Table 5). The valerian arm change from baseline at both weeks 4 and 8 showed significant improvement in drowsiness (P = 0.04 and P = 0.03, respectively) and sleep problems (P = 0.005 and P = 0.03, respectively) compared to placebo (Table 5). The maximum severity over time for each self-reported toxicity resulted in no significant differences between arms. There was a significant difference in the CTCAE reporting of alkaline phosphatase, with the placebo arm having a higher incidence of grade 1 toxicity (P = 0.049).

 

 

Table 5. Self-Reported Side Effects: Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
NauseaWeek 43.0–2.10.07
Week 83.40.00.06
HeadacheWeek 44.81.50.09
Week 86.74.60.27
Trouble wakingWeek 48.84.30.42
Week 89.55.70.36
DrowsinessWeek 421.09.70.04
Week 824.014.00.03
Sleep problemsWeek 418.74.3<0.01
Week 824.013.00.03


Discussion

This study failed to identify any significant improvements in sleep as measured by the overall PSQI or the FOSQ in this population. This corroborates data from a recent study by Taibi and colleagues,49 who evaluated 300 mg of valerian, taken half an hour before bed. They reported that valerian did not improve any self-reported or polysomnographic sleep outcomes significantly more than placebo. The Taibi et al. study has several possible limitations, including a small sample size (n = 16), a dose lower than that used in the majority of pilot trials with promising results, and a duration of only 15 days on the study agent.

The current study is one of the few randomized placebo-controlled trials evaluating pharmacological treatment of insomnia complaints among cancer patients. Most randomized trials of treatments directed at insomnia in cancer patients compare CBT with usual care or wait-list care and find it of substantial benefit.[50], [51], [52], [53], [54], [55], [56], [57], [58] and [59] One prior trial in terminal cancer patients evaluated intravenous agents for effectiveness, and another controlled trial found mirtazapine to be effective at improving sleep complaints in cancer patients with depression.[51] and [60] Otherwise, there are no other controlled trials assessing pharmacologic agents to primarily address sleep-related complaints in cancer patients.

While there was no significant improvement in sleep quality as assessed by the PSQI, there were consistent improvements in the secondary fatigue outcomes as measured by both the BFI and the POMS Fatigue-Inertia subscale. Although caution is required in interpreting these secondary results, the raw differences in change scores between the two arms are fairly large, often over 10 points (on a 100-point scale). In addition, several other secondary end points—change from baseline related to sleep latency, amount of sleep per night, improvement in sleep problems, and less drowsiness—all support the valerian arm outperforming placebo.

There are several hypotheses related to the inconsistencies in the results. The PSQI may measure different dimensions of well-being from the BFI or POMS, the former concentrating on sleep-quality measures, while the latter two concentrate on daytime symptoms. The correlation between sleep-quality and daytime symptoms may not be very strong in this study's population. Another possibility is that there was a beta-error. Some of the data were incomplete due to the patients' inability to complete the questionnaires appropriately. The power analysis suggested 100 patients per arm were required, and only about 60 per group provided data for analysis. Another hypothesis is that the effects of valerian were too modest and limited to one aspect, perhaps sleep latency, that were not detectable with multidimensional scales such as the PSQI or the FOSQ that look at impact on activity.

There were more patients who withdrew from the placebo arm early compared to the valerian arm. The reasons for this are not known. However, patients on this trial were getting active treatment for cancer, so numerous and varied reasons could explain early withdrawals including complications from treatment, increased fatigue, and worsening sleep problems.

In summary, this trial did not provide data to support that valerian is helpful in improving sleep during cancer treatment in this population. It is not clear whether valerian may have helpful physiologic activity supporting research in oncology symptom management related to fatigue. Perhaps further exploration is warranted.

Acknowledgments

This study was conducted as a collaborative trial of the North Central Cancer Treatment Group and Mayo Clinic and was supported in part by Public Health Service grants CA-25224, CA-37404, CA-124477 (Mentorship Grant), CA-35431, CA-63848, CA-35195, CA-35133, CA-35267, CA-35269, CA-35103, CA-35101, CA-63849, CA-35119, CA-52352, CA-35448, CA-35103, CA-03011, CA-107586, CA-35261, CA-67575, CA-95968, CA-67753, and CA-35415. The content is solely the responsibility of the authors and does not necessarily represent the views of the National Cancer Institute or the National Institutes of Health.

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Additional participating institutions include Duluth Clinic CCOP, Duluth, MN (Daniel A. Nikcevich, MD, PhD); CCOP Sioux Community Cancer Consortium, Sioux Falls, SD (Loren K. Tschetter, MD); Iowa Oncology Research Association CCOP, Des Moines, IA (Robert J. Behrens, MD); Mayo Clinic Arizona, Scottsdale AZ (Tom R. Fitch, MD); Missouri Valley Cancer Consortium CCOP, Omaha, NE (Gamini S. Soori, MD); Medical College of Georgia Minority-Based CCOP, Augusta, GA (Anand P. Jillella, MD); Columbus CCOP, Columbus, OH (J. Philip Kuebler, MD, PhD); Upstate Carolina CCOP, Spartanburg, SC (James D. Bearden, MD); Cedar Rapids Oncology Project CCOP, Cedar Rapids, IA (Martin Wiesenfeld, MD); Altru Cancer Center, Grand Forks, ND (Todor Dentchev, MD); Montana Cancer Consortium CCOP, Billings, MT (Benjamin T. Marchello, MD); Saint Vincent Hospital CCOP, Green Bay, WI (Anthony J. Jaslowski, MD); Colorado Cancer Research Program CCOP, Denver, CO (Eduardo R. Pajon, Jr, MD); Geisinger Medical Center CCOP, Danville, PA (Albert M. Bernath, Jr, MD); Rapid City Regional Hospital, Rapid City, SD (Richard C. Tenglin, MD); Siouxland Hematology Oncology Associates, Sioux City, IA (Donald B. Wender, MD, PhD); Toledo Community Hospital Oncology Program CCOP, Toledo, OH (Paul L. Schaefer, MD).

Correspondence to: Debra L. Barton, RN, PhD, AOCN, FAAN, Mayo Clinic, 200 First Street, SW, Rochester, MN 55905; telephone: 507-255-3812; fax: 507-538-8300


The Journal of Supportive Oncology
Volume 9, Issue 1, January-February 2011, Pages 24-31
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Original research

The Use of Valeriana officinalis (Valerian) in Improving Sleep in Patients Who Are Undergoing Treatment for Cancer: A Phase III Randomized, Placebo-Controlled, Double-Blind Study (NCCTG Trial, N01C5)

Debra L. Barton RN, PhD, AOCN, FAAN

, a,
, Pamela J. Atherton MSa, Brent A. Bauer MDa, Dennis F. Moore Jr MDa, Bassam I. Mattar MDa, Beth I. LaVasseur RNa, Kendrith M. Rowland Jr MDa, Robin T. Zon MDa, Nguyet A. LeLindqwister MDa, Gauri G. Nagargoje MDa, Timothy I. Morgenthaler MDa, Jeff A. Sloan PhDa and Charles L. Loprinzi MDa

a Mayo Clinic Rochester, Rochester, and Metro-MN CCOP, St. Louis Park, Minnesota; Wichita Community Clinical Oncology, Wichita, Kansas; Michigan Cancer Research Consortium, Ann Arbor, Michigan; Carle Cancer Center CCOP, Urbana, and the Illinois Oncology Research Association CCOP, Peoria, Illinois; Northern Indiana Cancer Research Consortium, South Bend, Indiana

Received 19 April 2010; 

accepted 13 December 2010. 

Available online 13 February 2011.

Abstract

Sleep disorders are a substantial problem for cancer survivors, with prevalence estimates ranging from 23% to 61%. Although numerous prescription hypnotics are available, few are approved for long-term use or have demonstrated benefit in this circumstance. Hypnotics may have unwanted side effects and are costly, and cancer survivors often wish to avoid prescription drugs. New options with limited side effects are needed. The purpose of this trial was to evaluate the efficacy of a Valerian officinalis supplement for sleep in people with cancer who were undergoing cancer treatment. Participants were randomized to receive 450 mg of valerian or placebo orally 1 hour before bedtime for 8 weeks. The primary end point was area under the curve (AUC) of the overall Pittsburgh Sleep Quality Index (PSQI). Secondary outcomes included the Functional Outcomes of Sleep Questionnaire, the Brief Fatigue Inventory (BFI), and the Profile of Mood States (POMS). Toxicity was evaluated with both self-reported numeric analogue scale questions and the Common Terminology Criteria for Adverse Events (CTCAE), version 3.0. Questionnaires were completed at baseline and at 4 and 8 weeks. A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007, with 119 being evaluable for the primary end point. The AUC over the 8 weeks for valerian was 51.4 (SD = 16), while that for placebo was 49.7 (SD = 15), with a P value of 0.6957. A supplemental, exploratory analysis revealed that several fatigue end points, as measured by the BFI and POMS, were significantly better for those taking valerian over placebo. Participants also reported less trouble with sleep and less drowsiness on valerian than placebo. There were no significant differences in toxicities as measured by self-report or the CTCAE except for mild alkaline phosphatase increases, which were slightly more common in the placebo group. This study failed to provide data to support the hypothesis that valerian, 450 mg, at bedtime could improve sleep as measured by the PSQI. However, exploratory analyses revealed improvement in some secondary outcomes, such as fatigue. Further research with valerian exploring physiologic effects in oncology symptom management may be warranted.

Article Outline

Pharmacological Treatments for Insomnia

The Use of Valeriana officinalis for Sleep

Methods

Results

Discussion

Acknowledgements

References

Disordered sleep has been found to be common in cancer survivors and to contribute to fatigue and impaired overall functioning. The true prevalence and incidence of sleep disorders in the oncology population is not well documented, though reports range from 23% to 61%.[1], [2], [3], [4], [5], [6], [7] and [8] Some research suggests that sleep–wake disturbances are more prevalent in patients with cancer than in other populations.9 In addition, Miller and colleagues6 suggest that a disturbed sleep–wake cycle may well be a main predictor of, and contributor to, other symptoms such as fatigue, depressed mood, and cognitive dysfunction. Evaluating and improving sleep may have broad ramifications for cancer survivors.

Insomnia is present when there is repeated difficulty initiating or maintaining sleep or impairment in sleep quality that occurs despite adequate time and opportunity for sleep, and there is some form of daytime impairment as a result.10 Secondary insomnia is denoted when insomnia is prominent and develops in the setting of another primary medical or psychiatric illness or in the setting of a separate sleep disorder such as sleep apnea.[10], [11] and [12] Sleep disturbance can be associated with poor work performance, increased anxiety and depression, poor cognitive functioning, and impairment of overall quality of life (QOL).[13], [14], [15] and [16] A recent Institute of Medicine report highlighted the severe costs to individuals and society of untreated insomnia.17

Davidson and colleagues2 conducted a cross-sectional descriptive study in six malignant disease clinics from a regional cancer center in Canada. Those surveyed included patients with breast, gastrointestinal, gynecological, genitourinary, lung, and nonmelanoma skin cancers. Insomnia was defined as a report of trouble sleeping on at least 7 of the previous 28 nights, interfering with daytime functioning. More patients who had treatment within the past 6 months reported insomnia, use of sleeping pills, sleeping more than usual, or fatigue. There were no differences based on type of cancer or treatment. Baker and colleagues18 surveyed 752 adult patients who had been diagnosed with 1 of the 10 most commonly occurring cancers to identify which problems cancer survivors experience in dealing with their cancer and its treatment 1 year after diagnosis. Sleep difficulties ranked fifth on the list and were reported by 48% of the sample.

Fatigue is related to sleep disturbance. Although cancer-related fatigue is not necessarily relieved by sleep or rest, insomnia and sleep disturbances clearly contribute to fatigue issues. Fatigue and sleep disturbances are undoubtedly interwoven symptoms and may be difficult to separate. It is not known how much variance in fatigue is explained by sleep problems or in what situations sleep is a major contributor.

Pharmacological Treatments for Insomnia

Because sleep complaints are common, hypnotics are among the most commonly prescribed medications for cancer patients, being prescribed for insomnia in up to 44% of patients.19 Agents most commonly used are benzodiazepine receptor agonists, including true benzodiazepines, such as flurazepam, triazolam, quazepam, estazolam, and temazepam, and the nonbenzodiazepine agents zolpidem (Ambien®), zaleplon (Sonata®), and eszopiclone (Lunesta®), which decrease subjective time to sleep onset, improve sleep efficiency, decrease the number of awakenings, and increase total sleep duration.[20], [21], [22] and [23] Eszopiclone, extended-release formulations of zolpidem (Ambien), and ramelteon (a melatonin receptor agonist) are approved for prolonged use in patients with chronic insomnia;24 but other hypnotics lack well-established effectiveness and safety data for use beyond brief intervals in situational insomnia or as part of a combined approach using cognitive-behavioral therapy (CBT) and brief pharmacological therapy.

In general, improvements in various sleep end points with pharmacologic therapy have been modest, with mean differences in sleep latency being about 15 minutes, wake after sleep onset improving by about 26 minutes, and total sleep time improving by about 40 minutes.[22], [24] and [25] Although subjective improvements are often noted, hypnotic medications are associated with a number of risks, including residual next-day hypersomnia, dizziness, lightheadedness, impaired mental status, and increased risk of falls and hip fractures, especially in elderly patients when taking longer-acting hypnotics.[26], [27], [28], [29], [30] and [31] Clearly, better options to improve sleep are still needed.

The Use of Valeriana officinalis for Sleep

Valeriana officinalis is a perennial herb found in North America, Europe, and Asia. In the United States, it is primarily sold as a sleeping aid, while in Europe it is used for restlessness, tremors, and anxiety. There are three main chemicals that are thought to be the active components of the plant. These are the essential oils valerenic acid and valenol, valepotriates, and a few alkaloids. Herbal extracts of V. officinalis can be ground root, aqueous or aqueous-alcoholic extracts using 70% ethanol and herb-to-extract ratios of 4–7:1. Single recommended doses range from 400 to 900 mg at bedtime.32 Most sleep studies have used 400 or 450 mg for their trials, with a couple of dose-finding trials showing that 900 mg was not significantly better than 450 mg.[33] and [34] The main impact of valerian from those studies has been on sleep latency (time to fall asleep), and this has improved more in patients who had reported a longer time to fall asleep and who considered themselves poor sleepers.[33], [34], [35], [36] and [37]

Most reviews proclaim V. officinalis to be a safe herb with no drug interactions, the only adverse event being daytime sedation at higher doses.[38] and [39] Anecdotal reports of side effects include headaches, nausea, heart palpitations, and benzodiazepine-like withdrawal symptoms when stopping the agent.40 Some concern has been raised as to whether valerian might interfere with cytochrome P-450 metabolism. An article by Budzinski and colleagues reviews numerous herbs and quantitates their interaction with cytochrome P-450.41 Out of 21 herbs tested, V. officinalis ranked at the bottom of interaction potential, rating a 15 out of a possible 16 (1 being the highest, 16 being the lowest).

The cost of V. officinalis, compared to other prescription sleep aids, is less, with a 1-month supply costing around $10 per month. By contrast, zolpidem, for example, costs over $80 per month.

Therefore, based on the favorable toxicity profile, low cost, and promising but limited pilot data, this current trial was designed to evaluate 450 mg of valerian at bedtime for sleep disturbance.

Methods

The primary purpose of this trial was to assess the effect of a standardized preparation of valerian in improving sleep in patients undergoing therapy for cancer. Secondary goals were to assess its safety as well as effect on anxiety, fatigue, and activities of daily living.

Patients eligible for this trial included adults diagnosed with cancer and receiving therapy (radiation, chemotherapy, oral antitumor agents, or endocrine therapy). Patients had to report difficulty sleeping of 4 or more on a scale of 0–10, had to have a life expectancy ≥6 months, and had to have an Eastern Cooperative Oncology Group (ECOG) performance score (PS) of 0 or 1. They could not have an abnormally elevated serum glutamic-oxaloacetic transaminase (SGOT) and/or alkaline phosphatase. Patients were excluded for prior use of valerian for sleep, use of other prescription sleep aids in the past 30 days, or a diagnosis of obstructive sleep apnea or primary insomnia per Diagnostic and Statistical Manual, 4th edition (DSM-IV), criteria. Pregnant and nursing women were also excluded, as were patients with known sleep disturbance etiologies such as nighttime hot flashes, uncontrolled pain, and/or diarrhea.

Participants were randomized to receive 450 mg of oral valerian or placebo, to be taken 1 hour before bedtime for 8 weeks. The valerian used was pure ground, raw root, from one lot and standardized to contain 0.8% valerenic acid. Valerian capsules and matching placebo, a gelatin capsule, were supplied by Hi-Health (Scottsdale, AZ). Both valerian and placebo were stored in the same containers so that the placebo would acquire some of the valerian smell. Self-report booklets were completed at baseline and at weeks 4 and 8 and contained the Pittsburgh Sleep Quality Index (PSQI),42 the Profile of Moods States (POMS),43 the Functional Outcomes of Sleep Questionnaire (FOSQ),44 and the Brief Fatigue Inventory (BFI).45 Assessments were scored according to the appropriate algorithms, and total and subscale scores were transformed to a 0–100 scale, with 100 being best. Self-reported symptoms were recorded weekly using a self-report numeric analogue scale, called the Symptom Experience Diary (SED). Toxicity was also assessed every 2 weeks during a clinical research associate/nurse phone call using the Common Terminology Criteria for Adverse Events (CTCAE, v 3.0).

The primary end point was the normalized (averaged) area under the curve (AUC) of the PSQI between the two arms, compared using the Kruskal-Wallis test. Secondary analyses compared AUC scores of other assessments and toxicity incidence. Toxicity comparisons were performed using the chi-squared test or the Kruskal-Wallis test, as appropriate. As an intent-to-treat (ITT) analysis, using chi-squares tests, patients were categorized as a success if there was a 10-point improvement in the assessment score at week 4 or 8 and a failure if there was no improvement or data were missing.

All hypothesis testing was carried out using a two-sided alternative hypothesis and a 5% Type I error rate. A two-sample t-test with 100 patients per group provided 94% power to detect 50% times the standard deviation (SD) of the end point under study.46 This effect size is considered moderate and has been declared the minimally clinically significant difference for QOL end points.[47] and [48]

Results

A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007. The consort diagram depicts the flow of data (Figure 1). Twenty-three patients withdrew before starting the study treatment. Primary end-point data were available on 119 patients (62 receiving valerian and 57 receiving placebo). Baseline characteristics and baseline patient reported outcomes were well balanced between arms with no statistically significant differences ([Table 1] and [Table 2]).

 

 



Figure 1. 

Consort Diagram

Table 1. Demographic Characteristics

VALERIAN (N = 102)PLACEBO (N = 100)P
Gender0.387
 Female82 (80%)85 (85%)
Age (years)0.546
 Mean (SD)59.5 (11.95)58.3 (12.71)
Sleep scale group0.963
 Mildly impaired67 (66%)66 (66%)
 Moderately or severely impaired35 (34%)34 (34%)
Sleep scale score0.841
 Mean (SD)6.6 (1.43)6.6 (1.69)
Primary tumor site0.526
 Breast64 (63%)66 (67%)
 Colon9 (9%)5 (5%)
 Prostate3 (3%)1 (1%)
 Other25 (25%)27 (27%)
Tumor status0.322
 Resected with no residual64 (64%)71 (71%)
 Resected with known residual17 (17%)12 (13%)
 Unresected19 (19%)13 (14%)
Treatment type0.966
 Radiation therapy6 (5.9%)6 (6%)
 Parenteral chemotherapy38 (37%)39 (39%)
 Oral therapy40 (39%)40 (40%)
 Combined modality18 (18%)15 (15%)
Concurrent radiation0.926
 Yes23 (23%)22 (22%)
Concurrent cancer therapy0.679
 Yes56 (55%)52 (53%)
Planned or concurrent hormone0.667
 Yes51 (51%)53 (54%)

Table 2. Distribution of Baseline Assessment Scores

VALERIAN (N = 101)PLACEBO (N = 96)P
PSQI total10.695
 Mean (SD)41.3 (13.92)42.4 (14.97)
POMS-SF total0.883
 Mean (SD)65.0 (14.28)63.9 (16.46)
FOSQ total0.927
 Mean (SD)73.7 (16.07)72.8 (18.37)
Fatigue Now0.285
 Mean (SD)45.7 (24.41)49.4 (25.00)
Usual Fatigue0.216
 Mean (SD)46.8 (23.27)51.1 (24.73)
Worst Fatigue0.522
 Mean (SD)35.2 (24.67)37.9 (26.37)
Total Interference0.268
 Mean (SD)61.4 (25.05)57.1 (27.37)

The primary end point of treatment effectiveness was measured using the normalized AUC calculated using baseline, week 4, and week 8 PSQI total scores. The Wilcoxon rank-sum test P value for the total PSQI score was nonsignificant (valerian AUC = 51.4, SD = 16; placebo AUC = 49.7, SD = 15; P = 0.696) (Figure 2). Similarly the FOSQ was not significantly different between groups either overall or on any subscale score.



Figure 2. 

Pittsburgh Sleep Quality Index Overall Score, AUC

Supplemental and exploratory analyses using changes from baseline, however, showed a significant difference in the change from baseline in the amount of sleep at night at week 4 (P = 0.008), favoring the valerian group. Change from baseline in the categorical value for sleep latency was also significantly different at week 4, where 10% of valerian patients indicated longer time to fall asleep compared to 28% on placebo and 43% of valerian patients reported less time to fall asleep compared to 32% on placebo (P = 0.03) (Table 3). The ITT analysis indicated that about 9% more patients experienced a success on valerian relative to placebo, but this was not statistically significant. When scores on the PSQI were divided into ≤5 and >5 (this latter group representing sleep problems), there were fewer patients in the valerian group having sleep problems by week 8 (64% vs 80%, P = 0.56).

Table 3. Percent of patients reporting categorical changes from baseline on the Pittsburgh Sleep Quality Index Subscales

VALERIANPLACEBOP
Sleep quality0.199
 Week 4
  Worse2 (3%)5 (8%)
  Same33 (49%)37 (57%)
  Better33 (49%)23 (35%)
 Week 80.927
  Worse3 (5%)2 (3%)
  Same26 (41%)25 (42%)
  Better35 (55%)32 (54%)
Sleep latency0.030
 Week 4
  Worse6 (10%)18 (28%)
  Same30 (48%)26 (40%)
  Better27 (43%)21 (32%)
 Week 80.072
  Worse3 (5%)11 (18%)
  Same28 (47%)29 (48%)
  Better27 (47%)21 (34%)
Sleep duration0.244
 Week 4
  Worse6 (9%)10 (16%)
  Same26 (39%)29 (46%)
  Better34 (52%)24 (38%)
 Week 80.148
  Worse8 (13%)4 (7%)
  Same19 (31%)28 (48%)
  Better34 (56%)27 (46%)
Sleep efficiency0.295
 Week 4
  Worse7 (12%)13 (22%)
  Same26 (43%)23 (39%)
  Better28 (46%)23 (39%)
 Week 80.758
  Worse11 (19%)9 (16%)
  Same19 (33%)22 (39%)
  Better28 (48%)25 (45%)
Sleep disturbance0.738
 Week 4
  Worse9 (15%)11 (18%)
  Same41 (66%)40 (67%)
  Better12 (19%)9 (15%)
 Week 80.177
  Worse10 (16%)7 (13%)
  Same35 (57%)41 (73%)
  Better16 (26%)8 (14%)
Daytime dysfunction0.114
 Week 4
  Worse6 (9%)13 (19%)
  Same42 (60%)40 (60%)
  Better22 (31%)14 (21%)
 Week 80.478
  Worse6 (10%)8 (13%)
  Same27 (43%)31 (50%)
  Better30 (48%)23 (37%)

While the POMS AUC scores indicated no difference between treatment arms, the mean change from baseline at weeks 4 and 8 was significantly different for the Fatigue-Inertia subscale at weeks 4 (P = 0.004) and 8 (P = 0.02), with the valerian arm reporting better scores (Table 4). On the BFI, the valerian arm scored significantly better than the placebo arm in the mean change from baseline at weeks 4 and 8 on the Fatigue Now (P = 0.003 and P = 0.01, respectively) and Usual Fatigue (P = 0.02 and P = 0.046, respectively) items (Table 4).

Table 4. Brief Fatigue Inventory (BFI) and Profile of Mood States (POMS): Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
BFI
 Fatigue NowWeek 413.21.5<0.01
Week 822.110.5<0.01
 Usual FatigueWeek 412.84.20.02
Week 819.410.00.05
 Worst FatigueWeek 411.23.20.03
Week 814.812.40.65
 Activity InterferenceWeek 46.24.10.75
Week 812.310.80.75
POMS
 Anger-HostilityWeek 43.52.00.53
Week 83.94.20.89
 Vigor-ActivityWeek 42.0-0.40.43
Week 82.04.70.34
 Depression-DejectionWeek 43.75.50.21
Week 83.75.40.25
 Confusion-BewildermentWeek 44.82.60.26
Week 85.33.40.79
 Fatigue-InertiaWeek 413.92.8<0.01
Week 817.59.20.02
 TensionAnxietyWeek 46.35.60.85
Week 89.28.90.54
 Total scoreWeek 45.73.00.19
Week 86.96.00.90

In terms of toxicity, there were no significant differences between arms for the self-reported side effect items (headache, trouble waking, nausea) at baseline, week 4, or week 8 (Table 5). The valerian arm change from baseline at both weeks 4 and 8 showed significant improvement in drowsiness (P = 0.04 and P = 0.03, respectively) and sleep problems (P = 0.005 and P = 0.03, respectively) compared to placebo (Table 5). The maximum severity over time for each self-reported toxicity resulted in no significant differences between arms. There was a significant difference in the CTCAE reporting of alkaline phosphatase, with the placebo arm having a higher incidence of grade 1 toxicity (P = 0.049).

 

 

Table 5. Self-Reported Side Effects: Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
NauseaWeek 43.0–2.10.07
Week 83.40.00.06
HeadacheWeek 44.81.50.09
Week 86.74.60.27
Trouble wakingWeek 48.84.30.42
Week 89.55.70.36
DrowsinessWeek 421.09.70.04
Week 824.014.00.03
Sleep problemsWeek 418.74.3<0.01
Week 824.013.00.03


Discussion

This study failed to identify any significant improvements in sleep as measured by the overall PSQI or the FOSQ in this population. This corroborates data from a recent study by Taibi and colleagues,49 who evaluated 300 mg of valerian, taken half an hour before bed. They reported that valerian did not improve any self-reported or polysomnographic sleep outcomes significantly more than placebo. The Taibi et al. study has several possible limitations, including a small sample size (n = 16), a dose lower than that used in the majority of pilot trials with promising results, and a duration of only 15 days on the study agent.

The current study is one of the few randomized placebo-controlled trials evaluating pharmacological treatment of insomnia complaints among cancer patients. Most randomized trials of treatments directed at insomnia in cancer patients compare CBT with usual care or wait-list care and find it of substantial benefit.[50], [51], [52], [53], [54], [55], [56], [57], [58] and [59] One prior trial in terminal cancer patients evaluated intravenous agents for effectiveness, and another controlled trial found mirtazapine to be effective at improving sleep complaints in cancer patients with depression.[51] and [60] Otherwise, there are no other controlled trials assessing pharmacologic agents to primarily address sleep-related complaints in cancer patients.

While there was no significant improvement in sleep quality as assessed by the PSQI, there were consistent improvements in the secondary fatigue outcomes as measured by both the BFI and the POMS Fatigue-Inertia subscale. Although caution is required in interpreting these secondary results, the raw differences in change scores between the two arms are fairly large, often over 10 points (on a 100-point scale). In addition, several other secondary end points—change from baseline related to sleep latency, amount of sleep per night, improvement in sleep problems, and less drowsiness—all support the valerian arm outperforming placebo.

There are several hypotheses related to the inconsistencies in the results. The PSQI may measure different dimensions of well-being from the BFI or POMS, the former concentrating on sleep-quality measures, while the latter two concentrate on daytime symptoms. The correlation between sleep-quality and daytime symptoms may not be very strong in this study's population. Another possibility is that there was a beta-error. Some of the data were incomplete due to the patients' inability to complete the questionnaires appropriately. The power analysis suggested 100 patients per arm were required, and only about 60 per group provided data for analysis. Another hypothesis is that the effects of valerian were too modest and limited to one aspect, perhaps sleep latency, that were not detectable with multidimensional scales such as the PSQI or the FOSQ that look at impact on activity.

There were more patients who withdrew from the placebo arm early compared to the valerian arm. The reasons for this are not known. However, patients on this trial were getting active treatment for cancer, so numerous and varied reasons could explain early withdrawals including complications from treatment, increased fatigue, and worsening sleep problems.

In summary, this trial did not provide data to support that valerian is helpful in improving sleep during cancer treatment in this population. It is not clear whether valerian may have helpful physiologic activity supporting research in oncology symptom management related to fatigue. Perhaps further exploration is warranted.

Acknowledgments

This study was conducted as a collaborative trial of the North Central Cancer Treatment Group and Mayo Clinic and was supported in part by Public Health Service grants CA-25224, CA-37404, CA-124477 (Mentorship Grant), CA-35431, CA-63848, CA-35195, CA-35133, CA-35267, CA-35269, CA-35103, CA-35101, CA-63849, CA-35119, CA-52352, CA-35448, CA-35103, CA-03011, CA-107586, CA-35261, CA-67575, CA-95968, CA-67753, and CA-35415. The content is solely the responsibility of the authors and does not necessarily represent the views of the National Cancer Institute or the National Institutes of Health.

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Additional participating institutions include Duluth Clinic CCOP, Duluth, MN (Daniel A. Nikcevich, MD, PhD); CCOP Sioux Community Cancer Consortium, Sioux Falls, SD (Loren K. Tschetter, MD); Iowa Oncology Research Association CCOP, Des Moines, IA (Robert J. Behrens, MD); Mayo Clinic Arizona, Scottsdale AZ (Tom R. Fitch, MD); Missouri Valley Cancer Consortium CCOP, Omaha, NE (Gamini S. Soori, MD); Medical College of Georgia Minority-Based CCOP, Augusta, GA (Anand P. Jillella, MD); Columbus CCOP, Columbus, OH (J. Philip Kuebler, MD, PhD); Upstate Carolina CCOP, Spartanburg, SC (James D. Bearden, MD); Cedar Rapids Oncology Project CCOP, Cedar Rapids, IA (Martin Wiesenfeld, MD); Altru Cancer Center, Grand Forks, ND (Todor Dentchev, MD); Montana Cancer Consortium CCOP, Billings, MT (Benjamin T. Marchello, MD); Saint Vincent Hospital CCOP, Green Bay, WI (Anthony J. Jaslowski, MD); Colorado Cancer Research Program CCOP, Denver, CO (Eduardo R. Pajon, Jr, MD); Geisinger Medical Center CCOP, Danville, PA (Albert M. Bernath, Jr, MD); Rapid City Regional Hospital, Rapid City, SD (Richard C. Tenglin, MD); Siouxland Hematology Oncology Associates, Sioux City, IA (Donald B. Wender, MD, PhD); Toledo Community Hospital Oncology Program CCOP, Toledo, OH (Paul L. Schaefer, MD).

Correspondence to: Debra L. Barton, RN, PhD, AOCN, FAAN, Mayo Clinic, 200 First Street, SW, Rochester, MN 55905; telephone: 507-255-3812; fax: 507-538-8300


The Journal of Supportive Oncology
Volume 9, Issue 1, January-February 2011, Pages 24-31

Original research

The Use of Valeriana officinalis (Valerian) in Improving Sleep in Patients Who Are Undergoing Treatment for Cancer: A Phase III Randomized, Placebo-Controlled, Double-Blind Study (NCCTG Trial, N01C5)

Debra L. Barton RN, PhD, AOCN, FAAN

, a,
, Pamela J. Atherton MSa, Brent A. Bauer MDa, Dennis F. Moore Jr MDa, Bassam I. Mattar MDa, Beth I. LaVasseur RNa, Kendrith M. Rowland Jr MDa, Robin T. Zon MDa, Nguyet A. LeLindqwister MDa, Gauri G. Nagargoje MDa, Timothy I. Morgenthaler MDa, Jeff A. Sloan PhDa and Charles L. Loprinzi MDa

a Mayo Clinic Rochester, Rochester, and Metro-MN CCOP, St. Louis Park, Minnesota; Wichita Community Clinical Oncology, Wichita, Kansas; Michigan Cancer Research Consortium, Ann Arbor, Michigan; Carle Cancer Center CCOP, Urbana, and the Illinois Oncology Research Association CCOP, Peoria, Illinois; Northern Indiana Cancer Research Consortium, South Bend, Indiana

Received 19 April 2010; 

accepted 13 December 2010. 

Available online 13 February 2011.

Abstract

Sleep disorders are a substantial problem for cancer survivors, with prevalence estimates ranging from 23% to 61%. Although numerous prescription hypnotics are available, few are approved for long-term use or have demonstrated benefit in this circumstance. Hypnotics may have unwanted side effects and are costly, and cancer survivors often wish to avoid prescription drugs. New options with limited side effects are needed. The purpose of this trial was to evaluate the efficacy of a Valerian officinalis supplement for sleep in people with cancer who were undergoing cancer treatment. Participants were randomized to receive 450 mg of valerian or placebo orally 1 hour before bedtime for 8 weeks. The primary end point was area under the curve (AUC) of the overall Pittsburgh Sleep Quality Index (PSQI). Secondary outcomes included the Functional Outcomes of Sleep Questionnaire, the Brief Fatigue Inventory (BFI), and the Profile of Mood States (POMS). Toxicity was evaluated with both self-reported numeric analogue scale questions and the Common Terminology Criteria for Adverse Events (CTCAE), version 3.0. Questionnaires were completed at baseline and at 4 and 8 weeks. A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007, with 119 being evaluable for the primary end point. The AUC over the 8 weeks for valerian was 51.4 (SD = 16), while that for placebo was 49.7 (SD = 15), with a P value of 0.6957. A supplemental, exploratory analysis revealed that several fatigue end points, as measured by the BFI and POMS, were significantly better for those taking valerian over placebo. Participants also reported less trouble with sleep and less drowsiness on valerian than placebo. There were no significant differences in toxicities as measured by self-report or the CTCAE except for mild alkaline phosphatase increases, which were slightly more common in the placebo group. This study failed to provide data to support the hypothesis that valerian, 450 mg, at bedtime could improve sleep as measured by the PSQI. However, exploratory analyses revealed improvement in some secondary outcomes, such as fatigue. Further research with valerian exploring physiologic effects in oncology symptom management may be warranted.

Article Outline

Pharmacological Treatments for Insomnia

The Use of Valeriana officinalis for Sleep

Methods

Results

Discussion

Acknowledgements

References

Disordered sleep has been found to be common in cancer survivors and to contribute to fatigue and impaired overall functioning. The true prevalence and incidence of sleep disorders in the oncology population is not well documented, though reports range from 23% to 61%.[1], [2], [3], [4], [5], [6], [7] and [8] Some research suggests that sleep–wake disturbances are more prevalent in patients with cancer than in other populations.9 In addition, Miller and colleagues6 suggest that a disturbed sleep–wake cycle may well be a main predictor of, and contributor to, other symptoms such as fatigue, depressed mood, and cognitive dysfunction. Evaluating and improving sleep may have broad ramifications for cancer survivors.

Insomnia is present when there is repeated difficulty initiating or maintaining sleep or impairment in sleep quality that occurs despite adequate time and opportunity for sleep, and there is some form of daytime impairment as a result.10 Secondary insomnia is denoted when insomnia is prominent and develops in the setting of another primary medical or psychiatric illness or in the setting of a separate sleep disorder such as sleep apnea.[10], [11] and [12] Sleep disturbance can be associated with poor work performance, increased anxiety and depression, poor cognitive functioning, and impairment of overall quality of life (QOL).[13], [14], [15] and [16] A recent Institute of Medicine report highlighted the severe costs to individuals and society of untreated insomnia.17

Davidson and colleagues2 conducted a cross-sectional descriptive study in six malignant disease clinics from a regional cancer center in Canada. Those surveyed included patients with breast, gastrointestinal, gynecological, genitourinary, lung, and nonmelanoma skin cancers. Insomnia was defined as a report of trouble sleeping on at least 7 of the previous 28 nights, interfering with daytime functioning. More patients who had treatment within the past 6 months reported insomnia, use of sleeping pills, sleeping more than usual, or fatigue. There were no differences based on type of cancer or treatment. Baker and colleagues18 surveyed 752 adult patients who had been diagnosed with 1 of the 10 most commonly occurring cancers to identify which problems cancer survivors experience in dealing with their cancer and its treatment 1 year after diagnosis. Sleep difficulties ranked fifth on the list and were reported by 48% of the sample.

Fatigue is related to sleep disturbance. Although cancer-related fatigue is not necessarily relieved by sleep or rest, insomnia and sleep disturbances clearly contribute to fatigue issues. Fatigue and sleep disturbances are undoubtedly interwoven symptoms and may be difficult to separate. It is not known how much variance in fatigue is explained by sleep problems or in what situations sleep is a major contributor.

Pharmacological Treatments for Insomnia

Because sleep complaints are common, hypnotics are among the most commonly prescribed medications for cancer patients, being prescribed for insomnia in up to 44% of patients.19 Agents most commonly used are benzodiazepine receptor agonists, including true benzodiazepines, such as flurazepam, triazolam, quazepam, estazolam, and temazepam, and the nonbenzodiazepine agents zolpidem (Ambien®), zaleplon (Sonata®), and eszopiclone (Lunesta®), which decrease subjective time to sleep onset, improve sleep efficiency, decrease the number of awakenings, and increase total sleep duration.[20], [21], [22] and [23] Eszopiclone, extended-release formulations of zolpidem (Ambien), and ramelteon (a melatonin receptor agonist) are approved for prolonged use in patients with chronic insomnia;24 but other hypnotics lack well-established effectiveness and safety data for use beyond brief intervals in situational insomnia or as part of a combined approach using cognitive-behavioral therapy (CBT) and brief pharmacological therapy.

In general, improvements in various sleep end points with pharmacologic therapy have been modest, with mean differences in sleep latency being about 15 minutes, wake after sleep onset improving by about 26 minutes, and total sleep time improving by about 40 minutes.[22], [24] and [25] Although subjective improvements are often noted, hypnotic medications are associated with a number of risks, including residual next-day hypersomnia, dizziness, lightheadedness, impaired mental status, and increased risk of falls and hip fractures, especially in elderly patients when taking longer-acting hypnotics.[26], [27], [28], [29], [30] and [31] Clearly, better options to improve sleep are still needed.

The Use of Valeriana officinalis for Sleep

Valeriana officinalis is a perennial herb found in North America, Europe, and Asia. In the United States, it is primarily sold as a sleeping aid, while in Europe it is used for restlessness, tremors, and anxiety. There are three main chemicals that are thought to be the active components of the plant. These are the essential oils valerenic acid and valenol, valepotriates, and a few alkaloids. Herbal extracts of V. officinalis can be ground root, aqueous or aqueous-alcoholic extracts using 70% ethanol and herb-to-extract ratios of 4–7:1. Single recommended doses range from 400 to 900 mg at bedtime.32 Most sleep studies have used 400 or 450 mg for their trials, with a couple of dose-finding trials showing that 900 mg was not significantly better than 450 mg.[33] and [34] The main impact of valerian from those studies has been on sleep latency (time to fall asleep), and this has improved more in patients who had reported a longer time to fall asleep and who considered themselves poor sleepers.[33], [34], [35], [36] and [37]

Most reviews proclaim V. officinalis to be a safe herb with no drug interactions, the only adverse event being daytime sedation at higher doses.[38] and [39] Anecdotal reports of side effects include headaches, nausea, heart palpitations, and benzodiazepine-like withdrawal symptoms when stopping the agent.40 Some concern has been raised as to whether valerian might interfere with cytochrome P-450 metabolism. An article by Budzinski and colleagues reviews numerous herbs and quantitates their interaction with cytochrome P-450.41 Out of 21 herbs tested, V. officinalis ranked at the bottom of interaction potential, rating a 15 out of a possible 16 (1 being the highest, 16 being the lowest).

The cost of V. officinalis, compared to other prescription sleep aids, is less, with a 1-month supply costing around $10 per month. By contrast, zolpidem, for example, costs over $80 per month.

Therefore, based on the favorable toxicity profile, low cost, and promising but limited pilot data, this current trial was designed to evaluate 450 mg of valerian at bedtime for sleep disturbance.

Methods

The primary purpose of this trial was to assess the effect of a standardized preparation of valerian in improving sleep in patients undergoing therapy for cancer. Secondary goals were to assess its safety as well as effect on anxiety, fatigue, and activities of daily living.

Patients eligible for this trial included adults diagnosed with cancer and receiving therapy (radiation, chemotherapy, oral antitumor agents, or endocrine therapy). Patients had to report difficulty sleeping of 4 or more on a scale of 0–10, had to have a life expectancy ≥6 months, and had to have an Eastern Cooperative Oncology Group (ECOG) performance score (PS) of 0 or 1. They could not have an abnormally elevated serum glutamic-oxaloacetic transaminase (SGOT) and/or alkaline phosphatase. Patients were excluded for prior use of valerian for sleep, use of other prescription sleep aids in the past 30 days, or a diagnosis of obstructive sleep apnea or primary insomnia per Diagnostic and Statistical Manual, 4th edition (DSM-IV), criteria. Pregnant and nursing women were also excluded, as were patients with known sleep disturbance etiologies such as nighttime hot flashes, uncontrolled pain, and/or diarrhea.

Participants were randomized to receive 450 mg of oral valerian or placebo, to be taken 1 hour before bedtime for 8 weeks. The valerian used was pure ground, raw root, from one lot and standardized to contain 0.8% valerenic acid. Valerian capsules and matching placebo, a gelatin capsule, were supplied by Hi-Health (Scottsdale, AZ). Both valerian and placebo were stored in the same containers so that the placebo would acquire some of the valerian smell. Self-report booklets were completed at baseline and at weeks 4 and 8 and contained the Pittsburgh Sleep Quality Index (PSQI),42 the Profile of Moods States (POMS),43 the Functional Outcomes of Sleep Questionnaire (FOSQ),44 and the Brief Fatigue Inventory (BFI).45 Assessments were scored according to the appropriate algorithms, and total and subscale scores were transformed to a 0–100 scale, with 100 being best. Self-reported symptoms were recorded weekly using a self-report numeric analogue scale, called the Symptom Experience Diary (SED). Toxicity was also assessed every 2 weeks during a clinical research associate/nurse phone call using the Common Terminology Criteria for Adverse Events (CTCAE, v 3.0).

The primary end point was the normalized (averaged) area under the curve (AUC) of the PSQI between the two arms, compared using the Kruskal-Wallis test. Secondary analyses compared AUC scores of other assessments and toxicity incidence. Toxicity comparisons were performed using the chi-squared test or the Kruskal-Wallis test, as appropriate. As an intent-to-treat (ITT) analysis, using chi-squares tests, patients were categorized as a success if there was a 10-point improvement in the assessment score at week 4 or 8 and a failure if there was no improvement or data were missing.

All hypothesis testing was carried out using a two-sided alternative hypothesis and a 5% Type I error rate. A two-sample t-test with 100 patients per group provided 94% power to detect 50% times the standard deviation (SD) of the end point under study.46 This effect size is considered moderate and has been declared the minimally clinically significant difference for QOL end points.[47] and [48]

Results

A total of 227 patients were randomized into this study between March 19, 2004, and March 9, 2007. The consort diagram depicts the flow of data (Figure 1). Twenty-three patients withdrew before starting the study treatment. Primary end-point data were available on 119 patients (62 receiving valerian and 57 receiving placebo). Baseline characteristics and baseline patient reported outcomes were well balanced between arms with no statistically significant differences ([Table 1] and [Table 2]).

 

 



Figure 1. 

Consort Diagram

Table 1. Demographic Characteristics

VALERIAN (N = 102)PLACEBO (N = 100)P
Gender0.387
 Female82 (80%)85 (85%)
Age (years)0.546
 Mean (SD)59.5 (11.95)58.3 (12.71)
Sleep scale group0.963
 Mildly impaired67 (66%)66 (66%)
 Moderately or severely impaired35 (34%)34 (34%)
Sleep scale score0.841
 Mean (SD)6.6 (1.43)6.6 (1.69)
Primary tumor site0.526
 Breast64 (63%)66 (67%)
 Colon9 (9%)5 (5%)
 Prostate3 (3%)1 (1%)
 Other25 (25%)27 (27%)
Tumor status0.322
 Resected with no residual64 (64%)71 (71%)
 Resected with known residual17 (17%)12 (13%)
 Unresected19 (19%)13 (14%)
Treatment type0.966
 Radiation therapy6 (5.9%)6 (6%)
 Parenteral chemotherapy38 (37%)39 (39%)
 Oral therapy40 (39%)40 (40%)
 Combined modality18 (18%)15 (15%)
Concurrent radiation0.926
 Yes23 (23%)22 (22%)
Concurrent cancer therapy0.679
 Yes56 (55%)52 (53%)
Planned or concurrent hormone0.667
 Yes51 (51%)53 (54%)

Table 2. Distribution of Baseline Assessment Scores

VALERIAN (N = 101)PLACEBO (N = 96)P
PSQI total10.695
 Mean (SD)41.3 (13.92)42.4 (14.97)
POMS-SF total0.883
 Mean (SD)65.0 (14.28)63.9 (16.46)
FOSQ total0.927
 Mean (SD)73.7 (16.07)72.8 (18.37)
Fatigue Now0.285
 Mean (SD)45.7 (24.41)49.4 (25.00)
Usual Fatigue0.216
 Mean (SD)46.8 (23.27)51.1 (24.73)
Worst Fatigue0.522
 Mean (SD)35.2 (24.67)37.9 (26.37)
Total Interference0.268
 Mean (SD)61.4 (25.05)57.1 (27.37)

The primary end point of treatment effectiveness was measured using the normalized AUC calculated using baseline, week 4, and week 8 PSQI total scores. The Wilcoxon rank-sum test P value for the total PSQI score was nonsignificant (valerian AUC = 51.4, SD = 16; placebo AUC = 49.7, SD = 15; P = 0.696) (Figure 2). Similarly the FOSQ was not significantly different between groups either overall or on any subscale score.



Figure 2. 

Pittsburgh Sleep Quality Index Overall Score, AUC

Supplemental and exploratory analyses using changes from baseline, however, showed a significant difference in the change from baseline in the amount of sleep at night at week 4 (P = 0.008), favoring the valerian group. Change from baseline in the categorical value for sleep latency was also significantly different at week 4, where 10% of valerian patients indicated longer time to fall asleep compared to 28% on placebo and 43% of valerian patients reported less time to fall asleep compared to 32% on placebo (P = 0.03) (Table 3). The ITT analysis indicated that about 9% more patients experienced a success on valerian relative to placebo, but this was not statistically significant. When scores on the PSQI were divided into ≤5 and >5 (this latter group representing sleep problems), there were fewer patients in the valerian group having sleep problems by week 8 (64% vs 80%, P = 0.56).

Table 3. Percent of patients reporting categorical changes from baseline on the Pittsburgh Sleep Quality Index Subscales

VALERIANPLACEBOP
Sleep quality0.199
 Week 4
  Worse2 (3%)5 (8%)
  Same33 (49%)37 (57%)
  Better33 (49%)23 (35%)
 Week 80.927
  Worse3 (5%)2 (3%)
  Same26 (41%)25 (42%)
  Better35 (55%)32 (54%)
Sleep latency0.030
 Week 4
  Worse6 (10%)18 (28%)
  Same30 (48%)26 (40%)
  Better27 (43%)21 (32%)
 Week 80.072
  Worse3 (5%)11 (18%)
  Same28 (47%)29 (48%)
  Better27 (47%)21 (34%)
Sleep duration0.244
 Week 4
  Worse6 (9%)10 (16%)
  Same26 (39%)29 (46%)
  Better34 (52%)24 (38%)
 Week 80.148
  Worse8 (13%)4 (7%)
  Same19 (31%)28 (48%)
  Better34 (56%)27 (46%)
Sleep efficiency0.295
 Week 4
  Worse7 (12%)13 (22%)
  Same26 (43%)23 (39%)
  Better28 (46%)23 (39%)
 Week 80.758
  Worse11 (19%)9 (16%)
  Same19 (33%)22 (39%)
  Better28 (48%)25 (45%)
Sleep disturbance0.738
 Week 4
  Worse9 (15%)11 (18%)
  Same41 (66%)40 (67%)
  Better12 (19%)9 (15%)
 Week 80.177
  Worse10 (16%)7 (13%)
  Same35 (57%)41 (73%)
  Better16 (26%)8 (14%)
Daytime dysfunction0.114
 Week 4
  Worse6 (9%)13 (19%)
  Same42 (60%)40 (60%)
  Better22 (31%)14 (21%)
 Week 80.478
  Worse6 (10%)8 (13%)
  Same27 (43%)31 (50%)
  Better30 (48%)23 (37%)

While the POMS AUC scores indicated no difference between treatment arms, the mean change from baseline at weeks 4 and 8 was significantly different for the Fatigue-Inertia subscale at weeks 4 (P = 0.004) and 8 (P = 0.02), with the valerian arm reporting better scores (Table 4). On the BFI, the valerian arm scored significantly better than the placebo arm in the mean change from baseline at weeks 4 and 8 on the Fatigue Now (P = 0.003 and P = 0.01, respectively) and Usual Fatigue (P = 0.02 and P = 0.046, respectively) items (Table 4).

Table 4. Brief Fatigue Inventory (BFI) and Profile of Mood States (POMS): Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
BFI
 Fatigue NowWeek 413.21.5<0.01
Week 822.110.5<0.01
 Usual FatigueWeek 412.84.20.02
Week 819.410.00.05
 Worst FatigueWeek 411.23.20.03
Week 814.812.40.65
 Activity InterferenceWeek 46.24.10.75
Week 812.310.80.75
POMS
 Anger-HostilityWeek 43.52.00.53
Week 83.94.20.89
 Vigor-ActivityWeek 42.0-0.40.43
Week 82.04.70.34
 Depression-DejectionWeek 43.75.50.21
Week 83.75.40.25
 Confusion-BewildermentWeek 44.82.60.26
Week 85.33.40.79
 Fatigue-InertiaWeek 413.92.8<0.01
Week 817.59.20.02
 TensionAnxietyWeek 46.35.60.85
Week 89.28.90.54
 Total scoreWeek 45.73.00.19
Week 86.96.00.90

In terms of toxicity, there were no significant differences between arms for the self-reported side effect items (headache, trouble waking, nausea) at baseline, week 4, or week 8 (Table 5). The valerian arm change from baseline at both weeks 4 and 8 showed significant improvement in drowsiness (P = 0.04 and P = 0.03, respectively) and sleep problems (P = 0.005 and P = 0.03, respectively) compared to placebo (Table 5). The maximum severity over time for each self-reported toxicity resulted in no significant differences between arms. There was a significant difference in the CTCAE reporting of alkaline phosphatase, with the placebo arm having a higher incidence of grade 1 toxicity (P = 0.049).

 

 

Table 5. Self-Reported Side Effects: Change from Baseline—Higher Numbers Are Better

SIDE EFFECTWEEKVALERIANPLACEBOP
NauseaWeek 43.0–2.10.07
Week 83.40.00.06
HeadacheWeek 44.81.50.09
Week 86.74.60.27
Trouble wakingWeek 48.84.30.42
Week 89.55.70.36
DrowsinessWeek 421.09.70.04
Week 824.014.00.03
Sleep problemsWeek 418.74.3<0.01
Week 824.013.00.03


Discussion

This study failed to identify any significant improvements in sleep as measured by the overall PSQI or the FOSQ in this population. This corroborates data from a recent study by Taibi and colleagues,49 who evaluated 300 mg of valerian, taken half an hour before bed. They reported that valerian did not improve any self-reported or polysomnographic sleep outcomes significantly more than placebo. The Taibi et al. study has several possible limitations, including a small sample size (n = 16), a dose lower than that used in the majority of pilot trials with promising results, and a duration of only 15 days on the study agent.

The current study is one of the few randomized placebo-controlled trials evaluating pharmacological treatment of insomnia complaints among cancer patients. Most randomized trials of treatments directed at insomnia in cancer patients compare CBT with usual care or wait-list care and find it of substantial benefit.[50], [51], [52], [53], [54], [55], [56], [57], [58] and [59] One prior trial in terminal cancer patients evaluated intravenous agents for effectiveness, and another controlled trial found mirtazapine to be effective at improving sleep complaints in cancer patients with depression.[51] and [60] Otherwise, there are no other controlled trials assessing pharmacologic agents to primarily address sleep-related complaints in cancer patients.

While there was no significant improvement in sleep quality as assessed by the PSQI, there were consistent improvements in the secondary fatigue outcomes as measured by both the BFI and the POMS Fatigue-Inertia subscale. Although caution is required in interpreting these secondary results, the raw differences in change scores between the two arms are fairly large, often over 10 points (on a 100-point scale). In addition, several other secondary end points—change from baseline related to sleep latency, amount of sleep per night, improvement in sleep problems, and less drowsiness—all support the valerian arm outperforming placebo.

There are several hypotheses related to the inconsistencies in the results. The PSQI may measure different dimensions of well-being from the BFI or POMS, the former concentrating on sleep-quality measures, while the latter two concentrate on daytime symptoms. The correlation between sleep-quality and daytime symptoms may not be very strong in this study's population. Another possibility is that there was a beta-error. Some of the data were incomplete due to the patients' inability to complete the questionnaires appropriately. The power analysis suggested 100 patients per arm were required, and only about 60 per group provided data for analysis. Another hypothesis is that the effects of valerian were too modest and limited to one aspect, perhaps sleep latency, that were not detectable with multidimensional scales such as the PSQI or the FOSQ that look at impact on activity.

There were more patients who withdrew from the placebo arm early compared to the valerian arm. The reasons for this are not known. However, patients on this trial were getting active treatment for cancer, so numerous and varied reasons could explain early withdrawals including complications from treatment, increased fatigue, and worsening sleep problems.

In summary, this trial did not provide data to support that valerian is helpful in improving sleep during cancer treatment in this population. It is not clear whether valerian may have helpful physiologic activity supporting research in oncology symptom management related to fatigue. Perhaps further exploration is warranted.

Acknowledgments

This study was conducted as a collaborative trial of the North Central Cancer Treatment Group and Mayo Clinic and was supported in part by Public Health Service grants CA-25224, CA-37404, CA-124477 (Mentorship Grant), CA-35431, CA-63848, CA-35195, CA-35133, CA-35267, CA-35269, CA-35103, CA-35101, CA-63849, CA-35119, CA-52352, CA-35448, CA-35103, CA-03011, CA-107586, CA-35261, CA-67575, CA-95968, CA-67753, and CA-35415. The content is solely the responsibility of the authors and does not necessarily represent the views of the National Cancer Institute or the National Institutes of Health.

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46 S.R. Lipsitz, G.M. Fitzmaurice and E.J. Orav et al., Performance of generalized estimating equations in practical situations, Biometrics 50 (1994), pp. 270–278. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (90)

47 J. Cohen, Statistical Power Analysis for the Behavioral Sciences, Lawrence Erlbaum, Hillsdale, NJ (1988).

48 J. Sloan, T. Symonds and D. Vargas-Chanes et al., Practical guidelines for assessing the clinical significance of health-related quality of life changes within clinical trials, Drug Inform J 37 (2003), pp. 23–31. View Record in Scopus | Cited By in Scopus (80)

49 D.M. Taibi, M.V. Vitiello and S. Barsness et al., A randomized clinical trial of valerian fails to improve self-reported, polysomnographic, and actigraphic sleep in older women with insomnia, Sleep Med 10 (2009), pp. 319–328. Article |

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50 A. Berger, B. Kuhn and J. Farr et al., Behavioral therapy intervention trial to improve sleep quality and cancer-related fatigue, Psychooncology 18 (2009), pp. 634–646. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (14)

51 E. Cankurtaran, E. Ozalp and H. Soygur et al., Mirtazapine improves sleep and lowers anxiety and depression in cancer patients: superiority over imipramine, Support Care Cancer 16 (2008), pp. 1291–1298. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (5)

52 C. Espie, L. Fleming and J. Cassidy et al., Randomized controlled clinical effectiveness trial of cognitive behavior therapy compared with treatment as usual for persistent insomnia in patients with cancer, J Clin Oncol 26 (28) (2008), pp. 4651–4658. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (37)

53 D. Epstein and S. Dirksen, Randomized trial of a cognitive-behavioral intervention for insomnia in breast cancer survivors, Oncol Nurs Forum 34 (5) (2007), pp. E51–E59. Full Text via CrossRef

54 J. Savard, S. Simard and I. Giguère et al., Randomized clinical trial on cognitive therapy for depression in women with metastatic breast cancer: psychological and immunological effects, Palliat Support Care 4 (3) (2006), pp. 219–237. View Record in Scopus | Cited By in Scopus (30)

55 J. Savard, S. Simard and H. Ivers et al., Randomized study on the efficacy of cognitive-behavioral therapy for insomnia secondary to breast cancer, part I: Sleep and psychological effects, J Clin Oncol 23 (25) (2005), pp. 6083–6096. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (89)

56 J. Savard, S. Simard and H. Ivers, Randomized study on the efficacy of cognitive behavioral therapy for insomnia secondary to breast cancer, part II: Immunologic effects, J Clin Oncol 23 (25) (2005), pp. 6097–6106. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (32)

57 P. Sherwood, B. Given and C. Given et al., A cognitive behavioral intervention for symptom management in patients with advanced cancer, Oncol Nurs Forum 32 (6) (2005), pp. 1190–1198. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (22)

58 C. Quesnel, J. Savard and S. Simard et al., Efficacy of cognitive-behavioral therapy for insomnia in women treated for nonmetastatic breast cancer, J Consult Clin Psychol 71 (1) (2003), pp. 189–200. Abstract |

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59 J. Davidson, J. Waisberg and M. Brundage et al., Nonpharmacologic group treatment of insomnia: a preliminary study with cancer survivors, Psychooncology 10 (2001), pp. 389–397. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (50)

60 N. Matsuo and T. Morita, Efficacy, safety, and cost effectiveness of intravenous midazolam and flunitrazepam for primary insomnia in terminally ill patients with cancer: a retrospective multicenter audit study, J Palliat Med 10 (5) (2007), pp. 1054–1062. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

 

 

Additional participating institutions include Duluth Clinic CCOP, Duluth, MN (Daniel A. Nikcevich, MD, PhD); CCOP Sioux Community Cancer Consortium, Sioux Falls, SD (Loren K. Tschetter, MD); Iowa Oncology Research Association CCOP, Des Moines, IA (Robert J. Behrens, MD); Mayo Clinic Arizona, Scottsdale AZ (Tom R. Fitch, MD); Missouri Valley Cancer Consortium CCOP, Omaha, NE (Gamini S. Soori, MD); Medical College of Georgia Minority-Based CCOP, Augusta, GA (Anand P. Jillella, MD); Columbus CCOP, Columbus, OH (J. Philip Kuebler, MD, PhD); Upstate Carolina CCOP, Spartanburg, SC (James D. Bearden, MD); Cedar Rapids Oncology Project CCOP, Cedar Rapids, IA (Martin Wiesenfeld, MD); Altru Cancer Center, Grand Forks, ND (Todor Dentchev, MD); Montana Cancer Consortium CCOP, Billings, MT (Benjamin T. Marchello, MD); Saint Vincent Hospital CCOP, Green Bay, WI (Anthony J. Jaslowski, MD); Colorado Cancer Research Program CCOP, Denver, CO (Eduardo R. Pajon, Jr, MD); Geisinger Medical Center CCOP, Danville, PA (Albert M. Bernath, Jr, MD); Rapid City Regional Hospital, Rapid City, SD (Richard C. Tenglin, MD); Siouxland Hematology Oncology Associates, Sioux City, IA (Donald B. Wender, MD, PhD); Toledo Community Hospital Oncology Program CCOP, Toledo, OH (Paul L. Schaefer, MD).

Correspondence to: Debra L. Barton, RN, PhD, AOCN, FAAN, Mayo Clinic, 200 First Street, SW, Rochester, MN 55905; telephone: 507-255-3812; fax: 507-538-8300


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Management Of Tyrosine Kinase Inhibitor–Induced Hand–Foot Skin Reaction: Viewpoints from the Medical Oncologist, Dermatologist, and Oncology Nurse

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Management Of Tyrosine Kinase Inhibitor–Induced Hand–Foot Skin Reaction: Viewpoints from the Medical Oncologist, Dermatologist, and Oncology Nurse

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Management Of Tyrosine Kinase Inhibitor–Induced Hand–Foot Skin Reaction: Viewpoints from the Medical Oncologist, Dermatologist, and Oncology Nurse

Elizabeth Manchen RN, MS, OCN

,
, Caroline Robert MD, PhD and Camillo Porta MD

Received 12 August 2010; 

accepted 22 November 2010. 

Available online 13 February 2011.

Abstract

One significant toxicity associated with the anticancer tyrosine kinase inhibitors (TKIs) is hand–foot skin reaction (HFSR). We provide an overview of HFSR, emphasizing experience-based prevention techniques and nursing management strategies from the viewpoints of a medical oncologist, a dermatologist, and an oncology nurse. Supporting data include (1) published preclinical and phase I–III clinical studies and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib. HFSR has been reported in up to 60% of patients treated with sorafenib or sunitinib. TKI-induced HFSR may lead to dose reductions or treatment interruptions and reduced quality of life. Symptoms of TKI-associated HFSR can be managed by implementing supportive measures and aggressive dose modification. Patients educated about HFSR can work with their health-care teams to proactively detect and help manage this cutaneous toxicity, thus preventing or reducing the severity of TKI-associated HFSR. Successful prevention and management of TKI-associated HFSR can help to ensure that patients achieve optimal therapeutic outcomes. Implementation of such measures may increase the likelihood that therapy is continued for the appropriate interval at an appropriate dose for each patient. Optimal management of TKI-associated HFSR is predicated on establishing appropriate partnerships among medical oncologists, dermatologists, oncology nurses, and patients.

Article Outline

The Medical Oncologist's Viewpoint
Molecularly Targeted Agents
Characteristics of Hand–Foot Skin Reaction
Grading HFSR

The Dermatologist's Viewpoint
Incidence and Severity of HFSR With TKI
Management Strategies

The Oncology Nurse's Viewpoint

Summary

Acknowledgements

References

We are living in an era of “molecularly targeted therapy.” This targeted approach has developed as advances in science have led to a more detailed understanding of the inner workings of the cell, both in health and in illness. Once a molecular pathway has been implicated in the development and progression of cancer, modulators can be developed to intervene in this pathway. The goal is to target the cells and pathways specifically involved in the disease process, thereby leaving the normal processes undisturbed. The era of targeted therapy began in the late 1990s when the first targeted anticancer agents received regulatory approval (Figure 1). The targeted therapy armamentarium has since grown, creating a therapeutic landscape in which the chemical destruction of tumors with chemotoxic agents has been either expanded upon or replaced with agents designed to target carcinogenic processes.



Figure 1. 

Progress in the Medical Treatment of Cancer

This article reviews the mechanism of action, clinical trial results, and adverse effects of two molecularly targeted anticancer agents, the tyrosine kinase inhibitors (TKIs) sorafenib (Nexavar®; Bayer HealthCare Pharmaceuticals, Montville, NJ, and Onyx Pharmaceuticals, Emeryville, CA) and sunitinib (Sutent®; Pfizer Pharmaceuticals, New York, NY). This article specifically focuses on the diagnosis and management of TKI-associated hand–foot skin reaction (HFSR) from the perspectives of the medical oncologist, the dermatologist, and the oncology nurse. Data were derived from (1) published reports of preclinical and phase I–III clinical studies of sorafenib and sunitinib and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib.

The Medical Oncologist's Viewpoint

Molecularly Targeted Agents

Molecularly targeted therapies are directed at specific mechanisms involved in cell division, invasion, and metastasis, as well as in cell survival mediated by avoidance of apoptosis and resistance to conventional treatments. Clinical trials in several cancer types have shown that these TKIs can inhibit these activities of cancer cells by either cytostatic or cytotoxic mechanisms.1 However, the ability of these agents to inhibit multiple cancer cell pathways via novel mechanisms of action may explain, at least in part, their apparent direct toxic effects.2 These include adverse events that, from a medical viewpoint, must be anticipated, promptly recognized, and properly treated. Doing so can help minimize disruption to the patient's quality of life and may reduce the need for dose reduction or treatment interruption.1

Both sorafenib and sunitinib are orally administered, small-molecule inhibitors of multiple kinases, some of which are common to both agents (Figure 2).3 Sorafenib has known effects on tumor-cell proliferation and angiogenesis. Its antiproliferative effects are exerted via inhibition of serine/threonine kinases of the RAF/MEK/ERK signaling pathway (also called the MAP-kinase pathway) that is found within tumor cells; specifically, sorafenib targets wild-type RAF gene products (CRAF, BRAF) and mutant BRAF. The antiangiogenic effects of sorafenib are exerted via its inhibition of extracellular vascular endothelial growth factor (VEGF) receptors 2 and 3 (VEGFR-2 and VEGFR-3) and platelet-derived growth factor receptor beta (PDGFR-β), which is found mainly in the tumor vasculature. Sorafenib also exerts broad-spectrum activity against the stem-cell growth factor receptor (c-KIT), FMS-like tyrosine kinase 3 (Flt3), and the receptor encoded by the ret proto-oncogene (RET).[4], [5], [6] and [7] Sunitinib has demonstrated effects on the growth, pathologic angiogenesis, and metastatic progression of cancer by inhibiting PDGFR-α and -β; VEGFR-1, -2, and -3; and colony-stimulating factor receptor (CSF-1R), c-KIT, Flt3, and RET.8

 

 



Figure 2. 

Mechanisms of Action of Sorafenib and Sunitinib

Sorafenib and sunitinib specifically recognize and inhibit c-KIT, VEGFR, PDGFR-β, and Flt3 receptor tyrosine kinases. Sorafenib also inhibits RAF, a serine/threonine kinase involved in the RAF/MEK/ERK kinase pathway

c-KIT = stem-cell growth factor receptor (a cytokine receptor expressed on the surface of hematopoietic stem cells as well as other cell types); ERK = extracellular signal–regulated kinase; Flt3 = FMS-like tyrosine kinase 3 (a cytokine receptor expressed on the surface of hematopoietic progenitor cells); Flt3L = FMS-like tyrosine kinase 3 ligand (Flt3 ligand); MEK = (MAPK/ERK) kinase; PDGF-ΒΒ = platelet-derived growth factor BB; PDGFR-β = platelet-derived growth factor receptor beta; RAF = a gene that encodes for a protein kinase (Raf1) that functions in the mitogen-activated protein kinase/extracellular signal–regulated kinase (MAPK/ERK) signal-transduction pathway as part of a protein kinase cascade; RAS = a superfamily of genes that encode small GTPases involved in cellular signal transduction; SCF = stem-cell factor; VEGF = vascular endothelial growth factor; VEGFR = vascular endothelial growth factor receptor

Adapted with permission from Lacouture et al3

Sorafenib was approved for the treatment of advanced renal cell carcinoma (RCC) in 2005 and for unresectable hepatocellular carcinoma (HCC) in 2007. The efficacy of sorafenib in 903 patients with advanced RCC was demonstrated in the phase III Treatment Approaches in Renal Cancer Global Evaluation Trial (TARGET), the largest phase III trial ever conducted in the second-line setting in patients with advanced RCC. Sorafenib significantly enhanced median progression-free survival (PFS) compared with placebo (24 vs 12 weeks),9 which led to early termination of the study and crossover from placebo to active drug. A preplanned analysis, which did not include patients who received placebo (who had crossed over to active treatment), ultimately demonstrated that sorafenib significantly prolonged overall survival (OS).10 Furthermore, 84% of sorafenib-treated patients experienced a clinical benefit, defined as objective response or disease stabilization.9 These results have been confirmed in larger, “real-world” patient populations in expanded-access programs conducted in North America (n = 2504)11 and the European Union (n = 118).12

Definitive data supporting the efficacy of sorafenib in HCC were provided by the randomized, double-blind, placebo-controlled Sorafenib CCC Assessment Randomized Protocol (SHARP) trial, the largest phase III trial ever conducted in patients with advanced HCC (n = 599) and the first phase III study to demonstrate a significant survival advantage with a systemic treatment in advanced HCC. In this trial, patients treated with sorafenib experienced a 44% increase in median OS (10.7 vs 7.9 months, hazard ratio [HR] = 0.69, 95% confidence interval [CI] 0.55–0.87, P < 0.001) and a 73% prolongation in median time to radiographic progression (5.5 vs 2.8 months, P < 0.001) compared with patients who received placebo.13 These results were confirmed in a separate phase III, randomized, double-blind, placebo-controlled study conducted in 226 patients from the Asia-Pacific region with advanced HCC.14 In this trial also, sorafenib significantly prolonged median OS (6.5 vs 4.2 months, HR = 0.68, 95% CI 0.50–0.93, P = 0.014) and time to progression (TTP) (2.8 vs 1.4 months, HR = 0.57, 95% CI 0.42–0.79, P = 0.0005) compared with placebo.

Sunitinib received approval in 2006 for use in patients with gastrointestinal stromal tumor (GIST) whose disease is refractory to imatinib (Gleevec®; Novartis Pharmaceuticals, East Hanover, NJ) or who are intolerant to the drug and in those with advanced RCC. Approval of sunitinib for the treatment of GIST was based on data from a randomized, placebo-controlled, phase III trial of 312 patients with imatinib-refractory GIST.15 In that study, sunitinib treatment increased median PFS (24.1 vs 6.0 weeks, HR = 0.33, 95% CI 0.24–0.47, P < 0.0001) and median TTP (27.3 vs 6.4 weeks, HR = 0.33, 95% CI 0.23–0.47, P < 0.0001) compared with placebo. The trial was unblinded early when a planned interim analysis revealed significantly longer TTP with sunitinib than with placebo. A subsequent analysis showed that median OS with sunitinib was about twice that with placebo (73.9 vs 35.7 weeks, P < 0.001).16 In an ongoing, worldwide treatment-use program to provide expanded access to sunitinib for patients with advanced GIST intolerant of or resistant to imatinib,17 sunitinib treatment resulted in a median estimated TTP of 41 weeks and a median estimated OS of 75 weeks in the population analyzed (n = 1,117).

A separate phase III randomized controlled trial was conducted in 750 patients with advanced RCC and no history of systemic therapy for RCC.[18] and [19] The active comparator in this trial was interferon-alfa (IFN-α). Compared with IFN-α, sunitinib significantly increased median PFS (11 vs 5 months, HR = 0.539, 95% CI 0.451–0.643, P < 0.001) and was associated with a greater objective response rate (47% vs 12%, P < 0.001). Median OS was greater in the sunitinib group (26.4 vs 21.8 months), but the difference was not significant (P = 0.051). Data from expanded-access programs in patients with RCC and GIST support the phase III trial data for sunitinib.20 Efficacy data for sorafenib and sunitinib are summarized in Table 1.[9], [10], [11], [12], [13], [14], [15], [17], [18] and [20]

 

 

Table 1. Summary of Efficacy Data for Sorafenib and Sunitinib

DRUG, DISEASE, AND STUDYEFFICACY DATA
Sorafenib
Advanced RCC
Phase III TARGET[9] and [10]

• Largest phase III trial ever conducted in second-line setting in patients with advanced RCC

• Median PFS was 5.5 months in sorafenib group vs 2.8 months in placebo group (P < 0.001)

• 28% improvement in OS vs placebo (HR = 0.72, P = 0.02)

• Significant prolongation of OS (HR = 0.78, 95% CI 0.62–0.97, P = 0.029)

• Clinical benefit (CR + PR + SD) in 84% of patients

Expanded-access programs[11] and [12]Data from expanded-access programs in community-based populations (NA- and EU-ARCCS) were consistent with data from TARGET
Unresectable HCC
Phase III SHARP trial13

• First phase III trial to demonstrate a significant survival advantage for a systemic therapy in advanced HCC

• Median OS was 10.7 months in sorafenib group vs 7.9 months in placebo group (HR = 0.69, 95% CI 0.55–0.87, P < 0.001)

• Median TTRP was 5.5 months in sorafenib group vs 2.8 months in placebo group (HR = 0.58, 95% CI 0.45–0.74, P < 0.001)

• Disease control rate (CR + PR + SD) was 43% in sorafenib group vs 32% in placebo group (P = 0.002)

Phase III Asia-Pacific trial14

• Median OS was 6.5 months in sorafenib group vs 4.2 months in placebo group (HR = 0.68, 95% CI 0.50–0.93, P = 0.014)

• Median TTP was 2.8 months in sorafenib group vs 1.4 months in placebo group (HR = 0.57, 95% CI 0.42–0.79, P = 0.0005)

Sunitinib
Advanced RCC
Phase III registration trial18

• Median PFS was 11 months in sunitinib group vs 5 months in interferon-α group (HR = 0.539, 95% CI 0.451–0.643, P < 0.001)

• Objective response rate (CR + PR) was 47% in sunitinib group vs 12% in interferon-α group (P < 0.001)

• Median OS was 26.4 months in sunitinib group vs 21.8 months in interferon-α group (P = 0.051)

Expanded-access program20

• In a broad population of patients with metastatic RCC who were treated with sunitinib:

 – Median PFS was 10.9 months

 – Median OS was 18.4 months

Imatinib-resistant GIST
Phase III registration trial15

• Median TTP was 27.3 weeks in sunitinib group vs 6.4 weeks in placebo group (HR = 0.33, 95% CI 0.23–0.47, P < 0.0001)

• Median PFS was 24.1 weeks in sunitinib group vs 6.0 weeks in placebo group (HR = 0.33, 95% CI 0.24–0.47, P < 0.0001)

• 16% of sunitinib-treated patients were progression-free for at least 26 weeks compared with 1% of those who received placebo

Expanded-access program17

• In a broad population of patients with imatinib-resistant GIST who were treated with sunitinib:

 – Estimated median TTP was 41 weeks

 – Estimated median OS was 75 weeks

CI = confidence interval; CR = complete response; EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; HR = hazard ratio; NA-ARCCS = North American ARCCS; OS = overall survival; PFS = progression-free survival; PR = partial response; RCC = renal cell carcinoma; SD = stable disease; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial; TTP = time to progression; TTRP = time to radiologic progression


Characteristics of Hand–Foot Skin Reaction

Data from the clinical trials for sorafenib and sunitinib indicate that both agents are generally well-tolerated; common treatment-related adverse reactions include diarrhea, alopecia, nausea, fatigue, rash, and hypertension, as well as palmar–plantar erythrodysesthesia (PPE) syndrome, also known as hand–foot skin reaction (HFSR) (Table 2).[10] and [19] HFSR is a dermatologic toxicity that has been reported in 14%–62% of patients treated with sorafenib or sunitinib (Table 3).[9], [11], [12], [13], [14], [15], [17], [18], [20], [21], [22], [23], [24] and [25] In general, the term HFSR refers to a group of signs and symptoms affecting the hands and feet of patients taking sorafenib, sunitinib, or, to a lesser extent, other TKIs such as pazopanib (Votrient™; GlaxoSmithKline, Research Triangle Park, NC)[26] and [27] and axitinib (AG013736).[28], [29], [30] and [31]

Table 2. Selected Common Adverse Events in Patients Treated with Sorafenib (n = 452) or Sunitinib (n = 375) in Phase III Registration Trials (Updated and Final Results)[10] and [19]

ADVERSE EVENT
SORAFENIB 400 MG BID
SUNITINIB 50 MG QD
ALL GRADES (%)GRADE 3/4 (%)ALL GRADES (%)GRADE 3/4 (%)
Diarrhea483619
Rash411242
Hand–foot skin reaction336299
Alopecia310120
Fatigue2935411
Nausea19<1525
Hypertension1743012
Dry skin13021<1
Vomiting121314
Mucositis50262

Table 3. Rates of Hand–Foot Skin Reaction in Clinical Trials of Sorafenib and Sunitinib

REFERENCESTUDYALL GRADES (%)GRADE 3 (%)GRADE 4 (%)
Sorafenib
 9Phase III TARGETa306 (grade 3/4)
 13Phase III SHARPa2180
 11NA-ARCCS, first-linea19 (≥2)11 (grade 3/4)
 11NA-ARCCS, second-linec17 (≥2)8 (grade 3/4)
 12EU-ARCCSa4712 (grade 3/4)
 14Phase III Asia-Pacifica4511 (grade 3/4)
 24Phase II randomized discontinuation trial in advanced RCCb62130
 25Phase II study in advanced HCCb3150
 21Phase II, uncontrolled study in relapsed/refractory NSCLCa3710 (grade 3/4)
Sunitinib
 18Phase III registration trial in advanced RCCa2050
 20Expanded access program in advanced RCCc5 (grade 3/4)
 15Phase III registration trial in imatinib-resistant GISTa1440
 [17] and [22]Expanded access program in imatinib-resistant GISTcN/A8 (grade 3/4)
 23Phase II trial of second-line treatment in advanced RCCa1570

EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; N/A = data not available; NA-ARCCS = North American ARCCS; NSCLC = non-small-cell lung cancer; RCC = renal cell carcinoma; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial

a Used version 3.0 of National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE)b Used version 2.0 of NCI-CTCAEc Version of NCI-CTCAE used not specified

 

 

HFSR is typically characterized by redness, marked discomfort, swelling, and tingling in the palms of the hands and/or soles of the feet.32 HFSR can be painful enough to interfere profoundly with activities of daily living (ADLs). In fact, patients may report symptoms after as few as 2 weeks on TKI therapy, at which point they may present to the health-care provider (HCP) wearing slippers, unable to walk, and having difficulty in performing ADLs such as eating, dressing, and bathing.[1] and [33] Although HFSR can lead to TKI dose modification or treatment discontinuation, preventive measures can be taken before TKIs are initiated to reduce the likelihood of HFSR. In addition, early treatment of symptoms may prevent HFSR from progressing to the point at which the patient's ability to receive the full potential benefit of therapy is compromised.[3], [34], [35] and [36]

Signs and symptoms of HFSR may appear concomitantly or sequentially and can affect both hands and both feet. Although symptoms are most prominent on the palms and soles, other areas of the hands and feet may also be involved, including the tips of the fingers and toes, the heels, and metatarsophalangeal skin; areas of flexure; and skin overlying the metacarpophalangeal and interphalangeal joints.3 These “pressure areas” are where the most severe symptoms are typically seen. Common symptoms include dysesthesia and paresthesia, described as “tingling, prickling, or creeping sensations” and/or sensitivity or intolerance to hot or warm objects (which may occur before other symptoms are apparent); erythema; edema; hyperkeratosis; and dry and/or cracked skin.[1] and [34] Actual HFSR lesions are described as tender and scaling, with a peripheral halo of erythema, yellowish and hyperkeratotic plaques, or callous-like blisters (which usually do not contain fluid), typically localized to areas of pressure.[3] and [35] Desquamation, particularly with sunitinib treatment, may also be present.37

Since both sorafenib and sunitinib inhibit the VEGFRs, PDGFRs, c-KIT, and Flt3,38 it is likely that inhibition of one or more of these receptors and/or pathways plays a role in HFSR development.36 Differences in the relative appearance of HFSR symptoms are dependent on whether sorafenib or sunitinib is used. Sunitinib use is more often associated with desquamation, whereas sorafenib is more often associated with areas of hyperkeratosis, particularly formation of thick calluses on the soles of the feet.37 The timing of the first appearance of symptoms may also vary according to the TKI used. HFSR usually develops within the first 2–4 weeks of treatment with a TKI and almost always within the first 6 weeks.35 However, because the severity of HFSR appears to be dose-dependent,3 signs and symptoms may present later rather than sooner in patients treated with sunitinib. This is likely due to the recommended sunitinib dosing schedule, which incorporates a 2-week period during which no drug is administered. Although HFSR frequently decreases in intensity during treatment, even without dose modifications or treatment interruption, prompt treatment of HFSR is recommended to prevent rapid progression. Early symptoms can usually be resolved easily by appropriate treatment, which often allows continuation of full-dose therapy for the prescribed length of time.

It is important to note what HFSR is not. TKI-associated HFSR is not the same clinical entity as the hand–foot syndrome (HFS) traditionally seen with cytotoxic agents such as infusional 5-fluorouracil (5-FU); capecitabine, the oral prodrug of 5-FU; and pegylated liposomal doxorubicin. Although HFSR and HFS share several clinical and pathological aspects—each previously has been called “acral erythema” and “PPE”—they clearly are not the same clinical or pathologic entity. HFSR is neither an allergic reaction to a drug nor an indication that a patient may be intolerant to a drug. Finally, HFSR does not indicate drug efficacy, as may be the case with skin rash in patients with non-small-cell lung cancer treated with erlotinib.[3] and [39]

Grading HFSR

In published reports, the severity of HFSR is usually graded according to the National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE),32 a three-grade classification system. However, modified criteria are considered by some to be a better fit for routine clinical practice.1 What distinguishes the modified criteria from the NCI criteria (version 4.02) is the inclusion of HFSR-specific clinical characteristics plus certain patient-defined considerations used to categorize severity. The modified criteria expressly define the degree to which HFSR discomfort affects the patient's normal activities, an improvement over version 4.02 used alone. The NCI-CTCAE version 4.02 criteria, the modified criteria, and corresponding patient photographs are presented in Figure 3.[1] and [32]

 

 



Figure 3. 

National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE, version 4.02)32 and Modified Grading Criteria for Hand–Foot Skin Reaction1

Note that grade-4 toxicity is not contemplated in either system

Photographs reproduced with permission

Recommendations for the treatment of grade 1 HFSR include early and appropriate dermatologic management and active collaboration among HCPs.40

The Dermatologist's Viewpoint

Although the exact pathogenesis of HFSR has not been fully elucidated, research into its cause(s) is ongoing. Theoretically, traditional HFS is thought to be due to the direct toxic effects of drugs or their ability to invoke a “host-vs-host” response. In contrast, a unique mechanism has been proposed for TKI-associated HFSR: simultaneous blockage of VEGFRs and PDGFRs.2

Three histopathologic features have been found to predominate in HFSR: dyskeratotic keratinocytes at various states of necrosis (Figure 441), basal layer vacuolar degeneration, and mild perivascular or lichenoid lymphocyte-predominant infiltrate.2 Immunohistochemistry with a variety of skin-cell markers has shown a significant modification of normal maturation of keratinocytes, which are often apoptotic. Minor modifications of blood vessels are also seen, but no signs of intense vasculitis are evident. This is important because HFSR is suspected of being a “class effect” of TKIs that target VEGFRs. HFSR is not seen in patients treated with single-agent bevacizumab, and the lack of histologic evidence of significant damage to blood vessels suggests that HFSR does not result from the general inhibition of angiogenesis. A retrospective analysis found that HFSR rates were higher when patients were treated with sorafenib and bevacizumab in combination, supporting the hypothesis that HSFR is due to the anti-VEGF properties of sorafenib.42 Other possible causes of HFSR include activation by a ligand other than VEGF and/or inhibition of one of the other protein targets inhibited by both sorafenib and sunitinib.[3] and [35]



Figure 4. 

Layers of the Epidermis

The epidermis is composed of a very sophisticated arrangement of keratinocytes, which originate as stem cells in the stratum germinatum (not shown). The stem cells constantly multiply, creating daughter cells that progressively mature over approximately 28 days and move to the surface of the epidermis. As they move, they change their function and shape. In the stratum spinosum, interactions between cells resemble spines; mature cells move through the stratum granulosum, which has a very important secretory function, until finally the cells reach the stratum corneum and die. Thus, the stratum corneum is the layer of skin containing dead skin cells that have lost their nuclei; it is the part of the epidermis that ensures the barrier function of skin and is the layer most affected by HFSR. The layer beneath the epidermis is called the “papillary dermis.” The papillary dermis contains nerves and blood vessels and supplies the epidermis with nutrients. The fibroblasts and fibers located here give skin its strength and resistance

Adapted with permission from Gawkrodger41


Incidence and Severity of HFSR With TKI

To determine the incidence and severity of HFSR specific to sorafenib, a double-blind, prospective, dermatologic substudy was performed in patients enrolled in the phase III TARGET trial.35 Eighty-five patients with RCC were randomized to receive either sorafenib (n = 43) or placebo (n = 42). Dermatologic examinations were performed before and during treatment. Ninety-one percent of sorafenib-treated patients experienced at least one cutaneous reaction compared with 7% of those in the placebo group. A variant of HFSR clinically distinct from chemotherapy-induced HFS was observed in 60% of sorafenib-treated patients. Reversible grade 3 HFSR leading to dose reduction occurred in two sorafenib-treated patients. Additional cutaneous reactions were facial erythema, scalp dysesthesia, alopecia, and subungual splinter hemorrhages.

HFSR (of any grade) has been shown to occur in approximately 30% of patients treated with sorafenib and 20% of those who received sunitinib in clinical studies.43 Grade 3/4 HFSR has been observed in approximately 6% of sorafenib-treated and 5% of sunitinib-treated patients. HFSR was not reported in a phase II study of 142 patients with relapsed or refractory soft-tissue sarcoma treated with pazopanib.44 In a phase III randomized, double-blind, placebo-controlled trial of pazopanib in patients with advanced RCC, the incidence of HFSR was <10%, while the incidence of grade 3/4 HFSR was <1%. Potential differences may be explained by variations in the potency and selectivity of the TKIs.27

Management Strategies

Our work at the Dermatology Center at the Gustave-Roussy Institute has shown that early intervention against the dermatologic adverse effects of these TKIs can inhibit patient progression to a more serious form of HFSR.[34] and [38]

Effective management of HFSR can begin prior to initiation of treatment with sorafenib or sunitinib. Patients should be advised to remove any preexisting hyperkeratotic areas or calluses, keep skin well-moisturized with appropriate creams, and cushion pressure points with cotton socks, soft shoes, and/or insoles. Dose modification is typically not required for grade 1 HFSR; symptomatic treatments should be employed instead.

If HFSR symptoms progress to grade 2 or 3, with pain and a decrease in quality of life, the dose of sorafenib or sunitinib can be modified until symptoms recede, after which the patient can be brought back to the full dose. Very often, the patient can tolerate the full-dose treatment simply by decreasing the dose briefly.3 A recommended dose-modification scheme is shown in Figure 5.3

 

 



Figure 5. 

Management of Hand–Foot Skin Reaction by Grade

MKI = multikinase inhibitor

Adapted with permission from Lacouture et al3

TKIs are being studied in patients with additional types of tumor, possibly in the adjuvant setting, as well as in combinations. Because these drugs are administered orally, with a decreased (compared with conventional cytotoxic agents) frequency of nurse– or doctor–patient interactions, patients must be very well-informed of any potential toxicities with the TKIs.

At present, there are no evidence-based treatment guidelines for the prevention or management of HFSR. However, HCPs most involved in the day-to-day care of patients with HFSR have made great progress in establishing preventive and treatment strategies and in identifying ancillary products likely to decrease the incidence and/or severity of symptoms. Prevention, which includes preventing HFSR entirely as well as preventing progression from its initial appearance, is a key component of HFSR management.

The Oncology Nurse's Viewpoint

The nurse's viewpoint begins with patient education and empowerment. The goal is to prevent adverse effects from occurring while managing any adverse effects that do occur so that the patient has the best chance of staying on anticancer therapy. This requires a strong partnership between the HCP team and the patient. Although not all cases of HFSR can be prevented, experience suggests that symptom incidence and severity can be alleviated by educating patients to recognize the signs and symptoms of HFSR and report these to their HCPs. HFSR typically occurs early in the course of therapy, so it is prudent to be especially vigilant during the first 6 weeks. Providing the patient with a brochure about HFSR to refer to at home may facilitate identification of HFSR.

To address the lack of evidence-based guidelines to prevent or treat HFSR, an international, interdisciplinary expert panel has provided a set of consensus recommendations for the management of TKI-associated HFSR.45 One component of these recommendations can be phrased simply for the patients as a “3C” approach to management: control calluses, comfort with cushions, and cover with creams.

Prior to treatment, the patient should receive a full-body examination, with emphasis on the condition of the hands and feet. Evaluation should be performed by a qualified HCP who can determine whether there are physical conditions that may predispose a patient to areas of increased friction or rubbing. For all patients, especially those with comorbid conditions (eg, diabetes, poor circulation), a pretreatment pedicure is highly recommended. Patients should also be educated on the proper use of tools (eg, a pumice stone) to aid in callus removal. Such tools are considered beneficial because patients can control the frequency of their use and the extent of skin removed. However, because areas of hyperkeratosis are often extremely tender and painful, patients are cautioned against overuse of these tools, including the aggressive “paring” or “cutting” of callused areas. Finally, patients should be advised of the need for clean tools to guard against infection.

Other protective measures include the use of thick cotton gloves and/or socks, which may also help the skin to retain moisture, and avoidance of warm and/or hot water or objects, tight-fitting shoes, or other items that may rub, pinch, or cause friction in affected areas. Tender areas, pressure points, and pressure-sensitive areas of the hands and feet should be protected. For example, weight lifters might be advised to wear gloves. These recommendations hold true both before and after development of HFSR.[3], [33] and [35] Well-padded but nonconstrictive footwear should be worn, and the use of insole cushions or inserts (eg, silicone or gel) should be encouraged. Foot soaks with lukewarm water and magnesium sulfate may be soothing. Tender areas should be protected at all times, and patients should be encouraged not to walk barefoot.

Use of over-the-counter and prescription-strength creams and moisturizers during treatment with TKIs has also been recommended (Table 4).[40], [45], [46], [47], [48] and [49] Moisturizing agents should be applied liberally, immediately after bathing. Cotton gloves and/or socks can also be worn, to help retain moisture and to provide an additional layer of protection. When applied liberally, these products soften areas of thick and hardened skin, help keep the skin pliable, and may prevent cracks or breaks in skin integrity, which could cause additional discomfort. Prescription-strength topical agents have also shown anecdotal benefit (Table 4). These topical agents are typically applied twice daily to affected areas only because they may irritate unaffected skin. Data on the use of topical/systemic corticosteroids in the treatment of HFS remain inconclusive; the literature primarily includes case studies in patients with PPE treated with chemotherapeutic agents including pegylated liposomal doxorubicin.2 Finally, a qualified HCP must always be consulted to ensure proper diagnosis and treatment of HFSR.

 

 

Table 4. Selected Skin Care Products for Use in HFSR

Adapted with permission from Anderson et al40

PRODUCTSPRODUCT INFORMATION
Over-the-counter[40], [45] and [46]
 Cetaphil® (Galderma Laboratories, Ft. Worth, TX) skin cleaners, Aveeno® (Johnson & Johnson, New Brunswick, NJ) shower gelNondeodorant, fragrance-free products
 Udderly Smooth® (Redex Industries, Salem, OH), Gold Bond® (Chattem, Chattanooga, TN), Aveeno®Thicker products with more intense moisturizing properties than basic lotions; anti-itch formulations are available
 Norwegian Formula: Smoothing Relief Anti-Itch Moisturizer (Neutrogena, Los Angeles, CA)Contains dimethicone 1%, camphor 0.1%, and lidocaine
 Norwegian Formula: Foot Cream (Neutrogena)Contains cetearyl alcohol, dimethicone, menthol, and urea
 Bag Balm® (Dairy Association, Lyndonville, VT)May provide “cooling” effect from eucalyptus
 Eucerin® (Beiersdorf, Hamburg, Germany) CreamBest used at night due to greasy formulation
 Eucerin® Dry Skin TherapyContains urea and alpha-hydroxy acid
 Aquaphor® (Beiersdorf) Healing OintmentPetrolatum 41%
 Kerasal® (Alterna, Whippany, NJ)Salicylic acid 5% exfoliates and softens skin; urea 10% moisturizes skin
 Blue Lizard® (Crown Laboratories, Johnson City, TN)UV A and B sunblock, water-resistant
Prescription47–49
 Urea 40% cream (Carmol 40®; Doak Dermatologics, Fairfield, NJ)Softens hyperkeratosis, decreases epidermal thickness, proliferation
 Tazarotene 0.1% cream (Tazorac®; Allergan Dermatology, Irvine, CA)Retinoid decreases proliferation, reduces dermal inflammation
 Fluorouracil 5% cream (Carac®; Dermik Laboratories, Bridgewater, NJ)Antifolate inhibits proliferation; has shown anecdotal benefit in certain conditions characterized by hyperkeratotic lesions on the palms and soles


Summary

The addition of molecularly targeted agents to anticancer treatment has been found to cause both common and novel adverse reactions. HFSR is being increasingly recognized as a potential dose-limiting toxicity associated with sorafenib or sunitinib treatment that can result in discomfort, pain, decreased quality of life, and premature termination of a potentially effective cancer treatment. It is important to educate patients about potential dermatologic adverse effects associated with TKIs because limiting toxicity can help avoid treatment interruptions or dose reductions while improving ADLs.

The precise pathogenic mechanism of HFSR is currently not known, and there is no evidence-based protocol for treatment of HFSR. However, the increased clinical experience with these agents has resulted in a wealth of published articles describing empiric and symptomatic approaches that appear to help to prevent and manage HFSR. Frequent communication is necessary between the physician and patient, particularly 2–4 weeks from the initiation of therapy. Symptoms of HFSR should be recognized as early as possible. Providing the patient with a brochure about HFSR to refer to at home may facilitate the early identification of HFSR.

Patients should be advised of the “3C” approach to the management of TKI-associated HFSR: control calluses, comfort with cushions, and cover with creams. Creams should be applied after bathing and before going to bed; cotton gloves and socks should be worn to keep the cream on the hands and feet during the night.

Symptoms of HFSR typically are manageable with the implementation of supportive measures. If symptoms worsen, dose modification or interruption will result in a return to grade 0/1. Many patients can successfully be rechallenged with the full dose. Observations across multiple viewpoints have consistently shown that HFSR severity can be reduced in patients who are educated about HFSR and proactive about its detection and management.

Acknowledgments

All authors contributed equally to the development of this report. Editorial support was provided by Katherine Wright, PharmD, RPh, ISD, Wrighter Medical Education and Training, West Hills, CA; John A. Ibelli, CMPP, BelMed Professional Resources, New Rochelle, NY; and John D. Zoidis, MD, Bayer HealthCare Pharmaceuticals, Montville, NJ.

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Conflicts of interest: For E. M., none to disclose. C. R. has participated in advisory boards for Bayer, Roche, Pfizer, Astrazeneca, and GSK in the field of melanoma treatment and the management of the cutaneous side effects of anticancer agents. C. P. has acted as a paid adviser or speaker for Bayer Schering Pharma, Pfizer Oncology, Hoffman La Roche, Novartis Pharma, GSK, and Wyeth Pharmaceuticals and has received research funding from Bayer Schering Pharma and Novartis Pharma.

Correspondence to: Elizabeth Manchen, RN, MS, OCN, Section of Hematology/Oncology, University of Chicago Medical Center, 5841 South Maryland Avenue, MC2115, Chicago, IL 60637; telephone: (773) 702–4135


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Management Of Tyrosine Kinase Inhibitor–Induced Hand–Foot Skin Reaction: Viewpoints from the Medical Oncologist, Dermatologist, and Oncology Nurse

Elizabeth Manchen RN, MS, OCN

,
, Caroline Robert MD, PhD and Camillo Porta MD

Received 12 August 2010; 

accepted 22 November 2010. 

Available online 13 February 2011.

Abstract

One significant toxicity associated with the anticancer tyrosine kinase inhibitors (TKIs) is hand–foot skin reaction (HFSR). We provide an overview of HFSR, emphasizing experience-based prevention techniques and nursing management strategies from the viewpoints of a medical oncologist, a dermatologist, and an oncology nurse. Supporting data include (1) published preclinical and phase I–III clinical studies and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib. HFSR has been reported in up to 60% of patients treated with sorafenib or sunitinib. TKI-induced HFSR may lead to dose reductions or treatment interruptions and reduced quality of life. Symptoms of TKI-associated HFSR can be managed by implementing supportive measures and aggressive dose modification. Patients educated about HFSR can work with their health-care teams to proactively detect and help manage this cutaneous toxicity, thus preventing or reducing the severity of TKI-associated HFSR. Successful prevention and management of TKI-associated HFSR can help to ensure that patients achieve optimal therapeutic outcomes. Implementation of such measures may increase the likelihood that therapy is continued for the appropriate interval at an appropriate dose for each patient. Optimal management of TKI-associated HFSR is predicated on establishing appropriate partnerships among medical oncologists, dermatologists, oncology nurses, and patients.

Article Outline

The Medical Oncologist's Viewpoint
Molecularly Targeted Agents
Characteristics of Hand–Foot Skin Reaction
Grading HFSR

The Dermatologist's Viewpoint
Incidence and Severity of HFSR With TKI
Management Strategies

The Oncology Nurse's Viewpoint

Summary

Acknowledgements

References

We are living in an era of “molecularly targeted therapy.” This targeted approach has developed as advances in science have led to a more detailed understanding of the inner workings of the cell, both in health and in illness. Once a molecular pathway has been implicated in the development and progression of cancer, modulators can be developed to intervene in this pathway. The goal is to target the cells and pathways specifically involved in the disease process, thereby leaving the normal processes undisturbed. The era of targeted therapy began in the late 1990s when the first targeted anticancer agents received regulatory approval (Figure 1). The targeted therapy armamentarium has since grown, creating a therapeutic landscape in which the chemical destruction of tumors with chemotoxic agents has been either expanded upon or replaced with agents designed to target carcinogenic processes.



Figure 1. 

Progress in the Medical Treatment of Cancer

This article reviews the mechanism of action, clinical trial results, and adverse effects of two molecularly targeted anticancer agents, the tyrosine kinase inhibitors (TKIs) sorafenib (Nexavar®; Bayer HealthCare Pharmaceuticals, Montville, NJ, and Onyx Pharmaceuticals, Emeryville, CA) and sunitinib (Sutent®; Pfizer Pharmaceuticals, New York, NY). This article specifically focuses on the diagnosis and management of TKI-associated hand–foot skin reaction (HFSR) from the perspectives of the medical oncologist, the dermatologist, and the oncology nurse. Data were derived from (1) published reports of preclinical and phase I–III clinical studies of sorafenib and sunitinib and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib.

The Medical Oncologist's Viewpoint

Molecularly Targeted Agents

Molecularly targeted therapies are directed at specific mechanisms involved in cell division, invasion, and metastasis, as well as in cell survival mediated by avoidance of apoptosis and resistance to conventional treatments. Clinical trials in several cancer types have shown that these TKIs can inhibit these activities of cancer cells by either cytostatic or cytotoxic mechanisms.1 However, the ability of these agents to inhibit multiple cancer cell pathways via novel mechanisms of action may explain, at least in part, their apparent direct toxic effects.2 These include adverse events that, from a medical viewpoint, must be anticipated, promptly recognized, and properly treated. Doing so can help minimize disruption to the patient's quality of life and may reduce the need for dose reduction or treatment interruption.1

Both sorafenib and sunitinib are orally administered, small-molecule inhibitors of multiple kinases, some of which are common to both agents (Figure 2).3 Sorafenib has known effects on tumor-cell proliferation and angiogenesis. Its antiproliferative effects are exerted via inhibition of serine/threonine kinases of the RAF/MEK/ERK signaling pathway (also called the MAP-kinase pathway) that is found within tumor cells; specifically, sorafenib targets wild-type RAF gene products (CRAF, BRAF) and mutant BRAF. The antiangiogenic effects of sorafenib are exerted via its inhibition of extracellular vascular endothelial growth factor (VEGF) receptors 2 and 3 (VEGFR-2 and VEGFR-3) and platelet-derived growth factor receptor beta (PDGFR-β), which is found mainly in the tumor vasculature. Sorafenib also exerts broad-spectrum activity against the stem-cell growth factor receptor (c-KIT), FMS-like tyrosine kinase 3 (Flt3), and the receptor encoded by the ret proto-oncogene (RET).[4], [5], [6] and [7] Sunitinib has demonstrated effects on the growth, pathologic angiogenesis, and metastatic progression of cancer by inhibiting PDGFR-α and -β; VEGFR-1, -2, and -3; and colony-stimulating factor receptor (CSF-1R), c-KIT, Flt3, and RET.8

 

 



Figure 2. 

Mechanisms of Action of Sorafenib and Sunitinib

Sorafenib and sunitinib specifically recognize and inhibit c-KIT, VEGFR, PDGFR-β, and Flt3 receptor tyrosine kinases. Sorafenib also inhibits RAF, a serine/threonine kinase involved in the RAF/MEK/ERK kinase pathway

c-KIT = stem-cell growth factor receptor (a cytokine receptor expressed on the surface of hematopoietic stem cells as well as other cell types); ERK = extracellular signal–regulated kinase; Flt3 = FMS-like tyrosine kinase 3 (a cytokine receptor expressed on the surface of hematopoietic progenitor cells); Flt3L = FMS-like tyrosine kinase 3 ligand (Flt3 ligand); MEK = (MAPK/ERK) kinase; PDGF-ΒΒ = platelet-derived growth factor BB; PDGFR-β = platelet-derived growth factor receptor beta; RAF = a gene that encodes for a protein kinase (Raf1) that functions in the mitogen-activated protein kinase/extracellular signal–regulated kinase (MAPK/ERK) signal-transduction pathway as part of a protein kinase cascade; RAS = a superfamily of genes that encode small GTPases involved in cellular signal transduction; SCF = stem-cell factor; VEGF = vascular endothelial growth factor; VEGFR = vascular endothelial growth factor receptor

Adapted with permission from Lacouture et al3

Sorafenib was approved for the treatment of advanced renal cell carcinoma (RCC) in 2005 and for unresectable hepatocellular carcinoma (HCC) in 2007. The efficacy of sorafenib in 903 patients with advanced RCC was demonstrated in the phase III Treatment Approaches in Renal Cancer Global Evaluation Trial (TARGET), the largest phase III trial ever conducted in the second-line setting in patients with advanced RCC. Sorafenib significantly enhanced median progression-free survival (PFS) compared with placebo (24 vs 12 weeks),9 which led to early termination of the study and crossover from placebo to active drug. A preplanned analysis, which did not include patients who received placebo (who had crossed over to active treatment), ultimately demonstrated that sorafenib significantly prolonged overall survival (OS).10 Furthermore, 84% of sorafenib-treated patients experienced a clinical benefit, defined as objective response or disease stabilization.9 These results have been confirmed in larger, “real-world” patient populations in expanded-access programs conducted in North America (n = 2504)11 and the European Union (n = 118).12

Definitive data supporting the efficacy of sorafenib in HCC were provided by the randomized, double-blind, placebo-controlled Sorafenib CCC Assessment Randomized Protocol (SHARP) trial, the largest phase III trial ever conducted in patients with advanced HCC (n = 599) and the first phase III study to demonstrate a significant survival advantage with a systemic treatment in advanced HCC. In this trial, patients treated with sorafenib experienced a 44% increase in median OS (10.7 vs 7.9 months, hazard ratio [HR] = 0.69, 95% confidence interval [CI] 0.55–0.87, P < 0.001) and a 73% prolongation in median time to radiographic progression (5.5 vs 2.8 months, P < 0.001) compared with patients who received placebo.13 These results were confirmed in a separate phase III, randomized, double-blind, placebo-controlled study conducted in 226 patients from the Asia-Pacific region with advanced HCC.14 In this trial also, sorafenib significantly prolonged median OS (6.5 vs 4.2 months, HR = 0.68, 95% CI 0.50–0.93, P = 0.014) and time to progression (TTP) (2.8 vs 1.4 months, HR = 0.57, 95% CI 0.42–0.79, P = 0.0005) compared with placebo.

Sunitinib received approval in 2006 for use in patients with gastrointestinal stromal tumor (GIST) whose disease is refractory to imatinib (Gleevec®; Novartis Pharmaceuticals, East Hanover, NJ) or who are intolerant to the drug and in those with advanced RCC. Approval of sunitinib for the treatment of GIST was based on data from a randomized, placebo-controlled, phase III trial of 312 patients with imatinib-refractory GIST.15 In that study, sunitinib treatment increased median PFS (24.1 vs 6.0 weeks, HR = 0.33, 95% CI 0.24–0.47, P < 0.0001) and median TTP (27.3 vs 6.4 weeks, HR = 0.33, 95% CI 0.23–0.47, P < 0.0001) compared with placebo. The trial was unblinded early when a planned interim analysis revealed significantly longer TTP with sunitinib than with placebo. A subsequent analysis showed that median OS with sunitinib was about twice that with placebo (73.9 vs 35.7 weeks, P < 0.001).16 In an ongoing, worldwide treatment-use program to provide expanded access to sunitinib for patients with advanced GIST intolerant of or resistant to imatinib,17 sunitinib treatment resulted in a median estimated TTP of 41 weeks and a median estimated OS of 75 weeks in the population analyzed (n = 1,117).

A separate phase III randomized controlled trial was conducted in 750 patients with advanced RCC and no history of systemic therapy for RCC.[18] and [19] The active comparator in this trial was interferon-alfa (IFN-α). Compared with IFN-α, sunitinib significantly increased median PFS (11 vs 5 months, HR = 0.539, 95% CI 0.451–0.643, P < 0.001) and was associated with a greater objective response rate (47% vs 12%, P < 0.001). Median OS was greater in the sunitinib group (26.4 vs 21.8 months), but the difference was not significant (P = 0.051). Data from expanded-access programs in patients with RCC and GIST support the phase III trial data for sunitinib.20 Efficacy data for sorafenib and sunitinib are summarized in Table 1.[9], [10], [11], [12], [13], [14], [15], [17], [18] and [20]

 

 

Table 1. Summary of Efficacy Data for Sorafenib and Sunitinib

DRUG, DISEASE, AND STUDYEFFICACY DATA
Sorafenib
Advanced RCC
Phase III TARGET[9] and [10]

• Largest phase III trial ever conducted in second-line setting in patients with advanced RCC

• Median PFS was 5.5 months in sorafenib group vs 2.8 months in placebo group (P < 0.001)

• 28% improvement in OS vs placebo (HR = 0.72, P = 0.02)

• Significant prolongation of OS (HR = 0.78, 95% CI 0.62–0.97, P = 0.029)

• Clinical benefit (CR + PR + SD) in 84% of patients

Expanded-access programs[11] and [12]Data from expanded-access programs in community-based populations (NA- and EU-ARCCS) were consistent with data from TARGET
Unresectable HCC
Phase III SHARP trial13

• First phase III trial to demonstrate a significant survival advantage for a systemic therapy in advanced HCC

• Median OS was 10.7 months in sorafenib group vs 7.9 months in placebo group (HR = 0.69, 95% CI 0.55–0.87, P < 0.001)

• Median TTRP was 5.5 months in sorafenib group vs 2.8 months in placebo group (HR = 0.58, 95% CI 0.45–0.74, P < 0.001)

• Disease control rate (CR + PR + SD) was 43% in sorafenib group vs 32% in placebo group (P = 0.002)

Phase III Asia-Pacific trial14

• Median OS was 6.5 months in sorafenib group vs 4.2 months in placebo group (HR = 0.68, 95% CI 0.50–0.93, P = 0.014)

• Median TTP was 2.8 months in sorafenib group vs 1.4 months in placebo group (HR = 0.57, 95% CI 0.42–0.79, P = 0.0005)

Sunitinib
Advanced RCC
Phase III registration trial18

• Median PFS was 11 months in sunitinib group vs 5 months in interferon-α group (HR = 0.539, 95% CI 0.451–0.643, P < 0.001)

• Objective response rate (CR + PR) was 47% in sunitinib group vs 12% in interferon-α group (P < 0.001)

• Median OS was 26.4 months in sunitinib group vs 21.8 months in interferon-α group (P = 0.051)

Expanded-access program20

• In a broad population of patients with metastatic RCC who were treated with sunitinib:

 – Median PFS was 10.9 months

 – Median OS was 18.4 months

Imatinib-resistant GIST
Phase III registration trial15

• Median TTP was 27.3 weeks in sunitinib group vs 6.4 weeks in placebo group (HR = 0.33, 95% CI 0.23–0.47, P < 0.0001)

• Median PFS was 24.1 weeks in sunitinib group vs 6.0 weeks in placebo group (HR = 0.33, 95% CI 0.24–0.47, P < 0.0001)

• 16% of sunitinib-treated patients were progression-free for at least 26 weeks compared with 1% of those who received placebo

Expanded-access program17

• In a broad population of patients with imatinib-resistant GIST who were treated with sunitinib:

 – Estimated median TTP was 41 weeks

 – Estimated median OS was 75 weeks

CI = confidence interval; CR = complete response; EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; HR = hazard ratio; NA-ARCCS = North American ARCCS; OS = overall survival; PFS = progression-free survival; PR = partial response; RCC = renal cell carcinoma; SD = stable disease; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial; TTP = time to progression; TTRP = time to radiologic progression


Characteristics of Hand–Foot Skin Reaction

Data from the clinical trials for sorafenib and sunitinib indicate that both agents are generally well-tolerated; common treatment-related adverse reactions include diarrhea, alopecia, nausea, fatigue, rash, and hypertension, as well as palmar–plantar erythrodysesthesia (PPE) syndrome, also known as hand–foot skin reaction (HFSR) (Table 2).[10] and [19] HFSR is a dermatologic toxicity that has been reported in 14%–62% of patients treated with sorafenib or sunitinib (Table 3).[9], [11], [12], [13], [14], [15], [17], [18], [20], [21], [22], [23], [24] and [25] In general, the term HFSR refers to a group of signs and symptoms affecting the hands and feet of patients taking sorafenib, sunitinib, or, to a lesser extent, other TKIs such as pazopanib (Votrient™; GlaxoSmithKline, Research Triangle Park, NC)[26] and [27] and axitinib (AG013736).[28], [29], [30] and [31]

Table 2. Selected Common Adverse Events in Patients Treated with Sorafenib (n = 452) or Sunitinib (n = 375) in Phase III Registration Trials (Updated and Final Results)[10] and [19]

ADVERSE EVENT
SORAFENIB 400 MG BID
SUNITINIB 50 MG QD
ALL GRADES (%)GRADE 3/4 (%)ALL GRADES (%)GRADE 3/4 (%)
Diarrhea483619
Rash411242
Hand–foot skin reaction336299
Alopecia310120
Fatigue2935411
Nausea19<1525
Hypertension1743012
Dry skin13021<1
Vomiting121314
Mucositis50262

Table 3. Rates of Hand–Foot Skin Reaction in Clinical Trials of Sorafenib and Sunitinib

REFERENCESTUDYALL GRADES (%)GRADE 3 (%)GRADE 4 (%)
Sorafenib
 9Phase III TARGETa306 (grade 3/4)
 13Phase III SHARPa2180
 11NA-ARCCS, first-linea19 (≥2)11 (grade 3/4)
 11NA-ARCCS, second-linec17 (≥2)8 (grade 3/4)
 12EU-ARCCSa4712 (grade 3/4)
 14Phase III Asia-Pacifica4511 (grade 3/4)
 24Phase II randomized discontinuation trial in advanced RCCb62130
 25Phase II study in advanced HCCb3150
 21Phase II, uncontrolled study in relapsed/refractory NSCLCa3710 (grade 3/4)
Sunitinib
 18Phase III registration trial in advanced RCCa2050
 20Expanded access program in advanced RCCc5 (grade 3/4)
 15Phase III registration trial in imatinib-resistant GISTa1440
 [17] and [22]Expanded access program in imatinib-resistant GISTcN/A8 (grade 3/4)
 23Phase II trial of second-line treatment in advanced RCCa1570

EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; N/A = data not available; NA-ARCCS = North American ARCCS; NSCLC = non-small-cell lung cancer; RCC = renal cell carcinoma; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial

a Used version 3.0 of National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE)b Used version 2.0 of NCI-CTCAEc Version of NCI-CTCAE used not specified

 

 

HFSR is typically characterized by redness, marked discomfort, swelling, and tingling in the palms of the hands and/or soles of the feet.32 HFSR can be painful enough to interfere profoundly with activities of daily living (ADLs). In fact, patients may report symptoms after as few as 2 weeks on TKI therapy, at which point they may present to the health-care provider (HCP) wearing slippers, unable to walk, and having difficulty in performing ADLs such as eating, dressing, and bathing.[1] and [33] Although HFSR can lead to TKI dose modification or treatment discontinuation, preventive measures can be taken before TKIs are initiated to reduce the likelihood of HFSR. In addition, early treatment of symptoms may prevent HFSR from progressing to the point at which the patient's ability to receive the full potential benefit of therapy is compromised.[3], [34], [35] and [36]

Signs and symptoms of HFSR may appear concomitantly or sequentially and can affect both hands and both feet. Although symptoms are most prominent on the palms and soles, other areas of the hands and feet may also be involved, including the tips of the fingers and toes, the heels, and metatarsophalangeal skin; areas of flexure; and skin overlying the metacarpophalangeal and interphalangeal joints.3 These “pressure areas” are where the most severe symptoms are typically seen. Common symptoms include dysesthesia and paresthesia, described as “tingling, prickling, or creeping sensations” and/or sensitivity or intolerance to hot or warm objects (which may occur before other symptoms are apparent); erythema; edema; hyperkeratosis; and dry and/or cracked skin.[1] and [34] Actual HFSR lesions are described as tender and scaling, with a peripheral halo of erythema, yellowish and hyperkeratotic plaques, or callous-like blisters (which usually do not contain fluid), typically localized to areas of pressure.[3] and [35] Desquamation, particularly with sunitinib treatment, may also be present.37

Since both sorafenib and sunitinib inhibit the VEGFRs, PDGFRs, c-KIT, and Flt3,38 it is likely that inhibition of one or more of these receptors and/or pathways plays a role in HFSR development.36 Differences in the relative appearance of HFSR symptoms are dependent on whether sorafenib or sunitinib is used. Sunitinib use is more often associated with desquamation, whereas sorafenib is more often associated with areas of hyperkeratosis, particularly formation of thick calluses on the soles of the feet.37 The timing of the first appearance of symptoms may also vary according to the TKI used. HFSR usually develops within the first 2–4 weeks of treatment with a TKI and almost always within the first 6 weeks.35 However, because the severity of HFSR appears to be dose-dependent,3 signs and symptoms may present later rather than sooner in patients treated with sunitinib. This is likely due to the recommended sunitinib dosing schedule, which incorporates a 2-week period during which no drug is administered. Although HFSR frequently decreases in intensity during treatment, even without dose modifications or treatment interruption, prompt treatment of HFSR is recommended to prevent rapid progression. Early symptoms can usually be resolved easily by appropriate treatment, which often allows continuation of full-dose therapy for the prescribed length of time.

It is important to note what HFSR is not. TKI-associated HFSR is not the same clinical entity as the hand–foot syndrome (HFS) traditionally seen with cytotoxic agents such as infusional 5-fluorouracil (5-FU); capecitabine, the oral prodrug of 5-FU; and pegylated liposomal doxorubicin. Although HFSR and HFS share several clinical and pathological aspects—each previously has been called “acral erythema” and “PPE”—they clearly are not the same clinical or pathologic entity. HFSR is neither an allergic reaction to a drug nor an indication that a patient may be intolerant to a drug. Finally, HFSR does not indicate drug efficacy, as may be the case with skin rash in patients with non-small-cell lung cancer treated with erlotinib.[3] and [39]

Grading HFSR

In published reports, the severity of HFSR is usually graded according to the National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE),32 a three-grade classification system. However, modified criteria are considered by some to be a better fit for routine clinical practice.1 What distinguishes the modified criteria from the NCI criteria (version 4.02) is the inclusion of HFSR-specific clinical characteristics plus certain patient-defined considerations used to categorize severity. The modified criteria expressly define the degree to which HFSR discomfort affects the patient's normal activities, an improvement over version 4.02 used alone. The NCI-CTCAE version 4.02 criteria, the modified criteria, and corresponding patient photographs are presented in Figure 3.[1] and [32]

 

 



Figure 3. 

National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE, version 4.02)32 and Modified Grading Criteria for Hand–Foot Skin Reaction1

Note that grade-4 toxicity is not contemplated in either system

Photographs reproduced with permission

Recommendations for the treatment of grade 1 HFSR include early and appropriate dermatologic management and active collaboration among HCPs.40

The Dermatologist's Viewpoint

Although the exact pathogenesis of HFSR has not been fully elucidated, research into its cause(s) is ongoing. Theoretically, traditional HFS is thought to be due to the direct toxic effects of drugs or their ability to invoke a “host-vs-host” response. In contrast, a unique mechanism has been proposed for TKI-associated HFSR: simultaneous blockage of VEGFRs and PDGFRs.2

Three histopathologic features have been found to predominate in HFSR: dyskeratotic keratinocytes at various states of necrosis (Figure 441), basal layer vacuolar degeneration, and mild perivascular or lichenoid lymphocyte-predominant infiltrate.2 Immunohistochemistry with a variety of skin-cell markers has shown a significant modification of normal maturation of keratinocytes, which are often apoptotic. Minor modifications of blood vessels are also seen, but no signs of intense vasculitis are evident. This is important because HFSR is suspected of being a “class effect” of TKIs that target VEGFRs. HFSR is not seen in patients treated with single-agent bevacizumab, and the lack of histologic evidence of significant damage to blood vessels suggests that HFSR does not result from the general inhibition of angiogenesis. A retrospective analysis found that HFSR rates were higher when patients were treated with sorafenib and bevacizumab in combination, supporting the hypothesis that HSFR is due to the anti-VEGF properties of sorafenib.42 Other possible causes of HFSR include activation by a ligand other than VEGF and/or inhibition of one of the other protein targets inhibited by both sorafenib and sunitinib.[3] and [35]



Figure 4. 

Layers of the Epidermis

The epidermis is composed of a very sophisticated arrangement of keratinocytes, which originate as stem cells in the stratum germinatum (not shown). The stem cells constantly multiply, creating daughter cells that progressively mature over approximately 28 days and move to the surface of the epidermis. As they move, they change their function and shape. In the stratum spinosum, interactions between cells resemble spines; mature cells move through the stratum granulosum, which has a very important secretory function, until finally the cells reach the stratum corneum and die. Thus, the stratum corneum is the layer of skin containing dead skin cells that have lost their nuclei; it is the part of the epidermis that ensures the barrier function of skin and is the layer most affected by HFSR. The layer beneath the epidermis is called the “papillary dermis.” The papillary dermis contains nerves and blood vessels and supplies the epidermis with nutrients. The fibroblasts and fibers located here give skin its strength and resistance

Adapted with permission from Gawkrodger41


Incidence and Severity of HFSR With TKI

To determine the incidence and severity of HFSR specific to sorafenib, a double-blind, prospective, dermatologic substudy was performed in patients enrolled in the phase III TARGET trial.35 Eighty-five patients with RCC were randomized to receive either sorafenib (n = 43) or placebo (n = 42). Dermatologic examinations were performed before and during treatment. Ninety-one percent of sorafenib-treated patients experienced at least one cutaneous reaction compared with 7% of those in the placebo group. A variant of HFSR clinically distinct from chemotherapy-induced HFS was observed in 60% of sorafenib-treated patients. Reversible grade 3 HFSR leading to dose reduction occurred in two sorafenib-treated patients. Additional cutaneous reactions were facial erythema, scalp dysesthesia, alopecia, and subungual splinter hemorrhages.

HFSR (of any grade) has been shown to occur in approximately 30% of patients treated with sorafenib and 20% of those who received sunitinib in clinical studies.43 Grade 3/4 HFSR has been observed in approximately 6% of sorafenib-treated and 5% of sunitinib-treated patients. HFSR was not reported in a phase II study of 142 patients with relapsed or refractory soft-tissue sarcoma treated with pazopanib.44 In a phase III randomized, double-blind, placebo-controlled trial of pazopanib in patients with advanced RCC, the incidence of HFSR was <10%, while the incidence of grade 3/4 HFSR was <1%. Potential differences may be explained by variations in the potency and selectivity of the TKIs.27

Management Strategies

Our work at the Dermatology Center at the Gustave-Roussy Institute has shown that early intervention against the dermatologic adverse effects of these TKIs can inhibit patient progression to a more serious form of HFSR.[34] and [38]

Effective management of HFSR can begin prior to initiation of treatment with sorafenib or sunitinib. Patients should be advised to remove any preexisting hyperkeratotic areas or calluses, keep skin well-moisturized with appropriate creams, and cushion pressure points with cotton socks, soft shoes, and/or insoles. Dose modification is typically not required for grade 1 HFSR; symptomatic treatments should be employed instead.

If HFSR symptoms progress to grade 2 or 3, with pain and a decrease in quality of life, the dose of sorafenib or sunitinib can be modified until symptoms recede, after which the patient can be brought back to the full dose. Very often, the patient can tolerate the full-dose treatment simply by decreasing the dose briefly.3 A recommended dose-modification scheme is shown in Figure 5.3

 

 



Figure 5. 

Management of Hand–Foot Skin Reaction by Grade

MKI = multikinase inhibitor

Adapted with permission from Lacouture et al3

TKIs are being studied in patients with additional types of tumor, possibly in the adjuvant setting, as well as in combinations. Because these drugs are administered orally, with a decreased (compared with conventional cytotoxic agents) frequency of nurse– or doctor–patient interactions, patients must be very well-informed of any potential toxicities with the TKIs.

At present, there are no evidence-based treatment guidelines for the prevention or management of HFSR. However, HCPs most involved in the day-to-day care of patients with HFSR have made great progress in establishing preventive and treatment strategies and in identifying ancillary products likely to decrease the incidence and/or severity of symptoms. Prevention, which includes preventing HFSR entirely as well as preventing progression from its initial appearance, is a key component of HFSR management.

The Oncology Nurse's Viewpoint

The nurse's viewpoint begins with patient education and empowerment. The goal is to prevent adverse effects from occurring while managing any adverse effects that do occur so that the patient has the best chance of staying on anticancer therapy. This requires a strong partnership between the HCP team and the patient. Although not all cases of HFSR can be prevented, experience suggests that symptom incidence and severity can be alleviated by educating patients to recognize the signs and symptoms of HFSR and report these to their HCPs. HFSR typically occurs early in the course of therapy, so it is prudent to be especially vigilant during the first 6 weeks. Providing the patient with a brochure about HFSR to refer to at home may facilitate identification of HFSR.

To address the lack of evidence-based guidelines to prevent or treat HFSR, an international, interdisciplinary expert panel has provided a set of consensus recommendations for the management of TKI-associated HFSR.45 One component of these recommendations can be phrased simply for the patients as a “3C” approach to management: control calluses, comfort with cushions, and cover with creams.

Prior to treatment, the patient should receive a full-body examination, with emphasis on the condition of the hands and feet. Evaluation should be performed by a qualified HCP who can determine whether there are physical conditions that may predispose a patient to areas of increased friction or rubbing. For all patients, especially those with comorbid conditions (eg, diabetes, poor circulation), a pretreatment pedicure is highly recommended. Patients should also be educated on the proper use of tools (eg, a pumice stone) to aid in callus removal. Such tools are considered beneficial because patients can control the frequency of their use and the extent of skin removed. However, because areas of hyperkeratosis are often extremely tender and painful, patients are cautioned against overuse of these tools, including the aggressive “paring” or “cutting” of callused areas. Finally, patients should be advised of the need for clean tools to guard against infection.

Other protective measures include the use of thick cotton gloves and/or socks, which may also help the skin to retain moisture, and avoidance of warm and/or hot water or objects, tight-fitting shoes, or other items that may rub, pinch, or cause friction in affected areas. Tender areas, pressure points, and pressure-sensitive areas of the hands and feet should be protected. For example, weight lifters might be advised to wear gloves. These recommendations hold true both before and after development of HFSR.[3], [33] and [35] Well-padded but nonconstrictive footwear should be worn, and the use of insole cushions or inserts (eg, silicone or gel) should be encouraged. Foot soaks with lukewarm water and magnesium sulfate may be soothing. Tender areas should be protected at all times, and patients should be encouraged not to walk barefoot.

Use of over-the-counter and prescription-strength creams and moisturizers during treatment with TKIs has also been recommended (Table 4).[40], [45], [46], [47], [48] and [49] Moisturizing agents should be applied liberally, immediately after bathing. Cotton gloves and/or socks can also be worn, to help retain moisture and to provide an additional layer of protection. When applied liberally, these products soften areas of thick and hardened skin, help keep the skin pliable, and may prevent cracks or breaks in skin integrity, which could cause additional discomfort. Prescription-strength topical agents have also shown anecdotal benefit (Table 4). These topical agents are typically applied twice daily to affected areas only because they may irritate unaffected skin. Data on the use of topical/systemic corticosteroids in the treatment of HFS remain inconclusive; the literature primarily includes case studies in patients with PPE treated with chemotherapeutic agents including pegylated liposomal doxorubicin.2 Finally, a qualified HCP must always be consulted to ensure proper diagnosis and treatment of HFSR.

 

 

Table 4. Selected Skin Care Products for Use in HFSR

Adapted with permission from Anderson et al40

PRODUCTSPRODUCT INFORMATION
Over-the-counter[40], [45] and [46]
 Cetaphil® (Galderma Laboratories, Ft. Worth, TX) skin cleaners, Aveeno® (Johnson & Johnson, New Brunswick, NJ) shower gelNondeodorant, fragrance-free products
 Udderly Smooth® (Redex Industries, Salem, OH), Gold Bond® (Chattem, Chattanooga, TN), Aveeno®Thicker products with more intense moisturizing properties than basic lotions; anti-itch formulations are available
 Norwegian Formula: Smoothing Relief Anti-Itch Moisturizer (Neutrogena, Los Angeles, CA)Contains dimethicone 1%, camphor 0.1%, and lidocaine
 Norwegian Formula: Foot Cream (Neutrogena)Contains cetearyl alcohol, dimethicone, menthol, and urea
 Bag Balm® (Dairy Association, Lyndonville, VT)May provide “cooling” effect from eucalyptus
 Eucerin® (Beiersdorf, Hamburg, Germany) CreamBest used at night due to greasy formulation
 Eucerin® Dry Skin TherapyContains urea and alpha-hydroxy acid
 Aquaphor® (Beiersdorf) Healing OintmentPetrolatum 41%
 Kerasal® (Alterna, Whippany, NJ)Salicylic acid 5% exfoliates and softens skin; urea 10% moisturizes skin
 Blue Lizard® (Crown Laboratories, Johnson City, TN)UV A and B sunblock, water-resistant
Prescription47–49
 Urea 40% cream (Carmol 40®; Doak Dermatologics, Fairfield, NJ)Softens hyperkeratosis, decreases epidermal thickness, proliferation
 Tazarotene 0.1% cream (Tazorac®; Allergan Dermatology, Irvine, CA)Retinoid decreases proliferation, reduces dermal inflammation
 Fluorouracil 5% cream (Carac®; Dermik Laboratories, Bridgewater, NJ)Antifolate inhibits proliferation; has shown anecdotal benefit in certain conditions characterized by hyperkeratotic lesions on the palms and soles


Summary

The addition of molecularly targeted agents to anticancer treatment has been found to cause both common and novel adverse reactions. HFSR is being increasingly recognized as a potential dose-limiting toxicity associated with sorafenib or sunitinib treatment that can result in discomfort, pain, decreased quality of life, and premature termination of a potentially effective cancer treatment. It is important to educate patients about potential dermatologic adverse effects associated with TKIs because limiting toxicity can help avoid treatment interruptions or dose reductions while improving ADLs.

The precise pathogenic mechanism of HFSR is currently not known, and there is no evidence-based protocol for treatment of HFSR. However, the increased clinical experience with these agents has resulted in a wealth of published articles describing empiric and symptomatic approaches that appear to help to prevent and manage HFSR. Frequent communication is necessary between the physician and patient, particularly 2–4 weeks from the initiation of therapy. Symptoms of HFSR should be recognized as early as possible. Providing the patient with a brochure about HFSR to refer to at home may facilitate the early identification of HFSR.

Patients should be advised of the “3C” approach to the management of TKI-associated HFSR: control calluses, comfort with cushions, and cover with creams. Creams should be applied after bathing and before going to bed; cotton gloves and socks should be worn to keep the cream on the hands and feet during the night.

Symptoms of HFSR typically are manageable with the implementation of supportive measures. If symptoms worsen, dose modification or interruption will result in a return to grade 0/1. Many patients can successfully be rechallenged with the full dose. Observations across multiple viewpoints have consistently shown that HFSR severity can be reduced in patients who are educated about HFSR and proactive about its detection and management.

Acknowledgments

All authors contributed equally to the development of this report. Editorial support was provided by Katherine Wright, PharmD, RPh, ISD, Wrighter Medical Education and Training, West Hills, CA; John A. Ibelli, CMPP, BelMed Professional Resources, New Rochelle, NY; and John D. Zoidis, MD, Bayer HealthCare Pharmaceuticals, Montville, NJ.

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Conflicts of interest: For E. M., none to disclose. C. R. has participated in advisory boards for Bayer, Roche, Pfizer, Astrazeneca, and GSK in the field of melanoma treatment and the management of the cutaneous side effects of anticancer agents. C. P. has acted as a paid adviser or speaker for Bayer Schering Pharma, Pfizer Oncology, Hoffman La Roche, Novartis Pharma, GSK, and Wyeth Pharmaceuticals and has received research funding from Bayer Schering Pharma and Novartis Pharma.

Correspondence to: Elizabeth Manchen, RN, MS, OCN, Section of Hematology/Oncology, University of Chicago Medical Center, 5841 South Maryland Avenue, MC2115, Chicago, IL 60637; telephone: (773) 702–4135


1 PubMed ID in brackets


How we do it

Management Of Tyrosine Kinase Inhibitor–Induced Hand–Foot Skin Reaction: Viewpoints from the Medical Oncologist, Dermatologist, and Oncology Nurse

Elizabeth Manchen RN, MS, OCN

,
, Caroline Robert MD, PhD and Camillo Porta MD

Received 12 August 2010; 

accepted 22 November 2010. 

Available online 13 February 2011.

Abstract

One significant toxicity associated with the anticancer tyrosine kinase inhibitors (TKIs) is hand–foot skin reaction (HFSR). We provide an overview of HFSR, emphasizing experience-based prevention techniques and nursing management strategies from the viewpoints of a medical oncologist, a dermatologist, and an oncology nurse. Supporting data include (1) published preclinical and phase I–III clinical studies and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib. HFSR has been reported in up to 60% of patients treated with sorafenib or sunitinib. TKI-induced HFSR may lead to dose reductions or treatment interruptions and reduced quality of life. Symptoms of TKI-associated HFSR can be managed by implementing supportive measures and aggressive dose modification. Patients educated about HFSR can work with their health-care teams to proactively detect and help manage this cutaneous toxicity, thus preventing or reducing the severity of TKI-associated HFSR. Successful prevention and management of TKI-associated HFSR can help to ensure that patients achieve optimal therapeutic outcomes. Implementation of such measures may increase the likelihood that therapy is continued for the appropriate interval at an appropriate dose for each patient. Optimal management of TKI-associated HFSR is predicated on establishing appropriate partnerships among medical oncologists, dermatologists, oncology nurses, and patients.

Article Outline

The Medical Oncologist's Viewpoint
Molecularly Targeted Agents
Characteristics of Hand–Foot Skin Reaction
Grading HFSR

The Dermatologist's Viewpoint
Incidence and Severity of HFSR With TKI
Management Strategies

The Oncology Nurse's Viewpoint

Summary

Acknowledgements

References

We are living in an era of “molecularly targeted therapy.” This targeted approach has developed as advances in science have led to a more detailed understanding of the inner workings of the cell, both in health and in illness. Once a molecular pathway has been implicated in the development and progression of cancer, modulators can be developed to intervene in this pathway. The goal is to target the cells and pathways specifically involved in the disease process, thereby leaving the normal processes undisturbed. The era of targeted therapy began in the late 1990s when the first targeted anticancer agents received regulatory approval (Figure 1). The targeted therapy armamentarium has since grown, creating a therapeutic landscape in which the chemical destruction of tumors with chemotoxic agents has been either expanded upon or replaced with agents designed to target carcinogenic processes.



Figure 1. 

Progress in the Medical Treatment of Cancer

This article reviews the mechanism of action, clinical trial results, and adverse effects of two molecularly targeted anticancer agents, the tyrosine kinase inhibitors (TKIs) sorafenib (Nexavar®; Bayer HealthCare Pharmaceuticals, Montville, NJ, and Onyx Pharmaceuticals, Emeryville, CA) and sunitinib (Sutent®; Pfizer Pharmaceuticals, New York, NY). This article specifically focuses on the diagnosis and management of TKI-associated hand–foot skin reaction (HFSR) from the perspectives of the medical oncologist, the dermatologist, and the oncology nurse. Data were derived from (1) published reports of preclinical and phase I–III clinical studies of sorafenib and sunitinib and (2) published abstracts of phase II–III clinical trials of sorafenib and sunitinib.

The Medical Oncologist's Viewpoint

Molecularly Targeted Agents

Molecularly targeted therapies are directed at specific mechanisms involved in cell division, invasion, and metastasis, as well as in cell survival mediated by avoidance of apoptosis and resistance to conventional treatments. Clinical trials in several cancer types have shown that these TKIs can inhibit these activities of cancer cells by either cytostatic or cytotoxic mechanisms.1 However, the ability of these agents to inhibit multiple cancer cell pathways via novel mechanisms of action may explain, at least in part, their apparent direct toxic effects.2 These include adverse events that, from a medical viewpoint, must be anticipated, promptly recognized, and properly treated. Doing so can help minimize disruption to the patient's quality of life and may reduce the need for dose reduction or treatment interruption.1

Both sorafenib and sunitinib are orally administered, small-molecule inhibitors of multiple kinases, some of which are common to both agents (Figure 2).3 Sorafenib has known effects on tumor-cell proliferation and angiogenesis. Its antiproliferative effects are exerted via inhibition of serine/threonine kinases of the RAF/MEK/ERK signaling pathway (also called the MAP-kinase pathway) that is found within tumor cells; specifically, sorafenib targets wild-type RAF gene products (CRAF, BRAF) and mutant BRAF. The antiangiogenic effects of sorafenib are exerted via its inhibition of extracellular vascular endothelial growth factor (VEGF) receptors 2 and 3 (VEGFR-2 and VEGFR-3) and platelet-derived growth factor receptor beta (PDGFR-β), which is found mainly in the tumor vasculature. Sorafenib also exerts broad-spectrum activity against the stem-cell growth factor receptor (c-KIT), FMS-like tyrosine kinase 3 (Flt3), and the receptor encoded by the ret proto-oncogene (RET).[4], [5], [6] and [7] Sunitinib has demonstrated effects on the growth, pathologic angiogenesis, and metastatic progression of cancer by inhibiting PDGFR-α and -β; VEGFR-1, -2, and -3; and colony-stimulating factor receptor (CSF-1R), c-KIT, Flt3, and RET.8

 

 



Figure 2. 

Mechanisms of Action of Sorafenib and Sunitinib

Sorafenib and sunitinib specifically recognize and inhibit c-KIT, VEGFR, PDGFR-β, and Flt3 receptor tyrosine kinases. Sorafenib also inhibits RAF, a serine/threonine kinase involved in the RAF/MEK/ERK kinase pathway

c-KIT = stem-cell growth factor receptor (a cytokine receptor expressed on the surface of hematopoietic stem cells as well as other cell types); ERK = extracellular signal–regulated kinase; Flt3 = FMS-like tyrosine kinase 3 (a cytokine receptor expressed on the surface of hematopoietic progenitor cells); Flt3L = FMS-like tyrosine kinase 3 ligand (Flt3 ligand); MEK = (MAPK/ERK) kinase; PDGF-ΒΒ = platelet-derived growth factor BB; PDGFR-β = platelet-derived growth factor receptor beta; RAF = a gene that encodes for a protein kinase (Raf1) that functions in the mitogen-activated protein kinase/extracellular signal–regulated kinase (MAPK/ERK) signal-transduction pathway as part of a protein kinase cascade; RAS = a superfamily of genes that encode small GTPases involved in cellular signal transduction; SCF = stem-cell factor; VEGF = vascular endothelial growth factor; VEGFR = vascular endothelial growth factor receptor

Adapted with permission from Lacouture et al3

Sorafenib was approved for the treatment of advanced renal cell carcinoma (RCC) in 2005 and for unresectable hepatocellular carcinoma (HCC) in 2007. The efficacy of sorafenib in 903 patients with advanced RCC was demonstrated in the phase III Treatment Approaches in Renal Cancer Global Evaluation Trial (TARGET), the largest phase III trial ever conducted in the second-line setting in patients with advanced RCC. Sorafenib significantly enhanced median progression-free survival (PFS) compared with placebo (24 vs 12 weeks),9 which led to early termination of the study and crossover from placebo to active drug. A preplanned analysis, which did not include patients who received placebo (who had crossed over to active treatment), ultimately demonstrated that sorafenib significantly prolonged overall survival (OS).10 Furthermore, 84% of sorafenib-treated patients experienced a clinical benefit, defined as objective response or disease stabilization.9 These results have been confirmed in larger, “real-world” patient populations in expanded-access programs conducted in North America (n = 2504)11 and the European Union (n = 118).12

Definitive data supporting the efficacy of sorafenib in HCC were provided by the randomized, double-blind, placebo-controlled Sorafenib CCC Assessment Randomized Protocol (SHARP) trial, the largest phase III trial ever conducted in patients with advanced HCC (n = 599) and the first phase III study to demonstrate a significant survival advantage with a systemic treatment in advanced HCC. In this trial, patients treated with sorafenib experienced a 44% increase in median OS (10.7 vs 7.9 months, hazard ratio [HR] = 0.69, 95% confidence interval [CI] 0.55–0.87, P < 0.001) and a 73% prolongation in median time to radiographic progression (5.5 vs 2.8 months, P < 0.001) compared with patients who received placebo.13 These results were confirmed in a separate phase III, randomized, double-blind, placebo-controlled study conducted in 226 patients from the Asia-Pacific region with advanced HCC.14 In this trial also, sorafenib significantly prolonged median OS (6.5 vs 4.2 months, HR = 0.68, 95% CI 0.50–0.93, P = 0.014) and time to progression (TTP) (2.8 vs 1.4 months, HR = 0.57, 95% CI 0.42–0.79, P = 0.0005) compared with placebo.

Sunitinib received approval in 2006 for use in patients with gastrointestinal stromal tumor (GIST) whose disease is refractory to imatinib (Gleevec®; Novartis Pharmaceuticals, East Hanover, NJ) or who are intolerant to the drug and in those with advanced RCC. Approval of sunitinib for the treatment of GIST was based on data from a randomized, placebo-controlled, phase III trial of 312 patients with imatinib-refractory GIST.15 In that study, sunitinib treatment increased median PFS (24.1 vs 6.0 weeks, HR = 0.33, 95% CI 0.24–0.47, P < 0.0001) and median TTP (27.3 vs 6.4 weeks, HR = 0.33, 95% CI 0.23–0.47, P < 0.0001) compared with placebo. The trial was unblinded early when a planned interim analysis revealed significantly longer TTP with sunitinib than with placebo. A subsequent analysis showed that median OS with sunitinib was about twice that with placebo (73.9 vs 35.7 weeks, P < 0.001).16 In an ongoing, worldwide treatment-use program to provide expanded access to sunitinib for patients with advanced GIST intolerant of or resistant to imatinib,17 sunitinib treatment resulted in a median estimated TTP of 41 weeks and a median estimated OS of 75 weeks in the population analyzed (n = 1,117).

A separate phase III randomized controlled trial was conducted in 750 patients with advanced RCC and no history of systemic therapy for RCC.[18] and [19] The active comparator in this trial was interferon-alfa (IFN-α). Compared with IFN-α, sunitinib significantly increased median PFS (11 vs 5 months, HR = 0.539, 95% CI 0.451–0.643, P < 0.001) and was associated with a greater objective response rate (47% vs 12%, P < 0.001). Median OS was greater in the sunitinib group (26.4 vs 21.8 months), but the difference was not significant (P = 0.051). Data from expanded-access programs in patients with RCC and GIST support the phase III trial data for sunitinib.20 Efficacy data for sorafenib and sunitinib are summarized in Table 1.[9], [10], [11], [12], [13], [14], [15], [17], [18] and [20]

 

 

Table 1. Summary of Efficacy Data for Sorafenib and Sunitinib

DRUG, DISEASE, AND STUDYEFFICACY DATA
Sorafenib
Advanced RCC
Phase III TARGET[9] and [10]

• Largest phase III trial ever conducted in second-line setting in patients with advanced RCC

• Median PFS was 5.5 months in sorafenib group vs 2.8 months in placebo group (P < 0.001)

• 28% improvement in OS vs placebo (HR = 0.72, P = 0.02)

• Significant prolongation of OS (HR = 0.78, 95% CI 0.62–0.97, P = 0.029)

• Clinical benefit (CR + PR + SD) in 84% of patients

Expanded-access programs[11] and [12]Data from expanded-access programs in community-based populations (NA- and EU-ARCCS) were consistent with data from TARGET
Unresectable HCC
Phase III SHARP trial13

• First phase III trial to demonstrate a significant survival advantage for a systemic therapy in advanced HCC

• Median OS was 10.7 months in sorafenib group vs 7.9 months in placebo group (HR = 0.69, 95% CI 0.55–0.87, P < 0.001)

• Median TTRP was 5.5 months in sorafenib group vs 2.8 months in placebo group (HR = 0.58, 95% CI 0.45–0.74, P < 0.001)

• Disease control rate (CR + PR + SD) was 43% in sorafenib group vs 32% in placebo group (P = 0.002)

Phase III Asia-Pacific trial14

• Median OS was 6.5 months in sorafenib group vs 4.2 months in placebo group (HR = 0.68, 95% CI 0.50–0.93, P = 0.014)

• Median TTP was 2.8 months in sorafenib group vs 1.4 months in placebo group (HR = 0.57, 95% CI 0.42–0.79, P = 0.0005)

Sunitinib
Advanced RCC
Phase III registration trial18

• Median PFS was 11 months in sunitinib group vs 5 months in interferon-α group (HR = 0.539, 95% CI 0.451–0.643, P < 0.001)

• Objective response rate (CR + PR) was 47% in sunitinib group vs 12% in interferon-α group (P < 0.001)

• Median OS was 26.4 months in sunitinib group vs 21.8 months in interferon-α group (P = 0.051)

Expanded-access program20

• In a broad population of patients with metastatic RCC who were treated with sunitinib:

 – Median PFS was 10.9 months

 – Median OS was 18.4 months

Imatinib-resistant GIST
Phase III registration trial15

• Median TTP was 27.3 weeks in sunitinib group vs 6.4 weeks in placebo group (HR = 0.33, 95% CI 0.23–0.47, P < 0.0001)

• Median PFS was 24.1 weeks in sunitinib group vs 6.0 weeks in placebo group (HR = 0.33, 95% CI 0.24–0.47, P < 0.0001)

• 16% of sunitinib-treated patients were progression-free for at least 26 weeks compared with 1% of those who received placebo

Expanded-access program17

• In a broad population of patients with imatinib-resistant GIST who were treated with sunitinib:

 – Estimated median TTP was 41 weeks

 – Estimated median OS was 75 weeks

CI = confidence interval; CR = complete response; EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; HR = hazard ratio; NA-ARCCS = North American ARCCS; OS = overall survival; PFS = progression-free survival; PR = partial response; RCC = renal cell carcinoma; SD = stable disease; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial; TTP = time to progression; TTRP = time to radiologic progression


Characteristics of Hand–Foot Skin Reaction

Data from the clinical trials for sorafenib and sunitinib indicate that both agents are generally well-tolerated; common treatment-related adverse reactions include diarrhea, alopecia, nausea, fatigue, rash, and hypertension, as well as palmar–plantar erythrodysesthesia (PPE) syndrome, also known as hand–foot skin reaction (HFSR) (Table 2).[10] and [19] HFSR is a dermatologic toxicity that has been reported in 14%–62% of patients treated with sorafenib or sunitinib (Table 3).[9], [11], [12], [13], [14], [15], [17], [18], [20], [21], [22], [23], [24] and [25] In general, the term HFSR refers to a group of signs and symptoms affecting the hands and feet of patients taking sorafenib, sunitinib, or, to a lesser extent, other TKIs such as pazopanib (Votrient™; GlaxoSmithKline, Research Triangle Park, NC)[26] and [27] and axitinib (AG013736).[28], [29], [30] and [31]

Table 2. Selected Common Adverse Events in Patients Treated with Sorafenib (n = 452) or Sunitinib (n = 375) in Phase III Registration Trials (Updated and Final Results)[10] and [19]

ADVERSE EVENT
SORAFENIB 400 MG BID
SUNITINIB 50 MG QD
ALL GRADES (%)GRADE 3/4 (%)ALL GRADES (%)GRADE 3/4 (%)
Diarrhea483619
Rash411242
Hand–foot skin reaction336299
Alopecia310120
Fatigue2935411
Nausea19<1525
Hypertension1743012
Dry skin13021<1
Vomiting121314
Mucositis50262

Table 3. Rates of Hand–Foot Skin Reaction in Clinical Trials of Sorafenib and Sunitinib

REFERENCESTUDYALL GRADES (%)GRADE 3 (%)GRADE 4 (%)
Sorafenib
 9Phase III TARGETa306 (grade 3/4)
 13Phase III SHARPa2180
 11NA-ARCCS, first-linea19 (≥2)11 (grade 3/4)
 11NA-ARCCS, second-linec17 (≥2)8 (grade 3/4)
 12EU-ARCCSa4712 (grade 3/4)
 14Phase III Asia-Pacifica4511 (grade 3/4)
 24Phase II randomized discontinuation trial in advanced RCCb62130
 25Phase II study in advanced HCCb3150
 21Phase II, uncontrolled study in relapsed/refractory NSCLCa3710 (grade 3/4)
Sunitinib
 18Phase III registration trial in advanced RCCa2050
 20Expanded access program in advanced RCCc5 (grade 3/4)
 15Phase III registration trial in imatinib-resistant GISTa1440
 [17] and [22]Expanded access program in imatinib-resistant GISTcN/A8 (grade 3/4)
 23Phase II trial of second-line treatment in advanced RCCa1570

EU-ARCCS = European Union Advanced Renal Cell Carcinoma Sorafenib; GIST = gastrointestinal stromal tumor; HCC = hepatocellular carcinoma; N/A = data not available; NA-ARCCS = North American ARCCS; NSCLC = non-small-cell lung cancer; RCC = renal cell carcinoma; SHARP = Sorafenib CCC Assessment Randomized Protocol; TARGET = Treatment Approaches in Renal Cancer Global Evaluation Trial

a Used version 3.0 of National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE)b Used version 2.0 of NCI-CTCAEc Version of NCI-CTCAE used not specified

 

 

HFSR is typically characterized by redness, marked discomfort, swelling, and tingling in the palms of the hands and/or soles of the feet.32 HFSR can be painful enough to interfere profoundly with activities of daily living (ADLs). In fact, patients may report symptoms after as few as 2 weeks on TKI therapy, at which point they may present to the health-care provider (HCP) wearing slippers, unable to walk, and having difficulty in performing ADLs such as eating, dressing, and bathing.[1] and [33] Although HFSR can lead to TKI dose modification or treatment discontinuation, preventive measures can be taken before TKIs are initiated to reduce the likelihood of HFSR. In addition, early treatment of symptoms may prevent HFSR from progressing to the point at which the patient's ability to receive the full potential benefit of therapy is compromised.[3], [34], [35] and [36]

Signs and symptoms of HFSR may appear concomitantly or sequentially and can affect both hands and both feet. Although symptoms are most prominent on the palms and soles, other areas of the hands and feet may also be involved, including the tips of the fingers and toes, the heels, and metatarsophalangeal skin; areas of flexure; and skin overlying the metacarpophalangeal and interphalangeal joints.3 These “pressure areas” are where the most severe symptoms are typically seen. Common symptoms include dysesthesia and paresthesia, described as “tingling, prickling, or creeping sensations” and/or sensitivity or intolerance to hot or warm objects (which may occur before other symptoms are apparent); erythema; edema; hyperkeratosis; and dry and/or cracked skin.[1] and [34] Actual HFSR lesions are described as tender and scaling, with a peripheral halo of erythema, yellowish and hyperkeratotic plaques, or callous-like blisters (which usually do not contain fluid), typically localized to areas of pressure.[3] and [35] Desquamation, particularly with sunitinib treatment, may also be present.37

Since both sorafenib and sunitinib inhibit the VEGFRs, PDGFRs, c-KIT, and Flt3,38 it is likely that inhibition of one or more of these receptors and/or pathways plays a role in HFSR development.36 Differences in the relative appearance of HFSR symptoms are dependent on whether sorafenib or sunitinib is used. Sunitinib use is more often associated with desquamation, whereas sorafenib is more often associated with areas of hyperkeratosis, particularly formation of thick calluses on the soles of the feet.37 The timing of the first appearance of symptoms may also vary according to the TKI used. HFSR usually develops within the first 2–4 weeks of treatment with a TKI and almost always within the first 6 weeks.35 However, because the severity of HFSR appears to be dose-dependent,3 signs and symptoms may present later rather than sooner in patients treated with sunitinib. This is likely due to the recommended sunitinib dosing schedule, which incorporates a 2-week period during which no drug is administered. Although HFSR frequently decreases in intensity during treatment, even without dose modifications or treatment interruption, prompt treatment of HFSR is recommended to prevent rapid progression. Early symptoms can usually be resolved easily by appropriate treatment, which often allows continuation of full-dose therapy for the prescribed length of time.

It is important to note what HFSR is not. TKI-associated HFSR is not the same clinical entity as the hand–foot syndrome (HFS) traditionally seen with cytotoxic agents such as infusional 5-fluorouracil (5-FU); capecitabine, the oral prodrug of 5-FU; and pegylated liposomal doxorubicin. Although HFSR and HFS share several clinical and pathological aspects—each previously has been called “acral erythema” and “PPE”—they clearly are not the same clinical or pathologic entity. HFSR is neither an allergic reaction to a drug nor an indication that a patient may be intolerant to a drug. Finally, HFSR does not indicate drug efficacy, as may be the case with skin rash in patients with non-small-cell lung cancer treated with erlotinib.[3] and [39]

Grading HFSR

In published reports, the severity of HFSR is usually graded according to the National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE),32 a three-grade classification system. However, modified criteria are considered by some to be a better fit for routine clinical practice.1 What distinguishes the modified criteria from the NCI criteria (version 4.02) is the inclusion of HFSR-specific clinical characteristics plus certain patient-defined considerations used to categorize severity. The modified criteria expressly define the degree to which HFSR discomfort affects the patient's normal activities, an improvement over version 4.02 used alone. The NCI-CTCAE version 4.02 criteria, the modified criteria, and corresponding patient photographs are presented in Figure 3.[1] and [32]

 

 



Figure 3. 

National Cancer Institute Common Terminology Criteria for Adverse Events (NCI-CTCAE, version 4.02)32 and Modified Grading Criteria for Hand–Foot Skin Reaction1

Note that grade-4 toxicity is not contemplated in either system

Photographs reproduced with permission

Recommendations for the treatment of grade 1 HFSR include early and appropriate dermatologic management and active collaboration among HCPs.40

The Dermatologist's Viewpoint

Although the exact pathogenesis of HFSR has not been fully elucidated, research into its cause(s) is ongoing. Theoretically, traditional HFS is thought to be due to the direct toxic effects of drugs or their ability to invoke a “host-vs-host” response. In contrast, a unique mechanism has been proposed for TKI-associated HFSR: simultaneous blockage of VEGFRs and PDGFRs.2

Three histopathologic features have been found to predominate in HFSR: dyskeratotic keratinocytes at various states of necrosis (Figure 441), basal layer vacuolar degeneration, and mild perivascular or lichenoid lymphocyte-predominant infiltrate.2 Immunohistochemistry with a variety of skin-cell markers has shown a significant modification of normal maturation of keratinocytes, which are often apoptotic. Minor modifications of blood vessels are also seen, but no signs of intense vasculitis are evident. This is important because HFSR is suspected of being a “class effect” of TKIs that target VEGFRs. HFSR is not seen in patients treated with single-agent bevacizumab, and the lack of histologic evidence of significant damage to blood vessels suggests that HFSR does not result from the general inhibition of angiogenesis. A retrospective analysis found that HFSR rates were higher when patients were treated with sorafenib and bevacizumab in combination, supporting the hypothesis that HSFR is due to the anti-VEGF properties of sorafenib.42 Other possible causes of HFSR include activation by a ligand other than VEGF and/or inhibition of one of the other protein targets inhibited by both sorafenib and sunitinib.[3] and [35]



Figure 4. 

Layers of the Epidermis

The epidermis is composed of a very sophisticated arrangement of keratinocytes, which originate as stem cells in the stratum germinatum (not shown). The stem cells constantly multiply, creating daughter cells that progressively mature over approximately 28 days and move to the surface of the epidermis. As they move, they change their function and shape. In the stratum spinosum, interactions between cells resemble spines; mature cells move through the stratum granulosum, which has a very important secretory function, until finally the cells reach the stratum corneum and die. Thus, the stratum corneum is the layer of skin containing dead skin cells that have lost their nuclei; it is the part of the epidermis that ensures the barrier function of skin and is the layer most affected by HFSR. The layer beneath the epidermis is called the “papillary dermis.” The papillary dermis contains nerves and blood vessels and supplies the epidermis with nutrients. The fibroblasts and fibers located here give skin its strength and resistance

Adapted with permission from Gawkrodger41


Incidence and Severity of HFSR With TKI

To determine the incidence and severity of HFSR specific to sorafenib, a double-blind, prospective, dermatologic substudy was performed in patients enrolled in the phase III TARGET trial.35 Eighty-five patients with RCC were randomized to receive either sorafenib (n = 43) or placebo (n = 42). Dermatologic examinations were performed before and during treatment. Ninety-one percent of sorafenib-treated patients experienced at least one cutaneous reaction compared with 7% of those in the placebo group. A variant of HFSR clinically distinct from chemotherapy-induced HFS was observed in 60% of sorafenib-treated patients. Reversible grade 3 HFSR leading to dose reduction occurred in two sorafenib-treated patients. Additional cutaneous reactions were facial erythema, scalp dysesthesia, alopecia, and subungual splinter hemorrhages.

HFSR (of any grade) has been shown to occur in approximately 30% of patients treated with sorafenib and 20% of those who received sunitinib in clinical studies.43 Grade 3/4 HFSR has been observed in approximately 6% of sorafenib-treated and 5% of sunitinib-treated patients. HFSR was not reported in a phase II study of 142 patients with relapsed or refractory soft-tissue sarcoma treated with pazopanib.44 In a phase III randomized, double-blind, placebo-controlled trial of pazopanib in patients with advanced RCC, the incidence of HFSR was <10%, while the incidence of grade 3/4 HFSR was <1%. Potential differences may be explained by variations in the potency and selectivity of the TKIs.27

Management Strategies

Our work at the Dermatology Center at the Gustave-Roussy Institute has shown that early intervention against the dermatologic adverse effects of these TKIs can inhibit patient progression to a more serious form of HFSR.[34] and [38]

Effective management of HFSR can begin prior to initiation of treatment with sorafenib or sunitinib. Patients should be advised to remove any preexisting hyperkeratotic areas or calluses, keep skin well-moisturized with appropriate creams, and cushion pressure points with cotton socks, soft shoes, and/or insoles. Dose modification is typically not required for grade 1 HFSR; symptomatic treatments should be employed instead.

If HFSR symptoms progress to grade 2 or 3, with pain and a decrease in quality of life, the dose of sorafenib or sunitinib can be modified until symptoms recede, after which the patient can be brought back to the full dose. Very often, the patient can tolerate the full-dose treatment simply by decreasing the dose briefly.3 A recommended dose-modification scheme is shown in Figure 5.3

 

 



Figure 5. 

Management of Hand–Foot Skin Reaction by Grade

MKI = multikinase inhibitor

Adapted with permission from Lacouture et al3

TKIs are being studied in patients with additional types of tumor, possibly in the adjuvant setting, as well as in combinations. Because these drugs are administered orally, with a decreased (compared with conventional cytotoxic agents) frequency of nurse– or doctor–patient interactions, patients must be very well-informed of any potential toxicities with the TKIs.

At present, there are no evidence-based treatment guidelines for the prevention or management of HFSR. However, HCPs most involved in the day-to-day care of patients with HFSR have made great progress in establishing preventive and treatment strategies and in identifying ancillary products likely to decrease the incidence and/or severity of symptoms. Prevention, which includes preventing HFSR entirely as well as preventing progression from its initial appearance, is a key component of HFSR management.

The Oncology Nurse's Viewpoint

The nurse's viewpoint begins with patient education and empowerment. The goal is to prevent adverse effects from occurring while managing any adverse effects that do occur so that the patient has the best chance of staying on anticancer therapy. This requires a strong partnership between the HCP team and the patient. Although not all cases of HFSR can be prevented, experience suggests that symptom incidence and severity can be alleviated by educating patients to recognize the signs and symptoms of HFSR and report these to their HCPs. HFSR typically occurs early in the course of therapy, so it is prudent to be especially vigilant during the first 6 weeks. Providing the patient with a brochure about HFSR to refer to at home may facilitate identification of HFSR.

To address the lack of evidence-based guidelines to prevent or treat HFSR, an international, interdisciplinary expert panel has provided a set of consensus recommendations for the management of TKI-associated HFSR.45 One component of these recommendations can be phrased simply for the patients as a “3C” approach to management: control calluses, comfort with cushions, and cover with creams.

Prior to treatment, the patient should receive a full-body examination, with emphasis on the condition of the hands and feet. Evaluation should be performed by a qualified HCP who can determine whether there are physical conditions that may predispose a patient to areas of increased friction or rubbing. For all patients, especially those with comorbid conditions (eg, diabetes, poor circulation), a pretreatment pedicure is highly recommended. Patients should also be educated on the proper use of tools (eg, a pumice stone) to aid in callus removal. Such tools are considered beneficial because patients can control the frequency of their use and the extent of skin removed. However, because areas of hyperkeratosis are often extremely tender and painful, patients are cautioned against overuse of these tools, including the aggressive “paring” or “cutting” of callused areas. Finally, patients should be advised of the need for clean tools to guard against infection.

Other protective measures include the use of thick cotton gloves and/or socks, which may also help the skin to retain moisture, and avoidance of warm and/or hot water or objects, tight-fitting shoes, or other items that may rub, pinch, or cause friction in affected areas. Tender areas, pressure points, and pressure-sensitive areas of the hands and feet should be protected. For example, weight lifters might be advised to wear gloves. These recommendations hold true both before and after development of HFSR.[3], [33] and [35] Well-padded but nonconstrictive footwear should be worn, and the use of insole cushions or inserts (eg, silicone or gel) should be encouraged. Foot soaks with lukewarm water and magnesium sulfate may be soothing. Tender areas should be protected at all times, and patients should be encouraged not to walk barefoot.

Use of over-the-counter and prescription-strength creams and moisturizers during treatment with TKIs has also been recommended (Table 4).[40], [45], [46], [47], [48] and [49] Moisturizing agents should be applied liberally, immediately after bathing. Cotton gloves and/or socks can also be worn, to help retain moisture and to provide an additional layer of protection. When applied liberally, these products soften areas of thick and hardened skin, help keep the skin pliable, and may prevent cracks or breaks in skin integrity, which could cause additional discomfort. Prescription-strength topical agents have also shown anecdotal benefit (Table 4). These topical agents are typically applied twice daily to affected areas only because they may irritate unaffected skin. Data on the use of topical/systemic corticosteroids in the treatment of HFS remain inconclusive; the literature primarily includes case studies in patients with PPE treated with chemotherapeutic agents including pegylated liposomal doxorubicin.2 Finally, a qualified HCP must always be consulted to ensure proper diagnosis and treatment of HFSR.

 

 

Table 4. Selected Skin Care Products for Use in HFSR

Adapted with permission from Anderson et al40

PRODUCTSPRODUCT INFORMATION
Over-the-counter[40], [45] and [46]
 Cetaphil® (Galderma Laboratories, Ft. Worth, TX) skin cleaners, Aveeno® (Johnson & Johnson, New Brunswick, NJ) shower gelNondeodorant, fragrance-free products
 Udderly Smooth® (Redex Industries, Salem, OH), Gold Bond® (Chattem, Chattanooga, TN), Aveeno®Thicker products with more intense moisturizing properties than basic lotions; anti-itch formulations are available
 Norwegian Formula: Smoothing Relief Anti-Itch Moisturizer (Neutrogena, Los Angeles, CA)Contains dimethicone 1%, camphor 0.1%, and lidocaine
 Norwegian Formula: Foot Cream (Neutrogena)Contains cetearyl alcohol, dimethicone, menthol, and urea
 Bag Balm® (Dairy Association, Lyndonville, VT)May provide “cooling” effect from eucalyptus
 Eucerin® (Beiersdorf, Hamburg, Germany) CreamBest used at night due to greasy formulation
 Eucerin® Dry Skin TherapyContains urea and alpha-hydroxy acid
 Aquaphor® (Beiersdorf) Healing OintmentPetrolatum 41%
 Kerasal® (Alterna, Whippany, NJ)Salicylic acid 5% exfoliates and softens skin; urea 10% moisturizes skin
 Blue Lizard® (Crown Laboratories, Johnson City, TN)UV A and B sunblock, water-resistant
Prescription47–49
 Urea 40% cream (Carmol 40®; Doak Dermatologics, Fairfield, NJ)Softens hyperkeratosis, decreases epidermal thickness, proliferation
 Tazarotene 0.1% cream (Tazorac®; Allergan Dermatology, Irvine, CA)Retinoid decreases proliferation, reduces dermal inflammation
 Fluorouracil 5% cream (Carac®; Dermik Laboratories, Bridgewater, NJ)Antifolate inhibits proliferation; has shown anecdotal benefit in certain conditions characterized by hyperkeratotic lesions on the palms and soles


Summary

The addition of molecularly targeted agents to anticancer treatment has been found to cause both common and novel adverse reactions. HFSR is being increasingly recognized as a potential dose-limiting toxicity associated with sorafenib or sunitinib treatment that can result in discomfort, pain, decreased quality of life, and premature termination of a potentially effective cancer treatment. It is important to educate patients about potential dermatologic adverse effects associated with TKIs because limiting toxicity can help avoid treatment interruptions or dose reductions while improving ADLs.

The precise pathogenic mechanism of HFSR is currently not known, and there is no evidence-based protocol for treatment of HFSR. However, the increased clinical experience with these agents has resulted in a wealth of published articles describing empiric and symptomatic approaches that appear to help to prevent and manage HFSR. Frequent communication is necessary between the physician and patient, particularly 2–4 weeks from the initiation of therapy. Symptoms of HFSR should be recognized as early as possible. Providing the patient with a brochure about HFSR to refer to at home may facilitate the early identification of HFSR.

Patients should be advised of the “3C” approach to the management of TKI-associated HFSR: control calluses, comfort with cushions, and cover with creams. Creams should be applied after bathing and before going to bed; cotton gloves and socks should be worn to keep the cream on the hands and feet during the night.

Symptoms of HFSR typically are manageable with the implementation of supportive measures. If symptoms worsen, dose modification or interruption will result in a return to grade 0/1. Many patients can successfully be rechallenged with the full dose. Observations across multiple viewpoints have consistently shown that HFSR severity can be reduced in patients who are educated about HFSR and proactive about its detection and management.

Acknowledgments

All authors contributed equally to the development of this report. Editorial support was provided by Katherine Wright, PharmD, RPh, ISD, Wrighter Medical Education and Training, West Hills, CA; John A. Ibelli, CMPP, BelMed Professional Resources, New Rochelle, NY; and John D. Zoidis, MD, Bayer HealthCare Pharmaceuticals, Montville, NJ.

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31 H.S. Rugo, R.S. Herbst and G. Liu et al., Phase I trial of the oral antiangiogenesis agent AG-013736 in patients with advanced solid tumors: pharmacokinetic and clinical results, J Clin Oncol 23 (2005), pp. 5474–5483 [16027439]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (161)

32 National Cancer Institute, National Institutes of Health, US Department of Health and Human Services, Common Terminology Criteria for Adverse Events (CTCAE) Version 4.02. NIH publication 03-5410, National Institutes of Health, Bethesda, MD (2009).

33 L.S. Wood and B. Manchen, Sorafenib: a promising new targeted therapy for renal cell carcinoma, Clin J Oncol Nurs 11 (2007), pp. 649–656 [17962173]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (15)

34 C. Robert, C. Mateus, A. Spatz, J. Wechsler and B. Escudier, Dermatologic symptoms associated with the multikinase inhibitor sorafenib, J Am Acad Dermatol 60 (2009), pp. 299–305 [19028406]. Article |

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35 J. Autier, B. Escudier, J. Wechsler, A. Spatz and C. Robert, Prospective study of the cutaneous adverse effects of sorafenib, a novel multikinase inhibitor, Arch Dermatol 144 (2008), pp. 886–892 [18645140]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (50)

36 M.E. Lacouture, L.M. Reilly, P. Gerami and J. Guitart, Hand foot skin reaction in cancer patients treated with the multikinase inhibitors sorafenib and sunitinib, Ann Oncol 19 (2008), pp. 1955–1961 [18550575]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (35)

37 L.S. Wood, Managing the side effects of sorafenib and sunitinib, Community Oncol 3 (2006), pp. 558–562. View Record in Scopus | Cited By in Scopus (19)

38 C. Robert, J.C. Soria and A. Spatz et al., Cutaneous side-effects of kinase inhibitors and blocking antibodies, Lancet Oncol 6 (2005), pp. 491–500 [15992698]. Article |

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39 M.W. Saif, I. Merikas, S. Tsimboukis and K. Syrigos, Erlotinib-induced skin rash: Pathogenesis, clinical significance and management in pancreatic cancer patients, JOP 9 (2008), pp. 267–274 [18469438]. View Record in Scopus | Cited By in Scopus (11)

40 R. Anderson, A. Jatoi, C. Robert, L.S. Wood, K.N. Keating and M.E. Lacouture, Search for evidence-based approaches for the prevention and palliation of hand–foot skin reaction (HFSR) caused by the multikinase inhibitors (MKIs), Oncologist 14 (2009), pp. 291–302 [19276294]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (11)

41 D.J. Gawkrodger, Dermatology: An Illustrated Colour Text, 4th ed, Churchill Livingstone Elsevier, Edinburgh (2008).

42 N.S. Azad, J.B. Aragon-Ching and W.L. Dahut et al., Hand–foot skin reaction increases with cumulative sorafenib dose and with combination anti-vascular endothelial growth factor therapy, Clin Cancer Res 15 (2009), pp. 1411–1416 [19228742]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (31)

43 N. Bhojani, C. Jeldres and J.J. Patard et al., Toxicities associated with the administration of sorafenib, sunitinib, and temsirolimus and their management in patients with metastatic renal cell carcinoma, Eur Urol 53 (2008), pp. 917–930 [18054825]. Article |

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44 S. Sleijfer, I. Ray-Coquard and Z. Papai et al., Pazopanib, a multikinase angiogenesis inhibitor, in patients with relapsed or refractory advanced soft tissue sarcoma: a phase II study from the European Organisation for Research and Treatment of Cancer–Soft Tissue and Bone Sarcoma Group (EORTC study 62043), J Clin Oncol 27 (2009), pp. 3126–3132 [19451427]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (55)

45 L.S. Wood, H. Lemont and A. Jatoi et al., Practical considerations in the management of hand–foot skin reaction caused by multikinase inhibitors, Community Oncol 7 (2010), pp. 23–29. View Record in Scopus | Cited By in Scopus (3)

46 P. Esper, D. Gale and P. Muehlbauer, What kind of rash is it?: Deciphering the dermatologic toxicities of biologic and targeted therapies, Clin J Oncol Nurs 11 (2007), pp. 659–666 [17962174]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

47 I. Hagemann and E. Proksch, Topical treatment by urea reduces epidermal hyperproliferation and induces differentiation in psoriasis, Acta Derm Venereol 76 (1996), pp. 353–356 [8891006]. View Record in Scopus | Cited By in Scopus (41)

48 M. Duvic, A.T. Asano, C. Hager and S. Mays, The pathogenesis of psoriasis and the mechanism of action of tazarotene, J Am Acad Dermatol 39 (1998), pp. S129–S133 [9777790]. Article |

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49 W. Scheithauer, J. McKendrick and S. Begbie et al., Oral capecitabine as an alternative to i.v. 5-fluorouracil-based adjuvant therapy for colon cancer: safety results of a randomized, phase III trial, Ann Oncol 14 (2003), pp. 1735–1743 [14630678]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (172)

 

 

Conflicts of interest: For E. M., none to disclose. C. R. has participated in advisory boards for Bayer, Roche, Pfizer, Astrazeneca, and GSK in the field of melanoma treatment and the management of the cutaneous side effects of anticancer agents. C. P. has acted as a paid adviser or speaker for Bayer Schering Pharma, Pfizer Oncology, Hoffman La Roche, Novartis Pharma, GSK, and Wyeth Pharmaceuticals and has received research funding from Bayer Schering Pharma and Novartis Pharma.

Correspondence to: Elizabeth Manchen, RN, MS, OCN, Section of Hematology/Oncology, University of Chicago Medical Center, 5841 South Maryland Avenue, MC2115, Chicago, IL 60637; telephone: (773) 702–4135


1 PubMed ID in brackets


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Percutaneous Vertebral Augmentation: A Valuable Procedure to Treat Painful, Cancer-Related Spinal Pathology

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Percutaneous Vertebral Augmentation: A Valuable Procedure to Treat Painful, Cancer-Related Spinal Pathology

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Percutaneous Vertebral Augmentation: A Valuable Procedure to Treat Painful, Cancer-Related Spinal Pathology

Allen W. Burton MD

,
and Mariam M. El-Baghdadi MD   [Author vitae]


Available online 13 February 2011.

Article Outline

Vitae

Cancer pain is a unique creature; to effectively conquer this beast, pain physicians must possess diverse weaponry. The World Health Organization has stipulated guidelines on the treatment of pain; many trained practitioners have widely accepted interventional procedures as the fourth step in the treatment ladder. The authors present a safe, effective, and relatively straightforward interventional procedure in “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” for the alleviation of cancer pain.

A risk–benefit ratio must be considered when using opioid management in the treatment of cancer-related pain, specifically pain caused by vertebral compression fractures. Escalating opioid dose requirements are not without escalating side effects. In actuality, the treating physician must not consider interventional treatment as a “fourth” step in the ladder but as a step that may be first, second, or third, depending on the patient. As the authors rightly identified, many patients do not receive adequate pain relief with medical management. Must all patients, regardless of disease state, be subjected to a minimal 3-week trial period with medication and radiotherapy? Immobility due to compression fractures in already hypercoagulable patients is suboptimal. The cherished goal in cancer-related pain management is improvement in the quality of life. Early intervention for compression fractures via percutaneous kyphoplasty or vertebroplasty seeks that end.

Contraindications for this treatment are fractures that are unstable and involve the posterior margin of the vertebrae or those which compromise the spinal cord. The two proposed mechanisms of pain relief are mechanical stabilization, with or without height restoration, and coagulation of nerve endings in the vertebral body produced by the heat of the cement. In addition, polymethyl methacrylate has a cytotoxic effect on rapidly proliferating cells, and one may argue to expand the indication for prophylactic augmentation of vertebral bodies at risk of fracture in which there is expansive neoplasm present.

In this article, the authors skillfully highlight a relatively low-cost, minimally invasive, low-risk procedure in the alleviation of cancer-related pain. Certainly, more studies are warranted; however, this article contributes to the existing knowledge of physicians who treat cancer-related pain with augmentation, and it works!.

Commentary on “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” by Tancioni et al (page 4)

Conflicts of interest: A. W. B. receives departmental grant support from Medtronic, Inc., and is a consultant for Stryker, Inc.

Correspondence to: Allen W. Burton, MD, Department of Pain Medicine, University of Texas MD Anderson Cancer Center, 1400 Holcombe Blvd-409, Houston, TX 77030

Vitae

Dr. Burton is Professor and Chairman, Department of Pain Medicine, University of Texas MD Anderson Cancer Center.

Dr. El-Baghdadi is a Fellow in the Department of Pain Medicine, University of Texas MD Anderson Cancer Center.


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Review

Percutaneous Vertebral Augmentation: A Valuable Procedure to Treat Painful, Cancer-Related Spinal Pathology

Allen W. Burton MD

,
and Mariam M. El-Baghdadi MD   [Author vitae]


Available online 13 February 2011.

Article Outline

Vitae

Cancer pain is a unique creature; to effectively conquer this beast, pain physicians must possess diverse weaponry. The World Health Organization has stipulated guidelines on the treatment of pain; many trained practitioners have widely accepted interventional procedures as the fourth step in the treatment ladder. The authors present a safe, effective, and relatively straightforward interventional procedure in “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” for the alleviation of cancer pain.

A risk–benefit ratio must be considered when using opioid management in the treatment of cancer-related pain, specifically pain caused by vertebral compression fractures. Escalating opioid dose requirements are not without escalating side effects. In actuality, the treating physician must not consider interventional treatment as a “fourth” step in the ladder but as a step that may be first, second, or third, depending on the patient. As the authors rightly identified, many patients do not receive adequate pain relief with medical management. Must all patients, regardless of disease state, be subjected to a minimal 3-week trial period with medication and radiotherapy? Immobility due to compression fractures in already hypercoagulable patients is suboptimal. The cherished goal in cancer-related pain management is improvement in the quality of life. Early intervention for compression fractures via percutaneous kyphoplasty or vertebroplasty seeks that end.

Contraindications for this treatment are fractures that are unstable and involve the posterior margin of the vertebrae or those which compromise the spinal cord. The two proposed mechanisms of pain relief are mechanical stabilization, with or without height restoration, and coagulation of nerve endings in the vertebral body produced by the heat of the cement. In addition, polymethyl methacrylate has a cytotoxic effect on rapidly proliferating cells, and one may argue to expand the indication for prophylactic augmentation of vertebral bodies at risk of fracture in which there is expansive neoplasm present.

In this article, the authors skillfully highlight a relatively low-cost, minimally invasive, low-risk procedure in the alleviation of cancer-related pain. Certainly, more studies are warranted; however, this article contributes to the existing knowledge of physicians who treat cancer-related pain with augmentation, and it works!.

Commentary on “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” by Tancioni et al (page 4)

Conflicts of interest: A. W. B. receives departmental grant support from Medtronic, Inc., and is a consultant for Stryker, Inc.

Correspondence to: Allen W. Burton, MD, Department of Pain Medicine, University of Texas MD Anderson Cancer Center, 1400 Holcombe Blvd-409, Houston, TX 77030

Vitae

Dr. Burton is Professor and Chairman, Department of Pain Medicine, University of Texas MD Anderson Cancer Center.

Dr. El-Baghdadi is a Fellow in the Department of Pain Medicine, University of Texas MD Anderson Cancer Center.


Review

Percutaneous Vertebral Augmentation: A Valuable Procedure to Treat Painful, Cancer-Related Spinal Pathology

Allen W. Burton MD

,
and Mariam M. El-Baghdadi MD   [Author vitae]


Available online 13 February 2011.

Article Outline

Vitae

Cancer pain is a unique creature; to effectively conquer this beast, pain physicians must possess diverse weaponry. The World Health Organization has stipulated guidelines on the treatment of pain; many trained practitioners have widely accepted interventional procedures as the fourth step in the treatment ladder. The authors present a safe, effective, and relatively straightforward interventional procedure in “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” for the alleviation of cancer pain.

A risk–benefit ratio must be considered when using opioid management in the treatment of cancer-related pain, specifically pain caused by vertebral compression fractures. Escalating opioid dose requirements are not without escalating side effects. In actuality, the treating physician must not consider interventional treatment as a “fourth” step in the ladder but as a step that may be first, second, or third, depending on the patient. As the authors rightly identified, many patients do not receive adequate pain relief with medical management. Must all patients, regardless of disease state, be subjected to a minimal 3-week trial period with medication and radiotherapy? Immobility due to compression fractures in already hypercoagulable patients is suboptimal. The cherished goal in cancer-related pain management is improvement in the quality of life. Early intervention for compression fractures via percutaneous kyphoplasty or vertebroplasty seeks that end.

Contraindications for this treatment are fractures that are unstable and involve the posterior margin of the vertebrae or those which compromise the spinal cord. The two proposed mechanisms of pain relief are mechanical stabilization, with or without height restoration, and coagulation of nerve endings in the vertebral body produced by the heat of the cement. In addition, polymethyl methacrylate has a cytotoxic effect on rapidly proliferating cells, and one may argue to expand the indication for prophylactic augmentation of vertebral bodies at risk of fracture in which there is expansive neoplasm present.

In this article, the authors skillfully highlight a relatively low-cost, minimally invasive, low-risk procedure in the alleviation of cancer-related pain. Certainly, more studies are warranted; however, this article contributes to the existing knowledge of physicians who treat cancer-related pain with augmentation, and it works!.

Commentary on “Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art” by Tancioni et al (page 4)

Conflicts of interest: A. W. B. receives departmental grant support from Medtronic, Inc., and is a consultant for Stryker, Inc.

Correspondence to: Allen W. Burton, MD, Department of Pain Medicine, University of Texas MD Anderson Cancer Center, 1400 Holcombe Blvd-409, Houston, TX 77030

Vitae

Dr. Burton is Professor and Chairman, Department of Pain Medicine, University of Texas MD Anderson Cancer Center.

Dr. El-Baghdadi is a Fellow in the Department of Pain Medicine, University of Texas MD Anderson Cancer Center.


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Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art

Article Type
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Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art

Review

Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art

Flavio Tancioni MD, Martin A. Lorenzetti MD
,
,
, Pierina Navarria MD, Federico Pessina MD, Riccardo Draghi MD, Paolo Pedrazzoli MD, Marta Scorsetti MD, Marco Alloisio MD, Armando Santoro MD and Riccardo Rodriguez y Baena MD   [Author vitae]

Received 9 June 2010; 

accepted 29 November 2010. 

Available online 13 February 2011.

Abstract

Improvements in diagnosis and treatment have prolonged cancer survival, with a consequent increase in the incidence of spinal metastases and vertebral compression fractures with associated axial pain, progressive radiculomyelopathy, and mechanical instability. Pain relief in malignant vertebral compression fractures is key to achieving a better quality of life in patients under palliative care. The gold standard for pain relief is nonsteroidal anti-inflammatory drugs and opioids. Nonresponsive cases are then treated with radiotherapy, which may require 2–4 weeks to take effect and in most cases does not provide complete pain relief. Percutaneous vertebroplasty and percutaneous kyphoplasty can in particular give relief in patients with vertebral body compression fractures that do not cause neurological deficits but severely compromise quality of life because of intractable pain.

Article Outline

Indications

Radiology

Techniques

Proposed Mechanisms of Pain Relief

Results

Complications

Adjacent-Level Fractures

Discussion

Conclusions

References

Vitae

Multiple myeloma, lymphoma, and metastases from primary tumors can cause osteolytic lesions of the vertebral body in a significant number of patients.1 Neoplastic invasion of the vertebral body results in erosion of the cancellous network and can result in painful vertebral compressive fractures.

Further fracture progression can lead to pain, numbness, weakness, sensory deficits, neurological claudication, fecal or urinary incontinence, and hyperreflexia. As a result, vertebral metastases can be the cause of disability and significant morbidity in these patients.2

Pain relief in malignant vertebral compression fractures is a key element in achieving a better quality of life in patients under palliative care.

The gold standard for pain relief is pharmacological therapy with nonsteroidal anti-inflammatory drugs (NSAIDs) and opioids. Nonresponsive cases are then treated with radiotherapy. Radiotherapy, however, requires 2–4 weeks to take effect and does not achieve complete pain relief in most cases.3 Further, radiotherapy does not correct mechanical instability or bone compression. Moreover, its analgesic and antitumoral effects are limited by the toxicity risk to adjacent structures, such as the spinal cord, and it does not prevent the progression of a pathologic fracture.4

Open surgical procedures aimed at fracture stabilization or spinal cord decompression are rarely a realistic option in these patients because of an unfavorable risk/benefit ratio.

Percutaneous transpedicular augmentation with vertebroplasty (PV) (Figure 1), kyphoplasty (PK) (Figure 2), or stenting (Figure 3) represents an ideal treatment option for compression fractures since it provides pain relief while strengthening the bone in patients with vertebral body compressive fractures.



Figure 1. 

Vertebroplasty with Monopedicular Approach

(A) MRI evidence of L3 recent neoplastic fracture, (B1) surgical view of the trochar insertion, (B2) X-ray AP view of somatic trochar target with cement injection, (C) final result in X-ray LL view

Figure 2. 

Kyphoplasty

(A) MRI evidence of recent neoplastic fracture, (B) surgical view of the procedure, (B1) vertebral X-ray: inflation of the kyphoplastic balloon, (B2) final trochar positioning and cement injection, (C) final result of the procedure on CT

Figure 3. 

Stenting Procedure

(A) MRI view of neoplastic recently fractured somatic level, (B1) final stent positioning in X-ray LL view, (B2) cement injection in the stent cavity, (C1) X-ray AP view of final result, (C2) X-ray LL view of final result


Indications

PV is an interventional procedure in which bone cement, usually polymethyl methacrylate (PMMA), is injected under radiologic guidance into the collapsed vertebral body. This procedure was first reported by Galibert in 19875 for the treatment of painful aggressive vertebral hemangiomas and subsequently used in the United States in 1993.6 Since then, the technique has been widely applied and has evolved as the treatment of choice for painful osteoporotic fractures. The second most common use of PV and PMMA is for the treatment of painful vertebral fractures caused by metastatic disease or multiple myeloma.

PV also works well in those metastatic cases in which intractable pain is not associated with vertebral body collapse.7

Further reported indications are spinal pseudoarthrosis, intravertebral vacuum phenomenon, Langerhans cell histiocytosis, osteogenesis imperfecta, and Paget disease.8

Recent studies show that PV should be performed before radiotherapy for the treatment of those spinal metastases that have led to pathologic compression without neurological deficits.

In selected cases, PV is a minimally invasive alternative to open surgery.

PK is an evolution/modification of PV, combining the analgesic effect of PV and the possibility of restoring normal height of the collapsed vertebral body. This improves the kyphotic deformity frequently associated with vertebral fractures of the thoracic segment. Introduced in 2001, it employs a height-restoration device, known as “balloon tamp,” that when inflated restores the original shape of the vertebral body while creating a cavity in which to inject the cement.

The ideal candidates for this augmentation procedure are those patients who complain of midline nonradiating back pain that increases with weight bearing and is exacerbated by manual palpation of the spinous process of the involved vertebrae. This typical symptomatology subsides with recumbency and/or sitting. Exceptions are patients with thoracic spine fractures in whom pain radiates to the ribs or those with fractures at the level of the conus medullaris, where pain may radiate to the hips without evidence of cord compression.9

Detailed anamnesis, accurate neurologic examination, and recent radiographic imaging are mandatory to exclude spinal cord compromise and/or retropulsed bony fragments in the canal, which obviously represent a contraindication to the procedure.

Indications of both procedures have been defined in the guidelines published by the Society of Interventional Radiology in 2003 and recently updated by the Cardiovascular and Interventional Radiological Society of Europe.10 Indications include painful osteoporotic vertebral fractures after 3 weeks of analgesic therapy, painful vertebrae due to benign or malignant primary or secondary bone tumors, painful vertebral fractures with osteonecrosis (Kümmell disease), reinforcement of the vertebral body prior to a surgical procedure, and chronic traumatic vertebral fractures with non-union. Absolute contraindications include asymptomatic vertebral fractures, pain improving with medical therapy, ongoing infection, osteoporotic patient prophylaxis, uncorrectable coagulopathy, myelopathy due to retropulsion of bone (canal compromise), and an allergic reaction to PMMA or the opacification agent. Relative contraindications are radicular pain, vertebral fractures >70% of height loss, severe spinal stenosis, asymptomatic retropulsion of bony fragment, tumor extension into canal/epidural space, and lack of surgical backup.

Although disruption of the posterior cortex of the vertebral body has been considered as a relative contraindication, new techniques allow efficacious PV in these circumstances.

Multilevel procedures (3–4 levels) should be avoided in patients with low cardiopulmonary reserve (ie, chronic obstructive airway disease or congestive cardiac failure) as these patients may be at high risk for symptomatic pulmonary fat embolism.11

Informed consent should include discussion regarding failure to obtain pain relief as well as complications. The eventuality of open stabilization or urgent decompressive surgery should also be discussed with the patient.

Radiology

Traditional anteroposterior and laterolateral X-rays show the degree of vertebral compression, eventual osteolysis, extent of pedicle involvement, and fracture or cortical destruction.

Computed tomography (CT) may be useful to further define the extent of vertebral collapse, the location and extent of any lytic process, the visibility and degree of involvement of the pedicles, the presence of cortical destruction and epidural or foraminal stenosis caused by tumor extension or bone fragment displacement, and to estimate the needle path and size.

Magnetic resonance imaging (MRI) is pivotal in triaging patients before PV or PK. In fact, signal changes within the vertebral body marrow suggest edematous changes in a healing fracture, which are a necessary condition for the procedure. Sequences that are particularly sensitive to the presence of edema are fat-suppressed T2-weighted and fat-suppression inversion recovery images, which may also be useful in planning the vertebroplastic procedure.11

Concomitant limitations of these specific MRI sequences are that they may reveal increased activity up to 2 years after fracture, whereas it is widely accepted that patients with fractures older than 6 months do not benefit from vertebroplasty.12

Bone nuclear scanning has also been used to identify recent fractures in patients with multiple involved levels or in patients in whom MRI is not possible because of a pacemaker or stent. The recent fracture is typically heralded by an intense radioisotope uptake.13

Radiological investigation is a fundamentally delicate tool focusing on the most recent symptomatic fractured level. It helps solve those unclear cases in which physical examination is not sufficient to determine which of several adjacent fractures is symptomatic or which fracture has no pain on palpation over the involved vertebra and/or there is no correlation between the affected site and the pain localization.

Techniques

PV and PK require a detailed knowledge of spine anatomy and an intensive training in fluoroscopic imaging interventional procedures. The procedure should be performed in an appropriately sterile area. Broad-spectrum antibiotics can be administered just before the treatment. An anesthesiologist or other physician able to undertake rate and pulse oximetry must be present continuously. The typology of anesthesia should be selected on an individual basis. A generous amount of local anesthetic, especially into the periosteum, is suggested to maintain communication with the patient. Emergency measures should be available in the operating theater. In selected cases, general anesthesia is used.

Good-quality imaging biplanar or C-arm fluoroscopy with a radiolucent table is mandatory for maximal procedural safety, to correctly identify the anatomical structures (eg, pedicle, posterior wall).

There are various types of cement (methyl methacrylate powder) currently in use. They basically differ in their polymerization times, and the practitioner performing the procedure should be very skilled in this specific aspect. Cement opacification with barium sulfate specifically designed for use in vertebroplasty is required.

Most operators aim to obtain sufficient cement placement into the vertebral body using a monopedicular approach, thus reducing the procedure time.

PMMA injection into the vertebral body is performed when the trochar (uni- or bipedicular approach) has been deepened into the ventral portion of the vertebral body.

The cement should harden to “toothpaste” consistency before injecting. The injection should be stopped once the cement spreads to the posterior third of the vertebral body.

The cement column should ideally spread among the superior and inferior endplates and between the two pedicles. Such cement filling should prevent the collapse of the treated vertebral body.

If PMMA diffuses into a blood vessel or toward the posterior cortical margin, injection must be immediately stopped. Use of high-viscosity cement and small-volume injection is recommended in order to minimize the risk of PMMA leakage.

As Belkoff et al14 reported, maximal filling of the compressed vertebral body is not necessary; 2 mL of cement are sufficient for restoring vertebral body strength. Inadequate cement in the unstable fractured area may be responsible for unrelieved pain.

PK (Figure 1) differs from PV (Figure 2) in that it involves the percutaneous placement of balloons (called “tamps”) into the vertebral body with an inflation/deflation sequence that creates a cavity before the cement injection. PK may restore the vertebral body height and reduce the kyphotic angulation of the compression fracture before PMMA injection.

Proposed Mechanisms of Pain Relief

The most accepted theory indicates augmentation with cement increases the fracture mechanical load threshold, stabilizing the vertebra.15 In tumor fractures, pain relief is related primarily to vertebral body stabilization and secondarily to the induction of tumor necrosis and the destruction of sensitive nerve endings.16 The last two effects seem to be directly connected to the local heat produced by the highly exothermic reaction of the PMMA polymerization. The antitumoral effect is supported by the local cytotoxic effect of PMMA on rapidly proliferating cells.17

The heat effect is related to the degree and duration of the heat-exposure period. However, this does not explain why the analgesic effect is not proportionally related to the volume of PMMA injected. Low-volume injection has been found to be as effective as high-volume injection in relieving pain. On these bases, although a unilateral approach may allow a satisfying filling of the vertebra in terms of stabilization, it might not be sufficient when an additional antitumoral effect is desired.

Interestingly, despite the unequivocal effect on pain, the literature remains unclear about the reliability of vertebroplasty in achieving bone stabilization and preventing future vertebral fracturing.2

Results

Pain relief and increased mobility are expected within 24 hours following PV.18 Significant pain relief is expected in >70% of patients with vertebral malignancies, in >90% of patients with osteoporotic fractures, and in about 80% of patients with hemangioma. Pain relief usually persists over months to years.19

The significant decrease in back pain resulting from PV and PK in patients with pathologic fractures dramatically improves their quality of life.20 In particular, the procedure-related benefits include reduction/withdrawal of analgesic drugs and improvement in physical mobility. (It is well known that the lower the intake of analgesics, the higher the perception of quality of life, thanks to the disappearance of drowsiness and nausea resulting in an improved appetite.) PK has not been shown to be better than PV in terms of pain relief or quality of life. Eck and colleagues21 found in a recent meta-analysis that although both methods provide significant improvement in visual analogue scale scores, there is a statistically greater improvement in pain relief with PV than with PK. In their literature review, Cloft and Jensen22 concluded that there was no proven advantage of PK over PV with regard to pain relief, vertebral height restoration, and complication rate. Moreover, Mathis23 found that the claims of superior height restoration by PK are insufficiently documented.

PK is estimated to be 2.5–7.0 times more expensive than PV due to additional equipment, general anesthesia, and hospital costs.22 Based on 2006 available data, Mathis23 found no substantial scientific, procedural, or economic advantages supporting PK's superiority over PV.

Complications

Complications are rare but can be dramatic. Minor complications such as PMMA extension into the disc require no therapy and have no clinical consequence. Major complications may consist of PMMA invasion of the spinal canal with related neurological deficit. The latter may require urgent laminectomy and evacuation of the extruded cement to prevent permanent sequelae.

According to the Society of Interventional Radiology (SIR), the major complication rate is <1% and reaches about 5% in tumor cases.24 Cement leakage is documented in 30%–72.5% of cases on radiographs and in 87.9%–93% of cases on CT.25 PMMA can flow outside the vertebral body posteriorly into the spinal canal and neural foramina. This is usually due to destruction of the vertebral body posterior cortex and of the medial/inferior cortex of the pedicle, but it rarely necessitates urgent surgical decompression. Leakage can occur into the paravertebral veins, mostly without clinical consequences.26 Asymptomatic extension into the inferior vena cava may also occur27 but involves possible systemic complications such as pulmonary embolism and paradoxical cerebral arterial PMMA emboli.18 Asymptomatic pulmonary embolization may occur in up to 4%–6.8% of patients.28

Local metastasis occurring in the needle track after PV has also been reported.29 An increase in local pain and fever may occur following the procedure but usually resolves within 72 hours.18

PK complications are mostly related to incorrect placement of hardware or cement extravasation and may result in neurologic insult.30 The incidence of cement leakage during PK is in the range 8.6%–33%. The reasons for a lower cement extravasation percentage with PK include (1) balloon tamping of a cavity that is surrounded by a shell of impacted cancellous bone, (2) the ability to determine the amount of cement to be injected thanks to the knowledge of the volume of fluid used to inflate the balloon, and (3) lower injection pressure during cement injection.

Infective complications are overall rare. However, meticulous attention to a sterile technique is warranted and should include preoperative intravenous antibiotic administration.

Adjacent-Level Fractures

An increased risk of adjacent-level fracture following PV has been noticed with long-term follow-up. The reported rate of new fractures varies from 7% to 20% within 1 year of follow-up and affects mainly the immediately adjacent levels.31 In a recent meta-analysis of the literature, the authors found that the risk of developing a new fracture after kyphoplasty is 14.1%, which is similar to the 17.9% estimated following vertebroplasty.

A local, unfavorable biomechanical situation seems to be included in those patients who suffer adjacent-level fracturing, while the nonadjacent fracture group is more likely to be related to an ongoing disease process such as osteoporosis. Thus, risk factors include osteoporosis, previous vertebral fracture, and organ transplant, which expose the patient to a high osteoporosis risk.

Both Grados et al19 and Lin et al32 postulated that intradiscal leakage of PMMA may correlate with mechanical consequences on adjacent vertebrae, particularly those with osteoporosis, with a consequent increase in fracture risk. Recent papers,19 however, reported an incidence of adjacent vertebral fracture (1 year or less) after PV equivalent to the one expected in untreated osteoporotic vertebral fractures.

Neither volume of cement injected nor extravasation of cement into the intravertebral disc seems to increase the likelihood of subsequent adjacent vertebral fracture. A retrospective study showed that a targeted exercise program (Rehabilitation of Osteoporosis Program–Exercise [ROPE] incorporating isometric back-extensor muscle strengthening and proprioceptive postural retraining) after PV significantly decreases fracture recurrence; refracture rates were also lower in the rehabilitation group compared to the vertebroplasty-only group.33

Newer biomaterials may help to prevent adjacent-level fracturing, thus diminishing the overall complication rates.34 The development of new fractures subsequent to PK has also been reported.35

Discussion

The treatment of painful vertebral metastases remains a major challenge in patients under palliative care. While radiotherapy has represented the gold standard for many years, there is now increasing evidence supporting the combination of surgery with radiation as more efficacious.36 Numerous retrospective studies validate the efficacy and safety of PV. However, no study has investigated the therapeutic effect and safety of this technique in metastatic fractures. The only phase I/II clinical study of PV as a palliative for painful malignant vertebral compression fractures37 confirms the procedure efficacy without reporting any severe complication.

The “painkiller” effect is clearly superior and more rapid when compared to radiotherapy. This becomes particularly useful in those patients with poor prognosis. Since this therapy is not designed to exert an antitumor effect but rather to provide pain relief by strengthening weakened vertebrae, pain recurrence is unavoidable if the metastatic foci expand.

An evidence-based assessment of PV has shown that the costs of this procedure are relatively low if compared with open surgical interventions for vertebral compression fractures and still inferior to the conservative treatment, which may consist of prolonged bed rest, analgesic drugs, orthotic devices, and eventual complications due to immobilization.

Maximal attention to indications and contraindications is pivotal in this procedure in which the percutaneous approach would otherwise represent a great disadvantage in case of major complications ([Table 1] and [Table 2]).

Table 1. General Indications for Percutaneous Augmentation

Painful osteoporotic vertebral compression fractures
Painful osteolytic vertebral fractures due to myeloma, metastatic lesions, aggressive type of hemangioma
Painful vertebral fracture with osteonecrosis (Kümmell disease)
Reinforcement of vertebral body prior to surgical procedure or combined procedures with internal fixation in severe osteoporosis or neoplastic disease

Table 2. General Contraindications for Percutaneous Augmentation

ABSOLUTERELATIVE
Symptoms not related to pathologySevere destruction of vertebral body or pedicles
InfectionRadicular pain
CoagulopathyVertebral fracture >70%
Myelopathy due to retropulsion of bone in the canalAssociated spinal stenosis
Allergy to PMMA or opacification agentAsymptomatic retropulsion of bone fragment
PregnancyAsymptomatic tumor extension into canal or epidural space
Cardiac and/or pulmonary insufficiency
Unstable fractures due to posterior involvement

Recent reviews and editorials have called for a more critical evaluation of these procedures.38 Controlled, multicentered trials are needed to prove its short- and long-term safety, efficacy, and cost–effectiveness in the treatment of metastatic vertebral fractures.

In addition, the procedures have reached widespread popularity, making it difficult to gain consent from patients to be included in the conservative treatment group of a randomized study.

Studies also need to be done to compare PV and PK in various disease states in a randomized fashion. Although PV does not restore vertebral body height, the procedure may be more appropriate than PK in high-risk patients or when the indication is solely for pain control.

The superiority of one technique over the other remains controversial. In spite of the necessity for more vigorous research, percutaneous augmentation with both procedures is promising in the treatment of painful vertebral fractures due to malignant infiltration.

With careful selection, adequate training, and meticulous attention to detail during the procedure, devastating complications can be dramatically reduced. More recently, the combination of PK with radiosurgery has proven to be effective in treating pathological fractures and in reducing the risk of fracture progression related to radiosurgery.39

There is growing interest in the use of less invasive techniques for the treatment of spinal metastases. One example is percutaneous radiofrequency ablation coupled with PMMA injection for debulking tumor and vertebral stabilization.40

Another novel technique involves the combination of percutaneous tumor debulking, PK, and intravertebral administration of a mixture of radiolabeled 153Sm-EDTPM and PMMA.41

Conclusions

PV and PK are minimally invasive techniques used to treat painful vertebral compression fractures. There is a growing body of evidence indicating that these procedures are efficacious in alleviating pain associated with vertebral compression fractures. However, they need to be performed by a very skilled operator to prevent those rare but eventually serious complications. Because of this, recent reviews and editorials have called for a more critical evaluation of these procedures.

References

1 S. Dudeney, I.H. Lieberman, M.K. Reinhardt and M. Hussein, Kyphoplasty in the treatment of osteolytic vertebral compression fractures as a result of multiple myeloma, J Clin Oncol 20 (2002), pp. 2382–2387. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (182)

2 D. Niv, M. Gofeld and M. Devor, Causes of pain in degenerative bone and joint disease: a lesson from vertebroplasty, Pain 105 (2003), pp. 387–392. Article |

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3 T. Bates, A review of local radiotherapy in the treatment of bone metastases and cord compression, Int J Radiat Oncol Biol Phys 23 (1992), pp. 217–221. Abstract |

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5 P. Galibert, H. Deramond and P. Rosat et al., A method for certain spinal angiomas: percutaneous vertebroplasty with acrylic cement, Neurochirurgie 33 (1987), pp. 166–168. View Record in Scopus | Cited By in Scopus (734)

6 M.K. Shindle, L. Shindle and M.J. Gardner et al., Supportive care aspects of vertebroplasty and kyphoplasty in patients with cancer, Support Cancer Ther 3 (2006), pp. 214–219. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

7 J.S. Jang and S.H. Lee, Efficacy of percutaneous vertebroplasty combined with radiotherapy in osteolytic metastatic spinal tumors, J Neurosurg Spine 2 (2005), pp. 243–248. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

8 W.C.G. Peh, M.S. Gelbert and L.A. Gilula, Percutaneous vertebroplasty: treatment of painful vertebral compression fractures with intraosseous vacuum phenomena, AJR Am J Roentgenol 180 (2003), pp. 1411–1417. View Record in Scopus | Cited By in Scopus (51)

9 W.C.G. Peh and L.A. Giulia, Percutaneous vertebroplasty: indications, contraindications, and technique, Br J Radiol 76 (2002), pp. 69–75.

10 A. Gangi, T. Sabharwal and F.G. Irani, Quality assurance guidelines for percutaneous vertebroplasty, Cardiovasc Intervent Radiol 29 (2006), pp. 173–178. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (37)

11 A.S. Maynard, M.E. Jensen and P.A. Schweickert, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic vertebral fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (0)

12 P. Martin, Bone scintigraphy in the diagnosis and management of traumatic injury, Semin Nucl Med 13 (1983), pp. 104–122.

13 A.S. Maynard, M.E. Jensen, P.A. Schweickert, W.F. Marx, J.G. Short and D.F. Kallmes, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (112)

14 S.M. Belkoff, J.M. Mathis and L.E. Jasper, The biomechanics of vertebroplasty: the effect of cement volume on mechanical behaviour, Spine 26 (2001), pp. 1537–1541. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (237)

15 R.J. Oakland, N.R. Furtado and J. Timothy, The biomechanics of vertebroplasty in multiple myeloma and metastatic bladder cancer: a preliminary cadaveric investigation, J Neurosurg Spine 9 (2008), pp. 493–501. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (5)

16 P. Galibert and H. Deramond, Percutaneous acrylic vertebroplasty as a treatment of vertebral angioma as well as painful and debilitating diseases, Chirurgie 116 (1990), pp. 326–334.

17 D.O. Schachtschabel and B.A. Blencke, Effect of pulverized implantation materials (plastic and glass ceramic) on growth and metabolism of mammalian cell cultures, Eur Surg Res 8 (1976), pp. 71–80. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

18 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (0)

19 F. Grados, C. Depriester, G. Cayrolle, N. Hardy, H. Deramond and P. Fardellone, Long-term observations of vertebral osteoporotic fractures treated by percutaneous vertebroplasty, Rheumatology 39 (2000), pp. 1410–1414. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (346)

20 G. Cheung, E. Chow and L. Holden et al., Percutaneous vertebroplasty in patients with intractable pain from osteoporotic or metastatic fractures: a prospective study using quality-of-life assessment, Can Assoc Radiol J 57 (2006), pp. 13–21. View Record in Scopus | Cited By in Scopus (34)

21 J.C. Eck, D. Nachtigall and S.C. Humphreys, Comparison of vertebroplasty and balloon kyphoplasty for treatment of vertebral compression fractures: a meta-analysis of the literature, Spine J 8 (2008), pp. 488–497. Article |

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22 H.J. Cloft and M.E. Jensen, Kyphoplasty: an assessment of a new technology, AJNR Am J Neuroradiol 28 (2007), pp. 200–203. View Record in Scopus | Cited By in Scopus (14)

23 J.M. Mathis, Percutaneous vertebroplasty or kyphoplasty: which one do I choose?, Skeletal Radiol 35 (2006), pp. 629–631. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

24 F. McKiernan, T. Faciewski and R. Jensen, Quality of life following vertebroplasty, J Bone Joint Surg 86 (2004), pp. 2600–2606. View Record in Scopus | Cited By in Scopus (76)

25 P. Mousavi, S. Roth and J. Finkelstein, Volumetric quantification of cement leakage following percutaneous vertebroplasty in metastatic and osteoporotic vertebrae, J Neurosurg Spine 99 (2003), pp. 56–59. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (63)

26 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (317)

27 C. Vascocelos, P. Gailloud and J.B. Martin, Transient arterial hypotension induced by polymethylmethacrylate injection during percutaneous vertebroplasty, J Vasc Interv Radiol 12 (2001), pp. 1001–1002.

28 J. Bernhard, P.F. Heini and P.M. Villiger, Asymptomatic diffuse pulmonary embolism caused by acrylic cement: an unusual complication of percutaneous vertebroplasty, Ann Rheum Dis 62 (2003), pp. 8–86. View Record in Scopus | Cited By in Scopus (1)

29 Y.J. Chen, G.C. Chang and W.H. Chen, Local metastases along the tract of needle: a rare complication of vertebroplasty in treating spinal metastases, Spine 32 (2007), pp. E615–E618. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (6)

30 S.R. Garfin and M.A. Reilley, Minimally invasive treatment of osteoporotic vertebral body compression fractures, Spine J 2 (2002), pp. 76–80. Article |

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31 A.T. Trout, D.F. Kallmes and T.J. Kaufmann, New fractures after vertebroplasty: adjacent fractures occur significantly sooner, AJNR Am J Neuroradiol 27 (2006), pp. 217–223. View Record in Scopus | Cited By in Scopus (110)

32 E.P. Lin, S. Ekholm and A. Hiwatashi, Vertebroplasty: cement leakage into the disc increases the risk of fracture of adjacent vertebral body, AJNR Am J Neuroradiol 25 (2004), pp. 175–180. View Record in Scopus | Cited By in Scopus (147)

33 E.A. Huntoon, C.K. Schmidt and M. Sinaki, Significantly fewer refractures after vertebroplasty in patients who engage in back-extensor-strengthening exercises, Mayo Clin Proc 83 (2008), pp. 54–57. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (18)

34 J.H. Chi and Z.L. Gokaslan, Vertebroplasty and kyphoplasty for spinal metastases, Curr Opin Support Palliat Care 2 (2008), pp. 9–13. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (12)

35 I.N. Gaitanis, A.G. Hadjipavlou and P.G. Katonis, Balloon kyphoplasty for the treatment of pathological vertebral compression fractures, Eur Spine J 14 (2005), pp. 250–260. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (86)

36 F. Tancioni, P. Navarria and M.A. Lorenzetti et al., Multimodal approach to the management of metastatic epidural spinal cord compression (MESCC) due to solid tumors, Int J Radiat Oncol Biol Phys 78 (2010), pp. 1467–1473. Article |

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37 T. Kobayashi, Y. Arai, Y. Takeuchi, Y. Nakajima, Y. Shioyama, M. Sone, N. Tanigawa, O. Matsui, M. Kadoya and Y. Inaba, Phase I/II clinical study of percutaneous vertebroplasty (PVP) as palliation for painful malignant vertebral compression fractures (PMVCF): JIVROSG-0202, Ann Oncol 20 (2009), pp. 1943–1947. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

38 N.B. Watts, S.T. Harris and H.K. Genant, Treatment of painful osteoporotic vertebral compression fractures with percutaneous vertebroplasty or kyphoplasty, Osteoporos Int 12 (2001), pp. 429–437. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (170)

39 P.C. Gerszten, A. Germanwala, S.A. Burton, W.C. Welch, C. Ozhasoglu and W.J. Vogel, Combination kyphoplasty and spinal radiosurgery: a new treatment paradigm for pathological fractures, J Neurosurg Spine 3 (2005), pp. 296–301. Full Text via CrossRef

40 B.A. Georgy and W. Wong, Plasma-mediated radiofrequency ablation assisted percutaneous cement injection for treating advanced malignant vertebral compression fractures, AJNR Am J Neuroradiol 28 (2007), pp. 700–705. View Record in Scopus | Cited By in Scopus (25)

41 E.R. Cardoso, H. Ashamalla and L. Weng et al., Percutaneous tumor curettage and interstitial delivery of samarium-153 coupled with kyphoplasty for treatment of vertebral metastases, J Neurosurg Spine 10 (2009), pp. 336–342. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (10)


Correspondence to: Martin Lorenzetti, MD, Neurosurgeon, Istituto Clinico Humanitas (ICH), via Manzoni 56, Rozzano, Milan 20089, Italy; telephone: 0039.2.82244685; fax: 0039.2.82244892

Vitae

Dr. Tancioni, Dr. Lorenzetti, Dr. Pessina, Dr. Draghi, and Dr. Rodriguez y Baena are from the Department of Neurosurgery at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Pedrazzoli and Dr. Santoro are from the Department of Oncology and Hematology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Navarria and Dr. Scorsetti are from the Department of Radiation Oncology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Alloisio is from the Department of Thoracic Surgery at the Istituto Clinico Humanitas, Milan, Italy.


The Journal of Supportive Oncology
Volume 9, Issue 1, January-February 2011, Pages 4-10
 

 

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Review

Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art

Flavio Tancioni MD, Martin A. Lorenzetti MD,
,
, Pierina Navarria MD, Federico Pessina MD, Riccardo Draghi MD, Paolo Pedrazzoli MD, Marta Scorsetti MD, Marco Alloisio MD, Armando Santoro MD and Riccardo Rodriguez y Baena MD   [Author vitae]

Received 9 June 2010; 

accepted 29 November 2010. 

Available online 13 February 2011.

Abstract

Improvements in diagnosis and treatment have prolonged cancer survival, with a consequent increase in the incidence of spinal metastases and vertebral compression fractures with associated axial pain, progressive radiculomyelopathy, and mechanical instability. Pain relief in malignant vertebral compression fractures is key to achieving a better quality of life in patients under palliative care. The gold standard for pain relief is nonsteroidal anti-inflammatory drugs and opioids. Nonresponsive cases are then treated with radiotherapy, which may require 2–4 weeks to take effect and in most cases does not provide complete pain relief. Percutaneous vertebroplasty and percutaneous kyphoplasty can in particular give relief in patients with vertebral body compression fractures that do not cause neurological deficits but severely compromise quality of life because of intractable pain.

Article Outline

Indications

Radiology

Techniques

Proposed Mechanisms of Pain Relief

Results

Complications

Adjacent-Level Fractures

Discussion

Conclusions

References

Vitae

Multiple myeloma, lymphoma, and metastases from primary tumors can cause osteolytic lesions of the vertebral body in a significant number of patients.1 Neoplastic invasion of the vertebral body results in erosion of the cancellous network and can result in painful vertebral compressive fractures.

Further fracture progression can lead to pain, numbness, weakness, sensory deficits, neurological claudication, fecal or urinary incontinence, and hyperreflexia. As a result, vertebral metastases can be the cause of disability and significant morbidity in these patients.2

Pain relief in malignant vertebral compression fractures is a key element in achieving a better quality of life in patients under palliative care.

The gold standard for pain relief is pharmacological therapy with nonsteroidal anti-inflammatory drugs (NSAIDs) and opioids. Nonresponsive cases are then treated with radiotherapy. Radiotherapy, however, requires 2–4 weeks to take effect and does not achieve complete pain relief in most cases.3 Further, radiotherapy does not correct mechanical instability or bone compression. Moreover, its analgesic and antitumoral effects are limited by the toxicity risk to adjacent structures, such as the spinal cord, and it does not prevent the progression of a pathologic fracture.4

Open surgical procedures aimed at fracture stabilization or spinal cord decompression are rarely a realistic option in these patients because of an unfavorable risk/benefit ratio.

Percutaneous transpedicular augmentation with vertebroplasty (PV) (Figure 1), kyphoplasty (PK) (Figure 2), or stenting (Figure 3) represents an ideal treatment option for compression fractures since it provides pain relief while strengthening the bone in patients with vertebral body compressive fractures.



Figure 1. 

Vertebroplasty with Monopedicular Approach

(A) MRI evidence of L3 recent neoplastic fracture, (B1) surgical view of the trochar insertion, (B2) X-ray AP view of somatic trochar target with cement injection, (C) final result in X-ray LL view

Figure 2. 

Kyphoplasty

(A) MRI evidence of recent neoplastic fracture, (B) surgical view of the procedure, (B1) vertebral X-ray: inflation of the kyphoplastic balloon, (B2) final trochar positioning and cement injection, (C) final result of the procedure on CT

Figure 3. 

Stenting Procedure

(A) MRI view of neoplastic recently fractured somatic level, (B1) final stent positioning in X-ray LL view, (B2) cement injection in the stent cavity, (C1) X-ray AP view of final result, (C2) X-ray LL view of final result


Indications

PV is an interventional procedure in which bone cement, usually polymethyl methacrylate (PMMA), is injected under radiologic guidance into the collapsed vertebral body. This procedure was first reported by Galibert in 19875 for the treatment of painful aggressive vertebral hemangiomas and subsequently used in the United States in 1993.6 Since then, the technique has been widely applied and has evolved as the treatment of choice for painful osteoporotic fractures. The second most common use of PV and PMMA is for the treatment of painful vertebral fractures caused by metastatic disease or multiple myeloma.

PV also works well in those metastatic cases in which intractable pain is not associated with vertebral body collapse.7

Further reported indications are spinal pseudoarthrosis, intravertebral vacuum phenomenon, Langerhans cell histiocytosis, osteogenesis imperfecta, and Paget disease.8

Recent studies show that PV should be performed before radiotherapy for the treatment of those spinal metastases that have led to pathologic compression without neurological deficits.

In selected cases, PV is a minimally invasive alternative to open surgery.

PK is an evolution/modification of PV, combining the analgesic effect of PV and the possibility of restoring normal height of the collapsed vertebral body. This improves the kyphotic deformity frequently associated with vertebral fractures of the thoracic segment. Introduced in 2001, it employs a height-restoration device, known as “balloon tamp,” that when inflated restores the original shape of the vertebral body while creating a cavity in which to inject the cement.

The ideal candidates for this augmentation procedure are those patients who complain of midline nonradiating back pain that increases with weight bearing and is exacerbated by manual palpation of the spinous process of the involved vertebrae. This typical symptomatology subsides with recumbency and/or sitting. Exceptions are patients with thoracic spine fractures in whom pain radiates to the ribs or those with fractures at the level of the conus medullaris, where pain may radiate to the hips without evidence of cord compression.9

Detailed anamnesis, accurate neurologic examination, and recent radiographic imaging are mandatory to exclude spinal cord compromise and/or retropulsed bony fragments in the canal, which obviously represent a contraindication to the procedure.

Indications of both procedures have been defined in the guidelines published by the Society of Interventional Radiology in 2003 and recently updated by the Cardiovascular and Interventional Radiological Society of Europe.10 Indications include painful osteoporotic vertebral fractures after 3 weeks of analgesic therapy, painful vertebrae due to benign or malignant primary or secondary bone tumors, painful vertebral fractures with osteonecrosis (Kümmell disease), reinforcement of the vertebral body prior to a surgical procedure, and chronic traumatic vertebral fractures with non-union. Absolute contraindications include asymptomatic vertebral fractures, pain improving with medical therapy, ongoing infection, osteoporotic patient prophylaxis, uncorrectable coagulopathy, myelopathy due to retropulsion of bone (canal compromise), and an allergic reaction to PMMA or the opacification agent. Relative contraindications are radicular pain, vertebral fractures >70% of height loss, severe spinal stenosis, asymptomatic retropulsion of bony fragment, tumor extension into canal/epidural space, and lack of surgical backup.

Although disruption of the posterior cortex of the vertebral body has been considered as a relative contraindication, new techniques allow efficacious PV in these circumstances.

Multilevel procedures (3–4 levels) should be avoided in patients with low cardiopulmonary reserve (ie, chronic obstructive airway disease or congestive cardiac failure) as these patients may be at high risk for symptomatic pulmonary fat embolism.11

Informed consent should include discussion regarding failure to obtain pain relief as well as complications. The eventuality of open stabilization or urgent decompressive surgery should also be discussed with the patient.

Radiology

Traditional anteroposterior and laterolateral X-rays show the degree of vertebral compression, eventual osteolysis, extent of pedicle involvement, and fracture or cortical destruction.

Computed tomography (CT) may be useful to further define the extent of vertebral collapse, the location and extent of any lytic process, the visibility and degree of involvement of the pedicles, the presence of cortical destruction and epidural or foraminal stenosis caused by tumor extension or bone fragment displacement, and to estimate the needle path and size.

Magnetic resonance imaging (MRI) is pivotal in triaging patients before PV or PK. In fact, signal changes within the vertebral body marrow suggest edematous changes in a healing fracture, which are a necessary condition for the procedure. Sequences that are particularly sensitive to the presence of edema are fat-suppressed T2-weighted and fat-suppression inversion recovery images, which may also be useful in planning the vertebroplastic procedure.11

Concomitant limitations of these specific MRI sequences are that they may reveal increased activity up to 2 years after fracture, whereas it is widely accepted that patients with fractures older than 6 months do not benefit from vertebroplasty.12

Bone nuclear scanning has also been used to identify recent fractures in patients with multiple involved levels or in patients in whom MRI is not possible because of a pacemaker or stent. The recent fracture is typically heralded by an intense radioisotope uptake.13

Radiological investigation is a fundamentally delicate tool focusing on the most recent symptomatic fractured level. It helps solve those unclear cases in which physical examination is not sufficient to determine which of several adjacent fractures is symptomatic or which fracture has no pain on palpation over the involved vertebra and/or there is no correlation between the affected site and the pain localization.

Techniques

PV and PK require a detailed knowledge of spine anatomy and an intensive training in fluoroscopic imaging interventional procedures. The procedure should be performed in an appropriately sterile area. Broad-spectrum antibiotics can be administered just before the treatment. An anesthesiologist or other physician able to undertake rate and pulse oximetry must be present continuously. The typology of anesthesia should be selected on an individual basis. A generous amount of local anesthetic, especially into the periosteum, is suggested to maintain communication with the patient. Emergency measures should be available in the operating theater. In selected cases, general anesthesia is used.

Good-quality imaging biplanar or C-arm fluoroscopy with a radiolucent table is mandatory for maximal procedural safety, to correctly identify the anatomical structures (eg, pedicle, posterior wall).

There are various types of cement (methyl methacrylate powder) currently in use. They basically differ in their polymerization times, and the practitioner performing the procedure should be very skilled in this specific aspect. Cement opacification with barium sulfate specifically designed for use in vertebroplasty is required.

Most operators aim to obtain sufficient cement placement into the vertebral body using a monopedicular approach, thus reducing the procedure time.

PMMA injection into the vertebral body is performed when the trochar (uni- or bipedicular approach) has been deepened into the ventral portion of the vertebral body.

The cement should harden to “toothpaste” consistency before injecting. The injection should be stopped once the cement spreads to the posterior third of the vertebral body.

The cement column should ideally spread among the superior and inferior endplates and between the two pedicles. Such cement filling should prevent the collapse of the treated vertebral body.

If PMMA diffuses into a blood vessel or toward the posterior cortical margin, injection must be immediately stopped. Use of high-viscosity cement and small-volume injection is recommended in order to minimize the risk of PMMA leakage.

As Belkoff et al14 reported, maximal filling of the compressed vertebral body is not necessary; 2 mL of cement are sufficient for restoring vertebral body strength. Inadequate cement in the unstable fractured area may be responsible for unrelieved pain.

PK (Figure 1) differs from PV (Figure 2) in that it involves the percutaneous placement of balloons (called “tamps”) into the vertebral body with an inflation/deflation sequence that creates a cavity before the cement injection. PK may restore the vertebral body height and reduce the kyphotic angulation of the compression fracture before PMMA injection.

Proposed Mechanisms of Pain Relief

The most accepted theory indicates augmentation with cement increases the fracture mechanical load threshold, stabilizing the vertebra.15 In tumor fractures, pain relief is related primarily to vertebral body stabilization and secondarily to the induction of tumor necrosis and the destruction of sensitive nerve endings.16 The last two effects seem to be directly connected to the local heat produced by the highly exothermic reaction of the PMMA polymerization. The antitumoral effect is supported by the local cytotoxic effect of PMMA on rapidly proliferating cells.17

The heat effect is related to the degree and duration of the heat-exposure period. However, this does not explain why the analgesic effect is not proportionally related to the volume of PMMA injected. Low-volume injection has been found to be as effective as high-volume injection in relieving pain. On these bases, although a unilateral approach may allow a satisfying filling of the vertebra in terms of stabilization, it might not be sufficient when an additional antitumoral effect is desired.

Interestingly, despite the unequivocal effect on pain, the literature remains unclear about the reliability of vertebroplasty in achieving bone stabilization and preventing future vertebral fracturing.2

Results

Pain relief and increased mobility are expected within 24 hours following PV.18 Significant pain relief is expected in >70% of patients with vertebral malignancies, in >90% of patients with osteoporotic fractures, and in about 80% of patients with hemangioma. Pain relief usually persists over months to years.19

The significant decrease in back pain resulting from PV and PK in patients with pathologic fractures dramatically improves their quality of life.20 In particular, the procedure-related benefits include reduction/withdrawal of analgesic drugs and improvement in physical mobility. (It is well known that the lower the intake of analgesics, the higher the perception of quality of life, thanks to the disappearance of drowsiness and nausea resulting in an improved appetite.) PK has not been shown to be better than PV in terms of pain relief or quality of life. Eck and colleagues21 found in a recent meta-analysis that although both methods provide significant improvement in visual analogue scale scores, there is a statistically greater improvement in pain relief with PV than with PK. In their literature review, Cloft and Jensen22 concluded that there was no proven advantage of PK over PV with regard to pain relief, vertebral height restoration, and complication rate. Moreover, Mathis23 found that the claims of superior height restoration by PK are insufficiently documented.

PK is estimated to be 2.5–7.0 times more expensive than PV due to additional equipment, general anesthesia, and hospital costs.22 Based on 2006 available data, Mathis23 found no substantial scientific, procedural, or economic advantages supporting PK's superiority over PV.

Complications

Complications are rare but can be dramatic. Minor complications such as PMMA extension into the disc require no therapy and have no clinical consequence. Major complications may consist of PMMA invasion of the spinal canal with related neurological deficit. The latter may require urgent laminectomy and evacuation of the extruded cement to prevent permanent sequelae.

According to the Society of Interventional Radiology (SIR), the major complication rate is <1% and reaches about 5% in tumor cases.24 Cement leakage is documented in 30%–72.5% of cases on radiographs and in 87.9%–93% of cases on CT.25 PMMA can flow outside the vertebral body posteriorly into the spinal canal and neural foramina. This is usually due to destruction of the vertebral body posterior cortex and of the medial/inferior cortex of the pedicle, but it rarely necessitates urgent surgical decompression. Leakage can occur into the paravertebral veins, mostly without clinical consequences.26 Asymptomatic extension into the inferior vena cava may also occur27 but involves possible systemic complications such as pulmonary embolism and paradoxical cerebral arterial PMMA emboli.18 Asymptomatic pulmonary embolization may occur in up to 4%–6.8% of patients.28

Local metastasis occurring in the needle track after PV has also been reported.29 An increase in local pain and fever may occur following the procedure but usually resolves within 72 hours.18

PK complications are mostly related to incorrect placement of hardware or cement extravasation and may result in neurologic insult.30 The incidence of cement leakage during PK is in the range 8.6%–33%. The reasons for a lower cement extravasation percentage with PK include (1) balloon tamping of a cavity that is surrounded by a shell of impacted cancellous bone, (2) the ability to determine the amount of cement to be injected thanks to the knowledge of the volume of fluid used to inflate the balloon, and (3) lower injection pressure during cement injection.

Infective complications are overall rare. However, meticulous attention to a sterile technique is warranted and should include preoperative intravenous antibiotic administration.

Adjacent-Level Fractures

An increased risk of adjacent-level fracture following PV has been noticed with long-term follow-up. The reported rate of new fractures varies from 7% to 20% within 1 year of follow-up and affects mainly the immediately adjacent levels.31 In a recent meta-analysis of the literature, the authors found that the risk of developing a new fracture after kyphoplasty is 14.1%, which is similar to the 17.9% estimated following vertebroplasty.

A local, unfavorable biomechanical situation seems to be included in those patients who suffer adjacent-level fracturing, while the nonadjacent fracture group is more likely to be related to an ongoing disease process such as osteoporosis. Thus, risk factors include osteoporosis, previous vertebral fracture, and organ transplant, which expose the patient to a high osteoporosis risk.

Both Grados et al19 and Lin et al32 postulated that intradiscal leakage of PMMA may correlate with mechanical consequences on adjacent vertebrae, particularly those with osteoporosis, with a consequent increase in fracture risk. Recent papers,19 however, reported an incidence of adjacent vertebral fracture (1 year or less) after PV equivalent to the one expected in untreated osteoporotic vertebral fractures.

Neither volume of cement injected nor extravasation of cement into the intravertebral disc seems to increase the likelihood of subsequent adjacent vertebral fracture. A retrospective study showed that a targeted exercise program (Rehabilitation of Osteoporosis Program–Exercise [ROPE] incorporating isometric back-extensor muscle strengthening and proprioceptive postural retraining) after PV significantly decreases fracture recurrence; refracture rates were also lower in the rehabilitation group compared to the vertebroplasty-only group.33

Newer biomaterials may help to prevent adjacent-level fracturing, thus diminishing the overall complication rates.34 The development of new fractures subsequent to PK has also been reported.35

Discussion

The treatment of painful vertebral metastases remains a major challenge in patients under palliative care. While radiotherapy has represented the gold standard for many years, there is now increasing evidence supporting the combination of surgery with radiation as more efficacious.36 Numerous retrospective studies validate the efficacy and safety of PV. However, no study has investigated the therapeutic effect and safety of this technique in metastatic fractures. The only phase I/II clinical study of PV as a palliative for painful malignant vertebral compression fractures37 confirms the procedure efficacy without reporting any severe complication.

The “painkiller” effect is clearly superior and more rapid when compared to radiotherapy. This becomes particularly useful in those patients with poor prognosis. Since this therapy is not designed to exert an antitumor effect but rather to provide pain relief by strengthening weakened vertebrae, pain recurrence is unavoidable if the metastatic foci expand.

An evidence-based assessment of PV has shown that the costs of this procedure are relatively low if compared with open surgical interventions for vertebral compression fractures and still inferior to the conservative treatment, which may consist of prolonged bed rest, analgesic drugs, orthotic devices, and eventual complications due to immobilization.

Maximal attention to indications and contraindications is pivotal in this procedure in which the percutaneous approach would otherwise represent a great disadvantage in case of major complications ([Table 1] and [Table 2]).

Table 1. General Indications for Percutaneous Augmentation

Painful osteoporotic vertebral compression fractures
Painful osteolytic vertebral fractures due to myeloma, metastatic lesions, aggressive type of hemangioma
Painful vertebral fracture with osteonecrosis (Kümmell disease)
Reinforcement of vertebral body prior to surgical procedure or combined procedures with internal fixation in severe osteoporosis or neoplastic disease

Table 2. General Contraindications for Percutaneous Augmentation

ABSOLUTERELATIVE
Symptoms not related to pathologySevere destruction of vertebral body or pedicles
InfectionRadicular pain
CoagulopathyVertebral fracture >70%
Myelopathy due to retropulsion of bone in the canalAssociated spinal stenosis
Allergy to PMMA or opacification agentAsymptomatic retropulsion of bone fragment
PregnancyAsymptomatic tumor extension into canal or epidural space
Cardiac and/or pulmonary insufficiency
Unstable fractures due to posterior involvement

Recent reviews and editorials have called for a more critical evaluation of these procedures.38 Controlled, multicentered trials are needed to prove its short- and long-term safety, efficacy, and cost–effectiveness in the treatment of metastatic vertebral fractures.

In addition, the procedures have reached widespread popularity, making it difficult to gain consent from patients to be included in the conservative treatment group of a randomized study.

Studies also need to be done to compare PV and PK in various disease states in a randomized fashion. Although PV does not restore vertebral body height, the procedure may be more appropriate than PK in high-risk patients or when the indication is solely for pain control.

The superiority of one technique over the other remains controversial. In spite of the necessity for more vigorous research, percutaneous augmentation with both procedures is promising in the treatment of painful vertebral fractures due to malignant infiltration.

With careful selection, adequate training, and meticulous attention to detail during the procedure, devastating complications can be dramatically reduced. More recently, the combination of PK with radiosurgery has proven to be effective in treating pathological fractures and in reducing the risk of fracture progression related to radiosurgery.39

There is growing interest in the use of less invasive techniques for the treatment of spinal metastases. One example is percutaneous radiofrequency ablation coupled with PMMA injection for debulking tumor and vertebral stabilization.40

Another novel technique involves the combination of percutaneous tumor debulking, PK, and intravertebral administration of a mixture of radiolabeled 153Sm-EDTPM and PMMA.41

Conclusions

PV and PK are minimally invasive techniques used to treat painful vertebral compression fractures. There is a growing body of evidence indicating that these procedures are efficacious in alleviating pain associated with vertebral compression fractures. However, they need to be performed by a very skilled operator to prevent those rare but eventually serious complications. Because of this, recent reviews and editorials have called for a more critical evaluation of these procedures.

References

1 S. Dudeney, I.H. Lieberman, M.K. Reinhardt and M. Hussein, Kyphoplasty in the treatment of osteolytic vertebral compression fractures as a result of multiple myeloma, J Clin Oncol 20 (2002), pp. 2382–2387. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (182)

2 D. Niv, M. Gofeld and M. Devor, Causes of pain in degenerative bone and joint disease: a lesson from vertebroplasty, Pain 105 (2003), pp. 387–392. Article |

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3 T. Bates, A review of local radiotherapy in the treatment of bone metastases and cord compression, Int J Radiat Oncol Biol Phys 23 (1992), pp. 217–221. Abstract |

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4 N.S. Schachar, An update on the nonoperative treatment of patients with metastatic bone disease, Clin Orthop Relat Res 382 (2001), pp. 75–81. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (33)

5 P. Galibert, H. Deramond and P. Rosat et al., A method for certain spinal angiomas: percutaneous vertebroplasty with acrylic cement, Neurochirurgie 33 (1987), pp. 166–168. View Record in Scopus | Cited By in Scopus (734)

6 M.K. Shindle, L. Shindle and M.J. Gardner et al., Supportive care aspects of vertebroplasty and kyphoplasty in patients with cancer, Support Cancer Ther 3 (2006), pp. 214–219. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

7 J.S. Jang and S.H. Lee, Efficacy of percutaneous vertebroplasty combined with radiotherapy in osteolytic metastatic spinal tumors, J Neurosurg Spine 2 (2005), pp. 243–248. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

8 W.C.G. Peh, M.S. Gelbert and L.A. Gilula, Percutaneous vertebroplasty: treatment of painful vertebral compression fractures with intraosseous vacuum phenomena, AJR Am J Roentgenol 180 (2003), pp. 1411–1417. View Record in Scopus | Cited By in Scopus (51)

9 W.C.G. Peh and L.A. Giulia, Percutaneous vertebroplasty: indications, contraindications, and technique, Br J Radiol 76 (2002), pp. 69–75.

10 A. Gangi, T. Sabharwal and F.G. Irani, Quality assurance guidelines for percutaneous vertebroplasty, Cardiovasc Intervent Radiol 29 (2006), pp. 173–178. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (37)

11 A.S. Maynard, M.E. Jensen and P.A. Schweickert, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic vertebral fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (0)

12 P. Martin, Bone scintigraphy in the diagnosis and management of traumatic injury, Semin Nucl Med 13 (1983), pp. 104–122.

13 A.S. Maynard, M.E. Jensen, P.A. Schweickert, W.F. Marx, J.G. Short and D.F. Kallmes, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (112)

14 S.M. Belkoff, J.M. Mathis and L.E. Jasper, The biomechanics of vertebroplasty: the effect of cement volume on mechanical behaviour, Spine 26 (2001), pp. 1537–1541. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (237)

15 R.J. Oakland, N.R. Furtado and J. Timothy, The biomechanics of vertebroplasty in multiple myeloma and metastatic bladder cancer: a preliminary cadaveric investigation, J Neurosurg Spine 9 (2008), pp. 493–501. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (5)

16 P. Galibert and H. Deramond, Percutaneous acrylic vertebroplasty as a treatment of vertebral angioma as well as painful and debilitating diseases, Chirurgie 116 (1990), pp. 326–334.

17 D.O. Schachtschabel and B.A. Blencke, Effect of pulverized implantation materials (plastic and glass ceramic) on growth and metabolism of mammalian cell cultures, Eur Surg Res 8 (1976), pp. 71–80. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

18 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (0)

19 F. Grados, C. Depriester, G. Cayrolle, N. Hardy, H. Deramond and P. Fardellone, Long-term observations of vertebral osteoporotic fractures treated by percutaneous vertebroplasty, Rheumatology 39 (2000), pp. 1410–1414. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (346)

20 G. Cheung, E. Chow and L. Holden et al., Percutaneous vertebroplasty in patients with intractable pain from osteoporotic or metastatic fractures: a prospective study using quality-of-life assessment, Can Assoc Radiol J 57 (2006), pp. 13–21. View Record in Scopus | Cited By in Scopus (34)

21 J.C. Eck, D. Nachtigall and S.C. Humphreys, Comparison of vertebroplasty and balloon kyphoplasty for treatment of vertebral compression fractures: a meta-analysis of the literature, Spine J 8 (2008), pp. 488–497. Article |

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22 H.J. Cloft and M.E. Jensen, Kyphoplasty: an assessment of a new technology, AJNR Am J Neuroradiol 28 (2007), pp. 200–203. View Record in Scopus | Cited By in Scopus (14)

23 J.M. Mathis, Percutaneous vertebroplasty or kyphoplasty: which one do I choose?, Skeletal Radiol 35 (2006), pp. 629–631. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

24 F. McKiernan, T. Faciewski and R. Jensen, Quality of life following vertebroplasty, J Bone Joint Surg 86 (2004), pp. 2600–2606. View Record in Scopus | Cited By in Scopus (76)

25 P. Mousavi, S. Roth and J. Finkelstein, Volumetric quantification of cement leakage following percutaneous vertebroplasty in metastatic and osteoporotic vertebrae, J Neurosurg Spine 99 (2003), pp. 56–59. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (63)

26 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (317)

27 C. Vascocelos, P. Gailloud and J.B. Martin, Transient arterial hypotension induced by polymethylmethacrylate injection during percutaneous vertebroplasty, J Vasc Interv Radiol 12 (2001), pp. 1001–1002.

28 J. Bernhard, P.F. Heini and P.M. Villiger, Asymptomatic diffuse pulmonary embolism caused by acrylic cement: an unusual complication of percutaneous vertebroplasty, Ann Rheum Dis 62 (2003), pp. 8–86. View Record in Scopus | Cited By in Scopus (1)

29 Y.J. Chen, G.C. Chang and W.H. Chen, Local metastases along the tract of needle: a rare complication of vertebroplasty in treating spinal metastases, Spine 32 (2007), pp. E615–E618. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (6)

30 S.R. Garfin and M.A. Reilley, Minimally invasive treatment of osteoporotic vertebral body compression fractures, Spine J 2 (2002), pp. 76–80. Article |

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31 A.T. Trout, D.F. Kallmes and T.J. Kaufmann, New fractures after vertebroplasty: adjacent fractures occur significantly sooner, AJNR Am J Neuroradiol 27 (2006), pp. 217–223. View Record in Scopus | Cited By in Scopus (110)

32 E.P. Lin, S. Ekholm and A. Hiwatashi, Vertebroplasty: cement leakage into the disc increases the risk of fracture of adjacent vertebral body, AJNR Am J Neuroradiol 25 (2004), pp. 175–180. View Record in Scopus | Cited By in Scopus (147)

33 E.A. Huntoon, C.K. Schmidt and M. Sinaki, Significantly fewer refractures after vertebroplasty in patients who engage in back-extensor-strengthening exercises, Mayo Clin Proc 83 (2008), pp. 54–57. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (18)

34 J.H. Chi and Z.L. Gokaslan, Vertebroplasty and kyphoplasty for spinal metastases, Curr Opin Support Palliat Care 2 (2008), pp. 9–13. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (12)

35 I.N. Gaitanis, A.G. Hadjipavlou and P.G. Katonis, Balloon kyphoplasty for the treatment of pathological vertebral compression fractures, Eur Spine J 14 (2005), pp. 250–260. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (86)

36 F. Tancioni, P. Navarria and M.A. Lorenzetti et al., Multimodal approach to the management of metastatic epidural spinal cord compression (MESCC) due to solid tumors, Int J Radiat Oncol Biol Phys 78 (2010), pp. 1467–1473. Article |

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37 T. Kobayashi, Y. Arai, Y. Takeuchi, Y. Nakajima, Y. Shioyama, M. Sone, N. Tanigawa, O. Matsui, M. Kadoya and Y. Inaba, Phase I/II clinical study of percutaneous vertebroplasty (PVP) as palliation for painful malignant vertebral compression fractures (PMVCF): JIVROSG-0202, Ann Oncol 20 (2009), pp. 1943–1947. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

38 N.B. Watts, S.T. Harris and H.K. Genant, Treatment of painful osteoporotic vertebral compression fractures with percutaneous vertebroplasty or kyphoplasty, Osteoporos Int 12 (2001), pp. 429–437. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (170)

39 P.C. Gerszten, A. Germanwala, S.A. Burton, W.C. Welch, C. Ozhasoglu and W.J. Vogel, Combination kyphoplasty and spinal radiosurgery: a new treatment paradigm for pathological fractures, J Neurosurg Spine 3 (2005), pp. 296–301. Full Text via CrossRef

40 B.A. Georgy and W. Wong, Plasma-mediated radiofrequency ablation assisted percutaneous cement injection for treating advanced malignant vertebral compression fractures, AJNR Am J Neuroradiol 28 (2007), pp. 700–705. View Record in Scopus | Cited By in Scopus (25)

41 E.R. Cardoso, H. Ashamalla and L. Weng et al., Percutaneous tumor curettage and interstitial delivery of samarium-153 coupled with kyphoplasty for treatment of vertebral metastases, J Neurosurg Spine 10 (2009), pp. 336–342. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (10)


Correspondence to: Martin Lorenzetti, MD, Neurosurgeon, Istituto Clinico Humanitas (ICH), via Manzoni 56, Rozzano, Milan 20089, Italy; telephone: 0039.2.82244685; fax: 0039.2.82244892

Vitae

Dr. Tancioni, Dr. Lorenzetti, Dr. Pessina, Dr. Draghi, and Dr. Rodriguez y Baena are from the Department of Neurosurgery at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Pedrazzoli and Dr. Santoro are from the Department of Oncology and Hematology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Navarria and Dr. Scorsetti are from the Department of Radiation Oncology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Alloisio is from the Department of Thoracic Surgery at the Istituto Clinico Humanitas, Milan, Italy.


The Journal of Supportive Oncology
Volume 9, Issue 1, January-February 2011, Pages 4-10
 

 

Review

Percutaneous Vertebral Augmentation in Metastatic Disease: State of the Art

Flavio Tancioni MD, Martin A. Lorenzetti MD,
,
, Pierina Navarria MD, Federico Pessina MD, Riccardo Draghi MD, Paolo Pedrazzoli MD, Marta Scorsetti MD, Marco Alloisio MD, Armando Santoro MD and Riccardo Rodriguez y Baena MD   [Author vitae]

Received 9 June 2010; 

accepted 29 November 2010. 

Available online 13 February 2011.

Abstract

Improvements in diagnosis and treatment have prolonged cancer survival, with a consequent increase in the incidence of spinal metastases and vertebral compression fractures with associated axial pain, progressive radiculomyelopathy, and mechanical instability. Pain relief in malignant vertebral compression fractures is key to achieving a better quality of life in patients under palliative care. The gold standard for pain relief is nonsteroidal anti-inflammatory drugs and opioids. Nonresponsive cases are then treated with radiotherapy, which may require 2–4 weeks to take effect and in most cases does not provide complete pain relief. Percutaneous vertebroplasty and percutaneous kyphoplasty can in particular give relief in patients with vertebral body compression fractures that do not cause neurological deficits but severely compromise quality of life because of intractable pain.

Article Outline

Indications

Radiology

Techniques

Proposed Mechanisms of Pain Relief

Results

Complications

Adjacent-Level Fractures

Discussion

Conclusions

References

Vitae

Multiple myeloma, lymphoma, and metastases from primary tumors can cause osteolytic lesions of the vertebral body in a significant number of patients.1 Neoplastic invasion of the vertebral body results in erosion of the cancellous network and can result in painful vertebral compressive fractures.

Further fracture progression can lead to pain, numbness, weakness, sensory deficits, neurological claudication, fecal or urinary incontinence, and hyperreflexia. As a result, vertebral metastases can be the cause of disability and significant morbidity in these patients.2

Pain relief in malignant vertebral compression fractures is a key element in achieving a better quality of life in patients under palliative care.

The gold standard for pain relief is pharmacological therapy with nonsteroidal anti-inflammatory drugs (NSAIDs) and opioids. Nonresponsive cases are then treated with radiotherapy. Radiotherapy, however, requires 2–4 weeks to take effect and does not achieve complete pain relief in most cases.3 Further, radiotherapy does not correct mechanical instability or bone compression. Moreover, its analgesic and antitumoral effects are limited by the toxicity risk to adjacent structures, such as the spinal cord, and it does not prevent the progression of a pathologic fracture.4

Open surgical procedures aimed at fracture stabilization or spinal cord decompression are rarely a realistic option in these patients because of an unfavorable risk/benefit ratio.

Percutaneous transpedicular augmentation with vertebroplasty (PV) (Figure 1), kyphoplasty (PK) (Figure 2), or stenting (Figure 3) represents an ideal treatment option for compression fractures since it provides pain relief while strengthening the bone in patients with vertebral body compressive fractures.



Figure 1. 

Vertebroplasty with Monopedicular Approach

(A) MRI evidence of L3 recent neoplastic fracture, (B1) surgical view of the trochar insertion, (B2) X-ray AP view of somatic trochar target with cement injection, (C) final result in X-ray LL view

Figure 2. 

Kyphoplasty

(A) MRI evidence of recent neoplastic fracture, (B) surgical view of the procedure, (B1) vertebral X-ray: inflation of the kyphoplastic balloon, (B2) final trochar positioning and cement injection, (C) final result of the procedure on CT

Figure 3. 

Stenting Procedure

(A) MRI view of neoplastic recently fractured somatic level, (B1) final stent positioning in X-ray LL view, (B2) cement injection in the stent cavity, (C1) X-ray AP view of final result, (C2) X-ray LL view of final result


Indications

PV is an interventional procedure in which bone cement, usually polymethyl methacrylate (PMMA), is injected under radiologic guidance into the collapsed vertebral body. This procedure was first reported by Galibert in 19875 for the treatment of painful aggressive vertebral hemangiomas and subsequently used in the United States in 1993.6 Since then, the technique has been widely applied and has evolved as the treatment of choice for painful osteoporotic fractures. The second most common use of PV and PMMA is for the treatment of painful vertebral fractures caused by metastatic disease or multiple myeloma.

PV also works well in those metastatic cases in which intractable pain is not associated with vertebral body collapse.7

Further reported indications are spinal pseudoarthrosis, intravertebral vacuum phenomenon, Langerhans cell histiocytosis, osteogenesis imperfecta, and Paget disease.8

Recent studies show that PV should be performed before radiotherapy for the treatment of those spinal metastases that have led to pathologic compression without neurological deficits.

In selected cases, PV is a minimally invasive alternative to open surgery.

PK is an evolution/modification of PV, combining the analgesic effect of PV and the possibility of restoring normal height of the collapsed vertebral body. This improves the kyphotic deformity frequently associated with vertebral fractures of the thoracic segment. Introduced in 2001, it employs a height-restoration device, known as “balloon tamp,” that when inflated restores the original shape of the vertebral body while creating a cavity in which to inject the cement.

The ideal candidates for this augmentation procedure are those patients who complain of midline nonradiating back pain that increases with weight bearing and is exacerbated by manual palpation of the spinous process of the involved vertebrae. This typical symptomatology subsides with recumbency and/or sitting. Exceptions are patients with thoracic spine fractures in whom pain radiates to the ribs or those with fractures at the level of the conus medullaris, where pain may radiate to the hips without evidence of cord compression.9

Detailed anamnesis, accurate neurologic examination, and recent radiographic imaging are mandatory to exclude spinal cord compromise and/or retropulsed bony fragments in the canal, which obviously represent a contraindication to the procedure.

Indications of both procedures have been defined in the guidelines published by the Society of Interventional Radiology in 2003 and recently updated by the Cardiovascular and Interventional Radiological Society of Europe.10 Indications include painful osteoporotic vertebral fractures after 3 weeks of analgesic therapy, painful vertebrae due to benign or malignant primary or secondary bone tumors, painful vertebral fractures with osteonecrosis (Kümmell disease), reinforcement of the vertebral body prior to a surgical procedure, and chronic traumatic vertebral fractures with non-union. Absolute contraindications include asymptomatic vertebral fractures, pain improving with medical therapy, ongoing infection, osteoporotic patient prophylaxis, uncorrectable coagulopathy, myelopathy due to retropulsion of bone (canal compromise), and an allergic reaction to PMMA or the opacification agent. Relative contraindications are radicular pain, vertebral fractures >70% of height loss, severe spinal stenosis, asymptomatic retropulsion of bony fragment, tumor extension into canal/epidural space, and lack of surgical backup.

Although disruption of the posterior cortex of the vertebral body has been considered as a relative contraindication, new techniques allow efficacious PV in these circumstances.

Multilevel procedures (3–4 levels) should be avoided in patients with low cardiopulmonary reserve (ie, chronic obstructive airway disease or congestive cardiac failure) as these patients may be at high risk for symptomatic pulmonary fat embolism.11

Informed consent should include discussion regarding failure to obtain pain relief as well as complications. The eventuality of open stabilization or urgent decompressive surgery should also be discussed with the patient.

Radiology

Traditional anteroposterior and laterolateral X-rays show the degree of vertebral compression, eventual osteolysis, extent of pedicle involvement, and fracture or cortical destruction.

Computed tomography (CT) may be useful to further define the extent of vertebral collapse, the location and extent of any lytic process, the visibility and degree of involvement of the pedicles, the presence of cortical destruction and epidural or foraminal stenosis caused by tumor extension or bone fragment displacement, and to estimate the needle path and size.

Magnetic resonance imaging (MRI) is pivotal in triaging patients before PV or PK. In fact, signal changes within the vertebral body marrow suggest edematous changes in a healing fracture, which are a necessary condition for the procedure. Sequences that are particularly sensitive to the presence of edema are fat-suppressed T2-weighted and fat-suppression inversion recovery images, which may also be useful in planning the vertebroplastic procedure.11

Concomitant limitations of these specific MRI sequences are that they may reveal increased activity up to 2 years after fracture, whereas it is widely accepted that patients with fractures older than 6 months do not benefit from vertebroplasty.12

Bone nuclear scanning has also been used to identify recent fractures in patients with multiple involved levels or in patients in whom MRI is not possible because of a pacemaker or stent. The recent fracture is typically heralded by an intense radioisotope uptake.13

Radiological investigation is a fundamentally delicate tool focusing on the most recent symptomatic fractured level. It helps solve those unclear cases in which physical examination is not sufficient to determine which of several adjacent fractures is symptomatic or which fracture has no pain on palpation over the involved vertebra and/or there is no correlation between the affected site and the pain localization.

Techniques

PV and PK require a detailed knowledge of spine anatomy and an intensive training in fluoroscopic imaging interventional procedures. The procedure should be performed in an appropriately sterile area. Broad-spectrum antibiotics can be administered just before the treatment. An anesthesiologist or other physician able to undertake rate and pulse oximetry must be present continuously. The typology of anesthesia should be selected on an individual basis. A generous amount of local anesthetic, especially into the periosteum, is suggested to maintain communication with the patient. Emergency measures should be available in the operating theater. In selected cases, general anesthesia is used.

Good-quality imaging biplanar or C-arm fluoroscopy with a radiolucent table is mandatory for maximal procedural safety, to correctly identify the anatomical structures (eg, pedicle, posterior wall).

There are various types of cement (methyl methacrylate powder) currently in use. They basically differ in their polymerization times, and the practitioner performing the procedure should be very skilled in this specific aspect. Cement opacification with barium sulfate specifically designed for use in vertebroplasty is required.

Most operators aim to obtain sufficient cement placement into the vertebral body using a monopedicular approach, thus reducing the procedure time.

PMMA injection into the vertebral body is performed when the trochar (uni- or bipedicular approach) has been deepened into the ventral portion of the vertebral body.

The cement should harden to “toothpaste” consistency before injecting. The injection should be stopped once the cement spreads to the posterior third of the vertebral body.

The cement column should ideally spread among the superior and inferior endplates and between the two pedicles. Such cement filling should prevent the collapse of the treated vertebral body.

If PMMA diffuses into a blood vessel or toward the posterior cortical margin, injection must be immediately stopped. Use of high-viscosity cement and small-volume injection is recommended in order to minimize the risk of PMMA leakage.

As Belkoff et al14 reported, maximal filling of the compressed vertebral body is not necessary; 2 mL of cement are sufficient for restoring vertebral body strength. Inadequate cement in the unstable fractured area may be responsible for unrelieved pain.

PK (Figure 1) differs from PV (Figure 2) in that it involves the percutaneous placement of balloons (called “tamps”) into the vertebral body with an inflation/deflation sequence that creates a cavity before the cement injection. PK may restore the vertebral body height and reduce the kyphotic angulation of the compression fracture before PMMA injection.

Proposed Mechanisms of Pain Relief

The most accepted theory indicates augmentation with cement increases the fracture mechanical load threshold, stabilizing the vertebra.15 In tumor fractures, pain relief is related primarily to vertebral body stabilization and secondarily to the induction of tumor necrosis and the destruction of sensitive nerve endings.16 The last two effects seem to be directly connected to the local heat produced by the highly exothermic reaction of the PMMA polymerization. The antitumoral effect is supported by the local cytotoxic effect of PMMA on rapidly proliferating cells.17

The heat effect is related to the degree and duration of the heat-exposure period. However, this does not explain why the analgesic effect is not proportionally related to the volume of PMMA injected. Low-volume injection has been found to be as effective as high-volume injection in relieving pain. On these bases, although a unilateral approach may allow a satisfying filling of the vertebra in terms of stabilization, it might not be sufficient when an additional antitumoral effect is desired.

Interestingly, despite the unequivocal effect on pain, the literature remains unclear about the reliability of vertebroplasty in achieving bone stabilization and preventing future vertebral fracturing.2

Results

Pain relief and increased mobility are expected within 24 hours following PV.18 Significant pain relief is expected in >70% of patients with vertebral malignancies, in >90% of patients with osteoporotic fractures, and in about 80% of patients with hemangioma. Pain relief usually persists over months to years.19

The significant decrease in back pain resulting from PV and PK in patients with pathologic fractures dramatically improves their quality of life.20 In particular, the procedure-related benefits include reduction/withdrawal of analgesic drugs and improvement in physical mobility. (It is well known that the lower the intake of analgesics, the higher the perception of quality of life, thanks to the disappearance of drowsiness and nausea resulting in an improved appetite.) PK has not been shown to be better than PV in terms of pain relief or quality of life. Eck and colleagues21 found in a recent meta-analysis that although both methods provide significant improvement in visual analogue scale scores, there is a statistically greater improvement in pain relief with PV than with PK. In their literature review, Cloft and Jensen22 concluded that there was no proven advantage of PK over PV with regard to pain relief, vertebral height restoration, and complication rate. Moreover, Mathis23 found that the claims of superior height restoration by PK are insufficiently documented.

PK is estimated to be 2.5–7.0 times more expensive than PV due to additional equipment, general anesthesia, and hospital costs.22 Based on 2006 available data, Mathis23 found no substantial scientific, procedural, or economic advantages supporting PK's superiority over PV.

Complications

Complications are rare but can be dramatic. Minor complications such as PMMA extension into the disc require no therapy and have no clinical consequence. Major complications may consist of PMMA invasion of the spinal canal with related neurological deficit. The latter may require urgent laminectomy and evacuation of the extruded cement to prevent permanent sequelae.

According to the Society of Interventional Radiology (SIR), the major complication rate is <1% and reaches about 5% in tumor cases.24 Cement leakage is documented in 30%–72.5% of cases on radiographs and in 87.9%–93% of cases on CT.25 PMMA can flow outside the vertebral body posteriorly into the spinal canal and neural foramina. This is usually due to destruction of the vertebral body posterior cortex and of the medial/inferior cortex of the pedicle, but it rarely necessitates urgent surgical decompression. Leakage can occur into the paravertebral veins, mostly without clinical consequences.26 Asymptomatic extension into the inferior vena cava may also occur27 but involves possible systemic complications such as pulmonary embolism and paradoxical cerebral arterial PMMA emboli.18 Asymptomatic pulmonary embolization may occur in up to 4%–6.8% of patients.28

Local metastasis occurring in the needle track after PV has also been reported.29 An increase in local pain and fever may occur following the procedure but usually resolves within 72 hours.18

PK complications are mostly related to incorrect placement of hardware or cement extravasation and may result in neurologic insult.30 The incidence of cement leakage during PK is in the range 8.6%–33%. The reasons for a lower cement extravasation percentage with PK include (1) balloon tamping of a cavity that is surrounded by a shell of impacted cancellous bone, (2) the ability to determine the amount of cement to be injected thanks to the knowledge of the volume of fluid used to inflate the balloon, and (3) lower injection pressure during cement injection.

Infective complications are overall rare. However, meticulous attention to a sterile technique is warranted and should include preoperative intravenous antibiotic administration.

Adjacent-Level Fractures

An increased risk of adjacent-level fracture following PV has been noticed with long-term follow-up. The reported rate of new fractures varies from 7% to 20% within 1 year of follow-up and affects mainly the immediately adjacent levels.31 In a recent meta-analysis of the literature, the authors found that the risk of developing a new fracture after kyphoplasty is 14.1%, which is similar to the 17.9% estimated following vertebroplasty.

A local, unfavorable biomechanical situation seems to be included in those patients who suffer adjacent-level fracturing, while the nonadjacent fracture group is more likely to be related to an ongoing disease process such as osteoporosis. Thus, risk factors include osteoporosis, previous vertebral fracture, and organ transplant, which expose the patient to a high osteoporosis risk.

Both Grados et al19 and Lin et al32 postulated that intradiscal leakage of PMMA may correlate with mechanical consequences on adjacent vertebrae, particularly those with osteoporosis, with a consequent increase in fracture risk. Recent papers,19 however, reported an incidence of adjacent vertebral fracture (1 year or less) after PV equivalent to the one expected in untreated osteoporotic vertebral fractures.

Neither volume of cement injected nor extravasation of cement into the intravertebral disc seems to increase the likelihood of subsequent adjacent vertebral fracture. A retrospective study showed that a targeted exercise program (Rehabilitation of Osteoporosis Program–Exercise [ROPE] incorporating isometric back-extensor muscle strengthening and proprioceptive postural retraining) after PV significantly decreases fracture recurrence; refracture rates were also lower in the rehabilitation group compared to the vertebroplasty-only group.33

Newer biomaterials may help to prevent adjacent-level fracturing, thus diminishing the overall complication rates.34 The development of new fractures subsequent to PK has also been reported.35

Discussion

The treatment of painful vertebral metastases remains a major challenge in patients under palliative care. While radiotherapy has represented the gold standard for many years, there is now increasing evidence supporting the combination of surgery with radiation as more efficacious.36 Numerous retrospective studies validate the efficacy and safety of PV. However, no study has investigated the therapeutic effect and safety of this technique in metastatic fractures. The only phase I/II clinical study of PV as a palliative for painful malignant vertebral compression fractures37 confirms the procedure efficacy without reporting any severe complication.

The “painkiller” effect is clearly superior and more rapid when compared to radiotherapy. This becomes particularly useful in those patients with poor prognosis. Since this therapy is not designed to exert an antitumor effect but rather to provide pain relief by strengthening weakened vertebrae, pain recurrence is unavoidable if the metastatic foci expand.

An evidence-based assessment of PV has shown that the costs of this procedure are relatively low if compared with open surgical interventions for vertebral compression fractures and still inferior to the conservative treatment, which may consist of prolonged bed rest, analgesic drugs, orthotic devices, and eventual complications due to immobilization.

Maximal attention to indications and contraindications is pivotal in this procedure in which the percutaneous approach would otherwise represent a great disadvantage in case of major complications ([Table 1] and [Table 2]).

Table 1. General Indications for Percutaneous Augmentation

Painful osteoporotic vertebral compression fractures
Painful osteolytic vertebral fractures due to myeloma, metastatic lesions, aggressive type of hemangioma
Painful vertebral fracture with osteonecrosis (Kümmell disease)
Reinforcement of vertebral body prior to surgical procedure or combined procedures with internal fixation in severe osteoporosis or neoplastic disease

Table 2. General Contraindications for Percutaneous Augmentation

ABSOLUTERELATIVE
Symptoms not related to pathologySevere destruction of vertebral body or pedicles
InfectionRadicular pain
CoagulopathyVertebral fracture >70%
Myelopathy due to retropulsion of bone in the canalAssociated spinal stenosis
Allergy to PMMA or opacification agentAsymptomatic retropulsion of bone fragment
PregnancyAsymptomatic tumor extension into canal or epidural space
Cardiac and/or pulmonary insufficiency
Unstable fractures due to posterior involvement

Recent reviews and editorials have called for a more critical evaluation of these procedures.38 Controlled, multicentered trials are needed to prove its short- and long-term safety, efficacy, and cost–effectiveness in the treatment of metastatic vertebral fractures.

In addition, the procedures have reached widespread popularity, making it difficult to gain consent from patients to be included in the conservative treatment group of a randomized study.

Studies also need to be done to compare PV and PK in various disease states in a randomized fashion. Although PV does not restore vertebral body height, the procedure may be more appropriate than PK in high-risk patients or when the indication is solely for pain control.

The superiority of one technique over the other remains controversial. In spite of the necessity for more vigorous research, percutaneous augmentation with both procedures is promising in the treatment of painful vertebral fractures due to malignant infiltration.

With careful selection, adequate training, and meticulous attention to detail during the procedure, devastating complications can be dramatically reduced. More recently, the combination of PK with radiosurgery has proven to be effective in treating pathological fractures and in reducing the risk of fracture progression related to radiosurgery.39

There is growing interest in the use of less invasive techniques for the treatment of spinal metastases. One example is percutaneous radiofrequency ablation coupled with PMMA injection for debulking tumor and vertebral stabilization.40

Another novel technique involves the combination of percutaneous tumor debulking, PK, and intravertebral administration of a mixture of radiolabeled 153Sm-EDTPM and PMMA.41

Conclusions

PV and PK are minimally invasive techniques used to treat painful vertebral compression fractures. There is a growing body of evidence indicating that these procedures are efficacious in alleviating pain associated with vertebral compression fractures. However, they need to be performed by a very skilled operator to prevent those rare but eventually serious complications. Because of this, recent reviews and editorials have called for a more critical evaluation of these procedures.

References

1 S. Dudeney, I.H. Lieberman, M.K. Reinhardt and M. Hussein, Kyphoplasty in the treatment of osteolytic vertebral compression fractures as a result of multiple myeloma, J Clin Oncol 20 (2002), pp. 2382–2387. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (182)

2 D. Niv, M. Gofeld and M. Devor, Causes of pain in degenerative bone and joint disease: a lesson from vertebroplasty, Pain 105 (2003), pp. 387–392. Article |

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3 T. Bates, A review of local radiotherapy in the treatment of bone metastases and cord compression, Int J Radiat Oncol Biol Phys 23 (1992), pp. 217–221. Abstract |

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4 N.S. Schachar, An update on the nonoperative treatment of patients with metastatic bone disease, Clin Orthop Relat Res 382 (2001), pp. 75–81. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (33)

5 P. Galibert, H. Deramond and P. Rosat et al., A method for certain spinal angiomas: percutaneous vertebroplasty with acrylic cement, Neurochirurgie 33 (1987), pp. 166–168. View Record in Scopus | Cited By in Scopus (734)

6 M.K. Shindle, L. Shindle and M.J. Gardner et al., Supportive care aspects of vertebroplasty and kyphoplasty in patients with cancer, Support Cancer Ther 3 (2006), pp. 214–219. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

7 J.S. Jang and S.H. Lee, Efficacy of percutaneous vertebroplasty combined with radiotherapy in osteolytic metastatic spinal tumors, J Neurosurg Spine 2 (2005), pp. 243–248. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

8 W.C.G. Peh, M.S. Gelbert and L.A. Gilula, Percutaneous vertebroplasty: treatment of painful vertebral compression fractures with intraosseous vacuum phenomena, AJR Am J Roentgenol 180 (2003), pp. 1411–1417. View Record in Scopus | Cited By in Scopus (51)

9 W.C.G. Peh and L.A. Giulia, Percutaneous vertebroplasty: indications, contraindications, and technique, Br J Radiol 76 (2002), pp. 69–75.

10 A. Gangi, T. Sabharwal and F.G. Irani, Quality assurance guidelines for percutaneous vertebroplasty, Cardiovasc Intervent Radiol 29 (2006), pp. 173–178. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (37)

11 A.S. Maynard, M.E. Jensen and P.A. Schweickert, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic vertebral fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (0)

12 P. Martin, Bone scintigraphy in the diagnosis and management of traumatic injury, Semin Nucl Med 13 (1983), pp. 104–122.

13 A.S. Maynard, M.E. Jensen, P.A. Schweickert, W.F. Marx, J.G. Short and D.F. Kallmes, Value of bone scan imaging in predicting pain relief from percutaneous vertebroplasty in osteoporotic fractures, AJNR Am J Neuroradiol 21 (2000), pp. 1807–1812. View Record in Scopus | Cited By in Scopus (112)

14 S.M. Belkoff, J.M. Mathis and L.E. Jasper, The biomechanics of vertebroplasty: the effect of cement volume on mechanical behaviour, Spine 26 (2001), pp. 1537–1541. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (237)

15 R.J. Oakland, N.R. Furtado and J. Timothy, The biomechanics of vertebroplasty in multiple myeloma and metastatic bladder cancer: a preliminary cadaveric investigation, J Neurosurg Spine 9 (2008), pp. 493–501. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (5)

16 P. Galibert and H. Deramond, Percutaneous acrylic vertebroplasty as a treatment of vertebral angioma as well as painful and debilitating diseases, Chirurgie 116 (1990), pp. 326–334.

17 D.O. Schachtschabel and B.A. Blencke, Effect of pulverized implantation materials (plastic and glass ceramic) on growth and metabolism of mammalian cell cultures, Eur Surg Res 8 (1976), pp. 71–80. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

18 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (0)

19 F. Grados, C. Depriester, G. Cayrolle, N. Hardy, H. Deramond and P. Fardellone, Long-term observations of vertebral osteoporotic fractures treated by percutaneous vertebroplasty, Rheumatology 39 (2000), pp. 1410–1414. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (346)

20 G. Cheung, E. Chow and L. Holden et al., Percutaneous vertebroplasty in patients with intractable pain from osteoporotic or metastatic fractures: a prospective study using quality-of-life assessment, Can Assoc Radiol J 57 (2006), pp. 13–21. View Record in Scopus | Cited By in Scopus (34)

21 J.C. Eck, D. Nachtigall and S.C. Humphreys, Comparison of vertebroplasty and balloon kyphoplasty for treatment of vertebral compression fractures: a meta-analysis of the literature, Spine J 8 (2008), pp. 488–497. Article |

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22 H.J. Cloft and M.E. Jensen, Kyphoplasty: an assessment of a new technology, AJNR Am J Neuroradiol 28 (2007), pp. 200–203. View Record in Scopus | Cited By in Scopus (14)

23 J.M. Mathis, Percutaneous vertebroplasty or kyphoplasty: which one do I choose?, Skeletal Radiol 35 (2006), pp. 629–631. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

24 F. McKiernan, T. Faciewski and R. Jensen, Quality of life following vertebroplasty, J Bone Joint Surg 86 (2004), pp. 2600–2606. View Record in Scopus | Cited By in Scopus (76)

25 P. Mousavi, S. Roth and J. Finkelstein, Volumetric quantification of cement leakage following percutaneous vertebroplasty in metastatic and osteoporotic vertebrae, J Neurosurg Spine 99 (2003), pp. 56–59. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (63)

26 A. Cotten, N. Boutry and B. Cortet, Percutaneous vertebroplasty: state of the art, Radiographics 18 (1998), pp. 311–320. View Record in Scopus | Cited By in Scopus (317)

27 C. Vascocelos, P. Gailloud and J.B. Martin, Transient arterial hypotension induced by polymethylmethacrylate injection during percutaneous vertebroplasty, J Vasc Interv Radiol 12 (2001), pp. 1001–1002.

28 J. Bernhard, P.F. Heini and P.M. Villiger, Asymptomatic diffuse pulmonary embolism caused by acrylic cement: an unusual complication of percutaneous vertebroplasty, Ann Rheum Dis 62 (2003), pp. 8–86. View Record in Scopus | Cited By in Scopus (1)

29 Y.J. Chen, G.C. Chang and W.H. Chen, Local metastases along the tract of needle: a rare complication of vertebroplasty in treating spinal metastases, Spine 32 (2007), pp. E615–E618. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (6)

30 S.R. Garfin and M.A. Reilley, Minimally invasive treatment of osteoporotic vertebral body compression fractures, Spine J 2 (2002), pp. 76–80. Article |

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31 A.T. Trout, D.F. Kallmes and T.J. Kaufmann, New fractures after vertebroplasty: adjacent fractures occur significantly sooner, AJNR Am J Neuroradiol 27 (2006), pp. 217–223. View Record in Scopus | Cited By in Scopus (110)

32 E.P. Lin, S. Ekholm and A. Hiwatashi, Vertebroplasty: cement leakage into the disc increases the risk of fracture of adjacent vertebral body, AJNR Am J Neuroradiol 25 (2004), pp. 175–180. View Record in Scopus | Cited By in Scopus (147)

33 E.A. Huntoon, C.K. Schmidt and M. Sinaki, Significantly fewer refractures after vertebroplasty in patients who engage in back-extensor-strengthening exercises, Mayo Clin Proc 83 (2008), pp. 54–57. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (18)

34 J.H. Chi and Z.L. Gokaslan, Vertebroplasty and kyphoplasty for spinal metastases, Curr Opin Support Palliat Care 2 (2008), pp. 9–13. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (12)

35 I.N. Gaitanis, A.G. Hadjipavlou and P.G. Katonis, Balloon kyphoplasty for the treatment of pathological vertebral compression fractures, Eur Spine J 14 (2005), pp. 250–260. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (86)

36 F. Tancioni, P. Navarria and M.A. Lorenzetti et al., Multimodal approach to the management of metastatic epidural spinal cord compression (MESCC) due to solid tumors, Int J Radiat Oncol Biol Phys 78 (2010), pp. 1467–1473. Article |

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37 T. Kobayashi, Y. Arai, Y. Takeuchi, Y. Nakajima, Y. Shioyama, M. Sone, N. Tanigawa, O. Matsui, M. Kadoya and Y. Inaba, Phase I/II clinical study of percutaneous vertebroplasty (PVP) as palliation for painful malignant vertebral compression fractures (PMVCF): JIVROSG-0202, Ann Oncol 20 (2009), pp. 1943–1947. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

38 N.B. Watts, S.T. Harris and H.K. Genant, Treatment of painful osteoporotic vertebral compression fractures with percutaneous vertebroplasty or kyphoplasty, Osteoporos Int 12 (2001), pp. 429–437. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (170)

39 P.C. Gerszten, A. Germanwala, S.A. Burton, W.C. Welch, C. Ozhasoglu and W.J. Vogel, Combination kyphoplasty and spinal radiosurgery: a new treatment paradigm for pathological fractures, J Neurosurg Spine 3 (2005), pp. 296–301. Full Text via CrossRef

40 B.A. Georgy and W. Wong, Plasma-mediated radiofrequency ablation assisted percutaneous cement injection for treating advanced malignant vertebral compression fractures, AJNR Am J Neuroradiol 28 (2007), pp. 700–705. View Record in Scopus | Cited By in Scopus (25)

41 E.R. Cardoso, H. Ashamalla and L. Weng et al., Percutaneous tumor curettage and interstitial delivery of samarium-153 coupled with kyphoplasty for treatment of vertebral metastases, J Neurosurg Spine 10 (2009), pp. 336–342. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (10)


Correspondence to: Martin Lorenzetti, MD, Neurosurgeon, Istituto Clinico Humanitas (ICH), via Manzoni 56, Rozzano, Milan 20089, Italy; telephone: 0039.2.82244685; fax: 0039.2.82244892

Vitae

Dr. Tancioni, Dr. Lorenzetti, Dr. Pessina, Dr. Draghi, and Dr. Rodriguez y Baena are from the Department of Neurosurgery at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Pedrazzoli and Dr. Santoro are from the Department of Oncology and Hematology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Navarria and Dr. Scorsetti are from the Department of Radiation Oncology at the Istituto Clinico Humanitas, Milan, Italy.

Dr. Alloisio is from the Department of Thoracic Surgery at the Istituto Clinico Humanitas, Milan, Italy.


The Journal of Supportive Oncology
Volume 9, Issue 1, January-February 2011, Pages 4-10
 

 

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Over the course of 3 months, 28% of patients admitted to a major cancer hospital had clinical signs of acute kidney injury, results from a single-center analysis showed. 

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Letter - Acneiform Rash as a Reaction to Radiotherapy in a Breast Cancer Patient

Yevgeniy Balagulaa, Jennifer R. Hensleyb, Pedram Geramic and Mario E. Lacouturea

 

a Dermatology Service, Department of Medicine, Memorial Sloan-Kettering Cancer Center, New York, New York

b Skin and Eye Reactions to Inhibitors of Epidermal Growth Factor Receptor and Kinase (SERIES) Clinic and Cancer Skin Care Program, Department of Dermatology and Robert H. Lurie Comprehensive Cancer Center, Northwestern University Feinberg School of Medicine, Chicago, Illinois

c Department of Dermatology, Northwestern University Feinberg School of Medicine, Chicago, Illinois

 


Available online 25 January 2011.

 

 

Article Outline

 

Case Report

 

Discussion

 

Conclusion

 

Acknowledgements

 

References

 

Radiation therapy has become a critical component of anticancer treatments and is utilized in a variety of solid malignancies. Its use is associated with both acute and chronic adverse events, which often affect the majority of patients. Acute dermatitis, characterized by erythema and dry desquamation that can progress to edema, moist desquamation, ulceration, and hemorrhage, does not present a diagnostic challenge due to its high frequency and wide recognition. In contrast, acneiform rash in a cancer patient has multiple causes and may be related to comedogenic drugs, such as corticosteroids, anticonvulsants, sex hormones, isoniazid, and novel epidermal growth factor receptor inhibitors.

Acute dermatologic toxicities such as radiation dermatitis and oropharyngeal mucositis may affect up to 90% of treated breast and head-and-neck cancer patients.[1] and [2] These adverse events can be accompanied by a significant amount of pain, negatively impact patients' quality of life, and result in interruption of therapy.3 The cutaneous changes of acute radiation dermatitis, characterized by erythema and dry desquamation that can potentially progress to edema and moist desquamation, ulceration, and necrosis, are typically seen within 90 days of radiotherapy exposure.4 In addition to acute toxicity, late sequelae of radiation injury include telangiectasias, fat necrosis, skin fibrosis, pigmentary changes, and atrophy. These changes may manifest months to years after radiotherapy, even in the absence of the initial significant acute reaction.4 Radiation-induced acneiform rash, also referred to as a “comedo reaction,” is a rare dermatologic reaction that has been documented in a variety of cancers and with different types of radiotherapy. Although this particular toxicity is observed much less commonly, familiarity with this entity is important in order to ensure timely recognition and institution of the appropriate treatment. In this case report we describe a breast cancer patient who developed acneiform rash to radiation and review its clinical characteristics, risk factors, potential underlying mechanisms, and management strategies.

 

Case Report

A 56-year-old female was referred to dermatology for evaluation of a pruritic rash on her left chest and back of 4 months' duration. Her past medical history was significant for a right breast carcinoma treated with mastectomy and radiation 22 years ago. Subsequently, she developed a second primary carcinoma of the left breast, for which treatment with chemotherapy and radiation was completed 4 months prior to her presentation. Initially, she reported developing eruptive tender papules and pustules affecting her left chest and back after radiotherapy. Physical examination revealed a right mastectomy scar with abundant telangiectasias. Numerous dilated comedones, pustules, and deep nodules were seen limited to the left chest, the area of recent radiation. In addition, dilated comedones were seen on the left back (Figure 1). Histopathologic examination of the affected skin revealed a dilated and ruptured follicular infundibulum with markedly atrophic epithelial lining. There was a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites. Mild spongiosis was noted in the overlying epidermis, which otherwise was unremarkable (Figure 2). At the time of her visit, the patient was not taking comedogenic drugs, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. The diagnosis of acneiform rash as a reaction to radiation therapy was made, and the patient was treated with daily application of topical tretinoin 0.025% cream, benzoyl peroxide 5% gel, and oral doxycycline 100 mg twice a day. This resulted in partial response within 8 weeks of therapy that had been sustained through the last recorded visit at 12 weeks.

 



 

Figure 1. 

Dilated Comedones, Pustules, and Deep Nodules on Left Chest and Dilated Comedones on Left Back

 

 

 

 

Figure 2. 

Dilated and Ruptured Follicular Infundibulum with Markedly Atrophic Epithelial Lining

There is a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites

 

 

 


 

Discussion

The development of localized comedos or an acneiform rash is a relatively rare reaction to radiation therapy. This observation was first reported in 1947 as a concentric ring of comedones forming at the margin of a superficial radiation field after 3 months of treatment.5 Subsequently, reports have been published in the literature, occurring in the setting of different types of radiotherapy. Comedonal or acneiform eruptions have been described as sequelae of superficial radiation for treatment of cutaneous nonmelanoma skin cancers (NMSCs);[5] and [6] cobalt radiation utilized in breast,7 brain,8 NMSC,9 lymphoma,10 and lung[10] and [11] cancer patients; and following megavoltage radiotherapy.12 A spectrum of lesion morphologies can be seen, with some patients presenting with only open8 or closed[9] and [13] comedones, occasional scattered inflammatory papules,14 or a florid eruption with erythematous papules, pustules, and comedones,[7] and [15] as was seen in our patient. Acneiform rash has been reported to occur following the resolution of acute radiation dermatitis,[7], [16] and [17] in those without a preceding acute skin reaction,[9] and [11] or superimposed on changes of chronic radiation dermatitis, characterized by pigmentary abnormalities and fibrosis.[8] and [11] Interestingly, in addition to skin directly affected by the incident radiation, the eruption can involve skin regions where a fraction of penetrating radiation exits directly opposite of the irradiated site, such as the back of a breast cancer patient.11

Martin and Bardsley17 reviewed 27 cases of radiation-induced acne in an attempt to better characterize the rash and its clinical presentation. This analysis demonstrated a variable latent period, ranging from 2 weeks to 6 months following radiation treatment. While involved body sites included any irradiated skin area, from the scalp to the pelvis, the majority of cases manifested on the scalp, face, or neck (16 out of 27). Notably, the upper trunk was another common site of involvement (10 cases). There was also a suggestion that the reaction was more common in patients who had recently been treated with agents known to induce acne, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. In contrast, previous personal history of acne did not appear as a significant predisposing factor.17

The pathophysiology of radiation-induced acne is currently unknown. However, the underlying mechanisms responsible for the development of acne vulgaris can offer insights into our understanding of radiation-induced changes. The pilosebaceous unit is the site of acne formation in normal skin. Formation of a microcomedone, a critical initial step in the development of acne, and its progression to noninflammatory lesions such as open comedone (black head), closed comedone (white head), and inflammation, characterized by erythematous papules, pustules, and nodules, is a complex multifactorial process. The principal event currently thought to drive comedogenesis is hyperproliferation of keratinocytes in the pilosebaceous ducts, leading to accumulation of corneocytes (anucleate cells filled with keratin) and sebum with subsequent occlusion of the follicular infundibulum.18 The triggers that initiate this process, however, are not completely understood. Several pathogenic factors have been implicated as potential etiologies. Testosterone and its more active form 5α-dihydrotestosterone stimulate excessive sebum production and may contribute to ductal hyperproliferation.[19] and [20] Aberrations in sebaceous lipids such as an increase in fatty acids, which possess proinflammatory and comedogenic properties, and low levels of linoleic acid may be important factors in inducing ductal hyperproliferation and comedogenesis.21 Interleukin (IL)-1α has been shown to induce comedogenesis in in vitro models[22] and [23] and is found at high concentration in open comedones, potentially playing a role in the progression of comedones to inflammatory lesions.24 Secondary colonization and overgrowth of Propionibacterium acnes can result in increased production of IL-8 and tumor necrosis factor (TNF)-α,25 lead to recruitment of neutrophils and lymphocytes,26 and induce a hypersensitivity reaction,27 events that may contribute to the development of inflammatory lesions.

It is unclear how radiation can rarely induce comedogenesis. However, it is possible that a florid inflammatory response induced by an acute radiation injury and characterized by increased expression of leukocyte adhesion molecules and inflammatory cytokines such as IL-1, IL-6, and TNF-α28 may play a role. Alternatively, radiation-induced changes in the lipid composition of sebum may lead to keratinocyte hyperproliferation in the sebaceous ducts.17 Other authors have implicated chronic follicular inflammation and increased follicular hyperkeratosis as potential culprits.11 Chronic sequelae of radiation injury in skin develop months to years following the period of acute exposure and are characterized by the absence of hair follicles and sebaceous glands and the presence of fibrosis, thought to be mediated by transforming growth factor (TGF)-β.29 Accordingly, it had been postulated that remnants of pilosebaceous units in the skin may serve as foreign bodies that are able to induce an inflammatory reaction that clinically manifests with acne lesions.30

Timely and accurate recognition of this rare adverse event may facilitate implementation of appropriate treatment strategies. Although no evidence-based data support the use of typical anti-acne treatments in this patient population due to its low incidence, similar strategies have been employed to manage radiation-associated acneiform rash. Typical agents for acne vulgaris such as topical retinoic acid, benzoyl peroxide, antiseptic cleansing solutions, and oral antibiotics have been used, usually with good response and subsequent resolution.[7], [8], [9], [13], [14], [15] and [30] In addition, manual extraction of comedones with a comedo extractor has been successfully utilized.17 The use of lower concentrations of benzoyl peroxide (2.5% and 5%) is preferred to 10% formulations, considering their similar clinical efficacy in acne vulgaris but diminished frequency and severity of peeling, erythema, and burning.31 Combining benzoyl peroxide with topical antimicrobial agents such as clindamycin or with topical retinoids improves the clinical response. Of note, generic tretinoin undergoes oxidative degradation and should be applied separately from benzoyl peroxide.32 Topical retinoids possess a microcomedolytic activity and are also effective against noninflammatory and inflammatory lesions. Their combination with either topical or systemic antibiotics enhances therapeutic efficacy and can be used to manage more severe manifestations.33 Retinoids can induce skin erythema and burning, which can be mitigated by consistent use of a moisturizing cream.33 The benefit of systemic semisynthetic tetracycline antibiotics is derived from their antimicrobial and anti-inflammatory properties. Even though doxycycline is phototoxic, its use is preferred to minocycline, which is not more effective and may be associated with higher rates of toxicity, including more severe adverse events such as drug-induced systemic lupus erythematosus and autoimmune hepatitis.34 The clinical response in patients with radiation-induced acne is not immediate and, similar to acne vulgaris, may require several months of treatment. Compliance with therapy is important, and patients may be counseled that prolonged therapy may be required but subsequent resolution can be typically achieved.

 

Conclusion

In conclusion, acneiform rash is a relatively rare adverse event of radiotherapy that tends to affect areas with a high density of sebaceous glands, such as the face, scalp, and upper trunk, and can be usually successfully managed with typical anti-acne agents.

 

 

 

 

Acknowledgments

M. E. L. is supported by a Career Development Award from the Dermatology Foundation and a Zell Scholarship of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University in Chicago, IL.

 

 

References1

1 J.L. Harper, L.E. Franklin, J.M. Jenrette and E.G. Aguero, Skin toxicity during breast irradiation: pathophysiology and management, South Med J 97 (10) (2004), pp. 989–993. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (35)

2 A. Trotti, L.A. Bellm, J.B. Epstein, D. Frame, H.J. Fuchs and C.K. Gwede et al., Mucositis incidence, severity and associated outcomes in patients with head and neck cancer receiving radiotherapy with or without chemotherapy: a systematic literature review, Radiother Oncol 66 (3) (2003), pp. 253–262. Article |

PDF (255 K)
| View Record in Scopus | Cited By in Scopus (183)

3 E.A. Elliott, J.R. Wright, R.S. Swann, F. Nguyen-Tan, C. Takita and M.K. Bucci et al., Phase III trial of an emulsion containing trolamine for the prevention of radiation dermatitis in patients with advanced squamous cell carcinoma of the head and neck: results of Radiation Therapy Oncology Group Trial 99-13, J Clin Oncol 24 (13) (2006), pp. 2092–2097. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

4 S.R. Hymes, E.A. Strom and C. Fife, Radiation dermatitis: clinical presentation, pathophysiology, and treatment 2006, J Am Acad Dermatol 54 (1) (2006), pp. 28–46. Article |

PDF (661 K)
| View Record in Scopus | Cited By in Scopus (56)

5 S.M. Bluefarb, Comedos following roentgen ray therapy, Arch Dermatol Syph 56 (1947), pp. 537–539.

6 F. Ronchese, Cicatricial comedos and milia, Arch Dermatol Syph 61 (1950), pp. 498–500. View Record in Scopus | Cited By in Scopus (8)

7 B. Adriaans and A. du Vivier, Acne in an irradiated area, Arch Dermatol 125 (7) (1989), p. 1005. View Record in Scopus | Cited By in Scopus (3)

8 J.F. Walter, Cobalt radiation–induced comedones, Arch Dermatol 116 (9) (1980), pp. 1073–1074. View Record in Scopus | Cited By in Scopus (5)

9 F.S. Larsen, G. Heydenreich and J.V. Christiansen, Comedo formation following cobalt irradiation, Dermatologica 158 (4) (1979), pp. 287–292.

10 E.P. Engels, U. Leavell and Y. Maruyama, Radiogenic acne and comedones, Radiol Clin Biol 43 (1) (1974), pp. 48–55. View Record in Scopus | Cited By in Scopus (6)

11 K.M. Stein, J.J. Leyden and H. Goldschmidt, Localized acneiform eruption following cobalt irradiation, Br J Dermatol 87 (3) (1972), pp. 274–279. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

12 N.C. Hepburn, R.P. Crellin, G.W. Beveridge, A. Rodger and M.J. Tidman, Localized acne as a complication of megavoltage radiotherapy, J Dermatol Treat 3 (1992), pp. 137–138. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

13 P.L. Myskowski and B. Safai, Localized comedo formation after cobalt irradiation, Int J Dermatol 20 (8) (1981), pp. 550–551. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

14 A.J. Aversa and R. Nagy, Localized comedones following radiation therapy, Cutis 31 (3) (1983), pp. 296–303.

15 J. Song, S.J. Ha, C.W. Kim and H.O. Kim, A case of localized acne following radiation therapy, Acta Derm Venereol 82 (1) (2002), pp. 69–70. Full Text via CrossRef

16 S. Swift, Localized acne following deep X-ray therapy, AMA Arch Dermatol 74 (1) (1956), pp. 97–98.

17 W.M. Martin and A.F. Bardsley, The comedo skin reaction to radiotherapy, Br J Radiol 75 (893) (2002), pp. 478–481. View Record in Scopus | Cited By in Scopus (7)

18 W.J. Cunliffe, D.B. Holland, S.M. Clark and G.I. Stables, Comedogenesis: some new aetiological, clinical and therapeutic strategies, Br J Dermatol 142 (6) (2000), pp. 1084–1091. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (76)

19 D. Thiboutot, H. Knaggs, K. Gilliland and G. Lin, Activity of 5-alpha-reductase and 17-beta-hydroxysteroid dehydrogenase in the infrainfundibulum of subjects with and without acne vulgaris, Dermatology 196 (1) (1998), pp. 38–42. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (38)

20 C.C. Zouboulis, L. Xia and H. Akamatsu et al., The human sebocyte culture model provides new insights into development and management of seborrhoea and acne, Dermatology 196 (1) (1998), pp. 21–31. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (96)

21 H. Gollnick, Current concepts of the pathogenesis of acne: implications for drug treatment, Drugs 63 (15) (2003), pp. 1579–1596. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (83)

22 R. Guy, M.R. Green and T. Kealey, Modeling acne in vitro, J Invest Dermatol 106 (1) (1996), pp. 176–182. View Record in Scopus | Cited By in Scopus (82)

23 R. Guy and T. Kealey, The effects of inflammatory cytokines on the isolated human sebaceous infundibulum, J Invest Dermatol 110 (4) (1998), pp. 410–415. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (27)

24 E. Ingham, E.A. Eady, C.E. Goodwin, J.H. Cove and W.J. Cunliffe, Pro-inflammatory levels of interleukin-1 alpha-like bioactivity are present in the majority of open comedones in acne vulgaris, J Invest Dermatol 98 (6) (1992), pp. 895–901. View Record in Scopus | Cited By in Scopus (63)

25 G.F. Webster and J.J. Leyden, Characterization of serum-independent polymorphonuclear leukocyte chemotactic factors produced by Propionibacterium acnes, Inflammation 4 (3) (1980), pp. 261–269. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (34)

26 D.G. Scott, W.J. Cunliffe and G. Gowland, Activation of complement—a mechanism for the inflammation in acne, Br J Dermatol 101 (3) (1979), pp. 315–320. View Record in Scopus | Cited By in Scopus (11)

27 H.R. Ashbee, S.R. Muir, W.J. Cunliffe and E. Ingham, IgG subclasses specific to Staphylococcus epidermidis and Propionibacterium acnes in patients with acne vulgaris, Br J Dermatol 136 (5) (1997), pp. 730–733. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (31)

28 J.W. Denham and M. Hauer-Jensen, The radiotherapeutic injury—a complex ”wound.”, Radiother Oncol 63 (2) (2002), pp. 129–145. Article |

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| View Record in Scopus | Cited By in Scopus (149)

29 M.E. Lacouture, C. Hwang, M.H. Marymont and J. Patel, Temporal dependence of the effect of radiation on erlotinib-induced skin rash, J Clin Oncol 25 (15) (2007), p. 2140 author reply 2141. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (15)

30 T.N. Trunnell, R.L. Baer and P. Michaelides, Acneform changes in areas of cobalt irradiation, Arch Dermatol 106 (1) (1972), pp. 73–75. View Record in Scopus | Cited By in Scopus (8)

31 O.H. Mills Jr, A.M. Kligman, P. Pochi and H. Comite, Comparing 2.5%, 5%, and 10% benzoyl peroxide on inflammatory acne vulgaris, Int J Dermatol 25 (10) (1986), pp. 664–667. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

32 M. Sagransky, B.A. Yentzer and S.R. Feldman, Benzoyl peroxide: a review of its current use in the treatment of acne vulgaris, Expert Opin Pharmacother 10 (15) (2009), pp. 2555–2562. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

33 A. Thielitz, M.B. Abdel-Naser, J.W. Fluhr, C.C. Zouboulis and H. Gollnick, Topical retinoids in acne—an evidence-based overview, J Dtsch Dermatol Ges 6 (12) (2008), pp. 1023–1031. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

34 F. Ochsendorf, Minocycline in acne vulgaris: benefits and risks, Am J Clin Dermatol 11 (5) (2010), pp. 327–341. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (2)

 

 

 

Conflicts of interest: Y. B., J. R. H., and P. G. have none to declare. M. E. L. has a consultant or advisory role with Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; has received honoraria from Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; and is receiving research funding from Hana Biosciences and Onyx Pharmaceuticals.

 


1 PubMed ID in brackets

 

 


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 268-271
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Yevgeniy Balagulaa, Jennifer R. Hensleyb, Pedram Geramic and Mario E. Lacouturea

 

a Dermatology Service, Department of Medicine, Memorial Sloan-Kettering Cancer Center, New York, New York

b Skin and Eye Reactions to Inhibitors of Epidermal Growth Factor Receptor and Kinase (SERIES) Clinic and Cancer Skin Care Program, Department of Dermatology and Robert H. Lurie Comprehensive Cancer Center, Northwestern University Feinberg School of Medicine, Chicago, Illinois

c Department of Dermatology, Northwestern University Feinberg School of Medicine, Chicago, Illinois

 


Available online 25 January 2011.

 

 

Article Outline

 

Case Report

 

Discussion

 

Conclusion

 

Acknowledgements

 

References

 

Radiation therapy has become a critical component of anticancer treatments and is utilized in a variety of solid malignancies. Its use is associated with both acute and chronic adverse events, which often affect the majority of patients. Acute dermatitis, characterized by erythema and dry desquamation that can progress to edema, moist desquamation, ulceration, and hemorrhage, does not present a diagnostic challenge due to its high frequency and wide recognition. In contrast, acneiform rash in a cancer patient has multiple causes and may be related to comedogenic drugs, such as corticosteroids, anticonvulsants, sex hormones, isoniazid, and novel epidermal growth factor receptor inhibitors.

Acute dermatologic toxicities such as radiation dermatitis and oropharyngeal mucositis may affect up to 90% of treated breast and head-and-neck cancer patients.[1] and [2] These adverse events can be accompanied by a significant amount of pain, negatively impact patients' quality of life, and result in interruption of therapy.3 The cutaneous changes of acute radiation dermatitis, characterized by erythema and dry desquamation that can potentially progress to edema and moist desquamation, ulceration, and necrosis, are typically seen within 90 days of radiotherapy exposure.4 In addition to acute toxicity, late sequelae of radiation injury include telangiectasias, fat necrosis, skin fibrosis, pigmentary changes, and atrophy. These changes may manifest months to years after radiotherapy, even in the absence of the initial significant acute reaction.4 Radiation-induced acneiform rash, also referred to as a “comedo reaction,” is a rare dermatologic reaction that has been documented in a variety of cancers and with different types of radiotherapy. Although this particular toxicity is observed much less commonly, familiarity with this entity is important in order to ensure timely recognition and institution of the appropriate treatment. In this case report we describe a breast cancer patient who developed acneiform rash to radiation and review its clinical characteristics, risk factors, potential underlying mechanisms, and management strategies.

 

Case Report

A 56-year-old female was referred to dermatology for evaluation of a pruritic rash on her left chest and back of 4 months' duration. Her past medical history was significant for a right breast carcinoma treated with mastectomy and radiation 22 years ago. Subsequently, she developed a second primary carcinoma of the left breast, for which treatment with chemotherapy and radiation was completed 4 months prior to her presentation. Initially, she reported developing eruptive tender papules and pustules affecting her left chest and back after radiotherapy. Physical examination revealed a right mastectomy scar with abundant telangiectasias. Numerous dilated comedones, pustules, and deep nodules were seen limited to the left chest, the area of recent radiation. In addition, dilated comedones were seen on the left back (Figure 1). Histopathologic examination of the affected skin revealed a dilated and ruptured follicular infundibulum with markedly atrophic epithelial lining. There was a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites. Mild spongiosis was noted in the overlying epidermis, which otherwise was unremarkable (Figure 2). At the time of her visit, the patient was not taking comedogenic drugs, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. The diagnosis of acneiform rash as a reaction to radiation therapy was made, and the patient was treated with daily application of topical tretinoin 0.025% cream, benzoyl peroxide 5% gel, and oral doxycycline 100 mg twice a day. This resulted in partial response within 8 weeks of therapy that had been sustained through the last recorded visit at 12 weeks.

 



 

Figure 1. 

Dilated Comedones, Pustules, and Deep Nodules on Left Chest and Dilated Comedones on Left Back

 

 

 

 

Figure 2. 

Dilated and Ruptured Follicular Infundibulum with Markedly Atrophic Epithelial Lining

There is a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites

 

 

 


 

Discussion

The development of localized comedos or an acneiform rash is a relatively rare reaction to radiation therapy. This observation was first reported in 1947 as a concentric ring of comedones forming at the margin of a superficial radiation field after 3 months of treatment.5 Subsequently, reports have been published in the literature, occurring in the setting of different types of radiotherapy. Comedonal or acneiform eruptions have been described as sequelae of superficial radiation for treatment of cutaneous nonmelanoma skin cancers (NMSCs);[5] and [6] cobalt radiation utilized in breast,7 brain,8 NMSC,9 lymphoma,10 and lung[10] and [11] cancer patients; and following megavoltage radiotherapy.12 A spectrum of lesion morphologies can be seen, with some patients presenting with only open8 or closed[9] and [13] comedones, occasional scattered inflammatory papules,14 or a florid eruption with erythematous papules, pustules, and comedones,[7] and [15] as was seen in our patient. Acneiform rash has been reported to occur following the resolution of acute radiation dermatitis,[7], [16] and [17] in those without a preceding acute skin reaction,[9] and [11] or superimposed on changes of chronic radiation dermatitis, characterized by pigmentary abnormalities and fibrosis.[8] and [11] Interestingly, in addition to skin directly affected by the incident radiation, the eruption can involve skin regions where a fraction of penetrating radiation exits directly opposite of the irradiated site, such as the back of a breast cancer patient.11

Martin and Bardsley17 reviewed 27 cases of radiation-induced acne in an attempt to better characterize the rash and its clinical presentation. This analysis demonstrated a variable latent period, ranging from 2 weeks to 6 months following radiation treatment. While involved body sites included any irradiated skin area, from the scalp to the pelvis, the majority of cases manifested on the scalp, face, or neck (16 out of 27). Notably, the upper trunk was another common site of involvement (10 cases). There was also a suggestion that the reaction was more common in patients who had recently been treated with agents known to induce acne, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. In contrast, previous personal history of acne did not appear as a significant predisposing factor.17

The pathophysiology of radiation-induced acne is currently unknown. However, the underlying mechanisms responsible for the development of acne vulgaris can offer insights into our understanding of radiation-induced changes. The pilosebaceous unit is the site of acne formation in normal skin. Formation of a microcomedone, a critical initial step in the development of acne, and its progression to noninflammatory lesions such as open comedone (black head), closed comedone (white head), and inflammation, characterized by erythematous papules, pustules, and nodules, is a complex multifactorial process. The principal event currently thought to drive comedogenesis is hyperproliferation of keratinocytes in the pilosebaceous ducts, leading to accumulation of corneocytes (anucleate cells filled with keratin) and sebum with subsequent occlusion of the follicular infundibulum.18 The triggers that initiate this process, however, are not completely understood. Several pathogenic factors have been implicated as potential etiologies. Testosterone and its more active form 5α-dihydrotestosterone stimulate excessive sebum production and may contribute to ductal hyperproliferation.[19] and [20] Aberrations in sebaceous lipids such as an increase in fatty acids, which possess proinflammatory and comedogenic properties, and low levels of linoleic acid may be important factors in inducing ductal hyperproliferation and comedogenesis.21 Interleukin (IL)-1α has been shown to induce comedogenesis in in vitro models[22] and [23] and is found at high concentration in open comedones, potentially playing a role in the progression of comedones to inflammatory lesions.24 Secondary colonization and overgrowth of Propionibacterium acnes can result in increased production of IL-8 and tumor necrosis factor (TNF)-α,25 lead to recruitment of neutrophils and lymphocytes,26 and induce a hypersensitivity reaction,27 events that may contribute to the development of inflammatory lesions.

It is unclear how radiation can rarely induce comedogenesis. However, it is possible that a florid inflammatory response induced by an acute radiation injury and characterized by increased expression of leukocyte adhesion molecules and inflammatory cytokines such as IL-1, IL-6, and TNF-α28 may play a role. Alternatively, radiation-induced changes in the lipid composition of sebum may lead to keratinocyte hyperproliferation in the sebaceous ducts.17 Other authors have implicated chronic follicular inflammation and increased follicular hyperkeratosis as potential culprits.11 Chronic sequelae of radiation injury in skin develop months to years following the period of acute exposure and are characterized by the absence of hair follicles and sebaceous glands and the presence of fibrosis, thought to be mediated by transforming growth factor (TGF)-β.29 Accordingly, it had been postulated that remnants of pilosebaceous units in the skin may serve as foreign bodies that are able to induce an inflammatory reaction that clinically manifests with acne lesions.30

Timely and accurate recognition of this rare adverse event may facilitate implementation of appropriate treatment strategies. Although no evidence-based data support the use of typical anti-acne treatments in this patient population due to its low incidence, similar strategies have been employed to manage radiation-associated acneiform rash. Typical agents for acne vulgaris such as topical retinoic acid, benzoyl peroxide, antiseptic cleansing solutions, and oral antibiotics have been used, usually with good response and subsequent resolution.[7], [8], [9], [13], [14], [15] and [30] In addition, manual extraction of comedones with a comedo extractor has been successfully utilized.17 The use of lower concentrations of benzoyl peroxide (2.5% and 5%) is preferred to 10% formulations, considering their similar clinical efficacy in acne vulgaris but diminished frequency and severity of peeling, erythema, and burning.31 Combining benzoyl peroxide with topical antimicrobial agents such as clindamycin or with topical retinoids improves the clinical response. Of note, generic tretinoin undergoes oxidative degradation and should be applied separately from benzoyl peroxide.32 Topical retinoids possess a microcomedolytic activity and are also effective against noninflammatory and inflammatory lesions. Their combination with either topical or systemic antibiotics enhances therapeutic efficacy and can be used to manage more severe manifestations.33 Retinoids can induce skin erythema and burning, which can be mitigated by consistent use of a moisturizing cream.33 The benefit of systemic semisynthetic tetracycline antibiotics is derived from their antimicrobial and anti-inflammatory properties. Even though doxycycline is phototoxic, its use is preferred to minocycline, which is not more effective and may be associated with higher rates of toxicity, including more severe adverse events such as drug-induced systemic lupus erythematosus and autoimmune hepatitis.34 The clinical response in patients with radiation-induced acne is not immediate and, similar to acne vulgaris, may require several months of treatment. Compliance with therapy is important, and patients may be counseled that prolonged therapy may be required but subsequent resolution can be typically achieved.

 

Conclusion

In conclusion, acneiform rash is a relatively rare adverse event of radiotherapy that tends to affect areas with a high density of sebaceous glands, such as the face, scalp, and upper trunk, and can be usually successfully managed with typical anti-acne agents.

 

 

 

 

Acknowledgments

M. E. L. is supported by a Career Development Award from the Dermatology Foundation and a Zell Scholarship of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University in Chicago, IL.

 

 

References1

1 J.L. Harper, L.E. Franklin, J.M. Jenrette and E.G. Aguero, Skin toxicity during breast irradiation: pathophysiology and management, South Med J 97 (10) (2004), pp. 989–993. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (35)

2 A. Trotti, L.A. Bellm, J.B. Epstein, D. Frame, H.J. Fuchs and C.K. Gwede et al., Mucositis incidence, severity and associated outcomes in patients with head and neck cancer receiving radiotherapy with or without chemotherapy: a systematic literature review, Radiother Oncol 66 (3) (2003), pp. 253–262. Article |

PDF (255 K)
| View Record in Scopus | Cited By in Scopus (183)

3 E.A. Elliott, J.R. Wright, R.S. Swann, F. Nguyen-Tan, C. Takita and M.K. Bucci et al., Phase III trial of an emulsion containing trolamine for the prevention of radiation dermatitis in patients with advanced squamous cell carcinoma of the head and neck: results of Radiation Therapy Oncology Group Trial 99-13, J Clin Oncol 24 (13) (2006), pp. 2092–2097. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

4 S.R. Hymes, E.A. Strom and C. Fife, Radiation dermatitis: clinical presentation, pathophysiology, and treatment 2006, J Am Acad Dermatol 54 (1) (2006), pp. 28–46. Article |

PDF (661 K)
| View Record in Scopus | Cited By in Scopus (56)

5 S.M. Bluefarb, Comedos following roentgen ray therapy, Arch Dermatol Syph 56 (1947), pp. 537–539.

6 F. Ronchese, Cicatricial comedos and milia, Arch Dermatol Syph 61 (1950), pp. 498–500. View Record in Scopus | Cited By in Scopus (8)

7 B. Adriaans and A. du Vivier, Acne in an irradiated area, Arch Dermatol 125 (7) (1989), p. 1005. View Record in Scopus | Cited By in Scopus (3)

8 J.F. Walter, Cobalt radiation–induced comedones, Arch Dermatol 116 (9) (1980), pp. 1073–1074. View Record in Scopus | Cited By in Scopus (5)

9 F.S. Larsen, G. Heydenreich and J.V. Christiansen, Comedo formation following cobalt irradiation, Dermatologica 158 (4) (1979), pp. 287–292.

10 E.P. Engels, U. Leavell and Y. Maruyama, Radiogenic acne and comedones, Radiol Clin Biol 43 (1) (1974), pp. 48–55. View Record in Scopus | Cited By in Scopus (6)

11 K.M. Stein, J.J. Leyden and H. Goldschmidt, Localized acneiform eruption following cobalt irradiation, Br J Dermatol 87 (3) (1972), pp. 274–279. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

12 N.C. Hepburn, R.P. Crellin, G.W. Beveridge, A. Rodger and M.J. Tidman, Localized acne as a complication of megavoltage radiotherapy, J Dermatol Treat 3 (1992), pp. 137–138. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

13 P.L. Myskowski and B. Safai, Localized comedo formation after cobalt irradiation, Int J Dermatol 20 (8) (1981), pp. 550–551. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

14 A.J. Aversa and R. Nagy, Localized comedones following radiation therapy, Cutis 31 (3) (1983), pp. 296–303.

15 J. Song, S.J. Ha, C.W. Kim and H.O. Kim, A case of localized acne following radiation therapy, Acta Derm Venereol 82 (1) (2002), pp. 69–70. Full Text via CrossRef

16 S. Swift, Localized acne following deep X-ray therapy, AMA Arch Dermatol 74 (1) (1956), pp. 97–98.

17 W.M. Martin and A.F. Bardsley, The comedo skin reaction to radiotherapy, Br J Radiol 75 (893) (2002), pp. 478–481. View Record in Scopus | Cited By in Scopus (7)

18 W.J. Cunliffe, D.B. Holland, S.M. Clark and G.I. Stables, Comedogenesis: some new aetiological, clinical and therapeutic strategies, Br J Dermatol 142 (6) (2000), pp. 1084–1091. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (76)

19 D. Thiboutot, H. Knaggs, K. Gilliland and G. Lin, Activity of 5-alpha-reductase and 17-beta-hydroxysteroid dehydrogenase in the infrainfundibulum of subjects with and without acne vulgaris, Dermatology 196 (1) (1998), pp. 38–42. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (38)

20 C.C. Zouboulis, L. Xia and H. Akamatsu et al., The human sebocyte culture model provides new insights into development and management of seborrhoea and acne, Dermatology 196 (1) (1998), pp. 21–31. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (96)

21 H. Gollnick, Current concepts of the pathogenesis of acne: implications for drug treatment, Drugs 63 (15) (2003), pp. 1579–1596. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (83)

22 R. Guy, M.R. Green and T. Kealey, Modeling acne in vitro, J Invest Dermatol 106 (1) (1996), pp. 176–182. View Record in Scopus | Cited By in Scopus (82)

23 R. Guy and T. Kealey, The effects of inflammatory cytokines on the isolated human sebaceous infundibulum, J Invest Dermatol 110 (4) (1998), pp. 410–415. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (27)

24 E. Ingham, E.A. Eady, C.E. Goodwin, J.H. Cove and W.J. Cunliffe, Pro-inflammatory levels of interleukin-1 alpha-like bioactivity are present in the majority of open comedones in acne vulgaris, J Invest Dermatol 98 (6) (1992), pp. 895–901. View Record in Scopus | Cited By in Scopus (63)

25 G.F. Webster and J.J. Leyden, Characterization of serum-independent polymorphonuclear leukocyte chemotactic factors produced by Propionibacterium acnes, Inflammation 4 (3) (1980), pp. 261–269. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (34)

26 D.G. Scott, W.J. Cunliffe and G. Gowland, Activation of complement—a mechanism for the inflammation in acne, Br J Dermatol 101 (3) (1979), pp. 315–320. View Record in Scopus | Cited By in Scopus (11)

27 H.R. Ashbee, S.R. Muir, W.J. Cunliffe and E. Ingham, IgG subclasses specific to Staphylococcus epidermidis and Propionibacterium acnes in patients with acne vulgaris, Br J Dermatol 136 (5) (1997), pp. 730–733. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (31)

28 J.W. Denham and M. Hauer-Jensen, The radiotherapeutic injury—a complex ”wound.”, Radiother Oncol 63 (2) (2002), pp. 129–145. Article |

PDF (219 K)
| View Record in Scopus | Cited By in Scopus (149)

29 M.E. Lacouture, C. Hwang, M.H. Marymont and J. Patel, Temporal dependence of the effect of radiation on erlotinib-induced skin rash, J Clin Oncol 25 (15) (2007), p. 2140 author reply 2141. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (15)

30 T.N. Trunnell, R.L. Baer and P. Michaelides, Acneform changes in areas of cobalt irradiation, Arch Dermatol 106 (1) (1972), pp. 73–75. View Record in Scopus | Cited By in Scopus (8)

31 O.H. Mills Jr, A.M. Kligman, P. Pochi and H. Comite, Comparing 2.5%, 5%, and 10% benzoyl peroxide on inflammatory acne vulgaris, Int J Dermatol 25 (10) (1986), pp. 664–667. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

32 M. Sagransky, B.A. Yentzer and S.R. Feldman, Benzoyl peroxide: a review of its current use in the treatment of acne vulgaris, Expert Opin Pharmacother 10 (15) (2009), pp. 2555–2562. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

33 A. Thielitz, M.B. Abdel-Naser, J.W. Fluhr, C.C. Zouboulis and H. Gollnick, Topical retinoids in acne—an evidence-based overview, J Dtsch Dermatol Ges 6 (12) (2008), pp. 1023–1031. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

34 F. Ochsendorf, Minocycline in acne vulgaris: benefits and risks, Am J Clin Dermatol 11 (5) (2010), pp. 327–341. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (2)

 

 

 

Conflicts of interest: Y. B., J. R. H., and P. G. have none to declare. M. E. L. has a consultant or advisory role with Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; has received honoraria from Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; and is receiving research funding from Hana Biosciences and Onyx Pharmaceuticals.

 


1 PubMed ID in brackets

 

 


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 268-271

Yevgeniy Balagulaa, Jennifer R. Hensleyb, Pedram Geramic and Mario E. Lacouturea

 

a Dermatology Service, Department of Medicine, Memorial Sloan-Kettering Cancer Center, New York, New York

b Skin and Eye Reactions to Inhibitors of Epidermal Growth Factor Receptor and Kinase (SERIES) Clinic and Cancer Skin Care Program, Department of Dermatology and Robert H. Lurie Comprehensive Cancer Center, Northwestern University Feinberg School of Medicine, Chicago, Illinois

c Department of Dermatology, Northwestern University Feinberg School of Medicine, Chicago, Illinois

 


Available online 25 January 2011.

 

 

Article Outline

 

Case Report

 

Discussion

 

Conclusion

 

Acknowledgements

 

References

 

Radiation therapy has become a critical component of anticancer treatments and is utilized in a variety of solid malignancies. Its use is associated with both acute and chronic adverse events, which often affect the majority of patients. Acute dermatitis, characterized by erythema and dry desquamation that can progress to edema, moist desquamation, ulceration, and hemorrhage, does not present a diagnostic challenge due to its high frequency and wide recognition. In contrast, acneiform rash in a cancer patient has multiple causes and may be related to comedogenic drugs, such as corticosteroids, anticonvulsants, sex hormones, isoniazid, and novel epidermal growth factor receptor inhibitors.

Acute dermatologic toxicities such as radiation dermatitis and oropharyngeal mucositis may affect up to 90% of treated breast and head-and-neck cancer patients.[1] and [2] These adverse events can be accompanied by a significant amount of pain, negatively impact patients' quality of life, and result in interruption of therapy.3 The cutaneous changes of acute radiation dermatitis, characterized by erythema and dry desquamation that can potentially progress to edema and moist desquamation, ulceration, and necrosis, are typically seen within 90 days of radiotherapy exposure.4 In addition to acute toxicity, late sequelae of radiation injury include telangiectasias, fat necrosis, skin fibrosis, pigmentary changes, and atrophy. These changes may manifest months to years after radiotherapy, even in the absence of the initial significant acute reaction.4 Radiation-induced acneiform rash, also referred to as a “comedo reaction,” is a rare dermatologic reaction that has been documented in a variety of cancers and with different types of radiotherapy. Although this particular toxicity is observed much less commonly, familiarity with this entity is important in order to ensure timely recognition and institution of the appropriate treatment. In this case report we describe a breast cancer patient who developed acneiform rash to radiation and review its clinical characteristics, risk factors, potential underlying mechanisms, and management strategies.

 

Case Report

A 56-year-old female was referred to dermatology for evaluation of a pruritic rash on her left chest and back of 4 months' duration. Her past medical history was significant for a right breast carcinoma treated with mastectomy and radiation 22 years ago. Subsequently, she developed a second primary carcinoma of the left breast, for which treatment with chemotherapy and radiation was completed 4 months prior to her presentation. Initially, she reported developing eruptive tender papules and pustules affecting her left chest and back after radiotherapy. Physical examination revealed a right mastectomy scar with abundant telangiectasias. Numerous dilated comedones, pustules, and deep nodules were seen limited to the left chest, the area of recent radiation. In addition, dilated comedones were seen on the left back (Figure 1). Histopathologic examination of the affected skin revealed a dilated and ruptured follicular infundibulum with markedly atrophic epithelial lining. There was a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites. Mild spongiosis was noted in the overlying epidermis, which otherwise was unremarkable (Figure 2). At the time of her visit, the patient was not taking comedogenic drugs, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. The diagnosis of acneiform rash as a reaction to radiation therapy was made, and the patient was treated with daily application of topical tretinoin 0.025% cream, benzoyl peroxide 5% gel, and oral doxycycline 100 mg twice a day. This resulted in partial response within 8 weeks of therapy that had been sustained through the last recorded visit at 12 weeks.

 



 

Figure 1. 

Dilated Comedones, Pustules, and Deep Nodules on Left Chest and Dilated Comedones on Left Back

 

 

 

 

Figure 2. 

Dilated and Ruptured Follicular Infundibulum with Markedly Atrophic Epithelial Lining

There is a dense suppurative inflammatory infiltrate in the follicle with rare Demodex mites

 

 

 


 

Discussion

The development of localized comedos or an acneiform rash is a relatively rare reaction to radiation therapy. This observation was first reported in 1947 as a concentric ring of comedones forming at the margin of a superficial radiation field after 3 months of treatment.5 Subsequently, reports have been published in the literature, occurring in the setting of different types of radiotherapy. Comedonal or acneiform eruptions have been described as sequelae of superficial radiation for treatment of cutaneous nonmelanoma skin cancers (NMSCs);[5] and [6] cobalt radiation utilized in breast,7 brain,8 NMSC,9 lymphoma,10 and lung[10] and [11] cancer patients; and following megavoltage radiotherapy.12 A spectrum of lesion morphologies can be seen, with some patients presenting with only open8 or closed[9] and [13] comedones, occasional scattered inflammatory papules,14 or a florid eruption with erythematous papules, pustules, and comedones,[7] and [15] as was seen in our patient. Acneiform rash has been reported to occur following the resolution of acute radiation dermatitis,[7], [16] and [17] in those without a preceding acute skin reaction,[9] and [11] or superimposed on changes of chronic radiation dermatitis, characterized by pigmentary abnormalities and fibrosis.[8] and [11] Interestingly, in addition to skin directly affected by the incident radiation, the eruption can involve skin regions where a fraction of penetrating radiation exits directly opposite of the irradiated site, such as the back of a breast cancer patient.11

Martin and Bardsley17 reviewed 27 cases of radiation-induced acne in an attempt to better characterize the rash and its clinical presentation. This analysis demonstrated a variable latent period, ranging from 2 weeks to 6 months following radiation treatment. While involved body sites included any irradiated skin area, from the scalp to the pelvis, the majority of cases manifested on the scalp, face, or neck (16 out of 27). Notably, the upper trunk was another common site of involvement (10 cases). There was also a suggestion that the reaction was more common in patients who had recently been treated with agents known to induce acne, such as corticosteroids, sex hormones, isoniazid, and anticonvulsants. In contrast, previous personal history of acne did not appear as a significant predisposing factor.17

The pathophysiology of radiation-induced acne is currently unknown. However, the underlying mechanisms responsible for the development of acne vulgaris can offer insights into our understanding of radiation-induced changes. The pilosebaceous unit is the site of acne formation in normal skin. Formation of a microcomedone, a critical initial step in the development of acne, and its progression to noninflammatory lesions such as open comedone (black head), closed comedone (white head), and inflammation, characterized by erythematous papules, pustules, and nodules, is a complex multifactorial process. The principal event currently thought to drive comedogenesis is hyperproliferation of keratinocytes in the pilosebaceous ducts, leading to accumulation of corneocytes (anucleate cells filled with keratin) and sebum with subsequent occlusion of the follicular infundibulum.18 The triggers that initiate this process, however, are not completely understood. Several pathogenic factors have been implicated as potential etiologies. Testosterone and its more active form 5α-dihydrotestosterone stimulate excessive sebum production and may contribute to ductal hyperproliferation.[19] and [20] Aberrations in sebaceous lipids such as an increase in fatty acids, which possess proinflammatory and comedogenic properties, and low levels of linoleic acid may be important factors in inducing ductal hyperproliferation and comedogenesis.21 Interleukin (IL)-1α has been shown to induce comedogenesis in in vitro models[22] and [23] and is found at high concentration in open comedones, potentially playing a role in the progression of comedones to inflammatory lesions.24 Secondary colonization and overgrowth of Propionibacterium acnes can result in increased production of IL-8 and tumor necrosis factor (TNF)-α,25 lead to recruitment of neutrophils and lymphocytes,26 and induce a hypersensitivity reaction,27 events that may contribute to the development of inflammatory lesions.

It is unclear how radiation can rarely induce comedogenesis. However, it is possible that a florid inflammatory response induced by an acute radiation injury and characterized by increased expression of leukocyte adhesion molecules and inflammatory cytokines such as IL-1, IL-6, and TNF-α28 may play a role. Alternatively, radiation-induced changes in the lipid composition of sebum may lead to keratinocyte hyperproliferation in the sebaceous ducts.17 Other authors have implicated chronic follicular inflammation and increased follicular hyperkeratosis as potential culprits.11 Chronic sequelae of radiation injury in skin develop months to years following the period of acute exposure and are characterized by the absence of hair follicles and sebaceous glands and the presence of fibrosis, thought to be mediated by transforming growth factor (TGF)-β.29 Accordingly, it had been postulated that remnants of pilosebaceous units in the skin may serve as foreign bodies that are able to induce an inflammatory reaction that clinically manifests with acne lesions.30

Timely and accurate recognition of this rare adverse event may facilitate implementation of appropriate treatment strategies. Although no evidence-based data support the use of typical anti-acne treatments in this patient population due to its low incidence, similar strategies have been employed to manage radiation-associated acneiform rash. Typical agents for acne vulgaris such as topical retinoic acid, benzoyl peroxide, antiseptic cleansing solutions, and oral antibiotics have been used, usually with good response and subsequent resolution.[7], [8], [9], [13], [14], [15] and [30] In addition, manual extraction of comedones with a comedo extractor has been successfully utilized.17 The use of lower concentrations of benzoyl peroxide (2.5% and 5%) is preferred to 10% formulations, considering their similar clinical efficacy in acne vulgaris but diminished frequency and severity of peeling, erythema, and burning.31 Combining benzoyl peroxide with topical antimicrobial agents such as clindamycin or with topical retinoids improves the clinical response. Of note, generic tretinoin undergoes oxidative degradation and should be applied separately from benzoyl peroxide.32 Topical retinoids possess a microcomedolytic activity and are also effective against noninflammatory and inflammatory lesions. Their combination with either topical or systemic antibiotics enhances therapeutic efficacy and can be used to manage more severe manifestations.33 Retinoids can induce skin erythema and burning, which can be mitigated by consistent use of a moisturizing cream.33 The benefit of systemic semisynthetic tetracycline antibiotics is derived from their antimicrobial and anti-inflammatory properties. Even though doxycycline is phototoxic, its use is preferred to minocycline, which is not more effective and may be associated with higher rates of toxicity, including more severe adverse events such as drug-induced systemic lupus erythematosus and autoimmune hepatitis.34 The clinical response in patients with radiation-induced acne is not immediate and, similar to acne vulgaris, may require several months of treatment. Compliance with therapy is important, and patients may be counseled that prolonged therapy may be required but subsequent resolution can be typically achieved.

 

Conclusion

In conclusion, acneiform rash is a relatively rare adverse event of radiotherapy that tends to affect areas with a high density of sebaceous glands, such as the face, scalp, and upper trunk, and can be usually successfully managed with typical anti-acne agents.

 

 

 

 

Acknowledgments

M. E. L. is supported by a Career Development Award from the Dermatology Foundation and a Zell Scholarship of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University in Chicago, IL.

 

 

References1

1 J.L. Harper, L.E. Franklin, J.M. Jenrette and E.G. Aguero, Skin toxicity during breast irradiation: pathophysiology and management, South Med J 97 (10) (2004), pp. 989–993. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (35)

2 A. Trotti, L.A. Bellm, J.B. Epstein, D. Frame, H.J. Fuchs and C.K. Gwede et al., Mucositis incidence, severity and associated outcomes in patients with head and neck cancer receiving radiotherapy with or without chemotherapy: a systematic literature review, Radiother Oncol 66 (3) (2003), pp. 253–262. Article |

PDF (255 K)
| View Record in Scopus | Cited By in Scopus (183)

3 E.A. Elliott, J.R. Wright, R.S. Swann, F. Nguyen-Tan, C. Takita and M.K. Bucci et al., Phase III trial of an emulsion containing trolamine for the prevention of radiation dermatitis in patients with advanced squamous cell carcinoma of the head and neck: results of Radiation Therapy Oncology Group Trial 99-13, J Clin Oncol 24 (13) (2006), pp. 2092–2097. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (13)

4 S.R. Hymes, E.A. Strom and C. Fife, Radiation dermatitis: clinical presentation, pathophysiology, and treatment 2006, J Am Acad Dermatol 54 (1) (2006), pp. 28–46. Article |

PDF (661 K)
| View Record in Scopus | Cited By in Scopus (56)

5 S.M. Bluefarb, Comedos following roentgen ray therapy, Arch Dermatol Syph 56 (1947), pp. 537–539.

6 F. Ronchese, Cicatricial comedos and milia, Arch Dermatol Syph 61 (1950), pp. 498–500. View Record in Scopus | Cited By in Scopus (8)

7 B. Adriaans and A. du Vivier, Acne in an irradiated area, Arch Dermatol 125 (7) (1989), p. 1005. View Record in Scopus | Cited By in Scopus (3)

8 J.F. Walter, Cobalt radiation–induced comedones, Arch Dermatol 116 (9) (1980), pp. 1073–1074. View Record in Scopus | Cited By in Scopus (5)

9 F.S. Larsen, G. Heydenreich and J.V. Christiansen, Comedo formation following cobalt irradiation, Dermatologica 158 (4) (1979), pp. 287–292.

10 E.P. Engels, U. Leavell and Y. Maruyama, Radiogenic acne and comedones, Radiol Clin Biol 43 (1) (1974), pp. 48–55. View Record in Scopus | Cited By in Scopus (6)

11 K.M. Stein, J.J. Leyden and H. Goldschmidt, Localized acneiform eruption following cobalt irradiation, Br J Dermatol 87 (3) (1972), pp. 274–279. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

12 N.C. Hepburn, R.P. Crellin, G.W. Beveridge, A. Rodger and M.J. Tidman, Localized acne as a complication of megavoltage radiotherapy, J Dermatol Treat 3 (1992), pp. 137–138. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

13 P.L. Myskowski and B. Safai, Localized comedo formation after cobalt irradiation, Int J Dermatol 20 (8) (1981), pp. 550–551. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (4)

14 A.J. Aversa and R. Nagy, Localized comedones following radiation therapy, Cutis 31 (3) (1983), pp. 296–303.

15 J. Song, S.J. Ha, C.W. Kim and H.O. Kim, A case of localized acne following radiation therapy, Acta Derm Venereol 82 (1) (2002), pp. 69–70. Full Text via CrossRef

16 S. Swift, Localized acne following deep X-ray therapy, AMA Arch Dermatol 74 (1) (1956), pp. 97–98.

17 W.M. Martin and A.F. Bardsley, The comedo skin reaction to radiotherapy, Br J Radiol 75 (893) (2002), pp. 478–481. View Record in Scopus | Cited By in Scopus (7)

18 W.J. Cunliffe, D.B. Holland, S.M. Clark and G.I. Stables, Comedogenesis: some new aetiological, clinical and therapeutic strategies, Br J Dermatol 142 (6) (2000), pp. 1084–1091. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (76)

19 D. Thiboutot, H. Knaggs, K. Gilliland and G. Lin, Activity of 5-alpha-reductase and 17-beta-hydroxysteroid dehydrogenase in the infrainfundibulum of subjects with and without acne vulgaris, Dermatology 196 (1) (1998), pp. 38–42. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (38)

20 C.C. Zouboulis, L. Xia and H. Akamatsu et al., The human sebocyte culture model provides new insights into development and management of seborrhoea and acne, Dermatology 196 (1) (1998), pp. 21–31. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (96)

21 H. Gollnick, Current concepts of the pathogenesis of acne: implications for drug treatment, Drugs 63 (15) (2003), pp. 1579–1596. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (83)

22 R. Guy, M.R. Green and T. Kealey, Modeling acne in vitro, J Invest Dermatol 106 (1) (1996), pp. 176–182. View Record in Scopus | Cited By in Scopus (82)

23 R. Guy and T. Kealey, The effects of inflammatory cytokines on the isolated human sebaceous infundibulum, J Invest Dermatol 110 (4) (1998), pp. 410–415. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (27)

24 E. Ingham, E.A. Eady, C.E. Goodwin, J.H. Cove and W.J. Cunliffe, Pro-inflammatory levels of interleukin-1 alpha-like bioactivity are present in the majority of open comedones in acne vulgaris, J Invest Dermatol 98 (6) (1992), pp. 895–901. View Record in Scopus | Cited By in Scopus (63)

25 G.F. Webster and J.J. Leyden, Characterization of serum-independent polymorphonuclear leukocyte chemotactic factors produced by Propionibacterium acnes, Inflammation 4 (3) (1980), pp. 261–269. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (34)

26 D.G. Scott, W.J. Cunliffe and G. Gowland, Activation of complement—a mechanism for the inflammation in acne, Br J Dermatol 101 (3) (1979), pp. 315–320. View Record in Scopus | Cited By in Scopus (11)

27 H.R. Ashbee, S.R. Muir, W.J. Cunliffe and E. Ingham, IgG subclasses specific to Staphylococcus epidermidis and Propionibacterium acnes in patients with acne vulgaris, Br J Dermatol 136 (5) (1997), pp. 730–733. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (31)

28 J.W. Denham and M. Hauer-Jensen, The radiotherapeutic injury—a complex ”wound.”, Radiother Oncol 63 (2) (2002), pp. 129–145. Article |

PDF (219 K)
| View Record in Scopus | Cited By in Scopus (149)

29 M.E. Lacouture, C. Hwang, M.H. Marymont and J. Patel, Temporal dependence of the effect of radiation on erlotinib-induced skin rash, J Clin Oncol 25 (15) (2007), p. 2140 author reply 2141. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (15)

30 T.N. Trunnell, R.L. Baer and P. Michaelides, Acneform changes in areas of cobalt irradiation, Arch Dermatol 106 (1) (1972), pp. 73–75. View Record in Scopus | Cited By in Scopus (8)

31 O.H. Mills Jr, A.M. Kligman, P. Pochi and H. Comite, Comparing 2.5%, 5%, and 10% benzoyl peroxide on inflammatory acne vulgaris, Int J Dermatol 25 (10) (1986), pp. 664–667. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (39)

32 M. Sagransky, B.A. Yentzer and S.R. Feldman, Benzoyl peroxide: a review of its current use in the treatment of acne vulgaris, Expert Opin Pharmacother 10 (15) (2009), pp. 2555–2562. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (7)

33 A. Thielitz, M.B. Abdel-Naser, J.W. Fluhr, C.C. Zouboulis and H. Gollnick, Topical retinoids in acne—an evidence-based overview, J Dtsch Dermatol Ges 6 (12) (2008), pp. 1023–1031. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (9)

34 F. Ochsendorf, Minocycline in acne vulgaris: benefits and risks, Am J Clin Dermatol 11 (5) (2010), pp. 327–341. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (2)

 

 

 

Conflicts of interest: Y. B., J. R. H., and P. G. have none to declare. M. E. L. has a consultant or advisory role with Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; has received honoraria from Bristol Myers Squibb, Boehringer Ingelheim, ImClone/Eli Lilly, Onyx, Bayer, Genzyme, Amgen, and Threshold; and is receiving research funding from Hana Biosciences and Onyx Pharmaceuticals.

 


1 PubMed ID in brackets

 

 


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 268-271
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Letter - Acneiform Rash as a Reaction to Radiotherapy in a Breast Cancer Patient
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Pilot Study of the Prospective Identification of Changes in Cognitive Function During Chemotherapy Treatment for Advanced Ovarian Cancer

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Pilot Study of the Prospective Identification of Changes in Cognitive Function During Chemotherapy Treatment for Advanced Ovarian Cancer

Original research

Pilot Study of the Prospective Identification of Changes in Cognitive Function During Chemotherapy Treatment for Advanced Ovarian Cancer

Lisa M. Hess PhD, a,

, Setsuko K. Chambers MDa, Kenneth Hatch MDa, Alton Hallum MDa, Mike F. Janicek MDa, Joseph Buscema MDa, Matthew Borst MDa, Cynthia Johnson MAa, Lisa Slayton LPNa, Yuda Chongpison MS, MBAa and David S. Alberts MDa

a University of Arizona, Arizona Cancer Center, Tucson, AZ; Departments of Public Health and Obstetrics and Gynecology, Indiana University School of Medicine, Indianapolis, IN; Arizona Oncology Associates, Tucson, AZ; Scottsdale Healthcare and Oncogyn, P.C., Scottsdale, AZ; and Arizona Gynecologic Oncology, Phoenix, AZ

Received 8 June 2010; 

accepted 9 September 2010. 

Available online 25 January 2011.

Abstract

Change in cognitive function is increasingly being recognized as an adverse outcome related to chemotherapy treatment. These changes need not be severe to impact patient functional ability and quality of life. The primary goal of this study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and response time among women with newly diagnosed advanced ovarian cancer who receive chemotherapy. Eligible patients were women diagnosed with stage III–IV epithelial ovarian or primary peritoneal cancer who had not yet received chemotherapy but who were prescribed a minimum of six cycles (courses) of chemotherapy treatment. Cognitive function was assessed by a computerized, Web-based assessment (attention, processing speed, and reaction time) and by patient self-report. Cognitive function was assessed at three time points: prior to the first course (baseline), course three, and course six. Medical records were reviewed to abstract information on chemotherapy treatment, concomitant medications, and blood test results (eg, hemoglobin, CA-125). Of the 27 eligible participants, 92% and 86% demonstrated cognitive impairments from baseline to course three and from baseline to course six of chemotherapy, respectively. Impairment was detected in two or more cognitive domains among 48% (12 of 25) and 41% (9 of 22) of participants at course three and course six of chemotherapy, respectively. This study shows evidence of decline in cognitive function among women being treated for ovarian cancer. There is a need for additional, prospective research to better understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed.

Article Outline

Materials and Methods
Assessment Tools
Statistical Plan

Results
Web-Assessed Cognitive Function
Patient-Reported Cognitive Function
Blood Chemistries and Toxicity

Discussion

Acknowledgements

References

Many cancer patients receiving chemotherapy develop persistent changes in cognitive function, characterized by declines in memory, attention, and executive function.[1] and [2] Neurocognitive symptoms may be associated with discrete or multiple etiologies, including direct or indirect effects of cancer on the central nervous system, comorbid neurologic or psychiatric diagnoses, and diffuse and specific effects of cancer treatment, including radiation therapy, immunotherapy, and chemotherapy,[2] and [3] as well as fatigue, pain, and anemia, all of which have been associated with poorer performance on neurocognitive testing among cancer patients.4 Even mild cognitive changes can be expected to influence quality of life and the ability to function effectively in performing day-to-day activities.

Although the perception of cognitive decline is a common complaint among individuals treated with chemotherapy, it is poorly understood and limited efforts have been made to identify the extent of this problem among women with ovarian cancer. To date, the few studies documenting the neuropsychological consequences of ovarian cancer and its treatment have shown that patients report cognitive problems but that these problems were not quantifiable using objective measures due to the lack of sensitivity of standard instruments to the subtle changes that occur during cancer treatment.[5], [6] and [7]

Although studies of cognitive function among oncology patients have used instruments that have been validated in their own disciplines and with a variety of diseases, the evidence is emerging that they are not comprehensive or appropriate tools for the detection and evaluation of chemotherapy-related change in cognitive function.8 Furthermore, the likelihood of having these tests conducted in a similar manner across multiple institutions, sites, and interviewers with any degree of consistency is very low. This study was designed as a pilot study of the identification of chemotherapy-related changes in cognitive function among women with advanced ovarian cancer using a Web-based assessment tool (Headminder, Inc., New York, NY).7 The primary goal of the current study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and reaction time as well as self-reported changes in the memory, sensory-perception, and cognitive-intellectual domains of cognitive function during chemotherapy among women with newly diagnosed advanced ovarian cancer.

Materials and Methods

All study methods and procedures were reviewed and approved by the University of Arizona Institutional Review Board. Eligible patients included women with a histologically or pathologically confirmed diagnosis of stage III–IV epithelial ovarian or primary peritoneal cancer who were prescribed at least six courses of platinum-based therapy. Patients were excluded if they had a prior history of any cancer (other than nonmelanoma skin cancer), chemotherapy, radiation therapy, erythropoietin treatment (within the last 6 months), or severe head injury. Initially, patients were excluded if they received intraperitoneal therapy, but the protocol was later amended to permit the use of any platinum-based therapy, regardless of route of administration.

Assessment Tools

After providing informed consent, patients completed a neurocognitive battery of tests and the Functional Assessment of Cancer Therapy—Neurotoxicity (FACT-Ntx, to assess patient-reported neuropathy).[9] and [10] The neurocognitive evaluation included both a computerized, Web-based and a patient-reported assessment. The Web-based assessment was provided by HeadMinders, Inc.[7] and [11] and was a modified version of the Cognitive Stability Index. The modified battery was comprised of two warm-up tasks and three empirically-derived cognitive factors: Processing Speed (Animal Decoding and Symbol Scanning subtests), Attention (Number Recall and Number Sequencing subtests), and Reaction Time (Response Direction 1 and Response Direction 2 subtests). The subtests have been validated against traditional neuropsychological tests in healthy and clinical populations, including cancer patients.12 Cognitive domain correlations in the battery's healthy normative sample range from 0.52 to 0.74, and correlations are similar or higher in clinical populations. Test–retest reliability of the factor scores between first and second administrations ranges from 0.74 to 0.82.12 This Web-based neurocognitive assessment tool is 21 CFR Part 11– and Health on the Net (HON)–compliant to ensure patient confidentiality. Prior to undergoing the Web-based cognitive tests, all study participants completed a keyboard proficiency test as a “warm-up task” to the computerized assessment.

The patient-reported cognitive function tool used was the Patient Assessment of Own Functioning Scale (PAF).[13], [14] and [15] The PAF includes eight scales that are grouped into the nature of the ability being considered. The Memory, Sensory-Perceptual, and Cognitive-Intellectual subscales of the PAF are included in this self-assessment questionnaire. Respondents are asked to rate on a six-point scale, from almost always to almost never, how often they experience a particular kind of difficulty in their everyday lives. For this study, the Memory and Cognitive-Intellectual subscales of the PAF were used, similar to other clinical research protocols investigating cognitive changes during chemotherapy treatment.15 The PAF has been shown to be directly related to the Minnesota Multiphasic Personality Inventory (MMPI)13 and to be highly correlated with other cognitive impairment indices, such as the American College of Rheumatology neuropsychology research battery of tests.16 Of note, self-reported cognitive change has not been shown to correlate formal assessments of cognitive function among individuals who have experienced cancer.[17], [18], [19], [20] and [21]

The FACT-Ntx is a validated instrument[9] and [10] that was used to evaluate neurotoxicity. This scale includes 11 items: nine to assess neurotoxicity, one to assess bodily weakness, and one to assess anemia. Neurotoxicity may affect a patient's ability to use the keyboard in the computerized neurocognitive evaluation. This complete assessment battery of tests was completed at baseline (within 5 days of initiation of chemotherapy) and again during follow-up assessments at cycle three and cycle six of chemotherapy. The medical record was reviewed and data were abstracted related to chemotherapy medications, all concomitant medications, and blood test results (eg, hemoglobin, CA-125).

Statistical Plan

This prospective study was exploratory in nature and designed to collect pilot data to determine if there is evidence of neurocognitive change in attention, processing speed, response time, or self-reported cognitive function during the course of chemotherapy among women being treated for advanced ovarian cancer. The purpose of this study was to obtain preliminary estimates of the incidence and degree of cognitive decline to aid in the planning of future studies. While prior estimates of cognitive function were not available for this population, power analyses demonstrate that with a target recruitment goal of 30 patients, a McNemar's test has 78% power at the 0.05 level of significance to detect a significant decline in impairment in a cognitive domain if 12 patients are found to have impairment prior to course six of treatment (but not at course three) and if as few as two patients demonstrate impairment prior to course three but not at course six. This study was therefore powered to detect declines in one or more of the domains that may have occurred at less than both of the study time points following the baseline assessment.

To be considered fully evaluable, patients had to have completed at least one follow-up neurocognitive evaluation and may not have received antipsychotic neuropsychological medications during the study (eg, chlorpromazine, haloperidol, clozapine). Antidepressants and antianxiety medications (eg, serotonin/norepinephrine reuptake inhibitors or benzodiazepines) were permitted and use was recorded throughout study participation. A summary score for each cognitive domain (processing speed, reaction time, and attention) was recorded at each assessment time point using the HeadMinder Web-based assessment. This summary score was assessed by time (processing speed and reaction time), measured to the hundredth of a second, and by number of errors (attention). If a cognitive domain summary score at a follow-up assessment time declined at least one standard error of measurement (SEM) from baseline, the patient was considered to have experienced a decline at that time point. For the purposes of this article, such declines are referred to as “impairments” within the cognitive domain under investigation. A cognitive index score (CIS) was calculated as the number of cognitive domains impaired for the time point. The range of a CIS is 0–3, with zero equal to no impairment on any cognitive domain and three equal to impairment on all cognitive domains. Patients with only one cognitive domain decline (CIS = 1) at any one of the follow-up assessment time points were considered as having possible cognitive function decline. Patients with more than one cognitive domain impairment (CIS >1) at any follow-up assessment time points were considered as having evidence of cognitive function decline. The incidence of cognitive function impairment was determined by the percentage of patients who experienced any cognitive domain impairment (including possible and evidence of decline) at any follow-up assessment.

A repeated-measures analyses of variance (ANOVA) was used to further explore the neurocognitive values at the various time points during the study. Many of the neurocognitive values were not normally distributed but skewed either positively or negatively, so the square roots of the values were used in the analyses. Since this is an exploratory analysis, no corrections for multiple comparisons were performed.

The patient-reported cognitive function instrument (PAF) contains items scored on a Likert-type scale from almost never to almost always (range 0–5). Patient-reported outcomes as measured with the PAF are measured as mean scale values, ranging from 0, indicating no impairment, to 5.0, indicating complete impairment. PAF score ranges indicate low (≤1.25), medium (1.26–1.92), and high (≥1.93) levels of cognitive impairment.13 A total FACT-Ntx score was obtained; lower scores represent greater neurotoxicity, ranging from 0 (extreme neurotoxicity) to 44 (no neurotoxicity). The total score was reported, with adjustments made for missing values as described elsewhere.22

Results

Thirty patients were enrolled in this study; however, two were later deemed ineligible, and one was unable to complete the baseline neurocognitive assessment prior to chemotherapy and was withdrawn from the study, resulting in 27 patients available for assessment. Five of these patients did not complete all neurocognitive assessments. The primary reason for nonadherence to the study schedule was clinical scheduling (eg, chemotherapy was administered prior to the neurocognitive assessment). The characteristics of eligible patients are provided in Table 1. The majority of patients were receiving intravenous chemotherapy (intraperitoneal therapy was at first not permitted but later was allowable following an amendment to the protocol) and taking concomitant sleep, antianxiety, and/or antidepressant medications outside of every 3- to 4-week chemotherapy regimen (primarily zolpidem, lorazepam, sertraline, and/or trazodone).

 

 

Table 1. Characteristics of Eligible Participants

n = 27
Mean age, years (range)59.3 (40.3–81.5)
Education, n (%)
 High school or less3 (11.1%)
 Some college12 (44.4%)
 College graduate12 (44.4%)
Race/ethnicity, n (%)
 White, non-Hispanic25 (92.6%)
 Hispanic1 (3.7%)
 Native American1 (3.7%)
Marital status, n (%)
 Married/cohabitating19 (70.4%)
 Divorced/separated1 (3.7%)
 Widowed5 (18.5%)
 Never married2 (7.4%)
Mean courses of chemotherapy, n (range)5.9 (4–6)
Chemotherapy route, n (%)
 Intraperitoneal5 (18.5%)
 Intravenous22 (81.5%)
Concurrent medication use, n (%)
 Antidepressant7 (25.9%)
 Antianxiety16 (59.3%)
 Sleep aids5 (18.5%)


Web-Assessed Cognitive Function

Keyboard proficiency remained unchanged over time (P = 0.39). As shown in Table 2, most participants demonstrated cognitive impairments in at least one of the three cognitive domains assessed during this study (92% and 86% at course 3 and course 6, respectively). Nearly half of the study participants demonstrated impairment from baseline in two or more of the three cognitive domains assessed (Table 3). Table 4 shows a detailed summary of the subscales within the Web-based cognitive tests that comprised the CIS.This table demonstrates the statistically significant increase in test subscale errors, despite the test-taking improvements over time, as shown by reduction in testing time.

Table 2. Number and Percent of Patients Demonstrating Cognitive Impairments by Cognitive Domain as Measured by Web-Based Assessment

COGNITIVE DOMAINCOURSE 3COURSE 6
Attention10/25 (40%)8/22 (36%)
Processing speed10/25 (40%)11/22 (50%)
Reaction time16/25 (64%)11/22 (50%)

Table 3. Number and Percent of Patients Showing Impairment in Multiple Cognitive Domains as Measured by the Web-Assessed Cognitive Impairment Scale (CIS)

CISCOURSE 3COURSE 6
No decline (CIS = 0)2 (8%)3 (14%)
One impairment (CIS = 1)11 (44%)10 (45%)
Two impairments (CIS = 2)11 (44%)7 (32%)
Three impairments (CIS = 3)1 (4%)2 (9%)

Table 4. Subscales Within the Cognitive Domains Assessed by the Web-Based Assessment

COGNITIVE IMPAIRMENT SCALE (CIS) FACTORS
BASELINE
COURSE 3
COURSE 6
NMEANSDNMEANSDNMEANSDP
Attention
 Number recall (number correct)257.081.75257.162.03227.451.920.887
 Number sequencing (number correct)266.230.98255.962.65235.612.290.476
Processing speed
 Animal decoding (number of errors)250.40.5250.720.84233.260.86<0.0001
 Animal decoding (number correct)2532.486.482532.968.902332.228.700.678
 Symbol scanning (number correct)2718.591.152518.761.22118.671.350.883
 Symbol scanning (response time)274.381.37254.261.66213.610.840.002
Reaction time
 Response direction 1 (number of omissions)270.040.19260.622.3523000.028
 Response direction 1 (response time, seconds)270.520.06260.550.22230.520.070.567
 Response direction 2 (number of omissions)270.631.33260.52.18230.430.950.135
 Response direction 2 (response time, seconds)270.750.13260.720.20230.710.170.467
 Response direction, shift failures (number)274.333.13262.772.29233.042.580.007


Patient-Reported Cognitive Function

The mean values and 95% confidence intervals of the patient-reported cognitive function outcomes are presented in Figure 1. Mean values remained within the low impairment range (less than 1.25) during chemotherapy.



Figure 1. 

Mean Patient-Reported Cognitive Function Scores with 95% Confidence Intervals


Blood Chemistries and Toxicity

The mean values and 95% confidence intervals of significant differences in blood chemistries and toxicities are presented in [Figure 2] and [Figure 3]. Total patient-reported neurotoxicity increased significantly during chemotherapy (ANOVA; F = 6.851, P = 0.002), while several mean blood chemistry values decreased during chemotherapy treatment (hemoglobin F = 2.465, P = 0.09; white blood cell count F = 16.95, P < 0.001; platelets F = 13.72, P < 0.001; and CA-125 F = 4.91, P = 0.01). One study participant received a blood transfusion at the final course of chemotherapy, and two and three participants received cytokines (erythropoietin or darbepoietin) at course 3 and course 6, respectively.



Figure 2. 

Total Patient-Reported Neurotoxicity with 95% Confidence Intervals (Lower Scores Represent Greater Neurotoxicity)

Figure 3. 

Mean Hemoglobin, White Blood Cell, Platelet, and CA-125 Levels with 95% Confidence Intervals


Discussion

This study shows preliminary evidence that cognitive decline is a significant factor experienced by women who are treated for advanced ovarian cancer. Most participants self-reported mild declines, and these were detectable by a sensitive Web-based assessment tool. There are many potential mechanisms of cognitive decline during chemotherapy, ranging from oxidative damage to reduced blood oxygenation due to anemia to stress and anxiety. While it is outside of the scope of this small pilot study to examine the causative factors of decline, it does suggest the need for further investigation of the effect and potential mechanisms of cognitive decline in this population. While most of the prior work in cognitive function has been conducted among breast cancer patients, ovarian cancer patients appear to experience cognitive decline as well. There is a need to further understand this issue so that effective preventive or treatment strategies can be developed.

The significant increase in patient-reported neurotoxicity across each study visit may be a concern for computerized assessments that require dexterity. However, the keyboard proficiency tests did not decline over time, suggesting that the neurotoxicity reported by patients in this study was not great enough to affect their ability to use the computer keyboard. Patients appear to report higher levels of difficulty with memory (eg, forgetfulness) following diagnosis than following the initiation of chemotherapy; however, higher-level cognitive processes (eg, logic, organizational abilities, calculations) reported by patients appear to decline following the initiation of chemotherapy. Although larger, adequately powered trials are needed to determine the extent of this decline, this suggests that patients experience increasing challenges that may interfere with their ability to perform necessary tasks at work and in the household. Further work is needed to examine the duration of these effects following chemotherapy. Since the cognitive impact of chemotherapy reported by patients is mild, investigators must ensure the use of appropriate patient-reported tools that are able to detect these differences. While reported decline may occur, this is likely to remain within the mild category of traditional assessment tools. It is of benefit to use patient-reported tools such as the PAF that also permit the analysis of continuous data.

This study is limited by its design as a pilot study and was challenged by several logistical issues. Four patients were unable to complete all the neurocognitive evaluations. This was due to remote study staff, who would visit various clinics in the Tucson and Phoenix metropolitan regions in Arizona (range of travel more than 120 miles). The lack of completion was entirely due to communication and travel complications. When a patient was rescheduled to a different chemotherapy date, it was not always possible for this to be communicated to the Arizona Cancer Center researchers in a timely manner, resulting in missed visits. It is recommended for future studies that require strict timelines for study assessments (such as this cognitive function study) that the assessments be conducted by staff in those practices who can identify changes in infusion dates when they occur. This will reduce the communication barriers and rate of missed visits. This study was also not designed to be a comprehensive assessment of neurocognitive function but was focused on assessing three domains: attention, processing speed, and response time. It is possible that many other domains of cognitive function could be impacted by chemotherapy that were not evaluated in this study. Many patients were also taking antidepressant medications during the study; however, these were generally not new prescriptions and were also being taken at the baseline assessment. Nevertheless, future studies should incorporate assessments of mood, depression, and anxiety to account for the potential effect of these factors on cognitive assessment scores.

Despite these limitations, the study provides preliminary data demonstrating cognitive decline during chemotherapy among ovarian cancer patients treated in the front-line setting of advanced disease. More than 90% of all patients experienced measurable impairments in cognitive function during primary chemotherapy. More than half of all patients demonstrated impairment on two or more cognitive domains. Prior work has shown that even mild cognitive impairments can influence quality of life and the ability to perform routine daily activities (eg, taking medications, returning to work, managing household finances).23 The data emphasize the critical need to further understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed. Additional research is needed to understand how long these declines may persist following chemotherapy treatment.

 

 

Acknowledgments

This study was funded by an investigator-initiated grant from Ortho Biotech, Inc., to the University of Arizona Cancer Center. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect those of Ortho Biotech.

References1

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5 M.L. Hensley, D.D. Correa and H. Thaler et al., Phase I/II study of weekly paclitaxel plus carboplatin and gemcitabine as first-line treatment of advanced-stage ovarian cancer: pathologic complete response and longitudinal assessment of impact on cognitive functioning, Gynecol Oncol 102 (2) (2006), pp. 270–277. Article |

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10 E.A. Calhoun, E.E. Welshman and C.H. Chang et al., Psychometric evaluation of the Functional Assessment of Cancer Therapy/Gynecologic Oncology Group-Neurotoxicity (Fact/GOG-Ntx) questionnaire for patients receiving systemic chemotherapy, Int J Gynecol Cancer 13 (6) (2003), pp. 741–748. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (56)

11 D.M. Erlanger, D.J. Feldman, D. Kaplan and A. Theodoracopulos, Development and validation of the cognitive stability index, a Web-based protocol for monitoring change in cognitive function, Arch Clin Neuropsychol 15 (2000), pp. 693–694. Abstract |

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19 S.B. Schagen, F.S. van Dam, M.J. Muller, W. Boogerd, J. Lindeboom and P.F. Bruning, Cognitive deficits after postoperative adjuvant chemotherapy for breast carcinoma, Cancer 85 (3) (1999), pp. 640–650. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (263)

20 S.B. Schagen, M.J. Muller and W. Boogerd et al., Late effects of adjuvant chemotherapy on cognitive function: a follow-up study in breast cancer patients, Ann Oncol 13 (9) (2002), pp. 1387–1397. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (99)

21 F.S. van Dam, S.B. Schagen and M.J. Muller et al., Impairment of cognitive function in women receiving adjuvant treatment for high-risk breast cancer: high-dose versus standard-dose chemotherapy, J Natl Cancer Inst 90 (3) (1998), pp. 210–218. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (322)

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23 C.L. Burton, E. Strauss, D.F. Hultsch and M.A. Hunter, Cognitive functioning and everyday problem solving in older adults, Clin Neuropsychol 20 (3) (2006), pp. 432–452. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (20)

 

 

Conflicts of interest: None to disclose.

Correspondence to: Lisa M. Hess, PhD, Indiana University School of Medicine, Department of Public Health, 714 N Senate Avenue, Indianapolis, IN 46202; telephone: (317) 274-3148; Fax (317) 274-3443


1 PubMed ID in brackets


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Original research

Pilot Study of the Prospective Identification of Changes in Cognitive Function During Chemotherapy Treatment for Advanced Ovarian Cancer

Lisa M. Hess PhD, a,

, Setsuko K. Chambers MDa, Kenneth Hatch MDa, Alton Hallum MDa, Mike F. Janicek MDa, Joseph Buscema MDa, Matthew Borst MDa, Cynthia Johnson MAa, Lisa Slayton LPNa, Yuda Chongpison MS, MBAa and David S. Alberts MDa

a University of Arizona, Arizona Cancer Center, Tucson, AZ; Departments of Public Health and Obstetrics and Gynecology, Indiana University School of Medicine, Indianapolis, IN; Arizona Oncology Associates, Tucson, AZ; Scottsdale Healthcare and Oncogyn, P.C., Scottsdale, AZ; and Arizona Gynecologic Oncology, Phoenix, AZ

Received 8 June 2010; 

accepted 9 September 2010. 

Available online 25 January 2011.

Abstract

Change in cognitive function is increasingly being recognized as an adverse outcome related to chemotherapy treatment. These changes need not be severe to impact patient functional ability and quality of life. The primary goal of this study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and response time among women with newly diagnosed advanced ovarian cancer who receive chemotherapy. Eligible patients were women diagnosed with stage III–IV epithelial ovarian or primary peritoneal cancer who had not yet received chemotherapy but who were prescribed a minimum of six cycles (courses) of chemotherapy treatment. Cognitive function was assessed by a computerized, Web-based assessment (attention, processing speed, and reaction time) and by patient self-report. Cognitive function was assessed at three time points: prior to the first course (baseline), course three, and course six. Medical records were reviewed to abstract information on chemotherapy treatment, concomitant medications, and blood test results (eg, hemoglobin, CA-125). Of the 27 eligible participants, 92% and 86% demonstrated cognitive impairments from baseline to course three and from baseline to course six of chemotherapy, respectively. Impairment was detected in two or more cognitive domains among 48% (12 of 25) and 41% (9 of 22) of participants at course three and course six of chemotherapy, respectively. This study shows evidence of decline in cognitive function among women being treated for ovarian cancer. There is a need for additional, prospective research to better understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed.

Article Outline

Materials and Methods
Assessment Tools
Statistical Plan

Results
Web-Assessed Cognitive Function
Patient-Reported Cognitive Function
Blood Chemistries and Toxicity

Discussion

Acknowledgements

References

Many cancer patients receiving chemotherapy develop persistent changes in cognitive function, characterized by declines in memory, attention, and executive function.[1] and [2] Neurocognitive symptoms may be associated with discrete or multiple etiologies, including direct or indirect effects of cancer on the central nervous system, comorbid neurologic or psychiatric diagnoses, and diffuse and specific effects of cancer treatment, including radiation therapy, immunotherapy, and chemotherapy,[2] and [3] as well as fatigue, pain, and anemia, all of which have been associated with poorer performance on neurocognitive testing among cancer patients.4 Even mild cognitive changes can be expected to influence quality of life and the ability to function effectively in performing day-to-day activities.

Although the perception of cognitive decline is a common complaint among individuals treated with chemotherapy, it is poorly understood and limited efforts have been made to identify the extent of this problem among women with ovarian cancer. To date, the few studies documenting the neuropsychological consequences of ovarian cancer and its treatment have shown that patients report cognitive problems but that these problems were not quantifiable using objective measures due to the lack of sensitivity of standard instruments to the subtle changes that occur during cancer treatment.[5], [6] and [7]

Although studies of cognitive function among oncology patients have used instruments that have been validated in their own disciplines and with a variety of diseases, the evidence is emerging that they are not comprehensive or appropriate tools for the detection and evaluation of chemotherapy-related change in cognitive function.8 Furthermore, the likelihood of having these tests conducted in a similar manner across multiple institutions, sites, and interviewers with any degree of consistency is very low. This study was designed as a pilot study of the identification of chemotherapy-related changes in cognitive function among women with advanced ovarian cancer using a Web-based assessment tool (Headminder, Inc., New York, NY).7 The primary goal of the current study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and reaction time as well as self-reported changes in the memory, sensory-perception, and cognitive-intellectual domains of cognitive function during chemotherapy among women with newly diagnosed advanced ovarian cancer.

Materials and Methods

All study methods and procedures were reviewed and approved by the University of Arizona Institutional Review Board. Eligible patients included women with a histologically or pathologically confirmed diagnosis of stage III–IV epithelial ovarian or primary peritoneal cancer who were prescribed at least six courses of platinum-based therapy. Patients were excluded if they had a prior history of any cancer (other than nonmelanoma skin cancer), chemotherapy, radiation therapy, erythropoietin treatment (within the last 6 months), or severe head injury. Initially, patients were excluded if they received intraperitoneal therapy, but the protocol was later amended to permit the use of any platinum-based therapy, regardless of route of administration.

Assessment Tools

After providing informed consent, patients completed a neurocognitive battery of tests and the Functional Assessment of Cancer Therapy—Neurotoxicity (FACT-Ntx, to assess patient-reported neuropathy).[9] and [10] The neurocognitive evaluation included both a computerized, Web-based and a patient-reported assessment. The Web-based assessment was provided by HeadMinders, Inc.[7] and [11] and was a modified version of the Cognitive Stability Index. The modified battery was comprised of two warm-up tasks and three empirically-derived cognitive factors: Processing Speed (Animal Decoding and Symbol Scanning subtests), Attention (Number Recall and Number Sequencing subtests), and Reaction Time (Response Direction 1 and Response Direction 2 subtests). The subtests have been validated against traditional neuropsychological tests in healthy and clinical populations, including cancer patients.12 Cognitive domain correlations in the battery's healthy normative sample range from 0.52 to 0.74, and correlations are similar or higher in clinical populations. Test–retest reliability of the factor scores between first and second administrations ranges from 0.74 to 0.82.12 This Web-based neurocognitive assessment tool is 21 CFR Part 11– and Health on the Net (HON)–compliant to ensure patient confidentiality. Prior to undergoing the Web-based cognitive tests, all study participants completed a keyboard proficiency test as a “warm-up task” to the computerized assessment.

The patient-reported cognitive function tool used was the Patient Assessment of Own Functioning Scale (PAF).[13], [14] and [15] The PAF includes eight scales that are grouped into the nature of the ability being considered. The Memory, Sensory-Perceptual, and Cognitive-Intellectual subscales of the PAF are included in this self-assessment questionnaire. Respondents are asked to rate on a six-point scale, from almost always to almost never, how often they experience a particular kind of difficulty in their everyday lives. For this study, the Memory and Cognitive-Intellectual subscales of the PAF were used, similar to other clinical research protocols investigating cognitive changes during chemotherapy treatment.15 The PAF has been shown to be directly related to the Minnesota Multiphasic Personality Inventory (MMPI)13 and to be highly correlated with other cognitive impairment indices, such as the American College of Rheumatology neuropsychology research battery of tests.16 Of note, self-reported cognitive change has not been shown to correlate formal assessments of cognitive function among individuals who have experienced cancer.[17], [18], [19], [20] and [21]

The FACT-Ntx is a validated instrument[9] and [10] that was used to evaluate neurotoxicity. This scale includes 11 items: nine to assess neurotoxicity, one to assess bodily weakness, and one to assess anemia. Neurotoxicity may affect a patient's ability to use the keyboard in the computerized neurocognitive evaluation. This complete assessment battery of tests was completed at baseline (within 5 days of initiation of chemotherapy) and again during follow-up assessments at cycle three and cycle six of chemotherapy. The medical record was reviewed and data were abstracted related to chemotherapy medications, all concomitant medications, and blood test results (eg, hemoglobin, CA-125).

Statistical Plan

This prospective study was exploratory in nature and designed to collect pilot data to determine if there is evidence of neurocognitive change in attention, processing speed, response time, or self-reported cognitive function during the course of chemotherapy among women being treated for advanced ovarian cancer. The purpose of this study was to obtain preliminary estimates of the incidence and degree of cognitive decline to aid in the planning of future studies. While prior estimates of cognitive function were not available for this population, power analyses demonstrate that with a target recruitment goal of 30 patients, a McNemar's test has 78% power at the 0.05 level of significance to detect a significant decline in impairment in a cognitive domain if 12 patients are found to have impairment prior to course six of treatment (but not at course three) and if as few as two patients demonstrate impairment prior to course three but not at course six. This study was therefore powered to detect declines in one or more of the domains that may have occurred at less than both of the study time points following the baseline assessment.

To be considered fully evaluable, patients had to have completed at least one follow-up neurocognitive evaluation and may not have received antipsychotic neuropsychological medications during the study (eg, chlorpromazine, haloperidol, clozapine). Antidepressants and antianxiety medications (eg, serotonin/norepinephrine reuptake inhibitors or benzodiazepines) were permitted and use was recorded throughout study participation. A summary score for each cognitive domain (processing speed, reaction time, and attention) was recorded at each assessment time point using the HeadMinder Web-based assessment. This summary score was assessed by time (processing speed and reaction time), measured to the hundredth of a second, and by number of errors (attention). If a cognitive domain summary score at a follow-up assessment time declined at least one standard error of measurement (SEM) from baseline, the patient was considered to have experienced a decline at that time point. For the purposes of this article, such declines are referred to as “impairments” within the cognitive domain under investigation. A cognitive index score (CIS) was calculated as the number of cognitive domains impaired for the time point. The range of a CIS is 0–3, with zero equal to no impairment on any cognitive domain and three equal to impairment on all cognitive domains. Patients with only one cognitive domain decline (CIS = 1) at any one of the follow-up assessment time points were considered as having possible cognitive function decline. Patients with more than one cognitive domain impairment (CIS >1) at any follow-up assessment time points were considered as having evidence of cognitive function decline. The incidence of cognitive function impairment was determined by the percentage of patients who experienced any cognitive domain impairment (including possible and evidence of decline) at any follow-up assessment.

A repeated-measures analyses of variance (ANOVA) was used to further explore the neurocognitive values at the various time points during the study. Many of the neurocognitive values were not normally distributed but skewed either positively or negatively, so the square roots of the values were used in the analyses. Since this is an exploratory analysis, no corrections for multiple comparisons were performed.

The patient-reported cognitive function instrument (PAF) contains items scored on a Likert-type scale from almost never to almost always (range 0–5). Patient-reported outcomes as measured with the PAF are measured as mean scale values, ranging from 0, indicating no impairment, to 5.0, indicating complete impairment. PAF score ranges indicate low (≤1.25), medium (1.26–1.92), and high (≥1.93) levels of cognitive impairment.13 A total FACT-Ntx score was obtained; lower scores represent greater neurotoxicity, ranging from 0 (extreme neurotoxicity) to 44 (no neurotoxicity). The total score was reported, with adjustments made for missing values as described elsewhere.22

Results

Thirty patients were enrolled in this study; however, two were later deemed ineligible, and one was unable to complete the baseline neurocognitive assessment prior to chemotherapy and was withdrawn from the study, resulting in 27 patients available for assessment. Five of these patients did not complete all neurocognitive assessments. The primary reason for nonadherence to the study schedule was clinical scheduling (eg, chemotherapy was administered prior to the neurocognitive assessment). The characteristics of eligible patients are provided in Table 1. The majority of patients were receiving intravenous chemotherapy (intraperitoneal therapy was at first not permitted but later was allowable following an amendment to the protocol) and taking concomitant sleep, antianxiety, and/or antidepressant medications outside of every 3- to 4-week chemotherapy regimen (primarily zolpidem, lorazepam, sertraline, and/or trazodone).

 

 

Table 1. Characteristics of Eligible Participants

n = 27
Mean age, years (range)59.3 (40.3–81.5)
Education, n (%)
 High school or less3 (11.1%)
 Some college12 (44.4%)
 College graduate12 (44.4%)
Race/ethnicity, n (%)
 White, non-Hispanic25 (92.6%)
 Hispanic1 (3.7%)
 Native American1 (3.7%)
Marital status, n (%)
 Married/cohabitating19 (70.4%)
 Divorced/separated1 (3.7%)
 Widowed5 (18.5%)
 Never married2 (7.4%)
Mean courses of chemotherapy, n (range)5.9 (4–6)
Chemotherapy route, n (%)
 Intraperitoneal5 (18.5%)
 Intravenous22 (81.5%)
Concurrent medication use, n (%)
 Antidepressant7 (25.9%)
 Antianxiety16 (59.3%)
 Sleep aids5 (18.5%)


Web-Assessed Cognitive Function

Keyboard proficiency remained unchanged over time (P = 0.39). As shown in Table 2, most participants demonstrated cognitive impairments in at least one of the three cognitive domains assessed during this study (92% and 86% at course 3 and course 6, respectively). Nearly half of the study participants demonstrated impairment from baseline in two or more of the three cognitive domains assessed (Table 3). Table 4 shows a detailed summary of the subscales within the Web-based cognitive tests that comprised the CIS.This table demonstrates the statistically significant increase in test subscale errors, despite the test-taking improvements over time, as shown by reduction in testing time.

Table 2. Number and Percent of Patients Demonstrating Cognitive Impairments by Cognitive Domain as Measured by Web-Based Assessment

COGNITIVE DOMAINCOURSE 3COURSE 6
Attention10/25 (40%)8/22 (36%)
Processing speed10/25 (40%)11/22 (50%)
Reaction time16/25 (64%)11/22 (50%)

Table 3. Number and Percent of Patients Showing Impairment in Multiple Cognitive Domains as Measured by the Web-Assessed Cognitive Impairment Scale (CIS)

CISCOURSE 3COURSE 6
No decline (CIS = 0)2 (8%)3 (14%)
One impairment (CIS = 1)11 (44%)10 (45%)
Two impairments (CIS = 2)11 (44%)7 (32%)
Three impairments (CIS = 3)1 (4%)2 (9%)

Table 4. Subscales Within the Cognitive Domains Assessed by the Web-Based Assessment

COGNITIVE IMPAIRMENT SCALE (CIS) FACTORS
BASELINE
COURSE 3
COURSE 6
NMEANSDNMEANSDNMEANSDP
Attention
 Number recall (number correct)257.081.75257.162.03227.451.920.887
 Number sequencing (number correct)266.230.98255.962.65235.612.290.476
Processing speed
 Animal decoding (number of errors)250.40.5250.720.84233.260.86<0.0001
 Animal decoding (number correct)2532.486.482532.968.902332.228.700.678
 Symbol scanning (number correct)2718.591.152518.761.22118.671.350.883
 Symbol scanning (response time)274.381.37254.261.66213.610.840.002
Reaction time
 Response direction 1 (number of omissions)270.040.19260.622.3523000.028
 Response direction 1 (response time, seconds)270.520.06260.550.22230.520.070.567
 Response direction 2 (number of omissions)270.631.33260.52.18230.430.950.135
 Response direction 2 (response time, seconds)270.750.13260.720.20230.710.170.467
 Response direction, shift failures (number)274.333.13262.772.29233.042.580.007


Patient-Reported Cognitive Function

The mean values and 95% confidence intervals of the patient-reported cognitive function outcomes are presented in Figure 1. Mean values remained within the low impairment range (less than 1.25) during chemotherapy.



Figure 1. 

Mean Patient-Reported Cognitive Function Scores with 95% Confidence Intervals


Blood Chemistries and Toxicity

The mean values and 95% confidence intervals of significant differences in blood chemistries and toxicities are presented in [Figure 2] and [Figure 3]. Total patient-reported neurotoxicity increased significantly during chemotherapy (ANOVA; F = 6.851, P = 0.002), while several mean blood chemistry values decreased during chemotherapy treatment (hemoglobin F = 2.465, P = 0.09; white blood cell count F = 16.95, P < 0.001; platelets F = 13.72, P < 0.001; and CA-125 F = 4.91, P = 0.01). One study participant received a blood transfusion at the final course of chemotherapy, and two and three participants received cytokines (erythropoietin or darbepoietin) at course 3 and course 6, respectively.



Figure 2. 

Total Patient-Reported Neurotoxicity with 95% Confidence Intervals (Lower Scores Represent Greater Neurotoxicity)

Figure 3. 

Mean Hemoglobin, White Blood Cell, Platelet, and CA-125 Levels with 95% Confidence Intervals


Discussion

This study shows preliminary evidence that cognitive decline is a significant factor experienced by women who are treated for advanced ovarian cancer. Most participants self-reported mild declines, and these were detectable by a sensitive Web-based assessment tool. There are many potential mechanisms of cognitive decline during chemotherapy, ranging from oxidative damage to reduced blood oxygenation due to anemia to stress and anxiety. While it is outside of the scope of this small pilot study to examine the causative factors of decline, it does suggest the need for further investigation of the effect and potential mechanisms of cognitive decline in this population. While most of the prior work in cognitive function has been conducted among breast cancer patients, ovarian cancer patients appear to experience cognitive decline as well. There is a need to further understand this issue so that effective preventive or treatment strategies can be developed.

The significant increase in patient-reported neurotoxicity across each study visit may be a concern for computerized assessments that require dexterity. However, the keyboard proficiency tests did not decline over time, suggesting that the neurotoxicity reported by patients in this study was not great enough to affect their ability to use the computer keyboard. Patients appear to report higher levels of difficulty with memory (eg, forgetfulness) following diagnosis than following the initiation of chemotherapy; however, higher-level cognitive processes (eg, logic, organizational abilities, calculations) reported by patients appear to decline following the initiation of chemotherapy. Although larger, adequately powered trials are needed to determine the extent of this decline, this suggests that patients experience increasing challenges that may interfere with their ability to perform necessary tasks at work and in the household. Further work is needed to examine the duration of these effects following chemotherapy. Since the cognitive impact of chemotherapy reported by patients is mild, investigators must ensure the use of appropriate patient-reported tools that are able to detect these differences. While reported decline may occur, this is likely to remain within the mild category of traditional assessment tools. It is of benefit to use patient-reported tools such as the PAF that also permit the analysis of continuous data.

This study is limited by its design as a pilot study and was challenged by several logistical issues. Four patients were unable to complete all the neurocognitive evaluations. This was due to remote study staff, who would visit various clinics in the Tucson and Phoenix metropolitan regions in Arizona (range of travel more than 120 miles). The lack of completion was entirely due to communication and travel complications. When a patient was rescheduled to a different chemotherapy date, it was not always possible for this to be communicated to the Arizona Cancer Center researchers in a timely manner, resulting in missed visits. It is recommended for future studies that require strict timelines for study assessments (such as this cognitive function study) that the assessments be conducted by staff in those practices who can identify changes in infusion dates when they occur. This will reduce the communication barriers and rate of missed visits. This study was also not designed to be a comprehensive assessment of neurocognitive function but was focused on assessing three domains: attention, processing speed, and response time. It is possible that many other domains of cognitive function could be impacted by chemotherapy that were not evaluated in this study. Many patients were also taking antidepressant medications during the study; however, these were generally not new prescriptions and were also being taken at the baseline assessment. Nevertheless, future studies should incorporate assessments of mood, depression, and anxiety to account for the potential effect of these factors on cognitive assessment scores.

Despite these limitations, the study provides preliminary data demonstrating cognitive decline during chemotherapy among ovarian cancer patients treated in the front-line setting of advanced disease. More than 90% of all patients experienced measurable impairments in cognitive function during primary chemotherapy. More than half of all patients demonstrated impairment on two or more cognitive domains. Prior work has shown that even mild cognitive impairments can influence quality of life and the ability to perform routine daily activities (eg, taking medications, returning to work, managing household finances).23 The data emphasize the critical need to further understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed. Additional research is needed to understand how long these declines may persist following chemotherapy treatment.

 

 

Acknowledgments

This study was funded by an investigator-initiated grant from Ortho Biotech, Inc., to the University of Arizona Cancer Center. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect those of Ortho Biotech.

References1

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21 F.S. van Dam, S.B. Schagen and M.J. Muller et al., Impairment of cognitive function in women receiving adjuvant treatment for high-risk breast cancer: high-dose versus standard-dose chemotherapy, J Natl Cancer Inst 90 (3) (1998), pp. 210–218. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (322)

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Conflicts of interest: None to disclose.

Correspondence to: Lisa M. Hess, PhD, Indiana University School of Medicine, Department of Public Health, 714 N Senate Avenue, Indianapolis, IN 46202; telephone: (317) 274-3148; Fax (317) 274-3443


1 PubMed ID in brackets


Original research

Pilot Study of the Prospective Identification of Changes in Cognitive Function During Chemotherapy Treatment for Advanced Ovarian Cancer

Lisa M. Hess PhD, a,

, Setsuko K. Chambers MDa, Kenneth Hatch MDa, Alton Hallum MDa, Mike F. Janicek MDa, Joseph Buscema MDa, Matthew Borst MDa, Cynthia Johnson MAa, Lisa Slayton LPNa, Yuda Chongpison MS, MBAa and David S. Alberts MDa

a University of Arizona, Arizona Cancer Center, Tucson, AZ; Departments of Public Health and Obstetrics and Gynecology, Indiana University School of Medicine, Indianapolis, IN; Arizona Oncology Associates, Tucson, AZ; Scottsdale Healthcare and Oncogyn, P.C., Scottsdale, AZ; and Arizona Gynecologic Oncology, Phoenix, AZ

Received 8 June 2010; 

accepted 9 September 2010. 

Available online 25 January 2011.

Abstract

Change in cognitive function is increasingly being recognized as an adverse outcome related to chemotherapy treatment. These changes need not be severe to impact patient functional ability and quality of life. The primary goal of this study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and response time among women with newly diagnosed advanced ovarian cancer who receive chemotherapy. Eligible patients were women diagnosed with stage III–IV epithelial ovarian or primary peritoneal cancer who had not yet received chemotherapy but who were prescribed a minimum of six cycles (courses) of chemotherapy treatment. Cognitive function was assessed by a computerized, Web-based assessment (attention, processing speed, and reaction time) and by patient self-report. Cognitive function was assessed at three time points: prior to the first course (baseline), course three, and course six. Medical records were reviewed to abstract information on chemotherapy treatment, concomitant medications, and blood test results (eg, hemoglobin, CA-125). Of the 27 eligible participants, 92% and 86% demonstrated cognitive impairments from baseline to course three and from baseline to course six of chemotherapy, respectively. Impairment was detected in two or more cognitive domains among 48% (12 of 25) and 41% (9 of 22) of participants at course three and course six of chemotherapy, respectively. This study shows evidence of decline in cognitive function among women being treated for ovarian cancer. There is a need for additional, prospective research to better understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed.

Article Outline

Materials and Methods
Assessment Tools
Statistical Plan

Results
Web-Assessed Cognitive Function
Patient-Reported Cognitive Function
Blood Chemistries and Toxicity

Discussion

Acknowledgements

References

Many cancer patients receiving chemotherapy develop persistent changes in cognitive function, characterized by declines in memory, attention, and executive function.[1] and [2] Neurocognitive symptoms may be associated with discrete or multiple etiologies, including direct or indirect effects of cancer on the central nervous system, comorbid neurologic or psychiatric diagnoses, and diffuse and specific effects of cancer treatment, including radiation therapy, immunotherapy, and chemotherapy,[2] and [3] as well as fatigue, pain, and anemia, all of which have been associated with poorer performance on neurocognitive testing among cancer patients.4 Even mild cognitive changes can be expected to influence quality of life and the ability to function effectively in performing day-to-day activities.

Although the perception of cognitive decline is a common complaint among individuals treated with chemotherapy, it is poorly understood and limited efforts have been made to identify the extent of this problem among women with ovarian cancer. To date, the few studies documenting the neuropsychological consequences of ovarian cancer and its treatment have shown that patients report cognitive problems but that these problems were not quantifiable using objective measures due to the lack of sensitivity of standard instruments to the subtle changes that occur during cancer treatment.[5], [6] and [7]

Although studies of cognitive function among oncology patients have used instruments that have been validated in their own disciplines and with a variety of diseases, the evidence is emerging that they are not comprehensive or appropriate tools for the detection and evaluation of chemotherapy-related change in cognitive function.8 Furthermore, the likelihood of having these tests conducted in a similar manner across multiple institutions, sites, and interviewers with any degree of consistency is very low. This study was designed as a pilot study of the identification of chemotherapy-related changes in cognitive function among women with advanced ovarian cancer using a Web-based assessment tool (Headminder, Inc., New York, NY).7 The primary goal of the current study was to determine if there is evidence of changes in the cognitive function domains of attention, processing speed, and reaction time as well as self-reported changes in the memory, sensory-perception, and cognitive-intellectual domains of cognitive function during chemotherapy among women with newly diagnosed advanced ovarian cancer.

Materials and Methods

All study methods and procedures were reviewed and approved by the University of Arizona Institutional Review Board. Eligible patients included women with a histologically or pathologically confirmed diagnosis of stage III–IV epithelial ovarian or primary peritoneal cancer who were prescribed at least six courses of platinum-based therapy. Patients were excluded if they had a prior history of any cancer (other than nonmelanoma skin cancer), chemotherapy, radiation therapy, erythropoietin treatment (within the last 6 months), or severe head injury. Initially, patients were excluded if they received intraperitoneal therapy, but the protocol was later amended to permit the use of any platinum-based therapy, regardless of route of administration.

Assessment Tools

After providing informed consent, patients completed a neurocognitive battery of tests and the Functional Assessment of Cancer Therapy—Neurotoxicity (FACT-Ntx, to assess patient-reported neuropathy).[9] and [10] The neurocognitive evaluation included both a computerized, Web-based and a patient-reported assessment. The Web-based assessment was provided by HeadMinders, Inc.[7] and [11] and was a modified version of the Cognitive Stability Index. The modified battery was comprised of two warm-up tasks and three empirically-derived cognitive factors: Processing Speed (Animal Decoding and Symbol Scanning subtests), Attention (Number Recall and Number Sequencing subtests), and Reaction Time (Response Direction 1 and Response Direction 2 subtests). The subtests have been validated against traditional neuropsychological tests in healthy and clinical populations, including cancer patients.12 Cognitive domain correlations in the battery's healthy normative sample range from 0.52 to 0.74, and correlations are similar or higher in clinical populations. Test–retest reliability of the factor scores between first and second administrations ranges from 0.74 to 0.82.12 This Web-based neurocognitive assessment tool is 21 CFR Part 11– and Health on the Net (HON)–compliant to ensure patient confidentiality. Prior to undergoing the Web-based cognitive tests, all study participants completed a keyboard proficiency test as a “warm-up task” to the computerized assessment.

The patient-reported cognitive function tool used was the Patient Assessment of Own Functioning Scale (PAF).[13], [14] and [15] The PAF includes eight scales that are grouped into the nature of the ability being considered. The Memory, Sensory-Perceptual, and Cognitive-Intellectual subscales of the PAF are included in this self-assessment questionnaire. Respondents are asked to rate on a six-point scale, from almost always to almost never, how often they experience a particular kind of difficulty in their everyday lives. For this study, the Memory and Cognitive-Intellectual subscales of the PAF were used, similar to other clinical research protocols investigating cognitive changes during chemotherapy treatment.15 The PAF has been shown to be directly related to the Minnesota Multiphasic Personality Inventory (MMPI)13 and to be highly correlated with other cognitive impairment indices, such as the American College of Rheumatology neuropsychology research battery of tests.16 Of note, self-reported cognitive change has not been shown to correlate formal assessments of cognitive function among individuals who have experienced cancer.[17], [18], [19], [20] and [21]

The FACT-Ntx is a validated instrument[9] and [10] that was used to evaluate neurotoxicity. This scale includes 11 items: nine to assess neurotoxicity, one to assess bodily weakness, and one to assess anemia. Neurotoxicity may affect a patient's ability to use the keyboard in the computerized neurocognitive evaluation. This complete assessment battery of tests was completed at baseline (within 5 days of initiation of chemotherapy) and again during follow-up assessments at cycle three and cycle six of chemotherapy. The medical record was reviewed and data were abstracted related to chemotherapy medications, all concomitant medications, and blood test results (eg, hemoglobin, CA-125).

Statistical Plan

This prospective study was exploratory in nature and designed to collect pilot data to determine if there is evidence of neurocognitive change in attention, processing speed, response time, or self-reported cognitive function during the course of chemotherapy among women being treated for advanced ovarian cancer. The purpose of this study was to obtain preliminary estimates of the incidence and degree of cognitive decline to aid in the planning of future studies. While prior estimates of cognitive function were not available for this population, power analyses demonstrate that with a target recruitment goal of 30 patients, a McNemar's test has 78% power at the 0.05 level of significance to detect a significant decline in impairment in a cognitive domain if 12 patients are found to have impairment prior to course six of treatment (but not at course three) and if as few as two patients demonstrate impairment prior to course three but not at course six. This study was therefore powered to detect declines in one or more of the domains that may have occurred at less than both of the study time points following the baseline assessment.

To be considered fully evaluable, patients had to have completed at least one follow-up neurocognitive evaluation and may not have received antipsychotic neuropsychological medications during the study (eg, chlorpromazine, haloperidol, clozapine). Antidepressants and antianxiety medications (eg, serotonin/norepinephrine reuptake inhibitors or benzodiazepines) were permitted and use was recorded throughout study participation. A summary score for each cognitive domain (processing speed, reaction time, and attention) was recorded at each assessment time point using the HeadMinder Web-based assessment. This summary score was assessed by time (processing speed and reaction time), measured to the hundredth of a second, and by number of errors (attention). If a cognitive domain summary score at a follow-up assessment time declined at least one standard error of measurement (SEM) from baseline, the patient was considered to have experienced a decline at that time point. For the purposes of this article, such declines are referred to as “impairments” within the cognitive domain under investigation. A cognitive index score (CIS) was calculated as the number of cognitive domains impaired for the time point. The range of a CIS is 0–3, with zero equal to no impairment on any cognitive domain and three equal to impairment on all cognitive domains. Patients with only one cognitive domain decline (CIS = 1) at any one of the follow-up assessment time points were considered as having possible cognitive function decline. Patients with more than one cognitive domain impairment (CIS >1) at any follow-up assessment time points were considered as having evidence of cognitive function decline. The incidence of cognitive function impairment was determined by the percentage of patients who experienced any cognitive domain impairment (including possible and evidence of decline) at any follow-up assessment.

A repeated-measures analyses of variance (ANOVA) was used to further explore the neurocognitive values at the various time points during the study. Many of the neurocognitive values were not normally distributed but skewed either positively or negatively, so the square roots of the values were used in the analyses. Since this is an exploratory analysis, no corrections for multiple comparisons were performed.

The patient-reported cognitive function instrument (PAF) contains items scored on a Likert-type scale from almost never to almost always (range 0–5). Patient-reported outcomes as measured with the PAF are measured as mean scale values, ranging from 0, indicating no impairment, to 5.0, indicating complete impairment. PAF score ranges indicate low (≤1.25), medium (1.26–1.92), and high (≥1.93) levels of cognitive impairment.13 A total FACT-Ntx score was obtained; lower scores represent greater neurotoxicity, ranging from 0 (extreme neurotoxicity) to 44 (no neurotoxicity). The total score was reported, with adjustments made for missing values as described elsewhere.22

Results

Thirty patients were enrolled in this study; however, two were later deemed ineligible, and one was unable to complete the baseline neurocognitive assessment prior to chemotherapy and was withdrawn from the study, resulting in 27 patients available for assessment. Five of these patients did not complete all neurocognitive assessments. The primary reason for nonadherence to the study schedule was clinical scheduling (eg, chemotherapy was administered prior to the neurocognitive assessment). The characteristics of eligible patients are provided in Table 1. The majority of patients were receiving intravenous chemotherapy (intraperitoneal therapy was at first not permitted but later was allowable following an amendment to the protocol) and taking concomitant sleep, antianxiety, and/or antidepressant medications outside of every 3- to 4-week chemotherapy regimen (primarily zolpidem, lorazepam, sertraline, and/or trazodone).

 

 

Table 1. Characteristics of Eligible Participants

n = 27
Mean age, years (range)59.3 (40.3–81.5)
Education, n (%)
 High school or less3 (11.1%)
 Some college12 (44.4%)
 College graduate12 (44.4%)
Race/ethnicity, n (%)
 White, non-Hispanic25 (92.6%)
 Hispanic1 (3.7%)
 Native American1 (3.7%)
Marital status, n (%)
 Married/cohabitating19 (70.4%)
 Divorced/separated1 (3.7%)
 Widowed5 (18.5%)
 Never married2 (7.4%)
Mean courses of chemotherapy, n (range)5.9 (4–6)
Chemotherapy route, n (%)
 Intraperitoneal5 (18.5%)
 Intravenous22 (81.5%)
Concurrent medication use, n (%)
 Antidepressant7 (25.9%)
 Antianxiety16 (59.3%)
 Sleep aids5 (18.5%)


Web-Assessed Cognitive Function

Keyboard proficiency remained unchanged over time (P = 0.39). As shown in Table 2, most participants demonstrated cognitive impairments in at least one of the three cognitive domains assessed during this study (92% and 86% at course 3 and course 6, respectively). Nearly half of the study participants demonstrated impairment from baseline in two or more of the three cognitive domains assessed (Table 3). Table 4 shows a detailed summary of the subscales within the Web-based cognitive tests that comprised the CIS.This table demonstrates the statistically significant increase in test subscale errors, despite the test-taking improvements over time, as shown by reduction in testing time.

Table 2. Number and Percent of Patients Demonstrating Cognitive Impairments by Cognitive Domain as Measured by Web-Based Assessment

COGNITIVE DOMAINCOURSE 3COURSE 6
Attention10/25 (40%)8/22 (36%)
Processing speed10/25 (40%)11/22 (50%)
Reaction time16/25 (64%)11/22 (50%)

Table 3. Number and Percent of Patients Showing Impairment in Multiple Cognitive Domains as Measured by the Web-Assessed Cognitive Impairment Scale (CIS)

CISCOURSE 3COURSE 6
No decline (CIS = 0)2 (8%)3 (14%)
One impairment (CIS = 1)11 (44%)10 (45%)
Two impairments (CIS = 2)11 (44%)7 (32%)
Three impairments (CIS = 3)1 (4%)2 (9%)

Table 4. Subscales Within the Cognitive Domains Assessed by the Web-Based Assessment

COGNITIVE IMPAIRMENT SCALE (CIS) FACTORS
BASELINE
COURSE 3
COURSE 6
NMEANSDNMEANSDNMEANSDP
Attention
 Number recall (number correct)257.081.75257.162.03227.451.920.887
 Number sequencing (number correct)266.230.98255.962.65235.612.290.476
Processing speed
 Animal decoding (number of errors)250.40.5250.720.84233.260.86<0.0001
 Animal decoding (number correct)2532.486.482532.968.902332.228.700.678
 Symbol scanning (number correct)2718.591.152518.761.22118.671.350.883
 Symbol scanning (response time)274.381.37254.261.66213.610.840.002
Reaction time
 Response direction 1 (number of omissions)270.040.19260.622.3523000.028
 Response direction 1 (response time, seconds)270.520.06260.550.22230.520.070.567
 Response direction 2 (number of omissions)270.631.33260.52.18230.430.950.135
 Response direction 2 (response time, seconds)270.750.13260.720.20230.710.170.467
 Response direction, shift failures (number)274.333.13262.772.29233.042.580.007


Patient-Reported Cognitive Function

The mean values and 95% confidence intervals of the patient-reported cognitive function outcomes are presented in Figure 1. Mean values remained within the low impairment range (less than 1.25) during chemotherapy.



Figure 1. 

Mean Patient-Reported Cognitive Function Scores with 95% Confidence Intervals


Blood Chemistries and Toxicity

The mean values and 95% confidence intervals of significant differences in blood chemistries and toxicities are presented in [Figure 2] and [Figure 3]. Total patient-reported neurotoxicity increased significantly during chemotherapy (ANOVA; F = 6.851, P = 0.002), while several mean blood chemistry values decreased during chemotherapy treatment (hemoglobin F = 2.465, P = 0.09; white blood cell count F = 16.95, P < 0.001; platelets F = 13.72, P < 0.001; and CA-125 F = 4.91, P = 0.01). One study participant received a blood transfusion at the final course of chemotherapy, and two and three participants received cytokines (erythropoietin or darbepoietin) at course 3 and course 6, respectively.



Figure 2. 

Total Patient-Reported Neurotoxicity with 95% Confidence Intervals (Lower Scores Represent Greater Neurotoxicity)

Figure 3. 

Mean Hemoglobin, White Blood Cell, Platelet, and CA-125 Levels with 95% Confidence Intervals


Discussion

This study shows preliminary evidence that cognitive decline is a significant factor experienced by women who are treated for advanced ovarian cancer. Most participants self-reported mild declines, and these were detectable by a sensitive Web-based assessment tool. There are many potential mechanisms of cognitive decline during chemotherapy, ranging from oxidative damage to reduced blood oxygenation due to anemia to stress and anxiety. While it is outside of the scope of this small pilot study to examine the causative factors of decline, it does suggest the need for further investigation of the effect and potential mechanisms of cognitive decline in this population. While most of the prior work in cognitive function has been conducted among breast cancer patients, ovarian cancer patients appear to experience cognitive decline as well. There is a need to further understand this issue so that effective preventive or treatment strategies can be developed.

The significant increase in patient-reported neurotoxicity across each study visit may be a concern for computerized assessments that require dexterity. However, the keyboard proficiency tests did not decline over time, suggesting that the neurotoxicity reported by patients in this study was not great enough to affect their ability to use the computer keyboard. Patients appear to report higher levels of difficulty with memory (eg, forgetfulness) following diagnosis than following the initiation of chemotherapy; however, higher-level cognitive processes (eg, logic, organizational abilities, calculations) reported by patients appear to decline following the initiation of chemotherapy. Although larger, adequately powered trials are needed to determine the extent of this decline, this suggests that patients experience increasing challenges that may interfere with their ability to perform necessary tasks at work and in the household. Further work is needed to examine the duration of these effects following chemotherapy. Since the cognitive impact of chemotherapy reported by patients is mild, investigators must ensure the use of appropriate patient-reported tools that are able to detect these differences. While reported decline may occur, this is likely to remain within the mild category of traditional assessment tools. It is of benefit to use patient-reported tools such as the PAF that also permit the analysis of continuous data.

This study is limited by its design as a pilot study and was challenged by several logistical issues. Four patients were unable to complete all the neurocognitive evaluations. This was due to remote study staff, who would visit various clinics in the Tucson and Phoenix metropolitan regions in Arizona (range of travel more than 120 miles). The lack of completion was entirely due to communication and travel complications. When a patient was rescheduled to a different chemotherapy date, it was not always possible for this to be communicated to the Arizona Cancer Center researchers in a timely manner, resulting in missed visits. It is recommended for future studies that require strict timelines for study assessments (such as this cognitive function study) that the assessments be conducted by staff in those practices who can identify changes in infusion dates when they occur. This will reduce the communication barriers and rate of missed visits. This study was also not designed to be a comprehensive assessment of neurocognitive function but was focused on assessing three domains: attention, processing speed, and response time. It is possible that many other domains of cognitive function could be impacted by chemotherapy that were not evaluated in this study. Many patients were also taking antidepressant medications during the study; however, these were generally not new prescriptions and were also being taken at the baseline assessment. Nevertheless, future studies should incorporate assessments of mood, depression, and anxiety to account for the potential effect of these factors on cognitive assessment scores.

Despite these limitations, the study provides preliminary data demonstrating cognitive decline during chemotherapy among ovarian cancer patients treated in the front-line setting of advanced disease. More than 90% of all patients experienced measurable impairments in cognitive function during primary chemotherapy. More than half of all patients demonstrated impairment on two or more cognitive domains. Prior work has shown that even mild cognitive impairments can influence quality of life and the ability to perform routine daily activities (eg, taking medications, returning to work, managing household finances).23 The data emphasize the critical need to further understand the impact of chemotherapy on cognitive function among ovarian cancer patients so that effective preventive and treatment strategies can be developed. Additional research is needed to understand how long these declines may persist following chemotherapy treatment.

 

 

Acknowledgments

This study was funded by an investigator-initiated grant from Ortho Biotech, Inc., to the University of Arizona Cancer Center. Any opinions, findings, and conclusions or recommendations expressed in this material are those of the authors and do not necessarily reflect those of Ortho Biotech.

References1

1 J.S. Wefel, A.E. Kayl and C.A. Meyers, Neuropsychological dysfunction associated with cancer and cancer therapies: a conceptual review of an emerging target, Br J Cancer 90 (9) (2004), pp. 1691–1696. View Record in Scopus | Cited By in Scopus (48)

2 A.J. Saykin, T.A. Ahles and B.C. McDonald, Mechanisms of chemotherapy-induced cognitive disorders: neuropsychological, pathophysiological, and neuroimaging perspectives, Semin Clin Neuropsychiatry 8 (4) (2003), pp. 201–216. View Record in Scopus | Cited By in Scopus (63)

3 L.M. Hess and K.C. Insel, Chemotherapy-related change in cognitive function: a conceptual model, Oncol Nurs Forum 34 (5) (2007), pp. 981–994. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (11)

4 C.A. Meyers, Neurocognitive dysfunction in cancer patients, Oncology (Williston Park) 14 (1) (2000), pp. 75–79 discussion 9, 81–82, 85. View Record in Scopus | Cited By in Scopus (68)

5 M.L. Hensley, D.D. Correa and H. Thaler et al., Phase I/II study of weekly paclitaxel plus carboplatin and gemcitabine as first-line treatment of advanced-stage ovarian cancer: pathologic complete response and longitudinal assessment of impact on cognitive functioning, Gynecol Oncol 102 (2) (2006), pp. 270–277. Article |

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6 C.A. Meyers and J.S. Wefel, The use of the mini-mental state examination to assess cognitive functioning in cancer trials: no ifs, ands, buts, or sensitivity, J Clin Oncol 21 (19) (2003), pp. 3557–3558. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (55)

7 J. Vardy, K. Wong and Q.L. Yi et al., Assessing cognitive function in cancer patients, Support Care Cancer 14 (11) (2006), pp. 1111–1118. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (27)

8 J. Vardy, S. Rourke and I.F. Tannock, Evaluation of cognitive function associated with chemotherapy: a review of published studies and recommendations for future research, J Clin Oncol 25 (17) (2007), pp. 2455–2463. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (58)

9 H.Q. Huang, M.F. Brady, D. Cella and G. Fleming, Validation and reduction of FACT/GOG-Ntx subscale for platinum/paclitaxel-induced neurologic symptoms: a Gynecologic Oncology Group study, Int J Gynecol Cancer 17 (2) (2007), pp. 387–393. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (16)

10 E.A. Calhoun, E.E. Welshman and C.H. Chang et al., Psychometric evaluation of the Functional Assessment of Cancer Therapy/Gynecologic Oncology Group-Neurotoxicity (Fact/GOG-Ntx) questionnaire for patients receiving systemic chemotherapy, Int J Gynecol Cancer 13 (6) (2003), pp. 741–748. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (56)

11 D.M. Erlanger, D.J. Feldman, D. Kaplan and A. Theodoracopulos, Development and validation of the cognitive stability index, a Web-based protocol for monitoring change in cognitive function, Arch Clin Neuropsychol 15 (2000), pp. 693–694. Abstract |

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12 D.M. Erlanger, T. Kaushik, D. Broshek, J. Freeman, D. Feldman and J. Festa, Development and validation of a Web-based screening tool for monitoring cognitive status, J Head Trauma Rehabil 17 (5) (2002), pp. 458–476. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (22)

13 G.J. Chelune, R.K. Heaton and R.A.W. Lehman, Neuropsychological and personality correlates of patients' complaints of disability. In: G. Goldstein and R.E. Tarter, Editors, Advances in Clinical Neuropsychology, Plenum Press, New York (1986).

14 C.E. Schwartz, E. Kozora and Q. Zeng, Towards patient collaboration in cognitive assessment: specificity, sensitivity and incremental validity of self-report, Ann Behav Med 18 (3) (1996), pp. 177–184. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (16)

15 K. Paraska and C.M. Bender, Cognitive dysfunction following adjuvant chemotherapy for breast cancer: two case studies, Oncol Nurs Forum 30 (3) (2003), pp. 473–478. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (15)

16 E. Kozora, M.C. Ellison and S. West, Depression, fatigue, and pain in systemic lupus erythematosus (SLE): relationship to the American College of Rheumatology SLE neuropsychological battery, Arthritis Rheum 55 (4) (2006), pp. 628–635. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (36)

17 T.A. Ahles, A.J. Saykin and C.T. Furstenberg et al., Neuropsychologic impact of standard-dose systemic chemotherapy in long-term survivors of breast cancer and lymphoma, J Clin Oncol 20 (2) (2002), pp. 485–493. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (251)

18 P. Klepstad, P. Hilton, J. Moen, B. Fougner, P.C. Borchgrevink and S. Kaasa, Self-reports are not related to objective assessments of cognitive function and sedation in patients with cancer pain admitted to a palliative care unit, Palliat Med 16 (6) (2002), pp. 513–519. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (25)

19 S.B. Schagen, F.S. van Dam, M.J. Muller, W. Boogerd, J. Lindeboom and P.F. Bruning, Cognitive deficits after postoperative adjuvant chemotherapy for breast carcinoma, Cancer 85 (3) (1999), pp. 640–650. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (263)

20 S.B. Schagen, M.J. Muller and W. Boogerd et al., Late effects of adjuvant chemotherapy on cognitive function: a follow-up study in breast cancer patients, Ann Oncol 13 (9) (2002), pp. 1387–1397. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (99)

21 F.S. van Dam, S.B. Schagen and M.J. Muller et al., Impairment of cognitive function in women receiving adjuvant treatment for high-risk breast cancer: high-dose versus standard-dose chemotherapy, J Natl Cancer Inst 90 (3) (1998), pp. 210–218. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (322)

22 D.L. Fairclough and D.F. Cella, Functional Assessment of Cancer Therapy (FACT-G): non-response to individual questions, Qual Life Res 5 (1996), pp. 321–329. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (75)

23 C.L. Burton, E. Strauss, D.F. Hultsch and M.A. Hunter, Cognitive functioning and everyday problem solving in older adults, Clin Neuropsychol 20 (3) (2006), pp. 432–452. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (20)

 

 

Conflicts of interest: None to disclose.

Correspondence to: Lisa M. Hess, PhD, Indiana University School of Medicine, Department of Public Health, 714 N Senate Avenue, Indianapolis, IN 46202; telephone: (317) 274-3148; Fax (317) 274-3443


1 PubMed ID in brackets


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Cost–Utility Analysis of Palonosetron-Based Therapy in Preventing Emesis Among Breast Cancer Patients

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Cost–Utility Analysis of Palonosetron-Based Therapy in Preventing Emesis Among Breast Cancer Patients

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Cost–Utility Analysis of Palonosetron-Based Therapy in Preventing Emesis Among Breast Cancer Patients

Elenir B.C. Avritscher MD, PhD, MBA/MHA, a,

, Ya-Chen T. Shih PhDa, Charlotte C. Sun DrPHa, Richard J. Gralla MDa, Steven M. Grunberg MDa, Ying Xu MD, MSa and Linda S. Elting DrPHa

a Division of Quantitative Sciences, Department of Gynecologic Oncology, The University of Texas M. D. Anderson Cancer Center, Houston, Texas; The Monter Cancer Center, North Shore-Long Island Jewish Health System, Lake Success, New York; Division of Hematology/Oncology, University of Vermont, Burlington, Vermont

Received 8 February 2010; 

accepted 28 September 2010. 

Available online 25 January 2011.

Abstract

We estimated the cost-utility of palonosetron-based therapy compared with generic ondansetron-based therapy throughout four cycles of anthracycline and cyclophosphamide for treating women with breast cancer. We developed a Markov model comparing six strategies in which ondansetron and palonosetron are combined with either dexamethasone alone, dexamethasone plus aprepitant following emesis, or dexamethasone plus aprepitant up front. Data on the effectiveness of antiemetics and emesis-related utility were obtained from published sources. Relative to the ondansetron-based two-drug therapy, the incremental cost–effectiveness ratios for the palonosetron-based regimens were $115,490/quality-adjusted life years (QALY) for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy. In sensitivity analysis, using the $100,000/QALY benchmark, the palonosetron-based two-drug strategy and the two-drug regimen plus aprepitant following emesis were shown to be cost-effective in 39% and 26% of the Monte Carlo simulations, respectively, and with changes in values for the effectiveness of antiemetics and the rate of hospitalization. The cost-utility of palonosetron-based therapy exceeds the $100,000/QALY threshold. Future research incorporating the price structure of all antiemetics following ondansetron's recent patent expiration is needed.

Article Outline

Patients and Methods
Probability Data
Two-drug prophylactic regimens
Three-drug prophylactic regimens
Effectiveness of antiemetics over multiple cycles of chemotherapy
Resource Utilization and Cost Data
Utility Data
Analysis

Results

Discussion

Conclusion

Acknowledgements

References

Over the past decade, regimens containing anthracycline and cyclophosphamide (AC) have become the mainstay of adjuvant chemotherapy for treatment of breast cancer. Although each of these agents is individually considered moderately emetogenic, the combination of the two can lead to substantial nausea and vomiting.1 Despite remarkable recent progress in antiemetic prophylaxis, chemotherapy-induced emesis continues to be a major burden for patients with breast cancer and one of the most feared side effects of cancer treatment in general.[2] and [3]

Recent advances in emesis control have been possible due to the availability of increasingly more effective antiemetic agents. During the 1990s, the development of first-generation 5-hydroxytryptamine-3 (5-HT3) antagonists (ondansetron, granisetron, tropisetron, and dolasetron) marked a significant improvement in the control of emesis induced by chemotherapy, particularly acute emesis (ie, occurring within 24 hours following chemotherapy).

More recently, two new drugs—palonosetron, a second-generation 5-HT3 antagonist, and aprepitant, a centrally acting neurokinin-1 antagonist—were added to the armamentarium of antiemetic therapy. Compared with other single-dose 5-HT3 antagonists, palonosetron has a higher 5-HT3 binding affinity and longer plasma half-life and has shown superiority in the prevention of delayed emesis (ie, occurring more than 24 hours after chemotherapy administration) following moderately emetogenic chemotherapy with methotrexate, epirubicin, or cisplatin (MEC), including AC-based regimens.[4] and [5] In a recently published clinical trial conducted by Saito et al,6 palonosetron was also shown to be superior to granisetron in preventing delayed and overall emesis when both drugs were combined with dexamethasone following chemotherapy with either AC or cisplatin. As for aprepitant, when added to the standard of a 5-HT3 antagonist and dexamethasone therapy, it has been shown to improve emesis prevention among patients receiving AC-based chemotherapy during the acute, delayed, and overall periods.7

Such benefits have led to a recent revision in the antiemetics guidelines of both the American Society of Clinical Oncology (ASCO) and the National Comprehensive Cancer Network (NCCN), incorporating both palonosetron as one of the recommended 5-HT3 antagonists and aprepitant in combination with a 5-HT3 antagonist and dexamethasone for patients receiving AC-based chemotherapy.[8] and [9] Of note is that the revised 2010 NCCN antiemetic guidelines suggest that palonosetron may be used prior to the start of multiday chemotherapy, which is more likely to cause significant delayed emesis, instead of repeated daily doses of other first-generation 5-HT3 antagonists.9

Given the multiplicity of antiemetic strategies available for prophylaxis of nausea and vomiting associated with AC-based chemotherapy with inherent variability in effectiveness and price, it is critical for existing therapies to be analyzed in terms of both their outcomes and costs. Thus, the purpose of this study is to determine, from a third-party payer perspective, the cost-utility of palonosetron-based therapy in preventing emesis among breast cancer patients receiving four cycles of AC-based chemotherapy relative to generic ondansetron-based antiemetic therapy. Due to variations in the definition of complete emetic response found across antiemetic studies, the analysis will focus on chemotherapy-induced emesis only, rather than nausea and vomiting, as vomiting can be more objectively measured than nausea and, as such, has been more consistently reported.

Patients and Methods

We developed a Markov model to estimate the costs (in 2008 U.S. dollars) and health outcomes associated with emesis among breast cancer patients receiving multiple cycles of AC-based chemotherapy under six prophylactic strategies containing either generic ondansetron (onda) or palonosetron (palo) when each is combined with either dexamethasone (dex) alone, dex plus aprepitant in the subsequent cycles following the occurrence of emesis, or dex plus aprepitant up front (Figure 1). The time horizon for the risk of chemotherapy-induced emesis during each cycle of chemotherapy was 21 days, which is the standard duration of a cycle of AC-based chemotherapy.

 

 



Figure 1. 

Markov Model Comparing Palo-Based Therapy vs Onda-Based Therapy for Prophylaxis of Chemotherapy-Induced Emesis in Breast Cancer Patients Receiving Four Cycles of AC-Based Chemotherapy (1) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (2) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, onda 16 mg orally + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (3) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (4) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, palo 0.25 mg intravenously + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (5) Onda (16 mg orally) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. (6) Palo (0.25 mg intravenously) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. Palo = palonosetron; onda = ondansetron; AC = anthracycline and cyclophosphamide; dex, dexamethasone

We modeled emesis-related outcomes and direct medical costs (from a third-party payer perspective within the context of the U.S. health-care system) over a total of four cycles of chemotherapy as patients receiving AC-based regimens usually undergo at least four cycles of AC.10 We performed all analyses using TreeAge Pro 2009 Suite (Decision Analysis; TreeAge Software, Williamstown, MA). The study was submitted to our institutional review board and was determined to be exempt from review.

Probability Data

Two-drug prophylactic regimens

We estimated the effectiveness of the 5-HT3 antagonists based on secondary analysis of the raw data from the randomized clinical trial (RCT) directly comparing onda and palo when used alone for prevention of emesis associated with MEC, including 90 breast cancer patients from the palo 0.25-mg arm and 82 from the onda 32-mg arm who received AC-based chemotherapy (Table 1).5 Effectiveness estimates for palo 0.25 mg were augmented by data on 117 breast cancer patients on AC-based chemotherapy participating in a multicenter RCT comparing palo with dolasetron (Table 1).4 We assumed that dex adds the same relative benefit to either first- or second-generation 5-HT3 antagonists and obtained the expected additional benefit of dex in preventing acute emesis based on the results of an RCT comparing a single-dose of granisetron in combination with dex vs granisetron given alone to patients undergoing MEC (Table 2).11 Since in the aforementioned study dex was only given on day 1 of chemotherapy, the estimated additional benefit of adding dex to a 5-HT3 inhibitor on the delayed period was obtained from another RCT; this study, conducted by the Italian Group for Antiemetic Research, compared dex alone, dex plus onda, or placebo on days 2−5 of MEC.12

Table 1. Emesis Control During the Initial 5-Day Period Following Administration of AC-Based Chemotherapy to Patients with Breast Cancer

From Eisenberg et al4 and Gralla et al5

EMESIS CONTROLPALO (0.25 MG)[4] and [5] (n = 207), % PATIENTS (95% CI)ONDA (32 MG)5 (n = 82), % PATIENTS (95% CI)P
Acute (day 1)0.70 (0.63−0.76)0.61 (0.50−0.71)0.14
Delayed (days 2−5)0.65 (0.58−0.71)0.50 (0.39−0.61)0.02
Overall (days 1−5)0.55 (0.48−0.62)0.40 (0.30−0.52)0.02

AC = anthracycline and cyclophosphamide; palo = palonosetron; onda = ondansetron; CI = confidence interval

Table 2. Base-Case Probabilities, Utility Weights, and Data Sourcese

MODEL PARAMETERSBASE-CASE VALUES (RANGES)DATA SOURCES
Probability of acute emesis control on cycle 1 of AC:
 Onda-based two-drug strategyc0.84 (0.74−0.93)Gralla et al,a The Italian Group[5] and [11]
 Palo-based two-drug strategyc0.87 (0.81−0.94)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [11]
 Onda-based three-drug strategyd0.88 (0.85−0.91)Warr et al7
 Palo-based three-drug strategyd0.96 (0.89−0.99)Grote et al, Grunberg et al[40] and [41]
Probability of delayed emesis control following control of acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyd0.75 (0.62–0.85)The Italian Group12
 Palo-based two-drug strategyc0.85 (0.78–0.91)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.86 (0.82–0.90)Warr et al7
 Palo-based three-drug strategyc0.96 (0.91–0.97)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Probability of delayed emesis control following acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyc0.46 (0.31–0.62)Gralla et al,a The Italian Group[5] and [12]
 Palo-based two-drug strategyc0.44 (0.27–0.59)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.44 (0.29–0.57)Warr et al7
 Palo-based three-drug strategyc0.51 (0.41–0.67)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Relative probability of emesis control in subsequent cycles of ACc:
 Two-drug therapy0.987 (0.970–1.0)Herrstedt et al14e
 Three-drug therapy1.013 (1.0–1.030)Herrstedt et al14e
Probability of hospitalization (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.0035 (0.0001−0.019)Data from Medstat MarketScan16
 Palo-based regimens0.0017 (0.00004−0.0089)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of office visit use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.10 (0.07−0.14)Data from Medstat MarketScan16
 Palo-based regimens0.05 (0.03−0.07)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of rescue medicine utilization use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.61 (0.46−0.75)Gralla et al5a
 Palo-based regimens0.56 (0.45−0.66)Eisenberg et al, Gralla et al[4] and [5]a
Utility weights for emesis per cycle of ACf:
 Acute and delayed emesis0.15 (0.10−0.20)Sun et al20
 Acute emesis and no delayed emesis0.76 (0.70−0.83)Sun et al20
 No acute emesis and delayed emesis0.20 (0.14−0.26)Sun et al20
 No acute and no delayed emesis0.92 (0.86−0.99)Sun et al20

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron.

Included in the analysis was the subset of women with breast cancer receiving AC-based chemotherapy.We obtained an estimate of emesis-related hospitalization and office visit utilization based on data from Medstat MarketScan, HPM subset (Medstat Group, Inc., Ann Arbor, MI) on 707 breast cancer patients who received the first cycle of AC-based chemotherapy from 1996 to 2002 and either were admitted to the hospital or had an office visit for treatment of vomiting or dehydration. Since palo was only introduced into the U.S. market in 2003, we assumed that all these breast cancer patients received onda-based antiemetic prophylaxis. As a result, we estimated the differential rate of health-care resource utilization based on Haislip et al's19 reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting experienced by community-based breast cancer patients who received either onda or palo for emesis prophylaxis following the first cycle of chemotherapy.Of note is that there are two different methods for applying the benefit of adding dex and/or aprepitant to a 5-HT3 antagonist: (1) rate of emesis with 5-HT3* relative risk of emesis by adding dex and/or aprepitant and (2) rate of emesis control with 5-HT3 * relative risk of emesis control by adding dex and/or aprepitant. These produce substantially different results, with the former method skewing the results toward the least effective 5-HT3 and the latter skewing it toward the most effective one. As a result, we estimated the probability of emesis by averaging the results obtained using the two different methods. Of note is that the ranges for these effectiveness estimates were obtained by applying the two different methods to the lower and upper bounds of the 95% confidence intervals derived from the clinical trials comparing the 5-HT3 antagonists when used alone.Ranges were obtained by constructing 95% confidence intervals for observed proportions using the normal approximation to the binomial distribution.Ranges are based on the minimum and maximum values observed in Herrstedt et al's14 clinical trial of multicycle chemotherapy.Ranges are based on the estimate's actual 95% confidence intervals obtained from Sun et al's20 data.

 

 


Three-drug prophylactic regimens

We estimated the rate of acute emesis for the three-drug regimens based on data from published studies in which either onda or palo was given in combination with dex and aprepitant on day 1 of MEC (Table 2).[5], [7] and [13] Because aprepitant was either used in combination with dexamethasone or not used on days 2−3 in the trials of palo-based three-drug therapy, we estimated the benefit of adding aprepitant alone to palo on days 2−3 by assuming that the added benefit in the delayed period would be the same as the benefit added to onda. Specifically, we obtained information on the relative risk of delayed emesis control when aprepitant is added on days 2−3 from a large clinical trial of aprepitant combined with onda and dex in breast cancer patients receiving either A or AC chemotherapy (Table 2).7

Effectiveness of antiemetics over multiple cycles of chemotherapy

The estimates of changes in the probability of emesis control over multiple cycles of chemotherapy were obtained from a RCT conducted by Herrstedt et al14 of ondansetron-based two- and three-drug regimens for prevention of chemotherapy-induced nausea and vomiting among breast cancer patients undergoing multiple cycles of AC-based chemotherapy. We assumed that changes in emesis control over four cycles of AC for the palo-based two- and three-drug regimens were similar to the observed changes for the onda-based two- and three-drug strategies, respectively.14

Resource Utilization and Cost Data

The cost of antiemetic prophylaxis was based on the 2008 Medicare Part B reimbursement rates for pharmaceuticals, which reflects the price of ondansetron following its recent patent expiration (Table 3).15 The costs of prophylaxis failures were estimated as follows. In the majority of prophylaxis failures, the only cost is the cost of rescue medication. In such cases, we obtained costs by multiplying the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron by their unit costs based on the 2008 Medicare Part B reimbursement rates.[5] and [15] For the few patients who are seen in the office for uncontrolled emesis, we obtained estimates of the risk of such emesis-related office visits based on the MarketScan Health Productivity Management (HPM) database from Thomson Reuters on 707 breast cancer patients who received their first cycle of AC-based chemotherapy between 1997 and 2002 (Table 2) and its costs from the 2008 Medicare Physician Fee Schedule Reimbursement for a level III office visit (CPT 99213).[16] and [17]

Table 3. Emesis-Related Base-Case Costs per Cycle of AC-Based Chemotherapy Among Breast Cancer Patients

COST COMPONENT2008 U.S.$ (RANGES)DATA SOURCE
Hospitalization$5,237.00 ($3,921−$6,112)aHCUP charge data18
Consumer Price Index42
Medicare cost-to-charge ratio43
Level III office visit (CPT 99213)$60.30 ($19.96–$122.46)d2008 Medicare Physician Fee Schedule Reimbursement17
Prophylactic antiemetics2008 Medicare Part B reimbursement rates for pharmaceuticals15
 Onda-based two-drug regimen$49.74
 Palo-based two-drug regimen$207.20
 Onda-based three-drug regimen$324.51
 Palo-based three-drug regimen$482.46
Rescue medicinesb$35.25 ($21.66–$48.80)cEisenberg et al,4 Gralla et al,5 2008 Medicare Part B reimbursement rates for pharmaceuticals15

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron; HCUP = Healthcare Cost and Utilization Project

Charges were inflated to 2008 U.S. dollars using the Consumer Price Index (CPI) for medical care and adjusted to costs using Medicare cost-to-charge ratio. The ranges were based on estimates of the 95% confidence interval.In the randomized clinical trial directly comparing ondansetron and palonosetron, propulsives accounted for 71% of the rescue medicines used, 5-hydroxytryptamine antagonists for 20%, glucocorticoids for 7%, and aminoalkyl ethers for 2%.5Costs for rescue medication were obtained by multiplying all drug unit costs by the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron.[5] and [15] The ranges were based on estimates of the 95% confidence interval.Ranges were based on the Medicare physician fee schedule for levels I and VI office visits.

Finally, although hospitalization for emesis is extremely rare in this population, when it occurs, it is quite expensive. For completeness, we obtained estimates of the risk of emesis-related hospitalization from the same population of breast cancer patients from whom we obtained the estimate for the risk of emesis-related office visit, whereas hospital costs were obtained from Healthcare Cost and Utilization Project (HCUP) data on 2,342 breast cancer patients who were hospitalized with a primary or admitting diagnosis of vomiting or dehydration from 1997 to 2003 ([Table 2] and [Table 3]).[16] and [18]

Of note is that since palo was only introduced into the U.S. market in 2003, we anticipated the observed risk of emesis-related office visit and hospital admission obtained from MarketScan data during the period 1997−2002 reflected the risk associated with prophylaxis with onda. As a result, given that, when compared with onda, palo has also shown superiority in reducing the severity of emetic episodes when they occur, we estimated the differential rate of health-care resource utilization for palo and onda based on Haislip et al's reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting (CINV) experienced by community-based breast cancer patients who received either palo or onda for emesis prophylaxis following the first cycle of chemotherapy (Table 2).[5] and [19]

Utility Data

We obtained the utility weights for acute and delayed emesis from a published study of preferences elicited from ovarian cancer patients undergoing chemotherapy using a modified visual analog scale (VAS) (Table 2).20 We equally applied these emesis-related utility weights to the initial 5-day period of chemotherapy (the standard duration of follow-up in clinical trials of prophylactic antiemetics) in all six prophylactic strategies of the decision tree. Furthermore, because the risk of CINV after 5 days of chemotherapy is usually so negligible as to be unmeasured in clinical trials of antiemetics, we assumed the utility weights for the remaining 16 days of each of the chemotherapy cycles to be the same as the weight associated with complete emesis control (ie, 0.92). We subsequently converted the resulting estimates of quality-adjusted life days into quality-adjusted life years (QALY).

Analysis

We used a stepwise method to calculate the incremental cost–effectiveness ratios of the different prophylactic therapy strategies, with the generic onda-based two-drug therapy (ie, the lowest cost strategy) as the base comparator (also known as the “anchor”).21 We adopted the benchmark range of U.S. $50,000−$100,000 per QALY, which has been commonly cited for oncology-related interventions as the threshold for acceptable cost–effectiveness, and examined the robustness of the results by performing one-way sensitivity analyses of plausible ranges for the model's key parameters based on the data sources used as well as probabilistic sensitivity analysis using Monte Carlo simulation.[21] and [22]

Results

The overall rate of emesis control (on days 1−5) among breast cancer patients following a cycle of AC-based chemotherapy was estimated to be 63% (range 46%−79%) for the onda-based two-drug therapy, 74% (range 66%−85%) for the palo-based two-drug therapy, 76% (range 75%−82%) for the onda-based three-drug therapy, and 92% (range 81%−96%) for the palo-based three-drug therapy. Based on these estimates, relative to the onda-based two-drug therapy, the incremental cost–effectiveness ratios (ICERs) for the palo-based regimens were $115,490/QALY for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy (Table 4). The onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance as it has a greater ICER than the next more effective therapy, the palo-based two-drug treatment strategy (Table 4). The onda-based three-drug strategy was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis as the former strategy is both less effective and more expensive than the latter (Table 4).

 

 

Table 4. Stepwise Comparison of Costs (2008 U.S. dollars) per QALY of the Different Prophylactic Therapy Strategies over Four Cycles of AC-Based Chemotherapy, with the Onda-Based Two-Drug Therapy as the Base Comparator

STRATEGYTOTAL COST (U.S.$)INCREMENTAL COST (U.S.$)EFFECTIVENESS (QALY)INCREMENTAL EFFECTIVENESS (QALY)INCREMENTAL COST–EFFECTIVENESS (U.S.$/QALY)
Onda-based two-drug therapy$2690.1989
Onda-based two-drug therapy with aprepitant after emesis$635$3660.20100.0021$174, 286 Eliminated through extended dominancea
Palo-based two-drug therapy$858$5890.20400.0051$115,490c
Palo-based two-drug therapy plus aprepitant after emesis$1,177$3190.20560.0016199,375
Onda-based three-drug therapy$1,336$1590.205(0.0006)Dominatedb
Palo-based three-drug therapy$1,939$6030.20940.0044$200,526d

QALY = quality-adjusted life year; AC = anthracycline and cyclophosphamide; ICER = incremental cost–effectiveness ratio; onda = ondansetron; palo = palonosetron

Extended dominance occurs when one of the treatment alternatives has a greater ICER than the next more effective alternative.One intervention is said to be dominated by another when it is both less effective and more expensive than the previous less costly alternative.Because the onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance, the palo-based two-drug therapy was compared with the onda-based two-drug therapy.Because the onda-based three-drug combination was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis, the palo-based three-drug therapy was compared with the latter regimen.

In sensitivity analyses using the commonly accepted cost–effectiveness benchmark range of $50,000−$100,000/QALY, the results were sensitive to changes in the overall emesis control rates for the onda-based two-drug strategy. If the probability of overall emesis control for the onda-based two-drug strategy was as low as its estimated lower bound (46%), the ICER for the palo-based two-drug treatment alternative would drop to $53,892/QALY. The results were also sensitive to changes in the effectiveness for the palo-based two-drug regimen: When its overall control rate was as high as its estimated upper bound (86%), its ICER would be $71,472. In contrast, the results were not sensitive to variations in the probability of overall emesis control for the three-drug strategies, nor were they sensitive to changes in the relative probability of emesis control in subsequent cycles of AC for either the two- or three-drug strategies.

If the probability of emesis-related hospitalization was as high as the upper limit of its 95% confidence interval (CI), the ICER for the palo-based two-drug regimen would be $97,301/QALY. However, changes in the cost of an emesis-related admission (95% CI $3,921−$6,112) did not significantly alter the results, nor did variations in office visit and rescue medicine utilization and their associated costs. The results were also not sensitive to variations in the values for the utility weights throughout their 95% CIs. We performed a threshold analysis to explore the price per dose of palo that would result in an acceptable cost–effectiveness ratio under the $100,000/QALY benchmark and found that the ICER for the palo-based two-drug treatment alternative would only fall to a $100,000/QALY threshold when the cost of palo is decreased by 11%.

Figure 2 shows the cost–effectiveness acceptability curves for each strategy, with the onda-based two-drug therapy as the base comparator. These curves show the proportion of the 100,000 simulations in which the comparing antiemetic regimen was considered more cost-effective than the base comparator at different thresholds. Using the benchmark of U.S. $100,000/QALY, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective in 39% and 26% of the simulations with the onda-based standard therapy as the baseline, respectively, whereas the palo-based and onda-based three-drug strategies and the onda-based two-drug regimen with aprepitant after emesis were cost-effective in fewer than 10% of the simulations. Of note is that the slope of the acceptability curves for the palo-based two-drug strategies are steep when willingness to pay exceeds $50,000/QALY, indicating that the greater the threshold, the greater the increase in the level of confidence that these strategies could be cost-effective. For example, the probability that the palo-based two-drug strategy is more cost-effective than the onda-based two-drug strategy rises to 51% at a threshold value of $125,000/QALY and exceeds 60% at $150,000/QALY.



Figure 2. 

Acceptability Curves in Terms of Likelihood of a Strategy Being Cost-Effective in Monte Carlo Simulations Relative to Willingness to Pay (2008 U.S.$) per Quality-Adjusted Life Year (QALY) with the Onda-Based Two-Drug Therapy as the Base Comparator

 

 

Figure 3 presents the scatterplot of the results of the probabilistic sensitivity analysis for the palo-based two-drug strategy. Nearly 96% of the simulations fell within the first quadrant of the chart (ie, on the upper right quadrant), which represents the scenario where the palo-based two-drug therapy is more costly but also more effective than the onda-based standard therapy. However, only 39% of the simulations fell below the $100,000/QALY dashed threshold line, which represents the scenario where the palo-based two-drug strategy is more cost-effective than the onda-based standard therapy at the $100,000/QALY benchmark.



Figure 3. 

Scatterplot of the Incremental Cost–Effectiveness Ratios Comparing the Palo-Based Two-Drug Strategy with the Onda-Based Two-Drug Therapy. The dashed line indicates the $100,000/QALY threshold, whereas the ellipse represents the 95% confidence ellipse, which includes 95% of the observations


Discussion

Our estimates of emesis-related costs and outcomes following four cycles of AC-based chemotherapy in women with breast cancer indicate that at current antiemetic prices and utilities placed on emesis, the additional costs of palo and aprepitant are not warranted at the $100,000/QALY threshold. In probabilistic sensitivity analysis, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective at the $100,000/QALY threshold in only 39% and 26% of the simulations, respectively. The model was sensitive to changes in the values of antiemetic effectiveness for the two-drug regimens and the risk of emesis-related hospitalization.

In threshold analysis, the two-drug palo-based regimen was cost-effective at the $100,000/QALY benchmark when the cost of palo is decreased by 11%. Because the use of the $100,000/QALY threshold is uncommon in clinical practice, the cost-effectiveness of the palo-based two-drug strategy (estimated at $115,490/QALY in our study) compares favorably with other commonly used supportive care measures for women with breast cancer. Such measures include primary prophylaxis with granulocyte colony-stimulating factor in women undergoing chemotherapy with moderate to high myelosuppressive risk (ICER of $116,000/QALY, or $125,948/QALY in 2008 U.S. dollars) and the use of bisphosphonates for the prevention of skeletal complications in breast cancer patients with lytic bone metastases (ICER ranging from $108,200/QALY with chemotherapy as systemic therapy to $305,300 in conjunction with hormonal systemic therapy, or $166,381/QALY to $469,466/QALY in 2008 U.S. dollars, respectively).[23] and [24] Both interventions are considered recommended standards of supportive care for patients with breast cancer and are widely used in breast oncology practices.[25] and [26]

Decision-analytic models, such as the Markov model presented in our study, aim to reflect the reality of clinical practice in a simplified way. Therefore, modelers often need to make decisions regarding the study time frame and model parameters based on the best use of available data. In our study, we obtained estimates for the probability of chemotherapy-induced emesis from studies in which the standard duration of follow-up is 5 days. By so doing, we may have underestimated the cost-effectiveness for the palo-based and aprepitant-based regimens. Although the risk of CINV after 5 days of chemotherapy is usually negligible, anticipation of vomiting may affect a patient's quality of life throughout the cycle of chemotherapy.

In addition, our estimates of costs, which were mostly obtained from Medicare, may differ from those of other third-party payers. However, Medicare is among the largest payers for breast cancer care as 42% of the women diagnosed with cancer in the United States are older than 64 years, and many private organizations set their own reimbursement rates based on the Medicare schedule. Therefore, we believe that Medicare reimbursement data provide a suitable estimate for emesis-related medical costs for all breast cancer patients in the United States.[27] and [28]

The present results should solely be interpreted in light of the cost–effectiveness benchmark of $50,000−$100,000/QALY, which has been frequently used in the context of the U.S. health-care system.[22] and [29] Such a benchmark, however, is a historic, precedent-based threshold set by the cost of caring for patients on dialysis, which was estimated at $50,000/QALY in 1982 ($74,000−$95,000 in 1997 U.S. dollars).[30] and [31] Given the arbitrariness of such a threshold, it has been suggested that the current willingness to pay for medical interventions in the United States probably exceeds $100,000/QALY, with values as high as $300,000/QALY being cited in some oncology publications.[22], [29], [31], [32], [33] and [34] In support of that argument is the public and policy makers' strong negative reaction to the National Institutes of Health Consensus Panel not recommending mammography screening for women aged 40−49 years, a procedure reported to provide an ICER of $105,000 per life-year gained.[35] and [36] As a result, if willingness to pay goes beyond $100,000/QALY, the alternative of adding aprepitant to palo plus dex may also be deemed attractive as the slope of its acceptability curve becomes substantially steep when the willingness to pay for a QALY exceeds $125,000 (Figure 2), suggesting that its marginal gain may exceed its marginal costs at higher thresholds.

In addition, it is worth noting that the present analysis has been conducted from the perspective of a third-party payer within the context of the U.S. health-care system. The large difference in the acquisition cost of palo-based and onda-based therapy observed in the United States is mostly driven by the differential stage of product life cycles for palo and onda. Although at the time of this study palo was still under patent protection, generic onda had entered the U.S. market prior to our study. The large price discrepancy between brand and generic drugs explains the difference in drug costs in this U.S.-based analysis. As such, our results may not reflect the situation in countries with a widely different cost structure, in which the acquisition cost of palo may be substantially lower. When that is the case, the cost–effectiveness profile of the palo-based prophylactic therapy may be deemed substantially more favorable than the profile presented here. Similarly, we anticipate finding a more attractive cost–effectiveness profile for the palo-based therapies as palo reaches the end of its product life cycle in the U.S. market.37 Also of note is that the cost–effectiveness of the palo-based therapy may greatly differ when different perspectives (other than the third-party payer's perspective) are adopted.

Our study, however, has several limitations. First, the utility scores used in our model were derived with a VAS instrument, which does not incorporate patients' preferences under uncertainty. Nevertheless, the VAS approach has been shown to provide utility scores for nausea and vomiting with more variability than scores derived using other methods such as the Standard Gamble (personal communication, Grunberg SM et al, CALGB study 309801). Notwithstanding that, it remains unclear which method gives utility scores for transient health states, such as CINV, with the greatest validity.

Also of note is that due to a lack of information on emesis-related utilities among breast cancer patients in the literature, we used utilities elicited from patients with ovarian cancer. To the best of our knowledge, the utilities in Sun et al20 were the only ones available in the literature that were elicited from a homogeneous population of cancer patients (ie, solely patients with ovarian cancer) and were based on a wide range of health states combining the presence and absence of emesis during either the acute or the delayed period. In addition, the participants in the Sun et al study were treated with carboplatin, which, like the regimen used in our model, is classified as moderately emetogenic in established antiemetic guidelines.[8], [9] and [38] It is also important to emphasize that the population in that study, like our study's population, was composed exclusively of women, who are known to be at increased risk for developing CINV.39

Second, in the absence of clinical trial data, we assumed conservatively that dex and aprepitant add the same relative benefit to both onda and palo. This assumption results in an imperfect estimate of cost–effectiveness. As such, we may have overestimated or underestimated the cost–effectiveness of palo as dex and aprepitant may potentially add less value to the intrinsically more active 5-HT3 antagonist or uniquely complementary mechanisms of action could contribute to even greater activity with the palo-based therapy. However, our study's estimate of the relative effectiveness of the palo-based two-drug prophylactic therapy versus the onda-based two-drug therapy for preventing delayed emesis is consistent with that reported in a recently published clinical trial comparing palo and granisetron when both drugs are combined with dex following chemotherapy with either AC or cisplatin (1.18 vs 1.17, respectively).6

Third, our study did not include the outcomes associated with the adverse effects of antiemetics, and by so doing, we may have underestimated the costs associated with antiemetic prophylaxis. However, the incidence and duration of treatment-related adverse events occurring in the two RCTs comparing palo with either onda or dolasetron were mild and similar across treatment cohorts.[4] and [5]

Fourth, we assumed that changes in emesis control in subsequent cycles of AC for the palo-based regimens were the same as for the onda-based therapy. By so doing, we may have underestimated the cost–effectiveness of palo as the superiority of the more active 5-HT3 antagonist could be maintained in the subsequent cycles of chemotherapy (or even increased, as seen in the aprepitant-based arm of Herrstedt et al's14 study). As a result, if future prospective trials of palo-based antiemetic prophylaxis confirm its superiority in maintaining antiemetic efficacy over multiple cycles of AC, the cost–effectiveness profiles for the palo-based strategies may be more favorable than the profiles presented herein.

Last, the incremental gains in QALY observed in cost–utility analysis of interventions associated with transitory and non-life-threatening health states, such as the antiemetic regimens analyzed in our study, tend to render small denominators to be used in the incremental cost–effectiveness ratios. The issue of small denominators has led some researchers to question whether the current methodology of cost–effectiveness analysis is appropriate to determine the cost–effectiveness of treatments for terminal or supportive care.32 However, despite this shortcoming, these types of analysis benefit from having a wider scope as they allow comparisons over different types of health interventions across various diseases. In addition, by incorporating patients' utility levels over different health states (instead of merely looking into cost per additional patient controlled), cost–utility analysis makes explicit the impact of the target population's preferences for the different outcomes. Of importance is that both the Panel on Cost–Effectiveness in Health and Medicine and the Institute of Medicine (IOM) Committee on Regulatory Cost–Effectiveness Analysis recommend the use of QALY as the preferred outcome measure for economic evaluation of health-care interventions.

Conclusion

Although our base-case analysis suggests that, from a third-party payer perspective within the context of the U.S. health-care system, the cost–utility of the palo-based two-drug prophylactic therapy for breast cancer patients receiving four cycles of AC-based chemotherapy exceeds the $50,000–$100,000/QALY threshold, it is comparable to other commonly used supportive care interventions for women with breast cancer. In sensitivity analyses, such a strategy was associated with a 39% chance of being cost-effective at the $100,000/QALY threshold, and the model was sensitive to changes in the values of antiemetic effectiveness and of the probability of emesis-related hospitalization. In threshold analysis, the combination of palo and dex was shown to become cost-effective (at the $100,000/QALY benchmark) when the cost of palo is decreased by 11%. As a result, future research incorporating the price structure of all antiemetics following the recent expiration of onda's patent is needed.

 

 

Acknowledgments

The authors thank Dr. Sharon H. Giordano for providing valuable clinical input and Dr. Catherine D. Cooksley for providing suggestions for improving this article.

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15 Centers for Medicare and Medicaid Services, Medicare Part B Drug Average Sales Price: 2008 ASP Drug Pricing Files http://www.cms.hhs.gov/apps/ama/license.asp?file=/McrPartBDrugAvgSalesPrice/downloads/July2008ASPPricingFilebyHCPCS.zip Accessed July 18, 2008.

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19 S. Haislip, J. Gilmore, W.H. Lenz, T. Gondesen and B. Feinberg, Theory in practice: improving patient outcomes and practice efficiency with a simple change in 5-HT3 receptor antagonist for preventing chemotherapy-induced nausea and vomiting (CINV) In: Third Annual Meeting of the Hematology/Oncology Pharmacy Association; Abstract #PR6. June 14–16, 2007; Denver, Colorado http://www.hoparx.org/documents/2007programbook.pdf Accessed November 2, 2010.

20 C.C. Sun, D.C. Bodurka and C.B. Weaver et al., Rankings and symptom assessments of side effects from chemotherapy: insights from experienced patients with ovarian cancer, Support Care Cancer 13 (2005), pp. 219–227 [15538640]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (53)

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25 B.E. Hillner, J.N. Ingle, R.T. Chlebowski et al. and American Society of Clinical Oncology, American Society of Clinical Oncology 2003 update on the role of bisphosphonates and bone health issues in women with breast cancer, J Clin Oncol 21 (2003), pp. 4042–4057 [12963702]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (533)

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29 P.A. Ubel, R.A. Hirth, M.E. Chernew and A.M. Fendrick, What is the price of life and why doesn't it increase at the rate of inflation?, Arch Intern Med 163 (2003), pp. 1637–1641 [12885677]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (225)

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34 R.S. Braithwaite, D.O. Meltzer, J.T. King Jr, D. Leslie and M.S. Roberts, What does the value of modern medicine say about the $50,000 per quality-adjusted life-year decision rule?, Med Care 46 (2008), pp. 349–356 [18362813]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (64)

35 National Institutes of Health Consensus Development Panel, 1997 Consensus Statement: Breast Cancer Screening for Women Ages 40–49 http://consensus.nih.gov/1997/1997BreastCancerScreening103html.htm Accessed October 13, 2007.

36 P. Salzmann, K. Kerlikowske and K. Phillips, Cost–effectiveness of extending screening mammography guidelines to include women 40 to 49 years of age, Ann Intern Med 127 (1997), pp. 955–965 [9412300]. View Record in Scopus | Cited By in Scopus (169)

37 Y.C. Shih, S. Han and S.B. Cantor, Impact of generic drug entry on cost–effectiveness analysis, Med Decis Making 25 (2005), pp. 71–80 [15673583]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (6)

38 F. Roila, P.J. Hesketh, J. Herrstedt and Antiemetic Subcommittee of the Multinational Association of Supportive Care in Cancer, Prevention of chemotherapy- and radiotherapy-induced emesis: results of the 2004 Perugia International Antiemetic Consensus Conference, Ann Oncol 17 (2006), pp. 20–28 [16314401]. View Record in Scopus | Cited By in Scopus (90)

39 S.M. Grunberg and A. Ireland, Epidemiology of chemotherapy-induced nausea and vomiting, Adv Studies Nurs 3 (1) (2005), pp. 9–15 http://www.jhasin.com/files/articlefiles/pdf/XASIN_3_1_p9_15.pdf Accessed September 16, 2010.

40 T. Grote, J. Hajdenberg, A. Cartmell, S. Ferguson, A. Ginkel and V. Charu, Combination therapy for chemotherapy-induced nausea and vomiting in patients receiving moderately emetogenic chemotherapy: palonosetron, dexamethasone, and aprepitant, J Support Oncol 4 (2006), pp. 403–408 [17004515]. View Record in Scopus | Cited By in Scopus (38)

41 S.M. Grunberg, M. Dugan, H.B. Muss, M. Wood, S. Burdette-Radoux and T. Weisberg, Efficacy of a 1-day 3-drug antiemetic regimen for prevention of acute and delayed nausea and vomiting induced by moderately emetogenic chemotherapy, J Clin Oncol 25 (18S) (2007), p. 9111.

42 U. S. Department of Labor. Bureau of Labor Statistics. Consumer Price Index http://www.bls.gov/cpi/home.htm Accessed May 16, 2010.

43 Department of Health and Human Services. Centers for Medicare & Medicaid Services, Medicare Program; Proposed Changes to the Hospital Inpatient Prospective Payment Systems and Fiscal Year 2008 Rates CMS-1533-P, pp 1070–1073 http://www.cms.hhs.gov/AcuteInpatientPPS/downloads/CMS-1533-P.pdf Accessed May 16, 2010.

 

 

This study was supported in part by a grant from MGI Pharma, Inc. MGI Pharma, Inc., had no role in the study design, data analysis, interpretation of results, content of the final article, or the decision to submit it for publication.

Conflicts of interest: Dr. Sun discloses that her husband was an employee of MGI Pharma, Inc., at the time this article was being written. Dr. Gralla discloses that he is a consultant for MGI Pharma, Inc., GlaxoSmithKline, Sanofi-aventis, and Merck; he also receives honoraria from MGI Pharma, Inc., and Merck and research support from Sanofi-aventis. Dr. Grunberg discloses that he is a consultant for MGI Pharma, Inc.

Correspondence to: Elenir B. C. Avritscher, MD, PhD, MBA/MHA, Section of Health Services Research, Department of Biostatistics and Applied Mathematics, The University of Texas M. D. Anderson Cancer Center, 1400 Pressler Street, Unit 1411, Houston, TX 77230; telephone: (713) 563-8920; fax: (713) 563-4243


1 PubMed ID in brackets


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 242-25
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Original research

Cost–Utility Analysis of Palonosetron-Based Therapy in Preventing Emesis Among Breast Cancer Patients

Elenir B.C. Avritscher MD, PhD, MBA/MHA, a,

, Ya-Chen T. Shih PhDa, Charlotte C. Sun DrPHa, Richard J. Gralla MDa, Steven M. Grunberg MDa, Ying Xu MD, MSa and Linda S. Elting DrPHa

a Division of Quantitative Sciences, Department of Gynecologic Oncology, The University of Texas M. D. Anderson Cancer Center, Houston, Texas; The Monter Cancer Center, North Shore-Long Island Jewish Health System, Lake Success, New York; Division of Hematology/Oncology, University of Vermont, Burlington, Vermont

Received 8 February 2010; 

accepted 28 September 2010. 

Available online 25 January 2011.

Abstract

We estimated the cost-utility of palonosetron-based therapy compared with generic ondansetron-based therapy throughout four cycles of anthracycline and cyclophosphamide for treating women with breast cancer. We developed a Markov model comparing six strategies in which ondansetron and palonosetron are combined with either dexamethasone alone, dexamethasone plus aprepitant following emesis, or dexamethasone plus aprepitant up front. Data on the effectiveness of antiemetics and emesis-related utility were obtained from published sources. Relative to the ondansetron-based two-drug therapy, the incremental cost–effectiveness ratios for the palonosetron-based regimens were $115,490/quality-adjusted life years (QALY) for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy. In sensitivity analysis, using the $100,000/QALY benchmark, the palonosetron-based two-drug strategy and the two-drug regimen plus aprepitant following emesis were shown to be cost-effective in 39% and 26% of the Monte Carlo simulations, respectively, and with changes in values for the effectiveness of antiemetics and the rate of hospitalization. The cost-utility of palonosetron-based therapy exceeds the $100,000/QALY threshold. Future research incorporating the price structure of all antiemetics following ondansetron's recent patent expiration is needed.

Article Outline

Patients and Methods
Probability Data
Two-drug prophylactic regimens
Three-drug prophylactic regimens
Effectiveness of antiemetics over multiple cycles of chemotherapy
Resource Utilization and Cost Data
Utility Data
Analysis

Results

Discussion

Conclusion

Acknowledgements

References

Over the past decade, regimens containing anthracycline and cyclophosphamide (AC) have become the mainstay of adjuvant chemotherapy for treatment of breast cancer. Although each of these agents is individually considered moderately emetogenic, the combination of the two can lead to substantial nausea and vomiting.1 Despite remarkable recent progress in antiemetic prophylaxis, chemotherapy-induced emesis continues to be a major burden for patients with breast cancer and one of the most feared side effects of cancer treatment in general.[2] and [3]

Recent advances in emesis control have been possible due to the availability of increasingly more effective antiemetic agents. During the 1990s, the development of first-generation 5-hydroxytryptamine-3 (5-HT3) antagonists (ondansetron, granisetron, tropisetron, and dolasetron) marked a significant improvement in the control of emesis induced by chemotherapy, particularly acute emesis (ie, occurring within 24 hours following chemotherapy).

More recently, two new drugs—palonosetron, a second-generation 5-HT3 antagonist, and aprepitant, a centrally acting neurokinin-1 antagonist—were added to the armamentarium of antiemetic therapy. Compared with other single-dose 5-HT3 antagonists, palonosetron has a higher 5-HT3 binding affinity and longer plasma half-life and has shown superiority in the prevention of delayed emesis (ie, occurring more than 24 hours after chemotherapy administration) following moderately emetogenic chemotherapy with methotrexate, epirubicin, or cisplatin (MEC), including AC-based regimens.[4] and [5] In a recently published clinical trial conducted by Saito et al,6 palonosetron was also shown to be superior to granisetron in preventing delayed and overall emesis when both drugs were combined with dexamethasone following chemotherapy with either AC or cisplatin. As for aprepitant, when added to the standard of a 5-HT3 antagonist and dexamethasone therapy, it has been shown to improve emesis prevention among patients receiving AC-based chemotherapy during the acute, delayed, and overall periods.7

Such benefits have led to a recent revision in the antiemetics guidelines of both the American Society of Clinical Oncology (ASCO) and the National Comprehensive Cancer Network (NCCN), incorporating both palonosetron as one of the recommended 5-HT3 antagonists and aprepitant in combination with a 5-HT3 antagonist and dexamethasone for patients receiving AC-based chemotherapy.[8] and [9] Of note is that the revised 2010 NCCN antiemetic guidelines suggest that palonosetron may be used prior to the start of multiday chemotherapy, which is more likely to cause significant delayed emesis, instead of repeated daily doses of other first-generation 5-HT3 antagonists.9

Given the multiplicity of antiemetic strategies available for prophylaxis of nausea and vomiting associated with AC-based chemotherapy with inherent variability in effectiveness and price, it is critical for existing therapies to be analyzed in terms of both their outcomes and costs. Thus, the purpose of this study is to determine, from a third-party payer perspective, the cost-utility of palonosetron-based therapy in preventing emesis among breast cancer patients receiving four cycles of AC-based chemotherapy relative to generic ondansetron-based antiemetic therapy. Due to variations in the definition of complete emetic response found across antiemetic studies, the analysis will focus on chemotherapy-induced emesis only, rather than nausea and vomiting, as vomiting can be more objectively measured than nausea and, as such, has been more consistently reported.

Patients and Methods

We developed a Markov model to estimate the costs (in 2008 U.S. dollars) and health outcomes associated with emesis among breast cancer patients receiving multiple cycles of AC-based chemotherapy under six prophylactic strategies containing either generic ondansetron (onda) or palonosetron (palo) when each is combined with either dexamethasone (dex) alone, dex plus aprepitant in the subsequent cycles following the occurrence of emesis, or dex plus aprepitant up front (Figure 1). The time horizon for the risk of chemotherapy-induced emesis during each cycle of chemotherapy was 21 days, which is the standard duration of a cycle of AC-based chemotherapy.

 

 



Figure 1. 

Markov Model Comparing Palo-Based Therapy vs Onda-Based Therapy for Prophylaxis of Chemotherapy-Induced Emesis in Breast Cancer Patients Receiving Four Cycles of AC-Based Chemotherapy (1) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (2) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, onda 16 mg orally + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (3) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (4) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, palo 0.25 mg intravenously + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (5) Onda (16 mg orally) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. (6) Palo (0.25 mg intravenously) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. Palo = palonosetron; onda = ondansetron; AC = anthracycline and cyclophosphamide; dex, dexamethasone

We modeled emesis-related outcomes and direct medical costs (from a third-party payer perspective within the context of the U.S. health-care system) over a total of four cycles of chemotherapy as patients receiving AC-based regimens usually undergo at least four cycles of AC.10 We performed all analyses using TreeAge Pro 2009 Suite (Decision Analysis; TreeAge Software, Williamstown, MA). The study was submitted to our institutional review board and was determined to be exempt from review.

Probability Data

Two-drug prophylactic regimens

We estimated the effectiveness of the 5-HT3 antagonists based on secondary analysis of the raw data from the randomized clinical trial (RCT) directly comparing onda and palo when used alone for prevention of emesis associated with MEC, including 90 breast cancer patients from the palo 0.25-mg arm and 82 from the onda 32-mg arm who received AC-based chemotherapy (Table 1).5 Effectiveness estimates for palo 0.25 mg were augmented by data on 117 breast cancer patients on AC-based chemotherapy participating in a multicenter RCT comparing palo with dolasetron (Table 1).4 We assumed that dex adds the same relative benefit to either first- or second-generation 5-HT3 antagonists and obtained the expected additional benefit of dex in preventing acute emesis based on the results of an RCT comparing a single-dose of granisetron in combination with dex vs granisetron given alone to patients undergoing MEC (Table 2).11 Since in the aforementioned study dex was only given on day 1 of chemotherapy, the estimated additional benefit of adding dex to a 5-HT3 inhibitor on the delayed period was obtained from another RCT; this study, conducted by the Italian Group for Antiemetic Research, compared dex alone, dex plus onda, or placebo on days 2−5 of MEC.12

Table 1. Emesis Control During the Initial 5-Day Period Following Administration of AC-Based Chemotherapy to Patients with Breast Cancer

From Eisenberg et al4 and Gralla et al5

EMESIS CONTROLPALO (0.25 MG)[4] and [5] (n = 207), % PATIENTS (95% CI)ONDA (32 MG)5 (n = 82), % PATIENTS (95% CI)P
Acute (day 1)0.70 (0.63−0.76)0.61 (0.50−0.71)0.14
Delayed (days 2−5)0.65 (0.58−0.71)0.50 (0.39−0.61)0.02
Overall (days 1−5)0.55 (0.48−0.62)0.40 (0.30−0.52)0.02

AC = anthracycline and cyclophosphamide; palo = palonosetron; onda = ondansetron; CI = confidence interval

Table 2. Base-Case Probabilities, Utility Weights, and Data Sourcese

MODEL PARAMETERSBASE-CASE VALUES (RANGES)DATA SOURCES
Probability of acute emesis control on cycle 1 of AC:
 Onda-based two-drug strategyc0.84 (0.74−0.93)Gralla et al,a The Italian Group[5] and [11]
 Palo-based two-drug strategyc0.87 (0.81−0.94)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [11]
 Onda-based three-drug strategyd0.88 (0.85−0.91)Warr et al7
 Palo-based three-drug strategyd0.96 (0.89−0.99)Grote et al, Grunberg et al[40] and [41]
Probability of delayed emesis control following control of acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyd0.75 (0.62–0.85)The Italian Group12
 Palo-based two-drug strategyc0.85 (0.78–0.91)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.86 (0.82–0.90)Warr et al7
 Palo-based three-drug strategyc0.96 (0.91–0.97)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Probability of delayed emesis control following acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyc0.46 (0.31–0.62)Gralla et al,a The Italian Group[5] and [12]
 Palo-based two-drug strategyc0.44 (0.27–0.59)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.44 (0.29–0.57)Warr et al7
 Palo-based three-drug strategyc0.51 (0.41–0.67)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Relative probability of emesis control in subsequent cycles of ACc:
 Two-drug therapy0.987 (0.970–1.0)Herrstedt et al14e
 Three-drug therapy1.013 (1.0–1.030)Herrstedt et al14e
Probability of hospitalization (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.0035 (0.0001−0.019)Data from Medstat MarketScan16
 Palo-based regimens0.0017 (0.00004−0.0089)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of office visit use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.10 (0.07−0.14)Data from Medstat MarketScan16
 Palo-based regimens0.05 (0.03−0.07)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of rescue medicine utilization use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.61 (0.46−0.75)Gralla et al5a
 Palo-based regimens0.56 (0.45−0.66)Eisenberg et al, Gralla et al[4] and [5]a
Utility weights for emesis per cycle of ACf:
 Acute and delayed emesis0.15 (0.10−0.20)Sun et al20
 Acute emesis and no delayed emesis0.76 (0.70−0.83)Sun et al20
 No acute emesis and delayed emesis0.20 (0.14−0.26)Sun et al20
 No acute and no delayed emesis0.92 (0.86−0.99)Sun et al20

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron.

Included in the analysis was the subset of women with breast cancer receiving AC-based chemotherapy.We obtained an estimate of emesis-related hospitalization and office visit utilization based on data from Medstat MarketScan, HPM subset (Medstat Group, Inc., Ann Arbor, MI) on 707 breast cancer patients who received the first cycle of AC-based chemotherapy from 1996 to 2002 and either were admitted to the hospital or had an office visit for treatment of vomiting or dehydration. Since palo was only introduced into the U.S. market in 2003, we assumed that all these breast cancer patients received onda-based antiemetic prophylaxis. As a result, we estimated the differential rate of health-care resource utilization based on Haislip et al's19 reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting experienced by community-based breast cancer patients who received either onda or palo for emesis prophylaxis following the first cycle of chemotherapy.Of note is that there are two different methods for applying the benefit of adding dex and/or aprepitant to a 5-HT3 antagonist: (1) rate of emesis with 5-HT3* relative risk of emesis by adding dex and/or aprepitant and (2) rate of emesis control with 5-HT3 * relative risk of emesis control by adding dex and/or aprepitant. These produce substantially different results, with the former method skewing the results toward the least effective 5-HT3 and the latter skewing it toward the most effective one. As a result, we estimated the probability of emesis by averaging the results obtained using the two different methods. Of note is that the ranges for these effectiveness estimates were obtained by applying the two different methods to the lower and upper bounds of the 95% confidence intervals derived from the clinical trials comparing the 5-HT3 antagonists when used alone.Ranges were obtained by constructing 95% confidence intervals for observed proportions using the normal approximation to the binomial distribution.Ranges are based on the minimum and maximum values observed in Herrstedt et al's14 clinical trial of multicycle chemotherapy.Ranges are based on the estimate's actual 95% confidence intervals obtained from Sun et al's20 data.

 

 


Three-drug prophylactic regimens

We estimated the rate of acute emesis for the three-drug regimens based on data from published studies in which either onda or palo was given in combination with dex and aprepitant on day 1 of MEC (Table 2).[5], [7] and [13] Because aprepitant was either used in combination with dexamethasone or not used on days 2−3 in the trials of palo-based three-drug therapy, we estimated the benefit of adding aprepitant alone to palo on days 2−3 by assuming that the added benefit in the delayed period would be the same as the benefit added to onda. Specifically, we obtained information on the relative risk of delayed emesis control when aprepitant is added on days 2−3 from a large clinical trial of aprepitant combined with onda and dex in breast cancer patients receiving either A or AC chemotherapy (Table 2).7

Effectiveness of antiemetics over multiple cycles of chemotherapy

The estimates of changes in the probability of emesis control over multiple cycles of chemotherapy were obtained from a RCT conducted by Herrstedt et al14 of ondansetron-based two- and three-drug regimens for prevention of chemotherapy-induced nausea and vomiting among breast cancer patients undergoing multiple cycles of AC-based chemotherapy. We assumed that changes in emesis control over four cycles of AC for the palo-based two- and three-drug regimens were similar to the observed changes for the onda-based two- and three-drug strategies, respectively.14

Resource Utilization and Cost Data

The cost of antiemetic prophylaxis was based on the 2008 Medicare Part B reimbursement rates for pharmaceuticals, which reflects the price of ondansetron following its recent patent expiration (Table 3).15 The costs of prophylaxis failures were estimated as follows. In the majority of prophylaxis failures, the only cost is the cost of rescue medication. In such cases, we obtained costs by multiplying the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron by their unit costs based on the 2008 Medicare Part B reimbursement rates.[5] and [15] For the few patients who are seen in the office for uncontrolled emesis, we obtained estimates of the risk of such emesis-related office visits based on the MarketScan Health Productivity Management (HPM) database from Thomson Reuters on 707 breast cancer patients who received their first cycle of AC-based chemotherapy between 1997 and 2002 (Table 2) and its costs from the 2008 Medicare Physician Fee Schedule Reimbursement for a level III office visit (CPT 99213).[16] and [17]

Table 3. Emesis-Related Base-Case Costs per Cycle of AC-Based Chemotherapy Among Breast Cancer Patients

COST COMPONENT2008 U.S.$ (RANGES)DATA SOURCE
Hospitalization$5,237.00 ($3,921−$6,112)aHCUP charge data18
Consumer Price Index42
Medicare cost-to-charge ratio43
Level III office visit (CPT 99213)$60.30 ($19.96–$122.46)d2008 Medicare Physician Fee Schedule Reimbursement17
Prophylactic antiemetics2008 Medicare Part B reimbursement rates for pharmaceuticals15
 Onda-based two-drug regimen$49.74
 Palo-based two-drug regimen$207.20
 Onda-based three-drug regimen$324.51
 Palo-based three-drug regimen$482.46
Rescue medicinesb$35.25 ($21.66–$48.80)cEisenberg et al,4 Gralla et al,5 2008 Medicare Part B reimbursement rates for pharmaceuticals15

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron; HCUP = Healthcare Cost and Utilization Project

Charges were inflated to 2008 U.S. dollars using the Consumer Price Index (CPI) for medical care and adjusted to costs using Medicare cost-to-charge ratio. The ranges were based on estimates of the 95% confidence interval.In the randomized clinical trial directly comparing ondansetron and palonosetron, propulsives accounted for 71% of the rescue medicines used, 5-hydroxytryptamine antagonists for 20%, glucocorticoids for 7%, and aminoalkyl ethers for 2%.5Costs for rescue medication were obtained by multiplying all drug unit costs by the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron.[5] and [15] The ranges were based on estimates of the 95% confidence interval.Ranges were based on the Medicare physician fee schedule for levels I and VI office visits.

Finally, although hospitalization for emesis is extremely rare in this population, when it occurs, it is quite expensive. For completeness, we obtained estimates of the risk of emesis-related hospitalization from the same population of breast cancer patients from whom we obtained the estimate for the risk of emesis-related office visit, whereas hospital costs were obtained from Healthcare Cost and Utilization Project (HCUP) data on 2,342 breast cancer patients who were hospitalized with a primary or admitting diagnosis of vomiting or dehydration from 1997 to 2003 ([Table 2] and [Table 3]).[16] and [18]

Of note is that since palo was only introduced into the U.S. market in 2003, we anticipated the observed risk of emesis-related office visit and hospital admission obtained from MarketScan data during the period 1997−2002 reflected the risk associated with prophylaxis with onda. As a result, given that, when compared with onda, palo has also shown superiority in reducing the severity of emetic episodes when they occur, we estimated the differential rate of health-care resource utilization for palo and onda based on Haislip et al's reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting (CINV) experienced by community-based breast cancer patients who received either palo or onda for emesis prophylaxis following the first cycle of chemotherapy (Table 2).[5] and [19]

Utility Data

We obtained the utility weights for acute and delayed emesis from a published study of preferences elicited from ovarian cancer patients undergoing chemotherapy using a modified visual analog scale (VAS) (Table 2).20 We equally applied these emesis-related utility weights to the initial 5-day period of chemotherapy (the standard duration of follow-up in clinical trials of prophylactic antiemetics) in all six prophylactic strategies of the decision tree. Furthermore, because the risk of CINV after 5 days of chemotherapy is usually so negligible as to be unmeasured in clinical trials of antiemetics, we assumed the utility weights for the remaining 16 days of each of the chemotherapy cycles to be the same as the weight associated with complete emesis control (ie, 0.92). We subsequently converted the resulting estimates of quality-adjusted life days into quality-adjusted life years (QALY).

Analysis

We used a stepwise method to calculate the incremental cost–effectiveness ratios of the different prophylactic therapy strategies, with the generic onda-based two-drug therapy (ie, the lowest cost strategy) as the base comparator (also known as the “anchor”).21 We adopted the benchmark range of U.S. $50,000−$100,000 per QALY, which has been commonly cited for oncology-related interventions as the threshold for acceptable cost–effectiveness, and examined the robustness of the results by performing one-way sensitivity analyses of plausible ranges for the model's key parameters based on the data sources used as well as probabilistic sensitivity analysis using Monte Carlo simulation.[21] and [22]

Results

The overall rate of emesis control (on days 1−5) among breast cancer patients following a cycle of AC-based chemotherapy was estimated to be 63% (range 46%−79%) for the onda-based two-drug therapy, 74% (range 66%−85%) for the palo-based two-drug therapy, 76% (range 75%−82%) for the onda-based three-drug therapy, and 92% (range 81%−96%) for the palo-based three-drug therapy. Based on these estimates, relative to the onda-based two-drug therapy, the incremental cost–effectiveness ratios (ICERs) for the palo-based regimens were $115,490/QALY for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy (Table 4). The onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance as it has a greater ICER than the next more effective therapy, the palo-based two-drug treatment strategy (Table 4). The onda-based three-drug strategy was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis as the former strategy is both less effective and more expensive than the latter (Table 4).

 

 

Table 4. Stepwise Comparison of Costs (2008 U.S. dollars) per QALY of the Different Prophylactic Therapy Strategies over Four Cycles of AC-Based Chemotherapy, with the Onda-Based Two-Drug Therapy as the Base Comparator

STRATEGYTOTAL COST (U.S.$)INCREMENTAL COST (U.S.$)EFFECTIVENESS (QALY)INCREMENTAL EFFECTIVENESS (QALY)INCREMENTAL COST–EFFECTIVENESS (U.S.$/QALY)
Onda-based two-drug therapy$2690.1989
Onda-based two-drug therapy with aprepitant after emesis$635$3660.20100.0021$174, 286 Eliminated through extended dominancea
Palo-based two-drug therapy$858$5890.20400.0051$115,490c
Palo-based two-drug therapy plus aprepitant after emesis$1,177$3190.20560.0016199,375
Onda-based three-drug therapy$1,336$1590.205(0.0006)Dominatedb
Palo-based three-drug therapy$1,939$6030.20940.0044$200,526d

QALY = quality-adjusted life year; AC = anthracycline and cyclophosphamide; ICER = incremental cost–effectiveness ratio; onda = ondansetron; palo = palonosetron

Extended dominance occurs when one of the treatment alternatives has a greater ICER than the next more effective alternative.One intervention is said to be dominated by another when it is both less effective and more expensive than the previous less costly alternative.Because the onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance, the palo-based two-drug therapy was compared with the onda-based two-drug therapy.Because the onda-based three-drug combination was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis, the palo-based three-drug therapy was compared with the latter regimen.

In sensitivity analyses using the commonly accepted cost–effectiveness benchmark range of $50,000−$100,000/QALY, the results were sensitive to changes in the overall emesis control rates for the onda-based two-drug strategy. If the probability of overall emesis control for the onda-based two-drug strategy was as low as its estimated lower bound (46%), the ICER for the palo-based two-drug treatment alternative would drop to $53,892/QALY. The results were also sensitive to changes in the effectiveness for the palo-based two-drug regimen: When its overall control rate was as high as its estimated upper bound (86%), its ICER would be $71,472. In contrast, the results were not sensitive to variations in the probability of overall emesis control for the three-drug strategies, nor were they sensitive to changes in the relative probability of emesis control in subsequent cycles of AC for either the two- or three-drug strategies.

If the probability of emesis-related hospitalization was as high as the upper limit of its 95% confidence interval (CI), the ICER for the palo-based two-drug regimen would be $97,301/QALY. However, changes in the cost of an emesis-related admission (95% CI $3,921−$6,112) did not significantly alter the results, nor did variations in office visit and rescue medicine utilization and their associated costs. The results were also not sensitive to variations in the values for the utility weights throughout their 95% CIs. We performed a threshold analysis to explore the price per dose of palo that would result in an acceptable cost–effectiveness ratio under the $100,000/QALY benchmark and found that the ICER for the palo-based two-drug treatment alternative would only fall to a $100,000/QALY threshold when the cost of palo is decreased by 11%.

Figure 2 shows the cost–effectiveness acceptability curves for each strategy, with the onda-based two-drug therapy as the base comparator. These curves show the proportion of the 100,000 simulations in which the comparing antiemetic regimen was considered more cost-effective than the base comparator at different thresholds. Using the benchmark of U.S. $100,000/QALY, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective in 39% and 26% of the simulations with the onda-based standard therapy as the baseline, respectively, whereas the palo-based and onda-based three-drug strategies and the onda-based two-drug regimen with aprepitant after emesis were cost-effective in fewer than 10% of the simulations. Of note is that the slope of the acceptability curves for the palo-based two-drug strategies are steep when willingness to pay exceeds $50,000/QALY, indicating that the greater the threshold, the greater the increase in the level of confidence that these strategies could be cost-effective. For example, the probability that the palo-based two-drug strategy is more cost-effective than the onda-based two-drug strategy rises to 51% at a threshold value of $125,000/QALY and exceeds 60% at $150,000/QALY.



Figure 2. 

Acceptability Curves in Terms of Likelihood of a Strategy Being Cost-Effective in Monte Carlo Simulations Relative to Willingness to Pay (2008 U.S.$) per Quality-Adjusted Life Year (QALY) with the Onda-Based Two-Drug Therapy as the Base Comparator

 

 

Figure 3 presents the scatterplot of the results of the probabilistic sensitivity analysis for the palo-based two-drug strategy. Nearly 96% of the simulations fell within the first quadrant of the chart (ie, on the upper right quadrant), which represents the scenario where the palo-based two-drug therapy is more costly but also more effective than the onda-based standard therapy. However, only 39% of the simulations fell below the $100,000/QALY dashed threshold line, which represents the scenario where the palo-based two-drug strategy is more cost-effective than the onda-based standard therapy at the $100,000/QALY benchmark.



Figure 3. 

Scatterplot of the Incremental Cost–Effectiveness Ratios Comparing the Palo-Based Two-Drug Strategy with the Onda-Based Two-Drug Therapy. The dashed line indicates the $100,000/QALY threshold, whereas the ellipse represents the 95% confidence ellipse, which includes 95% of the observations


Discussion

Our estimates of emesis-related costs and outcomes following four cycles of AC-based chemotherapy in women with breast cancer indicate that at current antiemetic prices and utilities placed on emesis, the additional costs of palo and aprepitant are not warranted at the $100,000/QALY threshold. In probabilistic sensitivity analysis, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective at the $100,000/QALY threshold in only 39% and 26% of the simulations, respectively. The model was sensitive to changes in the values of antiemetic effectiveness for the two-drug regimens and the risk of emesis-related hospitalization.

In threshold analysis, the two-drug palo-based regimen was cost-effective at the $100,000/QALY benchmark when the cost of palo is decreased by 11%. Because the use of the $100,000/QALY threshold is uncommon in clinical practice, the cost-effectiveness of the palo-based two-drug strategy (estimated at $115,490/QALY in our study) compares favorably with other commonly used supportive care measures for women with breast cancer. Such measures include primary prophylaxis with granulocyte colony-stimulating factor in women undergoing chemotherapy with moderate to high myelosuppressive risk (ICER of $116,000/QALY, or $125,948/QALY in 2008 U.S. dollars) and the use of bisphosphonates for the prevention of skeletal complications in breast cancer patients with lytic bone metastases (ICER ranging from $108,200/QALY with chemotherapy as systemic therapy to $305,300 in conjunction with hormonal systemic therapy, or $166,381/QALY to $469,466/QALY in 2008 U.S. dollars, respectively).[23] and [24] Both interventions are considered recommended standards of supportive care for patients with breast cancer and are widely used in breast oncology practices.[25] and [26]

Decision-analytic models, such as the Markov model presented in our study, aim to reflect the reality of clinical practice in a simplified way. Therefore, modelers often need to make decisions regarding the study time frame and model parameters based on the best use of available data. In our study, we obtained estimates for the probability of chemotherapy-induced emesis from studies in which the standard duration of follow-up is 5 days. By so doing, we may have underestimated the cost-effectiveness for the palo-based and aprepitant-based regimens. Although the risk of CINV after 5 days of chemotherapy is usually negligible, anticipation of vomiting may affect a patient's quality of life throughout the cycle of chemotherapy.

In addition, our estimates of costs, which were mostly obtained from Medicare, may differ from those of other third-party payers. However, Medicare is among the largest payers for breast cancer care as 42% of the women diagnosed with cancer in the United States are older than 64 years, and many private organizations set their own reimbursement rates based on the Medicare schedule. Therefore, we believe that Medicare reimbursement data provide a suitable estimate for emesis-related medical costs for all breast cancer patients in the United States.[27] and [28]

The present results should solely be interpreted in light of the cost–effectiveness benchmark of $50,000−$100,000/QALY, which has been frequently used in the context of the U.S. health-care system.[22] and [29] Such a benchmark, however, is a historic, precedent-based threshold set by the cost of caring for patients on dialysis, which was estimated at $50,000/QALY in 1982 ($74,000−$95,000 in 1997 U.S. dollars).[30] and [31] Given the arbitrariness of such a threshold, it has been suggested that the current willingness to pay for medical interventions in the United States probably exceeds $100,000/QALY, with values as high as $300,000/QALY being cited in some oncology publications.[22], [29], [31], [32], [33] and [34] In support of that argument is the public and policy makers' strong negative reaction to the National Institutes of Health Consensus Panel not recommending mammography screening for women aged 40−49 years, a procedure reported to provide an ICER of $105,000 per life-year gained.[35] and [36] As a result, if willingness to pay goes beyond $100,000/QALY, the alternative of adding aprepitant to palo plus dex may also be deemed attractive as the slope of its acceptability curve becomes substantially steep when the willingness to pay for a QALY exceeds $125,000 (Figure 2), suggesting that its marginal gain may exceed its marginal costs at higher thresholds.

In addition, it is worth noting that the present analysis has been conducted from the perspective of a third-party payer within the context of the U.S. health-care system. The large difference in the acquisition cost of palo-based and onda-based therapy observed in the United States is mostly driven by the differential stage of product life cycles for palo and onda. Although at the time of this study palo was still under patent protection, generic onda had entered the U.S. market prior to our study. The large price discrepancy between brand and generic drugs explains the difference in drug costs in this U.S.-based analysis. As such, our results may not reflect the situation in countries with a widely different cost structure, in which the acquisition cost of palo may be substantially lower. When that is the case, the cost–effectiveness profile of the palo-based prophylactic therapy may be deemed substantially more favorable than the profile presented here. Similarly, we anticipate finding a more attractive cost–effectiveness profile for the palo-based therapies as palo reaches the end of its product life cycle in the U.S. market.37 Also of note is that the cost–effectiveness of the palo-based therapy may greatly differ when different perspectives (other than the third-party payer's perspective) are adopted.

Our study, however, has several limitations. First, the utility scores used in our model were derived with a VAS instrument, which does not incorporate patients' preferences under uncertainty. Nevertheless, the VAS approach has been shown to provide utility scores for nausea and vomiting with more variability than scores derived using other methods such as the Standard Gamble (personal communication, Grunberg SM et al, CALGB study 309801). Notwithstanding that, it remains unclear which method gives utility scores for transient health states, such as CINV, with the greatest validity.

Also of note is that due to a lack of information on emesis-related utilities among breast cancer patients in the literature, we used utilities elicited from patients with ovarian cancer. To the best of our knowledge, the utilities in Sun et al20 were the only ones available in the literature that were elicited from a homogeneous population of cancer patients (ie, solely patients with ovarian cancer) and were based on a wide range of health states combining the presence and absence of emesis during either the acute or the delayed period. In addition, the participants in the Sun et al study were treated with carboplatin, which, like the regimen used in our model, is classified as moderately emetogenic in established antiemetic guidelines.[8], [9] and [38] It is also important to emphasize that the population in that study, like our study's population, was composed exclusively of women, who are known to be at increased risk for developing CINV.39

Second, in the absence of clinical trial data, we assumed conservatively that dex and aprepitant add the same relative benefit to both onda and palo. This assumption results in an imperfect estimate of cost–effectiveness. As such, we may have overestimated or underestimated the cost–effectiveness of palo as dex and aprepitant may potentially add less value to the intrinsically more active 5-HT3 antagonist or uniquely complementary mechanisms of action could contribute to even greater activity with the palo-based therapy. However, our study's estimate of the relative effectiveness of the palo-based two-drug prophylactic therapy versus the onda-based two-drug therapy for preventing delayed emesis is consistent with that reported in a recently published clinical trial comparing palo and granisetron when both drugs are combined with dex following chemotherapy with either AC or cisplatin (1.18 vs 1.17, respectively).6

Third, our study did not include the outcomes associated with the adverse effects of antiemetics, and by so doing, we may have underestimated the costs associated with antiemetic prophylaxis. However, the incidence and duration of treatment-related adverse events occurring in the two RCTs comparing palo with either onda or dolasetron were mild and similar across treatment cohorts.[4] and [5]

Fourth, we assumed that changes in emesis control in subsequent cycles of AC for the palo-based regimens were the same as for the onda-based therapy. By so doing, we may have underestimated the cost–effectiveness of palo as the superiority of the more active 5-HT3 antagonist could be maintained in the subsequent cycles of chemotherapy (or even increased, as seen in the aprepitant-based arm of Herrstedt et al's14 study). As a result, if future prospective trials of palo-based antiemetic prophylaxis confirm its superiority in maintaining antiemetic efficacy over multiple cycles of AC, the cost–effectiveness profiles for the palo-based strategies may be more favorable than the profiles presented herein.

Last, the incremental gains in QALY observed in cost–utility analysis of interventions associated with transitory and non-life-threatening health states, such as the antiemetic regimens analyzed in our study, tend to render small denominators to be used in the incremental cost–effectiveness ratios. The issue of small denominators has led some researchers to question whether the current methodology of cost–effectiveness analysis is appropriate to determine the cost–effectiveness of treatments for terminal or supportive care.32 However, despite this shortcoming, these types of analysis benefit from having a wider scope as they allow comparisons over different types of health interventions across various diseases. In addition, by incorporating patients' utility levels over different health states (instead of merely looking into cost per additional patient controlled), cost–utility analysis makes explicit the impact of the target population's preferences for the different outcomes. Of importance is that both the Panel on Cost–Effectiveness in Health and Medicine and the Institute of Medicine (IOM) Committee on Regulatory Cost–Effectiveness Analysis recommend the use of QALY as the preferred outcome measure for economic evaluation of health-care interventions.

Conclusion

Although our base-case analysis suggests that, from a third-party payer perspective within the context of the U.S. health-care system, the cost–utility of the palo-based two-drug prophylactic therapy for breast cancer patients receiving four cycles of AC-based chemotherapy exceeds the $50,000–$100,000/QALY threshold, it is comparable to other commonly used supportive care interventions for women with breast cancer. In sensitivity analyses, such a strategy was associated with a 39% chance of being cost-effective at the $100,000/QALY threshold, and the model was sensitive to changes in the values of antiemetic effectiveness and of the probability of emesis-related hospitalization. In threshold analysis, the combination of palo and dex was shown to become cost-effective (at the $100,000/QALY benchmark) when the cost of palo is decreased by 11%. As a result, future research incorporating the price structure of all antiemetics following the recent expiration of onda's patent is needed.

 

 

Acknowledgments

The authors thank Dr. Sharon H. Giordano for providing valuable clinical input and Dr. Catherine D. Cooksley for providing suggestions for improving this article.

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37 Y.C. Shih, S. Han and S.B. Cantor, Impact of generic drug entry on cost–effectiveness analysis, Med Decis Making 25 (2005), pp. 71–80 [15673583]. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (6)

38 F. Roila, P.J. Hesketh, J. Herrstedt and Antiemetic Subcommittee of the Multinational Association of Supportive Care in Cancer, Prevention of chemotherapy- and radiotherapy-induced emesis: results of the 2004 Perugia International Antiemetic Consensus Conference, Ann Oncol 17 (2006), pp. 20–28 [16314401]. View Record in Scopus | Cited By in Scopus (90)

39 S.M. Grunberg and A. Ireland, Epidemiology of chemotherapy-induced nausea and vomiting, Adv Studies Nurs 3 (1) (2005), pp. 9–15 http://www.jhasin.com/files/articlefiles/pdf/XASIN_3_1_p9_15.pdf Accessed September 16, 2010.

40 T. Grote, J. Hajdenberg, A. Cartmell, S. Ferguson, A. Ginkel and V. Charu, Combination therapy for chemotherapy-induced nausea and vomiting in patients receiving moderately emetogenic chemotherapy: palonosetron, dexamethasone, and aprepitant, J Support Oncol 4 (2006), pp. 403–408 [17004515]. View Record in Scopus | Cited By in Scopus (38)

41 S.M. Grunberg, M. Dugan, H.B. Muss, M. Wood, S. Burdette-Radoux and T. Weisberg, Efficacy of a 1-day 3-drug antiemetic regimen for prevention of acute and delayed nausea and vomiting induced by moderately emetogenic chemotherapy, J Clin Oncol 25 (18S) (2007), p. 9111.

42 U. S. Department of Labor. Bureau of Labor Statistics. Consumer Price Index http://www.bls.gov/cpi/home.htm Accessed May 16, 2010.

43 Department of Health and Human Services. Centers for Medicare & Medicaid Services, Medicare Program; Proposed Changes to the Hospital Inpatient Prospective Payment Systems and Fiscal Year 2008 Rates CMS-1533-P, pp 1070–1073 http://www.cms.hhs.gov/AcuteInpatientPPS/downloads/CMS-1533-P.pdf Accessed May 16, 2010.

 

 

This study was supported in part by a grant from MGI Pharma, Inc. MGI Pharma, Inc., had no role in the study design, data analysis, interpretation of results, content of the final article, or the decision to submit it for publication.

Conflicts of interest: Dr. Sun discloses that her husband was an employee of MGI Pharma, Inc., at the time this article was being written. Dr. Gralla discloses that he is a consultant for MGI Pharma, Inc., GlaxoSmithKline, Sanofi-aventis, and Merck; he also receives honoraria from MGI Pharma, Inc., and Merck and research support from Sanofi-aventis. Dr. Grunberg discloses that he is a consultant for MGI Pharma, Inc.

Correspondence to: Elenir B. C. Avritscher, MD, PhD, MBA/MHA, Section of Health Services Research, Department of Biostatistics and Applied Mathematics, The University of Texas M. D. Anderson Cancer Center, 1400 Pressler Street, Unit 1411, Houston, TX 77230; telephone: (713) 563-8920; fax: (713) 563-4243


1 PubMed ID in brackets


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 242-25

Original research

Cost–Utility Analysis of Palonosetron-Based Therapy in Preventing Emesis Among Breast Cancer Patients

Elenir B.C. Avritscher MD, PhD, MBA/MHA, a, , Ya-Chen T. Shih PhDa, Charlotte C. Sun DrPHa, Richard J. Gralla MDa, Steven M. Grunberg MDa, Ying Xu MD, MSa and Linda S. Elting DrPHa

a Division of Quantitative Sciences, Department of Gynecologic Oncology, The University of Texas M. D. Anderson Cancer Center, Houston, Texas; The Monter Cancer Center, North Shore-Long Island Jewish Health System, Lake Success, New York; Division of Hematology/Oncology, University of Vermont, Burlington, Vermont

Received 8 February 2010; 

accepted 28 September 2010. 

Available online 25 January 2011.

Abstract

We estimated the cost-utility of palonosetron-based therapy compared with generic ondansetron-based therapy throughout four cycles of anthracycline and cyclophosphamide for treating women with breast cancer. We developed a Markov model comparing six strategies in which ondansetron and palonosetron are combined with either dexamethasone alone, dexamethasone plus aprepitant following emesis, or dexamethasone plus aprepitant up front. Data on the effectiveness of antiemetics and emesis-related utility were obtained from published sources. Relative to the ondansetron-based two-drug therapy, the incremental cost–effectiveness ratios for the palonosetron-based regimens were $115,490/quality-adjusted life years (QALY) for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy. In sensitivity analysis, using the $100,000/QALY benchmark, the palonosetron-based two-drug strategy and the two-drug regimen plus aprepitant following emesis were shown to be cost-effective in 39% and 26% of the Monte Carlo simulations, respectively, and with changes in values for the effectiveness of antiemetics and the rate of hospitalization. The cost-utility of palonosetron-based therapy exceeds the $100,000/QALY threshold. Future research incorporating the price structure of all antiemetics following ondansetron's recent patent expiration is needed.

Article Outline

Patients and Methods
Probability Data
Two-drug prophylactic regimens
Three-drug prophylactic regimens
Effectiveness of antiemetics over multiple cycles of chemotherapy
Resource Utilization and Cost Data
Utility Data
Analysis

Results

Discussion

Conclusion

Acknowledgements

References

Over the past decade, regimens containing anthracycline and cyclophosphamide (AC) have become the mainstay of adjuvant chemotherapy for treatment of breast cancer. Although each of these agents is individually considered moderately emetogenic, the combination of the two can lead to substantial nausea and vomiting.1 Despite remarkable recent progress in antiemetic prophylaxis, chemotherapy-induced emesis continues to be a major burden for patients with breast cancer and one of the most feared side effects of cancer treatment in general.[2] and [3]

Recent advances in emesis control have been possible due to the availability of increasingly more effective antiemetic agents. During the 1990s, the development of first-generation 5-hydroxytryptamine-3 (5-HT3) antagonists (ondansetron, granisetron, tropisetron, and dolasetron) marked a significant improvement in the control of emesis induced by chemotherapy, particularly acute emesis (ie, occurring within 24 hours following chemotherapy).

More recently, two new drugs—palonosetron, a second-generation 5-HT3 antagonist, and aprepitant, a centrally acting neurokinin-1 antagonist—were added to the armamentarium of antiemetic therapy. Compared with other single-dose 5-HT3 antagonists, palonosetron has a higher 5-HT3 binding affinity and longer plasma half-life and has shown superiority in the prevention of delayed emesis (ie, occurring more than 24 hours after chemotherapy administration) following moderately emetogenic chemotherapy with methotrexate, epirubicin, or cisplatin (MEC), including AC-based regimens.[4] and [5] In a recently published clinical trial conducted by Saito et al,6 palonosetron was also shown to be superior to granisetron in preventing delayed and overall emesis when both drugs were combined with dexamethasone following chemotherapy with either AC or cisplatin. As for aprepitant, when added to the standard of a 5-HT3 antagonist and dexamethasone therapy, it has been shown to improve emesis prevention among patients receiving AC-based chemotherapy during the acute, delayed, and overall periods.7

Such benefits have led to a recent revision in the antiemetics guidelines of both the American Society of Clinical Oncology (ASCO) and the National Comprehensive Cancer Network (NCCN), incorporating both palonosetron as one of the recommended 5-HT3 antagonists and aprepitant in combination with a 5-HT3 antagonist and dexamethasone for patients receiving AC-based chemotherapy.[8] and [9] Of note is that the revised 2010 NCCN antiemetic guidelines suggest that palonosetron may be used prior to the start of multiday chemotherapy, which is more likely to cause significant delayed emesis, instead of repeated daily doses of other first-generation 5-HT3 antagonists.9

Given the multiplicity of antiemetic strategies available for prophylaxis of nausea and vomiting associated with AC-based chemotherapy with inherent variability in effectiveness and price, it is critical for existing therapies to be analyzed in terms of both their outcomes and costs. Thus, the purpose of this study is to determine, from a third-party payer perspective, the cost-utility of palonosetron-based therapy in preventing emesis among breast cancer patients receiving four cycles of AC-based chemotherapy relative to generic ondansetron-based antiemetic therapy. Due to variations in the definition of complete emetic response found across antiemetic studies, the analysis will focus on chemotherapy-induced emesis only, rather than nausea and vomiting, as vomiting can be more objectively measured than nausea and, as such, has been more consistently reported.

Patients and Methods

We developed a Markov model to estimate the costs (in 2008 U.S. dollars) and health outcomes associated with emesis among breast cancer patients receiving multiple cycles of AC-based chemotherapy under six prophylactic strategies containing either generic ondansetron (onda) or palonosetron (palo) when each is combined with either dexamethasone (dex) alone, dex plus aprepitant in the subsequent cycles following the occurrence of emesis, or dex plus aprepitant up front (Figure 1). The time horizon for the risk of chemotherapy-induced emesis during each cycle of chemotherapy was 21 days, which is the standard duration of a cycle of AC-based chemotherapy.

 

 



Figure 1. 

Markov Model Comparing Palo-Based Therapy vs Onda-Based Therapy for Prophylaxis of Chemotherapy-Induced Emesis in Breast Cancer Patients Receiving Four Cycles of AC-Based Chemotherapy (1) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (2) Onda (32 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, onda 16 mg orally + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (3) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5. (4) Palo (0.25 mg intravenously) + dex (8 mg intravenously) on day 1, followed by dex (4 mg orally twice a day) on days 2−5 and aprepitant in the subsequent cycles following the occurrence of emesis (ie, palo 0.25 mg intravenously + aprepitant 125 mg orally + dex 12 mg orally on day 1 followed by aprepitant 80 mg orally on days 2−3). (5) Onda (16 mg orally) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. (6) Palo (0.25 mg intravenously) + aprepitant (125 mg orally) + dex (12 mg orally) on day 1 followed by aprepitant (80 mg orally) on days 2−3. Palo = palonosetron; onda = ondansetron; AC = anthracycline and cyclophosphamide; dex, dexamethasone

We modeled emesis-related outcomes and direct medical costs (from a third-party payer perspective within the context of the U.S. health-care system) over a total of four cycles of chemotherapy as patients receiving AC-based regimens usually undergo at least four cycles of AC.10 We performed all analyses using TreeAge Pro 2009 Suite (Decision Analysis; TreeAge Software, Williamstown, MA). The study was submitted to our institutional review board and was determined to be exempt from review.

Probability Data

Two-drug prophylactic regimens

We estimated the effectiveness of the 5-HT3 antagonists based on secondary analysis of the raw data from the randomized clinical trial (RCT) directly comparing onda and palo when used alone for prevention of emesis associated with MEC, including 90 breast cancer patients from the palo 0.25-mg arm and 82 from the onda 32-mg arm who received AC-based chemotherapy (Table 1).5 Effectiveness estimates for palo 0.25 mg were augmented by data on 117 breast cancer patients on AC-based chemotherapy participating in a multicenter RCT comparing palo with dolasetron (Table 1).4 We assumed that dex adds the same relative benefit to either first- or second-generation 5-HT3 antagonists and obtained the expected additional benefit of dex in preventing acute emesis based on the results of an RCT comparing a single-dose of granisetron in combination with dex vs granisetron given alone to patients undergoing MEC (Table 2).11 Since in the aforementioned study dex was only given on day 1 of chemotherapy, the estimated additional benefit of adding dex to a 5-HT3 inhibitor on the delayed period was obtained from another RCT; this study, conducted by the Italian Group for Antiemetic Research, compared dex alone, dex plus onda, or placebo on days 2−5 of MEC.12

Table 1. Emesis Control During the Initial 5-Day Period Following Administration of AC-Based Chemotherapy to Patients with Breast Cancer

From Eisenberg et al4 and Gralla et al5

EMESIS CONTROLPALO (0.25 MG)[4] and [5] (n = 207), % PATIENTS (95% CI)ONDA (32 MG)5 (n = 82), % PATIENTS (95% CI)P
Acute (day 1)0.70 (0.63−0.76)0.61 (0.50−0.71)0.14
Delayed (days 2−5)0.65 (0.58−0.71)0.50 (0.39−0.61)0.02
Overall (days 1−5)0.55 (0.48−0.62)0.40 (0.30−0.52)0.02

AC = anthracycline and cyclophosphamide; palo = palonosetron; onda = ondansetron; CI = confidence interval

Table 2. Base-Case Probabilities, Utility Weights, and Data Sourcese

MODEL PARAMETERSBASE-CASE VALUES (RANGES)DATA SOURCES
Probability of acute emesis control on cycle 1 of AC:
 Onda-based two-drug strategyc0.84 (0.74−0.93)Gralla et al,a The Italian Group[5] and [11]
 Palo-based two-drug strategyc0.87 (0.81−0.94)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [11]
 Onda-based three-drug strategyd0.88 (0.85−0.91)Warr et al7
 Palo-based three-drug strategyd0.96 (0.89−0.99)Grote et al, Grunberg et al[40] and [41]
Probability of delayed emesis control following control of acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyd0.75 (0.62–0.85)The Italian Group12
 Palo-based two-drug strategyc0.85 (0.78–0.91)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.86 (0.82–0.90)Warr et al7
 Palo-based three-drug strategyc0.96 (0.91–0.97)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Probability of delayed emesis control following acute emesis on cycle 1 of ACc:
 Onda-based two-drug strategyc0.46 (0.31–0.62)Gralla et al,a The Italian Group[5] and [12]
 Palo-based two-drug strategyc0.44 (0.27–0.59)Eisenberg et al,a Gralla et al,a The Italian Group[4], [5] and [12]
 Onda-based three-drug strategyd0.44 (0.29–0.57)Warr et al7
 Palo-based three-drug strategyc0.51 (0.41–0.67)Eisenberg et al,a Gralla et al,a Warr et al[4], [5] and [7]
Relative probability of emesis control in subsequent cycles of ACc:
 Two-drug therapy0.987 (0.970–1.0)Herrstedt et al14e
 Three-drug therapy1.013 (1.0–1.030)Herrstedt et al14e
Probability of hospitalization (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.0035 (0.0001−0.019)Data from Medstat MarketScan16
 Palo-based regimens0.0017 (0.00004−0.0089)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of office visit use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.10 (0.07−0.14)Data from Medstat MarketScan16
 Palo-based regimens0.05 (0.03−0.07)Data from Medstat MarketScan, Haislip et al[16] and [19]b
Probability of rescue medicine utilization use (among patients who develop emesis) per cycle of ACd:
 Onda-based regimens0.61 (0.46−0.75)Gralla et al5a
 Palo-based regimens0.56 (0.45−0.66)Eisenberg et al, Gralla et al[4] and [5]a
Utility weights for emesis per cycle of ACf:
 Acute and delayed emesis0.15 (0.10−0.20)Sun et al20
 Acute emesis and no delayed emesis0.76 (0.70−0.83)Sun et al20
 No acute emesis and delayed emesis0.20 (0.14−0.26)Sun et al20
 No acute and no delayed emesis0.92 (0.86−0.99)Sun et al20

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron.

Included in the analysis was the subset of women with breast cancer receiving AC-based chemotherapy.We obtained an estimate of emesis-related hospitalization and office visit utilization based on data from Medstat MarketScan, HPM subset (Medstat Group, Inc., Ann Arbor, MI) on 707 breast cancer patients who received the first cycle of AC-based chemotherapy from 1996 to 2002 and either were admitted to the hospital or had an office visit for treatment of vomiting or dehydration. Since palo was only introduced into the U.S. market in 2003, we assumed that all these breast cancer patients received onda-based antiemetic prophylaxis. As a result, we estimated the differential rate of health-care resource utilization based on Haislip et al's19 reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting experienced by community-based breast cancer patients who received either onda or palo for emesis prophylaxis following the first cycle of chemotherapy.Of note is that there are two different methods for applying the benefit of adding dex and/or aprepitant to a 5-HT3 antagonist: (1) rate of emesis with 5-HT3* relative risk of emesis by adding dex and/or aprepitant and (2) rate of emesis control with 5-HT3 * relative risk of emesis control by adding dex and/or aprepitant. These produce substantially different results, with the former method skewing the results toward the least effective 5-HT3 and the latter skewing it toward the most effective one. As a result, we estimated the probability of emesis by averaging the results obtained using the two different methods. Of note is that the ranges for these effectiveness estimates were obtained by applying the two different methods to the lower and upper bounds of the 95% confidence intervals derived from the clinical trials comparing the 5-HT3 antagonists when used alone.Ranges were obtained by constructing 95% confidence intervals for observed proportions using the normal approximation to the binomial distribution.Ranges are based on the minimum and maximum values observed in Herrstedt et al's14 clinical trial of multicycle chemotherapy.Ranges are based on the estimate's actual 95% confidence intervals obtained from Sun et al's20 data.

 

 


Three-drug prophylactic regimens

We estimated the rate of acute emesis for the three-drug regimens based on data from published studies in which either onda or palo was given in combination with dex and aprepitant on day 1 of MEC (Table 2).[5], [7] and [13] Because aprepitant was either used in combination with dexamethasone or not used on days 2−3 in the trials of palo-based three-drug therapy, we estimated the benefit of adding aprepitant alone to palo on days 2−3 by assuming that the added benefit in the delayed period would be the same as the benefit added to onda. Specifically, we obtained information on the relative risk of delayed emesis control when aprepitant is added on days 2−3 from a large clinical trial of aprepitant combined with onda and dex in breast cancer patients receiving either A or AC chemotherapy (Table 2).7

Effectiveness of antiemetics over multiple cycles of chemotherapy

The estimates of changes in the probability of emesis control over multiple cycles of chemotherapy were obtained from a RCT conducted by Herrstedt et al14 of ondansetron-based two- and three-drug regimens for prevention of chemotherapy-induced nausea and vomiting among breast cancer patients undergoing multiple cycles of AC-based chemotherapy. We assumed that changes in emesis control over four cycles of AC for the palo-based two- and three-drug regimens were similar to the observed changes for the onda-based two- and three-drug strategies, respectively.14

Resource Utilization and Cost Data

The cost of antiemetic prophylaxis was based on the 2008 Medicare Part B reimbursement rates for pharmaceuticals, which reflects the price of ondansetron following its recent patent expiration (Table 3).15 The costs of prophylaxis failures were estimated as follows. In the majority of prophylaxis failures, the only cost is the cost of rescue medication. In such cases, we obtained costs by multiplying the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron by their unit costs based on the 2008 Medicare Part B reimbursement rates.[5] and [15] For the few patients who are seen in the office for uncontrolled emesis, we obtained estimates of the risk of such emesis-related office visits based on the MarketScan Health Productivity Management (HPM) database from Thomson Reuters on 707 breast cancer patients who received their first cycle of AC-based chemotherapy between 1997 and 2002 (Table 2) and its costs from the 2008 Medicare Physician Fee Schedule Reimbursement for a level III office visit (CPT 99213).[16] and [17]

Table 3. Emesis-Related Base-Case Costs per Cycle of AC-Based Chemotherapy Among Breast Cancer Patients

COST COMPONENT2008 U.S.$ (RANGES)DATA SOURCE
Hospitalization$5,237.00 ($3,921−$6,112)aHCUP charge data18
Consumer Price Index42
Medicare cost-to-charge ratio43
Level III office visit (CPT 99213)$60.30 ($19.96–$122.46)d2008 Medicare Physician Fee Schedule Reimbursement17
Prophylactic antiemetics2008 Medicare Part B reimbursement rates for pharmaceuticals15
 Onda-based two-drug regimen$49.74
 Palo-based two-drug regimen$207.20
 Onda-based three-drug regimen$324.51
 Palo-based three-drug regimen$482.46
Rescue medicinesb$35.25 ($21.66–$48.80)cEisenberg et al,4 Gralla et al,5 2008 Medicare Part B reimbursement rates for pharmaceuticals15

AC = anthracycline and cyclophosphamide; onda = ondansetron; palo = palonosetron; HCUP = Healthcare Cost and Utilization Project

Charges were inflated to 2008 U.S. dollars using the Consumer Price Index (CPI) for medical care and adjusted to costs using Medicare cost-to-charge ratio. The ranges were based on estimates of the 95% confidence interval.In the randomized clinical trial directly comparing ondansetron and palonosetron, propulsives accounted for 71% of the rescue medicines used, 5-hydroxytryptamine antagonists for 20%, glucocorticoids for 7%, and aminoalkyl ethers for 2%.5Costs for rescue medication were obtained by multiplying all drug unit costs by the individual doses used for rescue treatment of breast cancer patients on AC participating in the clinical trials comparing palo 0.25 mg with single doses of onda or dolasetron.[5] and [15] The ranges were based on estimates of the 95% confidence interval.Ranges were based on the Medicare physician fee schedule for levels I and VI office visits.

Finally, although hospitalization for emesis is extremely rare in this population, when it occurs, it is quite expensive. For completeness, we obtained estimates of the risk of emesis-related hospitalization from the same population of breast cancer patients from whom we obtained the estimate for the risk of emesis-related office visit, whereas hospital costs were obtained from Healthcare Cost and Utilization Project (HCUP) data on 2,342 breast cancer patients who were hospitalized with a primary or admitting diagnosis of vomiting or dehydration from 1997 to 2003 ([Table 2] and [Table 3]).[16] and [18]

Of note is that since palo was only introduced into the U.S. market in 2003, we anticipated the observed risk of emesis-related office visit and hospital admission obtained from MarketScan data during the period 1997−2002 reflected the risk associated with prophylaxis with onda. As a result, given that, when compared with onda, palo has also shown superiority in reducing the severity of emetic episodes when they occur, we estimated the differential rate of health-care resource utilization for palo and onda based on Haislip et al's reported differential incidence of extreme events associated with chemotherapy-induced nausea and vomiting (CINV) experienced by community-based breast cancer patients who received either palo or onda for emesis prophylaxis following the first cycle of chemotherapy (Table 2).[5] and [19]

Utility Data

We obtained the utility weights for acute and delayed emesis from a published study of preferences elicited from ovarian cancer patients undergoing chemotherapy using a modified visual analog scale (VAS) (Table 2).20 We equally applied these emesis-related utility weights to the initial 5-day period of chemotherapy (the standard duration of follow-up in clinical trials of prophylactic antiemetics) in all six prophylactic strategies of the decision tree. Furthermore, because the risk of CINV after 5 days of chemotherapy is usually so negligible as to be unmeasured in clinical trials of antiemetics, we assumed the utility weights for the remaining 16 days of each of the chemotherapy cycles to be the same as the weight associated with complete emesis control (ie, 0.92). We subsequently converted the resulting estimates of quality-adjusted life days into quality-adjusted life years (QALY).

Analysis

We used a stepwise method to calculate the incremental cost–effectiveness ratios of the different prophylactic therapy strategies, with the generic onda-based two-drug therapy (ie, the lowest cost strategy) as the base comparator (also known as the “anchor”).21 We adopted the benchmark range of U.S. $50,000−$100,000 per QALY, which has been commonly cited for oncology-related interventions as the threshold for acceptable cost–effectiveness, and examined the robustness of the results by performing one-way sensitivity analyses of plausible ranges for the model's key parameters based on the data sources used as well as probabilistic sensitivity analysis using Monte Carlo simulation.[21] and [22]

Results

The overall rate of emesis control (on days 1−5) among breast cancer patients following a cycle of AC-based chemotherapy was estimated to be 63% (range 46%−79%) for the onda-based two-drug therapy, 74% (range 66%−85%) for the palo-based two-drug therapy, 76% (range 75%−82%) for the onda-based three-drug therapy, and 92% (range 81%−96%) for the palo-based three-drug therapy. Based on these estimates, relative to the onda-based two-drug therapy, the incremental cost–effectiveness ratios (ICERs) for the palo-based regimens were $115,490/QALY for the two-drug strategy, $199,375/QALY for the two-drug regimen plus aprepitant after emesis, and $200,526/QALY for the three-drug strategy (Table 4). The onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance as it has a greater ICER than the next more effective therapy, the palo-based two-drug treatment strategy (Table 4). The onda-based three-drug strategy was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis as the former strategy is both less effective and more expensive than the latter (Table 4).

 

 

Table 4. Stepwise Comparison of Costs (2008 U.S. dollars) per QALY of the Different Prophylactic Therapy Strategies over Four Cycles of AC-Based Chemotherapy, with the Onda-Based Two-Drug Therapy as the Base Comparator

STRATEGYTOTAL COST (U.S.$)INCREMENTAL COST (U.S.$)EFFECTIVENESS (QALY)INCREMENTAL EFFECTIVENESS (QALY)INCREMENTAL COST–EFFECTIVENESS (U.S.$/QALY)
Onda-based two-drug therapy$2690.1989
Onda-based two-drug therapy with aprepitant after emesis$635$3660.20100.0021$174, 286 Eliminated through extended dominancea
Palo-based two-drug therapy$858$5890.20400.0051$115,490c
Palo-based two-drug therapy plus aprepitant after emesis$1,177$3190.20560.0016199,375
Onda-based three-drug therapy$1,336$1590.205(0.0006)Dominatedb
Palo-based three-drug therapy$1,939$6030.20940.0044$200,526d

QALY = quality-adjusted life year; AC = anthracycline and cyclophosphamide; ICER = incremental cost–effectiveness ratio; onda = ondansetron; palo = palonosetron

Extended dominance occurs when one of the treatment alternatives has a greater ICER than the next more effective alternative.One intervention is said to be dominated by another when it is both less effective and more expensive than the previous less costly alternative.Because the onda-based two-drug combination plus aprepitant after the onset of emesis was eliminated through extended dominance, the palo-based two-drug therapy was compared with the onda-based two-drug therapy.Because the onda-based three-drug combination was dominated by the palo-based two-drug combination plus aprepitant after the onset of emesis, the palo-based three-drug therapy was compared with the latter regimen.

In sensitivity analyses using the commonly accepted cost–effectiveness benchmark range of $50,000−$100,000/QALY, the results were sensitive to changes in the overall emesis control rates for the onda-based two-drug strategy. If the probability of overall emesis control for the onda-based two-drug strategy was as low as its estimated lower bound (46%), the ICER for the palo-based two-drug treatment alternative would drop to $53,892/QALY. The results were also sensitive to changes in the effectiveness for the palo-based two-drug regimen: When its overall control rate was as high as its estimated upper bound (86%), its ICER would be $71,472. In contrast, the results were not sensitive to variations in the probability of overall emesis control for the three-drug strategies, nor were they sensitive to changes in the relative probability of emesis control in subsequent cycles of AC for either the two- or three-drug strategies.

If the probability of emesis-related hospitalization was as high as the upper limit of its 95% confidence interval (CI), the ICER for the palo-based two-drug regimen would be $97,301/QALY. However, changes in the cost of an emesis-related admission (95% CI $3,921−$6,112) did not significantly alter the results, nor did variations in office visit and rescue medicine utilization and their associated costs. The results were also not sensitive to variations in the values for the utility weights throughout their 95% CIs. We performed a threshold analysis to explore the price per dose of palo that would result in an acceptable cost–effectiveness ratio under the $100,000/QALY benchmark and found that the ICER for the palo-based two-drug treatment alternative would only fall to a $100,000/QALY threshold when the cost of palo is decreased by 11%.

Figure 2 shows the cost–effectiveness acceptability curves for each strategy, with the onda-based two-drug therapy as the base comparator. These curves show the proportion of the 100,000 simulations in which the comparing antiemetic regimen was considered more cost-effective than the base comparator at different thresholds. Using the benchmark of U.S. $100,000/QALY, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective in 39% and 26% of the simulations with the onda-based standard therapy as the baseline, respectively, whereas the palo-based and onda-based three-drug strategies and the onda-based two-drug regimen with aprepitant after emesis were cost-effective in fewer than 10% of the simulations. Of note is that the slope of the acceptability curves for the palo-based two-drug strategies are steep when willingness to pay exceeds $50,000/QALY, indicating that the greater the threshold, the greater the increase in the level of confidence that these strategies could be cost-effective. For example, the probability that the palo-based two-drug strategy is more cost-effective than the onda-based two-drug strategy rises to 51% at a threshold value of $125,000/QALY and exceeds 60% at $150,000/QALY.



Figure 2. 

Acceptability Curves in Terms of Likelihood of a Strategy Being Cost-Effective in Monte Carlo Simulations Relative to Willingness to Pay (2008 U.S.$) per Quality-Adjusted Life Year (QALY) with the Onda-Based Two-Drug Therapy as the Base Comparator

 

 

Figure 3 presents the scatterplot of the results of the probabilistic sensitivity analysis for the palo-based two-drug strategy. Nearly 96% of the simulations fell within the first quadrant of the chart (ie, on the upper right quadrant), which represents the scenario where the palo-based two-drug therapy is more costly but also more effective than the onda-based standard therapy. However, only 39% of the simulations fell below the $100,000/QALY dashed threshold line, which represents the scenario where the palo-based two-drug strategy is more cost-effective than the onda-based standard therapy at the $100,000/QALY benchmark.



Figure 3. 

Scatterplot of the Incremental Cost–Effectiveness Ratios Comparing the Palo-Based Two-Drug Strategy with the Onda-Based Two-Drug Therapy. The dashed line indicates the $100,000/QALY threshold, whereas the ellipse represents the 95% confidence ellipse, which includes 95% of the observations


Discussion

Our estimates of emesis-related costs and outcomes following four cycles of AC-based chemotherapy in women with breast cancer indicate that at current antiemetic prices and utilities placed on emesis, the additional costs of palo and aprepitant are not warranted at the $100,000/QALY threshold. In probabilistic sensitivity analysis, the palo-based two-drug strategy and the two-drug regimen plus aprepitant following the onset of emesis were shown to be cost-effective at the $100,000/QALY threshold in only 39% and 26% of the simulations, respectively. The model was sensitive to changes in the values of antiemetic effectiveness for the two-drug regimens and the risk of emesis-related hospitalization.

In threshold analysis, the two-drug palo-based regimen was cost-effective at the $100,000/QALY benchmark when the cost of palo is decreased by 11%. Because the use of the $100,000/QALY threshold is uncommon in clinical practice, the cost-effectiveness of the palo-based two-drug strategy (estimated at $115,490/QALY in our study) compares favorably with other commonly used supportive care measures for women with breast cancer. Such measures include primary prophylaxis with granulocyte colony-stimulating factor in women undergoing chemotherapy with moderate to high myelosuppressive risk (ICER of $116,000/QALY, or $125,948/QALY in 2008 U.S. dollars) and the use of bisphosphonates for the prevention of skeletal complications in breast cancer patients with lytic bone metastases (ICER ranging from $108,200/QALY with chemotherapy as systemic therapy to $305,300 in conjunction with hormonal systemic therapy, or $166,381/QALY to $469,466/QALY in 2008 U.S. dollars, respectively).[23] and [24] Both interventions are considered recommended standards of supportive care for patients with breast cancer and are widely used in breast oncology practices.[25] and [26]

Decision-analytic models, such as the Markov model presented in our study, aim to reflect the reality of clinical practice in a simplified way. Therefore, modelers often need to make decisions regarding the study time frame and model parameters based on the best use of available data. In our study, we obtained estimates for the probability of chemotherapy-induced emesis from studies in which the standard duration of follow-up is 5 days. By so doing, we may have underestimated the cost-effectiveness for the palo-based and aprepitant-based regimens. Although the risk of CINV after 5 days of chemotherapy is usually negligible, anticipation of vomiting may affect a patient's quality of life throughout the cycle of chemotherapy.

In addition, our estimates of costs, which were mostly obtained from Medicare, may differ from those of other third-party payers. However, Medicare is among the largest payers for breast cancer care as 42% of the women diagnosed with cancer in the United States are older than 64 years, and many private organizations set their own reimbursement rates based on the Medicare schedule. Therefore, we believe that Medicare reimbursement data provide a suitable estimate for emesis-related medical costs for all breast cancer patients in the United States.[27] and [28]

The present results should solely be interpreted in light of the cost–effectiveness benchmark of $50,000−$100,000/QALY, which has been frequently used in the context of the U.S. health-care system.[22] and [29] Such a benchmark, however, is a historic, precedent-based threshold set by the cost of caring for patients on dialysis, which was estimated at $50,000/QALY in 1982 ($74,000−$95,000 in 1997 U.S. dollars).[30] and [31] Given the arbitrariness of such a threshold, it has been suggested that the current willingness to pay for medical interventions in the United States probably exceeds $100,000/QALY, with values as high as $300,000/QALY being cited in some oncology publications.[22], [29], [31], [32], [33] and [34] In support of that argument is the public and policy makers' strong negative reaction to the National Institutes of Health Consensus Panel not recommending mammography screening for women aged 40−49 years, a procedure reported to provide an ICER of $105,000 per life-year gained.[35] and [36] As a result, if willingness to pay goes beyond $100,000/QALY, the alternative of adding aprepitant to palo plus dex may also be deemed attractive as the slope of its acceptability curve becomes substantially steep when the willingness to pay for a QALY exceeds $125,000 (Figure 2), suggesting that its marginal gain may exceed its marginal costs at higher thresholds.

In addition, it is worth noting that the present analysis has been conducted from the perspective of a third-party payer within the context of the U.S. health-care system. The large difference in the acquisition cost of palo-based and onda-based therapy observed in the United States is mostly driven by the differential stage of product life cycles for palo and onda. Although at the time of this study palo was still under patent protection, generic onda had entered the U.S. market prior to our study. The large price discrepancy between brand and generic drugs explains the difference in drug costs in this U.S.-based analysis. As such, our results may not reflect the situation in countries with a widely different cost structure, in which the acquisition cost of palo may be substantially lower. When that is the case, the cost–effectiveness profile of the palo-based prophylactic therapy may be deemed substantially more favorable than the profile presented here. Similarly, we anticipate finding a more attractive cost–effectiveness profile for the palo-based therapies as palo reaches the end of its product life cycle in the U.S. market.37 Also of note is that the cost–effectiveness of the palo-based therapy may greatly differ when different perspectives (other than the third-party payer's perspective) are adopted.

Our study, however, has several limitations. First, the utility scores used in our model were derived with a VAS instrument, which does not incorporate patients' preferences under uncertainty. Nevertheless, the VAS approach has been shown to provide utility scores for nausea and vomiting with more variability than scores derived using other methods such as the Standard Gamble (personal communication, Grunberg SM et al, CALGB study 309801). Notwithstanding that, it remains unclear which method gives utility scores for transient health states, such as CINV, with the greatest validity.

Also of note is that due to a lack of information on emesis-related utilities among breast cancer patients in the literature, we used utilities elicited from patients with ovarian cancer. To the best of our knowledge, the utilities in Sun et al20 were the only ones available in the literature that were elicited from a homogeneous population of cancer patients (ie, solely patients with ovarian cancer) and were based on a wide range of health states combining the presence and absence of emesis during either the acute or the delayed period. In addition, the participants in the Sun et al study were treated with carboplatin, which, like the regimen used in our model, is classified as moderately emetogenic in established antiemetic guidelines.[8], [9] and [38] It is also important to emphasize that the population in that study, like our study's population, was composed exclusively of women, who are known to be at increased risk for developing CINV.39

Second, in the absence of clinical trial data, we assumed conservatively that dex and aprepitant add the same relative benefit to both onda and palo. This assumption results in an imperfect estimate of cost–effectiveness. As such, we may have overestimated or underestimated the cost–effectiveness of palo as dex and aprepitant may potentially add less value to the intrinsically more active 5-HT3 antagonist or uniquely complementary mechanisms of action could contribute to even greater activity with the palo-based therapy. However, our study's estimate of the relative effectiveness of the palo-based two-drug prophylactic therapy versus the onda-based two-drug therapy for preventing delayed emesis is consistent with that reported in a recently published clinical trial comparing palo and granisetron when both drugs are combined with dex following chemotherapy with either AC or cisplatin (1.18 vs 1.17, respectively).6

Third, our study did not include the outcomes associated with the adverse effects of antiemetics, and by so doing, we may have underestimated the costs associated with antiemetic prophylaxis. However, the incidence and duration of treatment-related adverse events occurring in the two RCTs comparing palo with either onda or dolasetron were mild and similar across treatment cohorts.[4] and [5]

Fourth, we assumed that changes in emesis control in subsequent cycles of AC for the palo-based regimens were the same as for the onda-based therapy. By so doing, we may have underestimated the cost–effectiveness of palo as the superiority of the more active 5-HT3 antagonist could be maintained in the subsequent cycles of chemotherapy (or even increased, as seen in the aprepitant-based arm of Herrstedt et al's14 study). As a result, if future prospective trials of palo-based antiemetic prophylaxis confirm its superiority in maintaining antiemetic efficacy over multiple cycles of AC, the cost–effectiveness profiles for the palo-based strategies may be more favorable than the profiles presented herein.

Last, the incremental gains in QALY observed in cost–utility analysis of interventions associated with transitory and non-life-threatening health states, such as the antiemetic regimens analyzed in our study, tend to render small denominators to be used in the incremental cost–effectiveness ratios. The issue of small denominators has led some researchers to question whether the current methodology of cost–effectiveness analysis is appropriate to determine the cost–effectiveness of treatments for terminal or supportive care.32 However, despite this shortcoming, these types of analysis benefit from having a wider scope as they allow comparisons over different types of health interventions across various diseases. In addition, by incorporating patients' utility levels over different health states (instead of merely looking into cost per additional patient controlled), cost–utility analysis makes explicit the impact of the target population's preferences for the different outcomes. Of importance is that both the Panel on Cost–Effectiveness in Health and Medicine and the Institute of Medicine (IOM) Committee on Regulatory Cost–Effectiveness Analysis recommend the use of QALY as the preferred outcome measure for economic evaluation of health-care interventions.

Conclusion

Although our base-case analysis suggests that, from a third-party payer perspective within the context of the U.S. health-care system, the cost–utility of the palo-based two-drug prophylactic therapy for breast cancer patients receiving four cycles of AC-based chemotherapy exceeds the $50,000–$100,000/QALY threshold, it is comparable to other commonly used supportive care interventions for women with breast cancer. In sensitivity analyses, such a strategy was associated with a 39% chance of being cost-effective at the $100,000/QALY threshold, and the model was sensitive to changes in the values of antiemetic effectiveness and of the probability of emesis-related hospitalization. In threshold analysis, the combination of palo and dex was shown to become cost-effective (at the $100,000/QALY benchmark) when the cost of palo is decreased by 11%. As a result, future research incorporating the price structure of all antiemetics following the recent expiration of onda's patent is needed.

 

 

Acknowledgments

The authors thank Dr. Sharon H. Giordano for providing valuable clinical input and Dr. Catherine D. Cooksley for providing suggestions for improving this article.

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This study was supported in part by a grant from MGI Pharma, Inc. MGI Pharma, Inc., had no role in the study design, data analysis, interpretation of results, content of the final article, or the decision to submit it for publication.

Conflicts of interest: Dr. Sun discloses that her husband was an employee of MGI Pharma, Inc., at the time this article was being written. Dr. Gralla discloses that he is a consultant for MGI Pharma, Inc., GlaxoSmithKline, Sanofi-aventis, and Merck; he also receives honoraria from MGI Pharma, Inc., and Merck and research support from Sanofi-aventis. Dr. Grunberg discloses that he is a consultant for MGI Pharma, Inc.

Correspondence to: Elenir B. C. Avritscher, MD, PhD, MBA/MHA, Section of Health Services Research, Department of Biostatistics and Applied Mathematics, The University of Texas M. D. Anderson Cancer Center, 1400 Pressler Street, Unit 1411, Houston, TX 77230; telephone: (713) 563-8920; fax: (713) 563-4243


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The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 242-25
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A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain

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A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain

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A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain

Wendy Ledesma MD, and Toby C. Campbell MD, MSCI   [Author vitae]


Available online 25 January 2011.

Refers to:
Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 232-238,
Michelle I. Rhiner, Charles F. von Gunten
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Vitae

Effective pain management is an essential component of the comprehensive care of patients with advanced cancer. Rhiner and von Gunten have written a review examining the roles the health-care practitioner and patient/family play in the undertreatment of breakthrough pain. The highlight of their article is a suggestion for a compelling new way to think about persistent and breakthrough cancer pain as distinct clinical entities. In addition, they identify technical, communication, behavioral, and regulatory barriers to effective evaluation and management. Because of these barriers, breakthrough cancer pain is often underappreciated and inadequately managed.

While the authors focus on the use of transmucosal fentanyl as the optimal opioid for addressing the challenges of breakthrough pain management, our experience suggests that all oral short-acting opioids are appropriate and effective. More important than the choice of opioid, all those who manage patients with cancer must be capable and committed to managing chronic and breakthrough cancer pain.

Breakthrough cancer pain is common. The phenomenon was first characterized by Portenoy and Hagen in 1990,1 and its prevalence has been estimated in several studies and ranges from 19% to 95%.2 The considerable variation in prevalence can be, in part, attributed to different definitions of “breakthrough pain.” Rhiner and von Gunten review various definitions and suggest that breakthrough cancer pain and persistent cancer pain should be perceived as distinct clinical entities. We find this conceptual separation an interesting and compelling argument, which could conceivably improve a provider's ability to manage cancer pain. For example, physicians may more easily realize the necessity for both long-acting and short-acting opioids to adequately control cancer pain if they understand they are treating two separate conditions. In addition, patients often struggle to understand the reason they have two different types of opioid pain relievers. By teaching patients that they are managing two different types of pain, they may more easily understand the role the different opioid formulations play in their care. Their improved understanding may improve medication compliance.

In conclusion, Rhiner and von Gunten provide an overview of breakthrough pain and the barriers to appropriate management which is timely and important. Notably, they introduce a new way of thinking about breakthrough pain which may improve the evaluation and management of cancer pain.

References1

1 R.K. Portenoy and N.A. Hagen, Breakthrough pain: definition, prevalence and characteristics, Pain 41 (1990), pp. 273–281. Abstract |

PDF (926 K)
| View Record in Scopus | Cited By in Scopus (359)

2 M.T. Greco, O. Corli, M. Montanari, S. Deandrea, V. Zagonel and G. Apolone, Epidemiology and pattern of care of breakthrough cancer pain in a longitudinal sample of cancer patients: results from the Cancer Pain Outcome Research Study Group, Clin J Pain (2010) (in press). [20842024].

Commentary on “Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients” by Michelle I. Rhiner, RN, MSN, ACHPN, and Charles F. von Gunten, MD, PhD (page 232)

Conflicts of interest: None to disclose.

Correspondence to: Wendy Ledesma, MD; telephone: 608-265-1700; fax: 608-265-8133


1 PubMed ID in brackets

Vitae

Dr. Ledesma is an oncology fellow at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.

Dr. Campbell is an assistant professor of medicine at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Page 241
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A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain

Wendy Ledesma MD, and Toby C. Campbell MD, MSCI   [Author vitae]


Available online 25 January 2011.

Refers to:
Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 232-238,
Michelle I. Rhiner, Charles F. von Gunten
PDF (503 K)
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Article Outline

References

Vitae

Effective pain management is an essential component of the comprehensive care of patients with advanced cancer. Rhiner and von Gunten have written a review examining the roles the health-care practitioner and patient/family play in the undertreatment of breakthrough pain. The highlight of their article is a suggestion for a compelling new way to think about persistent and breakthrough cancer pain as distinct clinical entities. In addition, they identify technical, communication, behavioral, and regulatory barriers to effective evaluation and management. Because of these barriers, breakthrough cancer pain is often underappreciated and inadequately managed.

While the authors focus on the use of transmucosal fentanyl as the optimal opioid for addressing the challenges of breakthrough pain management, our experience suggests that all oral short-acting opioids are appropriate and effective. More important than the choice of opioid, all those who manage patients with cancer must be capable and committed to managing chronic and breakthrough cancer pain.

Breakthrough cancer pain is common. The phenomenon was first characterized by Portenoy and Hagen in 1990,1 and its prevalence has been estimated in several studies and ranges from 19% to 95%.2 The considerable variation in prevalence can be, in part, attributed to different definitions of “breakthrough pain.” Rhiner and von Gunten review various definitions and suggest that breakthrough cancer pain and persistent cancer pain should be perceived as distinct clinical entities. We find this conceptual separation an interesting and compelling argument, which could conceivably improve a provider's ability to manage cancer pain. For example, physicians may more easily realize the necessity for both long-acting and short-acting opioids to adequately control cancer pain if they understand they are treating two separate conditions. In addition, patients often struggle to understand the reason they have two different types of opioid pain relievers. By teaching patients that they are managing two different types of pain, they may more easily understand the role the different opioid formulations play in their care. Their improved understanding may improve medication compliance.

In conclusion, Rhiner and von Gunten provide an overview of breakthrough pain and the barriers to appropriate management which is timely and important. Notably, they introduce a new way of thinking about breakthrough pain which may improve the evaluation and management of cancer pain.

References1

1 R.K. Portenoy and N.A. Hagen, Breakthrough pain: definition, prevalence and characteristics, Pain 41 (1990), pp. 273–281. Abstract |

PDF (926 K)
| View Record in Scopus | Cited By in Scopus (359)

2 M.T. Greco, O. Corli, M. Montanari, S. Deandrea, V. Zagonel and G. Apolone, Epidemiology and pattern of care of breakthrough cancer pain in a longitudinal sample of cancer patients: results from the Cancer Pain Outcome Research Study Group, Clin J Pain (2010) (in press). [20842024].

Commentary on “Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients” by Michelle I. Rhiner, RN, MSN, ACHPN, and Charles F. von Gunten, MD, PhD (page 232)

Conflicts of interest: None to disclose.

Correspondence to: Wendy Ledesma, MD; telephone: 608-265-1700; fax: 608-265-8133


1 PubMed ID in brackets

Vitae

Dr. Ledesma is an oncology fellow at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.

Dr. Campbell is an assistant professor of medicine at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Page 241

Peer Viewpoint

A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain

Wendy Ledesma MD, and Toby C. Campbell MD, MSCI   [Author vitae]


Available online 25 January 2011.

Refers to:
Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 232-238,
Michelle I. Rhiner, Charles F. von Gunten
PDF (503 K)
  |      

Article Outline

References

Vitae

Effective pain management is an essential component of the comprehensive care of patients with advanced cancer. Rhiner and von Gunten have written a review examining the roles the health-care practitioner and patient/family play in the undertreatment of breakthrough pain. The highlight of their article is a suggestion for a compelling new way to think about persistent and breakthrough cancer pain as distinct clinical entities. In addition, they identify technical, communication, behavioral, and regulatory barriers to effective evaluation and management. Because of these barriers, breakthrough cancer pain is often underappreciated and inadequately managed.

While the authors focus on the use of transmucosal fentanyl as the optimal opioid for addressing the challenges of breakthrough pain management, our experience suggests that all oral short-acting opioids are appropriate and effective. More important than the choice of opioid, all those who manage patients with cancer must be capable and committed to managing chronic and breakthrough cancer pain.

Breakthrough cancer pain is common. The phenomenon was first characterized by Portenoy and Hagen in 1990,1 and its prevalence has been estimated in several studies and ranges from 19% to 95%.2 The considerable variation in prevalence can be, in part, attributed to different definitions of “breakthrough pain.” Rhiner and von Gunten review various definitions and suggest that breakthrough cancer pain and persistent cancer pain should be perceived as distinct clinical entities. We find this conceptual separation an interesting and compelling argument, which could conceivably improve a provider's ability to manage cancer pain. For example, physicians may more easily realize the necessity for both long-acting and short-acting opioids to adequately control cancer pain if they understand they are treating two separate conditions. In addition, patients often struggle to understand the reason they have two different types of opioid pain relievers. By teaching patients that they are managing two different types of pain, they may more easily understand the role the different opioid formulations play in their care. Their improved understanding may improve medication compliance.

In conclusion, Rhiner and von Gunten provide an overview of breakthrough pain and the barriers to appropriate management which is timely and important. Notably, they introduce a new way of thinking about breakthrough pain which may improve the evaluation and management of cancer pain.

References1

1 R.K. Portenoy and N.A. Hagen, Breakthrough pain: definition, prevalence and characteristics, Pain 41 (1990), pp. 273–281. Abstract |

PDF (926 K)
| View Record in Scopus | Cited By in Scopus (359)

2 M.T. Greco, O. Corli, M. Montanari, S. Deandrea, V. Zagonel and G. Apolone, Epidemiology and pattern of care of breakthrough cancer pain in a longitudinal sample of cancer patients: results from the Cancer Pain Outcome Research Study Group, Clin J Pain (2010) (in press). [20842024].

Commentary on “Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients” by Michelle I. Rhiner, RN, MSN, ACHPN, and Charles F. von Gunten, MD, PhD (page 232)

Conflicts of interest: None to disclose.

Correspondence to: Wendy Ledesma, MD; telephone: 608-265-1700; fax: 608-265-8133


1 PubMed ID in brackets

Vitae

Dr. Ledesma is an oncology fellow at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.

Dr. Campbell is an assistant professor of medicine at the The University of Wisconsin Carbone Cancer Center, Madison, Wisconsin.


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Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients

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Review

Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients

Michelle I. Rhiner RN, MSN, ACHPN, and Charles F. von Gunten MD, PhD   [Author vitae]

Received 14 July 2010; 

accepted 16 August 2010. 

Available online 25 January 2011.

Referred to by:
The Challenges of Treating Patients with Cancer Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 239-240,
Sloan Beth Karver, Jessalyn H. Berger
PDF (90 K)
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Referred to by:
A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Page 241,
Wendy Ledesma, Toby C. Campbell
PDF (73 K)
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Abstract

Cancer breakthrough pain is a flare in pain that “breaks through” well-controlled persistent cancer pain. Although the condition is highly prevalent, the concept of cancer breakthrough pain is not well understood and is therefore underdiagnosed and undertreated. The purpose of this review is to examine the roles the health-care practitioner and patient/family caregiver play in the undertreatment of breakthrough pain. A lack of technical knowledge about pain management and pain assessment, attitudes about opioid addiction, and regulatory guidelines influence the manner in which opioids are prescribed. Patients harbor a variety of fears and misconceptions, such as opioid addiction, tolerance, side effects, and the meaning of pain, which can create a barrier to effective communication with their health-care provider regarding their cancer pain management and specifically their breakthrough pain. Identifying these issues gives health-care professionals and patients an opportunity to develop strategies that can improve the treatment of cancer breakthrough pain.

Article Outline

Defining Cancer BTP

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Physician-Related Factors in Clinical Inertia

Patient-Related Factors in Clinical Inertia

Summary and Considerations

Conclusions

Acknowledgements

References

Vitae

Cancer breakthrough pain (BTP) is a temporary spike in pain that “breaks through” otherwise well-controlled persistent cancer pain1 and may be described as either incident pain that is related to movement, nonincident pain that is unpredictable in nature, or end-of-dose pain that occurs after insufficient dosing of persistent pain.[2], [3] and [4] The severity of cancer BTP may be independent of persistent background pain, and most occurrences are related to the underlying cancer as opposed to the treatment of the cancer.[5] and [6] Cancer BTP episodes are varied in nature (Figure 1).[7], [8] and [9] Cancer BTP episodes generally last for approximately half an hour, with the most intense spikes occurring within 3–5 minutes;2 however, cancer BTP episodes may involve flares of pain that last seconds or hours. End-of-dose cancer BTP episodes are often associated with slower onsets of pain caused by a decreasing analgesic effect.[7] and [8] Cancer BTP may arise from a neuropathic, visceral, or somatic origin (Table 1).10



Figure 1. 

Breakthrough Pain in Patients with Cancer

Artist's rendering derived from Fishbain DA,7 Portenoy RK and Hagen NA,8 and Shoemaker SA, et al.9

Table 1. Quality of Cancer Breakthrough Pain

Adapted from Payne R.10

CATEGORY OF PAINCHARACTERISTICS
NeuropathicCaused by structural changes in the central nervous system and the peripheral nervous system; described as tingling, burning, or shooting in nature
VisceralDeep cramping and tearing pain that may originate in internal organs
SomaticRequires skeletal involvement; described as constant throbbing and aching that increases with movement

A significant number of patients suffering from cancer experience these pain flares. In a single-population evaluation of cancer pain (n = 159), it was reported that of those patients with continuous pain, 57 (75%) experienced cancer BTP. More than half (54%) of those patients who experienced cancer pain reported it being related to particular activities, while a little over one-quarter of patients (26%) experienced pain idiopathic in nature and 16% of patients experienced end-of-dose pain.3 In a survey of 545 patients with cancer experiencing fluctuations in pain conducted by the American Pain Foundation, 96% of these patients experienced episodes of cancer BTP at least once a month, more than 70% experienced cancer BTP episodes at least once a week, and more than one-fifth (22%) experienced cancer BTP more than once a day.11

The inadequate treatment of cancer pain is an issue with far-reaching implications; therefore, the purpose of this review is to examine the roles that health-care providers, patients, and family caregivers play in the undertreatment of cancer BTP.

Defining Cancer BTP

Despite the reported prevalence of the condition, questions continue to surround the definition of cancer BTP. The earliest clinical accounts of cancer BTP describe it as a greater than moderate temporary flare in pain that occurs on a baseline of moderate pain in patients receiving opioids for cancer pain.8 Presently, descriptions of cancer BTP include statements that flares may occur in the presence of stable persistent pain (regardless of the treatment)12 having pain levels ranging from moderate to severe, with onset depending on the subtype of pain.13

Some controversy centers on the term “breakthrough pain.” The American-English term “breakthrough pain” does not have an exact translation to other languages. Physicians in Europe may use the term “episodic” or “transient” to describe these fluctuations in cancer pain. However, these terms do not capture the idea that the pain is above and beyond persistent pain control (eg, “breaks through baseline analgesia”). Furthermore, if the term “breakthrough pain” is used, it may be limited to descriptions of pain that occur at the end of the dosing cycle.14 Finally, there are physicians in some countries who do not view exacerbation of cancer pain as a separate clinical entity. Instead, they view spikes of pain as a predictable or normal element of cancer pain.14

In spite of the questions surrounding cancer BTP, persistent pain must be controlled before management of cancer BTP can proceed. In addition, repeated episodes of cancer BTP may indicate that baseline pain has not been properly assessed and not adequately managed.10 Therefore, cancer BTP and persistent cancer pain should be assessed independently as they are separate clinical conditions.

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Persistent cancer pain requires around-the-clock (ATC) treatment with therapeutic agents that both maximize outcomes and minimize risks. ATC treatment allows maintenance of drug concentrations and prevents peaks and troughs resulting in increased risk of toxicity and lack of efficacy. Opioids such as morphine, oxycodone, methadone, and fentanyl are used extensively for the treatment of cancer pain as they produce an analgesic effect at a minimum dose and are easily titrated.15 While opioids are administrated orally per World Health Organization recommendations,15 they may also be administered rectally, intravenously, subcutaneously, intramuscularly, and transdermally. Clinical trials are being conducted to examine the administration of opioids through inhalation.16 Methadone is an example of a long-acting opioid that has been used to treat persistent pain.17 Pharmaceutically long-acting drugs such as sustained-release formulations of morphine, oxycodone, oxymorphone, and hydromorphone have been used to treat cancer pain.18 Adjuvant medications may be coadministered with opioids to treat symptoms that occur concurrently with cancer pain and to augment the analgesic effect. Although few clinical trials have evaluated the efficacy of adjuvants in patients with cancer, local anesthetics (eg, lidocaine), nonsteroidal anti-inflammatory drugs (eg, aspirin, naproxen, and ibuprofen), nonopioid analgesics (eg, acetaminophen), antidepressants (eg, amitriptyline, duloxetine, and venlafaxine), and anticonvulsants (eg, gabapentin, pregabalin, valproate, and lamotrigine) have been used to supplement opioid therapy.12

A number of physical and cognitive–behavioral interventions may be used in addition to pharmacological treatments to alleviate some of the pain symptoms experienced in patients with persistent cancer pain. In most patients, heating pads or ice packs may be used to relieve pain and reduce swelling; however, neither heat nor cold should be used on irradiated tissue, and caution should be used when using ice packs on patients with peripheral vascular disease.19 Exercise may be started or continued to improve physical conditioning. While tumor masses should not be manipulated, other techniques requiring physical stimulation, such as massage, pressure, and vibration, may also be used in the treatment of persistent pain. Either moving an immobile patient or temporarily restricting movement can prevent or alleviate pain. Acupuncture is another treatment that may be used to treat persistent cancer pain. Psychosocial interventions include hypnosis, use of relaxation techniques, biofeedback, and cognitive distraction.19

Orally administered, short-acting or rapid-acting opioids are used to treat cancer BTP episodes. However, the pharmacokinetic profiles of oral opioids may not match the onset and duration of some cancer BTP episodes.20 An analgesic agent used to treat cancer BTP should match the temporal characteristics of cancer BTP, be easily titrated to higher or lower doses if needed, and, if used appropriately in opioid-tolerant patients, not be associated with undue adverse effects.

Oral transmucosal delivery of opioids is an option for these challenges. Three formulations of the opioid fentanyl are available for transmucosal delivery: oral transmucosal fentanyl citrate (OTFC),21 fentanyl buccal tablets (FBTs),22 and fentanyl buccal soluble film (FBSF).23 OTFC is a fentanyl lozenge that has demonstrated an analgesic effect within 15 minutes of administration. Despite its rapid onset of action, the amount of fentanyl administered with the OTFC lozenge depends on the education provided to the patient on the use of this medication and the ability of the patient to actively use this product.21 While FBT (a tablet that utilizes an effervescent reaction to improve absorption) does not require substantial patient participation, its use has been associated with application-site side effects.22 Like OTFC and FBT, FBSF offers a rapid onset of action but does not require active patient participation and has minimal oral adverse side effects.23 These oral transmucosal fentanyl products should be administered only to opioid-tolerant patients, to avoid the risk of life-threatening respiratory depression.

Physician-Related Factors in Clinical Inertia

Three elements shape physicians' perceptions of the severity of cancer BTP and influence prescribing practices: technical knowledge, attitudes concerning use of opioids, and regulatory restrictions.[24], [25], [26] and [27]

The medical training of most physicians may not include courses in pain management. Instead, practitioners' education is a result of inpatient experience during the postgraduate years and is generally geared toward management of acute injuries, postoperative pain, and cardiovascular events such as myocardial infarctions.28 More evidence of this lack of knowledge among physicians is presented in a survey of British Columbian physicians.29 Among those doctors who responded, only 32% were aware of the dose that would produce an equal analgesic effect when a switch between morphine and acetaminophen is required. Furthermore, only 55% of physicians correctly stated that doses of opioids for cancer BTP should be 10% of the total daily dose and administered every 1 or 2 hours as needed per National Comprehensive Cancer Network guidelines. These findings suggest that when patients need stronger analgesics, physicians may not be skilled in converting to a more potent opioid or calculating a dose for cancer BTP management.29 Indiscriminate polypharmacy presents additional complications, whereby coadministration of multiple opioids exposes patients to an increased risk of toxicity and distorts the clinician's interpretation of outcomes.30

In addition to training, the communication skills of the practitioner play a role in effective treatment of cancer BTP and persistent cancer pain. Discussions regarding treatment can significantly influence a patient's decision to use opioids. In an interview study conducted during a cancer pain management trial, patients were reportedly occasionally “suspicious about the idea of choice” in the use of opioids.31 These patients favored thorough discussions of pain treatment options with physicians who were knowledgeable and confident about the use of opioids. The likelihood of patients participating in a pain management trial also increased if the physician stated that a lower dose of opioid would be used initially and treatment would cease if side effects developed.

Health-care providers' attitudes about the side effects of opioid treatment also impact treatment of persistent cancer pain and cancer BTP.32 In addition, although clinical studies do not support the assertion that patients may become addicted to opioids used to treat acute and persistent cancer pain, the belief that these patients are at risk for addiction prevents some health-care providers from prescribing opioids.33 The perceived relationship between opioid tolerance and addiction is one of the sources of confusion. One of the complications of opioid therapy is pharmacological tolerance, the loss of analgesic effect. Tolerance to an opioid may be determined genetically or acquired after metabolic changes, changes to receptors, or by learned behavior.33 The result of tolerance is decreasing pain relief, in spite of persistent doses over time.[34] and [35] Pharmacological tolerance is associated with incomplete cross-tolerance to other opioids. In contrast, addiction is a psychological syndrome characterized by uncontrolled and persistent use of the drug despite harm.[34], [35] and [36] Physical dependence on opioids is characterized by a withdrawal syndrome that occurs when the dose is stopped or decreased suddenly or an antagonist is administered.36 Pharmacological dependence is not synonymous with addiction; pharmacological tolerance occurs with many commonly prescribed drugs (such as nitrates) and does not indicate addiction.34

The prevalence of opioid addiction among a population of patients with cancer pain varies. In a meta-review of opioid addiction studies, authors reported a 0%–7.7% prevalence rate of addiction in patients with cancer depending on the population studied and the diagnostic measure used.37 This corresponds with the rate of addiction prevalent in the population at large—it does not support a cause-and-effect relationship between opioid administration and addiction.

Assessing and treating both persistent pain and cancer BTP in special populations such as the elderly and pediatric patients understandably presents a number of concerns for physicians. Although preclinical studies show that aging often correlates with increased pain sensitivity,[38], [39], [40] and [41] pain is often underdiagnosed in older patients.42 Age bias often shapes physicians' attitudes toward pain in the elderly. In a survey of 386 physicians to examine the attitudes, knowledge, and psychological factors that contribute to pain management decisions, about 31% believed that older patients were less likely to report pain than patients who were younger. The lack of studies designed to assess the efficacy of pain treatments in elderly patients and the unavailability of meta-analyses and systemic reviews to investigate use of opioids in the elderly are two reasons physicians are often hesitant in treating elderly patients with opioids.38 Another reason for the inadequate treatment of pain in the elderly is concern surrounding drug–drug interactions and uncontrolled side effects resulting from polypharmacy and variability in the patient population.43 The aging process results in impaired kidney and liver function and changes in body composition (including increases in body fat and changes in protein binding), which lead to alterations in drug distribution, metabolism, and elimination. Aging affects receptor responses and substrate intake in older individuals, and thus, the biological processes of increasing age influence the pharmacodynamics of drugs. Most elderly patients experience multiple comorbidities that require medications in addition to treatments for persistent pain and cancer BTP. It is not always possible to predict the drug–drug interactions and side effects that will often result from concomitant medications in this patient population.38 Finally, cognitive impairment and the inability to effectively communicate by the elderly make it difficult for physicians to properly assess pain in this patient population.44

Cancer BTP in children is often insufficiently treated because it is rarely assessed and poorly investigated. Additional research in this area would be useful in determining the true degree of risk associated with the use of opioids in children with cancer.[45] and [46]

Finally, practitioners working within the constraints of stringent laws and guidelines surrounding the allowed use of opioids may be reluctant to prescribe opioids given concerns over repercussions or uncertainty regarding appropriate protocols and documentation for use.[12], [47] and [48] Since cancer BTP episodes are not always properly assessed or recognized as separate clinical entities, opioids may not be prescribed in dosages sufficient to treat flares of persistent pain or more appropriate opioids that would best match the cancer BTP experience may not be considered.30 Risk evaluation and mitigation strategies49 and programs that require extensive documentation (such as writing prescriptions in triplicate29) may prevent health-care providers from prescribing opioids to patients experiencing cancer BTP. Physicians may also be hesitant to prescribe opioids because of the time and effort required for reimbursement by managed health-care companies.50

Patient-Related Factors in Clinical Inertia

Patient perceptions and beliefs about pain medication are similar to those of clinicians in some respects. In a study of patients in not-for-profit community hospitals and outpatients, both groups (27% of inpatients and 37% of outpatients) expressed a fear of addiction to pain medication.51 These patients also expressed the belief that medication should be saved until pain gets worse and that medication may interfere with daily activities.51 Like doctors, patients expected concerns about the side effects of pain medications including drowsiness, constipation, nausea, and difficulty breathing. Unlike doctors, a significant number of these patients also expressed concern about the cost of medication.51

Treatment decisions may be based on a number of factors including the patient's understanding of the diagnosis and confidence in the effectiveness of treatments.52 Patients may believe that pain is part of the cancer diagnosis and is to be expected. Some patients believe that use of opioids signifies that the “end of life” is near. They may believe that side effects related to opioids are unavoidable and the burden of the use of opioids outweighs the benefits.53

Another factor to consider when examining patient barriers to effective pain medication is the inability to effectively communicate pain to health-care professionals. The health-care setting may play a role in effectively describing pain. Patients in hospitals have the benefit of health-care providers being available to ask questions about their pain experience, which aids in describing the pain experience. Outpatients, on the other hand, may have difficulty in explaining their level of pain to family members and health-care providers.51 Patients may also be reluctant to describe their pain to family members or health-care professionals for fear of causing distress or appearing to be “weak”.54

Summary and Considerations

Many health-care professionals are not aware of the dual components of cancer pain: persistent pain and cancer BTP. This lack of understanding results in underdiagnosis and undertreatment of persistent cancer pain and cancer BTP, which can have significant repercussions on the patient–physician relationship. In a pan-European survey to examine the treatment of cancer pain, many patients reported feeling that clinicians did not prioritize the treatment of cancer pain highly enough; instead, treatment of cancer was given greater emphasis. The consequence of the lack of time committed to pain assessment and discussions geared toward the treatment options was that patients felt that their quality of life was not important to clinicians, their pain was not appreciated, and the physician did not know how to treat their pain.55

Several steps may be taken to close the gap between patients and physicians in the treatment of cancer BTP. Continuing education of physicians and other health-care professionals about the importance of persistent cancer pain and cancer BTP is essential to overcoming this obstacle.10 Properly prescribing opioids as treatments for cancer BTP and adherence to analgesic guidelines can prevent the undertreatment of this condition.56 Proper documentation of doses previously prescribed, side effects observed after dosing, and the severity of pain experienced may decrease the risk of adverse events.57

Improved pain management by practitioners can be achieved through knowledge and application of a number of validated pain assessment tools (Table 2). The patient self-report (in the form of a pain diary) is one of the most reliable methods of assessing persistent pain and cancer BTP; however, physicians must be careful to ensure accurate documentation of pain flares in patients who experience mental impairment or do not understand the concept of cancer BTP.10 Also, physical examination and appropriate tests are required to determine the pathophysiology of pain.12 In addition to the patient diary and the physical examination, there are a number of tools available to assess persistent pain and cancer BTP (Table 2).[58], [59] and [60]

 

 

Table 2. Methods of Pain Assessment

ASSESSMENT
Unidimensional scalesNumerical Rating Scale (NRS)
Visual Analogue Scale (VAS)
Verbal Rating Scale
Wong Baker FACES Pain Rating Scale
Colored Visual Analogue Scale
Coping Strategies Questionnaire
Multidimensional scalesBrief Pain Inventory
McGill Pain Questionnaire

Pain assessments may be unidimensional or multidimensional. Unidimensional assessments such as the Visual Analogue Scale and the Numerical Rating Scale60 offer simple measurements for changes in pain intensity,61 are easy to use, and require minimal health-care provider involvement. Multidimensional pain assessment instruments like the Brief Pain Inventory and the McGill Pain Questionnaire, on the other hand, consider not only pain intensity but also dimensions such as changes or fluctuations in pain, treatments, location of pain, physical descriptions of pain sensations, emotions and feelings related to pain, duration of pain, and history of pain.61

An additional resource to utilize would be the pain knowledge of nurses. Performance-based testing to examine the deficiencies in assessment and management of cancer show that hospice-care nurses were more proficient in assessing pain intensity and pain location than resident and family physicians.[62], [63] and [64] Nurses also have the opportunity to spend more time with the patient and to assess response to treatment plans.56

Conclusions

Cancer BTP is underdiagnosed and undertreated due to a number of patient and health-care provider–related factors. By identifying misconceptions; providing education to health-care providers, patients, and family caregivers; and accessing all available resources to improve pain diagnosis and management, steps can be taken to ensure that patients experiencing persistent cancer pain and cancer BTP are properly treated.

Acknowledgments

Funding for the preparation of this article was provided by Meda Pharmaceuticals, Inc. Editorial support was provided by M. K. Grandison, PhD, of inScience Communications, a part of the Wolters Kluwer organization.

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45 R.A. Morrison, Update on sickle cell disease: incidence of addiction and choice of opioid in pain management, Pediatr Nurs 17 (1991), p. 503. View Record in Scopus | Cited By in Scopus (6)

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47 C. Wright, S. Schnoll and D. Bernstein, Risk evaluation and mitigation strategies for drugs with abuse liability: public interest, special interest, conflicts of interest, and the industry perspective, Ann N Y Acad Sci 1141 (2008), pp. 284–303. View Record in Scopus | Cited By in Scopus (0)

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52 R. Sapir, R. Catane and B. Kaufman et al., Cancer patient expectations of and communication with oncologists and oncology nurses: the experience of an integrated oncology and palliative care service, Support Care Cancer 8 (2000), pp. 458–463. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (37)

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55 H. Breivik, N. Cherny and B. Collett et al., Cancer-related pain: a pan-European survey of prevalence, treatment, and patient attitudes, Ann Oncol 20 (2009), pp. 1420–1433. Full Text via CrossRef | View Record in Scopus | Cited By in Scopus (36)

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57 M. Weber and C. Huber, Documentation of severe pain, opioid doses, and opioid-related side effects in outpatients with cancer: a retrospective study, J Pain Symptom Manage 17 (1999), pp. 49–54. Article |

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58 F. De Conno, A. Caraceni and A. Gamba et al., Pain measurement in cancer patients: a comparison of six methods, Pain 57 (1994), pp. 161–166. Abstract |

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59 G.D. Hakonsen, S. Hudson and T. Loennechen, Design and validation of a medication assessment tool for cancer pain management, Pharm World Sci 28 (2006), pp. 342–351. View Record in Scopus | Cited By in Scopus (5)

60 A. Caraceni, N. Cherny and R. Fainsinger et al., Pain measurement tools and methods in clinical research in palliative care: recommendations of an Expert Working Group of the European Association of Palliative Care, J Pain Symptom Manage 23 (2002), pp. 239–255. Article |

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61 J.C. Holen, M.J. Hjermstad and J.H. Loge et al., Pain assessment tools: is the content appropriate for use in palliative care?, J Pain Symptom Manage 32 (2006), pp. 567–580. Article |

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62 P.A. Sloan, M.B. Donnelly, B. Vanderveer, M. Delomas, R.W. Schwartz and D.A. Sloan, Cancer pain education among family physicians, J Pain Symptom Manage 14 (1997), pp. 74–81. Abstract |

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63 P.A. Sloan, B.L. Vanderveer, J.S. Snapp, M. Johnson and D.A. Sloan, Cancer pain assessment and management recommendations by hospice nurses: University of Kentucky, Lexington, Kentucky, J Pain Symptom Manage 18 (1999), pp. 103–110. Article |

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64 C.T. Furstenberg, T.A. Ahles and M.B. Whedon et al., Knowledge and attitudes of health-care providers toward cancer pain management: a comparison of physicians, nurses, and pharmacists in the state of New Hampshire, J Pain Symptom Manage 15 (1998), pp. 335–349. Article |

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Conflicts of interest: M. I. R. has served on the speaker's bureau and nurse advisory boards of Cephalon, Inc., and Meda Pharmaceuticals, Inc. She was also a clinical trial subinvestigator for Cephalon's Actiq and Fentora clinical trials and Meda/BDSI's Onsolis clinical trial. C. F. v. G. received an honorarium from Meda Pharmaceuticals, Inc., for describing the features of their buccal fentanyl product.

Correspondence to: Michelle Rhiner, RN-BC, MSN, GNP-BC, CCM, Pallgesia Associates, PO Box 8127, Alta Loma, CA 91737; telephone: (909) 319-1603; fax: (909) 945-2923


1 PubMed ID in brackets

Vitae

Dr. Rhiner is from Pallgesia Associates, Alta Loma, California.

Dr. von Gunten is Provost, Institute for Palliative Medicine at San Diego Hospice, San Diego, California.


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 232-238
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Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients

Michelle I. Rhiner RN, MSN, ACHPN, and Charles F. von Gunten MD, PhD   [Author vitae]

Received 14 July 2010; 

accepted 16 August 2010. 

Available online 25 January 2011.

Referred to by:
The Challenges of Treating Patients with Cancer Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 239-240,
Sloan Beth Karver, Jessalyn H. Berger
PDF (90 K)
  |      
Referred to by:
A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Page 241,
Wendy Ledesma, Toby C. Campbell
PDF (73 K)
  |      

Abstract

Cancer breakthrough pain is a flare in pain that “breaks through” well-controlled persistent cancer pain. Although the condition is highly prevalent, the concept of cancer breakthrough pain is not well understood and is therefore underdiagnosed and undertreated. The purpose of this review is to examine the roles the health-care practitioner and patient/family caregiver play in the undertreatment of breakthrough pain. A lack of technical knowledge about pain management and pain assessment, attitudes about opioid addiction, and regulatory guidelines influence the manner in which opioids are prescribed. Patients harbor a variety of fears and misconceptions, such as opioid addiction, tolerance, side effects, and the meaning of pain, which can create a barrier to effective communication with their health-care provider regarding their cancer pain management and specifically their breakthrough pain. Identifying these issues gives health-care professionals and patients an opportunity to develop strategies that can improve the treatment of cancer breakthrough pain.

Article Outline

Defining Cancer BTP

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Physician-Related Factors in Clinical Inertia

Patient-Related Factors in Clinical Inertia

Summary and Considerations

Conclusions

Acknowledgements

References

Vitae

Cancer breakthrough pain (BTP) is a temporary spike in pain that “breaks through” otherwise well-controlled persistent cancer pain1 and may be described as either incident pain that is related to movement, nonincident pain that is unpredictable in nature, or end-of-dose pain that occurs after insufficient dosing of persistent pain.[2], [3] and [4] The severity of cancer BTP may be independent of persistent background pain, and most occurrences are related to the underlying cancer as opposed to the treatment of the cancer.[5] and [6] Cancer BTP episodes are varied in nature (Figure 1).[7], [8] and [9] Cancer BTP episodes generally last for approximately half an hour, with the most intense spikes occurring within 3–5 minutes;2 however, cancer BTP episodes may involve flares of pain that last seconds or hours. End-of-dose cancer BTP episodes are often associated with slower onsets of pain caused by a decreasing analgesic effect.[7] and [8] Cancer BTP may arise from a neuropathic, visceral, or somatic origin (Table 1).10



Figure 1. 

Breakthrough Pain in Patients with Cancer

Artist's rendering derived from Fishbain DA,7 Portenoy RK and Hagen NA,8 and Shoemaker SA, et al.9

Table 1. Quality of Cancer Breakthrough Pain

Adapted from Payne R.10

CATEGORY OF PAINCHARACTERISTICS
NeuropathicCaused by structural changes in the central nervous system and the peripheral nervous system; described as tingling, burning, or shooting in nature
VisceralDeep cramping and tearing pain that may originate in internal organs
SomaticRequires skeletal involvement; described as constant throbbing and aching that increases with movement

A significant number of patients suffering from cancer experience these pain flares. In a single-population evaluation of cancer pain (n = 159), it was reported that of those patients with continuous pain, 57 (75%) experienced cancer BTP. More than half (54%) of those patients who experienced cancer pain reported it being related to particular activities, while a little over one-quarter of patients (26%) experienced pain idiopathic in nature and 16% of patients experienced end-of-dose pain.3 In a survey of 545 patients with cancer experiencing fluctuations in pain conducted by the American Pain Foundation, 96% of these patients experienced episodes of cancer BTP at least once a month, more than 70% experienced cancer BTP episodes at least once a week, and more than one-fifth (22%) experienced cancer BTP more than once a day.11

The inadequate treatment of cancer pain is an issue with far-reaching implications; therefore, the purpose of this review is to examine the roles that health-care providers, patients, and family caregivers play in the undertreatment of cancer BTP.

Defining Cancer BTP

Despite the reported prevalence of the condition, questions continue to surround the definition of cancer BTP. The earliest clinical accounts of cancer BTP describe it as a greater than moderate temporary flare in pain that occurs on a baseline of moderate pain in patients receiving opioids for cancer pain.8 Presently, descriptions of cancer BTP include statements that flares may occur in the presence of stable persistent pain (regardless of the treatment)12 having pain levels ranging from moderate to severe, with onset depending on the subtype of pain.13

Some controversy centers on the term “breakthrough pain.” The American-English term “breakthrough pain” does not have an exact translation to other languages. Physicians in Europe may use the term “episodic” or “transient” to describe these fluctuations in cancer pain. However, these terms do not capture the idea that the pain is above and beyond persistent pain control (eg, “breaks through baseline analgesia”). Furthermore, if the term “breakthrough pain” is used, it may be limited to descriptions of pain that occur at the end of the dosing cycle.14 Finally, there are physicians in some countries who do not view exacerbation of cancer pain as a separate clinical entity. Instead, they view spikes of pain as a predictable or normal element of cancer pain.14

In spite of the questions surrounding cancer BTP, persistent pain must be controlled before management of cancer BTP can proceed. In addition, repeated episodes of cancer BTP may indicate that baseline pain has not been properly assessed and not adequately managed.10 Therefore, cancer BTP and persistent cancer pain should be assessed independently as they are separate clinical conditions.

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Persistent cancer pain requires around-the-clock (ATC) treatment with therapeutic agents that both maximize outcomes and minimize risks. ATC treatment allows maintenance of drug concentrations and prevents peaks and troughs resulting in increased risk of toxicity and lack of efficacy. Opioids such as morphine, oxycodone, methadone, and fentanyl are used extensively for the treatment of cancer pain as they produce an analgesic effect at a minimum dose and are easily titrated.15 While opioids are administrated orally per World Health Organization recommendations,15 they may also be administered rectally, intravenously, subcutaneously, intramuscularly, and transdermally. Clinical trials are being conducted to examine the administration of opioids through inhalation.16 Methadone is an example of a long-acting opioid that has been used to treat persistent pain.17 Pharmaceutically long-acting drugs such as sustained-release formulations of morphine, oxycodone, oxymorphone, and hydromorphone have been used to treat cancer pain.18 Adjuvant medications may be coadministered with opioids to treat symptoms that occur concurrently with cancer pain and to augment the analgesic effect. Although few clinical trials have evaluated the efficacy of adjuvants in patients with cancer, local anesthetics (eg, lidocaine), nonsteroidal anti-inflammatory drugs (eg, aspirin, naproxen, and ibuprofen), nonopioid analgesics (eg, acetaminophen), antidepressants (eg, amitriptyline, duloxetine, and venlafaxine), and anticonvulsants (eg, gabapentin, pregabalin, valproate, and lamotrigine) have been used to supplement opioid therapy.12

A number of physical and cognitive–behavioral interventions may be used in addition to pharmacological treatments to alleviate some of the pain symptoms experienced in patients with persistent cancer pain. In most patients, heating pads or ice packs may be used to relieve pain and reduce swelling; however, neither heat nor cold should be used on irradiated tissue, and caution should be used when using ice packs on patients with peripheral vascular disease.19 Exercise may be started or continued to improve physical conditioning. While tumor masses should not be manipulated, other techniques requiring physical stimulation, such as massage, pressure, and vibration, may also be used in the treatment of persistent pain. Either moving an immobile patient or temporarily restricting movement can prevent or alleviate pain. Acupuncture is another treatment that may be used to treat persistent cancer pain. Psychosocial interventions include hypnosis, use of relaxation techniques, biofeedback, and cognitive distraction.19

Orally administered, short-acting or rapid-acting opioids are used to treat cancer BTP episodes. However, the pharmacokinetic profiles of oral opioids may not match the onset and duration of some cancer BTP episodes.20 An analgesic agent used to treat cancer BTP should match the temporal characteristics of cancer BTP, be easily titrated to higher or lower doses if needed, and, if used appropriately in opioid-tolerant patients, not be associated with undue adverse effects.

Oral transmucosal delivery of opioids is an option for these challenges. Three formulations of the opioid fentanyl are available for transmucosal delivery: oral transmucosal fentanyl citrate (OTFC),21 fentanyl buccal tablets (FBTs),22 and fentanyl buccal soluble film (FBSF).23 OTFC is a fentanyl lozenge that has demonstrated an analgesic effect within 15 minutes of administration. Despite its rapid onset of action, the amount of fentanyl administered with the OTFC lozenge depends on the education provided to the patient on the use of this medication and the ability of the patient to actively use this product.21 While FBT (a tablet that utilizes an effervescent reaction to improve absorption) does not require substantial patient participation, its use has been associated with application-site side effects.22 Like OTFC and FBT, FBSF offers a rapid onset of action but does not require active patient participation and has minimal oral adverse side effects.23 These oral transmucosal fentanyl products should be administered only to opioid-tolerant patients, to avoid the risk of life-threatening respiratory depression.

Physician-Related Factors in Clinical Inertia

Three elements shape physicians' perceptions of the severity of cancer BTP and influence prescribing practices: technical knowledge, attitudes concerning use of opioids, and regulatory restrictions.[24], [25], [26] and [27]

The medical training of most physicians may not include courses in pain management. Instead, practitioners' education is a result of inpatient experience during the postgraduate years and is generally geared toward management of acute injuries, postoperative pain, and cardiovascular events such as myocardial infarctions.28 More evidence of this lack of knowledge among physicians is presented in a survey of British Columbian physicians.29 Among those doctors who responded, only 32% were aware of the dose that would produce an equal analgesic effect when a switch between morphine and acetaminophen is required. Furthermore, only 55% of physicians correctly stated that doses of opioids for cancer BTP should be 10% of the total daily dose and administered every 1 or 2 hours as needed per National Comprehensive Cancer Network guidelines. These findings suggest that when patients need stronger analgesics, physicians may not be skilled in converting to a more potent opioid or calculating a dose for cancer BTP management.29 Indiscriminate polypharmacy presents additional complications, whereby coadministration of multiple opioids exposes patients to an increased risk of toxicity and distorts the clinician's interpretation of outcomes.30

In addition to training, the communication skills of the practitioner play a role in effective treatment of cancer BTP and persistent cancer pain. Discussions regarding treatment can significantly influence a patient's decision to use opioids. In an interview study conducted during a cancer pain management trial, patients were reportedly occasionally “suspicious about the idea of choice” in the use of opioids.31 These patients favored thorough discussions of pain treatment options with physicians who were knowledgeable and confident about the use of opioids. The likelihood of patients participating in a pain management trial also increased if the physician stated that a lower dose of opioid would be used initially and treatment would cease if side effects developed.

Health-care providers' attitudes about the side effects of opioid treatment also impact treatment of persistent cancer pain and cancer BTP.32 In addition, although clinical studies do not support the assertion that patients may become addicted to opioids used to treat acute and persistent cancer pain, the belief that these patients are at risk for addiction prevents some health-care providers from prescribing opioids.33 The perceived relationship between opioid tolerance and addiction is one of the sources of confusion. One of the complications of opioid therapy is pharmacological tolerance, the loss of analgesic effect. Tolerance to an opioid may be determined genetically or acquired after metabolic changes, changes to receptors, or by learned behavior.33 The result of tolerance is decreasing pain relief, in spite of persistent doses over time.[34] and [35] Pharmacological tolerance is associated with incomplete cross-tolerance to other opioids. In contrast, addiction is a psychological syndrome characterized by uncontrolled and persistent use of the drug despite harm.[34], [35] and [36] Physical dependence on opioids is characterized by a withdrawal syndrome that occurs when the dose is stopped or decreased suddenly or an antagonist is administered.36 Pharmacological dependence is not synonymous with addiction; pharmacological tolerance occurs with many commonly prescribed drugs (such as nitrates) and does not indicate addiction.34

The prevalence of opioid addiction among a population of patients with cancer pain varies. In a meta-review of opioid addiction studies, authors reported a 0%–7.7% prevalence rate of addiction in patients with cancer depending on the population studied and the diagnostic measure used.37 This corresponds with the rate of addiction prevalent in the population at large—it does not support a cause-and-effect relationship between opioid administration and addiction.

Assessing and treating both persistent pain and cancer BTP in special populations such as the elderly and pediatric patients understandably presents a number of concerns for physicians. Although preclinical studies show that aging often correlates with increased pain sensitivity,[38], [39], [40] and [41] pain is often underdiagnosed in older patients.42 Age bias often shapes physicians' attitudes toward pain in the elderly. In a survey of 386 physicians to examine the attitudes, knowledge, and psychological factors that contribute to pain management decisions, about 31% believed that older patients were less likely to report pain than patients who were younger. The lack of studies designed to assess the efficacy of pain treatments in elderly patients and the unavailability of meta-analyses and systemic reviews to investigate use of opioids in the elderly are two reasons physicians are often hesitant in treating elderly patients with opioids.38 Another reason for the inadequate treatment of pain in the elderly is concern surrounding drug–drug interactions and uncontrolled side effects resulting from polypharmacy and variability in the patient population.43 The aging process results in impaired kidney and liver function and changes in body composition (including increases in body fat and changes in protein binding), which lead to alterations in drug distribution, metabolism, and elimination. Aging affects receptor responses and substrate intake in older individuals, and thus, the biological processes of increasing age influence the pharmacodynamics of drugs. Most elderly patients experience multiple comorbidities that require medications in addition to treatments for persistent pain and cancer BTP. It is not always possible to predict the drug–drug interactions and side effects that will often result from concomitant medications in this patient population.38 Finally, cognitive impairment and the inability to effectively communicate by the elderly make it difficult for physicians to properly assess pain in this patient population.44

Cancer BTP in children is often insufficiently treated because it is rarely assessed and poorly investigated. Additional research in this area would be useful in determining the true degree of risk associated with the use of opioids in children with cancer.[45] and [46]

Finally, practitioners working within the constraints of stringent laws and guidelines surrounding the allowed use of opioids may be reluctant to prescribe opioids given concerns over repercussions or uncertainty regarding appropriate protocols and documentation for use.[12], [47] and [48] Since cancer BTP episodes are not always properly assessed or recognized as separate clinical entities, opioids may not be prescribed in dosages sufficient to treat flares of persistent pain or more appropriate opioids that would best match the cancer BTP experience may not be considered.30 Risk evaluation and mitigation strategies49 and programs that require extensive documentation (such as writing prescriptions in triplicate29) may prevent health-care providers from prescribing opioids to patients experiencing cancer BTP. Physicians may also be hesitant to prescribe opioids because of the time and effort required for reimbursement by managed health-care companies.50

Patient-Related Factors in Clinical Inertia

Patient perceptions and beliefs about pain medication are similar to those of clinicians in some respects. In a study of patients in not-for-profit community hospitals and outpatients, both groups (27% of inpatients and 37% of outpatients) expressed a fear of addiction to pain medication.51 These patients also expressed the belief that medication should be saved until pain gets worse and that medication may interfere with daily activities.51 Like doctors, patients expected concerns about the side effects of pain medications including drowsiness, constipation, nausea, and difficulty breathing. Unlike doctors, a significant number of these patients also expressed concern about the cost of medication.51

Treatment decisions may be based on a number of factors including the patient's understanding of the diagnosis and confidence in the effectiveness of treatments.52 Patients may believe that pain is part of the cancer diagnosis and is to be expected. Some patients believe that use of opioids signifies that the “end of life” is near. They may believe that side effects related to opioids are unavoidable and the burden of the use of opioids outweighs the benefits.53

Another factor to consider when examining patient barriers to effective pain medication is the inability to effectively communicate pain to health-care professionals. The health-care setting may play a role in effectively describing pain. Patients in hospitals have the benefit of health-care providers being available to ask questions about their pain experience, which aids in describing the pain experience. Outpatients, on the other hand, may have difficulty in explaining their level of pain to family members and health-care providers.51 Patients may also be reluctant to describe their pain to family members or health-care professionals for fear of causing distress or appearing to be “weak”.54

Summary and Considerations

Many health-care professionals are not aware of the dual components of cancer pain: persistent pain and cancer BTP. This lack of understanding results in underdiagnosis and undertreatment of persistent cancer pain and cancer BTP, which can have significant repercussions on the patient–physician relationship. In a pan-European survey to examine the treatment of cancer pain, many patients reported feeling that clinicians did not prioritize the treatment of cancer pain highly enough; instead, treatment of cancer was given greater emphasis. The consequence of the lack of time committed to pain assessment and discussions geared toward the treatment options was that patients felt that their quality of life was not important to clinicians, their pain was not appreciated, and the physician did not know how to treat their pain.55

Several steps may be taken to close the gap between patients and physicians in the treatment of cancer BTP. Continuing education of physicians and other health-care professionals about the importance of persistent cancer pain and cancer BTP is essential to overcoming this obstacle.10 Properly prescribing opioids as treatments for cancer BTP and adherence to analgesic guidelines can prevent the undertreatment of this condition.56 Proper documentation of doses previously prescribed, side effects observed after dosing, and the severity of pain experienced may decrease the risk of adverse events.57

Improved pain management by practitioners can be achieved through knowledge and application of a number of validated pain assessment tools (Table 2). The patient self-report (in the form of a pain diary) is one of the most reliable methods of assessing persistent pain and cancer BTP; however, physicians must be careful to ensure accurate documentation of pain flares in patients who experience mental impairment or do not understand the concept of cancer BTP.10 Also, physical examination and appropriate tests are required to determine the pathophysiology of pain.12 In addition to the patient diary and the physical examination, there are a number of tools available to assess persistent pain and cancer BTP (Table 2).[58], [59] and [60]

 

 

Table 2. Methods of Pain Assessment

ASSESSMENT
Unidimensional scalesNumerical Rating Scale (NRS)
Visual Analogue Scale (VAS)
Verbal Rating Scale
Wong Baker FACES Pain Rating Scale
Colored Visual Analogue Scale
Coping Strategies Questionnaire
Multidimensional scalesBrief Pain Inventory
McGill Pain Questionnaire

Pain assessments may be unidimensional or multidimensional. Unidimensional assessments such as the Visual Analogue Scale and the Numerical Rating Scale60 offer simple measurements for changes in pain intensity,61 are easy to use, and require minimal health-care provider involvement. Multidimensional pain assessment instruments like the Brief Pain Inventory and the McGill Pain Questionnaire, on the other hand, consider not only pain intensity but also dimensions such as changes or fluctuations in pain, treatments, location of pain, physical descriptions of pain sensations, emotions and feelings related to pain, duration of pain, and history of pain.61

An additional resource to utilize would be the pain knowledge of nurses. Performance-based testing to examine the deficiencies in assessment and management of cancer show that hospice-care nurses were more proficient in assessing pain intensity and pain location than resident and family physicians.[62], [63] and [64] Nurses also have the opportunity to spend more time with the patient and to assess response to treatment plans.56

Conclusions

Cancer BTP is underdiagnosed and undertreated due to a number of patient and health-care provider–related factors. By identifying misconceptions; providing education to health-care providers, patients, and family caregivers; and accessing all available resources to improve pain diagnosis and management, steps can be taken to ensure that patients experiencing persistent cancer pain and cancer BTP are properly treated.

Acknowledgments

Funding for the preparation of this article was provided by Meda Pharmaceuticals, Inc. Editorial support was provided by M. K. Grandison, PhD, of inScience Communications, a part of the Wolters Kluwer organization.

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Conflicts of interest: M. I. R. has served on the speaker's bureau and nurse advisory boards of Cephalon, Inc., and Meda Pharmaceuticals, Inc. She was also a clinical trial subinvestigator for Cephalon's Actiq and Fentora clinical trials and Meda/BDSI's Onsolis clinical trial. C. F. v. G. received an honorarium from Meda Pharmaceuticals, Inc., for describing the features of their buccal fentanyl product.

Correspondence to: Michelle Rhiner, RN-BC, MSN, GNP-BC, CCM, Pallgesia Associates, PO Box 8127, Alta Loma, CA 91737; telephone: (909) 319-1603; fax: (909) 945-2923


1 PubMed ID in brackets

Vitae

Dr. Rhiner is from Pallgesia Associates, Alta Loma, California.

Dr. von Gunten is Provost, Institute for Palliative Medicine at San Diego Hospice, San Diego, California.


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 232-238

Review

Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients

Michelle I. Rhiner RN, MSN, ACHPN, and Charles F. von Gunten MD, PhD   [Author vitae]

Received 14 July 2010; 

accepted 16 August 2010. 

Available online 25 January 2011.

Referred to by:
The Challenges of Treating Patients with Cancer Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Pages 239-240,
Sloan Beth Karver, Jessalyn H. Berger
PDF (90 K)
  |      
Referred to by:
A Conceptual Solution to Improve the Management of Cancer-Related Breakthrough Pain
The Journal of Supportive Oncology, Volume 8, Issue 6, November-December 2010, Page 241,
Wendy Ledesma, Toby C. Campbell
PDF (73 K)
  |      

Abstract

Cancer breakthrough pain is a flare in pain that “breaks through” well-controlled persistent cancer pain. Although the condition is highly prevalent, the concept of cancer breakthrough pain is not well understood and is therefore underdiagnosed and undertreated. The purpose of this review is to examine the roles the health-care practitioner and patient/family caregiver play in the undertreatment of breakthrough pain. A lack of technical knowledge about pain management and pain assessment, attitudes about opioid addiction, and regulatory guidelines influence the manner in which opioids are prescribed. Patients harbor a variety of fears and misconceptions, such as opioid addiction, tolerance, side effects, and the meaning of pain, which can create a barrier to effective communication with their health-care provider regarding their cancer pain management and specifically their breakthrough pain. Identifying these issues gives health-care professionals and patients an opportunity to develop strategies that can improve the treatment of cancer breakthrough pain.

Article Outline

Defining Cancer BTP

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Physician-Related Factors in Clinical Inertia

Patient-Related Factors in Clinical Inertia

Summary and Considerations

Conclusions

Acknowledgements

References

Vitae

Cancer breakthrough pain (BTP) is a temporary spike in pain that “breaks through” otherwise well-controlled persistent cancer pain1 and may be described as either incident pain that is related to movement, nonincident pain that is unpredictable in nature, or end-of-dose pain that occurs after insufficient dosing of persistent pain.[2], [3] and [4] The severity of cancer BTP may be independent of persistent background pain, and most occurrences are related to the underlying cancer as opposed to the treatment of the cancer.[5] and [6] Cancer BTP episodes are varied in nature (Figure 1).[7], [8] and [9] Cancer BTP episodes generally last for approximately half an hour, with the most intense spikes occurring within 3–5 minutes;2 however, cancer BTP episodes may involve flares of pain that last seconds or hours. End-of-dose cancer BTP episodes are often associated with slower onsets of pain caused by a decreasing analgesic effect.[7] and [8] Cancer BTP may arise from a neuropathic, visceral, or somatic origin (Table 1).10



Figure 1. 

Breakthrough Pain in Patients with Cancer

Artist's rendering derived from Fishbain DA,7 Portenoy RK and Hagen NA,8 and Shoemaker SA, et al.9

Table 1. Quality of Cancer Breakthrough Pain

Adapted from Payne R.10

CATEGORY OF PAINCHARACTERISTICS
NeuropathicCaused by structural changes in the central nervous system and the peripheral nervous system; described as tingling, burning, or shooting in nature
VisceralDeep cramping and tearing pain that may originate in internal organs
SomaticRequires skeletal involvement; described as constant throbbing and aching that increases with movement

A significant number of patients suffering from cancer experience these pain flares. In a single-population evaluation of cancer pain (n = 159), it was reported that of those patients with continuous pain, 57 (75%) experienced cancer BTP. More than half (54%) of those patients who experienced cancer pain reported it being related to particular activities, while a little over one-quarter of patients (26%) experienced pain idiopathic in nature and 16% of patients experienced end-of-dose pain.3 In a survey of 545 patients with cancer experiencing fluctuations in pain conducted by the American Pain Foundation, 96% of these patients experienced episodes of cancer BTP at least once a month, more than 70% experienced cancer BTP episodes at least once a week, and more than one-fifth (22%) experienced cancer BTP more than once a day.11

The inadequate treatment of cancer pain is an issue with far-reaching implications; therefore, the purpose of this review is to examine the roles that health-care providers, patients, and family caregivers play in the undertreatment of cancer BTP.

Defining Cancer BTP

Despite the reported prevalence of the condition, questions continue to surround the definition of cancer BTP. The earliest clinical accounts of cancer BTP describe it as a greater than moderate temporary flare in pain that occurs on a baseline of moderate pain in patients receiving opioids for cancer pain.8 Presently, descriptions of cancer BTP include statements that flares may occur in the presence of stable persistent pain (regardless of the treatment)12 having pain levels ranging from moderate to severe, with onset depending on the subtype of pain.13

Some controversy centers on the term “breakthrough pain.” The American-English term “breakthrough pain” does not have an exact translation to other languages. Physicians in Europe may use the term “episodic” or “transient” to describe these fluctuations in cancer pain. However, these terms do not capture the idea that the pain is above and beyond persistent pain control (eg, “breaks through baseline analgesia”). Furthermore, if the term “breakthrough pain” is used, it may be limited to descriptions of pain that occur at the end of the dosing cycle.14 Finally, there are physicians in some countries who do not view exacerbation of cancer pain as a separate clinical entity. Instead, they view spikes of pain as a predictable or normal element of cancer pain.14

In spite of the questions surrounding cancer BTP, persistent pain must be controlled before management of cancer BTP can proceed. In addition, repeated episodes of cancer BTP may indicate that baseline pain has not been properly assessed and not adequately managed.10 Therefore, cancer BTP and persistent cancer pain should be assessed independently as they are separate clinical conditions.

Treatment Approaches to Persistent Cancer Pain versus Cancer BTP

Persistent cancer pain requires around-the-clock (ATC) treatment with therapeutic agents that both maximize outcomes and minimize risks. ATC treatment allows maintenance of drug concentrations and prevents peaks and troughs resulting in increased risk of toxicity and lack of efficacy. Opioids such as morphine, oxycodone, methadone, and fentanyl are used extensively for the treatment of cancer pain as they produce an analgesic effect at a minimum dose and are easily titrated.15 While opioids are administrated orally per World Health Organization recommendations,15 they may also be administered rectally, intravenously, subcutaneously, intramuscularly, and transdermally. Clinical trials are being conducted to examine the administration of opioids through inhalation.16 Methadone is an example of a long-acting opioid that has been used to treat persistent pain.17 Pharmaceutically long-acting drugs such as sustained-release formulations of morphine, oxycodone, oxymorphone, and hydromorphone have been used to treat cancer pain.18 Adjuvant medications may be coadministered with opioids to treat symptoms that occur concurrently with cancer pain and to augment the analgesic effect. Although few clinical trials have evaluated the efficacy of adjuvants in patients with cancer, local anesthetics (eg, lidocaine), nonsteroidal anti-inflammatory drugs (eg, aspirin, naproxen, and ibuprofen), nonopioid analgesics (eg, acetaminophen), antidepressants (eg, amitriptyline, duloxetine, and venlafaxine), and anticonvulsants (eg, gabapentin, pregabalin, valproate, and lamotrigine) have been used to supplement opioid therapy.12

A number of physical and cognitive–behavioral interventions may be used in addition to pharmacological treatments to alleviate some of the pain symptoms experienced in patients with persistent cancer pain. In most patients, heating pads or ice packs may be used to relieve pain and reduce swelling; however, neither heat nor cold should be used on irradiated tissue, and caution should be used when using ice packs on patients with peripheral vascular disease.19 Exercise may be started or continued to improve physical conditioning. While tumor masses should not be manipulated, other techniques requiring physical stimulation, such as massage, pressure, and vibration, may also be used in the treatment of persistent pain. Either moving an immobile patient or temporarily restricting movement can prevent or alleviate pain. Acupuncture is another treatment that may be used to treat persistent cancer pain. Psychosocial interventions include hypnosis, use of relaxation techniques, biofeedback, and cognitive distraction.19

Orally administered, short-acting or rapid-acting opioids are used to treat cancer BTP episodes. However, the pharmacokinetic profiles of oral opioids may not match the onset and duration of some cancer BTP episodes.20 An analgesic agent used to treat cancer BTP should match the temporal characteristics of cancer BTP, be easily titrated to higher or lower doses if needed, and, if used appropriately in opioid-tolerant patients, not be associated with undue adverse effects.

Oral transmucosal delivery of opioids is an option for these challenges. Three formulations of the opioid fentanyl are available for transmucosal delivery: oral transmucosal fentanyl citrate (OTFC),21 fentanyl buccal tablets (FBTs),22 and fentanyl buccal soluble film (FBSF).23 OTFC is a fentanyl lozenge that has demonstrated an analgesic effect within 15 minutes of administration. Despite its rapid onset of action, the amount of fentanyl administered with the OTFC lozenge depends on the education provided to the patient on the use of this medication and the ability of the patient to actively use this product.21 While FBT (a tablet that utilizes an effervescent reaction to improve absorption) does not require substantial patient participation, its use has been associated with application-site side effects.22 Like OTFC and FBT, FBSF offers a rapid onset of action but does not require active patient participation and has minimal oral adverse side effects.23 These oral transmucosal fentanyl products should be administered only to opioid-tolerant patients, to avoid the risk of life-threatening respiratory depression.

Physician-Related Factors in Clinical Inertia

Three elements shape physicians' perceptions of the severity of cancer BTP and influence prescribing practices: technical knowledge, attitudes concerning use of opioids, and regulatory restrictions.[24], [25], [26] and [27]

The medical training of most physicians may not include courses in pain management. Instead, practitioners' education is a result of inpatient experience during the postgraduate years and is generally geared toward management of acute injuries, postoperative pain, and cardiovascular events such as myocardial infarctions.28 More evidence of this lack of knowledge among physicians is presented in a survey of British Columbian physicians.29 Among those doctors who responded, only 32% were aware of the dose that would produce an equal analgesic effect when a switch between morphine and acetaminophen is required. Furthermore, only 55% of physicians correctly stated that doses of opioids for cancer BTP should be 10% of the total daily dose and administered every 1 or 2 hours as needed per National Comprehensive Cancer Network guidelines. These findings suggest that when patients need stronger analgesics, physicians may not be skilled in converting to a more potent opioid or calculating a dose for cancer BTP management.29 Indiscriminate polypharmacy presents additional complications, whereby coadministration of multiple opioids exposes patients to an increased risk of toxicity and distorts the clinician's interpretation of outcomes.30

In addition to training, the communication skills of the practitioner play a role in effective treatment of cancer BTP and persistent cancer pain. Discussions regarding treatment can significantly influence a patient's decision to use opioids. In an interview study conducted during a cancer pain management trial, patients were reportedly occasionally “suspicious about the idea of choice” in the use of opioids.31 These patients favored thorough discussions of pain treatment options with physicians who were knowledgeable and confident about the use of opioids. The likelihood of patients participating in a pain management trial also increased if the physician stated that a lower dose of opioid would be used initially and treatment would cease if side effects developed.

Health-care providers' attitudes about the side effects of opioid treatment also impact treatment of persistent cancer pain and cancer BTP.32 In addition, although clinical studies do not support the assertion that patients may become addicted to opioids used to treat acute and persistent cancer pain, the belief that these patients are at risk for addiction prevents some health-care providers from prescribing opioids.33 The perceived relationship between opioid tolerance and addiction is one of the sources of confusion. One of the complications of opioid therapy is pharmacological tolerance, the loss of analgesic effect. Tolerance to an opioid may be determined genetically or acquired after metabolic changes, changes to receptors, or by learned behavior.33 The result of tolerance is decreasing pain relief, in spite of persistent doses over time.[34] and [35] Pharmacological tolerance is associated with incomplete cross-tolerance to other opioids. In contrast, addiction is a psychological syndrome characterized by uncontrolled and persistent use of the drug despite harm.[34], [35] and [36] Physical dependence on opioids is characterized by a withdrawal syndrome that occurs when the dose is stopped or decreased suddenly or an antagonist is administered.36 Pharmacological dependence is not synonymous with addiction; pharmacological tolerance occurs with many commonly prescribed drugs (such as nitrates) and does not indicate addiction.34

The prevalence of opioid addiction among a population of patients with cancer pain varies. In a meta-review of opioid addiction studies, authors reported a 0%–7.7% prevalence rate of addiction in patients with cancer depending on the population studied and the diagnostic measure used.37 This corresponds with the rate of addiction prevalent in the population at large—it does not support a cause-and-effect relationship between opioid administration and addiction.

Assessing and treating both persistent pain and cancer BTP in special populations such as the elderly and pediatric patients understandably presents a number of concerns for physicians. Although preclinical studies show that aging often correlates with increased pain sensitivity,[38], [39], [40] and [41] pain is often underdiagnosed in older patients.42 Age bias often shapes physicians' attitudes toward pain in the elderly. In a survey of 386 physicians to examine the attitudes, knowledge, and psychological factors that contribute to pain management decisions, about 31% believed that older patients were less likely to report pain than patients who were younger. The lack of studies designed to assess the efficacy of pain treatments in elderly patients and the unavailability of meta-analyses and systemic reviews to investigate use of opioids in the elderly are two reasons physicians are often hesitant in treating elderly patients with opioids.38 Another reason for the inadequate treatment of pain in the elderly is concern surrounding drug–drug interactions and uncontrolled side effects resulting from polypharmacy and variability in the patient population.43 The aging process results in impaired kidney and liver function and changes in body composition (including increases in body fat and changes in protein binding), which lead to alterations in drug distribution, metabolism, and elimination. Aging affects receptor responses and substrate intake in older individuals, and thus, the biological processes of increasing age influence the pharmacodynamics of drugs. Most elderly patients experience multiple comorbidities that require medications in addition to treatments for persistent pain and cancer BTP. It is not always possible to predict the drug–drug interactions and side effects that will often result from concomitant medications in this patient population.38 Finally, cognitive impairment and the inability to effectively communicate by the elderly make it difficult for physicians to properly assess pain in this patient population.44

Cancer BTP in children is often insufficiently treated because it is rarely assessed and poorly investigated. Additional research in this area would be useful in determining the true degree of risk associated with the use of opioids in children with cancer.[45] and [46]

Finally, practitioners working within the constraints of stringent laws and guidelines surrounding the allowed use of opioids may be reluctant to prescribe opioids given concerns over repercussions or uncertainty regarding appropriate protocols and documentation for use.[12], [47] and [48] Since cancer BTP episodes are not always properly assessed or recognized as separate clinical entities, opioids may not be prescribed in dosages sufficient to treat flares of persistent pain or more appropriate opioids that would best match the cancer BTP experience may not be considered.30 Risk evaluation and mitigation strategies49 and programs that require extensive documentation (such as writing prescriptions in triplicate29) may prevent health-care providers from prescribing opioids to patients experiencing cancer BTP. Physicians may also be hesitant to prescribe opioids because of the time and effort required for reimbursement by managed health-care companies.50

Patient-Related Factors in Clinical Inertia

Patient perceptions and beliefs about pain medication are similar to those of clinicians in some respects. In a study of patients in not-for-profit community hospitals and outpatients, both groups (27% of inpatients and 37% of outpatients) expressed a fear of addiction to pain medication.51 These patients also expressed the belief that medication should be saved until pain gets worse and that medication may interfere with daily activities.51 Like doctors, patients expected concerns about the side effects of pain medications including drowsiness, constipation, nausea, and difficulty breathing. Unlike doctors, a significant number of these patients also expressed concern about the cost of medication.51

Treatment decisions may be based on a number of factors including the patient's understanding of the diagnosis and confidence in the effectiveness of treatments.52 Patients may believe that pain is part of the cancer diagnosis and is to be expected. Some patients believe that use of opioids signifies that the “end of life” is near. They may believe that side effects related to opioids are unavoidable and the burden of the use of opioids outweighs the benefits.53

Another factor to consider when examining patient barriers to effective pain medication is the inability to effectively communicate pain to health-care professionals. The health-care setting may play a role in effectively describing pain. Patients in hospitals have the benefit of health-care providers being available to ask questions about their pain experience, which aids in describing the pain experience. Outpatients, on the other hand, may have difficulty in explaining their level of pain to family members and health-care providers.51 Patients may also be reluctant to describe their pain to family members or health-care professionals for fear of causing distress or appearing to be “weak”.54

Summary and Considerations

Many health-care professionals are not aware of the dual components of cancer pain: persistent pain and cancer BTP. This lack of understanding results in underdiagnosis and undertreatment of persistent cancer pain and cancer BTP, which can have significant repercussions on the patient–physician relationship. In a pan-European survey to examine the treatment of cancer pain, many patients reported feeling that clinicians did not prioritize the treatment of cancer pain highly enough; instead, treatment of cancer was given greater emphasis. The consequence of the lack of time committed to pain assessment and discussions geared toward the treatment options was that patients felt that their quality of life was not important to clinicians, their pain was not appreciated, and the physician did not know how to treat their pain.55

Several steps may be taken to close the gap between patients and physicians in the treatment of cancer BTP. Continuing education of physicians and other health-care professionals about the importance of persistent cancer pain and cancer BTP is essential to overcoming this obstacle.10 Properly prescribing opioids as treatments for cancer BTP and adherence to analgesic guidelines can prevent the undertreatment of this condition.56 Proper documentation of doses previously prescribed, side effects observed after dosing, and the severity of pain experienced may decrease the risk of adverse events.57

Improved pain management by practitioners can be achieved through knowledge and application of a number of validated pain assessment tools (Table 2). The patient self-report (in the form of a pain diary) is one of the most reliable methods of assessing persistent pain and cancer BTP; however, physicians must be careful to ensure accurate documentation of pain flares in patients who experience mental impairment or do not understand the concept of cancer BTP.10 Also, physical examination and appropriate tests are required to determine the pathophysiology of pain.12 In addition to the patient diary and the physical examination, there are a number of tools available to assess persistent pain and cancer BTP (Table 2).[58], [59] and [60]

 

 

Table 2. Methods of Pain Assessment

ASSESSMENT
Unidimensional scalesNumerical Rating Scale (NRS)
Visual Analogue Scale (VAS)
Verbal Rating Scale
Wong Baker FACES Pain Rating Scale
Colored Visual Analogue Scale
Coping Strategies Questionnaire
Multidimensional scalesBrief Pain Inventory
McGill Pain Questionnaire

Pain assessments may be unidimensional or multidimensional. Unidimensional assessments such as the Visual Analogue Scale and the Numerical Rating Scale60 offer simple measurements for changes in pain intensity,61 are easy to use, and require minimal health-care provider involvement. Multidimensional pain assessment instruments like the Brief Pain Inventory and the McGill Pain Questionnaire, on the other hand, consider not only pain intensity but also dimensions such as changes or fluctuations in pain, treatments, location of pain, physical descriptions of pain sensations, emotions and feelings related to pain, duration of pain, and history of pain.61

An additional resource to utilize would be the pain knowledge of nurses. Performance-based testing to examine the deficiencies in assessment and management of cancer show that hospice-care nurses were more proficient in assessing pain intensity and pain location than resident and family physicians.[62], [63] and [64] Nurses also have the opportunity to spend more time with the patient and to assess response to treatment plans.56

Conclusions

Cancer BTP is underdiagnosed and undertreated due to a number of patient and health-care provider–related factors. By identifying misconceptions; providing education to health-care providers, patients, and family caregivers; and accessing all available resources to improve pain diagnosis and management, steps can be taken to ensure that patients experiencing persistent cancer pain and cancer BTP are properly treated.

Acknowledgments

Funding for the preparation of this article was provided by Meda Pharmaceuticals, Inc. Editorial support was provided by M. K. Grandison, PhD, of inScience Communications, a part of the Wolters Kluwer organization.

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Conflicts of interest: M. I. R. has served on the speaker's bureau and nurse advisory boards of Cephalon, Inc., and Meda Pharmaceuticals, Inc. She was also a clinical trial subinvestigator for Cephalon's Actiq and Fentora clinical trials and Meda/BDSI's Onsolis clinical trial. C. F. v. G. received an honorarium from Meda Pharmaceuticals, Inc., for describing the features of their buccal fentanyl product.

Correspondence to: Michelle Rhiner, RN-BC, MSN, GNP-BC, CCM, Pallgesia Associates, PO Box 8127, Alta Loma, CA 91737; telephone: (909) 319-1603; fax: (909) 945-2923


1 PubMed ID in brackets

Vitae

Dr. Rhiner is from Pallgesia Associates, Alta Loma, California.

Dr. von Gunten is Provost, Institute for Palliative Medicine at San Diego Hospice, San Diego, California.


The Journal of Supportive Oncology
Volume 8, Issue 6, November-December 2010, Pages 232-238
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Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients
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Cancer Breakthrough Pain in the Presence of Cancer-Related Chronic Pain: Fact versus Perceptions of Health-Care Providers and Patients
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Cancer breakthrough pain is a flare in pain that “breaks through” well-controlled persistent cancer pain. Although the condition is highly prevalent, the concept of cancer breakthrough pain is not well understood and is therefore underdiagnosed and undertreated. The purpose of this review is to examine the roles the health-care practitioner and patient/family caregiver play in the undertreatment of breakthrough pain. A lack of technical knowledge about pain management and pain assessment, attitudes about opioid addiction, and regulatory guidelines influence the manner in which opioids are prescribed. Patients harbor a variety of fears and misconceptions, such as opioid addiction, tolerance, side effects, and the meaning of pain, which can create a barrier to effective communication with their health-care provider regarding their cancer pain management and specifically their breakthrough pain. Identifying these issues gives health-care professionals and patients an opportunity to develop strategies that can improve the treatment of cancer breakthrough pain.