Clinical trial NCT02124707
Conditions: Head and Neck Cancer Squamous Cell Carcinoma of the Head and Neck
Keywords: Head and neck cancer Squamous cell carcinoma Metastatic Recurrent Phase II Carboplatin Paclitaxel Cetuximab
Sponsor: UNC Lineberger Comprehensive Cancer Center
Start date: 2014-06-16; Completion date: 2019-10-01
Enrollment: 14 participants; Allocation: NA; Intervention model: SINGLE_GROUP

Brief summary:
This is a non-randomized, open-label phase II trial of 38 patients with recurrent or metastatic SCCHN. Patients must have an Eastern Cooperative Oncology Group (ECOG) performance status of 0-1 with good organ function and will be treated with six weekly cycles of carboplatin, paclitaxel and cetuximab. Following assessment of response, the treating physician at their discretion may continue to treat with weekly cetuximab as maintenance until disease progression. The study is designed to evaluate whether this regimen improves median overall survival (OS) as compared to an historical control population treated with a platinum plus 5-fluorouracil (5-FU). There is currently no agreed upon first line therapy for recurrent or metastatic SCCHN; regimen options are highly toxic, inconvenient and resource intensive. Our study regimen has been used extensively for induction therapy and off-protocol in palliative care, but treatment outcomes have yet to be defined by a clinical trial.

Detailed description:
Because of their high response rates and low toxicity, the taxane, carboplatin, cetuximab regimens have frequently been adapted for use in the palliative setting. At UNC, we have observed high rates of response, leading to symptomatic benefit and low toxicity. Further, the regimen de-medicalizes the patient's life in several important ways. First, unlike with the EXTREME regimen, no PORT or 4 day infusion is required. Second, the regimen gives only six weeks of cytotoxic therapy. Finally, in our experience there is a low rate of severe toxicity and this, coupled with the high rate of response, may improve quality of life. We are not aware of any presented or published results on the use of this combination in palliative therapy; with the adoption of this regimen in clinical practice, documentation of its benefit via conduct of a clinical trial is needed.

We propose a study designed to detect an improvement in median OS versus a historical control. The control arm from the EXTREME trial achieved a median OS of 7.4 months. We hypothesize that a less toxic and more effective 3-drug regimen will result in improved median OS compared with the control arm from EXTREME (median 7.4 months). The toxicity associated with EXTREME is primarily attributable to the cisplatin and 5FU cytotoxic backbone as its toxicity has been consistent in multiple studies of both palliative therapy and induction therapy. If a 4-month improvement in OS is achieved with acceptable toxicity, we will consider this regimen worth of further study.

Secondary objectives will include characterizing changes in quality of life (QoL), symptoms and toxicities. Patients will be encouraged to co-enroll into the UNCseq protocol for further exploration of associations between genetic changes and clinical outcomes.

Arms: arm 1: A 6 week course of weekly carboplatin, paclitaxel, and cetuximab will be administered to 38 patients with recurrent or metastatic squamous cell carcinoma of the head and neck (SCCHN). Once protocol therapy is complete, cetuximab may be continued if the patient and physician agree. Within 3 weeks of the end of protocol therapy, response will be assessed, and if the patient has achieved at least stable disease, the treating physician may continue to treat with weekly cetuximab at their discretion until disease progression. Patients will be followed for a maximum of 3 years after the end of the 6 week treatment phase.
Interventions: intervention 1: Cetuximab intervention 2: Paclitaxel intervention 3: Carboplatin
Intervention descriptions: intervention 1: 400mg/m2 IV (in the vein) on day 1 of week 1 and 250mg/m2 IV (in the vein) on day 1 of weeks 2-6. Patients with stable disease may continue on maintenance therapy at the 250mg/m2 dose until disease progression. intervention 2: 135mg/m2 IV (in the vein) on day 1 of each 1 week for 6 weeks. intervention 3: AUC2, IV (in the vein) on day 1 of each 1 week for 6 weeks.

Protocol documents:
Prot_SAP_000.pdf: 
LINEBERGER COMPREHENSIVE CANCER CENTER 
 
CLINICAL ONCOLOGY RESEARCH PROGRAM 
UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 
 
 
 
 
 
LCCC 1330:  A Phase II study of weekly carboplatin, paclitaxel and cetuximab for 
patients with recurrent or metastatic squamous cell carcinoma of the head and neck 
(SCCHN) 
 
AMENDMENT INCORPORATES: 
 
_X_ Editorial, administrative changes 
___ Scientific changes (IRB approval) 
___Therapy changes (IRB approval) 
X   Eligibility Changes (IRB approval) 
 
AMENDMENT RATIONALE AND SUMMARY 
 
Protocol Changes: 
The version date was updated throughout the protocol. 
 
Multicenter language added to the protocol, because sites other than UNCCH will be 
participating in the study. (sections 7.3, 9.2, 9.3, 9.4, 9.5, 9.6 and 9.8) 
 
Clarified that only patients who enroll at UNC will be asked to co-enroll into LCCC1108 
(sections 1.6, 2.2.7, 6.0 and 6.6) 
 
Clarified in exclusion criteria 3.2.2. that wash-out for prior radiation refers to definitive 
radiation therapy, not palliative radiation. 
Clarified that in patients without diabetes, if glucose testing is not covered by insurance, glucose 
testing is not be mandated by the protocol (sections 6.0-6.3).   
 
Added existing statement from footnote in table in section 4.4.1: Patients for whom cetuximab is 
discontinued due to grade 3-4 infusion reactions may complete the protocol therapy with 
carboplatin and paclitaxel alone, to sections 4.2 and 4.4. 
 
Clarified in footnote to 4.4.1 table that if patient has a grade 1-2 infusion reaction during 
cetuximab, but is successfully rechallenged at a 50% lower infusion rate, it is acceptable to later 
re-increase back towards standard infusion rate 
 
THE ATTACHED VERSION DATED October 9, 2014 INCORPORATES THE ABOVE 
REVISIONS 
 
  
    ATTACH TO THE FRONT OF EVERY COPY OF THIS PROTOCOL 
PROTOCOL AMENDMENT #1  
Version Date: 10/9/14 


LINEBERGER COMPREHENSIVE CANCER CENTER 
 
CLINICAL ONCOLOGY RESEARCH PROGRAM 
UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 
 
 
LCCC 1330:  A Phase II study of weekly carboplatin, paclitaxel and cetuximab for 
patients with recurrent or metastatic squamous cell carcinoma of the head and neck 
(SCCHN) 
 
Principal Investigator 
Jared Weiss, MD 
Division of Hematology/Oncology 
3115 Physicians Office Bldg 
170 Manning Dr, CB# 7305 
Chapel Hill, NC 27599-7305 
919-966-3856 (PHONE)   919-966-6735 (FAX) 
Email: Jared_Weiss@med.unc.edu 
 
Co-Investigator(s) 
Neil Hayes, MD 
Juneko Grilley-Olson, MD 
 
Biostatistician  
Allison Deal, MS 
Allison_Deal@med.unc.edu 
Phone: 919-966-1387    
Fax: 919-966-4244 
 
Clinical Protocol Office 
Lineberger Comprehensive Cancer Center 
The University of North Carolina at Chapel Hill 
450 West Drive, 3rd Floor, CB# 2795 
Chapel Hill, NC 27599-7295 
 
University of North Carolina Cancer Network (UNCCN) Project Manager: 
Phone: 919-966-7359 
Fax: 919-966-4300 
 
 
 
Sponsor:  Lineberger Comprehensive Cancer Center 
 
 
Version Date: 10/9/2014 


LINEBERGER COMPREHENSIVE CANCER CENTER 
 
CLINICAL ONCOLOGY RESEARCH PROGRAM 
UNIVERSITY OF NORTH CAROLINA AT CHAPEL HILL 
 
 
Signature Page 
 
LCCC 1330:  A Phase II study of weekly carboplatin, paclitaxel and cetuximab for 
patients with recurrent or metastatic SCCHN 
 
Principal Investigator 
Jared Weiss, MD 
Division of Hematology/Oncology 
3115 Physicians Office Bldg 
170 Manning Dr, CB# 7305 
Chapel Hill, NC 27599-7305 
919-843-5894 (PHONE)  
919-966-6735 (FAX) 
Email: Jared_Weiss@med.unc.edu 
 
 
 
The signature below constitutes the approval of this protocol and the attachments, and 
provides the necessary assurances that this trial will be conducted according to all 
stipulations of the protocol, including all statements regarding confidentiality, and 
according to local legal and regulatory requirements and applicable U.S. federal 
regulations and ICH guidelines. 
 
Principal Investigator (PI) Name: Jared Weiss, MD 
 
PI Signature: _________________________________ 
 
Date:________________________________________ 
 
 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
i 
TABLE OF CONTENTS 
1.0 
BACKGROUND AND RATIONALE ..................................................................1 
1.1 
Study Synopsis ......................................................................................................1 
1.2 
Squamous Cell Carcinoma of the Head and Neck ................................................1 
1.3 
Chemotherapy for SCCHN ...................................................................................2 
1.6 
Study Rationale .....................................................................................................4 
2.0 
STUDY OBJECTIVES ...........................................................................................5 
2.1 
Primary Objective .................................................................................................5 
2.2 
Secondary Objectives ............................................................................................5 
2.3 
Primary Endpoint ..................................................................................................6 
2.4 
Secondary Endpoints .............................................................................................6 
3.0 
PATIENT ELIGIBILITY ......................................................................................6 
3.1 
Inclusion Criteria ...................................................................................................6 
3.2 
Exclusion Criteria ..................................................................................................7 
4.0 
TREATMENT PLAN .............................................................................................7 
4.1 
Schema ..................................................................................................................7 
4.2 
Treatment Dosage and Administration .................................................................8 
4.3 
Supportive Care Guidelines ................................................................................10 
4.4 
Toxicities and Dosing Delays/Dose Modifications .............................................10 
4.5 
Duration of Protocol-directed Therapy ...............................................................13 
4.6 
Duration of Follow Up ........................................................................................14 
4.7 
Removal of Patients from Protocol Therapy .......................................................14 
4.8 
Study Withdrawal ................................................................................................14 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
ii 
5.0 
DRUG INFORMATION ......................................................................................14 
5.1 
Cetuximab (Erbitux®) .........................................................................................14 
5.2 
Paclitaxel (Taxol®) .............................................................................................15 
5.3 
Carboplatin (Paraplatin®) ...................................................................................17 
6.0 
EVALUATIONS AND ASSESSMENTS ............................................................19 
6.1 
Pre-Study Assessments .......................................................................................21 
6.2 
Treatment Assessments .......................................................................................21 
6.3 
End of Treatment Assessments ...........................................................................21 
6.4 
Early Treatment Termination ..............................................................................22 
6.5 
Follow-up Assessments .......................................................................................22 
6.6 
Correlative Studies Procedures ...........................................................................22 
6.7 
Assessment of Safety ..........................................................................................23 
6.8 
Assessment of Efficacy .......................................................................................23 
7.0 
ADVERSE EVENTS ............................................................................................25 
7.1 
Definitions ...........................................................................................................25 
7.2 
Documentation of non-serious AEs or SARs ......................................................27 
7.3 
SAEs or Serious SARs ........................................................................................27 
7.4 
Data Safety Monitoring Plan ...............................................................................28 
8.0 
STATISTICAL CONSIDERATIONS ................................................................29 
8.1 
Study Design/Endpoints ......................................................................................29 
8.2 
Sample Size and Accrual.....................................................................................29 
8.3 
Data Analysis Plans .............................................................................................30 
9.0 
STUDY MANAGEMENT ....................................................................................30 
9.1 
Institutional Review Board (IRB) Approval and Consent ..................................30 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
iii 
9.2 
Required Documentation.....................................................................................30 
9.3 
Registration Procedures.......................................................................................31 
9.4 
Data Management and Monitoring .....................................................................31 
9.5 
Adherence to the Protocol ...................................................................................31 
9.6 
Amendments to the Protocol ...............................................................................33 
9.7 
Record Retention .................................................................................................34 
9.8 
Obligations of Investigators ................................................................................34 
10.0 REFERENCES ......................................................................................................35 
11.0 APPENDICES .......................................................................................................36 
11.1 
Appendix A ECOG Performance Status[11] ......................................................36 
11.2 
Appendix B. UNCH Hematology Oncology Outpatient Clinic Intake – 
Symptom Report Form ...................................................................................................37 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
1 
1.0 
BACKGROUND AND RATIONALE 
1.1 
Study Synopsis 
This is a non-randomized, open-label multicenter phase II trial of 38 patients with recurrent 
or metastatic SCCHN.  Patients must have ECOG performance status of 0-1 with good 
organ function and will be treated with six weekly cycles of carboplatin, paclitaxel and 
cetuximab.  Following assessment of response, the treating physician at their discretion 
may continue to treat with weekly cetuximab as maintenance until disease progression.  
The study is designed to evaluate whether this regimen improves median overall survival 
(OS) as compared to an historical control population treated with a platinum plus 5-
fluorouracil (5-FU). There is currently no agreed upon first line therapy for recurrent or 
metastatic SCCHN; regimen options are highly toxic, inconvenient and resource intensive.  
Our study regimen has been used extensively for induction therapy and off-protocol in 
palliative care, but treatment outcomes have yet to be defined by a clinical trial.  
1.2 
Squamous Cell Carcinoma of the Head and Neck 
The incidence of SCCHN in the United States in 2013 was estimated at 43,640 cases[1].  
Patients arrive at a designation of having “incurable” head and neck cancer somewhat 
differently from other cancers.  For example, while 75% of lung cancer patients present 
with metastatic disease, <10% of patients with SCCHN present with metastases.  Risk 
factors for distant metastases include primary site (as shown in Table 1 below), nodal 
status, tumor size, age and race. [2]  
 
Table 1. Risk of Metastases by Primary Tumor Site 
Site 
SEER 
(n) 
 
Metastatic at 
Presentation 
95% CI 
N 
% 
Lip 
5,975 
20 
0.33% 
0.20-0.52% 
Oral Cavity 
16,385 
320 
1.95% 
1.75-2.18% 
Oropharynx 
17,783 
729 
4.10% 
3.81-4.40% 
Hypopharynx 
1,866 
128 
6.86% 
5.75-8.10% 
Supraglottis 
8,114 
270 
3.33% 
2.95-3.74% 
Glottis 
13,085 
87 
0.66% 
0.53-0.82% 
Subglottis 
356 
12 
3.37% 
1.75-5.81% 
Sinus 
1,068 
69 
6.46% 
5.06-8.11% 
Nasopharynx 
2,610 
177 
6.78% 
5.85-7.81% 
 
The relevant population is unfortunately much larger, because a substantial portion of 
patients will eventually become incurable because of local recurrence and/or metastatic 
spread.   


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
2 
1.3 
Chemotherapy for SCCHN 
Typically, definitive (curative) approaches include surgery and radiotherapy and may 
include one or more anti-neoplastic drugs.  Induction or neo-adjuvant chemotherapy is 
chemotherapy given prior to definitive therapy.  Unlike most cancers where studies are 
initially performed in the metastatic setting and then extended to adjuvant use, much drug 
development in head/neck cancer has been studied in the induction setting, creating an 
opportunity for extension to the metastatic and recurrent setting.  
 
As a consequence of high rates of early presentation, curative therapy may have been 
attempted one or more times prior to a shift in goals of care to non-curative therapy.  When 
a cure is no longer possible, or when curative attempts have too low a probability of 
success relative to expected risks, functional deficits, or poor cosmetic results, the focus of 
care turns towards extension of duration of life and improvement in quality of life.  
 
Limited data make the exact portion of patients who could benefit from palliative therapy 
difficult to estimate. With more than 40,000 new cases per year (25% of which will 
ultimately be fatal), over 13,000 patients per year in the US alone will be eligible for 
palliative therapy (SEER, cancer.gov).  However, the rising incidence of human 
papillomavirus (HPV)-related oropharynx cancer and the continuing pandemic of smoking 
make these estimates, likely conservative. Despite this sizeable number, palliative head and 
neck regimens are under-studied.  In the history of palliative head and neck oncology, there 
has been only 1 positive phase III study, the EXTREME trial.[3]  
 
In the EXTREME trial, 442 patients with recurrent or metastatic SCCHN were assigned to 
a first-line regimen of platinum (cisplatin [100 mg/m2 on day 1] or carboplatin [area under 
the concentration x time curve [AUC] of 5mg/mL/min for 60 minutes on day 1]) plus 
fluorouracil (1000 mg/m2 per day for four days) every three weeks with or without 
cetuximab (400 mg/m2 for the initial dose, followed by subsequent weekly doses of 250 
mg/m2). Chemotherapy was given for a maximum of six cycles, although patients in the 
cetuximab arm who had at least stable disease received weekly cetuximab maintenance 
monotherapy until disease progression or toxicity. Chemotherapy plus cetuximab 
significantly prolonged OS compared with chemotherapy alone (median 10.1 versus 7.4 
months, hazard ratio for death 0.80, 95% CI 0.64-0.99). Significant improvements were 
also seen in median progression free survival (PFS): 5.6 versus 3.3 months and overall 
response (OR rates; complete response (CR) + partial response (PR)) of 36 versus 20 
percent, respectively. This regimen (EXTREME) is both toxic and insufficiently effective 
and thus, new effective therapies have a huge potential to alleviate suffering.  
 
No single regimen has been accepted as the standard first-line therapy in the management 
of locally recurrent or metastatic disease. Until the EXTREME regimen, no combination 
regimen demonstrated a survival advantage over any other regimen. However, most 
oncologists have not routinely accepted this three-medication regimen due to concerns 
about toxicity; 82% of the patients on the experimental arm experienced a grade 3 or 4 
event. Others find the infusional 5-FU inconvenient for the typical patient in that it requires 
surgical implantation of a PORT and an infusion pack for four days during therapy. In 
addition, infusional 5-FU may cause substantial toxicity, including mucositis and diarrhea, 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
3 
which can be especially problematic in nutritionally depleted patients with compromised 
performance status and GI integrity. The cisplatin-based regimen is also resource-intensive 
for the infusion room, requiring over 5 hours at UNC.  
 
Most patients, and many oncologists, prefer less toxic regimens when cure is not the goal 
of care.  Thus, in addition to rejecting cisplatin, other cytotoxic agents with unfavorable 
side effect profiles, such as 5-FU and docetaxel, are often rejected.  To gain popular usage, 
a regimen must be both effective in extending duration of life, and associated with an 
acceptable toxicity profile.  To this end, the most frequently used regimens in practice 
combine carboplatin, paclitaxel and cetuximab.   
 
Paclitaxel is as active as 5-FU in metastatic/recurrent SCCHN, but is less toxic and more 
convenient for the patient.  A phase III study, ECOG 1395, randomized patients with 
metastatic/recurrent SCCHN to cisplatin plus 5-FU or cisplatin plus paclitaxel.  Survival 
was comparable between the two arms, but toxicity favored paclitaxel: 
 
Grade 3-5 Toxicities (by arm) in ECOG 1395[4] 
Toxicity 
CF Arm (n=106) 
 
CP Arm (n=108) 
3 (%) 
4 (%) 
5 (%) 
3 (%) 
4 (%) 
5 (%) 
Leukopenia 
45 
18 
- 
27 
8 
- 
Granulocytopenia 
27 
40 
- 
25 
30 
- 
Thrombocytopenia 17 
6 
- 
3 
1 
- 
Anemia 
31 
2 
- 
9 
4 
- 
Infection 
15 
2 
4 
8 
1 
4 
Genitourinary 
2 
1 
- 
- 
1 
- 
Nausea 
18 
1 
- 
17 
1 
- 
Vomiting 
11 
7 
- 
6 
4 
- 
Diarrhea 
3 
3 
- 
1 
- 
- 
Stomatitis 
24 
7 
- 
- 
- 
- 
Hemorrhage 
- 
1 
1 
- 
- 
1 
Mucositis 
1 
- 
- 
- 
- 
- 
Liver 
1 
- 
- 
3 
- 
- 
Cardiac 
2 
- 
1 
2 
2 
- 
Hypotension 
2 
- 
- 
3 
2 
- 
Neurosensory 
4 
- 
- 
5 
- 
- 
Neuromotor 
3 
- 
- 
4 
- 
- 
Metabolic 
11 
4 
- 
8 
2 
- 
Fatigue 
8 
1 
- 
4 
3 
- 
Dehydration 
3 
2 
- 
4 
- 
- 
Other 
5 
- 
1 
5 
1 
- 
Worst Overall 
40 
50 
7 
33 
42 
5 
Abbreviations: CF, cisplatin plus fluorouracil; CP, cisplatin plus paclitaxel 
 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
4 
A phase II study of combination paclitaxel and cetuximab demonstrated a median PFS of 
4.2 months and median OS of 8.1 months. [5, 6] While carboplatin and paclitaxel have 
been studied in 3-week treatment cycles in patients with recurrent/metastatic SCCHN, 
weekly administration of these agents along with cetuximab is often utilized in clinical 
practice based on the favorable experience seen in the induction setting. [6, 7] [8] [9]  
However, this approach has never been prospectively validated in the metastatic/recurrent 
setting. 
 
Kies and associates treated 47 patients with locally advanced (N2b or greater) non-
metastatic disease with six weekly cycles of carboplatin AUC2, paclitaxel 135mg/m2 and 
cetuximab 400mg/m2 loading followed by 250mg/m2 weekly.  Post induction therapy, 
patients received radiation therapy alone (n=23), chemoradiation (n=23), or surgery alone 
(n=1) depending on their stage and quality of response to induction.  OR at the end of 
radiation therapy was 96% with a CR of 70%.  Of note, the subset of patients positive for 
HPV-16 experienced a better PFS and OS compared to those with tumors testing negative 
for HPV-16.  The most common non-hematologic toxicity during induction therapy was 
rash/folliculitis (grades 2 and 3 in 38% and 45% of patients, respectively), followed by 
fatigue (40% grade 2 and 2% grade 3), diarrhea (9% grade 2 and 9% grade 3) and sensory 
neuropathy (15% grade 2 and 2% grade 3).  The most common grade 2 to 4 hematologic 
toxicity was neutropenia (grades 2, 3, and 4 in 23%, 19%, and 2% of patients, 
respectively). There were no instances of febrile neutropenia. Dose reductions were needed 
in one patient for cetuximab and in four and two patients for paclitaxel and carboplatin, 
respectively. Treatment delays of ≥7 days occurred in 60% of patients. 
 
Wanebo et al, under the aegis of the ECOG, treated operable patients with stage III or IV 
disease with weekly carboplatin AUC2, paclitaxel 90mg/m2 and cetuximab 400mg/m2 
loading followed by cetuximab 250mg/m2 weekly for six weeks.  During therapy, patients 
underwent tumor-staging biopsies at the primary site until biopsy negativity.  Forty of 67 
evaluable patients had a clinical response to induction chemotherapy and 26 (65%) had a 
biopsy-proven CR.  After 50 Gy chemoradiation (concurrent with carboplatin AUC1, 
paclitaxel 30mg/m2 and cetuximab 250mg/m2) all patients who had not yet had a negative 
biopsy were biopsied—all were negative.  Together, the Kies and Wanebo reports provide 
very strong support for induction regimens that include a taxane, carboplatin, and 
cetuximab. 
1.6 
Study Rationale 
Because of their high response rates and low toxicity, the taxane, carboplatin, cetuximab 
regimens have frequently been adapted for use in the palliative setting.  At UNC, we have 
observed high rates of response, leading to symptomatic benefit and low toxicity.  Further, 
the regimen de-medicalizes the patient’s life in several important ways.  First, unlike with 
the EXTREME regimen, no PORT or 4 day infusion is required.  Second, the regimen 
gives only six weeks of cytotoxic therapy.  Finally, in our experience there is a low rate of 
severe toxicity and this, coupled with the high rate of response, may improve quality of 
life.  We are not aware of any presented or published results on the use of this combination 
in palliative therapy; with the adoption of this regimen in clinical practice, documentation 
of its benefit via conduct of a clinical trial is needed. 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
5 
 
 
We propose a study designed to detect an improvement in median OS versus a historical 
control.  The control arm from the EXTREME trial achieved a median OS of 7.4 months.  
We hypothesize that a less toxic and more effective 3-drug regimen will result in improved 
median OS compared with the control arm from EXTREME (median 7.4 months). The 
toxicity associated with EXTREME is primarily attributable to the cisplatin and 5FU 
cytotoxic backbone as its toxicity has been consistent in multiple studies of both palliative 
therapy and induction therapy. If a 4-month improvement in OS is achieved with 
acceptable toxicity, we will consider this regimen worth of further study. 
 
Secondary objectives will include characterizing changes in quality of life (QoL), symptoms 
and toxicities. Patients at UNC only will be encouraged to co-enroll into the UNCseq protocol 
for further exploration of associations between genetic changes and clinical outcomes. 
2.0 
STUDY OBJECTIVES 
2.1 
Primary Objective 
To estimate OS in recurrent or metastatic SCCHN after treatment with weekly carboplatin, 
paclitaxel and cetuximab for 6 weeks with or without the addition of maintenance weekly 
cetuximab 
2.2 
Secondary Objectives  
2.2.1 To estimate OR after study treatment in recurrent or metastatic SCCHN after treatment 
with weekly carboplatin, paclitaxel and cetuximab for 6 weeks  
2.2.2 To estimate PFS in recurrent or metastatic SCCHN patients treated with weekly 
carboplatin, paclitaxel and cetuximab for 6 weeks with or without the addition of 
maintenance weekly cetixumab 
2.2.3 To characterize grade 3 and 4 toxicities associated with this regimen as assessed via 
clinician assessment.   
2.2.4 To describe patient-reported symptoms associated with this regimen in SCCHN.  
2.2.5 To evaluate the impact of weekly carboplatin, paclitaxel and cetuximab on quality of life as 
measured by the FACT-HN questionnaire 
2.2.6 To estimate OS, PFS, and OR in HPV+ and HPV- patients separately (pre-planned 
subgroup analysis) 
2.2.7 To explore associations between OS, PFS, and OR with genetic information acquired from 
co-enrollment on LCCC1108 (UNC patients only) 
 
 
 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
6 
2.3 
Primary Endpoint 
2.3.1 OS is defined as the time from D1 of treatment under this protocol until death as a result of 
any cause.  
2.4 
Secondary Endpoints  
2.4.1 OR, CR and PR are defined per RECIST1.1   
2.4.2 PFS is defined as the time from D1 of treatment under this protocol until progression or 
death as a result of any cause.  
2.4.3 Clinicians will use NCICTCAEv4 for grading of toxicity; patients will report symptoms via 
the UNCH Hematology and Oncology Outpatient Clinic Intake – Symptom Report Form 
(see appendix B) 
3.0 
PATIENT ELIGIBILITY 
3.1 
Inclusion Criteria 
Subjects must meet all of the inclusion criteria to participate in this study:  
3.1.1 Age ≥ 18 years old 
3.1.2 Histologically or cytologically confirmed recurrent or metastatic Squamous Cell 
Carcinoma of the Head and Neck (SCCHN) 
 All primary sites are eligible excluding WHO type III or EBV nasopharyngeal 
(WHO type I and WHO type II allowed as long as they are EBV negative) 
3.1.3 ECOG performance status 0-1 
3.1.4 Adequate organ and marrow function as defined below.  Laboratory tests should be 
completed within 14 days prior to registration: 
 ANC  1,500/mm3 
 Platelets  100,000/mm3 
 HgB > 9g/dL (acceptable to reach this by transfusion) 
 Total bilirubin <1.5mg/dL 
 Albumin > 2.5 g/dL 
 AST(SGOT)/ALT(SGPT)  2.5X institutional upper limit of normal, alkaline 
phosphatase ≤ 2.5 x upper limit of normal  
 GFR > 30 mL/min (by standard Cockroft and Gault formula or measured via 24 
hour urine collection) 
3.1.5 Women of childbearing potential (WOCBP) with negative serum or urine pregnancy test 
within 7 days of D1 of treatment 


LCCC 1330 
 
CONFIDENTIAL 
PI: Jared Weiss MD 
 
UNIVERSITY OF NORTH CAROLINA 
Version/Date 10/9/2014 
 
 
 
7 
3.1.6 WOCBP and men must agree to use adequate contraception prior to study entry and for 
duration of treatment under this protocol; adequate contraception is defined as any 
medically recommended method (or combination of methods) per standard of care.   
3.1.7 Cancer must be considered incurable by the treating clinician 
3.1.8 Ability to understand and willingness to sign a written informed consent document 
3.2 
Exclusion Criteria 
Any subject meeting any of the following exclusion criteria at baseline will be excluded 
from study participation: 
3.2.1 History of prior cumulative exposure to > 300mg/m2 cisplatin, AUC of 18 of carboplatin, 
or their combined equivalent within one year prior to enrollment 
3.2.2 Surgery or definitive radiation within the four weeks prior to D1 of treatment under this 
protocol (there is no restriction on timing of palliative radiation) 
3.2.3 Prior systemic chemotherapy unless it was part of definitive-intent (curative intent) 
treatment more than 6 months before study entry 
3.2.4 Other active, invasive malignancy requiring ongoing therapy or expected to require 
systemic therapy within two years; localized squamous cell carcinoma of the skin, basal-
cell carcinoma of the skin, carcinoma in-situ of the cervix, or other malignancies requiring 
locally ablative therapy only will not result in exclusion 
3.2.5 Pregnant or lactating female 
4.0 
TREATMENT PLAN 
4.1 
Schema 
 
 
 
 
 
 
→ 
 
 
 
 
 
 
 
 
 
 
E
N
R
O
L 
L
M
E
N
T 
Cetuximab 400mg/m
2 week 1; 
250mg/m
2 weeks 2-6 
Paclitaxel 135mg/m
2 IV weekly 
for 6 weeks 
Carboplatin AUC2 IV weekly for 
6 weeks 
Assess response 
If PD1, 
discontinue 
protocol 
treatment and 
change to 
standard of care 
second line 
therapy or 
hospice. 
If SD, PR or CR1, 
treat per standard of 
care.  Study strongly 
recommends 
maintenance 
cetuximab 
250mg/m
2 IV weekly 
Continue cetuximab, if patient 
and MD in agreement 
Assess response 


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1PD = progressive disease; SD = stable disease; PR = partial response; CR = complete 
response.  See section 6.7.3 for more details.  
 
A 6-week course of weekly carboplatin, paclitaxel and cetuximab at the doses outlined in 
the above schema will be administered to 38 patients with recurrent or metastatic SCCHN.  
Once protocol therapy is complete, cetuximab may be continued if patient and physician 
agree. Within 3 weeks of end of protocol therapy, response will be assessed, and if the 
patient has achieved at least stable disease (SD), the treating physician at their discretion 
may continue to treat with weekly cetuximab as maintenance until progression.  Imaging 
during maintenance will be repeated at the discretion of treating physician, with a 
suggested schedule of every 6-9 weeks.    
4.2 
Treatment Dosage and Administration 
See section 5.0 for more detailed information on individual drugs, including recommended 
hydration and associated toxicities.   
 
4.2.1 Cetuximab  
While in clinic, patients should receive 0.9% Sodium Chloride at 100 mL/hr, or per 
institutional standard. The first infusion of cetuximab (day 1 week 1) will be administered 
at 400mg/m2 and infused over 120 minutes (maximum infusion rate of 10mg/min).   
Subsequent weekly infusions (day 1 of weeks 2-6) of cetuximab will be dosed at 250mg/m2 
and infused over 60 minutes (maximum infusion rate of 10mg/min).  Actual body weight 
will be used to calculate dose, and cetuximab should be administered with the use of a low 
protein binding 0.22-micrometer in-line filter. Monitor patients for 1 hour following 
cetuximab infusions in a setting with resuscitation equipment and other agents necessary to 
treat anaphylaxis (eg, epinephrine, corticosteroids, intravenous antihistamines, 
bronchodilators, and oxygen).  
 
Please see section 4.2.4 for important information on premedications and monitoring 
during administration, and section 4.4.1 for adjustments in infusion if patient experiences 
infusion-related reactions.   
Drug 
Dose and Route 
Infusion 
Duration 
Schedule 
Cetuximab 
 
400mg/m2 IV loading dose  
 
120 min 
Day 1 week 1a 
 
250mg/m2 IV maintenance dose 
60 min 
Day 1 weeks 2-6b 
Paclitaxelc 
135mg/m2 IV (post cetuximab) 
30 min 
Day 1 weeks 1-6a 
Carboplatinc 
AUC2  IV (post paclitaxel) 
30 min 
Day 1 weeks 1-6a 
a Each week of chemotherapy is considered one cycle of therapy. 
b Cetuximab may be continued weekly at the discretion of the investigator provided the patient has 
achieved at least SD at the time of first tumor imaging 
c Patients for whom cetuximab is discontinued due to grade 3-4 infusion reactions may complete the 
protocol therapy with carboplatin and paclitaxel alone. 


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4.2.2 Paclitaxel 
Paclitaxel 135mg/m2 will be infused over 30 minutes.  Paclitaxel should be infused before 
carboplatin. Paclitaxel should be administered through an in-line filter with a microporous 
membrane not greater than 0.22 microns. Actual body weight will be used for the 
calculation. On the day treatment with paclitaxel is due, if patient weight has changed by 
>10%, recalculate the body surface area and dose of paclitaxel.   
4.2.3 Carboplatin 
Carboplatin will be infused at an AUC of 2, with the dose calculated using the Calvert 
equation (total dose (mg) = (target AUC) x (GFR +25).  The dose will be re-calculated 
prior to every cycle in order to adjust for any potential change in renal function as assessed 
via serum creatinine (also checked each cycle). The patient’s glomerular filtration rate 
(GFR) as creatinine clearance (CrCL) in mL/min will be calculated using the Cockcraft-
Gault formula, with weight defined as actual body weight: 
 
For males:  Creatinine clearance (GFR) (mL/min) = (140 – age) x weight in kilograms 
                                                                                        
72 x serum creatinine in mg/dl 
 
For females: use same formula but multiply by 0.85 for creatinine clearance 
 
A maximum GFR of 125 mL/min will be used.  Therefore, the maximum dose of 
carboplatin possible in this study will be 300 mg.  The carboplatin will be infused over 30 
minutes.  Carboplatin should be administered after paclitaxel. 
4.2.4 Premedications  
Cetuximab  
As discussed in the adverse events section (see section 5.1.4), the rate of infusion reaction 
to cetuximab is much higher in the Southeast than other areas of the country.  Therefore, at 
UNC the following procedures will be recommended during the administration of 
cetuximab: 
 Premedicate all cetuximab infusions with diphenhydramine 50 mg PO or IV (may 
be reduced to 25mg at treating clinician discretion) and dexamethasone 8-20 mg PO 
or IV. 
 Administer an H2 blocker (e.g. cimetidine) PO or IV.   
 Patient to be observed one-on-one with first treatment.   Physician, physician’s 
assistant (PA), or nurse practitioner (NP) must be present at initiation and through 
at least the first 15 minutes of first infusion. 
 Discontinue cetuximab for bronchospasm and/or anaphylaxis. 
 Have available at bedside:  O2, epinephrine for subcutaneous administration 
(1:1000, 0.3mg) and methylprednisolone 125 mg IV.  Administer epinephrine SQ 
immediately at the first sign of possible anaphylaxis as physician is being notified.  
Administer methylprednisolone 125 mg IV for symptomatic anaphylactoid 
reactions (rash, hives, wheezing, light headedness) with hypotension. 
 
 


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Paclitaxel and Carboplatin 
Premedications will not be mandated by protocol, but provided per institutional guidelines.  
Standard recommendations include oral ondansetron 24mg PO (or 8mg IV), oral cimetidine 
300mg (or other H2 blocker) and oral dexamethasone 10mg; but these are not mandatory. 
Prophylactic aprepitant will not be recommended, but will be allowed both in the primary 
prophylactic and in the secondary prophylactic setting. 
 
Other regimens may be optimal for the care of individual patients.   
4.3 
Supportive Care Guidelines 
 
4.3.1 Anti-emetic Medications 
Section 4.2.4 includes recommendations for primary prophylactic anti-emetic regimens for 
carboplatin and paclitaxel chemotherapy.  The study further recommends, but does not 
mandate, that all patients be provided with a prescription for ondansetron 8mg to be used 
every 8 hours as needed during the first three days following any given treatment and 
prochlorperazine 10mg to be used every 6 hours as needed during subsequent days.  
Optimal supportive care involves adjustment of antiemetic medications by experienced 
practitioners and the study endorses such adjustment as needed.  Other medications 
frequently helpful for the treatment of chemotherapy-induced nausea and vomiting include 
metoclopramide, lorazepam, diphenhydramine, steroids, and olanzapine. 
4.3.2 Growth factors 
Use of erythropoietin stimulating agents (ESAs) will not be permitted during 
chemotherapy.  The use of prophylactic filgrastim (G-CSF) during induction chemotherapy 
may be considered (see table in section 4.4.2).  Peg-filgrastim (Neulasta®) is not permitted.  
The use of filgrastim will be permitted at the discretion of the treating physician in patients 
with low blood counts that threaten treatment continuity.  Filgrastim administration is 
strongly advised in patients who have previous febrile neutropenia or who have treatment 
delays due to neutropenia.  When filgrastim is used, it should be administered per 
investigator/institution’s standard of care.  The number of days of filgrastim is up to the 
discretion of the treating MD; however, to protect patient safety, the patient must start at 
least 24 hours after the dose of chemotherapy and stop at least 48 hours prior to the next 
dose.  The dose of the filgrastim can be adjusted based on the investigator’s discretion.  
4.4 
Toxicities and Dosing Delays/Dose Modifications 
Any patient who receives any treatment on this protocol will be evaluable for toxicity.  
Each patient will be assessed periodically for the development of any toxicity according to 
the Time and Events table.  Toxicity will be assessed according to the NCI Common 
Terminology Criteria for Adverse Events (CTCAE), version 4.0. Dose adjustments should 
be made according to the system showing the greatest degree of toxicity.  Patients for 
whom cetuximab is discontinued due to grade 1-2 infusion reactions may complete the 
protocol therapy with carboplatin and paclitaxel alone. 


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4.4.1 Dose delays and dose modifications of cetuximab for toxicity 
Dose adjustments are based on highest grade toxicity occurring any time during each 
weekly cycle: 
 
Toxicity  
Cetuximab Modification for Subsequent 
Administration 
Infusion Reaction 
 
Grade 1-2 
Reduce infusion rate by 50%3 
Grade 3-4 
Permanently discontinue cetuximab1 
 
Acneform rash 
 
≤Grade 2 
Maintain dose 
≥Grade 3 first occurrence 
Hold cetuximab for 1-2 weeks then resume at 
full dose 
≥Grade 3 repeat occurrence 
Hold cetuximab for 1-2 weeks then resume at 
reduced dose2 
1Permanent discontinuation is consistent with guidelines and standard of care in Southeastern 
United States.  Patients for whom cetuximab is discontinued due to grade 3-4 infusion reactions 
may complete the protocol therapy with carboplatin and paclitaxel alone. 
2After the second occurrence of grade 3-4 acneform rash, cetuximab will be held 1-2 weeks, 
until it has improved to < grade 3.  For the second occurrence of grade 3-4 acneform rash, 
cetuximab will be restarted at 200mg/m2.  For the third occurrence of grade 3-4 acneform rash, 
cetuximab will be restarted at 150mg/m2.  During weeks when cetuximab is held, carboplatin 
and paclitaxel chemotherapy will continue. 
3 If successfully rechallenged at this lower infusion rate, it is acceptable to later re-increase back 
towards standard infusion rate 
4.4.2 Suggested dose delays and dose modifications for paclitaxel and carboplatin 
For AEs that require dose reductions of paclitaxel or carboplatin, please refer to the dose 
levels in the following table: 
 
Dose Level 
Paclitaxel (mg/m2) 
Carboplatin  
(AUC) 
0 
(starting dose) 
135 
2 
-1 
100 
1.7 
-2 
80 
1.4 
 
Both carboplatin and paclitaxel are FDA approved chemotherapy agents that are routinely 
dose-adjusted by oncologists outside of protocol settings.  Given the high level of clinical 
experience with these medications, clinicians can better individualize dose-reductions than 
rigid guidelines.  Therefore, when dose adjustment is required, the treating clinician shall 
decide whether to dose-reduce one or both agents; adjustments in the table above are 
suggested. Suggested dose delays and modifications for specific toxicities are made in the 
table below. 
 
 


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Toxicity on 
treatment days 
Dose Level for Subsequent 
Administration 
If ANC <1, hold 2 
treatment for that day.  
Resume the following 
week with the next dose 
(held dose is delayed, not 
missed). Resume per 
table when next dose is 
due if ANC ≥1 
Neutropenia1 
Paclitaxel 
Carboplatin 
Grade 2 w/o fever 
(ANC <1500/mm3 to 
1,000/mm3 
Maintain dose4; 
consider G-CSF 
Maintain dose4; 
consider G-CSF 
Grade 3 w/o fever 
(ANC <1000/mm3 to 
500/mm3 
↓1 dose level; 
strongly consider G-
CSF 
↓1 dose level; 
strongly consider 
G-CSF 
Grade 4 neutropenia 
(ANC <500/mm3 or 
Febrile neutropenia3) 
↓2 dose levels; 
strongly consider G-
CSF 
↓2 dose levels; 
strongly consider 
G-CSF 
 
If platelets <75K, hold 2 
treatment for that day.  
Resume the following 
week with the next dose 
(held dose is delayed, not 
missed). Resume per 
table when next dose is 
due if platelets ≥75K 
Thrombocytopenia 
Paclitaxel 
Carboplatin 
≤Grade 1 
Maintain dose 
Maintain dose 
Grade 2 (Plt 50,000-
74,999) 
Hold dose then ↓1 
dose level 
Hold dose then 
↓1 dose level 
≥Grade 3 (<50,000) 
Hold dose then ↓2 
dose levels 
Hold dose then↓2 
dose levels 
 
If Hgb<8 g/dL, transfuse 
PRBCs.  Once Hgb is > 
8, therapy may resume.  
Anemia 
Paclitaxel 
Carboplatin 
≥Grade 2 (Hgb <10) 
Transfusion may be 
used as needed to 
maintain Hgb. If 
contraindicated or 
inadequate ↓1 dose 
level will be 
permitted but not 
required for Hgb<8 
↓1 dose level will 
be permitted but 
not required for 
Hgb<8. 
 
If ≥ grade 3, hold2 
treatment for that day. 
Resume per table when 
next dose is due if 
≤grade 1 
Sensory neuropathy 
Paclitaxel 
Carboplatin 
≤Grade 2 
↓1 dose level 
Maintain dose 
Grade 3 
↓2 dose levels  
↓1 dose level 
Grade 4 
↓2 dose levels  
↓2 dose levels 
1Filgrastim may be used for ANC<1500 at the investigator’s discretion provided they are not substituted 
for a required dose reduction. See section 4.3.2 for instructions on dose and duration; peg-filgrastim 
(Neulasta®) is NOT permitted)   
2Hold offending agent(s) as identified in table.  If have to hold > 2 weeks, discontinue agent(s) 
3 Febrile neutropenia is typically treated with hospital admission and IV antibiotics, but low risk cases 
may be treated on an outpatient basis. 
In the event of treatment delays, patients will be treated to a total six doses of combined therapy. 
 
 


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Toxicity on 
treatment days 
Dose Level for Subsequent 
Administration 
If bilirubin >2mg/dL, 
hold 1 treatment for that 
day. Resume per table 
when next dose is due if 
bilirubin <2mg/dL 
Hyperbilirubinemia 
Paclitaxel 
Carboplatin 
≤Grade 2 
Maintain dose 
Maintain dose 
≥Grade 3 
↓1 dose level 
↓1 dose level 
 
If transaminases ≥3 x 
ULN hold 1 treatment for 
that day. Resume per 
table when next dose is 
due if transaminases < 3 
x ULN 
Transaminase 
elevation 
Paclitaxel 
Carboplatin 
Grade 1 
Maintain dose 
Maintain dose 
 
Grade 2 
 
↓1 dose level 
Maintain dose 
≥Grade 3 
↓2 dose levels  
↓1 dose level 
 
If SCr >2 mg/dL, hold1 
treatment for that day. 
Resume per table when 
next dose is due if SCr<2 
mg/dL 
Renal toxicity 
Paclitaxel 
Carboplatin 
 
≤Grade 2 
 
Maintain dose 
Maintain dose 
≥Grade 3 
↓1 dose level 
Maintain dose 
 
Hold1 dose of suspected 
offending agent(s) until 
toxicity resolves to 
≤Grade 1, then resume 
treatment with dose 
adjusted per table.     
Other non-specified4 
Paclitaxel 
Carboplatin 
≥ Grade 3 
↓1 dose level 
↓1 dose level 
1Hold offending agent(s) as identified in table.  If have to hold > 2 weeks, discontinue agent(s) 
4.5 
 Duration of Protocol-directed Therapy 
In the absence of treatment delays due to adverse events, treatment may continue at the 
discretion of the investigator for 6 cycles unless: 
 Disease progression 
 Inter-current illness that prevents further administration of treatment 
 Unacceptable adverse event(s) 
 Pregnancy 
 Patient decides to withdraw from the study, OR 
 General or specific changes in the patient’s condition render the patient 
unacceptable for further treatment in the judgment of the investigator. 


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4.6 
Duration of Follow Up 
Patients will be followed for PFS and OS through chart review until they are lost to follow 
up, die or three years has passed since patient completed protocol therapy. 
4.7 
Removal of Patients from Protocol Therapy 
Patients will be removed from protocol therapy and the PI notified when any of the criteria 
listed in section 4.5 apply.  The reason for discontinuation of protocol therapy will be 
documented on the eCRF.   
 
In case a patient decides to prematurely discontinue protocol therapy (“refuses treatment”), 
the patient should be asked if she or he may still be contacted for further scheduled study 
assessments. The outcome of that discussion should be documented in both the medical 
records and in the eCRF. 
 
Excessive patient withdrawals from protocol therapy or from the study can render the study 
un-interpretable; therefore, unnecessary withdrawal of patients should be avoided. 
4.8 
Study Withdrawal 
If a patient decides to withdraw from the study (and not just from protocol therapy) all 
efforts should be made to complete and report study assessments as thoroughly as possible. 
The investigator should contact the patient or a responsible relative by telephone or through 
a personal visit to establish as completely as possible the reason for the study withdrawal. 
A complete final evaluation at the time of the patient’s study withdrawal should be made 
with an explanation of why the patient is withdrawing from the study. If the reason for 
removal of a patient from the study is an adverse event, the principal specific event will be 
recorded on the eCRF. 
5.0 
DRUG INFORMATION 
5.1 
Cetuximab (Erbitux®)  
Please refer to cetuximab prescribing information revised in August, 2013 (see 
http://packageinserts.bms.com/pi/pi_erbitux.pdf) for detailed information.   
5.1.1 Supplier/How Supplied 
Commercial supplies of cetuximab will be used for this study. It is available at a 
concentration of 2mg/mL as a 100mg/50mL single-use vial or as a 200 mg/100mL single 
use vial.  
5.1.2 Dose and Schedule (see section 4.2) 
5.1.3 Adverse Events Associated With Cetuximab 
The most common adverse reactions with cetuxumab (incidence ≥25%) are cutaneous 
adverse reactions (including rash, pruritus, and nail changes), headache, diarrhea, and 
infection.  The most serious adverse reactions with cetuximab are infusion reactions, 
cardiopulmonary arrest, dermatologic toxicity and radiation dermatitis, sepsis, renal failure, 


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interstitial lung disease, and pulmonary embolus.   Particular warnings and precautions 
(described in more detail in the prescribing information) associated with cetuximab include 
the following: 
 
  
Infusion Reactions 
Serious infusion reactions, requiring medical intervention and immediate, permanent 
discontinuation of cetuximab, included rapid onset of airway obstruction (bronchospasm, 
stridor, hoarseness), hypotension, shock, loss of consciousness, myocardial infarction, 
and/or cardiac arrest. Approximately 90% of severe infusion reactions occurred with the 
first infusion despite premedication with antihistamines, usually within minutes of starting 
the infusion. Infusion reactions have been reported to occur at a higher incidence in patients 
from the Southeastern part of the United States, including at least North Carolina and 
Tennessee.  The overall rate of grade 3 to 4 hypersensitivity reactions during the first dose 
in a dataset of 88 patients treated within clinical trials, and 55 treated outside of clinical 
trials was 22% [10].   
 
Cardiopulmonary Arrest 
Cardiopulmonary arrest and/or sudden death occurred in 4 (2%) of 208 patients treated 
with radiation therapy and cetuximab as compared to none of 212 patients treated with 
radiation therapy alone in a randomized, controlled trial in patients with SCCHN.  
 
Pulmonary Toxicity 
Interstitial lung disease (ILD), including 1 fatality, occurred in 4 of 1570 (<0.5%) patients 
receiving cetuximab in clinical trials.  
 
Dermatologic Toxicity 
Dermatologic toxicities, including acneform rash, skin drying and fissuring, paronychial 
inflammation, infectious sequelae (for example S. aureus sepsis, abscess formation, 
cellulitis, blepharitis, conjunctivitis, keratitis, cheilitis), and hypertrichosis occurred in 
patients receiving cetuximab therapy. Acneform rash occurred in 76–88% of 1373 patients 
receiving cetuximab in clinical trials. Severe acneform rash occurred in 1–17% of patients. 
Acneform rash usually developed within the first two weeks of therapy and resolved in a 
majority of the patients after cessation of treatment, although in nearly half, the event 
continued beyond 28 days.  
 
Hypomagnesemia and Electrolyte Abnormalities 
In patients evaluated during clinical trials, hypomagnesemia occurred in 55% of patients 
(199/365) receiving cetuximab and was severe (NCI CTC Grades 3 and 4) in 6–17%. The 
onset of hypomagnesemia and accompanying electrolyte abnormalities occurred days to 
months after initiation of cetuximab.  
5.2 
Paclitaxel (Taxol®) 
Please refer to paclitaxel prescribing information (April 2011) 
(http://packageinserts.bms.com/pi/pi_taxol.pdf) for complete information. 


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5.2.1 Supplier/How Supplied  
Paclitaxel is available in 30 mg (5 mL), 100 mg (16.7 mL), and 300 mg (50 mL) multidose 
vials. It is supplied as a nonaqueous solution intended for dilution with a suitable parenteral 
fluid prior to intravenous infusion. Commercially available supplies will be used for this 
study. 
5.2.2 Preparation and Administration 
Paclitaxel must be diluted prior to infusion. Paclitaxel should be diluted in 0.9% Sodium 
Chloride Injection, USP; 5% Dextrose Injection, USP; 5% Dextrose and 0.9% Sodium 
Chloride Injection, USP or 5% Dextrose in Ringer’s Injection to a final concentration of 
0.3 to 1.2 mg/mL. The solutions are physically and chemically stable for up to 27 hours at 
ambient temperature (approximately 25°C) and room lighting conditions. Parenteral drug 
products should be inspected visually for particulate matter and discoloration prior to 
administration whenever solution and container permit. 
 
Procedures for proper handling and disposal of anticancer drugs should be considered. 
To minimize the risk of dermal exposure, always wear impervious gloves when handling 
vials containing paclitaxel. If paclitaxel solution contacts the skin, wash the skin 
immediately and thoroughly with soap and water. Following topical exposure, events have 
included tingling, burning, and redness. If paclitaxel contacts mucous membranes, the 
membranes should be flushed thoroughly with water.  
 
Paclitaxel will be infused intravenously over 30 minutes prior to carboplatin.  Actual body 
weight will be used for the calculation.   
5.2.3 Dose and Schedule (see section 4.2) 
5.2.4 Adverse Events Associated With Paclitaxel 
Some of the adverse events expected with paclitaxel treatment are listed below. 
 
Hematologic: Hematologic side effects including bone marrow suppression have been the 
major dose-limiting toxicity. Neutropenia less than 2,000cells/mm3 (90%) is the most 
important hematological toxicity. Neutropenia was both dose and schedule dependent, and 
was generally rapidly reversible. The onset of neutropenia generally occurs after 8 to 10 
days and recovery generally occurs after 15 to 21 days.  Leukopenia less than 4,000 
cells/mm3 (90%) and less than 1,000 cells/mm3 (17%), thrombocytopenia less than 100,000 
cells/mm3 (20%) and less than 50,000 cells/mm3 (7%), and anemia less than 11 g/dl (78%) 
and less than 8 g/dl (16%) have been reported. Infections (30%), bleeding (14%), red cell 
transfusions (25%) and platelet transfusions (2%) have been reported.  
 
Allergic reactions: Hypersensitivity side effects were observed in 41% of all study patients; 
severe reactions (2%) have been reported. The most frequent symptoms observed during 
the severe reactions were dyspnea, flushing, chest pain and tachycardia. Minor 
hypersensitivity reactions consisted mostly of flushing (28%), rash (12%), hypotension 
(4%), dyspnea (2%), tachycardia (2%), and hypertension (1%). These reactions can be 
successfully managed with standard epinephrine, corticosteroid, and antihistamine therapy. 


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Cardiovascular: Hypotension during infusion occurred in 12% of all patients and in 3% of 
all courses administered. Significant cardiovascular events possibly related to paclitaxel 
occurred in approximately 1% of all patients. Abnormal ECG readings have been reported 
in 23% of all patients receiving paclitaxel and in 14% of the patients with normal baseline 
ECGs. The most frequently reported ECG modifications were nonspecific repolarization 
abnormalities, sinus bradycardia, sinus tachycardia and premature beats. 
 
Neurologic: Nervous system side effects including neurotoxicity, primarily including 
peripheral neurosensory manifestations (60%), have generally been mild to moderate in 
severity. However, severe symptoms (3%) have also been reported. Other serious 
neurologic events (<1%) have been reported including grand mal seizures, syncope, ataxia, 
neuroencephalopathy and autonomic neuropathy resulting in paralytic ileus. 
 
The frequency and severity of neurologic manifestations have been dose dependent and 
cumulative. 
 
Gastrointestinal: Gastrointestinal side effects including nausea and vomiting (52%), 
diarrhea (38%) and mucositis (31%) have been reported. Intestinal obstruction, intestinal 
perforation and ischemic colitis have been reported rarely. Three cases of pancreatitis have 
also been reported. Gastrointestinal effects can generally be treated with standard 
antiemetic antidiarrheal therapy and dietary changes. 
 
Hepatic toxicity: Hepatic side effects including elevations in bilirubin (7%), alkaline 
phosphatase (22%) and AST (SGOT) (19%) have been reported in patients with normal 
baseline levels. Hepatic necrosis and hepatic encephalopathy leading to death have been 
reported rarely.  
 
Other: Musculoskeletal side effects including myalgia and/or arthralgia (60%), including 
severe symptoms (8%) have been reported. Nausea/vomiting, diarrhea, and mucositis were 
reported by 52%, 38% and 31% of all patients, respectively. 
5.3 
Carboplatin (Paraplatin®)  
Please refer to carboplatin prescribing information (see 
(http://packageinserts.bms.com/pi/pi_paraplatin.pdf for detailed information). Last update 
is July 2010.   
5.3.1 Supplier/How Supplied 
Carboplatin is available as an aqueous solution for injection in single-dose vials containing 
50mg, 150 mg, 450 mg, or 600 mg for administration by intravenous infusion.   
Commercially available supplies will be used for this study.   
5.3.2 Preparation, Hydration and Administration 
The appropriate dose of carboplatin aqueous solution should be further diluted per 
institutional guidelines.  While in clinic, patients should receive 0.9% Sodium Chloride at 


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100 mL/hr, or per institutional standard.  The carboplatin infusion should start after the 
completion of paclitaxel, and should be infused over 30 minutes.  
5.3.3 Dose and Schedule (see section 4.2) 
5.3.4 Adverse Events Associated With Carboplatin 
Incidence rates of adverse events associated with carboplatin are provided in the product 
Prescribing Information (see http://packageinserts.bms.com/pi/pi_paraplatin.pdf). Some of 
the adverse events expected with carboplatin treatment are listed below. 
 
Hematologic: Myelosuppression is dose-dependent and the major dose-limiting toxicity. 
Thrombocytopenia with platelet counts below 50,000/mm3 occurs in 25% of patients; 
neutropenia with granulocyte counts below 1,000/mm3 occurs in 16% of the patients; and 
leukopenia with WBC counts below 2,000/mm3 occurs in 15% of patients. By Day 28, 
thrombocytopenia, neutropenia, leukopenia, typically resolve in patients receiving single-
agent carboplatin. Anemia is common: 71% of patients who started therapy with a baseline 
above 11g/dL experienced anemia.   
 
Allergic reactions: Hypersensitivity to carboplatin has been reported in 2% of patients 
receiving the drug. Symptoms include rash, urticaria, erythema, pruritus, and rarely 
anaphylaxis with bronchospasm and hypotension. The reactions can be successfully 
managed with standard epinephrine, corticosteroid, and antihistamine therapy. 
 
Neurologic: Peripheral neuropathies have been observed in 4% of patients receiving 
carboplatin with mild paresthesia being the most common. 
 
Gastrointestinal: Nausea and vomiting are the most common GI events; both usually 
resolve within 24 hours and respond to antiemetics. Other GI events include diarrhea (6%), 
constipation (6%), and gastrointestinal pain (17%). 
 
Hepatic toxicity: Elevated alkaline phosphatase, total bilirubin, and AST have been 
observed. 
 
Other: Pain and asthenia are the most common miscellaneous adverse events. Alopecia has 
been reported in 3% of the patients taking carboplatin. 


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6.0 
EVALUATIONS AND ASSESSMENTS 
Procedure 
Screening1/ 
Baseline 
Day 1 (+/- 1 
day) of every 
weekly cycle 
for 6 weeks2  
Post protocol 
directed 
therapy 
prior to 
response 
assessment 
Post-therapy 
assessment 3 
(3 weeks after carboplatin 
and paclitaxel completed) 
First follow-
up4 
Chart review of 
subsequent follow 
up 
Study Eligibility 
X 
 
 
 
 
 
Informed Consent 
X 
 
 
 
 
 
Document HPV status 
X 
 
 
 
 
 
Medical History 
X5 
 
 
 
 
 
Urine or serum pregnancy (if 
applicable) 
X6 
 
 
 
 
 
Physical Exam 
X7 
X 
 
X 
X 
 
ECOG Performance Status8 
X 
X 
 
X 
X 
 
Weight 
X 
X2 
 
X 
X 
 
CBC w/differential  
X 
X 
 
X 
 
 
Serum chemistries9 
X 
X 
 
X 
 
 
Calculated CrCl 
X 
X10 
 
 
 
 
Liver function tests11 
X 
X 
 
X 
 
 
Radiographic tumor evaluation12 
X 
 
 
X 
X 
X 
QOL (FACT-HN)13 
X 
 
 
X 
X 
 
UNCH symptom report form 
X 
X 
 
X 
X 
 
Toxicity assessment 
X 
X 
 
X14 
X 
 
Carboplatin 
 
X2 
 
 
 
 
Paclitaxel 
 
X2 
 
 
 
 
Cetuximab 
 
X2 
X15 
X16 
 
 
Co-enrollment into LCCC1108 
X17 
 
 
 
 
 
Survival assessment 
 
 
 
 
X 
X4 
 
End of protocol-directed 
therapy 


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Key to Time and Events Table 
 
1Unless otherwise noted, screening evaluations to take place within 2 weeks prior to day 1 of study 
treatment.  For D1 of week 1, if screening (baseline) evaluations were performed within 7 days of D1 of 
treatment, these do not need to be repeated.   
 
2Paclitaxel, cetuximab and carboplatin administered weekly for 6 weeks.  
 
3This clinic visit should take place 3 weeks (+/-1 week) after patient completes carboplatin/paclitaxel 
treatment or ceases therapy for other reasons (including early discontinuation) 
 
4First follow-up should take place in clinic 8-12 weeks post end of therapy visit. Follow-up data for 
survival will be abstracted from the medical record for up to 3 years post study completion or death, 
whichever occurs first.  Patients who come off study therapy for reasons other than progression will have 
their records abstracted for 3 years. Date of progression of disease will be abstracted if available. The 
interval of follow up will be per the standard of care practice of the treating clinician.   
 
5Complete medical history at baseline to include demographics, HPV status and smoking history 
 
6To be done within 7 days prior to day 1 of treatment in women of childbearing potential 
 
7 Physical examination to include height at baseline only, and complete examination of head and neck  
 
8See Appendix A 
 
9Serum chemistries to include sodium, potassium, chloride, bicarbonate, BUN, serum creatinine, calcium, 
magnesium, total protein, albumin.  Each time serum chemistries are scheduled, it is recommended to also 
check for serum glucose for all patients.  However, for patients without diabetes, if glucose testing is not 
covered by insurance, glucose testing will not be mandated by the protocol.   
 
10See section 4.2.3. 
 
11Liver function tests (total bilirubin, alkaline phosphatase, AST, ALT)  
 
12When possible, the same method of evaluation should be used throughout study and may include CT or 
MRI of the neck, and chest imaging (x-ray or CT scan at discretion of physician).   CT of the neck should 
have IV contrast unless contraindicated (allergy or adverse reaction or renal issues).  Screening radiologic 
evaluation may take place within 4 weeks of treatment initiation. 
 
13Can be printed from Oncore 
 
14Patients who have an ongoing Grade 4 toxicity at the time of discontinuation from treatment will 
continue to be followed until the event is resolved or deemed irreversible by the investigator. 
 
15 It is recommended that cetuximab be continued as maintenance therapy weekly until response assessed. 
 
16 In patients who achieve at least SD, recommend continuing cetuximab until disease progression.  For 
weight change >10% (carboplatin, paclitaxel and cetuximab) or GFR change >10% (relevant to 
carboplatin only) it is recommended to recalculate dose.  
 


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17 Only patients enrolled at UNC will be asked to participate in LCCC1108 (see section 6.6). 
 
6.1 
Pre-Study Assessments 
Screening evaluations are to be conducted within 2 weeks prior to start of protocol 
therapy.  Scans and x-rays must be done within 4 weeks prior to the start of therapy.  Pre-
study (baseline) assessments include: 
 
 Document HPV status (Note that a defined HPV status is not a requirement for entry 
to the study, but should be recorded when available). 
 Urine or serum pregnancy test in women of childbearing potential  (Note: pregnancy 
test to be done within 7 days of day 1 of treatment) 
 Complete medical history and physical examination (including height and smoking 
status).  
 ECOG Performance Status (see appendix A) and FACT-HN. 
 Weight 
 Laboratory evaluations: CBC with differential; serum chemistries (sodium, 
potassium, chloride, bicarbonate, magnesium, BUN, serum creatinine,  calcium, liver 
function tests (LFTs; total bilirubin, alkaline phosphatase, AST, ALT), total protein, 
albumin. Each time serum chemistries are scheduled, it is recommended to also check 
for serum glucose for all patients.  However, for patients without diabetes, if glucose 
testing is not covered by insurance, glucose testing will not be mandated by the 
protocol.   
 Calculated creatinine clearance (based on Cockroft Gault, see section 4.2.3) 
 Tumor evaluation: CT or MRI Scan of the neck, results from physical examination 
head and neck, and chest imaging (x-ray or CT scan at discretion of physician). 
 Toxicity evaluation (for notation of any baseline toxicity). This includes CTCAE and 
collection of patient reported symptoms (via the UNCH Hematology Oncology 
Outpatient Symptom Report Form, see appendix B). 
6.2 
Treatment Assessments  
 Weekly assessments during carboplatin/paclitaxel chemotherapy include: 
 Physical examination. 
 ECOG Performance Status (see appendix A) 
 Body weight 
 Calculated creatinine clearance (based on Cockroft Gault, see section 4.2.3) 
 Laboratory evaluations: CBC with differential; serum chemistries (see note regarding 
glucose in section 6.1), total protein, and albumin; LFTs 
 Toxicity assessment: record any non-serious and serious AEs and assign appropriate 
toxicity grade (NCI CTCAE, Version 4.)   
 Collect patient reported symptoms  via the UNCH Hematology Oncology Outpatient 
Symptom Report Form 
6.3 
End of Treatment Assessments  
(3 (+/- 1) weeks after conclusion of carboplatin/paclitaxel chemotherapy): 


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 Physical examination  
 ECOG Performance Status (see appendix A) and FACT-HN. 
 Weight 
 Laboratory evaluations: CBC with differential; serum chemistries (see note regarding 
serum glucose in section 6.1), total protein, and albumin; LFTs 
 Tumor evaluation — CT or MRI Scan of the neck, chest imaging (x-ray or CT scan at 
discretion of physician) and physical examination. 
 Toxicity assessment: record any non-serious and serious AEs and assign appropriate 
toxicity grade (NCI CTCAE, version 4).  
 Patient reported symptoms via the UNCH Hematology Oncology Symptom Report 
Form 
6.4 
Early Treatment Termination 
The following assessments will be performed, if possible, when a subject is withdrawn 
from study therapy for any reason prior to completion of protocol therapy: 
 Physical examination. 
 Weight 
 Laboratory evaluations: CBC with differential; serum chemistries, total protein, and 
albumin, LFTs 
 ECOG Performance Status (see appendix A) and FACT-HN 
 Tumor evaluation — CT or MRI Scan and physical examination. 
 Toxicity assessment: record any non-serious and serious AEs and assign appropriate 
toxicity grade (NCI CTCAE, Version 4).  Patients who have an ongoing Grade 4 
toxicity at the time of discontinuation from treatment will continue to be followed 
until the event is resolved or deemed irreversible by the investigator. 
 Patient reported symptoms via the UNCH Hematology Oncology Symptom Report 
Form 
6.5 
Follow-up Assessments 
Patients who withdraw consent from study drug treatment should enter the follow-up 
period (unless consent to follow-up is specifically withdrawn). 
 
Subjects will be followed every 3-6 months per standard of care, and at the discretion of 
the treating physician for at least 3 years following completion or termination of protocol 
therapy  (see section 4.5), or death, whichever occurs first. Follow-up may be conducted 
via telephone.  Follow-up assessments will focus on survival status and status of disease 
if known.   
 
If tumor assessments are available for patients who have not yet experienced PD, enter 
the follow-up tumor evaluations in the eCRF until PD is confirmed. 
6.6 
Correlative Studies Procedures 
HPV status is determined via IHC per standard of care.  This will be documented in the 
eCRF.  
 


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At the time of consent, all subjects enrolled at UNC with adequate tissue will be strongly 
encouraged to participate in the LCCC1108 (UNCseq) study which conducts multiplex 
next-generation sequencing. We intend to use data from patients who also consent to 
LCCC1108 for pre-specified biocorrelative analyses.   
6.7 
Assessment of Safety  
Any patient who receives treatment on this protocol will be evaluable for toxicity through 
the use of the NCI CTCAE v4.  Further information on this assessment is provided in the 
time and events table.  
 
Toxicities associated with this regimen will also be characterized through collection of 
patient reported symptoms via the UNCH Hematology Oncology Outpatient Symptom 
Report Form. See appendix B. 
6.8 
Assessment of Efficacy 
All patients who have received at least one full cycle of treatment will be evaluable for 
assessment of the primary objective of OS.  All patients with measurable disease who 
have received at least two full cycles of treatment will be evaluable for assessment of RR.     
6.8.1 Assessment of Disease-Tumor Measurement Based on RECIST 1.1 
Measurable disease will be defined as the presence of at least one measurable lesion that 
can be accurately measured in at least one dimension with the longest diameter a 
minimum size of: 
 >10mm by CT or MRI scan (CT scan slice thickness no greater than 5 mm) 
 20 mm by chest x-ray. 
 Clinically palpable lesions will be considered measurable if they are both at 
least 1cm in maximal dimension and felt by the clinician to be sufficiently 
accessible as to allow repeat reliable measurement with calipers. 
 Clinically evident lesions on fiberoptic NPL will be considered measurable if 
they are both at least 1cm in maximal dimension and felt by the clinician to be 
sufficiently accessible and visible to allow repeat visual examination. 
 
For malignant lymph nodes to be considered pathologically enlarged and measurable, a 
lymph node must be ≥15mm in short axis when assessed by CT or MRI scan (CT scan 
slice thickness recommended to be no greater than 5mm).  At baseline and in follow-up, 
only the short axis will be measured and followed.   
 
All other lesions, including small lesions (longest diameter <10mm or pathological 
lymph nodes with ≥10 to <15 mm short axis) as well as truly non-measurable lesions, 
will be considered non-measurable.  Lesions considered truly non-measurable include: 
leptomeningeal disease; ascites; pleural/pericardial effusion; inflammatory breast disease; 
lymphangitic involvement of skin or lung, abdominal masses/abdominal organomegaly 
identified by physical exam that is not measurable by reproducible imaging techniques. 
 


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All measurements should be recorded in metric notation, using calipers if clinically 
assessed. All baseline evaluations should be performed as close as possible to the 
treatment start and never more than 4 weeks before the beginning of the treatment.  The 
same method of assessment and the same technique should be used to characterize each 
identified and reported lesion at baseline and during follow-up.  Clinical lesions will only 
be considered measurable when they are superficial and ≥10 mm diameter as assessed 
using calipers (e.g. skin nodules). For the case of skin lesions, documentation by color 
photography including a ruler to estimate the size of the lesions is recommended when 
contributory. 
6.8.2 Baseline Documentation of Target and Non-Target Lesions 
All measurable lesions up to a maximum of 5 lesions total (and a maximum of two 
lesions per organ) representative of all involved organs should be identified as target 
lesions and will be recorded and measured at baseline.   
 
Target lesions should be selected on the basis of their size (lesions with the longer 
diameter), be representative of all involved organs, but in addition should be those that 
lend themselves to reproducible repeated measurements.  
 
A sum of the diameters (longest for non-nodal lesions, short axis for nodal lesions) for all 
target lesions will be calculated and reported as the baseline sum diameters. If lymph 
nodes are to be included in the sum, only the short axis is added into the sum.  The 
baseline sum diameters will be used as reference to further characterize the objective 
tumor response of the measurable dimension of the disease. 
 
All other lesions (or sites of disease) including pathological lymph nodes should be 
identified as non-target lesions and should also be recorded at baseline. Measurements 
are not required and these lesions should be followed as “present” or “absent”, or in rare 
cases “unequivocal progression.”   
6.8.3 Evaluation of Target Lesions using RECIST 1.1 Criteria 
Complete response (CR)−Disappearance of all target lesions.  Any pathological lymph 
node (LN) target or no must have decreased in short axis to <10mm. 
 
Partial response (PR)−At least a 30% decrease in the sum of the LD of the target lesions 
taking as reference the baseline sum LD. 
 
Progressive disease (PD)−At least a 20% increase in the sum of the LD of the target 
lesions taking as reference the smallest sum LD recorded since the treatment started 
including baseline if that is the smallest on study.  In addition to the relative increase of 
20%, the sum must also demonstrate an absolute increase of at least 5mm.  The 
appearance of one or more new lesions also constitutes PD. 
 
Stable disease (SD)−Neither sufficient shrinkage to qualify for PR nor sufficient increase 
to qualify for PD taking as references the smallest sum LD since the treatment started. 


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6.8.4 Evaluation of Non-Target Lesions using RECIST 1.1 Criteria 
Complete response (CR) −Disappearance of all non-target lesions and normalization of 
tumor marker levels.  All LN must be non-pathological in size (<10mm short axis).   
 
Non-complete response (non-CR)/non-progression (non-PD) −Persistence of one or more 
non-target lesion(s) or/and maintenance of tumor marker level above the normal limits. 
 
Progressive disease (PD) −Appearance of one or more new lesions and/or unequivocal 
progression of existing non-target lesions. 
6.8.5 Evaluation of Overall Response using RECIST 1.1 Criteria 
The overall response is the response recorded from pretreatment to imaging conducted 
two weeks following completion of induction chemotherapy.  The clinical overall 
response will be defined according to the following table: 
 
Target lesions 
Non-Target Lesions 
New Lesions 
Overall response 
CR 
CR 
No 
CR 
CR 
Incomplete 
response/SD 
No 
PR 
PR 
Non-PD 
No 
PR 
SD 
Non-PD 
No 
SD 
PD 
Any 
Yes or No 
PD 
Any 
PD 
Yes or No 
PD 
Any 
Any 
Yes 
PD 
Best overall response following chemotherapy will be ascertained by comparing 
pretreatment imaging with imaging following completion or early discontinuation of 
induction chemotherapy. Of note, imaging can be insensitive for complete response in 
head and neck cancer.   
7.0 
ADVERSE EVENTS 
7.1 
Definitions 
7.1.1 Adverse Event (AE)     
An adverse event (AE) is any untoward medical occurrence (e.g., an abnormal laboratory 
finding, symptom, or disease temporally associated with the use of a drug) in a patient or 
clinical investigation subject administered a pharmaceutical product and which does not 
necessarily have a causal relationship with this treatment.  An AE can therefore be any 
unfavorable and unintended sign (including an abnormal laboratory finding), symptom, 


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or disease temporally associated with the use of a medicinal product, whether or not 
related to the medicinal product.   
 
Hospitalization for elective surgery or routine clinical procedures that are not the result of 
an AE (e.g., surgical insertion of central line) need not be considered AEs and should not 
be recorded as an AE.  Disease progression should not be recorded as an AE, unless it is 
attributable by the investigator to the study therapy. 
7.1.2 Suspected Adverse Reaction (SAR) 
A suspected adverse reaction (SAR) is any AE for which there is a reasonable possibility 
that the drug is the cause.   Reasonable possibility means that there is evidence to suggest 
a causal relationship between the drug and the AE.  A suspected adverse reaction implies 
a lesser degree of certainty about causality than adverse reaction, which means any 
adverse event caused by a drug.   
 
Causality assessment to a study drug is a medical judgment made in consideration of the 
following factors: temporal relationship of the AE to study drug exposure, known 
mechanism of action or side effect profile of study treatment, other recent or concomitant 
drug exposures, normal clinical course of the disease under investigation, and any other 
underlying or concurrent medical conditions.  Other factors to consider in considering 
drug as the cause of the AE: 
 Single occurrence of an uncommon event known to be strongly associated with 
drug exposure (e.g., angioedema, hepatic injury, Stevens-Johnson Syndrome) 
 One or more occurrences of an event not commonly associated with drug 
exposure, but otherwise uncommon in the population (e.g., tendon rupture); often 
more than once occurrence from one or multiple studies would be needed before 
the sponsor could determine that there is reasonable possibility that the drug 
caused the event.   
 An aggregate analysis of specific events observed in a clinical trial that indicates 
the events occur more frequently in the drug treatment group than in a concurrent 
or historical control group 
7.1.3 Unexpected AE or SAR 
An AE or SAR is considered unexpected if the specificity or severity of it is not 
consistent with the applicable product information (e.g., Investigator’s Brochure (IB) for 
an unapproved investigational product or package insert/summary of product 
characteristics for an approved product).  Unexpected also refers to AEs or SARs that are 
mentioned in the IB as occurring with a class of drugs or as anticipated from the 
pharmacological properties of the drug, but are not specifically mentioned as occurring 
with the particular drug under investigation.   
7.1.4 Serious AE or SAR 
An AE or SAR is considered serious if, in the view of either the investigator or sponsor, 
it results in any of the following outcomes: 
 Death; 


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 Is life-threatening (places the subject at immediate risk of death from the 
event as it occurred); 
 Requires inpatient hospitalization (>24 hours) or prolongation of existing 
hospitalization;* 
 Results in congenital anomaly/birth defect; 
 Results in a persistent or significant incapacity or substantial disruption of the 
ability to conduct normal life functions; 
 Important medical events that may not result in death, be life-threatening, or 
require hospitalization may be considered a serious adverse drug experience 
when, based upon appropriate medical judgment, they may jeopardize the 
patient or subject and may require medical or surgical intervention to prevent 
one of the outcomes listed in the definition.  For reporting purposes, also 
consider the occurrences of pregnancy as an event which must be reported as 
an important medical event. 
 
*Hospitalization for anticipated or protocol specified procedures such as administration 
of chemotherapy, central line insertion, metastasis interventional therapy, resection of 
primary tumor, or elective surgery, will not be considered serious adverse events. 
 
Pregnancy that occurs during the study must also be reported as an SAE. 
7.2 
Documentation of non-serious AEs or SARs 
For non-serious AEs or SARs, documentation must begin from day 1 of study treatment 
and continue through the 30 day follow-up period after treatment is discontinued.   
 
Collected information should be recorded in the Case Report Forms (CRF) for that 
patient.  Please include a description of the event, its severity or toxicity grade, onset and 
resolved dates (if applicable), and the relationship to the study drug.    Documentation 
should occur at least monthly.  
7.3 
SAEs or Serious SARs  
7.3.1 Timing 
After informed consent but prior to initiation of study medications, only SAEs caused by 
a protocol-mandated intervention will be collected (e.g. SAEs related to invasive 
procedures such as biopsies, medication washout, or no treatment run-in).  
 
 
For any other experience or condition that meets the definition of an SAE or a serious 
SAR, recording of the event must begin from day 1 of study treatment and continue 
through the 30 day follow-up period after treatment is discontinued.   
7.3.2 Documentation and Notification 
These events (SAEs or Serious SARs) must be recorded in the SAE console within 
Oncore™ for that patient within 24 hours of learning of its occurrence.  For Affiliate 
sites, an email must also be sent to the UNCCN Project Manager indicating that an SAE 


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or Serious SAR has been entered into Oncore (email contact will be provided at study 
start-up).  
 
7.3.3 Reporting  
IRB Reporting Requirements: 
UNC: 
 UNC will submit an aggregated list of all SAEs to the UNC IRB annually at the 
time of study renewal according to the UNC IRB policies and procedures. 
 The UNC-IRB will be notified of all SAEs that qualify as an Unanticipated 
Problem per the UNC IRB Policies using the IRB’s web-based reporting system 
(see section 9.5.3 within 7 days of the Investigator becoming aware of the 
problem.   
 
 Affiliate sites:   
 For affiliate sites using a local IRB of record, please submit adverse events per 
local IRB policy. 
 For affiliate sites relying on the UNC-IRB, an aggregated list of all SAEs will be 
submitted to the UNC IRB annually at the time of study renewal according to the 
UNC IRB policies and procedures. In addition, any SAEs that qualify as an 
Unanticipated Problem will be entered into Oncore and reported to the UNC IRB 
by the UNCCN Project Manager using the IRB’s web-based reporting system (see 
section 9.5.3) within 7 days of the Investigator becoming aware of the problem.   
 
Pregnancy 
Pregnancies and suspected pregnancies (including a positive pregnancy test regardless of 
age or disease state) of a female subject occurring while the subject is on study, or within 
28 days of the subject’s last dose of study should be recorded as SAEs.  The patient is to 
be discontinued immediately from the study. The female subject should be referred to an 
obstetrician-gynecologist, preferably one experienced in reproductive toxicity for further 
evaluation and counseling. 
 
The Investigator will follow the female subject until completion of the pregnancy, and 
must document the outcome of the pregnancy (either normal or abnormal outcome). If the 
outcome of the pregnancy was abnormal (e.g., spontaneous or therapeutic abortion), the 
Investigator should report the abnormal outcome as an AE. If the abnormal outcome 
meets any of the serious criteria, it must be reported as an SAE.   
7.4 
Data Safety Monitoring Plan 
The Principal Investigator will provide continuous monitoring of patient safety in this 
trial with periodic reporting to the Data Safety Monitoring Committee (DSMC).  
 
Meetings/teleconferences will be held at a frequency dependent on study accrual, but at 
least monthly, which will include the investigators as well as protocol nurses, clinical 


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research associates, regulatory associates, data managers, biostatisticians, and any other 
relevant personnel the principal investigators may deem appropriate.  At these meetings, 
the research team will discuss all issues relevant to study progress, including enrollment, 
safety, regulatory, and data collection. 
  
The team will produce summaries or minutes of these meetings. These summaries will be 
available for inspection when requested by any of the regulatory bodies charged with the 
safety of human subjects and the integrity of data including, but not limited to, the 
oversight (Office of Human Research Ethics (OHRE) Biomedical IRB, the Oncology 
Protocol Review Committee (PRC) or the North Carolina TraCS Institute Data and 
Safety Monitoring Board (DSMB).   
 
The UNC LCCC Data and Safety Monitoring Committee (DSMC) will review the study 
on a regular (quarterly to annual) basis, with the frequency of review based on risk and 
complexity as determined by the UNC Protocol Review Committee.  The UNC PI will be 
responsible for submitting the following information for review: 1) safety and accrual 
data including the number of patients treated; 2) significant developments reported in the 
literature that may affect the safety of participants or the ethics of the study; 3) 
preliminary response data; and 4) summaries of team meetings that have occurred since 
the last report.  Findings of the DSMC review will be disseminated by memo to the UNC 
PI, PRC, and the UNC IRB and DSMB.   
8.0 
STATISTICAL CONSIDERATIONS 
8.1 
Study Design/Endpoints 
This is a single-arm phase II trial in patients with recurrent or metastatic SCCHN 
receiving carboplatin, paclitaxel and cetuximab.  The primary endpoint of this trial is OS 
and secondary objectives will include overall response rate, defined as CR+PR; PFS; 
characterizing toxicities from the patient and physician perspective, and documenting 
quality of life measures.   
8.2 
Sample Size and Accrual 
In the EXTREME study, a platinum plus 5-FU was compared to the same doublet with 
the addition of cetuximab; survival was improved from 7.4 to 10.1 months in the 
cetuximab arm.  We seek to improve survival from the control arm of EXTREME (7.4 
months) by 4 months to 11.4 months.  
 
The sample size for this trial is based on testing the null hypothesis that the median PFS 
is 7.4 against a one-sided alternative (assuming an exponential distribution).  With a one-
sided test, accrual over 20 months, follow up of 18 months, and alpha of .05, 38 subjects 
will be required for a power of 80% (One Sample Survival; swogstat.org). 
 
We expect to accrue 2 patients per month, reaching 38 patients in approximately 20 
months.   


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8.3 
Data Analysis Plans 
The Kaplan-Meier method will be used to estimate OS and PFS, and median times will 
be reported with 95% confidence intervals.  OR (CR+PR) after six cycles of combined 
chemotherapy will be reported with exact 95% confidence intervals.  Descriptive 
statistics will be used to characterize the safety profile of the combined chemotherapy 
regimen and report on quality of life as measured by the FACT-HN and patient-reported 
symptom scores as measured by the UNCH Hematology Oncology Symptom Report 
Form.  
 
As sample size permits, exploratory subgroup analyses will be performed to compare key 
measures of treatment efficacy (OR,  OS, PFS) between HPV+/- patients, and patients 
with different expression of genetic markers (as gathered in LCCC1108) using 
appropriate non-parametric tests (Fisher’s Exact, Wilcoxon Rank Sum) and the Kaplan-
Meier method and Cox regression.   
 
9.0 
STUDY MANAGEMENT 
9.1 
Institutional Review Board (IRB) Approval and Consent 
It is expected that the IRB will have the proper representation and function in accordance 
with federally mandated regulations.  The IRB should approve the consent form and 
protocol. 
 
In obtaining and documenting informed consent, the investigator should comply with the 
applicable regulatory requirement(s), and should adhere to Good Clinical Practice (GCP) 
and to ethical principles that have their origin in the Declaration of Helsinki. 
 
 
 
Before recruitment and enrollment onto this study, the patient will be given a full 
explanation of the study and will be given the opportunity to review the consent form. 
Each consent form must include all the relevant elements currently required by the FDA 
Regulations and local or state regulations. Once this essential information has been 
provided to the patient and the investigator is assured that the patient understands the 
implications of participating in the study, the patient will be asked to give consent to 
participate in the study by signing an IRB-approved consent form. 
 
Prior to a patient’s participation in the trial, the written informed consent form should be 
signed and personally dated by the patient and by the person who conducted the informed 
consent discussion. 
9.2 
Required Documentation 
Before the study can be initiated at any site, the following documentation must be 
provided to the Clinical Protocol Office (CPO) at the University of North Carolina. 
 
 A copy of the official IRB approval letter for the protocol and informed 
consent 
 IRB membership list 


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 CVs and medical licensure for the principal investigator and any sub-
investigators who will be involved in the study. 
 Executed clinical research contract 
9.3 
Registration Procedures 
All patients must be registered with the CPO at the University of North Carolina before 
enrollment to study.  For UNC patients, prior to registration, eligibility criteria must be 
confirmed with the UNC Study Coordinator.  
 
For Affiliate patients, to register and confirm patient eligibility, please fax registration 
forms, informed consent,  and source documents to 919-966-4300...  
9.4 
Data Management and Monitoring 
The CPO UNCCN of the UNC LCCC will serve as the coordinating center for this trial. 
Data will be collected through a web based clinical research platform, OnCore®.  Other 
study institutions will be given a password to directly enter their own data onto the web 
site via electronic case report forms (eCRFs).  UNC CPO Data Quality personnel will 
coordinate and manage data for quality control assurance and integrity. 
 
All data will be collected and entered into OnCore® by Clinical Research Associates 
(CRAs) from UNC LCCC and participating institutions.  The investigators at each site 
will allow monitors to review all source documents supporting data entered into 
OnCore®.   
 
As an investigator initiated study, this trial will also be audited by the Lineberger Cancer 
Center audit committee every six months.  
9.5 
Adherence to the Protocol 
Except for an emergency situation in which proper care for the protection, safety, and 
well-being of the study patient requires alternative treatment, the study shall be 
conducted exactly as described in the approved protocol.   
9.5.1 Emergency Modifications 
UNC and Affiliate investigators may implement a deviation from, or a change of, the 
protocol to eliminate an immediate hazard(s) to trial subjects without prior UNC or their 
respective institution’s IRB/IEC approval/favorable opinion.   
 
For any such emergency modification implemented, a UNC IRB modification form must 
be completed by UNC Research Personnel within five (5) business days of making the 
change.   
 
For Institutions Relying on UNC’s IRB: 
For any such emergency modification implemented, a UNC IRB modification form must 
be completed by UNC Research Personnel within five (5) business days of making the 
change.   


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For Institutions Relying on Their Own IRB: 
For Affiliate investigators relying on their own institution’s IRB, as soon as possible after 
the modification has been made, the implemented deviation or change and the reasons for 
it should be submitted to: 
 
 To UNC Principal Investigator for agreement  
 The Affiliate institution’s IRB for review and approval.  (Once IRB’s 
response is received, this should be forwarded to the UNCCN Regulatory 
Associate). 
9.5.2 Single Patient/Subject Exceptions 
Any request to enroll a single subject who does not meet all the eligibility criteria of this 
study requires the approval of the UNC Principal Investigator and the UNC IRB.  
 
For Institutions Relying on Their Own IRB: 
Any request to enroll a single subject who does not meet all the eligibility criteria of this 
study requires the approval of the UNC Principal Investigator and the participating 
institution’s IRB, per its policy.  Please forward the IRB response to the UNCCN 
Regulatory Associate by facsimile or via email within 10 business days after the original 
submission.   
 
9.5.3 Other Protocol Deviations/Violations 
According to UNC’s IRB, a protocol deviation is any unplanned variance from an IRB 
approved protocol that:  
 Is generally noted or recognized after it occurs 
 Has no substantive effect on the risks to research participants 
 Has no substantive effect on the scientific integrity of the research plan or the 
value of the data collected  
 Did not result from willful or knowing misconduct on the part of the 
investigator(s).  
 
An unplanned protocol variance is considered a violation if the variance meets any of the 
following criteria:  
 Has harmed or increased the risk of harm to one or more research participants. 
 Has damaged the scientific integrity of the data collected for the study. 
 Results from willful or knowing misconduct on the part of the investigator(s). 
 Demonstrates serious or continuing noncompliance with federal regulations, 
State laws, or University policies. 
 
If a deviation or violation occurs please follow the guidelines below: 
 
For Institutions Relying on UNC’s IRB: 


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Protocol Deviations: UNC or Affiliate personnel will record the deviation in OnCore®, 
and report to any sponsor or data and safety monitoring committee in accordance with 
their policies.  Deviations should be summarized and reported to the IRB at the time of 
continuing review. 
 
Protocol Violations: Violations should be reported by UNC personnel within one (1) 
week of the investigator becoming aware of the event using the same IRB online 
mechanism used to report Unanticipated Problems.   
For Institutions Relying on Their Own IRB: 
In addition to adhering to the policies regarding protocol compliance set forth by your 
institution’s IRB, the following is also required: 
 
Protocol Deviations: In the event a deviation from protocol procedures is identified, 
record the deviation in OnCore®. 
 
Protocol Violations: Any protocol violation that occurs must be reported to your IRB 
per institutional policies and reported to the UNCCN Project Manager within 5 days. 
UNC-CH will determine if the violation affects the safety of the patient and integrity of 
the data.  Once your institution’s IRB response is received, please forward to the UNCCN 
Regulatory Associate. 
 
Unanticipated Problems:  
UNC 
Any events that meet the criteria for “Unanticipated Problems” as defined by UNC’s IRB 
must be reported by the Study Coordinator using the IRB’s web-based reporting system.  
 
Affiliate Sites: 
Any events that meet the criteria for “Unanticipated Problems” as defined by UNC’s IRB 
must also be reported to the UNCCN Project Manager.   The UNCCN Project Manager 
will report the event to the UNC IRB using the IRB’s web-based reporting system.  
Examples of such UPs include a lost or stolen laptop computer that contains sensitive 
study information. 
9.6 
Amendments to the Protocol 
Should amendments to the protocol be required, the amendments will be originated and 
documented by the Principal Investigator at UNC.  It should also be noted that when an 
amendment to the protocol substantially alters the study design or the potential risk to the 
patient, a revised consent form might be required.   
 
For Institutions Relying on UNC’s IRB: 
The written amendment, and if required the amended consent form, must be sent to 
UNC’s IRB for approval prior to implementation.  
For Institutions Relying on Their Own IRB: 
Investigators must submit the UNC IRB approved amendment to their institution’s IRB 
for approval.  For multi-center studies, any affiliate site must submit their informed 
consent revisions to the UNCCN Regulatory Associate prior to submission to their IRB.   


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9.7 
Record Retention 
Study documentation includes all eCRFs, data correction forms or queries, source 
documents, Sponsor-Investigator correspondence, monitoring logs/letters, and regulatory 
documents (e.g., protocol and amendments, IRB correspondence and approval, signed 
patient consent forms). 
 
Source documents include all recordings of observations or notations of clinical activities 
and all reports and records necessary for the evaluation and reconstruction of the clinical 
research study. 
 
Government agency regulations and directives require that all study documentation 
pertaining to the conduct of a clinical trial must be retained by the study investigator.  In 
the case of a study with a drug seeking regulatory approval and marketing, these 
documents shall be retained for at least two years after the last approval of marketing 
application in an International Conference on Harmonization (ICH) region.  In all other 
cases, study documents should be kept on file until three years after the completion and 
final study report of this investigational study. 
9.8 
Obligations of Investigators 
The Principal Investigator is responsible for the conduct of the clinical trial at the site in 
accordance with Title 21 of the Code of Federal Regulations and/or the Declaration of 
Helsinki.  The Principal Investigator is responsible for personally overseeing the 
treatment of all study patients.  The Principal Investigator must assure that all study site 
personnel, including sub-investigators and other study staff members, adhere to the study 
protocol and all FDA/GCP/NCI regulations and guidelines regarding clinical trials both 
during and after study completion. 
 
The Principal Investigator at each institution or site will be responsible for assuring that 
all the required data will be collected and entered into the eCRFs. Periodically, 
monitoring visits will be conducted and the Principal Investigator will provide access to 
his/her original records to permit verification of proper entry of data. At the completion 
of the study, all eCRFs will be reviewed by the Principal Investigator and will require 
his/her final signature to verify the accuracy of the data. 
 


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10.0 REFERENCES 
        
1. 
Siegel, R., D. Naishadham, and A. Jemal, Cancer statistics, 2013. CA Cancer J Clin, 
2013. 63(1): p. 11-30. 
2. 
Kuperman, D.I., et al., Squamous cell cancer of the head and neck with distant metastasis 
at presentation. Head Neck, 2011. 33(5): p. 714-8. 
3. 
Vermorken, J.B., et al., Platinum-based chemotherapy plus cetuximab in head and neck 
cancer. N Engl J Med, 2008. 359(11): p. 1116-27. 
4. 
Gibson, M.K., et al., Randomized phase III evaluation of cisplatin plus fluorouracil 
versus cisplatin plus paclitaxel in advanced head and neck cancer (E1395): an 
intergroup trial of the Eastern Cooperative Oncology Group. J Clin Oncol, 2005. 23(15): 
p. 3562-7. 
5. 
Hitt, R., et al., Phase II study of the combination of cetuximab and weekly paclitaxel in 
the first-line treatment of patients with recurrent and/or metastatic squamous cell 
carcinoma of head and neck. Ann Oncol, 2012. 23(4): p. 1016-22. 
6. 
Clark, J.I., et al., Phase II evaluation of paclitaxel in combination with carboplatin in 
advanced head and neck carcinoma. Cancer, 2001. 92(9): p. 2334-40. 
7. 
Stathopoulos, G.P., et al., Effectiveness of paclitaxel and carboplatin combination in 
heavily pretreated patients with head and neck cancers. Eur J Cancer, 1997. 33(11): p. 
1780-3. 
8. 
Kies, M.S., et al., Induction chemotherapy and cetuximab for locally advanced squamous 
cell carcinoma of the head and neck: results from a phase II prospective trial. J Clin 
Oncol, 2010. 28(1): p. 8-14. 
9. 
H. J. Wanebo, M.G., B. Burtness, S. Spencer, J. Ridge, A. Forastiere, M. Ghebremichael, 
Phase II evaluation of cetuximab (C225) combined with induction paclitaxel and 
carboplatin followed by C225, paclitaxel, carboplatin, and radiation for stage III/IV 
operable squamous cancer of the head and neck (ECOG, E2303). Journal of Clinical 
Oncology, 2007 ASCO Annual Meeting Proceedings Part I. Vol 25, No. 18S (June 20 
Supplement), 2007: 6015. 
10. 
O'Neil, B.H., et al., High incidence of cetuximab-related infusion reactions in Tennessee 
and North Carolina and the association with atopic history. J Clin Oncol, 2007. 25(24): 
p. 3644-8. 
11. 
Oken, M.M., et al., Toxicity and response criteria of the Eastern Cooperative Oncology 
Group. Am J Clin Oncol, 1982. 5(6): p. 649-55. 
 
 


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11.0 APPENDICES 
11.1 
Appendix A ECOG Performance Status[11] 
 
Grade 
Activity Level 
0 
Fully active; no performance restrictions 
1 
Strenuous physical activity restricted; fully 
ambulatory and able to carry out light work 
2 
Capable of all self-care but unable to carry out 
any work activities. Up and about >50 percent 
of waking hours 
3 
Capable of only limited self-care; confined to 
bed or chair >50 percent of waking hours 
4 
Completely disabled; cannot carry out any self-
care; totally confined to bed or chair 
5 
Dead 
 


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11.2 
Appendix B. UNCH Hematology Oncology Outpatient Clinic Intake – Symptom 
Report Form 
 
 


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