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Prediction of toxicity in concurrent chemoradiation for non-small cell lung cancer
Uijterlinde, W.I.
Publication date2014Document VersionFinal published version
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Citation for published version (APA):Uijterlinde, W. I. (2014). Prediction of toxicity in concurrent chemoradiation for non-small celllung cancer.
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Download date:26 May 2021
Chapter 6
Fractures of thoracic vertebrae in patients with locally advanced non-small cell lung carcinoma
treated with intensity modulated radiotherapy
W.I. UijterlindeC.Chen
J. de BoisJJ. SonkeC. Lange
J.S.A. BelderbosM.M van den Heuvel
Submitted
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Chapter 6
124
Abstract
Purpose: To report on the incidence of vertebral fractures in patients treated
with Intensity Modulated Radiotherapy (IMRT) for locally advanced non-small
cell lung carcinoma (NSCLC) and to analyse the correlation with clinical and
dosimetric parameters.
Patients and methods: Between 2007 and 2012, 524 patients treated with ≥
51 Gy, were retrospectively analysed for the incidence of vertebral fractures
(VF). Clinical and dosimetric parameters were assessed. In addition, a case
control study in 50 patients was performed to study the association between
the radiotherapy dose and fractured vertebrae.
Results: Three hundred and thirty six patients were eligible for analyses.
Twenty-eight patients (8%) suffered from fractures of the thoracic vertebra.
Age was significantly higher in the group with VF (p=0.01). After balancing
age, the percentage of volume that was prescribed with ≥x Gy (Vx) and the
equivalent uniform dose (EUDn), V30 and n=1 respectively,
were significantly associated with fractures of the vertebrae (p < 0.01).
Conclusion: A dose response relation between the dose of IMRT and the
occurrence of thoracic vertebral fractures was established in 8% of the patients
with locally advanced NSCLC.
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Fractures of thoracic vertebrae and IMRT
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6
Introduction
Concurrent chemoradiation (CCRT) is the treatment of choice for locally
advanced non-small cell lung cancer (NSCLC). The increase in survival,
compared to sequential chemoradiation (SCRT) is 6% at 3 years and is mainly
due to the improved local tumor control (1;2). This is, however, at the cost of
increased toxicity such as esophageal and pulmonary toxicity (3;4;5). Radiation-
induced bone damage has not yet been thoroughly studied. This toxicity has
mainly been described for stereotactic body radiotherapy (SBRT) (6;7). Case
reports showed osteoradionecrosis (ORN) in patients treated with radiotherapy
for NSCLC (8). Vertebral fractures (VF) of the thoracic spine were reported in 2
NSCLC patients, treated with 67 Gy on the mediastinum. After respectively 11
and 12 months, a wedge fracture of the 7th thoracic vertebra was observed and
symptoms were pain and immobility. In one patient, necrosis of the vertebra
without tumor progression was observed at autopsy. It has been hypothesized
that, as a result of radiotherapy, the central and peripheral blood flow to the
vertebra is reduced. In head and neck cancer, ORN of the upper cervical spine
has been observerd (9). A biopsy of the cervical vertebrae was performed in 3
patients with suspicion of local recurrence of disease but revealed only chronic
inflammation and necrosis and no recurrent disease. Most demographic
studies on the incidence and prevalence of VF take age and gender into
account because of the relation with osteoporosis. Increased age and a
decreased oestrogen level in post-menopausal women lead to a loss of bone
mineral density (BMD) (10). The prevalence of vertebral fractures in men and
women aged > 50 is 10% and 24% respectively, with an increased prevalence
with growing age (11;12). The biomechanical influences on the spine reflect in
the VF type. The wedge fracture shows a predilection for T6-T8 whereas T12-L1
often shows a compression fracture. Osteoporotic fractures are characterized
by biconcave deformities of the vertebra because of fractured endplates (13).
Beside age and gender, prevalent fractures, smoking, low body weight, chronic
obstructive pulmonary disease (COPD), walking aid use, long-term use of
systemic corticoid steroids and long-term oxygen therapy are prognosticators
for VF (14;15). There is a lack of clinical recognition of VF because of a difficulty
in determining the cause of the symptoms. In most studies lateral X-rays of
the thorax, or spinal radiographs are used for diagnoses (13-17), sometimes
followed by morphometric analysis. Symptoms and quality of life in patients
29761 Uyterlinde.indd 125 28-08-14 09:31
Chapter 6
126
suffering from VF are summarized by Ryan et al. Sixty-three percent suffered
from persistent back pain; 47% had difficulty with functional activities and 42%
had difficulty finding suitable clothing (18). With the introduction of Intensity
Modulated Radiotherapy (IMRT), our institute has intensified research on
late-onset toxicity and started collecting data on VF. Because of the clinical
implications and the limited knowledge on RT induced VF, we studied the
incidence of thoracic VF and its relation with the radiotherapy dose, taking into
account the clinical and demographic risk factors.
Methods and materials
Patient selectionA total of 524 locally advanced NSCLC patients was treated between 2007-
2012 in the Netherlands Cancer Institute (NKI) with ≥ 51 Gy physical dose IMRT
with or without chemotherapy. Medical records and treatment schedules of
these patients were retrospectively reviewed. Vertebral fractures were also
retrospectively screened from the baseline/planning Computer Tomography
Scan (CT) and follow-up CT or Magnetic Resonance Imaging (MRI). Patients
were excluded from the study if no follow-up CT imaging was present, if they
died before the first follow-up imaging, had prior irradiation due to thoracic
or head and neck cancer, had VF prior to radiotherapy (identified from the
planning CT scan), or had VF due to trauma.
TreatmentThe treatments consisted of concurrent chemo radiotherapy: daily cisplatin
(6mg/m²) and 66 Gy (fractions of 2.75 Gy) during 24 sequential working days
(1;2); sequential chemo radiotherapy: 2-4 cycles of chemotherapy doublets
followed by 66Gy in 24 fractions, or RT only: 66y in 24 fractions; 60 Gy in 30
fractions; 51 Gy in 17 fractions.
For radiotherapy planning, a four-dimensional CT scan (4DCT) was acquired
in all patients in order to minimize the respiratory induced systematic errors
and assess the breathing amplitude of the primary tumor. A mid-ventilation
scan (MidV scan) with the tumor closest to its time-averaged mean position
was reconstructed from the 4DCT. This MidV-scan was used to delineate the
gross tumor volume (GTV), involved lymph nodes and organs at risk (OARs). All
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127
6
patients had a Fluorodeoxyglucose/Positronemissiontomography (FDG-PET)
scan before the start of treatment.
The GTV was expanded to a planning target volume (PTV) using margins of
12mm plus 1/4 of the primary tumor peak-to-peak amplitude in orthogonal
directions as observed on the 4DCT. For the lymph nodes an isotropic PTV
margin of 12mm was used. Heart, spinal cord, lung and oesophagus were
delineated according to departmental guidelines. Dose distributions were
calculated using inhomogeneity correction (Pinnacle version 9.2). Dose
constraints and objectives were defined in biologically equivalent dose in 2 Gy
per fraction (EQD2). For the esophagus a V
35<65% (α/β=10 Gy) was encouraged
when optimizing the IMRT plan. Dose objectives for other OARs were: mean lung
dose ≤20 Gy (α/β=3 Gy), spinal cord ≤52 Gy (α/β=2 Gy), total mean heart dose
≤40 Gy, 2/3 heart ≤50 Gy, and 1/3 heart ≤66 Gy (α/β=4 Gy). Patients received
repetitive cone-beam CT scans for an off-line setup correction protocol.
Assessment of vertebral fracturesAll patients follow up MRI/CT images using 1 or 5 mm slices and multi-planary
reconstruction were first screened on VF by a chest physician and then forwarded
to the radiologist to discriminate dissemination from injury. Metastatic disease
was determined in case the cortex was taken over by soft tissue (9;17). In case
of a vertebral fracture on the follow up imaging, the planning CT was reviewed
on pre-existent fractures. If a fracture was identified on the planning CT, the
patient was excluded from the study. Otherwise, the location and number of
VF in the RT field were recorded, and the date of the first identified follow-up
imaging was recorded as the onset date. If no VF was identified on any of the
follow-up imaging, the date of the last imaging was recorded as the date of the
last follow-up for VF.
The following clinical parameters were taken into account: age, gender,
chemotherapy, performance status (PS) and Chronic Obstructive Pulmonary
Disease (COPD). GOLD classification was defined based on the forced expiratory
volume (FEV1) before treatment. To determine loss of bone mineral density (BMD),
the baseline RT planning CT was used to calculate the Hounsfield units (HU).
A one-to-one matched case control study was conducted to assess the
relationship between RT dose and VF. The case control study allowed the
analysis to be conducted on a subset of patients with balanced demographic risk
factors. The process of matching case control patients was as follows: 1) For each
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128
patient with a VF, a matched control patient with longer follow-up was found;
2) A smaller subset of non-VF patients who had the same matching variables
was further selected. The matching criteria included age (+/-5 years), RT dose and
gender; 3) We randomly selected one patient from the qualified subset.
After selection of the matched control cases, the vertebral corpora of
Th1-Th12 were manually delineated on the planning CT (Figure 1).The
cylindrical shape vertebral corpora is the main portion of a vertebra
anterior to the vertebral canal, as distinct from the arches. To compute dosimetric
parameters, the physical RT dose to each vertebra was first converted to EQD2
voxel-by-voxel using the Linear Quadratic (LQ) model. An α/β ratio of 3 Gy
was used to model late effects. The equivalent uniform dose (EUD) for various
values of the volume parameter n and the percentage of volume prescribed
with ≥x Gy (Vx) for various values of x were then computed from the dose
volume histogram (DVH).
Statistical analysis
Vertebral fractures were analysed in three steps: Firstly, we quantified the
incidence of VF in our patient cohort. Secondly, we analysed the association
between clinical parameters and VF per patient. Finally, the association between
RT dose and VF per vertebra, adjusted for clinical parameters was evaluated.
The incidence of VF was presented by the Kaplan-Meier method, adjusting
for loss to follow-up. A univariate analysis was then conducted to analyse the
association of VF with clinical parameters, using Cox proportional hazards
regression. To analyse the relationship between the RT dose and VF, the
following tests were used to evaluate the matching results in the case control
study: age and follow-up time of the matched case control patients were
tested using Wilcoxon signed rank test. The effect size refers to the Hodges-
Lehmann estimator. Categorical variables like gender (female vs. male), PS (0
vs. ≥1), )were tested using the binomial test (B vs. A). The effect size refers to
the estimated probability of a case-control pair with A in VF group and B in
non-VF group among all the case-control pairs where the case and control do
not belong to the same category. RT dose (66Gy vs. 51Gy) were tested using
the binomial test (B vs. A). The effect size refers to the estimated probability
of a pair (with A in VF group and B in non-VF group) in the unmatched pairs.
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6
Figure 1. Example of a delineated corpus vertebra in axial view and the delineated vertebra Th01-Th12 in sagittal view.
Assuming that the prior probability of a fracture is identical per vertebra and
the dose-VF relationship is identical per vertebra, our hypothesis was that the
RT dose is associated with vertebral fractures, adjusted for age. Based on the
data structure, we applied a generalized linear mixed model with a nested
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130
random effect from pair and patient: both Vx
and equivalent uniform dose
(EUDn) were extracted from the dose volume histogram of each vertebra for
the analysis of dose-VF relationship. Vx
represents the percentage of volume
that was planned with EQD2≥x Gy (Appendix). The statistical analysis was
conducted in R (version 2.14.1).
Results
Among the evaluated 524 patients, 166 (32%) had no available follow-up CT/
MRI or died before the first follow-up scan, 14 (3%) had prior thoracic or head
and neck RT, 6 (1%) had a VF prior to radiotherapy, identified from the planning
CT; 2 (<1%) had a fracture due to other causes. As a result, 336 patients were
eligible for this retrospective study (Figure 2). Patient characteristics of the
eligible patient cohort are displayed in Table 1. During the follow up (median
follow up of 34 months) 28 patients (8%) developed a fracture of the thoracic
vertebra. Figure 3 depicts the incidence of VF together with the overall survival.
Of the 28 patients with vertebral fractures, 22 had 1 VF, 5 had 2 VF and 1 patient
had 3 VF. The locations of the in total 35 fractured vertebras were: thoracic 4, 1;
thoracic 5, 8; thoracic 6, 8; thoracic 7, 15 and thoracic 8, 3. The median time to
discovery of the fracture was 7 months (range 2-26). In all fractured vertebrae an
increased signal intensity on the MRI or decreased density on the CT was seen
due to radiation-induced fattening. Univariate analysis showed a significant
difference in age with a higher age in the fractured group (p<0.01, Table 2).
FEV1 values were available in only 222 patients treated with CCRT and were not
significantly associated with VF (COPD GOLD 1-2 versus 3: p=0.62). Concerning
the los off BMD, the average of the mean density for fractured vertebras was
1220 HU (range 1044-1431 HU), while the average of the mean density for non-
fractured vertebras was 1205 HU (range 1144-1269 HU) (p=0.07).
In the case control study, we could not find a matched control for 3 VF patients
with a long follow-up time of 22, 25 and 26 months. In total 25 control patients
were identified for 25 cases (Table 3). The cases and control patients were well
balanced for age and gender. The dosimetric characteristics to the fractured
and non-fractured vertebrae are presented in Table 4. The optimized parameter
values and the maximum log=likelihood in predicting VF are presented in table
5 (appendix).
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6
524 patients with IMRT ≥
51 Gy physical dose
166 patients with no
follow up CT/MRI
14 patients with prior thoracic or H&N RT
6 patients had VF prior to
RT (1%)
2 patients had VF due to
other causes after RT
336 patients eligible for
analysis (64%)
Table 1. Characteristics of the VF patients (n=28) and the non-VF patients (n=308). COPD status was only available in 222 of the 269 concurrent chemo-radiation (CCRT) patients.
Characteristic VF patients (n=28) Non-VF (n=308)
Median age (y) (range) 70 (42-82) 63 (32-87)
Gender(%)Female 17 (61%) 118 (38%)
Performance status (%)WHO 0WHO 1WHO 2WHO3
7 (25%)18 (64%) 2 (7%) 1 (4%)
96 (31%)193 (63%) 19 (6%) 0 (0%)
TMN stage1A-1B2A-2B3A-3B4
0 (0%) 2 (7%)26 (93%) 0 (0%)
12 (4%) 30 (10%)264 (86%) 2 (1%)
Median GTV volume (cc) (range) 107.0 (25.7-381.1) 107.1 (2.32-1830.0)
Chemotherapy:NoneSequentialConcurrent
5 (18%) 2 (7%)21 (75%)
35 (11%) 25 (8%)248 (81%)
Prescribed RT :2.75Gy × 24fr2Gy × 30fr3Gy × 17Fr
25 (89%) 0 (0%) 3 (11%)
291 (94%) 3 (1%) 14 (5%)
COPDIIIIII
10 (56%)6 (33%)2 (11%)
99 (49%) 89 (44%)16 (8%)
Post=postmenopausal; pre=premenopausal; WHO=world health organisation; TNM=Tumor-Nodule-Metastasis according to the 7th edition of staging; GTV=gross tumor volume; RT=radiotherapy; fr=fractions; COPD= chronic obstructive pulmonary disease; 1,2,3=GOLD Classifi cation
Figure 2. Eligibility criteria
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Figure 3. Kaplan-Meier estimates of the incidence and 95% CI (Greenwood formula) of VF for NSCLC patients (n=336) with a median follow-up of 12 months, together with the overall survival with a median follow-up of 34 months. The number of patients at risk for vertebra fracture (top) and death (bottom) are also given.
Table 2. Univariate analysis of the association between clinical variables and vertebral fractures, using the Cox-proportional hazard model.
Variable Hazard ratio (95% CI) p-value
Age 1.70 per 10 year increase (1.19-2.43) <0.01
Gender: female vs male 1.92 (0.90-4.11) 0.09
Chemotherapy:Chemo+RT vs RT only 0.44 (0.17-1.15) 0.13
Performance status:WHO 1 vs 0WHO 2 vs 0
1.46 (0.61-3.49)4.19 (1.07-16.40)
0.18
COPD1-2 vs 3 0.79 (0.31-2.01) 0.62
WHO=world health organisation; COPD=chronic obstructive pulmonary disease; 1,2,3=Gold Class.
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6
Table 3. Comparing the clinical variables between the case (n=25) and control (n=25) patients, including the matching variables age, FU-time, gender and the non-matching variables performance status and prescribed RT dose to PTV.
Characteristics Fracture No fracture Effect size* p-value
median age (y) (range)
70(42~82)
68(38~80)
1 0.09
Male 11 (44%) 11 (44%)
median FU-time (mo)(range)
6.4(1.9-24.1)
23.7(6.7-50.4)
-14.2 <0.01
Performance status (%)
WHO=0 7 (28%) 9 (36%) 0.4 0.75
1 15 (60%) 16 (64%)
2 2 (8%) 0 (0%)
3 1 (4%) 0 (0%
Prescribed RT dose to PTV (%) 1 1
24×2.75Gy 25 (100%) 25 (100%)
WHO=world health organization; RT=radiotherapy; PTV=planned target volume*Age, FU-time were tested using Wilcoxon signed rank test. The effect size refers to the Hodges-Lehmann estimator. Categorical variables like menoposal status (pre-post vs. male) or (female vs. male), PS (0 vs. ≥1), RT dose (66Gy vs. 55Gy) were tested using the binomial test (B vs. A). The effect size refers to the estimated probability of a pair (with A in fractured group and B in non-fractured group) in the unmatched pairs.
Table 4. The volume and dosimetric characteristics to the fractured (n=29) and the non-fractured (n=512) vertebra in the 50 patients in the case control study.
Characteristics Fracturen=29
No fracturen=512
median Dmax (Gy) (range)
72.1(41.7-82.8)
32.9(0.0-83.3)
median Dmean: (Gy) 52.2 11.0
(range) (17.8-71.4) (0-65.3)
median Volume (cc) 15.2 16.0
(range) (8.3-30.4) (4.6-57.0)
The estimated parameter values for the dose-VF relationship are listed in Table 5 (Appendix). The optimal Vx parameter was V30: the percentage of volume of the vertebra that was planned with ≥30Gy (95% CI V6-V46). For EUD, the optimal n parameter was 1 (95% CI 0.05-inf ) (p=0.01, likelihood ratio test compared with the null model). Note that EUD (n=1) is equivalent to the mean dose of the vertebra.
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134
Discussion
In this study we report an 8% incidence of thoracic vertebral fractures following
a 7 month median time to discovery in patients with locally advanced NSCLC
treated with IMRT. In a matched control group a significant association was
found of VF with Vx and EUD.
To our knowledge, this is the first analysis of VF with clinical and dosimetric
variables in a large cohort of stage III NSCLC patients. The radiation dose on
the vertebra is associated with the risk for VF; suggesting the direct relation
between radiation dose and the development of osteonecrosis. Interestingly,
low dose cisplatin does not increase the risk for fractures. Besides its clinical
relevance, it helps us to understand the mechanisms of radiotherapy induced
VF and to gain knowledge on associations with clinical and dosimetric
parameters. However, there are still questions to be addressed. Theoretically,
the fracture of a radiated thoracic vertebra is caused by reduced osteosynthesis
(8), but the exact mechanism remains unclear. Although we found a significant
relation between the RT dose and VF, we do not know whether the fracture is
caused directly by RT effects to the osteoblasts or the RT effect on surrounding
arteries and/or peripheral vessels.
Noteworthy is the absence of correlation between COPD and VF. Osteoporosis
in COPD patients has been studied thoroughly (15), but large epidemiological
trials aiming to assess the incidence and prevalence of osteoporosis within
populations of patients with COPD at various stages of disease severity
are lacking (19). Although precise mechanisms involved continue to be
debated, one can assume that inflammatory lung disease, aging and the
use of corticosteroids contribute to reduce skeletal bone tissue. A significant
association between VF and a low FEV1 is described frequently (15;19;20).
However, COPD GOLD class ≥ 2 was almost absent in our cohort and this finding
might explain why this association was not observed in our cohort of patients.
There are some limitations in our study. Due to the retrospective approach, we
were not able to assess health related quality of life questionnaires on a regular
basis. Patient reported outcomes are extremely valuable and would have
contributed to this study. Instead, we used CT/MRI scans to identify VF, which is
so far the most objective method. Secondly, due to the easy cylinder structure,
we chose to delineate the corpus vertebra in the study instead of the entire
vertebra. Furthermore, to assess information on BMD, a Dual Energy X-ray
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6
Absorption (DXA) scan is the preferable imaging modality. However, because
of the retrospective nature of our study, we were not able to perform this
imaging and instead we used the pre-treatment RT planning CT to calculate
the radiodensity (Hounsfield Units). Post-menopausal women are at risk for
osteoporosis (14;15) but due to the inability to retrieve the exact date of the
climacterium, we used age and gender instead as climacterium is nested in
these 2 variables.
In conclusion, our study suggests a significant association between thoracic
vertebral fractures and the dose of radiotherapy delivered to the corpus
vertebrae. This information might be used for treatment planning constraints.
Outcomes should be validated and additional assessment of health related
quality of life is needed to study the physical, emotional, social and financial
impact of vertebral fractures in NSCLC patients.
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2. Schaake-Koning C, van den Bogaert W, Dalesio O, et al. Effects of concomitant cisplatin and radiotherapy on inoperable non-small-cell lung cancer. N Engl J Med, 326: 524-530, 1992
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5. Chen C, Uijterlinde W, Sonke JJ, de Bois J, van den Heuvel M, Belderbos J. Severe late esophagus toxicity in NSCLC patients treated with IMRT and concurrent chemotherapy. Radiother Oncol, 108: 337-41, 2013
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Appendix
EUDn calculationBoth V
x and equivalent uniform dose (EUD
n) were extracted from the dose
volume histogram of each vertebra for the analysis of dose-VF relationship. Vx
represents the percentage of volume that was planned with EQD2≥x Gy. EUDn
was calculated as below:
1/2
1
1nN
nn i i
iEUD EQD V
V =
= ∑ (1),
where Vi represents the volume receiving EQD
2i in the ith bin, V the total volume,
n the volume effect (21). When n0, EUDn becomes the maximum dose to the
vertebra; when n=1, EUDn is identical to the mean dose.
Generalized linear mixed modelThe data of the case control study has a nested structure: The vertebras are
nested within the patients and the patients are nested within the pairs. Thus
there exhibits a restricted randomization in this study. In the analysis, the
nested variation from pairs and patients are not interesting for the dose-VF
relationship. Therefore, we decided to use a generalized linear mixed model
(GLMM) and treat pairs/patients as random effects.
Suppose 1ijkY = indicates the presence of fracture of the kth (k=1, …,12) vertebra
in the jth (j=1,2) patient of the ith (i=1,…,25) pair, ijkY then follows a Bernoulli
distribution B(1, )ijkp . Let ijkx be the dose variable for the corresponding
vertebra, ijkp is the expected probability of fracture at dose value ijkx .The
model can be described as the following formula:
2
2
Bernoulli(1, )
( )
var( ) (1 )
logit( )
(0, )
(0, )
ijk ijk
ijk ijk
ijk ijk ijk
ijk ijk i ij
i pair
ij patients
Y pE Y p
Y p pp x a b
a N
b N
a b
s
s
=
= × −
= + ⋅ + +
:
:
:
(2),
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6
where ia and ijb refer to the random variation from the pair i and patient ij,
respectively. Both variations follow a normal distribution. Optimal values of
these parameters were then estimated through maximum likelihood estimation
(MLE) and 95% CIs were computed using profile likelihood method (22).
Table 5. Optimized parameter values with the 95% CIs (profile likelihood) and the maximum log-likelihood (MaxLLH) in predicting vertebral fractures (VF) for NSCLC patients (n=541). The MaxLLH for the null model with only intercept is -113.066 (df=3).
Model Estimated parameter value (95% CI) MaxLLH (df) p-value
Vx
α x β
-5.22 (-16.80 - -4.05)
30 (6-46) 0.04 (0.03-0.09)
-91.71 (df=5) <0.01
EUD α n β
-5.51( -7.31 - -4.31)
1.00 (0.05-inf ) 0.07 (0.05-0.10)
-90.12 (df=5) <0.01
Vx = The percentage of volume that was prescribed with ≥x GyEUD = Equivalent uniform dose
.
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