A Phase II Trial of Non-Myeloablative Allogeneic Hematopoietic Cell Transplantation for Patients With Relapsed Follicular Non-Hodgkin's Lymphoma Beyond First Complete Response (BMT CTN #0701)
Phase: PHASE2
Conditions: Lymphoma, Non-Hodgkin
Sponsor: Medical College of Wisconsin

 
 
 
Phase II Trial of Non-Myeloablative Allogeneic 
Hematopoietic Cell Transplantation for Patients with 
Relapsed Follicular Non-Hodgkin’s Lymphoma Beyond 
First Complete Response  
 
 
BMT CTN PROTOCOL 0701 
Version 5.0 
 
Study Chairperson 
Ginna Laport, M.D.1 
 
Protocol Team 
 
Shelly Carter, Sc.D.2 
Nancy DiFronzo, Ph.D.3 
Stephen Forman, M.D.4 
Chitra Hosing, M.D.5 
Hillard Lazarus, M.D.6 
 
Cathy Gurgol, M.S.2 
Brent Logan, Ph.D.7 
William Merritt, Ph.D.8 
Marcie Tomblyn, M.D., M.S.9 
Thomas Shea, M.D.10 
 
Sponsored by the National Institutes of Health 
National Heart, Lung, and Blood Institute and National Cancer Institute 
 
1 Stanford University Medical Center 
2 The EMMES Corporation 
3 
National Heart, Lung, and Blood Institute 
4 
City of Hope National Medical Center 
5 University of Texas/MD Anderson Cancer 
Center 
6 University Hospitals of Cleveland/ Case 
Western 
7 
Center for International Blood and Marrow 
Transplant Research (CIBMTR), Medical 
College of Wisconsin 
8 
National Cancer Institute 
9  H. Lee Moffitt Cancer Center 
10 University of North Carolina/ Chapel Hill 
 
Cooperative Group participation will be facilitated by the Cancer Trials Support Unit (CTSU).  
Cooperative Group participation will be limited to approved transplant center sites affiliated with 
the following endorsing Cooperative Groups: Cancer and Leukemia Group B (CALGB), Eastern 
Cooperative Oncology Group (ECOG), and Southwest Oncology Group (SWOG). 
 

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Core Study Participants: 
 
Affiliate/Cooperative Study Participants: 
City of Hope National Medical Center 
Dana Farber Cancer Institute 
Beth Israel Deaconess Medical Center  
Brigham and Women’s Hospital 
Massachusetts General Hospital 
Stanford Hospital and Clinics 
University Hospitals of Cleveland/CWRU 
Ohio State University Medical Center 
Washington University, Barnes Jewish Hospital 
University of California, San Diego Medical Center 
University of Florida College of Medicine 
University of Minnesota 
University of Nebraska Medical Center 
University of Texas, MD Anderson Cancer Center 
 
 
Avera Hematology & Transplant Center 
Baylor University Medical Center 
Fox Chase, Temple University, BMT Program 
H. Lee Moffitt Cancer Center 
Loyola University Medical Center  
Mayo Clinic, Phoenix 
Medical College of Wisconsin 
Montefiore Medical Center 
Roswell Park Cancer Institute 
Rush University Medical Center 
Texas Transplant Institute 
University of California Davis Medical Center 
University of Illinois 
University of Kentucky 
University of Maryland, Greenebaum Cancer Center 
University of North Carolina at Chapel Hill 
University of Oklahoma 
University of Rochester 
University of Wisconsin Hospital and Clinics 
Vanderbilt University Medical Center 
Wake Forest University Health Sciences 
Weill Cornell Medical College, NY Presbyterian Hospital 
West Virginia University Hospital 
Wichita CCOP 
 
 
 

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This study is supported by the NCI Cancer Trials Support Unit (CTSU) 
 
 
*Non-BMT CTN centers meeting the study criteria will participate through the CTSU 
mechanism.  
 
*BMT CTN centers with Cooperative Group affiliation may choose to participate through the 
BMT CTN or through the CTSU mechanism. 
 
CTSU Logistics are located in Appendix F of the protocol 
 
Please note: This protocol does not follow the standard CTSU participation procedures for 
regulatory collection or patient enrollment. See Appendix F for protocol-specific details. 
 
 
CTSU Contacts for BMT CTN 0701 
To submit site registration documents 
listed in Appendix F TABLE 1: 
 
CTSU Regulatory Office 
1818 Market Street, Suite 1100 
Philadelphia, PA 19103 
Phone – 1-866-651-CTSU 
Fax – 215-569-0206 
E-mail: CTSURegulatory@ctsu.org 
To submit site registration 
documents listed in Appendix F 
TABLE 2: 
 
Fax to BMT CTN Data and 
Coordinating Center 
(DCC)/EMMES 240-306-0963 
 
For patient enrollments, data submission, 
and adverse event reporting:  
 
Access the BMT CTN AdvantageEDC on-
line system: 
https://secure.emmes.com/bmt/jsp/login.jsp 
 
  
Questions? 
Regarding: 
 
 Registration requirements in Appendix F, Table 2 
Cathy Gurgol, Data Manager/Protocol Monitor 
 BMT CTN AdvantageEDC system 
BMT CTN Data and Coordinating Center (DCC) 
 Patient eligibility, enrollment, or treatment 
The EMMES Corporation 
 
401 N. Washington Street, Suite 700 
 
Rockville, MD 20850 
 
Phone: (301) 251-1161 
 
FAX: 240-306-0963 
 
E-mail: cgurgol@emmes.com 
 
 
Regarding: 
 
 Registration requirements in Appendix F, Table 1 
CTSU Regulatory Office Help Desk  
   1-888-651-CTSU (2878) 
 Protocol and supporting documents posted on the 
members’ section of the CTSU website located at 
www.ctsu.org 
CTSU General Information Line 1-888-823-5923 OR 
ctsucontact@westat.com 
 
 

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PROTOCOL SYNOPSIS – BMT CTN PROTOCOL #0701 
 
Phase II Trial of Non-Myeloablative Allogeneic Hematopoietic Cell Transplantation for 
Patients with Relapsed Follicular Non-Hodgkin’s Lymphoma Beyond  
First Complete Response  
 
 
Study Chairperson: 
Ginna Laport, M.D. 
 
Primary Objective: 
The primary objective of this study is to measure progression 
free survival at 2 years after non-myeloablative HSCT with a 
pre-transplant 
conditioning 
regimen 
of 
fludarabine, 
cyclophosphamide, and rituximab (FCR). 
 
Secondary Objective: 
Secondary objectives for the study 
are two-year overall survival, time to progression/relapse, time 
to complete response (CR) and partial response (PR), time to 
off-study therapy, incidence and severity of acute and chronic 
GVHD, treatment-related mortality, incidence of primary and 
secondary graft failure, quality of life as measured by the SF-
36 and the FACT-BMT, correlation of serum rituximab levels 
with development of acute GVHD, chronic GVHD, relapse and 
immune recovery, incidence of infections, incidence of 
toxicities, and immunologic reconstitution.   
 
Study Design: 
The study is a Phase II, single arm, multicenter trial.  It is 
designed to confirm the efficacy in a multi-center BMT 
CTN/inter-group study of a non-myeloablative allogeneic 
conditioning regimen of FCR.  The study population is patients 
with relapsed follicular NHL receiving matched related or 
matched unrelated donor transplants.   
 
Accrual Objective: 
A maximum of 65 patients will be enrolled and followed for 
two years post-transplant. 
 
 
Accrual Period: 
The estimated accrual period is two years. 
 
Eligibility Criteria: 
Eligible patients are ≤ 75 years of age with Karnofsky 
performance status  70% who have histologically confirmed 
recurrent follicular lymphoma (REAL classification follicle 
center follicular grades I and II or patients with histologically 
confirmed WHO classification follicular lymphoma grades 1, 
2, or 3a).  Patients must have chemosensitive disease by 
achieving reduction in lymph node axial diameter to ≤ 3cm or 
 50% reduction in estimated nodal diameter after their most 

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recent salvage therapy.  Patients with stable disease are eligible 
if all lymph node masses are ≤ 3 cm and are smaller or 
unchanged in size to the most recent salvage regimen.  Patients 
cannot have transformed follicular lymphoma, or have had 
prior allogeneic HSCT.  Available donors must be either 
siblings with 6/6 –A, -B HLA and DRB1 match by DNA; or 
unrelated with 8/8 –A, B, C HLA and DRB1 by DNA.  Donors 
must be willing to provide peripheral blood stem cells. 
 
Treatment Description: 
All eligible patients will receive Rituxan 375 mg/m2 on Day –
13, Rituxan 1000mg/m2 on Day –6, Fludarabine 30mg/m2 on 
Days –5 to –3, and Cyclophosphamide 750mg/m2 on Days –5 
to –3, followed by HSCT, which will be followed by Rituxan 
1000mg/m2 on Day 1 and Day 8.   
 
Study Duration: 
Patients will be followed for at least two years post-HSCT. 
 

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STUDY CHART 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Eligibility Screening 
FCR Conditioning Regimen 
 
Rituximab 375 mg/m2 (Day –13) 
Rituximab 1000 mg/m2 (Day –6) 
Fludarabine 30 mg/m2/day (Day –5, –4, –3) 
Cyclophosphamide 750 mg/m2/day (Day –5, –4, –3)  
 
 
GVHD Prophylaxis 
 
Tacrolimus .09 mg/kg/ po (Day -2 thru D+180) 
Methotrexate 5 mg/m2 (Day +1, +3, +6) 
 
*URD recipients only to receive 4th dose of MTX  
on D+11 
Infusion of G-CSF mobilized allogeneic 
hematopoietic stem cells (Day 0) 
Rituximab 1000 mg/m2 (Day +1) 
Rituximab 1000 mg/m2 (Day +8) 
Post-HSCT Evaluations 

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TABLE OF CONTENTS 
 
1. 
BACKGROUND AND RATIONALE ............................................................................ 1-1 
1.1. 
Background ......................................................................................................................... 1-1 
1.2. 
Autologous Hematopoietic Stem Cell Transplantation (HSCT)................................. 1-1 
1.3. 
Allogeneic HSCT ................................................................................................................ 1-1 
1.4. 
Non-myeloablative Allogeneic HSCT.............................................................................. 1-2 
1.5. 
Rituximab ............................................................................................................................ 1-3 
2. 
STUDY DESIGN ................................................................................................................ 2-1 
2.1. 
Study Overview .................................................................................................................. 2-1 
2.2. 
Study Objectives ................................................................................................................. 2-1 
2.2.1. 
Primary Objective ........................................................................................................... 2-1 
2.2.2. 
Secondary Objectives...................................................................................................... 2-1 
2.3. 
Patient Eligibility ................................................................................................................ 2-2 
2.3.1. 
Initial Inclusion Criteria .................................................................................................. 2-2 
2.3.2. 
Exclusion Criteria ............................................................................................................ 2-3 
2.4. 
HSCT Donor Criteria ........................................................................................................ 2-3 
2.4.1. 
Donor Inclusion Criteria ................................................................................................. 2-3 
2.4.2. 
Donor Exclusion Criteria for Matched Related Donors ............................................... 2-3 
2.5. 
Study Treatments ............................................................................................................... 2-4 
2.5.1. 
Body Weight Formulas ................................................................................................... 2-4 
2.5.2. 
HSCT ............................................................................................................................... 2-4 
2.5.3. 
Conditioning Regimen .................................................................................................... 2-5 
2.5.4. 
Graft-versus-host Disease (GVHD) Prophylaxis .......................................................... 2-6 
2.5.5. 
Collection and Infusion of Allogeneic HSC .................................................................. 2-7 
2.6. 
Supportive Care.................................................................................................................. 2-8 
2.6.1. 
Post-HSCT ....................................................................................................................... 2-8 
2.7. 
PCR Monitoring for t(14;18) ............................................................................................ 2-9 
2.8. 
Serum Rituximab Levels ................................................................................................... 2-9 
2.9. 
Participant Risks .............................................................................................................. 2-10 
2.10. Therapy Toxicities............................................................................................................ 2-10 
2.10.1. 
Fludarabine .................................................................................................................... 2-10 
2.10.2. 
Cyclophosphamide ........................................................................................................ 2-10 
2.10.3. 
Rituximab ...................................................................................................................... 2-11 
2.10.4. 
Tacrolimus ..................................................................................................................... 2-13 
2.10.5. 
Methotrexate .................................................................................................................. 2-14 
3. 
STUDY ENDPOINTS........................................................................................................ 3-1 
3.1. 
Definition of Disease Status .............................................................................................. 3-1 
3.2. 
Primary Endpoint .............................................................................................................. 3-5 
3.3. 
Secondary Endpoints ......................................................................................................... 3-5 
3.3.1. 
Two Year Overall Survival............................................................................................. 3-5 
3.3.2. 
Time to Progression/Relapse .......................................................................................... 3-5 
3.3.3. 
Time to CR and PR ......................................................................................................... 3-5 

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3.3.4. 
Incidence and Time to Acute GVHD ............................................................................. 3-5 
3.3.5. 
Time to First Clinical Onset of Chronic GVHD ........................................................... 3-6 
3.3.6. 
Treatment-Related Mortality (TRM) ............................................................................. 3-6 
3.3.7. 
Correlation of Serum Rituximab Levels ........................................................................ 3-6 
3.3.8. 
Incidence of Primary and Secondary Graft Failure....................................................... 3-6 
3.3.9. 
Time to Off-Study Therapy ............................................................................................ 3-6 
3.3.10. 
Incidence of Infections .................................................................................................... 3-6 
3.3.11. 
Incidence of CTCAE Version 3.0 > Grade 3 Toxicities ............................................... 3-6 
3.3.12. 
Quality of Life (SF-36) ................................................................................................... 3-7 
3.3.13. 
Immunologic Reconstitution .......................................................................................... 3-7 
4. 
PATIENT ENROLLMENT AND EVALUATION ...................................................... 4-1 
4.1. 
Enrollment Procedures...................................................................................................... 4-1 
4.1.1. 
Screening and Eligibility Procedures ............................................................................. 4-1 
4.2. 
Study Monitoring ............................................................................................................... 4-1 
4.2.1. 
Follow-Up Schedule ....................................................................................................... 4-1 
4.2.2. 
Adverse Event Reporting ................................................................................................ 4-2 
4.2.3. 
Weekly GVHD Monitoring Post-HSCT ........................................................................ 4-3 
4.2.4. 
Patient Assessments ........................................................................................................ 4-3 
5. 
STATISTICAL CONSIDERATIONS ............................................................................ 5-1 
5.1. 
Study Overview .................................................................................................................. 5-1 
5.1.1. 
Primary Endpoint ............................................................................................................ 5-1 
5.1.2. 
Accrual ............................................................................................................................. 5-1 
5.1.3. 
Study Duration ................................................................................................................ 5-1 
5.2. 
Sample Size and Power Considerations .......................................................................... 5-1 
5.3. 
Interim Analysis and Stopping Guidelines..................................................................... 5-3 
5.4. 
Demographic and Baseline Characteristics ................................................................... 5-6 
5.5. 
Analysis Plan ....................................................................................................................... 5-6 
5.5.1. 
Analysis of Primary Endpoint ........................................................................................ 5-6 
5.5.2. 
Analysis of Secondary Endpoints .................................................................................. 5-6 
5.5.3. 
Safety Analysis ................................................................................................................ 5-7 
 
LIST OF APPENDICES 
 
APPENDIX A – HUMAN SUBJECTS 
APPENDIX B – INFORMED CONSENT FORM 
APPENDIX C – LABORATORY PROCEDURES 
APPENDIX D – SUGGESTED GUIDELINES FOR RITUXIMAB ADMINSTRATION 
APPENDIX E – ADVERSE EVENT REPORTING GUIDELINES 
APPENDIX F – CANCER TRIALS SUPPORT UNIT (CTSU) PARTICIPATION 
PROCEDURES 
APPENDIX G – REFERENCES 

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1-1 
CHAPTER 1 
 
 
1. 
BACKGROUND AND RATIONALE 
 
1.1. 
Background 
 
Follicular NHL is the second most common type of non-Hodgkin’s lymphoma with an incidence 
of ~15,000 new cases/year in the U.S.  When treatment is indicated, most patients achieve a 
remission with initial chemotherapy.  However, a continuous pattern of relapse typically follows 
resulting in progressively shorter remission durations.  Patients with recurrent advanced 
follicular lymphoma have a median survival of 4-5 years1, 2.  
 
1.2. 
Autologous Hematopoietic Stem Cell Transplantation (HSCT) 
 
In light of the discouraging results with conventional chemotherapy, high dose chemotherapy 
with autologous HSCT has been explored as an alternative approach in patients with relapsed 
follicular NHL.  Several studies have shown improved disease-free survival (DFS) with 5 year 
survival rates ranging from 40%-63%3, 4, 5, 6, 7.  One study demonstrated an advantage for overall 
survival in favor of autologous HSCT compared to conventional chemotherapy6.  Relapse 
remains the predominant cause of treatment failure in recipients of autologous HSCT.  
 
1.3. 
Allogeneic HSCT 
 
High dose chemoradiotherapy with allogeneic hematopoietic stem cell/bone marrow 
transplantation has also been offered to patients with recurrent follicular NHL with the goal of 
harnessing a graft-versus-lymphoma effect and to circumvent the tumor cell contamination 
associated with autologous hematopoietic stem cell harvests8, 9, 10.  Although no randomized 
trials have been performed, several studies have reported a significantly lower risk of relapse 
compared to autologous HSCT.  However, this benefit has been invariably offset by the 
treatment-related mortality associated with myeloablative allogeneic HSCT. 
 
An analysis from the CIBMTR compared the outcomes of 904 patients with follicular NHL who 
underwent either myeloablative allogeneic HSCT (n=176), purged autologous HSCT (n=131) or 
unpurged autologous HSCT (n=597).  The risk for relapse was 54% lower in the allogeneic 
recipients (p<.001) and 26% lower in recipients of purged autotransplants (p=.04) than in 
recipients of unpurged autotransplants11.  However, in a multivariate analysis, the risk of 
treatment-related mortality was 4.4 times higher after allogeneic than after autologous HSCT 
(p<.001), which resulted in comparable 5-year probabilities of overall survival (52% after 
allogeneic, 62% after purged autologous, 55% after unpurged autologous).  The 5-year 
probabilities for DFS were 45%, 39% and 31%, respectively.   
 
In a smaller retrospective study from the Netherlands, the results of 18 patients who underwent 
autologous HSCT were compared to 10 patients who received an allogeneic HSCT.  The PFS 
rates after two years were 68% and 22% for the allogeneic and autologous patients, respectively.  

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Three of the allogeneic patients died from treatment-related mortality as opposed to none of the 
autologous patients8. 
 
1.4. 
Non-myeloablative Allogeneic HSCT 
 
Non-myeloablative allogeneic HSCT incorporates a less intensive preparative regimen and relies 
primarily on the immunotherapeutic effects of the allograft to confer antileukemic activity rather 
than the cytoreductive effects of high dose chemotherapy.   
 
Some of the most promising data employing non-myeloablative allogeneic (NMA) HSCT in 
relapsed follicular NHL patients was initially reported by the M.D. Anderson Cancer Center12.  
Twenty patients with indolent NHL received a conditioning regimen of fludarabine and 
cyclophosphamide + rituximab.  Tacrolimus and methotrexate were given for graft-versus-host 
disease (GVHD) prophylaxis.  The median age was 51 years old (range 31-68) and all patients 
had advanced recurrent disease or were previously treated.  The number of prior chemotherapy 
regimens ranged from 1-5 (median, 2).  All had received salvage chemotherapy and had stable or 
responding disease.  All patients achieved engraftment of donor cells with the median percentage 
of donor cells at one month being 80% (range, 10%-100%).  These results were recently updated 
with a total accrual of 47 patients.  All patients achieved a CR after HSCT.  The incidence of 
grade 2-4 acute GVHD was 11% and extensive cGVHD was 36%.  With a median follow-up of 
60 months(range 19-94 months), the five year OS and PFS were 85% and 83%, respectively13.  
 
The EBMT described the use of reduced-intensity conditioning for 188 patients with low-grade 
lymphoma including 52 patients with follicular and small lymphocytic NHL14.  The median age 
of the low-grade NHL patients was 46 (range, 27-65).  The median number of prior 
chemotherapy regimens was three (range, 1-5) and 29% had previously received an autologous 
HSCT.  Forty-four patients (85%) demonstrated chemosensitive disease at the time of transplant.  
Most patients received a fludarabine-based preparative regimen with 10% of patients receiving 
BEAM (BCNU, etoposide, cytarabine, melphalan), a myeloablative regimen.  Of the low-grade 
NHL patients, the two year PFS and OS was 54% and 65% respectively with a 21% progression 
rate.  Treatment-related mortality was 31%, which was considerably higher than the previously 
mentioned M.D. Anderson study.  The use of a more intensive conditioning regimen may have 
contributed to toxicity.  
 
Investigators from Seattle reported the results of 45 patients with relapsed FL who received a 
NMA regimen with fludarabine and low dose TBI15.  Twenty-two patients received G-CSF 
mobilized peripheral blood allograft from matched related donors (MRD) and 23 patients were 
recipients of unrelated donor (URD) grafts.  With a median follow-up of 24 months, the PFS was 
51% and the OS was 58% with a relapse rate of 15%.  Donor type did not significantly affect 
PFS and OS.  The cumulative probabilities of acute grades II-IV, III-IV and chronic GVHD were 
60%, 18%, and 51%, respectively.  The United Kingdom Collaborative Group reported the 
outcomes of 88 patients with NHL including 29 patients with FL.  Both MRD and URD grafts 
were conditioned with a regimen of alemtuzumab, fludarabine and melphalan16.  For the FL 
patients, the three year PFS and OS were 65% and 73%, respectively with a 2% nonrelapse 
mortality at 100 days.  When examining donor source among the FL patients, there was no 

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significant difference in OS (MRD vs URD, 78% vs 56%, p=.09) but a significant difference 
was seen in PFS, 71% vs 44%, favoring MRD (p=.04).  Donor type did not affect relapse 
incidence or non-relapse mortality.  
 
1.5. 
Rituximab  
 
Rituximab Background 
Rituximab is a genetically engineered, chimeric, murine/human monoclonal antibody directed 
against the CD20 antigen found on the surface of normal and malignant pre-B and mature B 
cells.  The antibody is an IgG1 κ immunoglobulin containing murine light-and heavy-chain 
variable region sequences and human constant region sequences.  Rituximab is composed of two 
heavy chains of 451 amino acids and two light chains of 213 amino acids (based on cDNA 
analaysis) and has an approximate molecular mass of 145 kD.  Rituximab has a binding affinity 
for the CD20 antigen of ~8.0 nM. 
 
Rituximab Pharmacokinetics 
Some of the earlier phase I and II trials detailing the use of rituximab (RTX) measured the 
pharmacokinetics (PK) of this chimeric IgG1 kappa monoclonal antibody.  The IDEC-C2B8 
Study Group measured serum levels of RTX using ELISA (enzyme-linked immunosorbent 
assay) in 11 patients with relapsed B cell lymphoma who received 4 weekly doses of 250 mg/m2 
or 375 mg/m2 17.  The PK parameters fluctuated widely even among the patients treated with the 
same dose but the median elimination half life (T ½) was 445 hrs +/- 361 hours.  In most 
patients, the serum levels were still detectable at 3 months after the last infusion.  The mean 
values of maximum concentration (Cmax) were higher in the 375 mg/m2 group compared to the 
250 mg/m2 group (92 +/134.3 ug/ml and 64 +/- 21 ug/ml, respectively).  When the Cmax, T ½ 
and AUC were compared between the responders and non-responders, no significant differences 
were found. 
 
In contrast, two published series did find an association between serum RTX concentration and 
anti-tumor response.  In an analysis from a phase III trial of 166 patients with recurrent low-
grade NHL, a statistically significant correlation was found between the median RTX 
concentration and response for multiple time points during the treatment and follow-up18.  
Interestingly, the mean serum RTX antibody concentration was also inversely correlated with 
tumor bulk and with number of circulating B cells at baseline.   The median serum RTX levels 
were 20.3 ug/ml (range 0.0 – 9.7) and 1.3 ug/ml (range 0.0 – 29) at 3 months and 6 months post-
treatment, respectively.  The T ½ also increased with subsequent infusions which was a mean of 
76 hours after the first infusion and 206 hours after the fourth infusion.  A phase II trial of 37 
patients with low-grade lymphoma also observed a correlation between clinical response and 
median serum RTX concentrations19.  The increase in T ½ after subsequent doses is most likely 
related to elimination of circulating CD20+ B cells, which serve to clear serum antibody with the 
initial RTX infusions.  Additionally, saturation or reduction of involved nodal sites by RTX 
would also result in decreased antibody clearance.  Both of the above reports also found a 
correlation between dose infused and serum levels. 
 

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Rituximab and Graft-vs.-Host Disease 
There is growing amount of evidence implicating B cells in the pathogenesis of acute and 
chronic GVHD which suggests that the pathogenesis of GVHD stems from a coordinated 
response of both B and T cells20, 21, 22.  The largest series comes from the Dana Farber Cancer 
Institute in which RTX was administered to 21 patients with steroid-refractory chronic GVHD.  
A 70% overall clinical response rate was reported including two patients with complete 
remissions.  Interestingly, a correlation was found between a reduction in allogeneic H-Y 
antibodies and clinical response, which supports the role of B cells in the pathogenesis of chronic 
GVHD.  There also is a report of 3 patients with steroid-refractory acute GVHD who responded 
to RTX23.  In summary, these studies implicate the role of B cell activity in both acute and 
chronic GVHD and thus lend support to investigating the impact of RTX on the incidence of 
acute and chronic GVHD. 

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2-1 
CHAPTER 2 
 
 
2. 
STUDY DESIGN 
 
2.1. 
Study Overview 
 
All patients will undergo a non-myeloablative allogeneic HSCT.  Pre-transplant conditioning 
will consist of fludarabine 30 mg/m2/day and cyclophosphamide 750 mg/m2/day on Days –5, 
 –4, and –3.  Rituximab 375 mg/m2/day will be administered on Days –13 and Rituximab  
1000 mg/m2/day on Day –6 pre-HSCT, and Days +1 and +8 post-HSCT.  Graft-versus-host 
disease prophylaxis will consist of tacrolimus and methotrexate (MTX). 
 
2.2. 
Study Objectives 
 
2.2.1. Primary Objective 
 
To measure progression free survival at two years after non-myeloablative HSCT with a 
transplant conditioning regimen of fludarabine, cyclophosphamide, and rituximab (FCR) in 
patients who are less than or equal to 75 years of age. 
 
2.2.2. Secondary Objectives 
 2-year overall survival 
 Time to progression/ relapse 
 Time to Complete Response and Partial Response 
 Time to off study therapy 
 Grade II-IV and III-IV acute GVHD 
 Chronic GVHD 
 Incidence of primary and secondary graft-failure 
 QOL measurements 
 Correlation of serum rituximab levels with development of acute GVHD, chronic GVHD, 
relapse and immune recovery 
 Treatment-related mortality 
 Infections 
 Toxicities 
 Immune reconstitution 
 

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2.3. 
Patient Eligibility 
 
2.3.1. Initial Inclusion Criteria 
1. Patients with confirmed CD20+ follicle center lymphoma that meet the following: 
a. Histologically confirmed recurrent REAL classification CD20+ follicle center 
lymphoma, follicular grades I and II, OR 
b. Histologically confirmed WHO classification CD20+ follicular lymphoma grades 1, 
2, or 3a  
For either classification, the diffuse component of large cleaved cells (if present) cannot 
be > 50% of cellularity.  Patients do not have to express t(14;18) to be eligible. 
2. Age ≤ 75 years of age at time of first registration. 
3. Any number of prior regimens (including autologous HCT).  The most recent prior 
regimen must have occurred > 28 days before study enrollment. 
4. Patients must demonstrate chemosensitive or radiosensitive disease to most recent prior 
regimen and meet one of the following: 
a. Patients in 2nd or subsequent CR 
OR 
b. Patients in 1st or subsequent PR   
c. Patients experiencing a relapse that demonstrates a response as defined below: 
Response is defined as largest nodal mass ≤ 3cm or  50% reduction in estimated 
lymph node volume measured as a product of bi-dimensional measurements (see 
Chapter 3 for detailed definition). 
d. Patients with stable follicular lymphoma are eligible if all lymph node masses are ≤ 3 
cm and are smaller or unchanged in size to the most recent salvage regimen. 
 
5. Patients with HLA-matched donors that meet the following criteria: 
a. 6/6 HLA-matched related donor.  HLA typing must be performed by DNA methods 
for HLA-A and B at intermediate (or higher) resolution, and DRB1 at high resolution. 
The donor must be willing to donate peripheral blood stem cells and meet 
institutional criteria for stem cell donation.  The donor must be medically eligible to 
donate stem cells according to individual transplant center criteria.  OR 
b. 8/8 HLA-matched unrelated donor.  HLA typing must be performed by DNA 
methods for HLA-A, B, Cand DRB1 at high resolution.  The donor must be willing to 
donate peripheral blood stem cells and meet NMDP criteria for stem cell donation.  
The donor must be medically eligible to donate stem cells according to NMDP 
criteria.   
6. Patients with adequate organ function as measured by: 
a. Cardiac:  Left ventricular ejection fraction at rest > 45%.  
b. Pulmonary:  DLCO, FEV1, FVC > 50% of predicted (corrected for hemoglobin).  For 
patients where pulse oximetry is performed, baseline O2 saturation > 85% (when 
pulmonary function testing cannot be performed due to age restrictions). 

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c. Hepatic:  Bilirubin < 2x the upper limit of normal for age as per local laboratory; 
ALT and AST < 3x the upper limit of normal as per local laboratory. 
d. Renal:  Calculated or measured creatinine clearance  40 mL/min; if creatinine  1.5 
mg/dL then 24 hour urine for measured creatinine clearance should be performed.  
7. Signed informed consent form. 
 
2.3.2. Exclusion Criteria 
1. Patients in 1st CR. 
2. Karnofsky performance score < 70%. 
3. Patients with follicular lymphoma that demonstrates evidence of histologic 
transformation.  In the presence of B symptoms, rapid growth of a single dominant site, 
or prolonged (> 2 yrs) interval since last tissue diagnosis, investigators are encouraged to 
consider re-biopsy of nodes prior to enrollment. 
4. Patients with uncontrolled hypertension. 
5. Patients with uncontrolled bacterial, viral, or fungal infection (currently taking 
medication and progression of clinical symptoms). 
6. Prior malignancies except resected basal cell carcinoma or treated cervical carcinoma in 
situ.  Cancer treated with curative intent < 5 years will not be allowed unless approved by 
the Medical Monitor or Protocol Chair.  Cancer treated with curative intent > 5 years will 
be allowed. 
7. Pregnant (HCG+) or breastfeeding. 
8. Seropositive for human immunodeficiency virus (HIV). 
9. Fertile men or women unwilling to use contraceptive techniques from the time of 
initiation of conditioning until six-months post-transplant. 
10. Prior allogeneic HSCT. 
11. Known anaphylactic reaction to rituximab. 
12. Seropositive for any of the following: HIV ab, hepatitis B sAg or PCR+ or hepatitis C ab 
or PCR+. 
 
2.4. 
HSCT Donor Criteria 
 
2.4.1. Donor Inclusion Criteria 
 
The donor must be medically eligible and consent to donate stem cells according to individual 
transplant center criteria for related donors or NMDP criteria for unrelated donors. 
 
2.4.2. Donor Exclusion Criteria for Matched Related Donors 
1. A sibling donor cannot be an identical twin of the patient. 
2. Infection with HIV, viral hepatitis (B or C). 

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3. Donors receiving experimental therapy or investigational agents. 
4. Donors with cancer other than treated basal cell or carcinoma in situ of cervix.  Cancer 
treated with curative intent < 5 years will not be allowed unless approved by the Medical 
Monitor or Protocol Chair.  Cancer treated with curative intent > 5 years will be allowed. 
 
2.5. 
Study Treatments 
 
2.5.1. Body Weight Formulas 
 
All chemotherapy, rituximab and tacrolimus should be dosed based on actual body weight 
(ABW) for patients who weigh < 100 to 120% of their ideal body weight (IBW).  For patients 
who weigh more than 120% of their IBW, dosing should be based on the adjusted ideal body 
weight (AIBW). 
 
Ideal Body Weight (IBW) Formulas: 
 
Males IBW = 50 kg + 2.3 kg/inch over 5 feet 
 
Females IBW = 45.5 kg + 2.3 kg/inch over 5 feet 
 
For patients less than 5 feet, subtract 2.3 kg/inch 
 
Adjusted Ideal Body Weight (AIBW) Formula: 
 
AIBW = IBW + [(0.25) x (ABW – IBW)] 
 
2.5.2. HSCT 
 
Pre-HSCT conditioning and hematopoietic stem cell infusion may be administered on an 
outpatient basis.  Patients must comply with all scheduled study visits whether receiving their 
transplants as an inpatient or outpatient. 
 
TABLE 2.5.2:  FCR REGIMEN 
 
 
Day 
-13 
-6 
-5 
-4 
-3 
-2 
-1 
0 
1 
8 
Fludarabine 
30 mg/m2 
 
 
X 
X 
X 
 
 
 
 
 
Cyclophosphamide 
750 mg/m2 
 
 
X 
X 
X 
 
 
 
 
 
Rituximab 
1000 mg/m2 
 
X 
 
 
 
 
 
 
X 
X 
Rituximab 
375 mg/m2 
X 
 
 
 
 
 
 
 
 
 
PBSCT 
 
 
 
 
 
 
 
X 
 
 
 
 

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2.5.3. Conditioning Regimen 
 
Dosing is based on the body weight formulas in Section 2.5.1. 
1. Fludarabine:  30 mg/m2 IV x 3 doses total to be administered daily over 30 minutes on 
Days –5, -4, and –3 pre-HSCT.   
2. Cyclophosphamide:  750 mg/m2 IV x 3 doses total to be administered daily over 1 hour 
on Days –5, -4, and -3 pre-HSCT.  Administer cyclophosphamide approximately 4 hours 
after start of fludarabine infusion.   
3. Rituximab:  375 mg/m2 IV to be administered on Day –13, and 1000 mg/m2 IV on  
Day –6, pre-HSCT and Days +1 and +8 post-HSCT.  Mix rituximab in either 0.9% NS or 
D5W according to institutional practice.  Rituximab may be infused through an infusion 
pump and should not be mixed or diluted with any other solutions or drugs.  Do not 
administer Rituximab as an IV push or bolus.  See Appendix D for recommended 
infusion guidelines. 
 
Rituximab will be provided free of charge by Genentech and Biogen IDEC.  The Investigator of 
the study will ensure maintenance of complete and accurate records of the receipt, dispensation, 
and disposal or return of all study drug in accordance with 21 Code of Federal Regulations 
(C.F.R.), Part 312.57 and 312.62 and Genentech requirements.” 
 
Since transient hypotension may occur during rituximab infusion, consideration should be given 
to withholding anti-hypertensive medications 12 hours prior to rituximab infusion. 
 
First Infusion: The rituximab solution for infusion should be administered intravenously at an 
initial rate of 50 mg/hr.  Rituximab should not be mixed or diluted with other drugs.  If 
hypersensitivity or infusion-related events do not occur, escalate the infusion rate in 50 mg/hr 
increments every 30 minutes, to a maximum of 400 mg/hr.   
 
Second, Third and Fourth Infusion: The rituximab solution for infusion should be 
administered intravenously at an initial rate of 50 mg/hr.  Rituximab should not be mixed or 
diluted with other drugs.  If hypersensitivity or infusion-related events do not occur, escalate the 
infusion rate in 100 mg/hr increments every 30 minutes, to a maximum of 400 mg/hr.  (See 
Appendix D for “Suggested Guidelines for Rituximab Infusion.”) 
 
Rituximab infusion should be interrupted for severe reactions.  In most cases, the infusion can be 
resumed at a 50% reduction in rate (e.g., from 100mg/hr to 50mg/hr) when symptoms have 
completely resolved.  Most patients who have experienced non-life-threatening infusion-related 
reactions have been able to complete the full course of rituximab therapy 
 
Rituximab infusion should be interrupted for severe reactions, e.g., rapid tumor lysis.  Treatment 
of infusion-related symptoms with diphenhydramine and acetaminophen is recommended.  
Additional treatment with bronchodilators or IV saline may be indicated.  Epinephrine, 
antihistamines, and corticosteroids should be available for immediate use in the event of a 
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resumed at a 50% reduction in rate (e.g., from 100mg/hr to 50mg/hr) when symptoms and 
laboratory abnormalities have completely resolved. 
 
Infusions should be discontinued in the event of serious or life-threatening cardiac arrhythmias.  
Subjects who develop clinically significant arrhythmias should undergo cardiac monitoring 
during and after subsequent infusions.   
 
Rituximab vials are stable at 2° to 8°C (36° to 46°F).  Do not use beyond expiration date 
stamped on carton. Rituximab vials should be protected from direct sunlight.  Rituximab 
solutions for infusion are stable at 2 to 8C (36 to 46F) for 24 hours and at room temperature 
for an additional 24 hours. However, since rituximab solutions do not contain a preservative, 
diluted solutions should be stored refrigerated (2 to 8C).  No incompatibilities between 
rituximab and polyvinylchloride or polyethylene bags have been observed. 
 
Day 0 will be the day of HSCT. 
 
2.5.4. Graft-versus-host Disease (GVHD) Prophylaxis 
 
TABLE 2.5.4:  GVHD PROPHYLAXIS SCHEDULE 
 
 
Day 
-2 
-1 
0 
1 
2 
3 
4 
5 
6 
7 
8 
9 
10 
11 
Tacrolimus 
0.09 mg/kg PO  
  X  
Daily until Day +180, then start taper 
Methotrexate 
5 mg/m2 IV 
 
 
 
X 
 
X 
 
 
X 
 
 
 
 
X* 
*URD recipients receive a 4th dose of Methotrexate on Day +11 
 
1. Tacrolimus:  0.09 mg/kg/day PO, based on body weight formulas in Section 2.5.1, will 
start on Day –2 and continue until Day +180 post-HSCT.  Tacrolimus may be 
administered orally either qd or twice daily per institutional practice.  Tacrolimus dosing 
should be based on actual body weight – see Section 2.5.1 for body weight formulas.  
Doses should be adjusted to maintain whole blood “trough” levels at 5-15 ng/mL, with a 
preferred target of 10ng/mL.  Tapering of tacrolimus doses should commence starting at 
Day +180. .  An equivalent dose of IV tacrolimus may be used as per local institutional 
preference.   
2. Methotrexate:  5 mg/m2 IVP will be administered on Days +1, +3, and +6 post-HSCT.  
URD recipients are to receive a 4th dose on Day +11.  In the event of renal/hepatic 
impairment, dose changes should be made according to the following guidelines: 
 

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Bilirubin mg/dL 
% Dose 
Creatinine mg/dL 
% Dose 
< 2.0% 
100 
< 1.5 
100 
2.1 – 3.0 
50 
1.5 – 1.7 
75 
3.1 – 5.0 
25 
1.8 – 2.0 
50 
> 5.0 
Hold dose 
> 2.0 
Hold dose 
 
2.5.5. Collection and Infusion of Allogeneic HSC 
 
2.5.5.1. 
G-CSF administration to donors 
 
All donors will receive G-CSF dosed per institutional guidelines.  G-CSF will be administered 
by daily subcutaneous injections.  If necessary, based on volume, the G-CSF can be given in 
multiple injection sites.  It is recommended that these doses will be administered before 10:00 
AM each day.  G-CSF can be rounded based on donor weight and available G-CSF vial sizes. 
 
2.5.5.2. 
HSC collection and evaluation 
 
Donors will preferably undergo vein-to-vein collections but may receive an appropriate central 
venous catheter inserted on or before the day of apheresis.  HSCs will be collected on Day –1 
pre-HSCT and stored in the refrigerator at 2-8°C overnight.  If necessary, a second collection 
will be performed the following day and both collections will be infused.  Each collection will be 
separately evaluated in the laboratory for cellular composition in keeping with the BMT CTN 
MOP for graft characterization. 
 
A minimum dose of 2.0 x 106 CD34+ cells/kg will be collected (according to institutional 
practices) and given.  If  5.0 x 106 CD34+ cells/kg are collected on Day –1, a second collection 
will not be necessary.  If < 2.0 x 106 CD34+ cells/kg are collected after 2 aphereses, a 3rd 
collection must be performed on Day +1.  If a 3rd collection occurs on Day +1, the post-
transplant methotrexate and rituximab administrations will be adjusted by one day to ensure at 
least 24 hours between the time of last stem cell infusion and the first dose of methotrexate.  All 
cells collected should be infused.  Cryopreservation of donor hematopoietic stem cells is 
acceptable per institutional guidelines. 
 
If < 1.0 x 106 CD34+ cells/kg are collected from the donor after three collections, patients may 
proceed to transplant at the discretion of their attending physician and subsequent management 
of these patients is at the discretion of their attending physician.  However, these patients will 
now be considered off-study, but continued to be followed for relapse, progression and survival.  
 
If > 10 x 106 CD34+ cells/kg are collected, follow local institutional guidelines for freezing the 
cells.  For unrelated donors, the NMDP must be notified if cells are frozen. 
 
Unrelated donors will be managed and mobilized following the procedures of the unrelated 
donor registry.  The transplant center should request a target CD34+ cell dose of 5 x 106/kg of 
recipient weight.  Cryopreservation must follow the registry’s policies. 
 

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TABLE 2.5.5:  TREATMENT SCHEDULE FOR DONOR 
 
 
 
 
 
 
 
 
* The 2nd HSC collection can be cancelled only if > 5.0 x 106 CD34+ 
cells/kg are collected with the 1st apheresis.  G-CSF administration is not 
required on Day 0 if the second collection is cancelled. 
** A 3rd collection is required if < 2.0 x 106 CD34+ cells/kg are collected 
with the 2 previous aphereses. 
** If a 3rd collection occurs on Day +1, the post-transplant methotrexate and 
rituximab administrations will be adjusted by one day to ensure at least 24 
hours between the time of last stem cell infusion and the first dose of 
methotrexate..   
 
2.6. 
Supportive Care 
 
2.6.1. Post-HSCT 
 
All supportive care will be given in keeping with BMT CTN MOP and local institutional 
guidelines. 
 
2.6.1.1. 
Prophylaxis against infections 
 
All patients will receive prophylaxis against bacterial, fungal and viral infections during the post-
HSCT period according to the BMT CTN MOP.  Additional specifications/requirements for this 
study are summarized below.   
 
Infectious prophylaxis will include prophylaxis for: 
1. Bacteria:  In keeping with the BMT CTN MOP and local institutional standards. 
2. Pneumocystis jiroveci:  Prophylaxis will start at the time of engraftment or at 4 weeks 
post-HSCT according to institutional preference.  Prophylaxis should be continued until 
at least 1 month after the patient is off all immunosuppressive medications. 
3. Fungi:  Anti-fungal prophylaxis will be per local institutional practice and must be 
uniformly applied to all patients within each respective center. 
4. HSV/VZV:  Antiviral prophylaxis will be per local institutional practice and must be 
uniformly applied to all patients within each respective center. 
 
Days 
-4 
-3 
-2 
-1 
0 
1 
G-CSF 
(per institutional guidelines) 
X 
X 
X 
X 
X 
X** 
HSC Collection 
 
 
 
X 
X* 
X** 
HSC Administration 
 
 
 
 
X* 
X** 

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5. CMV:  Monitoring and preemptive treatment strategy will be in accordance with the 
BMT CTN Technical Committee (Infectious Diseases) MOP and local institutional 
practice.  The duration of monitoring is recommended for at least 100 days post-HSCT 
and longer if the patient is on immunosuppressive medications. 
 
2.6.1.2. 
Blood products 
 
Transfusion thresholds for blood product support will be in keeping with BMT CTN MOP and 
standard institutional guidelines.  All blood products will be irradiated.  Transplant candidates 
who are CMV negative will receive CMV negative or filtered blood products from study entry. 
 
2.6.1.3. 
Post-HSCT growth factors 
 
If neutropenia occurs (ANC < 500/mm3) post-HSCT, the decision to use hematopoietic growth 
factors will be guided by the institutional practice of the transplant center. 
 
2.6.1.4. 
Post-HSCT immunization schedule 
 
Once a patient is off all immunosuppressive therapy or has evidence of T-cell function 
(approximately one year post-HSCT), immunizations may be given in keeping with the BMT 
CTN MOP and local institutional practice. 
 
2.6.1.5. 
Post-HSCT donor cellular infusions (DCI) 
 
At the discretion of the investigator, DCI may be given to patients for tumor progression.  
Patients receiving DCI will be considered a failure for the primary study endpoint.  DCI will not 
be given (on protocol) for low donor or dropping donor chimerism. 
 
2.7. 
PCR Monitoring for t(14;18) 
 
Quantitative PCR analysis for t(14;18) from peripheral blood will be performed on all patients at 
the time of registration.  Samples will be collected and quantitative PCR will be performed at the 
individual transplant centers as per institutional standards.  If patient was known to be t(14;18) 
negative prior to registration, this test still must be performed once at the time of registration for 
documentation purposes.  Patients with any positive test for t(14;18) since the time of diagnosis 
must have the subsequent t(14;18) PCR assessment samples collected 3 months, 6 months, 1-
year and 2-years post-transplant (see Section 4.2.4.3 and Appendix C).   
 
2.8. 
Serum Rituximab Levels 
 
Serum rituximab levels will be performed pre-HSCT within 4 weeks prior to the initiation of the 
conditioning therapy of the start of conditioning, then on 1 month, 3 months, 6 months, and 1-
year post-HSCT.  Samples will be sent to a central lab.  See Section 4.2.4.5 and Appendix C for 
schedule of samples and details on collection, processing, storage and shipment. 
 

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2.9. 
Participant Risks 
 
Recipients of HSCTs incur risks from pre-HSCT conditioning and post-HSCT therapy, which 
must be weighed against the risk of the disease for which the HSCT is prescribed.  Major risks 
following transplantation include: 1) Infection which can be bacterial, viral, parasitic, or fungal.  
Often, these infections are life threatening, particularly when caused by viral or fungal agents, 
and are associated with high mortality in the transplant population; 2) GVHD, either acute or 
chronic in nature, may occur following allogeneic transplantation.  The degree of GVHD varies 
from mild cutaneous reactions to extensive widespread and systemic involvement of skin, liver, 
and gastrointestinal tract.  Probably due to a direct association, the incidence of fatal infection is 
greater in patients developing GVHD; 3) Graft Failure can occur and is associated with a high 
risk of mortality; 4) End Organ Damage of all or any of the major organs may occur as a result of 
reactions to drugs (e.g., chemotherapy, antibiotics, anti-fungal medications, tacrolimus, 
cyclosporine, etc.), and as a result of destructive processes (e.g., infection, GVHD, etc.), and may 
have a fatal outcome; 5) Relapse or progression of lymphoma may occur, especially in patients 
with advanced disease status at time of treatment; 6) Unknown toxicities may occur in any 
individual patient due to multiple events and cumulative effects which may involve any and all 
organs, including the brain.  Brain damage can result in some loss of cognitive or neurologic 
function; and, 7) Death. 
 
2.10. Therapy Toxicities 
 
All toxicities will be graded using the Common Terminology Criteria for Adverse Events 
(CTCAE) Version 3.0.  All of the following listed agents are commercially available.  Please 
refer to www.fda.gov for full adverse event information regarding the agents listed below.  All of 
the following agents should be administered per institutional standards, and stored per package 
insert instructions. 
 
2.10.1. Fludarabine 
 
Fludarabine is a purine analog.  Toxicities include hemolytic anemia, neutropenia or 
thrombocytopenia, low blood counts secondary to bone marrow suppression, nausea, vomiting, 
diarrhea, stomatitis, skin rash, pneumonitis, edema, fever, chills, fatigue, blurred vision, 
decreased immunity and rarely encephalopathy (in very high doses). 
 
2.10.2. Cyclophosphamide 
 
Cyclophosphamide is an alkylating agent as well as an immunosuppressant.  Likely side effects 
include nausea, vomiting, myelosuppression, alopecia, and possible sterility.  Less likely side 
effects include mucositis, cardiomyopathy and jaundice.  Uncommon side effects include 
hemorrhagic cystitis.   
 

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2.10.3. Rituximab 
 
Rituximab is a chimeric human/mouse monoclonal antibody directed against CD20+, an antigen 
expressed on all cells of the B cell lineage.  It consists of a murine antigen binding region and a 
human Fc region.  The likely side effects include infusion reactions such as rigors, fevers, and 
itching.  Uncommon side effects include hypotension, dyspnea, rash, and nausea/vomiting.  Rare 
non-infusion toxicities include myelopsupression, thrombocytopenia, fatigue, and tumor pain.  
No dose-limiting effects were observed in the Phase I/II studies.  Reported adverse events 
including fever, chills, headache, nausea, vomiting, rhinitis, asthenia, and hypotension, occurred 
primarily during rituximab infusions and typically responded to an interruption of the infusion 
and resumption at a slower rate.   
 
2.10.3.1. 
Fatal infusion reactions 
 
Severe and fatal cardiopulmonary events, including angioedema, hypoxia, pulmonary infiltrates, 
acute respiratory distress syndrome, myocardial infarction, and cardiogenic shock, have been 
reported.  These severe reactions typically occurred during the first infusion with time to onset of 
30-120 minutes. 
 
2.10.3.2. 
Cardiac events 
 
Patients with preexisting cardiac conditions, including arrhythmia and angina, have had 
recurrences of these cardiac events during rituximab infusions. 
 
2.10.3.3. 
Tumor lysis syndrome 
 
Tumor lysis syndrome has been reported and is characterized in patients with a high number of 
circulating malignant cells (≥25,000 ul) by rapid reduction in tumor volume, renal insufficiency, 
hyperkalemia, hypocalcemia, hyperuricemia, and hyperphosphatemia. 
 
2.10.3.4. 
Renal events 
 
Rituximab has been associated with severe renal toxicity including acute renal failure requiring 
dialysis, and in some cases has lead to death.  Renal toxicity has occurred in patients with high 
numbers of circulating malignant cells (≥25,000/mm2) or high tumor burden who experience 
tumor lysis syndrome and in patients administered concomitant cisplatin. 
 
2.10.3.5. 
Mucocutaneous reactions 
 
Severe bullous skin reactions, including fatal cases of toxic epidermal necrolysis and 
paraneoplastic pemphigus, have been reported in patients treated with rituximab.  The onset of 
reaction has varied from 1 to 13 weeks following rituximab exposure. 
 

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2.10.3.6. 
Hematologic events 
 
In clinical trials, Grade 3 and 4 cytopenias were reported in 48% of patients treated with 
rituximab; these include: lymphopenia (40%), neutropenia (6%), leukopenia (4%), anemia (3%), 
and thrombocytopenia (2%).  The median duration of lymphopenia was 14 days (range, 1 to 588 
days) and of neutropenia was 13 days (range, 2 to 116 days).  A single occurrence of transient 
aplastic anemia (pure red cell aplasia) and two occurrences of hemolytic anemia following 
Rituximab therapy were reported.  
 
In addition, there have been a limited number of postmarketing reports of prolonged 
pancytopenia, marrow hypoplasia, and late onset neutropenia.  
 
2.10.3.7. 
Infectious events 
 
Rituxan induced B-cell depletion in 70% to 80% of patients with NHL and was associated with 
decreased serum immunoglobulin in a minority of patients; the lymphopenia lasted a median of 
14 days (range, 1-588 days).  Infectious events occurred in 31% of patients: 19% of patients had 
bacterial infections, 10% had viral infections, 1% had fungal infections, and 6% were unknown 
infections.  Serious infectious events (Grade 3 or 4), including sepsis, occurred in 2% of patients. 
 
2.10.3.8. 
Hepatitis B reactivation 
 
Hepatitis B virus (HBV) reactivation with fulminant hepatitis, hepatic failure, and death has been 
reported in some patients with hematologic malignancies treated with rituximab.  The majority of 
patients received rituximab in combination with chemotherapy.  The median time to the 
diagnosis of hepatitis was approximately four months after the initiation of rituximab and 
approximately one month after the last dose. 
 
2.10.3.9. 
Other serious viral infections 
 
The following additional serious viral infections, either new, reactivated or exacerbated, have 
been identified in clinical studies or postmarketing reports.  The majority of patients received 
Rituxan in combination with chemotherapy or as part of a hematopoietic stem cell transplant.  
These viral infections included JC virus (progressive multifocal leukoencephalopathy [PML]), 
cytomegalovirus, herpes simplex virus, parvovirus B19, varicella zoster virus, West Nile virus, 
and hepatitis C.  In some cases, the viral infections occurred up to one year following 
discontinuation of Rituxan and have resulted in death. 
 
2.10.3.10. Progressive multifocal leukoencephalopathy (PML) 
 
PML is a rare and demyelinating disease of the brain caused by infection with the JC virus that 
usually leads to death or severe disability.  JC virus infection resulting in PML and death has 
been reported rarely in patients with hematologic malignancies receiving rituximab. The majority 
of these patients had received rituximab in combination with chemotherapy or as part of a 
hematopoietic stem cell transplant.  Cases of PML resulting in death have also been reported in 

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patients with systemic lupus erythematosus (SLE) treated with rituximab.  These patients with 
SLE had longstanding disease, history of prior immunosuppressant therapy, and were diagnosed 
with PML within 12 months of their last infusion of rituximab. 
 
Physicians should consider PML in any patient presenting with new onset neurologic 
manifestations.  Consultation with a neurologist, brain MRI, and lumbar puncture should be 
considered as clinically indicated.  In patients who develop PML, rituximab should be 
discontinued and reductions or discontinuation of any concomitant chemotherapy or 
immunosuppressive therapy should be considered. 
 
2.10.3.11. Bowel obstruction and perforation 
 
Abdominal pain, bowel obstruction and perforation, in some cases leading to death, were 
observed in patients receiving Rituxan in combination with chemotherapy for DLBCL.  In post-
marketing reports, which include both patients with low-grade or follicular NHL and DLBCL, 
the mean time to onset of symptoms was 6 days (range 1−77) in patients with documented 
gastro-intestinal perforation.  Complaints of abdominal pain, especially early in the course of 
treatment, should prompt a thorough diagnostic evaluation and appropriate treatment. 
 
2.10.3.12. Additional safety signals 
 
The following serious adverse events have been reported to occur in patients following 
completion of rituximab infusions: arthritis, disorders of blood vessels (vasculitis, serum 
sickness and lupus-like syndrome), eye disorders (uveitis and optic neuritis), lung disorders 
including pleuritis and scarring of the lung (bronchiolitis obliterans), that may result in fatal 
outcomes, and fatal cardiac failure. 
 
See the rituximab Investigator Brochure for additional details regarding safety experience with 
rituximab. 
 
Hepatitis B reactivation with fulminant hepatitis, hepatic failure and death is a risk in patients 
who have ever been infected with the hepatitis B virus and/or are carriers of hepatitis B.  The risk 
of hepatitis B reactivation may continue for several months after rituximab administration.   
 
2.10.4. Tacrolimus 
 
Tacrolimus is a macrolide antibiotic that is a potent immunosuppressant.  Toxicities include 
predisposition to infection, renal insufficiency, hypertension, cholestatic hepatic toxicity, 
gingival hyperplasia, seizures, tremors, hirsutism, anorexia, nausea and possibly later B-cell 
lymphomas.  To reduce the risk of toxicity, blood pressure, tacrolimus levels, renal function and 
liver enzymes will be monitored closely and vital signs aggressively maintained at baseline. 
 

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2.10.5. Methotrexate 
 
Methotrexate is an antimetabolite that inhibits DNA synthesis and cell reproduction in malignant 
cells.  Toxicities include mucositis, hyperuricemia, elevated liver function tests, leucopenia, 
thrombocytopenia, nausea, vomiting, diarrhea, anorexia, malaise, fevers, chills, rash, 
nephrotoxicity and penumonitis.   
 

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CHAPTER 3 
 
 
3. 
STUDY ENDPOINTS 
 
3.1. 
Definition of Disease Status 
 
Patients at each data collection period are classified into one of the following stages.  Until 
relapse/progression, all disease classifications are relative to the patient’s pre-HSCT disease 
status.  Once the patient has relapsed/progressed, these states are relative to the patient’s best 
disease state.  Tests used for evaluation of disease status will be physical examination, laboratory 
testing, bone marrow biopsy and aspirate, PET scans, and CT scans of the neck, chest, abdomen 
and pelvis as indicated. 
 
Segments of this section are excerpts from the Bruce Cheson, et al, article “Revised Response 
Criteria for Malignant Lymphoma,” JCO, 2007. 
 
TABLE 3.1:  RESPONSE DEFINITIONS 
 
Response 
Definition 
Nodal Masses 
Spleen, Liver 
Bone Marrow 
CR 
Disappearance 
of all evidence 
of disease 
 
(a) FDG-avid or PET positive 
prior to therapy; mass of any 
size permitted if PET negative 
(b) Variably FDG-avid or PET 
negative; regression to normal 
size on CT 
 
Not palpable, 
nodules 
disappeared 
 
Infiltrate cleared on 
repeat biopsy; if 
indeterminate by 
morphology, 
Immunohistochemistry 
should be negative 
 
PR 
Regression of 
measurable 
disease and no 
new sites 
 
≥ 50% decrease in SPD of up to 
6 largest dominant masses; no 
increase in size of other nodes 
(a) FDG-avid or PET positive 
prior to therapy; one or more 
PET positive at previously 
involved site 
(b) Variably FDG-avid or PET 
negative; regression on 
CT 
 
≥ 50% decrease 
in SPD of 
nodules (for 
single nodule 
in greatest 
transverse 
diameter); no 
increase in size 
of liver or 
spleen 
 
Irrelevant if positive 
prior to therapy; cell 
type should be 
specified 
 

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Response 
Definition 
Nodal Masses 
Spleen, Liver 
Bone Marrow 
SD 
Failure to 
attain CR/PR 
or PD 
 
(a) FDG-avid or PET positive 
prior to therapy; PET positive at 
prior sites of disease and no 
new sites on CT or PET 
(b) Variably FDG-avid or PET 
negative; no change in size of 
previous lesions on CT 
 
 
 
Relapsed 
disease or 
PD 
Any new 
lesion or 
increase by 
≥ 50% of 
previously 
involved sites 
from nadir 
 
Appearance of a new lesion(s)  
> 1.5 cm in any axis, ≥ 50% 
increase in SPD of more than 
one node, or ≥ 50% increase in 
longest diameter of a previously 
identified node > 1 cm in short 
axis 
 
Lesions PET positive if FDG-
avid lymphoma or PET 
positive prior to therapy 
 
> 50% increase 
from nadir in 
the SPD of any 
previous 
lesions 
 
New or recurrent 
involvement 
 
Abbreviations: CR, complete remission; FDG, [18F]fluorodeoxyglucose; PET, positron emission tomography; CT, computed 
tomography; PR, partial remission; SPD, sum of the product of the diameters; SD, stable disease; PD, progressive disease. 
 
 
Complete Remission (CR): 
The designation of CR requires the following (Table 3.1): 
 Complete disappearance of all detectable clinical evidence of disease and disease-related 
symptoms if present before therapy. 
 Typically FDG-avid lymphoma: in patients with no pretreatment PET scan or when the 
PET scan was positive before therapy, a post-treatment residual mass of any size is 
permitted as long as it is PET negative. 
 Variably FDG-avid lymphomas/FDG avidity unknown: in patients without a pretreatment 
PET scan, or if a pretreatment PET scan was negative, all lymph nodes and nodal masses 
must have regressed on CT to normal size (≤ 1.5 cm in their greatest transverse diameter 
for nodes > 1.5 cm before therapy).  Previously involved nodes that were 1.1 to 1.5 cm in 
their long axis and more than 1.0 cm in their short axis before treatment must have 
decreased to ≤ 1.0cmin their short axis after treatment. 
 The spleen and/or liver, if considered to be enlarged before therapy on the basis of a 
physical examination or CT scan, should not be palpable on physical exam and should be 
considered normal size by imaging studies, and nodules related to lymphoma should 
disappear.  However, determination of splenic involvement is not always reliable because 
a spleen considered normal in size may still contain lymphoma, whereas an enlarged 

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spleen may reflect variations in anatomy, blood volume, the use of hematopoietic growth 
factors, or causes other than lymphoma. 
 If bone marrow was involved by lymphoma before treatment, the infiltrate must have 
cleared on repeat bone marrow biopsy.  The biopsy sample on which this determination is 
made must be adequate (with a goal of > 20 mm unilateral core).  If the sample is 
indeterminate by morphology, it should be negative by immunohistochemistry.  A sample 
that is negative by immunohistochemistry but that demonstrates a small population of 
clonal lymphocytes by flow cytometry will be considered a CR until data become 
available demonstrating a clear difference in patient outcome. 
Complete Remission Undetermined (CRu):  
 The use of the above definition for CR and that below for PR eliminates the category of 
CRu. 
 
Partial Remission (PR): 
The designation of PR requires all of the following: 
 At least a 50% decrease in sum of the product of the diameters (SPD) of up to six of the 
largest dominant nodes or nodal masses.  These nodes or masses should be selected 
according to all of the following: they should be clearly measurable in at least 2 
perpendicular dimensions; if possible they should be from disparate regions of the body; 
and they should include mediastinal and retroperitoneal areas of disease whenever these 
sites are involved. 
 No increase should be observed in the size of other nodes, liver or spleen. 
 Splenic and hepatic nodules must regress by  50% in their SPD or, for single nodules in 
the greatest transverse diameter. 
 With the exception of splenic and hepatic nodules, involvement of other organs is usually 
assessable and no measurable disease should be present. 
 Bone marrow assessment is irrelevant for determination of a PR if the sample was 
positive before treatment.  However, if positive, the cell type should be specified (eg, 
large-cell lymphoma or small neoplastic B cells).  Patients who achieve a CR by the 
above criteria, but who have persistent morphologic bone marrow involvement will be 
considered partial responders.  When the bone marrow was involved before therapy and a 
clinical CR was achieved, but with no bone marrow assessment after treatment, patients 
should be considered partial responders. 
 No new sites of disease should be observed. 
 Typically FDG-avid lymphoma: for patients with no pretreatment PET scan or if the PET 
scan was positive before therapy, the post-treatment PET should be positive in at least 
one previously involved site. 
 Variably FDG-avid lymphomas/FDG-avidity unknown: for patients without a 
pretreatment PET scan, or if a pretreatment PET scan was negative, CT criteria should be 
used.  In patients with follicular lymphoma, a PET scan is only indicated with one, or at 

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most two, residual masses that have regressed by more than 50% on CT; those with more 
than two residual lesions are unlikely to be PET negative and should be considered partial 
responders. 
 
Stable Disease (SD): 
Stable disease (SD) is defined as the following: 
 A patient is considered to have SD when he or she fails to attain the criteria needed for a 
CR or PR, but does not fulfill those for progressive disease (see Relapsed Disease [after 
CR]/Progressive Disease [after PR, SD]). 
 Typically FGD-avid lymphomas: the PET should be positive at prior sites of disease with 
no new areas of involvement on the post-treatment CT or PET. 
 Variably FDG-avid lymphomas/FDG-avidity unknown: for patients without a 
pretreatment PET scan or if the pretreatment PET was negative, there must be no change 
in the size of the previous lesions on the post-treatment CT scan. 
 
Relapsed Disease (RD, after CR)/ Progressive Disease (PD after PR, SD): 
Lymph nodes should be considered abnormal if the long axis is more than 1.5 cm regardless of 
the short axis.  If a lymph node has a long axis of 1.1 to 1.5 cm, it should only be considered 
abnormal if its short axis is more than 1.0.  Lymph nodes ≤ 1.0 x ≤ 1.0cm will not be considered 
as abnormal for relapse or progressive disease. 
 Appearance of any new lesion more than 1.5 cm in any axis during or at the end of 
therapy, even if other lesions are decreasing in size.  Increased FDG uptake in a 
previously unaffected site should only be considered relapsed or progressive disease after 
confirmation with other modalities.  In patients with no prior history of pulmonary 
lymphoma, new lung nodules identified by CT are mostly benign.  Thus, a therapeutic 
decision should not be made solely on the basis of the PET without histologic 
confirmation. 
 At least a 50% increase from nadir in the SPD of any previously involved nodes or in a 
single involved node, or the size of other lesions (e.g, splenic or hepatic nodules).  To be 
considered progressive disease, a lymph node with a diameter of the short axis of less 
than 1.0 cm must increase by  50% and to a size of 1.5 x 1.5 cm or more than 1.5 cm in 
the long axis. 
 At least a 50% increase in the longest diameter of any single previously identified node 
more than 1 cmin its short axis 
 Lesions should be PET positive if observed in a typical FDG-avid lymphoma or the 
lesion was PET positive before therapy unless the lesion is too small to be detected with 
current PET systems (< 1.5 cm in its long axis by CT).  Measurable extranodal disease 
should be assessed in a manner similar to that for nodal disease.  For these 
recommendations, the spleen is considered nodal disease.  Disease that is only assessable 
(e.g. pleural effusions, bone lesions) will be recorded as present or absent only, unless, 
while an abnormality is still noted by imaging studies or physical examination, it is found 

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to be histologically negative.  In clinical trials where PET is unavailable to the vast 
majority of participants, or where PET is not deemed necessary or appropriate for use, 
response should be assessed as above, but only using CT scans.  However, residual 
masses should not be assigned CRu status, but should be considered partial responses. 
 
3.2. 
Primary Endpoint  
 
The primary endpoint is a two-year progression-free survival.  Patients are considered a failure 
for this endpoint if they die, or if they relapse/progress or receive anti-lymphoma therapy not 
including planned post-transplant radiation.  The time to this event is the time from enrollment 
on study until death, relapse/progression, receipt of anti-lymphoma therapy, or last follow-up, 
whichever comes first. 
 
3.3. 
Secondary Endpoints  
 
3.3.1. Two Year Overall Survival 
 
The event is death from any cause.  The time to this event is the time from enrollment to death or 
last follow-up.  Surviving patients are censored at the time of last observation.   
 
3.3.2. Time to Progression/Relapse 
 
The event is progression/relapse.  The time to this event is measured from study enrollment.  
Deaths without relapse/progression are considered as a competing risk.  Surviving patients with 
no history of relapse/progression are censored at time of last follow-up. 
 
3.3.3. Time to CR and PR 
 
The event is achieving CR (or PR and CR).  The time to event is measured from the time of 
study enrollment to the time to CR (or PR).  Patients who die in a state other than CR (PR) are 
considered as failing from a competing risk.  Patients alive and not in CR (PR) are censored at 
the time of last observation.  
 
3.3.4. Incidence and Time to Acute GVHD 
 
The event is the incidence of grades II-IV and grades III-IV acute GVHD from day of transplant.  
The first day of acute GVHD onset at a certain grade will be used to calculate a cumulative 
incidence curve for that acute GVHD grade.  An overall cumulative incidence curve will be 
computed along with a 95% confidence interval at 100 days post-transplant with death 
considered as a competing risk. 
 

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3.3.5. Time to First Clinical Onset of Chronic GVHD 
 
The event is the incidence and severity of chronic GVHD from day of transplant, a cumulative 
incidence curve will be computed along with a 95% confidence interval at two years post-
transplant.  Death prior to occurrence of chronic GVHD will be considered as a competing risk. 
 
3.3.6. Treatment-Related Mortality (TRM) 
 
The event is death occurring in patients in continuous complete remission.  The TRM 
distribution will be estimated by the Kaplan-Meier curve at two years post-transplant. 
 
3.3.7. Correlation of Serum Rituximab Levels 
 
The incidence of relapse, acute GVHD, chronic GVHD, quantitative immunoglobulin levels, and 
lymphocyte analysis will be compared between patients with detectable levels of serum 
rituximab and no detectable levels at the specified time-points.   
 
3.3.8. Incidence of Primary and Secondary Graft Failure 
 
Donor engraftment is defined as >5% donor peripheral blood T cell chimerism by Day +30 post- 
HSCT in the setting of ANC recovery (ANC >500 for 3 consecutive days).  Primary graft failure 
is defined as a donor peripheral blood T cell chimerism < 5% at Day +30 post-HSCT.  
Methodological requirements for chimerism are outlined in the BMT CTN MOP. 
 
Secondary Graft Failure is defined as documented engraftment followed by loss of graft as 
defined by donor peripheral blood T cell chimerism < 5% as demonstrated by a chimerism assay. 
 
3.3.9. Time to Off-Study Therapy 
 
The event is the initiation of anti-lymphoma therapy other than those defined by the protocol.  
The time to this even is measured from study enrollment.  Patients who die without initiation of 
an off-study therapy will be considered as experiencing a competing risk.  Patients who are alive 
and have not received an off-study therapy are censored at the time of the last observation. 
 
3.3.10. Incidence of Infections 
 
Microbiologically documented infections will be reported by site of disease, date of onset, 
severity, and resolution, if any.  This data will be captured via an event-driven case report form 
and will be collected from Day 0 until two years post-transplant.   
 
3.3.11. Incidence of CTCAE Version 3.0 > Grade 3 Toxicities 
 
See the BMT CTN MOP for the CTCAE grading scales.  
 

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3.3.12. Quality of Life (SF-36) 
 
Health Related Quality of Life will be described prior to the initiation of conditioning therapy for 
English and Spanish-speaking patients utilizing the FACT-BMT self report, transplant specific 
questionnaire and the generic quality of life tool, the SF-36.  The questionnaires will be scored 
according to standard procedures.  This will be compared to the Health Related QOL for patients 
at 2-years post-transplant. 
 
3.3.13. Immunologic Reconstitution  
 
This will be measured in all patients prior to the initiation of the conditioning therapy (baseline), 
at Day +100, and at 1 year post-transplant.  This will also be measured at 2 years post-transplant 
if the 1 year assessment is abnormal.  Tests to be performed on peripheral blood at those time 
points include CD3, CD4, CD8, CD19, CD20, CD56, and quantitative immunoglobulins (IgM, 
IgG and IgA).   
 
 

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CHAPTER 4 
 
 
4. 
PATIENT ENROLLMENT AND EVALUATION 
 
4.1. 
Enrollment Procedures 
 
All patients will be registered using the BMT CTN Electronic Data Capture System 
(AdvantageEDCSM).  Centers participating through the Cancer Trials Support Unit (CTSU) 
should follow the CTSU instructions for pre-approval and registration in Appendix F prior to 
following the instructions below.  
 
4.1.1. Screening and Eligibility Procedures 
 
The following procedures should be followed: 
1. At least 2 days prior to initiation of conditioning therapy, an authorized user at the 
transplant center completes the eligibility screening by entering patient demographics, 
and the Enrollment Form in AdvantageEDC.  The eligibility screening includes questions 
that will verify eligibility, capture the proposed start date of conditioning, HLA typing 
information, and a question confirming that the patient signed the informed consent form.   
2. If the patient is eligible, a study number is generated.  
 
4.2. 
Study Monitoring 
 
4.2.1. Follow-Up Schedule 
 
The follow-up schedule for scheduled study visits is outlined in Table 4.2.1.  A detailed 
description of each of the forms and the procedures required for forms completion and 
submission can be found in the Data Management Handbook and User’s Guide.  The Data 
Management Handbook, including the Forms Submission Schedule is available on the homepage 
of the Internet data entry system. 
 
TABLE 4.2.1:  FOLLOW-UP SCHEDULE 
 
Study Visit 
Target Day 
(± 7 Days Prior to Day 100 Post-HSCT) 
(± 28 Days After Day 100 Post-HSCT) 
1 week 
7 days 
2 week 
14 days 
3 week 
21 days 
4 week 
28 days 
5 week 
35 days 
6 week 
42 days 
7 week 
49 days 

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Study Visit 
Target Day 
(± 7 Days Prior to Day 100 Post-HSCT) 
(± 28 Days After Day 100 Post-HSCT) 
8 week 
56 days 
9 week 
63 days 
10 week 
70 days 
11 week 
77 days 
12 week 
84 days 
13 week 
91 days 
14 week 
98 days 
6 month 
180 days 
12 month 
365 days 
18 month 
540 days 
24 month 
730 days 
 
 
Criteria for Forms Submission:  Criteria for timeliness of submission for all study forms are 
detailed in the Data Management Handbook and User’s Guide.  Forms that are not entered into 
AdvantageEDC within the specified time will be considered delinquent.  A missing form will 
continue to be requested either until the form is entered into the AdvantageEDC and integrated 
into the Data and Coordinating Center’s (DCC) master database or until an exception is granted 
and entered into the Missing Form Exception File, as detailed in the Data Management 
Handbook. 
 
Reporting Patient Deaths:  Recipient Death Information must be entered into AdvantageEDC 
within 24 hours of knowledge of the patient’s death.  If the cause of death is unknown at that 
time, it need not be recorded at that time.  However, once the cause of death is determined, the 
form must be updated in AdvantageEDC. 
 
Center for International Blood and Marrow Transplant Research (CIBMTR) Data 
Reporting:  Centers participating in BMT CTN trials must register pre and post-transplant 
outcomes on all consecutive hematopoietic stem cell transplants done at their institution during 
their time of participation to the Center for International Blood and Marrow Transplant Research 
(CIBMTR).  Registration is done using procedures and forms of the Stem Cell Transplant 
Outcomes Database (SCTOD).  (Note: Federal legislation requires submission of these forms for 
all US allotransplant recipients.)  Enrollment of BMT CTN #0701 must be indicated on the 
SCTOD pre-transplant registration form, if applicable.  Additionally, CIBMTR pre- and post- 
transplant Report Forms must also be submitted for all patients enrolled on this trial. CIBMTR 
forms will be submitted directly to the CIBMTR at the times specified on the Form Submission 
Schedule.  
 
4.2.2. Adverse Event Reporting 
 
Unexpected, grade 3-5 adverse events (AE) will be reported through an expedited AE reporting 
system via AdvantageEDC.  Unexpected, grade 4-5 AEs must be reported within 24 hours of 

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knowledge of the event.  Unexpected, grade 3 AEs must be reported within three business days 
of knowledge of the event.  Expected AEs will be reported using NCI’s Common Terminology 
Criteria for Adverse Events (CTCAE) Version 3.0 at regular intervals as defined on the Form 
Submission Schedule.  See Appendix E for detailed reporting guidelines. 
 
4.2.2.1. 
Adverse event reporting to Genentech 
 
Unexpected grade 3-5 adverse events (AE) will be reported by the Data and Coordinating 
Center, by password-protected e-mail attachments, to Genentech Drug Safety twice per year 
(Tel: 888-835-2555; Fax: 650-225-4682 or 650-225-4683).  Annual reports listing expected 
toxicities will be reported by password-protected e-mail attachments. 
 
See Appendix E for detailed reporting guidelines. 
 
4.2.3. Weekly GVHD Monitoring Post-HSCT 
 
GVHD should be monitored in accordance with BMT CTN guidelines as specified in the MOP.  
Patients should be assessed weekly until Day 100 post-HSCT for GVHD.  After Day 100, 
patients will be assessed at each study visit for the presence of GVHD. 
 
4.2.4. Patient Assessments 
 
4.2.4.1. 
Evaluations prior to HSCT 
 
The following observations will be done ≤ 4 weeks prior to initiation of the HSCT conditioning 
therapy. 
1. 
History, physical examination, height and weight. 
2. 
Karnofsky performance score. 
3. 
CBC with differential, platelet count, creatinine, bilirubin, LDH, alkaline 
phosphatase, AST, ALT, sodium, magnesium, potassium, chloride, and CO2. 
4. 
Creatinine clearance (measured or calculated) 
5. 
CMV titer, hepatitis panel (HepA Ab, HepB sAb, HepB sAg, HepB Core Ab, HepC 
Ab), herpes simplex titer, syphilis, HIV and HTLV1 antibody. 
6. 
EKG. 
7. 
Left ventricular ejection fraction. 
8. 
DLCO, FEV1 and FVC. 
9. 
HLA typing of heparanized peripheral blood sample to determine availability of 
HLA-matched sibling or HLA-matched unrelated donor (may be completed at any 
time prior to conditioning).  Minimum HLA typing for related donors must be 
performed by DNA methods for HLA-A and -B at intermediate resolution and DRB1 
at high resolution.  Minimum HLA typing for unrelated donors must be performed by 

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DNA methods for HLA-A, -B, -C, and -DRB1 at high resolution consistent with 
NMDP standard procedures. 
10. 
Baseline Disease Evaluation: 
a) Bone marrow biopsy and aspirate to pathology and aspirate to cytogenetics.  Flow 
cytometry is not required.   
b) CT of neck, chest, abdomen and pelvis.  Neck CT only required if previous site of 
disease.  PET is strongly recommended if PET scans were initially used to 
diagnose disease. 
11. 
Flow cytometry analysis of allogeneic graft per the Graft Characterization section of 
the BMT CTN MOP. 
12. 
Two vials (20 cc) of nucleated cells from patient’s peripheral blood for future testing 
(see the Table C-1 in Appendix C for processing/shipping instructions). 
13. 
Quality of life assessment. 
14. 
ABO Rh Blood typing. 
15. 
Blood samples for evaluation of immune reconstitution by flow cytometry (CD3, 
CD4, CD8, CD19, CD20 and CD56) and quantitative immunoglobulins (IgM, IgG, 
and IgA) (see Appendix C for details). 
16. 
PCR for presence of t(14;18) 
17. 
Peripheral blood for serum Rituximab levels collected and sent per Appendix C. 
18. 
Signed informed consent 
 
4.2.4.2. 
Post-HSCT evaluations 
1. CBC at least three times a week from Day 0 until ANC > 500 for 3 days after nadir 
reached.  Thereafter twice per week until Day 28 (or 4 weeks), then at 8 weeks, 3 months, 
6 months, one year and two years post-HSCT. 
2. Comprehensive chemistry panel defined as creatinine, LDH, bilirubin, alkaline 
phosphatase, AST, ALT, magnesium, sodium, potassium, chloride, CO2 twice a week 
until Day 28 (or four weeks) and then at 8 weeks, 3 months, 6 months, one year and two 
years post-HSCT. 
3. Toxicity assessments at 4 weeks, 8 weeks, 3 months, 6 months, one year and  two years 
post-HSCT. 
4. Disease restaging at 3 months, 6 months (6-month disease restaging only if clinically 
indicated), 1 year and 2 years post-HSCT. 
a. Bone marrow biopsy and aspirate to pathology and aspirate to cytogenetics.  Flow 
cytometry is not required.  Post-HCT bone marrow assessments are not required 
unless the original diagnostic marrow or the baseline marrow documented abnormal 
morphology/cytogenetics.   

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b. CT of neck, chest, abdomen and pelvis.  Neck CT only required if previous site of 
disease. PET is strongly recommended, if PET scans were initially used to diagnose 
disease.  
c. In patients with known t(14;18), peripheral blood samples will be drawn for t(14;18) 
analysis by quantitative PCR.  These samples will be processed and analyzed locally 
per institutional guidelines 
d. Quality of life assessment at 2 years post-HSCT. 
 
5. Peripheral blood for immune reconstitution studies by flow cytometry (CD3, CD4, CD8, 
CD19, CD20 and CD56) and quantitative immunoglobulin levels (IgM, IgG, and IgA) 
should be determined at 3 months, 6 months and 1 year (see Appendix C for details). 
 
In addition, all patients are required to have a history and physical exam to assess GVHD weekly 
until Day 100 post-HSCT, then at 6 months, one year and then yearly until two years post-
HSCT.  GVHD evaluation and grading is to be in keeping with BMT CTN MOP. 
 
4.2.4.3. 
Quantitative PCR sampling 
 
Below is the sampling schedule for quantitative PCR of t(14;18) from peripheral blood sample: 
1. At study entry. 
2. For patients with positive PCR at any time since diagnosis.  These samples will be 
processed and analyzed locally per institutional guidelines.  Post-HSCT: 
 3 months post-HSCT 
 6 months post-HSCT 
 1 year post-HSCT 
 2 years post-HSCT 
 
4.2.4.4. 
Chimerism analysis sampling 
 
Below is the sampling schedule for chimerism analysis of peripheral blood for all patients: 
1. 4 weeks post-HSCT 
2. 8 weeks post-HSCT 
3. 3 months post-HSCT 
4. 6 months post-HSCT 
5. 1 year post-HSCT 
 

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4.2.4.5. 
Serum rituximab levels sampling 
 
Sampling schedule for serum rituximab levels for all patients: 
1. Pre-HSCT 
2. 4 weeks post-HSCT 
3. 3 months post-HSCT 
4. 6 months post-HSCT 
5. 1 year post-HSCT 
 
4.2.4.6. 
Donor assessments 
 
1. Donor assessments for matched related donors are performed per institutional guidelines, 
to include peripheral blood draw for chimerism and infectious disease markers.  
2. Donor assessments for matched unrelated donors are performed per NMDP guidelines. 
 
 
 
 

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TABLE 4.2.4a:  BASELINE EVALUATIONS 
 
Required Studies/Testing 
Baseline1 
History, Physical Examination, Height and Weight 
X 
Karnofsky Performance Score 
X 
CBC with differential, Platelet Count, Creatinine, Bilirubin, Alkaline 
Phosphatase, AST, ALT, LDH, Sodium, Magnesium, Potassium, 
Chloride and CO2 
X 
ABO Rh Typing 
X 
Creatinine Clearance 
X 
CMV Titer, Hepatitis Panel (A,B,C) Herpes Simplex, Syphilis 
X 
HIV/HTLV1 Antibody 
X 
EKG 
X 
Left Ventricular Ejection Fraction  
X 
DLCO, FEV1, FVC 
X 
β -HCG Serum Pregnancy Test for Females of Childbearing Potential 
X 
Toxicity Assessment 
X 
CT Neck, Chest, Abdomen and Pelvis 
X2 
Bone Marrow Aspirate and Biopsy4 
X 
Peripheral Blood for t(14;18) PCR 
X 
Peripheral Blood for HLA Typing 
X 
Blood Samples for Rituximab levels 
X 
Nucleated Cells 
X3 
Immune Reconstitution Assays5 
X 
Health Quality of Life 
X 
Consent Review 
X 
            Notes: 
1 To be performed within 4 weeks of starting 
conditioning therapy. 
2 Neck CT only required if previous site of 
disease. 
3 Two vials (20 cc) of nucleated cells from 
peripheral blood for future testing (see Table 
C-1: Schedule of Laboratory Evaluations for 
processing/shipping instructions). 
 
4 Bone marrow aspirate and biopsy samples to 
pathology, aspirate for cytogenetic analysis. 
5 Immune reconstitution assays to include CD3, 
CD4, CD8, CD19, CD20, CD56, and 
quantitative immunoglobulin (IgM, IgG and 
IgA) levels. 

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Table 4.2.4b:  Summary of Patient Clinical Assessments 
 
Study Assessments/ 
Testing 
Baseline 
Days Post-Transplant 
7 
14 
21 
28 
35 
42 
49 
56 
63 
70 
77 
84 
91 
98 
180 
365 
730 
History, physical exam, 
weight, height11, and 
Karnofsky/Lansky 
performance status 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
GVHD assessments1 
 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
CBC2, differential, 
platelet count, and blood 
chemistries3 
X 
X 
X 
X 
X 
 
 
 
X 
 
 
 
X 
 
 
X 
X 
X 
ABO Rh Typing 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Creatinine Clearance 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Infectious disease titers4 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
EKG 
X5 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Left ventricular ejection 
fraction 
X5 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
DLCO, FEV1 and FVC 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Bone marrow aspirate for 
pathology and 
cytogenetics5 
X 
 
 
 
 
 
 
 
 
 
 
 
X 
 
 
X10 
X 
X 
Bone marrow biopsy for 
pathology5 
X 
 
 
 
 
 
 
 
 
 
 
 
X 
 
 
X10 
X 
X 
ß-HCG serum pregnancy 
test (females only) 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Toxicity Assessment 
X 
 
 
 
X 
 
 
 
X 
 
 
 
X 
 
 
X 
X 
X 
CT Neck, Chest, 
Abdomen and Pelvis 
X6 
 
 
 
 
 
 
 
 
 
 
 
X 
 
 
X 
X 
X 
Peripheral Blood for 
t(14;18) PCR 
X 
 
 
 
 
 
 
 
 
 
 
 
X7 
 
 
X7 
X7 
X7 
Peripheral Blood for 
HLA typing 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Blood Samples for 
Chimerism Assays 
 
 
 
 
X 
 
 
 
X 
 
 
 
X 
 
 
X 
X 
 
Blood Samples for 
Rituximab levels 
X 
 
 
 
X 
 
 
 
 
 
 
 
X 
 
 
X 
X 
 

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Study Assessments/ 
Testing 
Baseline 
Days Post-Transplant 
7 
14 
21 
28 
35 
42 
49 
56 
63 
70 
77 
84 
91 
98 
180 
365 
730 
Nucleated Cells8 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Flow Cytometry analysis 
of allogeneic graft 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Immune Reconstitution 
Assays9 
X 
 
 
 
 
 
 
 
 
 
 
 
X 
 
 
X 
X 
 
Health Quality of Life 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
X 
Consent Review 
X 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Notes: 
1  GVHD performed weekly until Day 100 post-transplant. 
2  CBC performed three times weekly from Day 0 until ANC >500 mcL for three days after nadir.  CBC performed twice weekly until Day 28.  
3  Blood chemistries include: differential, platelet count, creatinine, LDH, bilirubin, alkaline phosphatase, AST, ALT, magnesium, sodium, potassium, chloride, 
and CO2.  Blood chemistries performed twice weekly until Day 28.  
4  Infectious disease titers include: CMV,  Hepatitis panel (HepB SAb, HepB SAg, HepB Core Ab, HepC Ab),  herpes simplex virus,  syphilis, HIV and HTLV1 
antibody. 
5  Bone marrow aspirate and biopsy samples to pathology, aspirate for cytogenetic analysis. Only if bone marrow was involved with lymphoma. 
6  Neck CT only required if previous site of disease. 
7  Only in patients with known t(14;18) at any time since diagnosis. 
8  Two vials (20 cc) of nucleated cells from peripheral blood for future testing (see the Table C-1 in Appendix C for processing/shipping instructions). 
9  Immune reconstitution assays include:  CD3, CD4, CD8, CD19, CD20, CD56 and quantitative immunoglobulin (IgM, IgG and IgA) levels. 
10 Only if clinically indicated. 
11 Height evaluation only required at baseline. 
 

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5-1 
CHAPTER 5 
 
 
5. 
STATISTICAL CONSIDERATIONS 
 
5.1. 
Study Overview 
 
The study is a Phase II, single arm, multicenter trial.  It is designed to confirm the efficacy in a 
multi-center BMT CTN study of a non-myeloablative allogeneic conditioning regimen of FCR.  
The study population is patients with relapsed follicular NHL receiving matched related or 
matched unrelated donor transplants.  The sample size is 65 patients for this trial. 
 
5.1.1. Primary Endpoint 
 
The primary endpoint for the study is two-year progression-free survival.  If any therapy not 
specified in the protocol is given to prevent relapse/progression or to induce a response, the 
patient will be considered to have experienced an event for the primary endpoint.   
 
Patients who are lost to follow-up prior to two years will be censored at the time of the last 
observation, and the progression-free survival proportion will be estimated using the Kaplan-
Meier method, where time-to-event is measured from enrollment to the minimum of the date of 
death, relapse/progression, last-follow-up or the two-year time point.   
 
5.1.2. Accrual 
 
It is estimated that two years of accrual will be necessary to enroll the targeted sample size.  
Accrual will be reported by race, ethnicity, gender, and age. 
 
5.1.3. Study Duration 
 
Patients will be followed for a minimum of two years post-transplant.   
 
5.2. 
Sample Size and Power Considerations 
 
The sample size is 65 patients for this trial.  Ninety-five percent confidence intervals were 
calculated for varying probabilities based on the sample size.  Table 5.2a provides confidence 
intervals for a variety of true underlying proportions.  Of particular interest is where the PFS 
probability is 73%, which is the targeted 2-year PFS probability.  For this setting, the confidence 
interval length is 22.9%.  The percentages above and below 73% are meant to represent other 
plausible PFS percentages.   
 
The precision of the estimates alternatively could be viewed as a lower bound on the rate of PFS.  
The probability to rule out PFS percentages of a certain size is known as “power.”  Table 5.2b 
provides the probability (or power) that the lower bound of a 95% two-sided confidence interval 
for the PFS probability will be greater than various PFS thresholds between 50% and 80%.  In 

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particular, when the true PFS percentage is 73%, there is 80% power to rule out a PFS 
percentage of < 55%, which is the historical 2 year progression-free survival rate for this type of 
patient after autologous HSCT.  This can equivalently be viewed as testing the following 
hypothesis: Ho: p = 0.55 versus H1: p ≠ 0.55.  Based on the table below, there is 80% power at 
= .05 (two-sided) to reject the null hypothesis if the true PFS percentage is 73%. 
 
TABLE 5.2a:  CONFIDENCE INTERVAL LENGTHS AND POSSIBLE CONFIDENCE 
INTERVALS FOR VARIOUS UNDERLYING PROGRESSION-FREE SURVIVAL 
PROBABILITIES 
 
N 
Progression-
free Survival 
% 
Length of 95% 
Confidence 
Interval 
Possible Confidence 
Intervals 
65 
80 
20.7 
68.2 
88.9 
65 
75 
22.3 
63.1 
85.3 
65 
73 
22.9 
59.8 
82.7 
65 
70 
23.6 
56.5 
80.1 
65 
65 
24.4 
51.7 
76.1 
65 
60 
25.0 
47.0 
72.0 
65 
55 
25.3 
42.5 
67.8 
 
The PFS probability estimate will be based on the Kaplan-Meier product limit estimator using 
Greenwood’s formula as the variance estimate.  In the absence of censoring, the Kaplan-Meier 
estimate reduces to the simple binomial proportion. 
 
 
TABLE 5.2b:  PROBABILITY OF RULING OUT A THRESHOLD OF SIZE  
T OR LARGER FOR VARIOUS TRUE UNDERLYING PROGRESSION-FREE 
SURVIVAL PERCENTAGES, WITH N=65 
 
 
Probability of ruling out PFS Percentages of size T or smaller 
True PFS 
T=0.75 
0.73 
0.7 
0.65 
0.6 
0.55 
0.5 
0.75 
 
0.04 
0.08 
0.31 
0.65 
0.89 
0.99 
0.73 
0.05 
 
0.04 
0.20 
0.50 
0.80 
0.97 
0.70 
0.14 
0.05 
 
0.09 
0.30 
0.61 
0.91 
0.65 
0.42 
0.24 
0.11 
 
0.08 
0.28 
0.68 
0.60 
0.73 
0.55 
0.35 
0.13 
 
0.08 
0.35 
0.55 
0.93 
0.82 
0.67 
0.38 
0.10 
 
0.12 
0.50 
0.99 
0.96 
0.89 
0.69 
0.31 
0.11 
 
 
 

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5-3 
5.3. 
Interim Analysis and Stopping Guidelines 
 
There will be no interim analyses for efficacy, since the primary endpoint is 2 year PFS.  
Monitoring of a key safety endpoint (treatment-related mortality [TRM]) will be conducted 
monthly, and if rates significantly exceed pre-set thresholds, the NHLBI will be notified in order 
that the DSMB can be advised.  Policies and composition of the DSMB are described in the 
BMT CTN's Manual of Procedures.  The stopping guidelines serve as a trigger for consultation 
with the DSMB for additional review, and are not formal “stopping rules” that would mandate 
automatic closure of study enrollment. 
 
The rate of TRM will be monitored up to 100 days post-transplant.  Monitoring will be 
performed monthly until enrollment is closed.  Stopping rules will be defined separately for 
patients receiving related donor transplants and those receiving unrelated donor transplants, 
because of limited experience with this regimen in unrelated donor transplants in particular.  
Fewer than half of the patients in the study are anticipated to receive unrelated donor transplants; 
we base our stopping rules on anticipated accrual of 30 unrelated and 35 related donor transplant 
recipients.   
 
A truncated Sequential Probability Ratio Test (SPRT) for a censored binomial outcomes will be 
used to monitor TRM as described below.  This sequential testing procedure conserves type I 
error across all of the monitoring looks for TRM, but not across the two cohorts of patients being 
monitored separately.  Thus the type I error for each cohort is approximately 5%, and across both 
cohorts, the study-wide type I error is < 10%.   
 
The SPRT can be represented graphically.  At each interim analysis, the total number of patients 
enrolled is plotted against the total number of patients who have experienced TRM.  The 
continuation region of the SPRT is defined by two decision boundaries.  Only the upper 
boundary will be used for monitoring the study to protect against high incidences of TRM.  If the 
graph falls above the upper boundary, the SPRT rejects the null hypothesis, and concludes that 
the TRM rate is higher than predicted by the observed number of patients enrolled on study.  
Otherwise, the SPRT continues until enrollment reaches the target goal.   
 
The usual measures of performance of an SPRT are the error probabilities  and  of rejecting 
H0 when  = 0 and of accepting H1 when  = 1, respectively, and the expected sample size 
E(N|I).  Note that since the test uses only the upper boundary, and is truncated by a finite 
sample size, the size of the test will be slightly lower than the nominal level.  The tests to be used 
in this protocol were developed from SPRT’s described in more detail in the following 
subsections.   
 
Related Donor Transplant Recipients 
Treatment-related mortality in this trial is anticipated to be <=10% at 100 days for related donor 
transplant recipients.  The stopping rule for treatment-related mortality in patients receiving 
related donor transplants will be triggered if there is significant evidence that the 100 day 
treatment-related mortality rate is more than 10% based on the truncated SPRT.  This truncated 
SPRT is based on contrasting 10% versus 35% 100 day TRM, with nominal type I and II errors 

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of 7.5% and 10%, respectively.  The common slope of the decision boundaries is 0.206 and the 
intercept for the upper boundary is 1.575.  The stopping rule is summarized in Table 5.3a. 
 
 
TABLE 5.3a: STOPPING BOUNDARIES FOR 100-DAY TRM AMONG PATIENTS 
RECEIVING RELATED DONOR TRANSPLANTS*   
 
Number of 
Patients Enrolled, 
n 
Stopping 
Boundary,  
x 
Number of 
Patients Enrolled, 
n 
Stopping 
Boundary,  
X 
3-6 
3 
22-26 
7 
7-11 
4 
27-31 
8 
12-16 
5 
32-35 
9 
17-21 
6 
 
 
* Stopping rule is triggered if >=x patients out of n enrolled experience TRM 
 
The actual operating characteristics of the stopping guideline, shown in Table 5.3b, were 
determined in a simulation study that assumed uniform accrual of 35 individuals receiving 
related donor transplants over a three-year time period.   
 
 
TABLE 5.3b: OPERATING CHARACTERISTICS OF SEQUENTIAL TESTING 
PROCEDURE FOR TRM AMONG PATIENTS RECEIVING RELATED DONOR 
TRANSPLANTS FROM A SIMULATION STUDY WITH 10,000 REPLICATIONS 
 
Treatment-Related Mortality 
True 100-Day Rate 
10% 
20% 
25% 
30% 
Probability Reject Null 
0.048 
0.417 
0.676 
0.857 
Mean Month Stopped 
38.1 
30.4 
24.6 
19.3 
Mean # Endpoints in 100 Days 
3.4 
5.3 
5.3 
4.9 
Mean # Patients with 100 Days Follow-up 
33.9 
26.6 
21.1 
16.1 
 
The testing procedure for TRM among related donor transplant recipients rejects the null 
hypothesis in favor of the alternative 5% of the time when the true 100-day incidence is 10%, 
and 86% of the time when the rate is 30%.  When the true 100-day TRM incidence is 30%, on 
average, the Data and Safety Monitoring Board will be consulted 19.3 months after opening, 
when 4.9 events have been observed in 16.1 patients undergoing related donor transplants with 
100 days follow-up.   
 

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5-5 
Unrelated Donor Transplant Recipients 
Treatment-related mortality in this subgroup is anticipated to be <= 15% at 100 days. The 
stopping rule for treatment-related mortality in this subgroup will be triggered if there is 
significant evidence that the 100 day treatment-related mortality rate is more than 15% based on 
the truncated SPRT.  This truncated SPRT is based on contrasting 15% versus 30% 100 day 
mortality, with nominal type I and II errors of 10% and 10%, respectively.  The common slope of 
the decision boundaries is 0.219 and the intercept for the upper boundary is 2.476. The stopping 
rule is summarized in Table 5.3c.  If this stopping rule is triggered, the DSMB will be notified to 
consider closure of accrual to patients receiving unrelated donor transplants. 
 
 
TABLE 5.3c: STOPPING BOUNDARIES FOR 100-DAY TRM AMONG PATIENTS 
RECEIVING UNRELATED DONOR TRANSPLANTS* 
 
Number of 
Patients Enrolled, 
n 
Stopping 
Boundary,  
x 
Number of 
Patients Enrolled, 
n 
Stopping 
Boundary,  
x 
4-6 
4 
17-20 
7 
7-11 
5 
21-25 
8 
12-16 
6 
26-29 
9 
* Stopping rule is triggered if >=x patients out of n enrolled experience TRM. 
 
The actual operating characteristics of the stopping guideline, shown in Table 5.3d, were 
determined in a simulation study that assumed uniform accrual of 30 individuals undergoing 
unrelated donor transplants over a three-year time period.   
 
 
TABLE 5.3d: OPERATING CHARACTERISTICS OF SEQUENTIAL TESTING 
PROCEDURE FOR TRM AMONG PATIENTS RECEIVING UNRELATED DONOR 
TRANSPLANTS, FROM A SIMULATION STUDY WITH 10,000 REPLICATIONS 
 
Treatment-Related Mortality 
True 100-Day Rate 
15% 
25% 
30% 
35% 
Probability Reject Null 
0.050 
0.378 
0.606 
0.789 
Mean Month Stopped 
38.5 
33.0 
28.8 
24.3 
Mean # Endpoints in 100 Days 
4.4 
6.2 
6.4 
6.3 
Mean # Patients with 100 Days Follow-up 
29.3 
25.0 
21.4 
17.9 
 
The testing procedure for TRM among unrelated donor transplant recipients rejects the null 
hypothesis in favor of the alternative 5% of the time when the true 100-day incidence is 15%, 
and 79% of the time when the rate is 35%.  When the true 100-day TRM incidence for this 
subgroup is 35%, on average, the Data and Safety Monitoring Board will be consulted 24.3 

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5-6 
months after opening, when 6.3 events have been observed in 17.9 patients undergoing unrelated 
donor transplants with 100 days follow-up.   
 
5.4. 
Demographic and Baseline Characteristics 
 
Demographics and baseline characteristics will be summarized for all patients.  Characteristics to 
be examined are: age, gender, race/ethnicity, performance status, HLA match, disease stage, 
number of prior regimens. 
 
5.5. 
Analysis Plan 
 
5.5.1. Analysis of Primary Endpoint 
 
The primary analysis will consist of estimating the 2 year PFS probability based on the Kaplan-
Meier product limit estimator.  The 2 year PFS probability and confidence interval will be 
calculated.  All patients receiving the first dose of Rituximab as part of the conditioning regimen 
on Day -13 will be included in this analysis, based on an intention to treat. 
 
5.5.2. Analysis of Secondary Endpoints 
 Progression/ Relapse: To assess the incidence of progression/relapse from day of 
transplant, a cumulative incidence curve will be computed along with a 95% confidence 
interval.  Death prior to progression/relapse will be considered as a competing risk.   
 Acute GVHD: We will assess the incidence of grades II-IV and grades III-IV acute 
GVHD from day of transplant.  The first day of acute GVHD onset at a certain grade will 
be used to calculate a cumulative incidence curve for that acute GVHD grade.  An overall 
cumulative incidence curve will be computed along with a 95% confidence interval at 
100 days post-transplant with death considered as a competing risk. 
 First Clinical Onset of Chronic GVHD: To assess the incidence and severity of chronic 
GVHD from day of transplant, a cumulative incidence curve will be computed along with 
a 95% confidence interval at two years post-transplant.  Death prior to occurrence of 
chronic GVHD will be considered as a competing risk. 
 Treatment-Related Mortality (TRM): TRM is death occurring in patients in continuous 
complete remission.  A cumulative incidence curve will be computed along with a 95% 
confidence interval.  Progression/relapse will be considered as a competing risk.   
 Overall Survival: The survival distribution will be estimated by the Kaplan-Meier curve.  
All patients will be followed for a minimum of two years post-transplant for mortality. 
 Complete Response/Partial Response: The frequencies and proportions of patients who 
have a CR/PR will be described with confidence intervals at each evaluation time.   
 Incidence of Off Study Therapy:  The cumulative incidence of use of off-study therapy 
will be calculated with 95% confidence intervals at each evaluation time.  Death prior to 
use of off-study therapy will be considered the competing risk.   

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5-7 
 Quality of Life (SF-36):  Mean QOL scores and confidence intervals will be computed 
at each time point.  A paired student t test will be used to look for differences in mean 
scores between baseline and 2 years after the HCT.  To determine the magnitude of 
differences, standardized effect sizes (or z-scores) will be calculated.  This will be done 
by taking the difference between the mean domain scores of the baseline score and the 
follow-up scores and dividing by the standard deviation of the baseline.  Domain scores 
will also be compared between baseline and 2 years post-HSCT with a Bonferroni 
correction for multiple testing.  In addition, mixed models for repeated measures data will 
be used to assess whether QOL is changing significantly over each time point among 
survivors. 
 Primary and Secondary Graft Failure:  The frequency and proportion of patients 
experiencing primary graft failure by Day 30, and the proportion of patients who have 
engrafted who subsequently experience secondary graft failure will be described with 
95% confidence intervals.   
 Correlation of Rituximab levels with development of acute GVHD, chronic GVHD, 
relapse, and immune recovery:  Cox regression models will be fit to each outcome data, 
using time-dependent covariates to examine the effect of rituximab levels. 
 Infections:  Microbiologically documented infections will be reported by site of disease, 
date of onset, severity, and resolution, if any.  This data will be captured via an event-
driven case report form and will be collected from Day 0 until two years post-transplant.  
The incidence of definite and probably viral, fungal and bacterial infections will be 
tabulated for each patient according to the BMT CTN Manual of Procedures.   
 Toxicities:  Toxicities that occur over the course of time will be tabulated. 
 
Grade ≥ 3 toxicities will be tabulated for each patient at set intervals over the course of 
the study.  The proportion of patients developing toxicity will be described. 
 Immunologic Reconstitution:  Immune reconstitution assays, which will include CD3, 
CD4, CD8, CD19, CD20, CD56, and quantitative immunoglobulins (IgM, IgG and IgA), 
will be performed at baseline, 3 months, 6 months, and 1 year post-transplant.  This will 
also be assessed at 2 years post-transplant, if the 1 year assessment is abnormal. These 
will be summarized at each time point using descriptive statistics. 
 
5.5.3. Safety Analysis 
 
The reporting of serious adverse events will be consistent with standard BMT CTN procedures.  
The type and severity of adverse events will be analyzed. 
 
 

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APPENDIX A 
 
HUMAN SUBJECTS 
 

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A-1 
APPENDIX A 
 
HUMAN SUBJECTS 
 
 
1. Subject Consent 
 
A conference will be held with the patient and family to discuss this study and alternative 
treatments available for the treatment of the underlying disease.  The Principal Investigator or 
another designated physician will conduct the conference.  All potential risks associated with the 
use of rituximab, cyclophosphamide, and immunosuppressive drugs should be discussed as 
objectively as possible.  It should be explained that patients offered this protocol have advanced 
FL with life expectancy of no more than several years with conventional treatments.  
Furthermore, if should be explained that the patient would be likely to benefit in terms of disease 
control and prolongation of survival from an autologous transplant alone, but would likely 
relapse from the disease.  In addition, the risk of allogeneic transplant for FL should be 
described. 
 
The consent document should be reviewed with the patient and family prior to proceeding to 
non-myeloablative HSCT. 
 
Donor consent will be per institutional standards.  At a minimum, the procedure for collecting 
hematopoietic stem cells and toxicities of G-CSF will be explained to the donor.  The donor 
should be counseled as to the risks of treatment with G-CSF and be informed that leukapheresis 
at several time points may be necessary. 
 
Informed consent from the patient will be obtained using a form approved by the Institutional 
Review Board of the institution enrolling the patient.  Informed consent from the donor will be 
obtained using the standard NMDP donor informed consent form. 
 
2. Confidentiality 
 
Confidentiality will be maintained by individual names being masked and assigned a patient 
identifier code.  The code relaying the patient’s identity with the ID code will be kept separately 
at the center.  The ID code will be transmitted to the BMT CTN Data and Coordinating Center 
upon enrollment. 
 
3. Participation of Women and Minorities and Other Populations 
 
Women and ethnic minorities and other populations will be included in this study.  Accrual of 
women and minorities at each center will be monitored to determine whether their rates of 
enrollment are reflective of the distribution of potentially eligible women and minorities 
expected from data reported to the CIBMTR and from published data on incidence of DLCL in 
these groups.  Centers will be notified if their rates differ significantly from those expected and 
asked to develop appropriate recruitment strategies. 
 

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APPENDIX B 
 
INFORMED CONSENT FORM 
 

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B-1 
 
Informed Consent to Participate in Research 
 
 
 
 
 
DRAFT 
 
 
 
 
Please read this form carefully.  If there are words or part of this document that you do not 
understand, you should ask the research doctor or staff to explain any information that is not 
clear to you before making a decision whether to participate.  Your participation is entirely 
voluntary. You may choose not to participate and you may withdraw at any time.  
 
The Principal Investigator (the person in charge of this research) or a representative of the 
Principal Investigator will also describe this study to you and answer all or your questions. 
Please ask questions about anything that you do not understand.  
 
 
If you are a parent or guardian of a patient younger than 18 years old and have been asked to 
read and sign this form, the “you” in this document refers to the patient. 
 
This is a consent form for a research study.  This form is to help you decide if you want to 
participate in this study.   
 
The consent form describes a study for patients with follicular lymphoma who have entered 
remission from treatment with conventional chemotherapy but the lymphoma has now returned 
or started growing again.  Follicular lymphoma is not curable with standard chemotherapy.   
 
The purpose of this study is to see if this type of transplant called a non-myeloablative transplant 
can improve your chances of a long-term remission.  Both your donor’s immune system and the 
chemotherapy drugs that you receive as part of the transplant will be used against your 
lymphoma. 
 
This study will give more information to doctors about future treatment choices.  In addition: 
 You will not be paid to be in this study.   
 You or your insurance company will pay for all medical bills for your treatment. 
 You will not be charged for research tests. 
 You will also face the same risks and benefits as any other transplant patient. 
 

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B-2 
Before you decide to join the study, please read the information below.  Feel free to ask 
questions to understand your rights.  It is your choice to take part in this study.  You and your 
doctor will discuss other treatment options if you decide not to be in this study. 
 
1. 
Name of the Subject (“Study Subject”) 
 
 
2. 
Title of Research Study 
 
A Phase II Trial of Non-Myeloablative Allogeneic Hematopoietic Cell Transplantation for 
Patients with Relapsed Follicular Non-Hodgkin’s Lymphoma Beyond First Complete Response  
 
 
3a. 
Principal Investigator Contact Information 
 
Insert name, affiliation and contact information. 
 
 
3b. 
Contact Information for Emergencies After Hours or on Weekends or Holidays 
 
Call (xxx) xxx-xxxx, the in-patient Bone Marrow Transplant Unit.  Ask to speak to the Charge Nurse.  
 
 
4. 
Sponsors and Source of Funding or Other Material Support 
 
The research in this study is paid for by the National Institutes of Health (NIH).  The Blood and 
Marrow Transplant Clinical Trials Network (BMT CTN) will direct the research study. 
 
Rituximab was donated by Genentech.  Genentech also gave some financial support to help pay 
the costs of this study.  Genentech did not plan or design this study, nor will it have a part in 
analyzing the results of this study. 
 
 
5. 
Study Purpose  
 
A conventional allogeneic stem cell transplant is where the patient receives high doses of 
chemotherapy followed by an infusion of blood stem cells donated by a sibling (brother or sister) 
or unrelated donor who has the same tissue type (genetically matched).  The blood stem cells 
would rescue your bone marrow from the toxic effects of chemotherapy.  However, because the 
stem cells come from a healthy donor, these blood stem cells also replace your immune system 
with the donor’s immune system.  This new immune system also helps fight your lymphoma.  
This effect of an allogeneic stem cell transplant (SCT) is called a graft-versus-tumor effect.  An 
allogeneic peripheral blood SCT is when a donor’s stem cells are collected from his/her blood 
and then given to you after you receive chemotherapy, also known as conditioning therapy.  In 
some cases the donor stem cells may be frozen before given to you.  Unfortunately, the 

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B-3 
traditional type of allogeneic SCT that uses high doses of chemotherapy and radiation can have 
many serious side effects and a high-risk of treatment-related death.  
 
The inability of many lymphoma patients to tolerate a traditional allogeneic SCT may relate to 
combining the toxic effects of high-dose therapy and the immune effects of the allogeneic SCT.  
Recent studies have shown that a less toxic type of allogeneic SCT, called a non-myeloablative 
SCT (also sometimes called a mini transplant or reduced intensity transplant), can more safely be 
carried out.  This lower intensity transplant appears to still control lymphoma.  In this study, you 
will receive this type of transplant and receive lower doses of chemotherapy compared to the 
doses used in a conventional allogeneic SCT.  
 
The purpose of this study is to determine how effective this non-myeloablative transplant will 
control and possibly cure your lymphoma.  Non-myeloablative SCT has been shown to control 
your kind of lymphoma.  
 
 
6. 
How many people will take part in the study? 
 
As many as 65 patients will take part in this study at different hospitals in the United States.  
 
 
7. 
Study Plan 
 
Allogeneic stem cell transplant uses blood stem cells from a brother or sister donor or a matched 
unrelated donor for the transplant.   
 Non-myeloablative SCT uses lower amounts of chemotherapy and radiation than what is 
used in standard allogeneic transplants.   
 After the chemotherapy, the stem cells from your donor will be given to you. 
 Your immune system will be replaced by the donor’s immune system. 
 A non-myeloablative SCT depends on the donor’s immune system to destroy the lymphoma 
cells in your body. 
 
Rituximab Therapy 
You also will receive 4 doses of a drug called rituximab.  Rituximab is a drug that is not 
considered chemotherapy but is called a monoclonal antibody.  This drug works by attacking 
only the B cells in your body.  B cells are a type of white blood cell in your blood; bone marrow 
and lymph nodes that normally help fight infection.  However, in patients with follicular 
lymphoma, it is the B cells that become malignant (cancerous) and become lymphoma cells.  
Rituximab is already commonly used either alone or together with chemotherapy for patients 
with follicular lymphoma and other types of lymphoma. 
 
You will have blood samples drawn to study the actions of Rituximab in your body.  You will 
have 3-5 mL (about 1 teaspoon) of blood drawn on 5 different days (total of up to 25 mL).  The 
first sample will be taken before the transplant.  The remaining samples will be taken after the 

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transplant at 4 weeks, 3 months, 6 months and 1 year.  This blood will be drawn from an existing 
central venous catheter or a temporary peripheral venous catheter. 
 
 
8. 
Procedures and Tests  
 
If you agree to participate in this study, your transplant process will include many steps to: 
 Evaluate your health. 
 Determine if you have a matched brother or sister donor. 
 Prepare your body for a stem cell transplant. 
 Receive your stem cell transplant. 
 Help your body recover after transplant. 
 Measure your health and well being over two years after your transplant. 
 Measure your quality of life using surveys before your transplant and two years after your 
transplant. 
 
If you have a matched brother or sister donor, they will also have a health evaluation, their cells 
collected for transplant and sign a consent for the study. 
 
If your donor is an unrelated donor, that person will also have the same health evaluation as 
mentioned above with a sibling donor.  
 
If you have a genetically (HLA) matched brother or sister or a matched unrelated donor, you will 
have a non-myeloablative allogeneic SCT.  Your brother or sister or unrelated donor must be 
willing and able to donate blood stem cells for your transplant.   
 
You will start the conditioning regimen also known as the preparative regimen.  This is done 
to prepare your body for transplant.  The schedule of the preparative regimen is provided in 
Table 1 if your donor is related to you or in Table 2 if your donor is unrelated to you. 
 
Your doctor will use a combination of three drugs given through your veins: 
 Rituximab – to lower the number of lymphoma cells, and 
 Cyclophosphamide – also to lower the number of lymphoma cells and lower the chance of 
donor stem cell rejection, and 
 Fludarabine – to lower the chance of donor stem cell rejection. 
 
The purpose of using these drugs with chemotherapy is to weaken your immune system and lower 
the chance that your body will reject the donated stem cells and to reduce the amount of lymphoma 
in your body. 
 
You will receive two more drugs during this process to lower the chance of rejecting the donor cells 
and to lower the chance of developing serious graft-versus-host disease: 
 Tacrolimus 

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 Methotrexate 
 
Graft-versus-host disease (GVHD) is a condition where the donated stem cells attack your skin, 
liver, intestines and other organs.  There is about a 50-60% chance that GVHD will happen after a 
non-myeloablative allogeneic transplant, but in most cases it is a mild form of GVHD.  GVHD can 
be both helpful and harmful.  Mild GVHD may protect against the return of your lymphoma, by 
attacking the cancer cells.  There is approximately a 10-15% chance that serious GVHD may cause 
organ damage or even death. 
 
Tacrolimus can be taken as a pill or by injection into your vein.  Your doctor will decide how you 
will take it.  You will need to take the tacrolimus for at least 6 months.  You may need to take it 
longer if you develop graft-versus-host disease.  Methotrexate will be given through your vein for 3 
doses on the first, third and sixth day after your transplant if your donor is your brother or sister. 
 
If your donor is a matched unrelated donor, you will receive a 4th dose of methotrexate on the 
11th day after transplant to decrease the risk of graft-versus-host disease.  
 
 
TABLE 1:  CONDITIONING SCHEDULE FOR NON-MYELOABLATIVE SCT  
FOR PATIENTS WITH A  
MATCHED BROTHER OR SISTER DONOR 
 
 
Days BEFORE Transplant 
 
  -13 
  -6 
  -5 
  -4 
  -3 
  -2 
   -1 
0* 
Fludarabine  
 
 
 
 
 
 
 
 
Cyclophosphamide 
 
 
 
 
 
 
 
 
Rituximab  
 
 
 
 
 
 
 
 
Tacrolimus 
 
 
 
 
 
 
 
daily 
Transplant 
 
 
 
 
 
 
 
 
* You will have your transplant on “Day Zero (0).” 
 
 
 
Days AFTER Transplant 
 
1 
2 
3 
4 
5 
6 
7 
8 
Rituximab  
 
 
 
 
 
 
 
 
Tacrolimus** 
 
 
 
 
 
 
 
 
Methotrexate 
 
 
 
 
 
 
 
 
** Tacrolimus will be given daily for at least 6 months or longer if GVHD occurs 

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TABLE 2:  CONDITIONING SCHEDULE FOR NON-MYELOABLATIVE SCT  
FOR PATIENTS WITH A  
MATCHED UNRELATED DONOR 
 
 
Days BEFORE Transplant 
 
  -13 
  -6 
  -5 
  -4 
  -3 
  -2 
   -1 
0* 
Fludarabine  
 
 
 
 
 
 
 
 
Cyclophosphamide 
 
 
 
 
 
 
 
 
Rituximab  
 
 
 
 
 
 
 
 
Tacrolimus 
 
 
 
 
 
 
 
daily 
Transplant 
 
 
 
 
 
 
 
 
* You will have your transplant on “Day Zero (0).” 
 
 
 
Days AFTER Transplant 
 
1 
2 
3 
4 
5 
6 
7 
  8         11 
Rituximab  
 
 
 
 
 
 
 
  
Tacrolimus** 
 
 
 
 
 
 
 
          
Methotrexate 
 
 
 
 
 
 
 
            1 
** Tacrolimus will be given daily for at least 6 months or longer if GVHD occurs 
1 This 4th dose of methotrexate is given if your donor is an unrelated donor.  
 
 
9. How long will I be in the study? 
 
You will be in the study for up to two years.  Follow-up for transplant will last as long as you 
require care.   
 
 
10. What are risks of this research study?  
 
You will face risks from the transplant itself, and from treatments given before and after the 
transplant.  Your doctor thinks these risks are less than the risk that you will die from your 
cancer if it is not treated.  
 
Your heart, lungs, liver, bladder, kidneys, brain or other organs may be damaged by the 
chemotherapy or by other drugs given to you after the transplant.  Rarely, the damage to your 
organs may be permanent. 

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Your risk of infection is also increased when undergoing a stem cell transplant.  This is due to 
the chemotherapy that weakens your immune system.  Potential infection can be caused by either 
a bacteria, virus or a fungal organism.  Your doctors will monitor you closely for any sign of 
infection, especially fevers.  
 
There is a risk that your donor’s stem cells may not grow after being given to you.  This is called 
graft failure.  If graft failure occurs, this may result in low blood counts for a long period of time.   
 
Graft failure can be fatal unless you have a second transplant.  
 
Refer to the Appendix for additional risks and toxicities. 
 
 
11. 
What other choices are there if I do not take part in this study? 
 
Participation in this study is entirely voluntary.  You are free to refuse to be in the study, and 
your refusal will not affect current or future health care you receive at this institution.  You and 
your doctor will discuss any other treatment options available to you including: 
 Treatment with other drugs or combination of drugs.  
 A standard stem cell transplant. 
 No therapy directed against your lymphoma at this time, with care to help you feel more 
comfortable. 
 
 
12. 
Are there benefits to taking part in this research study? 
 
You may receive no direct benefits from this study.  You may or may not benefit from the 
scheduled medical assessments required for this study, and extra support from personnel working 
for this study. 
 
You may be helping other patients get better treatment in the future.  A total of 65 patients 
nationwide will be enrolled on this study.  If any new information regarding unexpected side 
effects are seen in any of the other patients enrolled, you will be informed as soon as possible.  
 
 
13. 
What will be done with my blood sample? 
 
A sample (4 teaspoons) of your blood will be collected pre-transplant and stored and used only for 
research purposes.  Usually this blood sample can be collected from you at the time of routine blood 
collections.  If this is not possible, then it would be drawn directly from your central venous 
catheter. 
 
Your confidentiality will be maintained because no identifying markers (name, etc.) will remain 
with the sample. 

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If you agree to allow your blood to be kept for research, you are free to change your mind at any 
time.  We ask that you contact {Principal Investigator} in writing and let him know you are 
withdrawing your permission for your blood to be used for research.  His mailing address is on the 
first page of this form.  Any unused blood will be destroyed.  
 
We will do our best to make sure that your personal information will be kept private and secure.  
The chance that this information will be given to someone else is very small.  
 
DNA from your stored blood and tissue samples and your health information might be used in 
genome-wide association (GWA) studies for a future project either done or supported by the 
National Institutes of Health (NIH).   
 
Genome-wide association studies are a way for scientists to identify genes involved in human 
disease.  This method searches the genome for small genetic changes that are more common in 
people with a particular disease than in people without the disease.  Each study can look at 
hundreds of thousands of genetic changes at the same time.  Researchers use data from this type 
of study to find genes that may add to a person’s risk of developing a certain disease. 
 
If your coded genetic and clinical information is used in such a study, the researcher is required 
to add the DNA test results and non-identifying information into a public research database.  
This public database is called the NIH Genotype and Phenotype Database and it is managed by 
the National Center for Biotechnology Information (NCBI).  The NCBI will never have any 
information that would identify you, or link you to your information or research samples.  
 
You are free not to take part in this additional future research.  There will be absolutely no change in 
your care as a result of your refusal to give these additional samples.  Please indicate your choice(s) 
below:  
 
 No, I do not agree to have a blood sample drawn for future research. 
 Yes, I agree to have blood drawn for future research.  
 
 
__________________________________ 
 
 
 
________________________ 
Signature 
 
 
 
 
 
 
 
Date 
 
 
14. 
What are the costs? 
 
You and/or your insurance company will pay all medical expenses relating to, or arising from 
stem cell transplantation.  Research tests will not be charged to you.  
 

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For questions about your costs, financial responsibilities, and/or medical insurance coverage for 
your transplant and this study, please contact /Center/ Financial Counselor at /Number/. 
 
 
15. 
Will I be paid to take part in this research study? 
 
No. 
 
 
16. 
What will happen if I am sick or hurt because of this study? 
 
If you are injured or become ill while taking part in this study, medical care will be provided at 
this center.  No funds have been set aside to pay you if you are injured.  You or your insurance 
company will be charged for ongoing medical care and/or hospitalization. 
 
Contact your doctor or one of the people listed at the start of this form if you are concerned about 
a research-related injury. 
 
 
17. 
Can I change my mind about taking part in this research study? 
 
You may decide to quit this study at any time, for any reason, without notice.  However, if you 
quit after you have had some or all of the treatment but before your transplant, then your blood 
counts may not return and you could die. 
 
If you decide to quit, we ask that you tell [the Principal Investigator] in writing (his/her address 
is on the front page of this form).  If you do take back your consent, there will be no penalty and 
you will not lose anything you are entitled to and will continue to receive medical care. 
 
If you have any questions about your rights as a study subject, you may phone the Institutional 
Review Board (IRB) office at /number/. 
 
 
18. 
Can my information still be collected and used if I leave the research study? 
 
If you quit the study, we ask that you let us continue using all information that was already 
collected.  We also ask that you let your doctor continue to tell us about your progress until 5 
years after your transplant.  You may say no at any time. 
 
 
19. 
Can the Principal Investigator remove me from this research study? 
 
You can be taken off the study (with or without your consent) for any of these reasons: 
 Staying in the study would be harmful to you. 
 You need treatment not allowed in this study. 

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 You do not follow directions. 
 The FDA or study sponsors cancel the study.  
 
 
20. 
How will my information be kept private? 
 
The centers and doctors in charge of this study will keep your personal information as private as 
possible.  They will do their best to see that it is shared only when required by state or federal 
law or the terms of this consent.  It is impossible to promise total privacy.   
 
In addition to following state and federal law, the organizations listed below may read or copy 
your records to make sure the study information is correct.  Your research and medical records 
will have your name on them.  They will include things such as your medical history, results of 
your blood tests and exams, as well as reports about your treatment and office visits.  We will do 
all we can to keep your medical records private.  Your name will not be used in any report of 
study results. 
 
In order to understand the results of the study, people from the /Center Name/ and the Blood and 
Marrow Transplant Clinical Trials Network (BMT CTN) Data and Coordinating Center (DCC) 
will need to see medical records with your name on them.  These people include: 
 Doctors in the study, 
 Transplant center committees, 
 People (who are not doctors) who check the safety and progress of studies, 
 Members of the Institutional Review Board (this committee safe-guards the rights of 
persons taking part in research), and 
 People from the government (the National Institutes of Health and the Food and Drug 
Administration) might also need to see medical records with your name on them. 
 
Your research and medical records may be shown to these organizations:  
 /Institution/ 
 The National Institutes of Health (NIH) 
 Office of Human Research Protection (OHRP) 
 The Food and Drug Administration (FDA)  
 Institutional Review Board (IRB) 
 Data and Safety Monitoring Board (DSMB), not part of /Institution/ 
 Blood and Marrow Transplant Clinical Trials Network (BMT CTN) Data and Coordinating 
Center (DCC), including the Center for International Blood and Marrow Transplant 
Research (CIBMTR), the National Marrow Donor Program (NMDP) and the EMMES 
Corporation  
 The Cancer Trials Support Unit (CTSU), a service sponsored by the National Cancer 
Institute (NCI) to provide greater access to cancer trials. 

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 The NCI-sponsored Cooperative Groups that enroll patients on this trial through the 
CTSU 
 
For questions about access to your medical records, please contact /name / at/number/. 
 
 
21. 
How long do you keep my information? 
 
Study records will be kept indefinitely by the transplant center for re-analysis and follow-up. 
 
If you have questions about the keeping of your research records or access to your files, please 
call /name/at /number/. 
 
 
22. 
How will the researcher(s) benefit from your being in this study? 
 
The researchers have no money invested in this study.  But, in general, presenting research 
results helps the career of a scientist.  Therefore, the Principal Investigator may benefit if the 
results of this study are presented at scientific meetings or in the scientific press.  In addition, the 
Principal Investigator is being paid a small amount to cover the cost of performing the study at 
their Center. 
 
 
23. 
HIPAA1 authorization to use and disclose individual health information for research 
purposes 
 
a. Purpose:  As a research participant, I authorize the Principal Investigator and the 
researcher’s staff to use and disclose my individual health information for the purpose of 
conducting the research study entitled Phase II Trial of Non-Myeloablative Allogeneic 
Hematopoietic Cell Transplantation for Patients with Relapsed Follicular Non-
Hodgkin’s Lymphoma Beyond First Complete Response. 
 
b. Individual Health Information to be Used or Disclosed: My individual health information 
that may be used or disclosed to conduct this research includes: demographic information 
(e.g., age, date of birth, sex, weight), medical history (e.g., diagnosis, complications with 
prior treatment), physical examination findings, and laboratory test results obtained at the 
time of work up and after transplantation (e.g., CT scan, blood tests, biopsy results).  
 
c. Parties Who May Disclose My Individual Health Information:  The researcher and the 
researcher’s staff may obtain my individual health information from: 
(list hospitals, clinics or providers from which health care information can be requested) 
 
                                                   
1 HIPAA is the Health Insurance Portability and Accountability Act of 1996, a federal law related to privacy of 
health information 

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____________________________________________________________________________________ 
 
______________________________________________________________________ 
 
______________________________________________________________________ 
 
 
d. Parties Who May Receive or Use My Individual Health Information: The individual 
health information disclosed by parties listed in item c and information disclosed by me 
during the course of the research may be received and used by the following parties: 
 Principal Investigator and the researcher’s staff 
 Dr. Ginna Laport Study Chairperson, and staff/laboratories at Stanford Hospitals and 
Clinics 
 Staff/laboratories identified in the protocol for the evaluation of other laboratory 
samples; e.g., TBD for quantitative PCR testing and Covance Laboratories, Inc. for 
measurement of rituximab blood levels. 
 National Heart, Lung, and Blood Institute (NHLBI) and the National Cancer Institute 
(NCI), both of the National Institutes of Health (NIH), study sponsors  
 Blood and Marrow Transplant Clinical Trials Network (BMT CTN), data and 
coordinating center, including the Center for International Blood and Marrow 
Transplant Research (CIBMTR), the National Marrow Donor Program (NMDP) and 
the EMMES Corporation  
 U.S. government agencies that are responsible for overseeing research such as the 
Food and Drug Administration (FDA) and the Office of Human Research Protections 
(OHRP) 
 U.S. government agencies that are responsible for overseeing public health concerns 
such as the Centers for Disease Control (CDC) and federal, state and local health 
departments. 
 
e. Right to Refuse to Sign this Authorization: I do not have to sign this Authorization.  If I 
decide not to sign the Authorization, I will not be allowed to participate in this study or 
receive any research-related treatment that is provided through the study.  However, my 
decision not to sign this authorization will not affect any other treatment, payment, or 
enrollment in health plans or eligibility for benefits.   
 
f. Right to Revoke:  I can change my mind and withdraw this authorization at any time by 
sending a written notice to the Principal Investigator to inform the researcher of my 
decision.  If I withdraw this authorization, the researcher may only use and disclose the 
protected health information already collected for this research study.  No further health 
information about me will be collected by or disclosed to the researcher for this study. 
 

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g. Potential for Re-disclosure: My individual health information disclosed under this 
authorization may be subject to re-disclosure outside the research study and no longer 
protected.  Examples include potential disclosures for law enforcement purposes, 
mandated reporting or abuse or neglect, judicial proceedings, health oversight activities 
and public health measures. 
 
h. This authorization does not have an expiration date. 
 
 
24. 
Further Information 
 
If you have further questions concerning this study at any time, you are free to ask your 
physician whose contact information is available on the cover page of this consent form. 
 
If you have questions regarding your rights as a research participant, you may also contact a 
representative of the IRB at (XXX) XXX-XXXX. 
 
Dr./Ms./Mr. ___________________________ has explained the above matters to you and you 
understand that explanation.  She/he has offered to answer your questions concerning the 
procedures involved in this study.  You understand the purpose of this treatment as well as the 
potential benefits and risks that are involved.  You have decided to volunteer after reading and 
understanding all the information on this form.  You hereby give your informed and free consent 
to be a participant in this research investigation.  Upon signing this form you will receive a copy. 
 
 
25. 
Signatures 
 
As a representative of this study, I have explained to the participant the purpose, the procedures, 
the possible benefits, and the risks of this research study; the alternatives to being in the study; 
and how privacy will be protected: 
 
 
 ________________________________________  
 _______________________  
Signature of person obtaining consent 
 
 
 
Date 
 
Consenting Adults 
 
The purpose of this study, procedures to be followed, risks and benefits have been explained to 
me.  I have been allowed to ask the questions I have, and my questions have been answered to 
my satisfaction.  I have been told whom to contact if I have additional questions.  I have read this 
consent form and agree to be in this study, with the understanding that I may withdraw at any 
time.  I have been told that I will receive a signed copy of this consent form. 
 

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Adult Consenting for Self.  By signing this form, you voluntarily agree to participate in this study.  
By signing this form, you are not waiving any of your legal rights. 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
Signature of Adult Consenting for Self 
 
 
 
Date 
 
Parent/Adult Legally Representing the Subject.  By signing this form, you voluntarily give your 
permission for the person named below to participate in this study.  You are not waiving any legal 
rights for yourself or the person you are legally representing.  After your signature, please print your 
name and your relationship to the subject. 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
Signature of Parent/Legal Representative 
 
 
 
Date 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Print Name of Legal Representative   
 
 
 
Relationship to 
 
 
 
 
 
 
 
 
 
 Participant 
 
Participants Who Cannot Consent But Can Read and/or Understand about the Study 
 
Although legally you cannot “consent” to be in this study, we need to know if you want to take 
part.  If you decide to take part in this study, and your parent or the person legally responsible for 
you gives permission, you both need to sign.  Signing below means that you agree to take part 
(assent).  The signature of your parent/legal representative above means that he or she gives 
permission (consent) for you to take part. 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
Assent Signature of Participant 
 
 
 
 
Date 
 

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APPENDIX TO PARTICIPANT CONSENT 
 
RISKS AND TOXICITIES RELATED TO A HEMATOPOIETIC CELL TRANSPLANT  
 
There are certain risks related to a blood stem cell transplant.  There are risks from the 
medications and therapy you will receive as part of the conditioning for the transplant and risks 
related to the transplant itself.  Most of these risks and side effects are listed below, but they will 
vary from person to person.  In general, the majority of these side effects are temporary.  In rare 
instances, permanent toxicity may occur. 
 
 
Likely Side Effects  
Less Likely Side Effects  
Rare Side Effects  
What it means: This type of 
side effect may occur in more 
than 20% of patients. This 
means that 21 or more patients 
out of 100 might get this side 
effect. 
What it means: This type of 
side effect may occur in 20% 
of patients or less. This means 
that 20 patients or less out of 
100 might get this side effect. 
What it means: This type of 
side effect does not occur 
very often, but can occur in 
less than 2% of patients. This 
means that 1 or 2 patients out 
of 100 might get this side 
effect. 
 
 
Risks Related to the Transplant Conditioning Regimen 
 
Fludarabine: This medication is used in stem cell transplants to reduce the risk of rejecting the 
donor’s transplanted cells.   
 
Likely Side Effects 
Rare Side Effects  
 Lower white blood cell count with 
increased risk of infection  
 Lower platelet count with increased 
risk of bleeding 
 Anemia (low red blood cell count ) 
 Feeling tired and sleepy 
 Nausea (feeling sick to stomach) 
 Vomiting (throwing up) 
 Diarrhea (loose stools) 
 Feeling short of breath 
 Pneumonia 
 Numbness and tingling of the 
fingertips and toes 
 Difficulty thinking clearly 
 Trouble seeing or problems with your 
eyes  
 Coma 
 

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Rituximab (Rituxan): This medication is used to reduce cancer cells.  Most side effects occur 
during the actual infusion of the drug.  This typically can happen with your very first infusion of 
this drug.  Your doctor or nurse may need to temporarily slow down or stop the drug infusion until 
your symptoms lessen. 
 
Likely Side Effects  
Less Likely Side Effects  
Rare Side Effects  
 Shaking chills  
 Fever  
 Itching 
 Low blood pressure 
 Shortness of breath 
 Rash 
 Nausea/Vomiting 
 Diarrhea 
 Headache 
 Throat irritation 
 Night sweats 
 High blood sugar level 
 Low blood counts 
 Tiredness 
 Pain from areas of 
lymphoma 
 Cardiac arrhythmia 
(abnormal heart rhythm) 
 Chest pain 
 Kidney failure 
 Angioedema (swelling) 
 Angina (chest pain) 
 Progressive Multifocal 
Leukoencephalopathy 
(PML) (fatal viral infection 
of the brain) 
 
Common side effects associated with rituximab include a reaction such as fevers chills or shortness 
of breath during the actual infusion of the drug.  A much less common side effect can be a severe 
allergic reaction called anaphylaxis, which could cause severe shortness of breath, low blood 
pressure or tightness in your throat.  Rituximab can also temporarily cause a low white blood cell 
count and/or weaken your immune system for up to several months after your last dose of 
rituximab, which may increase your risk of infection during that time period.   
 
Cyclophosphamide (Cytoxan): This is a common medication used to treat cancer.  This 
medication kills cancer cells by stopping them from growing.  Cyclophosphamide may cause you 
to have diarrhea (loose stools), nausea (feeling sick to your stomach), vomiting (throwing up), 
short-term hair loss, short-term bladder problems, and, at times, bleeding from the bladder (blood 
in your urine).  A few patients may have bladder damage and bleeding for a longer time.  You 
may be given large amounts of intravenous fluids through your central line to protect your 
bladder.  The central line is placed just prior to receiving the cyclophosphamide (within a few 
days of the first dose).  A bladder catheter (thin plastic tube) may be inserted into your bladder, if 
your physician thinks that it can help you.  Cyclophosphamide slows the making of new blood 
cells.  This causes a risk of infection and/or severe bleeding until the transplanted donor cells 
begin to work in you.  You will get blood transfusions as needed.  Cyclophosphamide also 
lowers your immune (defense) system and as a result you may have more infections.  In a small 
number of patients, cyclophosphamide can damage the heart muscle causing the heart not to 
pump as well (heart failure).  If this occurs you may have shortness of breath and have fluids 
build-up in your body.  Cyclophosphamide can damage the male (testes) or female (ovaries) sex 
glands.  In men, the number of sperm may be reduced.  Women who are still menstruating may 

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have irregular periods or may no longer have any periods.  Whether you are a man or woman, 
this medication may greatly decrease your chances of being able to have a child.  
 
Graft-versus-Host Disease (GVHD) 
After the graft begins to function, there is a further risk of a reaction of the graft against your 
tissues.  This reaction is called GVHD and may cause a skin rash, or abnormalities of the liver, 
or stomach.  GVHD may cause nausea (feeling sick to your stomach), vomiting (throwing up), 
lack of appetite, stomach cramps, diarrhea (loose stools), and bleeding of the gut.  Chronic 
GVHD may occur later after transplantation and may involve problems with the eyes, mouth, 
lips, throat and liver.  Early (acute) or late (chronic) GVHD may become severe enough to result 
in death.  GVHD is treated with drugs that weaken the immune system, and therefore make you 
more susceptible to infections. 
 
Risks Related to the Medications Used to Help Prevent GVHD 
 
NOTE: These drugs also decrease the risk of rejection of the donor cells. 
 
Tacrolimus: This medication is used to try to prevent GVHD.  The immediate side effects you 
may experience include nausea (feeling sick to your stomach) or vomiting (throwing up) when 
the medications are given orally.  Other side effects you may experience include high blood 
pressure (hypertension), shaking of the hands (tremor), increased hair growth and possibly an 
effect on mental function.  If you experience these effects they generally go away when the dose 
of the medication is decreased.  A few patients have had a seizure while taking these 
medications.  You may experience a change of liver or kidney function, in which case the 
medication dose will be reduced or possibly even withheld.  In rare cases, the kidney damage 
caused may require the use of an artificial kidney machine (hemodialysis). 
 
Some patients given tacrolimus develop diabetes and must take insulin while taking tacrolimus. 
 
Methotrexate: This is also a medication used to try to prevent GVHD.  Methotrexate causes 
damage to cells, and therefore can affect many different tissues of your body.  It may cause or 
can worsen the mouth sores or inflammation of the mouth which you may have already 
developed from the procedures and medications used to prepare you for the transplant.  It may 
also cause nausea (feeling sick to your stomach) and vomiting (throwing up).  Methotrexate may 
slow down the recovery of blood cells after transplantation.  Methotrexate can cause kidney 
damage.  If your kidney is already damaged for other reasons, it can worsen kidney function.  If 
kidney damage does occur, the methotrexate dose may be reduced or the mediation may not be 
given at all. 
 
Tacrolimus, Methotrexate, and Steroids: These medications interfere with the body’s defense 
system (the immune system).  This may cause you to have more infections (especially viral 
infections and pneumonia) for several months after transplant. 
 

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B-18 
Risks and Procedures Related to the Transplant Procedure 
 
The following risks are not specifically related to any one drug or the transplanted donor cells, but 
they are risks that are a part of the transplant procedure. The following applies to ALL patients. 
 
Venipuncture:  Although you may require a central venous catheter to donate cells, there may 
be an occasional need to have an intravenous catheter placed in your arm(s) or you may need to 
have blood withdrawn from the veins of your arm(s).  Drawing blood from the arm may be 
associated with bleeding into the skin and may very rarely result in an infection. 
 
Central Venous Catheter: A central venous catheter is a flexible sterile tube that can be placed 
into a large vein either under the collar bone or in your groin area so that blood can be 
withdrawn.  This tube is placed under local anesthesia and will be placed just prior to receiving 
the cyclophosphamide/rituximab that is given during the cytoreduction process.  Complications 
include blood clots and infection.  Clotting may necessitate removal of the catheter or treatment 
of the clot by injecting a medicine that dissolves blood clots.  If you develop an infection, you 
will require treatment with antibiotics.  If the catheter is placed under the collarbone, other 
uncommon side effects may include swelling of the face and arm and/or lung collapse.  If the 
lung collapses, it may be necessary to place a tube between the ribs to allow the lung to re-
expand. 
 
Bleeding: Platelets help your blood to clot.  Your platelets will be low until the new bone 
marrow grows and, as a result, bleeding may occur.  This can be minor bleeding, such as 
nosebleeds or bruising, but more serious, life-threatening bleeding in the lungs, brain and other 
organs can occur if the platelet count remains low.  Usually, there is success in preventing major 
bleeding problems with transfusions of platelets.  However, some patients may not respond well 
to transfused platelets and may be at serious risk for bleeding.  
 
Mouth Sores and Diarrhea: The chemotherapy causes irritation in the lining of the mouth and 
intestines.  This can result in painful mouth sores and diarrhea and you may need medication to 
help control the pain.  If your mouth sores are severe you may not be able to eat normally until 
the sores are healed.  Mouth sores get better when the white blood count starts to rise. 
 
Capillary Leak Syndrome:  This may occur as a result of chemotherapy and radiation therapy. 
The blood vessels may become ‘leaky’ and fluid enters the abdominal cavity, lungs, and other 
tissues.  You may gain water weight and not go to the bathroom as often as you normally do. 
Capillary leak syndrome can be difficult to manage if extra fluid enters the lungs and causes 
difficulty breathing.  You may die if there is continued fluid collection in the lungs.  
 
Unexpected Organ Damage and Other Side Effects:  Although your major organs function 
well, it is possible you may experience unexpected, life-threatening heart, lung, kidney, or liver 
damage as a result of the transplant.  Occasionally, the high doses of chemotherapy cause severe 
lung damage that cannot always be treated. If this happens, you may need to use oxygen or even 
a respirator.  The lung damage can be life threatening.  Rarely, multi-organ failure (such as lung 
and kidney failure) may occur, which is often fatal.   
 

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B-19 
Late Effects:  You may experience side effects that occur several months to many years after 
your transplant.  You may experience poor function of the thyroid gland, requiring you to take 
thyroid medication.  It is rare, but your kidneys could be affected, causing anemia or high blood 
pressure.  There is also a risk you may develop a second cancer including leukemia as a result of 
the chemotherapy, and/or your lymphoma.  If secondary cancers occur they generally do not 
occur until 10 to 15 years after the transplant but can occur sometimes within five years after 
transplant.  The long-term effects upon heart, lung, and brain are unknown.  
 
Fluid Build-up: You will receive intravenous fluids during the transplant process and you may 
have difficulty eliminating this fluid.  Furosemide is a drug that is often given to help eliminate 
this excess fluid.  This drug may cause hearing loss and loss of body chemicals such as 
potassium and sodium. 
 
Risk to the Unborn 
 
The treatment that you are undertaking has not been proven to be safe at any stage of pregnancy.  
Therefore, if you are pregnant or nursing, you are not eligible for this study.  Women who have 
the potential of becoming pregnant must use some form of effective birth control.   
 
Sterility and Future Childbearing Potential for Men and Women 
 
Chemotherapy may cause lasting effects on the reproductive potential of both men and women 
treated in this manner.  It should be emphasized that your cancer treatment/therapy may cause 
your menstrual periods to become irregular or cease altogether.  However, this DOES NOT 
MEAN THAT YOU CANNOT BECOME PREGNANT, and you must use birth control.  It is 
important that both men and women use birth control while on this study. 
 
Risks Related to the Infusion of Peripheral Blood Stem Cells  
 
The stem cell infusion is given similar to a blood transfusion.  The infusion of stem cells usually 
has few side effects.  Rarely the infusion may cause a headache, chest pain or trouble breathing, 
a slight fever, or blood in the urine.  You will be given pre-medications just prior to the infusion 
to decrease the risk of a reaction.  Common, less serious reactions for patients include mild 
wheezing, mild shortness of breath, back or chest pain or lightheadedness.  In rare instances, a 
severe allergic reaction can occur called anaphylaxis, which could cause a drop in blood pressure 
or extreme difficulty in breathing.  You will be monitored very closely.  
 
 

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APPENDIX C 
 
LABORATORY PROCEDURES 

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C-1 
APPENDIX C 
 
LABORATORY PROCEDURES 
 
 
1. 
HLA TYPING 
 
HLA typing will be performed for all patients and donors in American Society of 
Histocompatibility and Immunogenetics (ASHI)-approved laboratories designated by the 
transplant centers.  Minimum HLA typing for related donors must be performed by DNA 
methods for HLA-A and -B at intermediate resolution and DRB1 at high resolution.  Minimum 
HLA typing for unrelated donors must be performed by DNA methods for HLA-A, -B, -C, and -
DRB1 at high resolution consistent with NMDP standard procedures. 
 
The donor must be either: 
a. 6/6 HLA –A, B, and DRB1 matched sibling or  
b. 8/8 HLA-A, B, C and DRB1 matched unrelated donor.     
 
 
2. 
CHIMERISM  
 
A 10 mL peripheral blood sample must also be obtained from the patient at weeks 4, 8, and 12, 
then at 6 and 12 months post-transplant. 
 
 
3. 
MORPHOLOGY/CYTOGENETICS STUDIES 
 
Unilateral bone marrow biopsies are required for pathology analysis and bone marrow aspirates 
are required for cytogenetic analysis prior to the conditioning regimen.  Other bone marrow 
assessments as summarized in the schedule of evaluations (Chapter 4) do not require the 
inclusion of bone marrow morphology/cytogenetics unless the original diagnostic marrow or the 
baseline marrow documented abnormal morphology/cytogenetics. 
 
Pathology and cytogenetic studies will be conducted per institutional guidelines. 
 
 
4. 
GRAFT CHARACTERIZATION 
 
Flow Cytometry and Immunoglobulin Monitoring: The hematopoietic stem cell content of 
the product (graft) should be determined using CD45-FITC and CD34-PE staining to identify 
stem cells within the WBC component of the product. 
 
Assays:  Blood for flow cytometry will be taken at the following time points: prior to HSCT, at 3 
months, 6 months, and 1 year post-transplant.  The following tests will be performed:CD3, CD4, 
CD8, CD19, CD20 and CD56; and quantitative immunoglobulins (IgM, IgG and IgA).  These 
tests will be performed per institutional guidelines and in keeping with the BMT CTN MOP. 

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C-2 
 
 
5. 
QUANTITATIVE POLYMERASE CHAIN REACTION (PCR) 
 
Peripheral blood (10 mL) will be collected for determination of the presence of t(14;18) by 
quantitative PCR.  PCR will be performed at the local transplant center according to institutional 
standards.   
 
All other PCR t(14;18) assessments (i.e., all post-baseline samples at 3 months, 6 months, 1 year, 
and 2 years post-transplant) as summarized in the schedule of evaluations (Chapter 4) are not 
required to be obtained unless the patient had a positive test at any time from initial diagnosis.   
 
Qualitative PCR assessment is acceptable if quantitative measurement is not possible.  
 
 
6. 
RESEARCH SPECIMENS 
 
BMT CTN research samples will be given unique bar code designations that cannot be linked 
back to the recipient. 
 
Laboratory test results, clinical information, etc., associated with the coded samples are provided 
to the Investigator only after completion of the main protocol.  Samples sent to researchers 
cannot be linked with any remaining sample at the repository. 
 
For Patients: 
A 20 mL peripheral blood sample will be collected prior to transplant for future research testing 
and will be shipped to the BMT CTN Repository in compliance with the shipment procedures 
specified in the BMT CTN MOP and the 0701 Laboratory Sample Guide. 
 
 
7. 
SERUM RITUXIMAB SAMPLES 
 
Blood samples to test for serum rituximab levels will be collected from all patients.  The first 
sample will be taken pre-transplant within 4 weeks prior to the initiation of conditioning therapy, 
then at 4 weeks, 3 months, 6 months and 1 year post-transplant. 
 
At each time point, 3-5 ml of blood should be collected into a red/gray top vacutainer tube. It is 
strongly recommended that standard venipuncture techniques be used to collect these samples. In 
cases where venipuncture is not indicated, a central line is acceptable.  Blood samples should be 
allowed to clot upright at room temperature for 30 minutes.  (If using plain red top vacutainer 
with no clot activator, allow the blood to clot at room temperature for 60 minutes).  Samples 
should be promptly centrifuged to isolate the serum (supernatant) from the red blood ccells at 
1000 x g (approximately 2000 rpm) for at least 10 minutes.  The serum should be placed into 1 
mL aliquots, labeled and promptly frozen at -20º C or below.   
 

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C-3 
Specimen Management 
C/O Gualberto Flores 
Immnochemistry Services 
Covance Laboratories Inc. 
3635 Concorde Parkway, Suite 100 
Chantilly, VA 20151 
Phone:  (703) 245-2200 Ext. 5440 
Fax:  (703) 245-2291 
Gualberto.flores@covance.com 
 
 
 
 
 

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C-4 
 
TABLE C-1: SCHEDULE OF LABORATORY EVALUATIONS 
 
 
Type of Sample 
Type of Storage 
Dates Samples Obtained 
Shipping Specifications 
Test 
Location 
HLA Typing 
5 mL peripheral blood 
or according to 
institutional practice 
Store according 
to institutional 
practice 
 Prior to conditioning therapy. 
N/A 
Transplant 
Center 
Chimerism 
10 mL peripheral blood 
or according to 
institutional practice 
Store according 
to institutional 
practice 
Four weeks, 8 weeks, 3 months, 6 months and 
1 year post- transplant for patient. 
N/A 
Transplant 
Center 
Pathology/ 
Cytogenetic 
Studies 
Volume of bone 
marrow biopsy and 
aspirate determined 
according to 
institutional practice 
Store according 
to institutional 
practice 
Within 4 weeks prior to conditioning therapy.  
Bone marrow biopsies and aspirates must be 
done prior to the transplant, and at 3 months, 
6 months, and yearly until 2 years post-HSCT 
only if previously documented bone marrow 
involvement prior to cytoreductive therapy or 
at time of clinical suspicion for progression. 
N/A 
Transplant 
Center 
Flow Cytometry 
CD3, CD4, CD8, 
CD19, CD 20, 
CD56 
Volume of graft 
determined according 
to institutional practice 
Store according 
to institutional 
practice 
Prior to infusion of allogeneic stem cell 
product and at 3 months, 6 months and 1 year 
post-HSCT. 
N/A 
Transplant 
Center 
IgM, IgG, IgA 
Levels 
Volume of blood 
determined according 
to institutional practice 
Store according 
to institutional 
practice 
Prior to infusion of allogeneic stem cell 
product and at 3 months, 6 months and 1 year 
post-HSCT. 
N/A 
Transplant 
Center 
PCR for 
Presence of  
t(14;18) 
10 mL peripheral blood 
(5 mL in each 
vacutainer) 
For baseline 
sample: 2 x 6 mL 
lavender top 
EDTA 
vacutainers.  
 
Any positive test from the time of diagnosis 
then required at study entry, then 3 months, 6 
months, 1 year, and 2 years post-HSCT.   
N/A 
Transplant 
Center 

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C-5 
 
Type of Sample 
Type of Storage 
Dates Samples Obtained 
Shipping Specifications 
Test 
Location 
Patient 
Research 
Specimen 
Nucleated Cells 
from Peripheral 
Blood  
20 mL peripheral blood 
No additional 
processing 
Within 4 weeks prior to conditioning therapy. 
. 
Peripheral blood tubes 
will be shipped on the 
day of collection, to the 
BMT CTN Research 
Repository by priority 
overnight FED EX 
delivery for processing 
and final frozen storage 
of isolated of isolated 
viable PBMCs.  
Guidelines for specimen 
handling and shipment to 
the Repository is detailed 
in the BMT CTN MOP 
and 0701 Laboratory 
Sample Guide. 
N/A 
Serum 
Rituximab 
Samples 
3-5 mL peripheral 
blood 
Allow to clot for 
30 minutes at 
room 
temperature, then 
obtain serum and 
freeze samples 
upright at or 
below -20°C 
Within 4 weeks prior to conditioning therapy, 
then at 4 weeks, 3 months, 6 months, and 1 
year post-HSCT 
Ship on dry ice to 
Covance Laboratories 
Inc. in compliance with 
shipping procedures 
specified in the BMT 
CTN MOP and 
Laboratory Sample Guide 
Covance 
Laboratories, 
Inc. 
 
 
 
 
 

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Version 5.0 dated May 12, 2011 
 
 
 
APPENDIX D 
 
SUGGESTED GUIDELINES FOR RITUXIMAB 
ADMINSTRATION 
 
 

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D-1 
APPENDIX D 
 
SUGGESTED GUIDELINES FOR RITUXIMAB ADMINSTRATION 
 
 
 
Protocol Consent Signed:  ____ Yes 
 
Patient Name:________________________________     Diagnosis:_______________________ 
 
Height:________cm  
Weight: ________kg              BSA: ______m2 
 
Allergies:______________________________________________________________________ 
 
 
Premedications: 
1.  Acetaminophen   650 mg po 
2.  Diphenhydramine   25-50 mg po or IVPB 
 
 
DOSE #1:  
 
RITUXIMAB (375 mg/m2) ________mg in NS (at a final concentration of 1 mg/mL) on  
Day -13______. 
 
 
DOSES # 2, 3 and 4:  
 
RITUXIMAB (1000 mg/m2) __________mg in NS (at a final concentration of 1 mg/mL) IVPB 
on Day -6_______, Day +1_______ and Day +8_______. 
 
**Rituximab is stable 12 hours after removal from the refrigerator and has a combined stability 
(refrigerator plus room temperature) of 36 hours.** 
 
 
 
 
 
 
 
 
 
 
Infuse at increasing rates only if: 
 SBP within 20 mmHg of baseline 
 Pulse > 60 or < 120 
 Temp < 38 C 
If any of the following occurs: Fever (temp > 38.5 C), rigors, hypotension, and/or mucosal 
congestion/edema, HOLD infusion until improvement of symptoms. 
When symptoms improve, resume infusion at HALF the previous rate. 

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D-2 
Standard Rate for 1st Dose:  
   50 mL/hr for 1 hr, THEN 
 100 mL/hr for 30 min (if VS as noted above), THEN 
 150 mL/hr for 30 min (if VS as noted above), THEN 
 200 mL/hr for 30 min (if VS as noted above), THEN 
 250 mL/hr for 30 min (if VS as noted above), THEN 
 300 mL/hr for 30 min (if VS as noted above), THEN 
 400 mL/hr  (MAX RATE) for remainder (if VS as noted above) 
 
Rates for Doses # 2, #3 and #4:  
Infuse at INCREASING rates: 
 100 mL/hr for 30 min (if VS as noted above), THEN 
 200 mL/hr for 30 min (if VS as noted above), THEN 
 300 mL/hr for 30 min (if VS as noted above), THEN 
 400 mL/hr for (MAX RATE) for remainder (if VS as noted above) 
 
If patient is unable to tolerate faster rates, continue rituximab at the best tolerated rate until 
the infusion is complete. 
 
 
Medication as Needed (PRN) 
1. Acetaminophen 650 mg po every 4 hours prn for temp > 38 C for 48 hrs only after each 
RTX infusion.  (Note:  max dose of acetaminophen = 4 gm/24 hrs) 
2. Meperidine 25 mg IV every 2 hrs prn chills (if chills persist, call MD). 
3. Diphenhydramine 25 mg in NS 50 mL IVPB every ____ hrs prn rigors and/or allergic 
reaction. 
 
 
Vitals Signs 
Per institutional guidelines. 
 
 
Suggested Anaphylactic Precautions/Medications 
Prior to administering rituximab have the following medications IMMEDIATELY available and 
give if anaphylaxis occurs:   
1. Hydrocortisone 100 mg IV 
2. Diphenhydramine 25 mg IV 
3. Epinephrine (1:1000) 0.5 mL IV 
 
 
Attending Physician Signature:___________________________________________________ 
 
Pager:____________  
Date:______________ 
 
Time:_____________ 
 

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APPENDIX E 
 
ADVERSE EVENT REPORTING GUIDELINES 
 
 

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E-1 
APPENDIX E 
 
ADVERSE EVENT REPORTING GUIDELINES 
 
 
An adverse event (AE) is an unplanned, unwanted event which occurs to a study participant and 
which is possibly related to the use of protocol therapy.  While some events may not initially 
appear to be associated with the use of the study treatment, a relationship may not emerge until 
sufficient numbers of reports accumulate from various Transplant Centers. 
 
It is BMT CTN policy that adverse events must be reported even if the investigator is unsure 
whether a relationship exists between the adverse event and the use of the study treatment. 
 
ADVERSE EVENT DEFINITIONS 
 
Adverse Event - Any unfavorable and unintended sign (including an abnormal laboratory 
finding), symptom or disease temporally associated with the use of a medical treatment or 
procedure regardless of whether it is considered related to the medical treatment or procedure 
(attribution of definite, probable, possible, unlikely, or unrelated).  
 
Life-Threatening Adverse Event - Any adverse event that places the participant, in view of the 
investigator, at immediate risk of death from the reaction. 
 
Serious Adverse Event (SAE) - Any adverse event that results in any of the following outcomes: 
death, a life threatening adverse event, in-patient hospitalization or prolongation of existing 
hospitalization, a persistent or significant disability/incapacity, or a congenital anomaly/birth 
defect. 
 
Unexpected Adverse Event - Any adverse event, the specificity or severity of which is NOT 
listed in the study protocol, product inserts or informed consent document. 
 
Attribution - The determination of whether an adverse event is related to a medical treatment or 
procedure.  Attribution categories: 
 
Definite 
The adverse event is clearly related to the study drug/device/procedure/ 
treatment(s).  
 
Probable 
The adverse event is likely related to the study drug/device/procedure/ 
treatment. 
For BMT CTN studies:  the adverse event is not likely to be caused by the 
subject’s underlying medical condition or other concomitant therapy, and the 
nature of the adverse event or the temporal relationship between the onset of 
the adverse event and study drug/device/treatment administration lead the 
investigator to believe that there is a reasonable chance of causal 
relationship.  

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E-2 
 
Possible 
The adverse event may be related to the study drug/device/procedure/ 
treatment(s). 
For BMT CTN studies: the adverse event could be attributed to the subject’s 
underlying medical condition or other concomitant therapy, but the nature of 
the adverse event or the temporal relationship between the onset of the 
adverse event and study drug/device/treatment administration lead the 
investigator to believe that there could be a causal relationship. 
 
Unlikely 
The adverse event is doubtfully related to the study drug/device/ 
procedure/treatment(s). 
 
Unrelated 
The adverse event is clearly NOT related to the study drug/device/procedure/ 
treatment(s). 
For BMT CTN studies:  the adverse event is most plausibly explained by the 
subject’s underlying medical condition or other concomitant therapy, or the 
adverse event has no plausible biological relationship to study drug/device 
/treatment.  
 
Common Terminology Criteria Adverse Events (CTCAE) – a descriptive terminology developed 
by the National Cancer Institute (NCI) for use in reporting adverse events.  The CTCAE includes 
a grading (severity) scale for each adverse event term.  An appendix for grading BMT-related 
complex/ multi-component events is included.  A copy of the CTCAE guidelines is located at 
http://ctep.cancer.gov/reporting/. 
 
Grade – Severity of the adverse event.  Grades were developed using the following guidelines: 
 
 
Grade 0 – No adverse event or within normal limits 
 
 
1 – Mild adverse event 
 
 
2 – Moderate adverse event 
 
 
3 – Severe adverse event 
 
 
4 – Life-threatening or disabling adverse event 
 
 
5 – Fatal adverse event 
 
Unexpected Adverse Events 
 
Exhibit E-1 provides unexpected adverse event reporting requirements for study centers 
participating in a Phase II or III BMT CTN study.  Adverse events should be reported using 
CTCAE terminology and severity scales. Unexpected adverse events that occur within 2 years 
post-transplant should be reported. 
 
Reporting requirements are calibrated to the severity of the event and the perceived relationship 
of the event to the study drug/device/treatment.  All Grade 3-5 unexpected adverse events must 
be reported to the BMT CTN DCC in an expedited manner irrespective of the attribution of the 
event to the study drug/device/procedure/treatment. 

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E-3 
 
In general, investigators should report adverse events as diseases or syndromes whenever 
possible, instead of reporting individual component symptoms, signs, laboratory abnormalities, 
and sequelae. 
 
Expected Adverse Events 
 
Exhibit E-2 provides expected adverse event reporting requirements for study centers 
participating in a Phase II or III BMT CTN study.  Adverse events should be reported using 
CTCAE terminology and severity scales. 
 
All fatal (Grade 5) expected adverse events will be reported in an expedited manner to the DCC.  
Most protocol-specific life-threatening or disabling (Grade 4) and other non-fatal expected 
adverse events will be reported on study forms submitted on a defined forms submission 
schedule.  Grade 4 adverse events not collected on study forms should be reported in an 
expedited manner. 
 
In addition, each protocol team must develop an interim analysis plan using the CTCAE grading 
scale (or Bearman scale if appropriate) to monitor protocol-specific expected adverse events.  
The plan will be included in the study protocol. 
 
The Protocol Coordinator and Medical Monitor will review the adverse events monitored for 
stopping guidelines on a regular basis to be specified in the protocol, but at least monthly.  
 
Additionally, the Protocol Coordinator and Medical Monitor will review events reported on the 
protocol-specific toxicity form (see below) and the GVHD forms on a regular basis to assess 
whether there are safety concerns that should be referred to the DSMB.  The Medical Monitor 
may seek additional guidance from one of the MD DCC Principal Investigators (PI) in these 
assessments as long as the DCC PI‘s institution is not participating in the protocol under 
consideration. 
 
Monitoring Adverse Events  
 
Unexpected Adverse Events 
Unexpected adverse events will be reported via a web-based AE system.  Protocol Coordinators 
will review daily all submitted unexpected adverse events and forward the information to the 
Medical Monitor for review. 
 
All unexpected adverse events will be reviewed by the Medical Monitor at, or associated with 
the DCC, within 2 business days of receiving the summary of the adverse event from the 
transplant center.  If the Medical Monitor requires additional information to make his/her 
assessment, transplant centers will have 4 business days to respond to the request for additional 
information. 
 
The Medical Monitor has medical expertise relevant to the study protocol and may request the 
participant's treatment assignment when reviewing the adverse event.  The Medical Monitor or 

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E-4 
DCC representative is responsible for notifying the NHBLI Project Officer immediately of all 
Grade 3-5 unexpected adverse events and of any concerns regarding the frequency or type of 
adverse event(s) on a study or study treatment arm.  The NHLBI Project Officer (or designee) is 
responsible for reviewing the adverse event materials to determine if the materials are complete.  
If there are any concerns regarding the type or frequency of the event, the NHLBI Project Officer 
will request that the DSMB Executive Secretary notify the DSMB Chair.  The DSMB Chair will 
review the adverse event materials, determine if the information is complete, determine if 
additional DSMB review is required and make recommendations to the NHLBI concerning 
continuation of the study.  Full documentation of the procedures will be available at the DCC. 
 
The DCC will prepare semi-annual summary reports of all unexpected adverse events for the 
NHLBI Project Officer and DSMB Chair.  Semi-annual reports will be made available on a 
secure website and the NHLBI Project Officer and DSMB Chair will be notified by e-mail when 
the materials are posted.  
 
Expected Adverse Events 
The DCC will prepare semi-annual summary reports of all Grade 5 expected adverse events for 
the NHLBI Project Officer and the DSMB Chair.  Semi-annual reports will be made available on 
a secure website and the NHLBI Project Officer and DSMB Chair will be notified by e-mail 
when the materials are posted.  Grade 3-5 expected adverse events defined in the interim analysis 
plan will be reported as defined in the protocol.   
 
Any concern regarding the type or frequency of a Grade 3-5 expected adverse event will be 
reported to the NHLBI Project Officer who will determine if referral to the DSMB is warranted.  
If required, data materials will be provided by the DCC.  The DSMB Executive Secretary will 
arrange for review by the DSMB Chair.  The Chair will determine if additional DSMB review is 
required and make recommendations to the NHLBI concerning continuation of the study.  
 
The DCC will ensure that any additional reporting requirements defined by the NHLBI Project 
Officer, DSMB Chair and other oversight groups are identified and implemented. 
 
The DCC in collaboration with the NHLBI Project Officer will determine the exact content of 
these summary reports and the reporting schedule. 
 

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Version 5.0 dated May 12, 2011 
 
 
E-5 
EXHIBIT E-1 
 
REPORTING UNEXPECTED ADVERSE EVENTS ON A BMT CTN  
PHASE II OR III STUDY 
 
SEVERITY GRADE 
ATTRIBUTION 
TRANSPLANT CENTER  
REPORTING REQUIREMENTS 
5 - Fatal 
4 - Life-threatening 
     or Disabling 
 
All attributions 
 
Submit unexpected adverse event form to the DCC 
within 24 hours of the event.  For Grade 5, also submit 
study death form to the DCC. 
Submit a summary of the adverse event to the DCC 
within 4 working days.  For Grade 5, the summary should 
include potential contributing causes of death. 
Information reported for the adverse event must include: 
Name of adverse event, date of first onset, peak severity, 
relationship to study drug/device/treatment, resolution 
date, actions taken with respect to administration of study 
drug/device/treatment, and other treatment for the 
adverse event. 
3 – Severe 
 
 
All attributions 
 
 
 
 
Definite 
Probable 
Possible 
 
 
 
 
 
 
Unlikely 
Unrelated 
Submit unexpected adverse event form to the DCC 
within 3 working days of the adverse event.   
Submit a summary of the adverse event to DCC within 4 
working days 
Information reported for the adverse event must include: 
Name of adverse event, date of first onset, peak severity, 
relationship to study drug/device/treatment, resolution 
date, actions taken with respect to administration of study 
drug/device/treatment, and other treatment for the 
adverse event.  
Multiple recurrences of the same adverse event should be 
reported separately. 
Information reported for the adverse event must include: 
name of adverse event, date of first onset, peak severity, 
and relationship to the study drug/device/treatment.  
Multiple recurrences of the same adverse event should be 
reported together.  
Note: Any adverse event prompting a change in the 
administration of study drug/device/treatment must 
include resolution date, actions taken with respect to 
administration of study drug/device/treatment, and other 
treatment for the adverse event. 
 

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EXHIBIT E-2 
 
REPORTING EXPECTED ADVERSE EVENTS ON BMT CTN  
PHASE II OR III STUDIES 
 
SEVERITY GRADE 
ATTRIBUTION 
TRANSPLANT CENTER  
REPORTING REQUIREMENT 
5 – Fatal  
 
All attributions 
Submit study death form to the DCC within 24 hours 
of death. 
Submit death summaries and/or autopsy reports of the 
expected adverse event to DCC quarterly or as 
requested. 
The summaries should include potential contributing 
causes of death. 
4 – Life-threatening 
      or disabling 
All attributions 
Submit study form(s) capturing data on the expected 
adverse event to the DCC at the form’s scheduled due 
date.  If the event is not captured on a study from, 
report using the AE system in an expedited manner. 
Note: Selected Grade 3-5 events will be tracked and 
regularly monitored by the DCC and DSMB as 
specified in protocol-specific monitoring plans.  
3 – Severe 
 
All attributions 
Submit study form(s) capturing data on the expected 
adverse event to the DCC at the form’s scheduled due 
date.  
 
 
ADVERSE EVENT REPORTING AND MANAGEMENT 
 
Because all or most study participants in BMT CTN trials will be receiving potentially toxic 
preparative therapy, significant regimen-related toxicity is anticipated.  Study CRFs are designed 
to capture information on these adverse events.  Likewise, substantial mortality is anticipated and 
will be captured via filing of appropriate CRFs.  All unexpected adverse events must be reported 
for the duration of the studies. 
 
The Protocol Coordinator will review both expected and unexpected toxicities with the Medical 
Monitor on a regular basis.  The Medical Monitor may seek guidance from one of the MD DCC 
Principal Investigators (PI) in these assessments as long as the DCC PI ‘s institution is not 
participating in the protocol under consideration. 
 
 

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Monitoring Toxicity 
 
The Protocol Team for each study develops a protocol-specific Toxicity Form.  The items on the 
Toxicity Form are a subset of the CTCAE Version 3.0 relevant to the particular study.  The 
Toxicity Form is submitted at regular time intervals defined by the Protocol Team. 
 
GENENTECH REPORTING 
 
Unexpected grade 3-5 adverse events (AE) will be reported by the Data and Coordinating 
Center, password-protected e-mail attachments, to Genentech Drug Safety twice per year (Tel: 
888-835-2555; Fax: 650-225-4682 or 650-225-4683).  Annual reports listing expected toxicities 
will be reported by password-protected e-mail attachments. 
 
 

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APPENDIX F 
 
CANCER TRIALS SUPPORT UNIT (CTSU)  
PARTICIPATION PROCEDURES 
 
 
 
Important 
This protocol does not follow the standard CTSU participation procedures for regulatory 
collection or patient enrollment.  The flow chart on the next page illustrates the 0701 site 
activation and patient enrollment process. 
 
 

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SITE ACTIVATION FLOW CHART 
 
 
1. Download protocol and regulatory documents (including BMT CTN 0701 
Affiliate Center Application Form) from the members’ section of the CTSU 
website at www.ctsu.org 
Pre-Approval 
1. Fax the Affiliate Center Application Form to BMT CTN Data and Coordinating Center 
(DCC)/EMMES at 240-306-0963 
 
2. Receive pre-approval authorization email from BMT CTN DCC/EMMES 
 
3. Fax the draft consent form to BMT CTN DCC/EMMES at 240-306-0964 
 
4. Submit the protocol to local IRB then complete the following steps:  
      (Steps 1 and 2 may be done in parallel) 
 
1. Complete the regulatory documents as specified in Table 1: Regulatory Documents 
Collected by CTSU, and submit these documents to the CTSU 
 
2. Complete the study-specific documents/procedures as specified in Table 2: Study-Specific 
Document/Procedures Collected by the DCC/EMMES 
 
3. Receive activation notification from EMMES upon completion of documents in Tables 1 
and 2 
Regulatory Document Submission 
Patient Enrollment 
1. Enroll patient via AdvantageEDC system 
(DCC/EMMES will forward information needed for enrollment funding and audit to the 
CTSU for further transmission to the Cooperative Group credited with the enrollment.) 
 
Document Access 

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REGISTRATION 
 
Investigator / Research Associate Registration 
 
1) Obtaining a CTEP-IAM account 
 
All participating investigators and research staff must be registered members of the CTSU. 
Access to the members’ section of the CTSU web site is managed through the Cancer 
Therapy and Evaluation Program - Identity and Access Management (CTEP-IAM) 
registration system. To register: 
 
 Go to the CTSU web page at www.ctsu.org and click on the Register tab on the upper 
right of your screen and follow links to the CTEP-IAM application, OR, go directly to 
https://eapps-ctep.nci.nih.gov/iam/  and click on the “New Registration” link on the left 
hand side of your screen and click on “Request New Account”. 
● Complete CTEP-IAM application instructions 
● You will receive an email from the CTSU providing the status of your application within 
2 to 3 business days. Once you receive your email from the CTSU, you may use your 
new CTEP-IAM username and password to access the members’ section of the CTSU 
web site. 
 
2) (Investigators Only) Obtaining an NCI Investigator number 
 
 
Before the recruitment of a patient for this study, investigators must be registered members of 
the CTSU. Each investigator must have an NCI investigator number and must maintain an 
“active” investigator registration status through the annual submission of a complete 
investigator registration packet (FDA Form 1572 with original signature, current CV [signed 
and dated], Supplemental Investigator Data Form with signature, and Financial Disclosure 
Form with original signature) to the Pharmaceutical Management Branch, CTEP, DCTD, 
NCI.  These forms are available on the CTSU web site (logon to www.ctsu.org; then click on 
the Register tab) or by calling the PMB at 301-496-5725 Monday through Friday between 
8:30 a.m. and 4:30 p.m. Eastern time. 
 
Site Pre-Approval by BMT CTN 
 
(Note: Sites are strongly advised to consider whether they are capable of enrolling, at minimum, 
two patients per year to this trial, before proceeding with IRB approval.) 
 
Before submitting this study to your local IRB, your site must first be pre-approved for 
participation by the BMT CTN: 
 
1) Download the BMT CTN Protocol #0701 Affiliate Center Application form from the site 
registration forms section of the 0701 web page on the members’ section of the CTSU  
web site at www.ctsu.org. 
 

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F-3 
2) Complete the Affiliate Center Application and fax, as indicated on the form, to the BMT 
CTN Data and Coordinating Center (DCC)/EMMES.  
 
3) Once you receive notification from the DCC/EMMES that your center has been pre-
approved, fax or email the draft informed consent form to the BMT CTN 0701 protocol 
coordinator at EMMES.  The BMT CTN DCC will also notify the CTSU Regulatory 
Office when your site is pre-approved. 
 
4) The BMT CTN DCC will notify you when you are able to proceed with Site Registration. 
 
 
Site Registration 
 
Each investigator or group of investigators at a clinical site must obtain IRB approval for this 
protocol and submit the CTSU IRB Certification Form to the CTSU Regulatory Office in 
Philadelphia before patient enrollments may commence. 
 
Tables 1 and 2 at the end of this appendix outline the documents to be collected by the CTSU 
Regulatory Office and the documents/procedures required by the BMT CTN Data and 
Coordinating Center (DCC), respectively.  It is recommended that the site fulfill CTSU and BMT 
CTN DCC requirements in parallel.  The CTSU Regulatory Office and BMT CTN DCC will 
share documentation and information regarding the status of all registering sites.  
 
Fulfilling CTSU Requirements for Site Registration (Table 1) 
 
1) Download site registration forms from the 0701 Web page located on the members’ 
section of the CTSU  web site: 
● Go to www.ctsu.org 
● Enter user name and password under “Members Login” section on the left portion of 
the screen 
● Click on the Protocols tab in the upper left of your screen 
● The protocol browser uses a “tree-based navigation” structure that allows users to 
browse through the available protocols within the CTSU by using the drill-down 
capability of the tree.   
● Drill down By Lead Organization (BMT CTN) or By Cancer Type (Lymphoma) or 
By Study Type (Cancer Treatment or Phase II) and select trial #0701  
● Click on the Site Registration Documents link 
● Download and complete the following forms: 
o 
CTSU IRB/Regulatory Transmittal 
o 
CTSU IRB Certification Form 
o 
BMT CTN 0701 Financial Disclosure Form 

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F-4 
● Mail or FAX completed forms along with the other required items listed in Table 
1 to: 
 
CTSU Regulatory Office 
1818 Market Street, Suite 1100 
Philadelphia, PA 19103 
Phone - 1-866-651-2878 
FAX – 215-569-0206 
 
2) Checking Your Site’s Status for Table 1 Requirements 
 
Check the status of your registration packets by querying the RSS site registration status 
page of the CTSU web site. 
● Go to www.ctsu.org 
● Click on the Regulatory tab at the top of your screen 
● Click on the Site Registration tab 
● Enter your 5-character CTEP Institution Code and click on Go 
 
3) Notifying the BMT CTN 
 
CTSU Operations will send an email notification to the BMT CTN Data and 
Coordinating Center (DCC) upon approval of your site’s regulatory documentation.  
 
Fulfilling BMT CTN Requirements for Site Registration (Table 2) 
 
1) Complete the documents and procedural requirements as specified in Table 2. Contact the 
BMT CTN 0701 protocol coordinator if questions arise. 
 
Notification of Site Approval 
 
1) The BMT CTN DCC will notify your site and the CTSU once all registration 
requirements have been met and enrollments may commence. 
 
Patient Registration 
 
The BMT CTN DCC will grant user rights to the AdvantageEDCSM system for performing 
patient enrollments. (Note: users must be certified by the DCC prior to assignment of rights. 
Refer to the AdvantageEDC webcast and practicum information in Table 2 for certification 
requirements).  Follow the BMT CTN guidelines in Section 4.1 of the protocol for patient 
enrollment procedures. 
 
DATA SUBMISSION AND QUALITY ASSURANCE 
 
The study protocol and supporting materials are posted on the 0701 Web page located on the 
members’ section of the CTSU web site (www.ctsu.org). All study data must be entered using 
the BMT CTN AdvantageEDC system.  Hard copies of study data forms will not be accepted by 

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F-5 
the BMT CTN DCC. Data validation and quality assurance will also be managed via 
AdvantageEDC.  
 
ADVERSE EVENT REPORTING  
 
Sites will assess adverse events in accordance with the guidelines outlined in the protocol. 
Adverse event reporting will be conducted through an expedited AE reporting system within 
AdvantageEDC. 
 
Sites must comply with the expectations of their local Institutional Review Board (IRB) 
regarding documentation and submission of adverse events.  Local IRBs must be informed of all 
reportable serious adverse reactions.  
     
REGULATORY AND MONITORING 
 
Study Audit 
 
To assure compliance with Federal regulatory requirements [CFR 21 parts 50, 54, 56, 312, 314 
and HHS 45 CFR 46] and National Cancer Institute (NCI)/ Cancer Therapy Evaluation Program 
(CTEP) Clinical Trials Monitoring Branch (CTMB) guidelines for the conduct of clinical trials 
and study data validity, all protocols approved by NCI/CTEP that have patient enrollment 
through the CTSU are subject to audit. 
 
Responsibility for assignment of the audit will be determined by the site’s primary affiliation 
with a Cooperative Group or CTSU. For Group-aligned sites, the audit of a patient registered 
through CTSU will become the responsibility of the Group receiving credit for the enrollment. 
For CTSU Independent Clinical Research Sites (CICRS), the CTSU will coordinate the entire 
audit process. 
 
For patients enrolled through the CTSU, you may request the accrual be credited to any Group 
for which you have an affiliation provided that Group has an active clinical trials program for the 
primary disease type being addressed by the protocol. Per capita reimbursement will be issued by 
the credited Group provided they have endorsed the trial, or by the CTSU if the Group has not 
endorsed the trial. 
 
Details on audit evaluation components, site selection, patient case selection, materials to be 
reviewed, site preparation, on-site procedures for review and assessment, and results reporting 
and follow-up can be found in the CTMB Monitoring Guidelines and are available for download 
from the CTEP web page http://ctep.cancer.gov/monitoring/guidelines.html. 
 

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F-6 
Health Insurance Portability and Accountability Act of 1996 (HIPAA) 
 
The HIPAA Privacy Rule establishes the conditions under which protected health information 
may be used or disclosed by covered entities for research purposes. Research is defined in the 
Privacy Rule referenced in HHS 45 CFR 164.501. Templated language addressing NCI-U.S. 
HIPAA guidelines are provided in the HIPAA Authorization Form located on the CTSU website.  
 
The HIPAA Privacy Rule does not affect participants from outside the United States. 
Authorization to release Protected Health Information is NOT required from patients enrolled in 
clinical trials at non-US sites. 

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F-7 
Table 1: Regulatory Documents Collected by CTSU Regulatory Office 
 
Table 2: Study-Specific Documents/Procedures Collected by the Data and Coordinating 
Center (DCC)/EMMES 
1. Affiliate Application 
For Site Pre-Approval: Application for participation as an 
Affiliate Center in the BMT CTN. The Affiliate Application 
may be downloaded from the site registration documents 
section of the 0701 page of the members’ section of the CTSU  
website.  The Affiliate Application must be approved prior to 
centers submitting any other documentation for protocol 0701 
2. Preview of consent form 
 A copy of the consent form for review/approval prior to IRB 
submission 
3. Study Roster 
A listing of names, phone numbers and email addresses of staff 
participating 
on 
protocol 
0701, 
including 
PI, 
Clinic 
Coordinator, 
Data 
Coordinator, 
Lab 
Coordinator 
and 
Pharmacist 
4. EMINENT Clinical Site Contact Form 
A copy of the EMINENT Services Clinical Site Contact 
Information Form  
5. AdvantageEDC Webcast Training  
Mandatory attendance at one AdvantageEDC (electronic data 
capture system) webcast training by each staff member 
responsible for enrolling patients and completing supplementary 
follow-up forms  
6. AdvantageEDC Practicum  
Mandatory completion of one AdvantageEDC Practicum by 
each staff member that attended webcast training  
7. GlobalTrace Webcast Training  
Mandatory attendance at one GlobalTrace (specimen shipping 
system) webcast training by each staff member responsible for 
shipping samples  
8. Pre-Study Site Initiation Conference Call/Visit 
Mandatory pre-study site initiation call/visit to discuss protocol 
0701 
 
1. Evidence of approved allogeneic transplant center 
status  
 
One of the following is required: 
-FACT credentialed allogeneic transplant center 
-NMDP-approved allogeneic transplant center 
-Cooperative Group-approved allogeneic transplant 
center 
2. BMT CTN Financial Disclosure Form 
Signed Financial Disclosure for Principal Investigator 
for protocol 0701 
3. Lab Normals 
High and low normal lab values valid at the time of 
initial center approval. 
4. CLIA and/or CAP certification 
Valid at the time of initial center approval 
5. CTSU IRB/Regulatory Approval Transmittal Form 
Standard CTSU cover sheet 
6. CTSU IRB Certification Form 
Standard form to document local IRB approval 
7. Final Approved Consent Form, stamped 
A copy of the stamped IRB-approved Informed 
Consent Form for protocol 0701 

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APPENDIX G 
 
REFERENCES 
 

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APPENDIX G 
 
REFERENCES 
 
                                                   
1 Dana BW, Dahlberg S, Nathwani BN, et al. Long-term follow-up of patients with low-grade 
malignant 
lymphomas 
treated 
with 
doxorubicin-based 
chemotherapy 
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2 Johnson PW, Rohatiner AZ, Whelan JS, et al. Patterns of survival in patients with recurrent 
follicular lymphoma: a 20-year study from a single center. J Clin Oncol. 1995;13:140-147. 
3 Cao TM, Horning S, Negrin RS, et al. High-dose therapy and autologous hematopoietic-cell 
transplantation for follicular lymphoma beyond first remission: the Stanford University 
experience. Biol Blood Marrow Transplant. 2001;7:294-301. 
4 Bierman PJ, Vose JM, Anderson JR, et al. High-dose therapy with autologous hematopoietic 
rescue for follicular low-grade non-Hodgkin's lymphoma. J Clin Oncol. 1997;15:445-450. 
5 Rohatiner AZ, Johnson PW, Price CG, et al. Myeloablative therapy with autologous bone 
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6 Schouten HC, Qian W, Kvaloy S, et al. High-dose therapy improves progression-free survival 
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8 Verdonck LF, Dekker AW, Lokhorst HM, et al. Allogeneic versus autologous bone marrow 
transplantation for refractory and recurrent low-grade non-Hodgkin's lymphoma. Blood. 
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9 van Besien K, Sobocinski KA, Rowlings PA, et al. Allogeneic bone marrow transplantation for 
low-grade lymphoma. Blood. 1998;92:1832-1836. 
10 van Besien KW, Khouri IF, Giralt SA, et al. Allogeneic bone marrow transplantation for 
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11 van Besien K, Loberiza FR, Jr., Bajorunaite R, et al. Comparison of autologous and allogeneic 
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13 Khouri IF, McLaughlin P Saliba RM, et al. 8-year experience with allogeneic stem cell 
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DOI 10.1182/blood-2008-01-136242 

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14 Robinson SP, Goldstone AH, Mackinnon S, et al. Chemoresistant or aggressive lymphoma 
predicts for a poor outcome following reduced-intensity allogeneic progenitor cell 
transplantation: an analysis from the Lymphoma Working Party of the European Group for 
Blood and Bone Marrow Transplantation. Blood. 2002;100:4310-4316. 
15 Maris MB, Sandmaier BM, Storer B, et al. Allogeneic Hematopoietic Cell Transplantation 
after Nonmyeloablative Conditioning for Relapsed or Refractory Follicular Lymphoma. 
Blood. 2005;106:329a. 
16 Morris E, Thomson K, Craddock C, et al. Outcomes after alemtuzumab-containing reduced-
intensity allogeneic transplantation regimen for relapsed and refractory non-Hodgkin 
lymphoma. Blood. 2004;104:3865-3871. 
17 Tobinai K, Kobayashi Y, Narabayashi M, et al. Feasibility and pharmacokinetic study of a 
chimeric anti-CD20 monoclonal antibody (IDEC-C2B8, rituximab) in relapsed B-cell 
lymphoma. The IDEC-C2B8 Study Group. Ann Oncol. 1998;9:527-534. 
18 Berinstein NL, Grillo-Lopez AJ, White CA, et al. Association of serum Rituximab (IDEC-
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follicular non-Hodgkin's lymphoma. Ann Oncol. 1998;9:995-1001. 
19 Maloney DG, Grillo-Lopez AJ, White CA, et al. IDEC-C2B8 (Rituximab) anti-CD20 
monoclonal antibody therapy in patients with relapsed low-grade non-Hodgkin's lymphoma. 
Blood. 1997;90:2188-2195. 
20 Cutler C, Antin JH. Chronic graft-versus-host disease. Curr Opin Oncol. 2006;18:126-131. 
21 Carella AM, Biasco S, Nati S, et al. Rituximab is effective for extensive steroid-refractory 
chronic graft-vs.-host-disease. Leuk Lymphoma. 2007;48:623-624. 
22 Okamoto M, Okano A, Akamatsu S, et al. Rituximab is effective for steroid-refractory 
sclerodermatous chronic graft-versus-host disease. Leukemia. 2006;20:172-173. 
23 Kamble R, Oholendt M, Carrum G. Rituximab responsive refractory acute graft-versus-host 
disease. Biol Blood Marrow Transplant. 2006;12:1201-1202.