Conditions: Extraocular Retinoblastoma
Allocation: NON_RANDOMIZED | Intervention model: SINGLE_GROUP
Enrollment: 60
Healthy volunteers: no

Brief summary:
This phase III trial is studying the side effects and how well giving combination chemotherapy together with autologous stem cell transplant and/or radiation therapy works in treating young patients with extraocular retinoblastoma. Giving chemotherapy before an autologous stem cell transplant stops the growth of tumor cells by stopping them from dividing or killing them. After treatment, stem cells are collected from the patient's blood and/or bone marrow and stored. More chemotherapy is given to prepare the bone marrow for the stem cell transplant. The stem cells are then returned to the patient to replace the blood-forming cells that were destroyed by the chemotherapy. Radiation therapy uses high energy x-rays to kill tumor cells. Giving radiation therapy after combination chemotherapy and/or autologous stem cell transplant may kill any remaining tumor cells.

Detailed description:
OBJECTIVES:

I. To estimate the proportion of 3 groups of patients with extraocular retinoblastoma (stage 2 and 3: regional extra-ocular disease;, stage 4a: disseminated metastatic disease not involving the central nervous system \[CNS\]; or stage 4b: patients with CNS disease) who achieve long-term event-free survival after treatment with aggressive multimodality therapy compared to historical controls.

II. To estimate the response rate to the induction phase of the regimen. III. To evaluate the toxicities associated with this regimen.

OUTLINE:

INDUCTION CHEMOTHERAPY: Patients receive vincristine intravenously (IV) on days 0, 7, and 14, cisplatin IV over 6 hours on day 0, cyclophosphamide IV over 1 hour and etoposide IV over 1 hour on days 1 and 2, and filgrastim (G-CSF) subcutaneously (SC) beginning on day 3 and continuing until blood counts recover.

Treatment repeats every 21 days for up to 4 courses in the absence of disease progression or unacceptable toxicity.

After completion of induction chemotherapy, patients with stage 2 or 3 disease who have at least a partial response proceed to radiotherapy. Patients with stage 4a or 4b disease who have at least a partial response proceed to high-dose consolidation chemotherapy and autologous stem cell infusion.

STEM CELL HARVESTING (stage 4a or 4b disease only): Peripheral blood stem cells (preferred) or bone marrow cells are collected after at least 1 course of induction chemotherapy.

HIGH-DOSE CONSOLIDATION CHEMOTHERAPY (stage 4a or 4b disease only): Patients receive carboplatin IV over 4 hours on days -8 to -6 and thiotepa IV over 3 hours and etoposide IV over 3 hours on days -5 to -3.

AUTOLOGOUS STEM CELL INFUSION (stage 4a or 4b disease only): Patients undergo autologous stem cell infusion on day 0. Patients then receive filgrastim subcutaneously (SC) beginning on day 1 and continuing until blood counts recover.

RADIOTHERAPY: Patients with stage 2 or 3 disease (orbital and/or regional involvement) undergo radiotherapy to sites that were initially involved beginning within 42 days after the start of course 4 of induction chemotherapy. Patients with stage 4a or 4b disease undergo radiotherapy to sites initially involved based on response beginning approximately 42 days after autologous stem cell infusion. Patients with stage 4a disease who achieve a complete response to induction chemotherapy or with less than 5 mm of residual tumor at the time of planned irradiation, or patients with stage 4b disease who achieve a complete response to induction chemotherapy do not undergo radiotherapy.

After completion of study therapy, patients are followed every 3 months for 1 year and then annually thereafter for 9 years.

Arms:
arm 1: INDUCTION: Patients receive vincristine IV; cisplatin IV; cyclophosphamide IV; and G-CSF SC beginning on day 3 and continuing until blood counts recover.

CONSOLIDATION (stage 4a or 4b disease only): Patients receive carboplatin IV; thiotepa IV; and etoposide IV.

AUTOLOGOUS STEM CELL INFUSION (stage 4a or 4b disease only): Patients undergo autologous stem cell infusion on day 0 and receive G-CSF SC beginning on day 1 and continuing until blood counts recover.

RADIOTHERAPY: Patients with stage 2 or 3 disease (orbital and/or regional involvement) undergo radiotherapy to sites that were initially involved beginning within 42 days after the start of course 4 of induction chemotherapy. Patients with stage 4a or 4b disease undergo radiotherapy to sites initially involved based on response beginning approximately 42 days after autologous stem cell infusion.

Interventions: intervention 1: Autologous Bone Marrow Transplantation intervention 2: Autologous Hematopoietic Stem Cell Transplantation intervention 3: Carboplatin intervention 4: Cisplatin intervention 5: Cyclophosphamide intervention 6: Etoposide intervention 7: Filgrastim intervention 8: In Vitro-Treated Peripheral Blood Stem Cell Transplantation intervention 9: Radiation Therapy intervention 10: Thiotepa intervention 11: Vincristine Sulfate
Intervention descriptions: intervention 1: Undergo peripheral blood stem cell or bone marrow transplant intervention 2: Undergo peripheral blood stem cell or bone marrow transplant intervention 3: Given IV intervention 4: Given IV intervention 5: Given IV intervention 6: Given IV intervention 7: Given SC intervention 8: Undergo peripheral blood stem cell or bone marrow transplant intervention 9: Undergo radiotherapy intervention 10: Given IV intervention 11: Given IV

Protocol document:
Prot_SAP_000.pdf: 
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Activated: 
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Version Date: 
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Amendment 
 # 3 
CHILDREN'S ONCOLOGY GROUP 
ARET0321 
A Trial of Intensive Multi-Modality Therapy for Extra-Ocular Retinoblastoma 
A Groupwide Phase III Study 
In Collaboration with  
GALOP - Groupo America Latina de Oncologia Pediatrea (coordinating centers include Hospital de 
Pediatría Juan P. Garrahan, Buenos Aires, Argentina; Instituto de Oncologia Pediatrica/GRAAC Sao Paulo, 
Brazil)  
and  
Children’s Cancer Hospital, El Saida Zenab, Egypt 57357 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, AND SHOULD NOT BE COPIED, REDISTRIBUTED OR USED FOR 
ANY OTHER PURPOSE. MEDICAL AND SCIENTIFIC INFORMATION CONTAINED WITHIN THIS PROTOCOL IS NOT 
INCLUDED TO AUTHORIZE OR FACILITATE THE PRACTICE OF MEDICINE BY ANY PERSON OR ENTITY. RESEARCH 
MEANS A SYSTEMATIC INVESTIGATION, INCLUDING RESEARCH DEVELOPMENT, TESTING AND EVALUATION, 
DESIGNED TO DEVELOP OR CONTRIBUTE TO GENERALIZABLE KNOWLEDGE. THIS PROTOCOL IS THE RESEARCH 
PLAN DEVELOPED BY THE CHILDREN’S ONCOLOGY GROUP TO INVESTIGATE A PARTICULAR STUDY QUESTION OR SET 
OF STUDY QUESTIONS AND SHOULD NOT BE USED TO DIRECT THE PRACTICE OF MEDICINE BY ANY PERSON OR TO 
PROVIDE INDIVIDUALIZED MEDICAL CARE, TREATMENT, OR ADVICE TO ANY PATIENT OR STUDY SUBJECT. THE 
PROCEDURES IN THIS PROTOCOL ARE INTENDED ONLY FOR USE BY CLINICAL ONCOLOGISTS IN CAREFULLY 
STRUCTURED SETTINGS, AND MAY NOT PROVE TO BE MORE EFFECTIVE THAN STANDARD TREATMENT. ANY PERSON 
WHO REQUIRES MEDICAL CARE IS URGED TO CONSULT WITH HIS OR HER PERSONAL PHYSICIAN OR TREATING PHYSICIAN 
OR VISIT THE NEAREST LOCAL HOSPITAL OR HEALTHCARE INSTITUTION. 
STUDY CHAIR 
 
 
  
 
 
For Group Operations and Statistics & Data Center Contacts see: 
Https://members.childrensoncologygroup.org  


 
 
 
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TABLE OF CONTENTS 
 
SECTION 
PAGE 
 
STUDY COMMITTEE 
4 
ABSTRACT 
6 
EXPERIMENTAL DESIGN SCHEMA 
7 
1.0 
GOALS AND OBJECTIVES (SCIENTIFIC AIMS) 
8 
2.0 
BACKGROUND 
8 
2.1 
Introduction/Rationale for Development 
8 
2.2 
Proposed International Staging System Classification 
8 
2.3 
Regional Extra-Ocular Retinoblastoma (Stages 2 and 3) can be cured with  
conventional Therapy 
9 
2.4 
Patients with Metastatic Disease (Stage 4) Have a Poor Prognosis When Treated  
with Conventional Therapy 
9 
2.5 
Rationale for the Use of High-Dose Chemotherapy with Stem Cell Rescue for  
Patients with Metastatic Disease Not Involving the CNS (Stage 4a) 
10 
2.6 
Rationale for the Use of High-Dose Chemotherapy with Stem Cell Rescue for  
Patients with Metastatic Disease Involving the CNS (Stage 4b) or Trilateral Disease 
11 
2.7 
Toxicity Considerations 
12 
2.8 
Rationale for the Use of External Beam Radiation Therapy for Stage 4 Patients 
12 
3.0 
STUDY ENROLLMENT AND PATIENT ELIGIBILITY 
13 
3.1 
Study Enrollment 
13 
3.2 
Patient Eligibility Criteria 
14 
4.0 
TREATMENT PROGRAM 
16 
4.1 
Overview of Treatment Plan 
16 
4.2 
Administration Schedules 
18 
4.3 
Radiation Therapy Guidelines 
32 
5.0 
DOSE MODIFICATION FOR TOXICITY 
44 
5.1 
Drug Modifications for Induction 
44 
6.0 
DRUG INFORMATION 
45 
7.0 
EVALUATIONS/MATERIAL AND DATA TO BE ACCESSIONED 
46 
7.1 
Required Clinical, Laboratory and Disease Evaluations 
46 
7.2 
Recommended Clinical. Laboratory and Disease Evaluations 
46 
7.3 
Specimens Requested for Biologic Studies 
47 
7.4 
Specimen Shipping 
47 
8.0 
SUPPORTIVE CARE 
48 
8.1 
Filgrastim- Myeloid Growth Factor Support. 
48 
8.2 
Blood product support 
48 
9.0 
CRITERIA FOR REMOVAL FROM PROTOCOL THERAPY AND OFF STUDY  
CRITERIA 
50 
9.1 
Criteria for Removal from Protocol Therapy 
50 
9.2 
Off Study Criteria 
50 


 
 
 
ARET0321 
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Page 3 
10.0 
STATISTICAL CONSIDERATIONS 
50 
10.1 
Statistical Design 
50 
10.2 
Patient Accrual and Expected Duration of Trial 
50 
10.3 
Statistical Analysis Methods 
52 
10.4 
Gender and Minority Accrual Estimates 
54 
11.0 
EVALUATION CRITERIA 
55 
11.1 
Common Terminology Criteria for Adverse Events (CTCAE) 
55 
11.2 
Response Criteria 
55 
12.0 
ADVERSE EVENT REPORTING REQUIREMENTS 
55 
12.1 
Purpose 
55 
12.2 
Determination of reporting requirements 
56 
12.3 
Reporting of Adverse Events for Commercial Agents – via CTEP-AERS 
56 
12.4 
Routine Adverse Event Reporting 
57 
13.0 
RECORDS AND REPORTING 
58 
13.1 
Categories of Research Records 
58 
13.2 
CDUS 
58 
13.3 
CRADA/CTA 
58 
APPENDIX I:  YOUTH INFORMATION SHEET 
60 
REFERENCES 
63 


 
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STUDY COMMITTEE 
 
  
 
 
  
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
  
 
 
 
  
 
  
 
 
 
 
 
 
 
 
  
 
 
 
 
  
  
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 


 
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STUDY COMMITTEE MEMBERS  
STUDY COMMITTEE MEMBERS 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
  
 
 
 
 
  
 
 
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
  
 
  
              
 
 
  
 
 
 
 
               
 
 
 
 
 
 
 
 
 
 
 
 
  
 
               
 
 
 
 
 
 
 
  
 
 
 
 
 
 
 


 
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The Children's Oncology Group has received a Certificate of Confidentiality from the federal government, 
which will help us protect the privacy of our research subjects. The Certificate protects against the 
involuntary release of information about subjects collected during the course of our covered studies. The 
researchers involved in the studies cannot be forced to disclose the identity or any information collected in 
the study in any legal proceedings at the federal, state, or local level, regardless of whether they are 
criminal, administrative, or legislative proceedings. However, the subject or the researcher may choose to 
voluntarily disclose the protected information under certain circumstances. For example, if the subject or 
his/her guardian requests the release of information in writing, the Certificate does not protect against that 
voluntary disclosure. Furthermore, federal agencies may review our records under limited circumstances, 
such as a DHHS request for information for an audit or program evaluation or an FDA request under the 
Food, Drug and Cosmetics Act. The Certificate of Confidentiality will not protect against mandatory 
disclosure by the researchers of information on suspected child abuse, reportable communicable diseases, 
and/or possible threat of harm to self or others. 
 
 
ABSTRACT 
 
Intra-ocular retinoblastoma has been highly curable for many years using treatment modalities such as 
enucleation, external beam radiation therapy, chemotherapy and local therapies such as plaque 
brachytherapy, cryotherapy, and laser photocoagulation. Patients with regional disease (orbit, optic nerve 
margin positivity, regional nodal disease) appear to be curable with conventional chemotherapy and 
external beam radiation therapy, but only limited data have been reported. Survivors of disseminated 
metastatic disease have only anecdotally been reported following treatment with conventional 
chemotherapy and external beam radiation therapy. Recently, however, several groups in Europe and 
North America have noted that intensification of treatment with high-dose chemotherapy and stem cell 
rescue has been associated with improved survival. 
This trial seeks to confirm that intensive multi-modality therapy including conventional chemotherapy, 
high-dose chemotherapy with stem cell rescue and external beam radiation therapy is associated with a 
better survival rate for patients with metastatic retinoblastoma as compared to historical experiences with 
conventional chemotherapy and external beam radiation therapy, and that conventional chemotherapy 
and external beam radiation therapy are sufficient for patients with regional extra-ocular disease. 
Response to therapy and toxicity of the regimens will also be assessed. 
 
 
 


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


 
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1.0 
GOALS AND OBJECTIVES (SCIENTIFIC AIMS) 
 
1.1 
To estimate the proportion of 3 groups of patients with extra-ocular retinoblastoma  
 
• 
Stage 2 and 3: Regional extra-ocular disease 
• 
Stage 4a: Disseminated metastatic disease not involving the CNS 
• 
Stage 4b: Patients with CNS disease 
 
who achieve long-term event-free survival after aggressive multimodality therapy as prescribed in 
this protocol. 
 
1.2 
To estimate the response rate to the induction phase of the regimen. 
 
1.3 
To evaluate the toxicities associated with this regimen. 
 
 
2.0 
BACKGROUND 
 
2.1 
Introduction/Rationale for Development 
Intra-ocular retinoblastoma has been highly curable for many years using treatment modalities such as 
enucleation, external beam radiation therapy, plaque brachytherapy, cryotherapy, and laser 
photocoagulation, and more recently, chemotherapy, but patients with extra-ocular disease have had a 
much poorer prognosis. Recently significant improvements in survival have been reported for patients 
with extra-ocular disease. This protocol will seek to confirm that the majority of patients with regional 
extra-ocular disease can be successfully treated with conventional chemotherapy and external beam 
radiation therapy, and that patients with distant metastatic disease will benefit from the addition of high-
dose chemotherapy with stem cell rescue. 
 
2.2 
Proposed International Staging System Classification 
Although intra-retinal retinoblastoma has long been staged presurgically according to the Reese-
Ellsworth system, retinoblastoma differs from other pediatric neoplasms in never having had a widely 
accepted classification system that encompasses the entire spectrum of the disease. This prompted an 
international working group led by Dr. Guillermo Chantada (Buenos Aires, Argentina) to recently 
develop an international staging system proposal. Many of the members of that working group are COG 
retinoblastoma committee members (Ira Dunkel, Eric Grabowski, Carlos Rodríguez-Galindo, Anna 
Meadows) or likely international collaborators on this study (Guillermo Chantada, Francois Doz, Celia 
Antoneli, Richard Grundy, Maja Beck Popovic, Bernhard Kremens) and we have decided to use the new 
staging system in this study: 
 
Stage 0 and 1 patients are not eligible for this study because they do not have extra-ocular disease.  
Stage 2 includes patients who underwent enucleation but have microscopic residual disease. Included in 
this stage are patients with involvement of the optic nerve to the transection line and those with 
microscopic trans-scleral invasion. 
Stage 3 includes patients with overt regional extension (orbital or lymph node involvement). 
Stage 4 includes patients with hematogenous metastases not involving the CNS (Stage 4a) and those with 
CNS disease (Stage 4b). 
 
Additional literature on details regarding the staging scheme is available.1. 


 
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2.3 
Regional Extra-Ocular Retinoblastoma (Stages 2 and 3) can be cured with conventional 
Therapy 
Patients with isolated orbital disease had fared poorly when treated with surgery +/- radiation therapy.2 
Their prognosis improved considerably when conventional chemotherapy was added to the treatment 
regimen, with 1-year event-free survival of 40% reported following treatment with a variety of 
chemotherapy agents.3,4  
 
Recent publications confirm that patients with regional extra-ocular disease (orbital and/or pre-auricular 
disease, optic nerve margin positivity) may be cured with conventional chemotherapy and external beam 
radiation therapy. Investigators in Argentina treated 15 patients with orbital or pre-auricular nodal 
disease on 2 consecutive protocols. Protocol 87 chemotherapy included vincristine (0.05 mg/kg), 
doxorubicin (0.67 mg/kg/day x 3 days), and cyclophosphamide (20-40 mg/kg). Protocol 94 chemotherapy 
included cycles of vincristine (0.05 mg/kg), idarubicin (10 mg/m2), and cyclophosphamide (65 mg/kg) 
followed by cycles of carboplatin (18.7 mg/kg/day or 560 mg/m2/day x 2 days) and etoposide 
(3.3 mg/kg/day or 100 mg/m2/day x 3 days). The external beam radiation therapy dose was 4500 cGy, 
administered up to the chiasm for patients with orbital disease and to the involved nodes in patients with 
pre-auricular adenopathy. The group achieved a 5-year event-free survival of 84%.5 The Argentine and 
New York groups also reported the results of 12 patients with optic nerve margin positivity treated with 
the chemotherapy regimens above and orbital radiation therapy (4000 to 4500 cGy). All 12 were event-
free survivors.6  
 
Similarly, investigators in Brazil reported the results of 2 consecutive protocols. From 1987 to 1991, 
chemotherapy included cycles of vincristine (0.05 mg/kg), doxorubicin (2 mg/kg) and cyclophosphamide 
(30 mg/kg) alternating with cycles of cisplatin (90 mg/m2) and teniposide (100 mg/m2). From 1992 to 
2000, chemotherapy included cycles of ifosfamide (1800 mg/m2/day x 5 days) and etoposide 
(100 mg/m2/day x 5 days) alternating with cycles of cisplatin (90 mg/m2) and teniposide (100 mg/m2). 
The external beam radiation therapy dose was 4000 to 5000 cGy to the orbit. Triple intrathecal therapy 
was also administered. Their therapy was successful in 20 of 32 patients (63%) with orbital disease and 
22 of 29 (76%) with optic nerve margin positivity.7  
 
Thus, available data suggest that patients with regional extra-ocular retinoblastoma can be cured with an 
appropriately intensive treatment that includes systemic chemotherapy and external beam radiation 
therapy. 
 
Alternative Induction regimen for patients with significant ototoxicity or expected visual 
impairment: to avoid ototoxicity in patients with pre-existing ototoxicity or expected visual impairment, 
carboplatin will be used instead of cisplatin as the induction therapy. Carboplatin has been the single 
most commonly prescribed chemotherapy medication for retinoblastoma for about the past 15 years and 
has been successfully used in combination therapy.5,8,9 
 
2.4 
Patients with Metastatic Disease (Stage 4) Have a Poor Prognosis When Treated with 
Conventional Therapy 
 
Older publications from several centers reported the results of trials utilizing conventional dose 
chemotherapy and radiation therapy for metastatic extra-ocular disease, most using vincristine, 
doxorubicin, cyclophosphamide, cisplatin, and etoposide. Despite occasional reports of long-term event-
free survival,10,11 the bulk of the evidence suggested that the prognosis remained grim with such an 
approach.12-14  
 


 
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Recent publications confirm the dismal prognosis. The Argentine investigators (using the regimens 
discussed above) noted that all 26 patients with distant metastases died.5 Similarly, the Brazilian 
investigators noted that treatment with their regimens (discussed above) led to survival of only 1 of 14 
patients (7%) with distant metastases.7  
 
While trilateral retinoblastoma (bilateral retinoblastoma plus an intracranial third tumor focus, usually 
pineal or suprasellar) does not represent CNS metastatic disease, its prognosis has been comparably poor. 
Kivela’s meta-analysis noted that only 5 of 89 patients (6%) with reasonable follow-up were event-free 
survivors, at 10, 30, 108, 132, and 168 months.15  
 
 
2.5 
Rationale for the Use of High-Dose Chemotherapy with Stem Cell Rescue for Patients with 
Metastatic Disease Not Involving the CNS (Stage 4a) 
 
Case reports had suggested that the use of high-dose chemotherapy with autologous stem cell rescue 
(ASCR) might be beneficial for patients with metastatic retinoblastoma,16,17 and subsequently, Institut 
Curie investigators reported the results of 25 patients with high-risk retinoblastoma treated with high-
dose carboplatin, etoposide and cyclophosphamide followed by ASCR.8 Five of eight patients with 
metastases not involving the CNS were event-free survivors 11 to 70 months after high-dose 
chemotherapy. Three had central nervous system relapses and died of disease 10 to 20 months after high-
dose chemotherapy. Three other patients had disease that progressed during induction with conventional 
induction chemotherapy and never received high-dose chemotherapy. In total, then, 5 of 11 patients 
(45%) with metastatic disease not initially involving the central nervous system were event-free 
survivors.  
 
Memorial Sloan-Kettering Cancer Center (MSKCC) investigators reported the results of 4 patients with 
metastatic retinoblastoma not involving the CNS. All had bone marrow metastases +/- bone, liver, and 
orbit disease and were treated with a high-dose carboplatin, thiotepa and etoposide with ASCR 
regimen.18 All responded to a vincristine, platinum agent, cyclophosphamide and etoposide (plus 
doxorubicin in 1 case) induction regimen similar to that being proposed in this study. All 4 patients were 
event-free survivors from 46 to 80 months following diagnosis of metastatic disease. Updated data from 
New York presented at SIOP in September 2004 reveal that 7 of 10 patients with metastatic 
retinoblastoma not involving the CNS are event-free survivors at a median of 84 months.19 Two relapsed 
in the CNS at 7 and 10 months after the diagnosis of metastatic disease (prior to high-dose 
chemotherapy). These 2 failures were associated with treatment delays due to fungal infection (n=1) and 
insurance denial (n=1) and the patients later died of progressive tumor. One patient relapsed in the CNS 
16 months after the diagnosis of metastatic disease and later died of progressive tumor. The remaining 7 
patients were failure free and alive at 16 to 130 months after the diagnosis of metastatic disease. 
 
In 2003 two groups published promising results using high-dose chemotherapy to treat small series of 
patients. German investigators treated 5 patients, 3 of whom were distant metastatic CNS negative 
patients who received a regimen very similar to that used at MSKCC.20 None of those 3 patients received 
radiation therapy and they were event-free survivors at 24, 69, and 124 months from diagnosis of 
metastatic disease. St. Jude investigators reported 4 patients treated with intensive therapy, including 
high-dose chemotherapy with stem cell rescue, but their regimens (carboplatin-etoposide, busulfan-
cyclophosphamide-melphalan, cyclophosphamide-etoposide, cyclophosphamide-topotecan) did not 
include thiotepa.21 Radiation therapy was used for bone metastases. Two of the 4 patients were long-term 
survivors. 
 
CHLA investigators included 2 patients with metastatic disease not involving the CNS in their report 
regarding patients with extra-ocular disease.22 One patient with orbit, bone and bone marrow disease 


 
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received high-dose cyclophosphamide, thiotepa and etoposide with stem cell rescue, but died of disease 
at 10 months. Another patient had an isolated bone metastasis and received high-dose carboplatin, 
etoposide and melphalan with stem cell rescue. He died at 23 months due to a secondary Ewing sarcoma. 
 
Most recently, a Japanese report included 3 patients with bone and/or bone marrow disease treated with 
intensive therapy, including high-dose melphalan-based chemotherapy with stem cell rescue.23 One of the 
3 patients received radiation therapy. All 3 patients were event-free survivors at 38, 107, and 113 months. 
 
 
The overall experiences suggest that addition of high-dose chemotherapy with stem cell rescue is 
associated with improved survival for patients with metastatic retinoblastoma not involving the CNS. The 
inclusion of thiotepa in the regimen may be associated with a lower risk of CNS recurrence (the most 
likely site of failure) due to the excellent CNS penetration of that agent. 
 
2.6 
Rationale for the Use of High-Dose Chemotherapy with Stem Cell Rescue for Patients with 
Metastatic Disease Involving the CNS (Stage 4b) or Trilateral Disease 
 
Fewer data are available regarding the prognosis of patients with retinoblastoma involving the central 
nervous system disease treated with high-dose chemotherapy and stem cell rescue. The SFOP experience 
included 4 patients with CNS metastases who received high-dose carboplatin, etoposide and 
cyclophosphamide with stem cell rescue. Three died of CNS disease, and one was free of disease at 63 
months.8  
 
The CHLA report included 4 patients with CNS disease and 3 with trilateral disease.22 The only survivor 
(trilateral retinoblastoma) was also the only one that had received high-dose chemotherapy 
(cyclophosphamide, etoposide and thiotepa) with stem cell rescue. It is unclear whether any of the others 
had been treated with the intention to include high-dose chemotherapy in the regimen even though none 
ultimately received such therapy. 
 
The Japanese report included 2 patients with CNS disease.23 Both died of disease. 
 
Unpublished data from MSKCC reveals that 1 of 2 patients with trilateral retinoblastoma treated with 
high-dose chemotherapy and stem cell rescue is an event-free survivor at 29 months. 
 
This paucity of data led us to perform a multi-center retrospective study. We asked large centers to 
contribute patients with retinoblastoma involving the central nervous system whose therapy was intended 
to include high-dose chemotherapy with stem cell rescue, regardless of whether it was ultimately 
administered. The following unpublished data were accepted for presentation at the International 
Retinoblastoma Symposium in Whistler, BC in September 2005.  Fourteen patients with trilateral (n=9) 
or CNS metastatic (n=5) retinoblastoma were treated. Trilateral sites were pineal (n=7) and suprasellar 
(n=2); 5 had localized disease and 4 had leptomeningeal dissemination. All 5 CNS metastatic 
retinoblastoma patients had leptomeningeal dissemination. Eight patients had CNS retinoblastoma at 
original diagnosis; 6 had later onset (3 to 42 months). Induction chemotherapy generally included 
vincristine, cisplatin or carboplatin, cyclophosphamide, and etoposide. High-dose chemotherapy 
regimens were thiotepa-based (n=4), carboplatin, etoposide & cyclophosphamide (n=3), or melphalan & 
cyclophosphamide (n=2). Two patients died of toxicity (septicemia & multi-organ system failure) during 
induction and 3 had disease progression prior to high-dose chemotherapy. Nine patients received high-
dose chemotherapy at a median of 5 months (range 4 to 9) post-diagnosis of CNS disease. Five of 9 
trilateral patients survive event-free at 17, 34, 39, 59, & 67 months without radiation therapy. Two of 5 
CNS metastatic patients survive event-free at 7 & 54 months; 1 received orbital RT. This experience 
indicates that intensive chemotherapy is effective for some patients with CNS retinoblastoma. 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 13 
 
 
Therefore, the role of external beam radiation therapy for patients with metastatic retinoblastoma who are 
treated with high-dose chemotherapy with stem cell rescue is unclear. In this study, Stage 4a and 4b 
patients who achieve a complete response following induction chemotherapy will not receive external 
beam radiation therapy while those who achieve a lesser response will receive external beam radiation 
therapy following consolidative high-dose chemotherapy with stem cell rescue. 
 
 
3.0 
STUDY ENROLLMENT AND PATIENT ELIGIBILITY 
 
3.1 
Study Enrollment 
 
3.1.1 
Patient Registration  
Prior to enrollment on this study, patients must be assigned a COG patient ID number. This number is 
obtained via the eRDE system once authorization for the release of protected health information (PHI) 
has been obtained. The COG patient ID number is used to identify the patient in all future interactions 
with COG. If you have problems with the registration, please refer to the online help.  
 
In order for an institution to maintain COG membership requirements, every newly diagnosed patient needs 
to be offered participation in ACCRN07, Protocol for the Enrollment on the Official COG Registry, The 
Childhood Cancer Research Network (CCRN). 
 
A Biopathology Center (BPC) number will be assigned as part of the registration process. Each patient will 
be assigned only one BPC number per COG Patient ID. For additional information about the labeling of 
specimens please refer to the Pathology and/or Biology Guidelines in this protocol.  
 
3.1.2 
IRB Approval 
Local IRB/REB approval of this study must be obtained by a site prior to enrolling patients. Sites must 
submit IRB/REB approvals to the NCI’s Cancer Trials Support Unit (CTSU) Regulatory Office and 
allow 3 business days for processing. The submission must include a fax coversheet (or optional CTSU 
IRB Transmittal Sheet) and the IRB approval document(s). The CTSU IRB Certification Form may be 
submitted in lieu of the signed IRB approval letter. All CTSU forms can be located on the CTSU web 
page (https://www.ctsu.org). Any other regulatory documents needed for access to the study enrollment 
screens will be listed for the study on the CTSU Member’s Website under the RSS Tab.  
 
IRB/REB approval documents may be faxed (1-215-569-0206),  emailed 
(CTSURegulatory@ctsu.coccg.org) or mailed to the CTSU Regulatory office.  
 
When a site has a pending patient enrollment within the next 24 hours, this is considered a “Time of 
Need” registration.  For Time of Need registrations, in addition to marking your submissions as 
Group 
RT (+) EFS 
RT (-) EFS 
Reference 
SFOP 
1/4  
4/4 
15 
MSKCC  
5/5 
2/3 
17 
Essen 
 
3/3 
18 
St Jude 
2/4 
 
19 
CHLA 
 
0/2 
20 
Japan 
1/1 
2/2 
21 
Total 
9/14 
11/14 
 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 16 
 
4.0 
TREATMENT PROGRAM 
 
 
 
 
 
 
 
 
 
Stratification 
Patients will be stratified into 3 groups hypothesized to have different prognoses and requiring different 
treatment. 
 
Stage 2 or 3: Patients with orbital disease (including microscopic trans-scleral invasion seen on 
enucleation pathology), optic nerve margin (+), and/or regional nodal disease, but no other sites of 
metastases. 
 
Stage 4a: Patients with overt distant metastatic disease (such as bone, bone marrow, and/or liver) but no 
detectable CNS involvement. 
 
Stage 4b: Patients with overt CNS involvement (brain parenchyma, leptomeninges and CSF cytology). 
Patients with trilateral retinoblastoma will be included. Patients with extradural/dural disease, but without 
parenchymal or leptomeningeal disease should not be included and will be considered to be Stage 4a 
patients. 
 
4.1 
Overview of Treatment Plan 
Protocol therapy will consist of 3 reporting periods; Induction, Consolidation with Stem Cell Rescue and 
External Beam Radiation Therapy. 
 
Stage 2 and 3 patients will receive Induction chemotherapy and External Beam Radiation Therapy, but will 
not receive Consolidation therapy (High-Dose Chemotherapy with Stem Cell Rescue). 
 
Stage 4a and 4b patients will receive Induction chemotherapy, Stem Cell Harvesting, Consolidation with 
Stem Cell Rescue, and depending on response to Induction chemotherapy, possibly External Beam 
Radiation Therapy. 
 
4.1.1 
Induction consists of 4 cycles of chemotherapy; each cycle will be 3 weeks in duration. Induction therapy 
may be Standard Induction or Alternative Induction (for patients who have significant ototoxicity or pre-
existing hearing and/or visual impairment). Consolidation therapy includes high dose chemotherapy with 
stem cell rescue using peripheral blood stem cells harvested during induction; Consolidation lasts 4 to 6 
weeks. External Beam Radiation Therapy for Stage 2 and Stage 3 patients will begin after Cycle 4 of 
Induction chemotherapy. For Stage 4 patients who will receive External Beam Radiation Therapy, this 
will be after autologous stem cell infusion. 
 
4.1.2 
Concomitant Medications Restrictions 
 
Timing of protocol therapy administration, response assessment studies, and surgical 
interventions are based on schedules derived from the experimental design or on 
established standards of care. Minor unavoidable departures (up to 72 hours) from 
protocol directed therapy and/or disease evaluations (and up to 1 week for surgery) for 
valid clinical, patient and family logistical, or facility,  procedure and/or anesthesia 
scheduling issues are acceptable per COG administrative Policy 5.14 (except where 
explicitly prohibited within the protocol).  


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 17 
4.1.2.1 
Strong inhibitors of cytochrome P450 3A4 are known to alter vincristine metabolism, leading to increased 
vincristine neurotoxicity. Strong inhibitors of cytochrome P450 3A4, including azole antifungals (such as 
fluconazole, voriconazole, itraconazole, ketoconazole) should all be avoided or used with great caution. 
Additional 
inducers 
or 
inhibitors 
of 
CYP450 
3A4 
enzymes 
can 
be 
found 
at 
http://medicine.iupui.edu/clinpharm/ddis. 
 
4.1.2.2 
PCP prophylaxis must be prescribed during induction chemotherapy and following consolidation. Co-
trimoxazole (sulfamethoxazole/trimethoprim) should be the first consideration, but if that is not tolerated, 
pentamidine, dapsone, or other established PCP prophylactic regimens may be used. See the COG 
supportive care Guidelines at: https://members.childrensoncologygroup.org/prot/reference_materials.asp) 
 
4.1.2.3 
Due to the significant risk of ototoxicity associated with the cisplatin and high-dose carboplatin used in 
this protocol, aminoglycoside antibiotics should be avoided if possible, or used with careful monitoring. 
While individual institutional practices regarding empiric antibiotic therapy for fever and neutropenia 
may be followed, it may be worth considering that the pilot patients treated at MSKCC usually received 
cefepime and ciprofloxacin. 
 
4.1.2.4 
Antiemetics: (As per institutional guidelines). Aprepitant is a substrate, a weak to moderate (dose 
dependent) inhibitor, and a weak inducer of Cytochrome CYP450 3A4. Aprepitant is also a weak inducer 
of CYP450 2C9. Therefore, aprepitant can interact with many drugs including steroids and 
benzodiazpines. Aprepitant should be use with caution when administering with etoposide or vincristine. 
 
4.1.2.5 
No other cancer chemotherapy, radiotherapy or immunomodulating agents will be used other than the 
regimen prescribed by the protocol. Corticosteroid therapy may be used for treatment of increased 
intracranial pressure in patients with CNS tumors. Due to theoretical concerns that dexamethasone may 
stabilize the blood-brain-barrier and decrease chemotherapy delivery to the central nervous system, 
dexamethasone should only be used with caution as an anti-emetic and the dose adjusted if used with 
aprepitant (see the COG supportive care Guidelines at: 
https://members.childrensoncologygroup.org/prot/reference_materials.asp). 
 
4.1.2.6 
Appropriate antibiotics, blood products, antiemetics, fluids, electrolytes and general supportive care are 
to be used as necessary (for Supportive Care see Section VIII or the COG Supportive Care Guidelines at: 
https://members.childrensoncologygroup.org/prot/reference_materials.asp). 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 20 
The modifications to induction therapy (Alternative Induction) for patients with significant 
ototoxicity or expected visual impairment follow in Section 4.2.2. 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 25 
Patients with Stage 2 or Stage 3 disease should proceed from Alternative Induction Chemotherapy 
to External Beam Radiation Therapy (see Section 4.2.5) 
Patients with Stage 4a or 4b disease proceed to the Consolidation phase of therapy. 
 
The therapy delivery maps for the first reporting period (Alternative Induction- Cycles 1 to 4) for 
patients with expected visual impairment are on the following two (2) pages. 
See Section 4.2.3 for guidelines on peripheral stem cell harvest during alternative induction.  
The second reporting period (Consolidation) follows in Section 4.2.4. 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 28 
 
4.2.3 
Peripheral Blood Stem Cell Harvesting (During Induction). 
Peripheral blood stem cells will be the preferred source of hematopoietic stem cells on this protocol, but 
should the institutional clinicians deem bone marrow harvesting preferable, bone marrow may be used as a 
permissible alternative stem cell source. In such case, bone marrow harvesting should be performed 
according to institutional guidelines. 
 
If the bone marrow was not involved at baseline, the harvest may be performed after any cycle of induction 
chemotherapy. However, many of the patients on this study will have bone marrow metastases at diagnosis 
and so appropriate timing of the stem cell harvest is important. The MSKCC experience suggests that 
administration of 2 additional cycles of induction chemotherapy following documentation of marrow 
clearance allows harvest of a product free of contaminating tumor. Therefore, on this protocol, stem cell 
harvesting will be performed 2 cycles post-marrow clearance. For example, if marrow disease is no longer 
detectable after Cycle 1, the stem cell harvest will be performed post-cycle 3. If the bone marrow was 
initially positive at baseline, bone marrow examinations should be performed after each cycle of 
chemotherapy prior to stem cell harvesting.  
 
Institutional practices for the peripheral blood stem cell harvest may be followed as long as the target 
goal of stem cell product is achieved. The following are suggested guidelines only. 
 
4.2.3.1. Catheter Placement 
Patients will need a double lumen apheresis catheter for the peripheral blood stem cell collection. If the 
patient has a mediport for use during the induction chemotherapy period, it will likely not be sufficient 
for the harvest and placement of a temporary femoral vein apheresis catheter for the harvest is 
recommended. 
 
4.2.3.2. Protocol for Peripheral Stem Cell Mobilization 
When the ANC is > 1000/µL post nadir, plan harvest approximately 2 days later. Continue filgrastim 
until the harvest is complete and an adequate yield is documented. 
 
4.2.3.3 .Procedure for Peripheral Stem Cell Collections 
The goal of apheresis will be to collect 2 aliquots of (2.5 x 106 CD34+ cells/kg) per aliquot. If less than a 
single aliquot of 2.5 x 106 CD34+ cells/kg can be obtained the patient will not be allowed to proceed to 
consolidation and will be off protocol therapy (for Stage 4a and 4b patients). It is recommended that at 
least 3 blood volumes be processed per day. 


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Page 32 
4.3 
Radiation Therapy Guidelines 
Radiation therapy for patients on COG protocols can only be delivered at approved COG RT facilities 
(see Administrative Policy 3.9).  
 
4.3.0.1 General Guidelines 
The radiation therapy guidelines for this study were developed specifically for patients with newly 
diagnosed extraocular retinoblastoma. The guidelines are meant to cover a broad range of indications and 
the use of a variety of treatment modalities. Because this study includes patients with metastatic disease 
who will be treated with curative intent, body site specific treatment recommendations have been 
included which parallel guidelines used in other COG solid tumor protocols. 
 
4.3.0.2 Required Benchmark and Questionnaires 
All therapy units used on this protocol must have their calibrations verified by the Radiological Physics 
Center (RPC). RT using photons (either 3-D conformal [3-D CRT] or intensity modulated [IMRT]), 
electrons and protons, will be allowed in this study. Centers participating in this protocol using 3-D CRT 
are required to complete the 3-D benchmark; those using IMRT must complete the IMRT questionnaire 
and benchmark or irradiate the RPC head and neck phantom and those using protons must complete the 
proton benchmark and questionnaire. Benchmark materials and questionnaires may be obtained from the 
Quality Assurance Review Center (QARC, www.qarc.org) and must be submitted before patients on this 
protocol can be evaluated. For information regarding the IMRT phantoms, please contact the RPC 
(http://rpc.mdanderson.org/rpc). 
 
4.3.0.3 Guidelines and Requirements for the Use of IMRT 
Investigators using IMRT will be required to comply with the guidelines developed for the use of IMRT 
in National Cancer Institute sponsored cooperative group trials. These guidelines are available through 
www.qarc.org. These guidelines require that the protocol explicitly state their requirements and methods 
for localization and immobilization; the use of volumetric imaging; target and organ motion management; 
nomenclature, definitions and rationale for targets and organs at risk; target volume coverage and normal 
tissue dose constraints; effects of heterogeneity in tissues; and quality assurance. 
 
 
4.3.0.4 Guidelines and Requirements for the Use of Proton Beam Therapy 
Investigators using proton beam therapy will be required to comply with the guidelines for the use of 
protons in National Cancer Institute sponsored cooperative group trials developed. These guidelines shall 
be available through www.qarc.org.  
 
4.3.0.5 Guidelines and Requirements for the Use of Brachytherapy or Intraoperative Radiation Therapy  
Brachytherapy, using either high dose rate or low dose rate radioactive sources may be used on this 
protocol. Typically, brachytherapy or intraoperative radiation therapy will be used for conformal RT of 
residual disease in the operative bed of the primary tumor for select patients. 
 
4.3.1 Indications for Radiation Therapy 
Stage 2 and 3 patients (orbital and/or regional involvement) will receive radiation therapy (RT) to sites 
that were initially involved. Stage 4a and 4b patients will receive RT to sites initially involved based on 
response. Stage 4a patients (hematogenous metastases not involving the CNS) who achieve a complete 
response to induction chemotherapy or with less than 5 mm of residual tumor at the time of planned 
irradiation, will not receive RT. RT will be omitted for stage 4b patients (CNS involvement) who achieve 
a complete response to induction chemotherapy.  
 


 
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4.3.2 
Timing 
4.3.2.1 All patients should be seen in consultation by a radiation oncologist at the time of study 
enrollment. The purpose of the consultation is to participate in staging and to review the adequacy of the 
initial diagnostic imaging studies that will be used for subsequent RT planning. 
 
4.3.2.2 For Stage 2 and 3 patients, RT should begin within 42 days after the start of cycle 4 of induction 
chemotherapy. For Stage 4a and 4b patients who will receive radiation therapy, treatment should start on 
approximately day +42 post-autologous stem cell infusion. 
 
4.3.2.3 Multiple metastatic sites 
Some patients will have multiple metastatic sites that require irradiation. When the number of lesions 
exceeds 3, the radiation oncologist must prioritize metastatic sites for treatment and may consider 
obviating or delaying treatment of certain sites. Factors to consider when choosing metastatic sites for 
irradiation when all cannot feasibly or safely be treated include: (1) sub-optimal response to 
chemotherapy, (2) sites which will be problematic in the event of disease progression, and (3) sites that 
can be imaged with sufficient accuracy for treatment. 
 
4.3.3 
Emergency Radiation Therapy 
Radiation therapy may be delivered on an emergent basis to patients with spinal cord compression, loss 
of vision or other function-threatening conditions. The decision to irradiate emergently should be made 
by the treating physicians. The entire course of treatment does not need to be administered from the 
outset. Often symptoms may be alleviated after a few treatments. The treatment may then be discontinued 
and the doses and volumes appropriately incorporated into the definitive treatment. 
 
4.3.4 
Equipment and Methods of Delivery and Verification  
 
Equipment 
Photons 
(any energy) 
Electrons 
(any energy) 
IMRT 
(4-10MV) 
Protons 
Brachytherapy* 
Linear Accelerator** 
X 
X 
X 
 
 
Proton Beam  
 
 
 
X 
 
Intraoperative 
Radiation Therapy 
X 
X 
 
 
 
Brachytherapy - 
high or low dose rate  
 
 
 
 
X 
* 
Permanent radioactive implants are not allowed on this protocol. 
** For tumors adjacent or included in lung tissue, photon beam energy should be < 10 MV. 
 
4.3.4.1 Treatment planning 
CT (volumetric) based planning is required to optimize dose to the PTV while protecting normal tissues. 
Organs within the irradiated volume should be contoured including those required by treatment site 
(Section 4.3.9). A DVH is necessary to determine target coverage and evaluate dose to normal tissues. In 
the event that a patient must start emergently with a non-volumetric treatment plan, a volumetric plan 
will be accomplished as soon as is reasonably possible and the previously utilized beams must be 
incorporated into the composite plan. CT section thickness should be < 5mm although 2-3mm is 
preferred. 
 
4.3.4.2 In-room verification of spatial positioning  
4.3.4.2.1 Portal imaging is the most common system used to verify patient position, in particular when 
the target volume is believed to possess a fixed spatial relationship with visualized bony anatomy. 


 
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Orthogonal paired (AP and lateral) portal images (MV or kV) are required for IMRT and 3-D CRT to 
verify that the isocenter is in correct alignment relative to the patient position. 
 
4.3.4.2.2   Volumetric imaging is allowed in this study. This includes in-room kV or MV cone beam or 
conventional CT imaging. Please submit representative axial images showing the isocenter and the 
correct alignment in relationship to the patients’ position. For CT tomography where isocenters are not 
used, a printout of the isodoses overlaid on the fused CT images can be printed to demonstrate in room 
verification. 
 
4.3.5 
Target Volumes 
4.3.5.1 Standard tumor and target volume definitions 
International Commission on Radiation Units and Measurements (ICRU) Reports 50, 62 and 78 
(www.icru.org) define prescription methods and nomenclature that will be utilized for this study. 
Treatment planning will be based on the following definitions and applies only to the primary tumor site: 
 
Photons 
• 
Gross tumor volume (GTV) is the volume occupied at diagnosis by visible or palpable disease.  
 
• 
Clinical target volume (CTV) includes the GTV and sites with potential occult tumor 
involvement including lymph nodes adjacent to the GTV that may be clinically involved.  
 
• 
Planning target volume (PTV) is the CTV surrounded by a geometric margin to account for 
variability in set-up, breathing or motion during treatment. 
 
Protons 
• 
GTV is the same for protons and photons. 
 
• 
CTV is the same for protons and photons. 
 
• 
PTV is not the same as photons due to differences in beam penetration with movement and set up 
uncertainty. PTV varies with each individual field and coverage and will require additional 
adjustment to (1) the lateral margins, (2) smearing of compensator, (3) range of beam (depth of 
penetration) and, (4) modulation (number of required Bragg peaks). Adjustments to any of the 
aforementioned parameters (usually 2-7 mm) will be based on the set up error determined for the 
particular body site at the individual proton institution. Motion of the target volume in three 
dimensions (cranial, caudal, anterior to posterior, and lateral) may be determined by 4-
dimensional CT, respiratory gated CT, or other accepted techniques. 
 
Brachytherapy 
• 
GTV is the same as for photons. 
 
• 
CTV is the same as for photons. 
 
• 
PTV is equal to CTV. 
 
4.3.5.2 Protocol tumor and target volume definitions 
 
4.3.5.2.1  GTV 
GTV is defined as the visible and/or palpable disease defined by physical examination, computed 
tomography (CT), magnetic resonance imaging (MRI) or positron emission tomography (PET scan) prior 
to any surgical debulking or chemotherapy. It also includes enlarged but unresected, regional lymph 


 
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Page 35 
nodes. For patients who undergo initial surgery, operative notes and pathology reports may be helpful. 
For patients with initial tumors that extend into body cavities (i.e., thorax, abdomen) the GTV may 
require modification. If the tumor has been resected or responded to chemotherapy and the normal tissues 
have returned to their normal positions, the GTV excludes the volume which extends into the cavity. 
Examples include tumors which compress but not invade the brain, lung, intestine or bladder that 
radiographically return to normal anatomic position following surgery or chemotherapy. The GTV must 
include all infiltrative disease detected at initial presentation. 
 
4.3.5.2.2  CTV 
If there are no sites that warrant irradiation for potential occult tumor, then the CTV is defined as the 
GTV plus 0.5cm (but not extending outside of the patient). It also includes regional lymph node chains 
for clinically or pathologically involved nodes. For tumors with no evidence of nodal involvement (N0), 
the draining regional lymph nodes are not irradiated. For some sites, the definition of CTV is modified to 
account for specific anatomic barriers to tumor spread (see Section 4.3.5.4). When lymph nodes are 
clinically or pathologically involved with tumor, the entire lymph node drainage chain should be 
included in the CTV. 
 
4.3.5.2.3  PTV 
For external beam photon techniques, the PTV is defined as the CTV plus an institutional specified 
margin to account for day-to-day setup variation related to the ability to immobilize the patient and 
physiologic motion of the CTV. The minimum margin is 0.5cm but does not have to be uniform in all 
dimensions. For proton planning, beam specific PTV expansions will be required. 
 
4.3.5.4 Site-specific modifications 
Extremity Sites 
The CTV should be modified at the discretion of the radiation oncologist to avoid circumferential 
irradiation of extremity lymphatics and treatment across a joint. 
 
Head and Neck Sites 
Many of these tumors may be considered unresectable due to close proximity to critical structures and 
surgical risks contributing to functional or cosmetic deficits. Every attempt should be made to minimize 
dose to the brain, cochlea, optic chiasm and orbit including eye, lid, lacrimal gland, and optic nerve. 
 
Orbital Sites 
For orbit primaries, the CTV will not extend outside of the bony orbit, providing there is no bone erosion 
of the orbit. 
 
Chest Wall/Intrathoracic Sites 
Tumors which have displaced a significant amount of lung parenchyma then returned to normal anatomic 
position following surgery or chemotherapy will have the GTV defined as the preoperative 
(prechemotherapy) tumor volume excluding the component of intrathoracic tumor which was removed by 
surgery or decreased in size by chemotherapy. All areas of pleural involvement will be included in the 
GTV regardless of whether the radiation is delivered pre or postoperatively. 
 
Intra-abdominal/Retroperitoneal/Pelvic Sites 
Tumors which have displaced a significant amount of bowel then returned to normal anatomic position 
following surgery or chemotherapy will have the GTV defined as the preoperative (prechemotherapy) 
tumor volume excluding the component of intra-abdominal or intra-pelvic tumor which was removed by 
surgery or decreased in size by chemotherapy. All areas of peritoneal or mesenteric involvement will be 


 
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Page 36 
included in the GTV regardless of whether the radiation is delivered pre- or post-operatively. In the event 
that whole abdomen radiotherapy is required (i.e., for malignant ascites or diffuse peritoneal 
involvement), the dose will be 2400cGy at 150cGy per fraction with appropriate blocking of the kidneys 
and liver to keep them within normal tissue recommendations (see Section 4.3.8). 
 
Lymph Nodes 
For tumors with no evidence of nodal involvement (N0), the draining regional lymph nodes should not be 
irradiated. When lymph nodes are clinically or pathologically involved with tumor, the entire lymph node 
drainage chain should be included in the CTV. 
 
Pulmonary Metastases 
Patients with single or multiple pulmonary metastases will receive bilateral whole lung irradiation to 
1500cGy in 150cGy fractions. Patients 6 years of age and younger will receive 1200cGy at 150cGy per 
fraction. Gross disease may be boosted with a small targeted field to 4500cGy if the normal tissue 
recommendations can be followed.  For patients with a single malignant pleural effusion, only the 
involved hemithorax will be irradiated to 1500cGy (1200cGy in patients 6 years and younger). Dose to 
the thoracic metastases when given concurrently with whole lung irradiation will be given at 150cGy per 
fraction. After the whole lung portion is completed, the primary tumor site cumulative dose should be 
brought to the intended dose using 180cGy per day fractionation. 
 
Metastatic Sites - General 
Radiation is recommended to all metastatic sites when feasible. Feasibility diminishes as the number of 
metastatic sites increases and will be determined by the treating radiation oncologist. Radiation is 
recommended to those metastatic sites not irradiated when directed if there remains a concern about 
disease control at that site and the patient can tolerate further radiotherapy without undue morbidity. Re-
evaluation imaging will help the radiation oncologist determine if the various remaining sites are in need 
of further treatment and will consider the following: (1) sub-optimal response to chemotherapy by 
clinical or imaging criteria, (2) sites which will be problematic in the event of disease progression (i.e., 
tumor in a weight bearing bone), and (3) sites that can be imaged with sufficient accuracy for treatment, 
and (4) expected tolerance and morbidity (i.e., bone marrow tolerance). The GTV for metastatic sites is 
the area of residual tumor defined on CT, PET, and/or MRI (postchemotherapy/surgery). In cases where 
there is a discrepancy in volume between the scans, the larger volume will be irradiated.  
 
4.3.5.5 Targeting of metastases 
The GTV for metastatic sites is the area of residual tumor defined on CT or MRI (post-
chemotherapy/surgery). In cases where there is a discrepancy in volume between the scans, the larger 
volume will be irradiated. A CTV is not required for the treatment of metastatic lesions. The appropriate 
PTV should be the GTV with a geometric margin of 1cm.  
 
4.3.6 
Target Dose 
 
Integrated boost radiotherapy plans are not permitted. 
 
4.3.6.1 Dose Definition  
Photon dose is to be specified in centigray (cGy)-to-muscle. For proton beam, the absorbed dose is specified 
in CGE, which is the same as ICRU 78 DRBE using a standard RBE of 1.10 with respect to water.  
 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 38 
Definitions: GTV = gross tumor volume(s); CTV = clinical target volume; PTV = planning target 
volume; CSI = craniospinal irradiation of intracranial and spinal subarachnoid volume encompassed 
using standard techniques; Age = age in months at the start of radiation therapy; CTV1 and PTV1 are the 
clinical and planning target volumes for craniospinal irradiation; x = denotes more than one CNS site that 
requires irradiation and the nomenclature of GTV2a, CTV2a, PTV2a, GTV2b, CTV2b, PTV2 is 
preferred with appropriate documentation for each target volume. 
 
4.3.6.3 Dose uniformity 
At least 95% of the protocol-specified dose should encompass 100% of the PTV1/PTV2 and no more 
than 10% of PTV1 (PTV2 for patients with a volume reduction) should receive greater than 110% of the 
protocol dose as evaluated by DVH. The 100% isodose should be equal to the prescribed dose. Wedges, 
compensators and other methods of generating more uniform dose distributions are encouraged. 
 
4.3.6.4 Tissue heterogeneity 
Calculations must take into account tissue heterogeneity and should be performed with CT-based 
treatment planning to generate dose distributions and treatment calculations from CT densities. When 
IMRT is used in lung, the heterogeneity correction algorithm must be approved by QARC. For questions 
about heterogeneity corrections or approved algorithms, please contact QARC (www.QARC.org). 
 
4.3.6.5 Environment of care - Interruptions, delays and dose modifications 
There will be no planned rests or breaks from treatment, and once radiation therapy has been initiated, 
treatment will not be interrupted except for any life-threatening infection or severe hematologic toxicity 
defined as ANC < 300/µL or platelets < 40 000/µL during the course of treatment. Under these 
circumstances, radiation therapy shall be delayed until the counts have recovered. Blood product support 
should be instituted according to institutional/protocol guidelines. There is no minimum hemoglobin 
level during radiation therapy. The reason for any interruptions greater than 5 treatment days should be 
recorded in the patient’s treatment chart and submitted with the QA documentation. There should be no 
modifications in dose fractionation due to age or field size. If any area has been previously treated 
(emergently), care should be taken not to exceed normal tissue tolerance levels.  
 
4.3.7 
Treatment Technique 
 
4.3.7.1 Beam Configuration 
Every attempt should be made to minimize dose to organs at risk without compromising coverage of the 
target volume. Three-dimensional conformal therapy (coplanar or non-coplanar) or IMRT are required to 
minimize dose to normal tissues.  
 
4.3.7.2 Selection of proton beam arrangements 
There are uncertainties (1-3 mm) in the distal range of the proton beam in which the RBE may be greater 
than 1.1; therefore, single proton beam plans which stop in a critical organ will not be allowed. 
Individual proton beams which are a component of a multi-field proton beam, which stop within such an 
organ, will be allowed. 
 
4.3.7.3 Field Shaping  
Field shaping for photons will be done with either customized cerrobend blocking or multileaf 
collimation. The field shaping for protons will be done with either brass apertures or proton-specific 
multileaf collimation. 
 


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 39 
4.3.7.4   Simulation including patient positioning and immobilization 
4.3.7.4.1  Patient positioning  
Reproducible setups are critical and the use of immobilization devices is strongly encouraged. 
The patient may be treated in any appropriate, stable position. Consideration should be given to 
implications for inter and intrafraction motion when using non-standard position approaches. 
 
4.3.7.4.2  Immobilization devices 
Standard immobilization devices for the torso, extremities or head and neck are to be used. 
For IMRT delivery approaches, the methods used for localization and immobilization of both patient and 
tumor are critical. The imaging studies should provide a clear assessment of the target volume with the 
patient in the treatment position.  
4.3.7.5 Special considerations  
Anesthesia or sedation may be required in certain patients, such as very young patients, to prevent 
movement during simulation and daily treatments.  
 
4.3.7.6 Motion Management and Margins to Account for Target Volume and Organ Motion 
Considering motion of normal tissues and target volumes is important. The internal target volume (ITV) 
is defined as the CTV surrounded by the internal motion (IM) component of the PTV and is meant to 
account for potential motion of the CTV. The planning organ at risk volume (PRV) includes the organs at 
risk (OAR) surrounded by a margin to compensate for physiologic change in the target volume. If 
adequate clinical data do not exist to define the IM component of the PTV or the PRV margin, the 
following suggestions are provided: 
• 
A margin of at least 0.5cm should be added to any OAR to form the PRV. 
• 
For a CTV susceptible to physiologic motion, a margin of at least 0.5cm should be added to the 
CTV prior to PTV margin expansion or a PTV margin of 1.0cm should be chosen. 
• 
For tumors of the thorax or abdomen, an assessment should be made to determine the extent of 
motion present. PTV margins should include this motion as a component.  
• 
IMRT may be used for tumors of the thorax only if the degree of tumor motion is assessed and can 
be limited to 0.5cm in any direction. If required to achieve this goal, techniques for managing or 
suppressing tumor motion shall be applied. 
• 
A description of the method used and evidence (i.e., observed motion during fluoroscopy, motion 
of surrogate markers using camera systems, or analysis of 4-D CT) of the remaining tumor 
motion should be submitted on the Motion Management Reporting Form with the Quality 
Assurance Documentation materials as noted in Section 4.3.10. 
 
4.3.7.7 Brachytherapy 
Sources used shall have assay directly traceable to NIST. 
 
CT or MRI planning shall be used for postimplant dosimetry. The GTV and CTV shall be outlined on the 
CT or MRI. The PTV is identical to the CTV for purposes of brachytherapy planning. DVHs for the 
GTV, CTV, and PTV shall be calculated and submitted for review. 
 
The following guidelines may be considered in planning the implant: 
 
A single plane implant is generally used for patients with microscopic residual disease. The target 
volume should include all sites of potential microscopic disease with at least 1.0cm margin on all sides. If 
the area to be implanted is larger than 50cm2, external beam radiation therapy should be considered. 
Catheters should be parallel and positioned 1cm apart. To ensure sufficient coverage the catheters should 
be placed with the distal end of the catheter projecting 1-2cm beyond the target volume. 
 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 41 
Organ 
Volume (%) 
Dose (cGy) 
Spinal Cord 
Any volume 
4500 
Paired organs  
 
 
Kidney (bilateral) 
50% 
2400 
Kidney (bilateral) 
100% 
1440 
Lung (bilateral) 
20% 
2000 
Lung (bilateral)  
100% 
1500 
Optic nerve 
100% 
5400 
Paired organs - % refers to one of the paired organs unless specified as bilateral (kidney, lung) in which 
both of the paired organs are included in the %. 
 
4.3.9 
Dose Calculations and Reporting 
4.3.9.1 Prescribed Dose 
The dose prescription and fractionation shall be reported on the RT-1/IMRT Dosimetry Summary Form. 
The total dose delivered shall be reported on the RT-2 Radiotherapy Total Dose Record. If IMRT is used, 
the monitor units generated by the IMRT planning system must be independently checked prior to the 
patient’s first treatment. Measurements in a QA phantom can suffice for a check as long as the patient’s 
plan can be directly applied to a phantom geometry.  
 
4.3.9.2 Normal Tissue Dosimetry 
The daily dose to the critical organs indicated should be calculated whenever they are directly included in 
a radiation field. The total dose shall be calculated and reported on the RT-2 Radiotherapy Total Dose 
Record form. The appropriate dose-volume histograms should be submitted. If IMRT is used for the 
primary tumor, a DVH must be submitted for a category of tissue called “unspecified tissue,” which is 
defined as tissue contained within the skin, but which is not otherwise identified by containment within 
any other structure. 
Table 4.3.9.2: Required normal tissue DVH data according to primary treatment site(s)  
Treatment Area 
Required DVH 
Head 
Optic Nerve 
 
Optic Chiasm 
 
Pituitary  
 
Right and Left Cochlea 
Neck 
Thyroid 
Chest 
Lung 
 
Heart 
Abdomen 
Liver 
 
Right and Left Kidney 
Pelvis 
Bladder and rectum 
Spinal Cord 
Spinal Cord 
 
4.3.10 Quality Assurance Documentation 
Key Points 
• 
Within 3 days of the initiation of treatment, please submit date for on treatment review (orbital 
and craniospinal irradiation cases only). 
• 
Within 1 week of the completion of radiotherapy: 
o Submit data for the primary site only (see checklist); 
o It is required that primary site data submission be in digital format. 
• 
Only the RT-2 form and a copy of the treatment chart need to be submitted for metastatic sites. 


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 42 
 
Institutions are required to submit the treatment plan in digital format. An institution’s treatment 
planning system must have the capability of exporting data in 1 of 2 formats: 
• 
RTOG 
Data 
Exchange 
Format, 
Version 
3.20 
or 
later 
(specifications 
at 
http://itc.wustl.edu/exchange_files/tapeexch400.htm); or 
• 
DICOM 3.0 in compliance with the Advanced Technology Consortium's (ATC) DICOM 3.0 
Conformance Statement. A list of commercial systems that are known to have this capability are 
listed on the ATC Website (http://atc.wustl.edu/credentialing/atc_compliant_tps.html). 
• 
The data may be submitted on a CD or sent electronically via ftp to QARC.  Instructions for 
digital submissions may be found on the QARC Website - www.qarc.org, under Digital Data, RT 
Treatment Planning. 
 
Please submit the following for the Primary Site Target Volume: 
External Beam Treatment Planning System  
• 
Digitally reconstructed radiographs (DRR) or simulator films for each treatment field and 
orthogonal (anterior/posterior and lateral) images for isocenter localization for each group 
of concurrently treated beams. When using IMRT, orthogonal isocenter images are 
sufficient. 
• 
Isodose distributions for the composite treatment plan in the axial, sagittal and coronal 
planes at the center of the treatment or planning target volume. The planning target 
volume, isocenter and the normalization method must be clearly indicated. 
• 
Dose volume histograms (DVH) for the composite treatment plan for all target volumes 
and required organs at risk. A DVH shall be submitted for the organs at risk specified in 
Section 4.3.8. When using IMRT, a DVH shall be submitted for a category of tissue called 
“unspecified tissue”. This is defined as tissue contained within the skin, but which is not 
otherwise identified by containment within any other structure. 
• 
Treatment planning system summary report that includes the monitor unit calculations, 
beam parameters, calculation algorithm, and volume of interest dose statistics. 
• 
Beams-eye-view (BEV) of portals showing collimator, beam aperture, target volume and 
critical structures are required when not using IMRT. 
 
Digital Data 
• 
Submission of the treatment plan in digital format is required. Please refer to 
www.QARC.org and click on "Digital Data" for guidelines regarding digital submission. 
All submissions, including those that are digital, require hard copy submission of the other 
items included in this list. If there are any problems with digital data submission, please 
contact QARC. 
 
Supportive Data 
• 
All diagnostic imaging used to plan the target volume. This includes CT or MRI PRIOR to 
attempted surgical resection of the primary tumor. Digital format is preferred. 
• 
Radiotherapy record (treatment chart) including prescription and daily and cumulative 
doses to all required areas and organs at risk. 
• 
Documentation of an independent check of the calculated dose when IMRT is used. 
• 
For protons, a description of the rationale for the PTV margins.  
• 
If the recommended doses to the organs at risk are exceeded, an explanation should be 
included for review by the QARC and the radiation oncology reviewers. 
• 
If emergency RT is administered, documentation should be provided in the form of the 
RT-2 Total Dose Record Form and the radiotherapy record (treatment chart). 


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
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Version Date: 02/14/14 
 
Page 43 
• 
If modifications are made for patients with age < 24 months, documentation should be 
provided. 
 
Forms 
• 
RT-1/IMRT Dosimetry Summary Form. 
• 
Proton Reporting Form (if applicable). 
• 
Motion Management Reporting Form (if applicable, see Section 4.3.7). 
• 
RT-2 Radiotherapy Total Dose Record Form. 
 
Please submit the following for Metastatic Sites: 
Forms 
• 
RT-2 Radiotherapy Total Dose Record Form. 
• 
Radiotherapy record (treatment chart) including prescription and daily and cumulative 
doses to all required areas and organs at risk. 
 
Please submit the following additional primary site information for brachytherapy: 
• 
Treatment planning CT used for post-implant dosimetry 
• 
Computer printouts of the isodose distribution and associated CT-based calculations. 
• 
Dose volume histograms for the GTV, CTV, and PTV. 
• 
A completed Brachytherapy Physics Reporting Form. 
• 
A copy of the written directive. 
 
Please submit the following information for intra-operative radiation therapy: 
o Radiotherapy record (treatment chart) including prescription and daily and 
cumulative doses to all required areas and organs at risk 
o Physician’s note describing the procedure, dose calculation and description of the 
applicator along with any relevant dosimetric characteristics (i.e., percent depth dose 
for the prescribed energy) 
 
These data should be forwarded to: 
Quality Assurance Review Center 
272 West Exchange St., Suite 101 
Providence, Rhode Island 02903-1025 
Phone: (401) 454-4301 
Fax: 
(401) 454 4683 
 
Questions regarding the dose calculations or documentation should be directed to: 
COG Protocol Dosimetrist 
Quality Assurance Review Center 
272 West Exchange St., Suite 101 
Providence, Rhode Island 02903-1025 
 
4.3.11 Definition of Minor and Major Deviations  
Definitions of deviation in protocol performance will be applied to the treatment of the primary lesion only. 
ARET0321 
DEVIATION 
 
Minor 
Major 
Prescription Dose 
 
     External beam 
Difference in prescription dose is 6%-
10% of protocol-specified dose 
Difference in prescription dose is 
> 10% of protocol-specified dose 


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 44 
     Brachytherapy 
Difference in prescription dose is 6%-
10% of protocol-specified dose 
Difference in prescription dose is 
>10% of protocol-specified dose 
Dose Uniformity 
     External beam 
> 10% PTV receives > 110% of protocol 
dose or 
95% isodose covers < 90% of the PTV or 
< 100% but > 90% of the CTV 
95% isodose covers < 90% of CTV. 
     Brachytherapy 
95% isodose covers <100% of CTV 
90% isodose covers < 100% of CTV. 
Volume 
CTV or PTV margins are less than the 
protocol specified margins in the absence 
of anatomic barriers to tumor invasion 
(CTV) or without written justification 
(PTV) 
GTV does not encompass MR-visible 
residual tumor 
 
 
 
5.0 
DOSE MODIFICATION FOR TOXICITY 
 
5.1 
Drug Modifications for Induction 
 
5.1.1 
Infection 
 
No modification of subsequent induction chemotherapy cycles will be made for infection or fever 
following a previous cycle. 
 
5.1.2 
Ototoxicity and Visual Impairment 
 
Ototoxicity is a particular concern in this study especially with the likelihood of visual impairment or 
blindness in some of these children. The goal of the induction therapy is to use intensive 
cyclophosphamide and platinum based therapy to rapidly induce a bone marrow remission to allow 
harvesting of peripheral blood stem cells free of tumor. If the child is expected to have normal vision in 
at least 1 eye (fovea free of tumor), the standard induction regimen (Section 4.2.1) should be used. 
The following conditions may require treatment modification guidelines: 
• 
If hearing loss following cisplatin administration is equal to or greater than 20 decibels at 500 - 
4000 Hz in either ear, omit cisplatin. No modification of dose for hearing loss above 4000 Hz. 
• 
If the patient is expected to have significant pre-existing visual impairment bilaterally (for 
example, neither fovea free of tumor). 
An alternative induction scheme intended to still employ intensive cyclophosphamide and platinum may 
be used. In such cases, cisplatin may be omitted from the induction regimen for the first 2 cycles 
(administer vincristine, cyclophosphamide and etoposide only). In such case, cyclophosphamide and 
etoposide will be administered on Days 0 and 1 rather than on Days 1 and 2. Cycles 3 and 4 will consist 
of vincristine, carboplatin, and etoposide (see Section 4.2.2 for details). 
 
 
5.1.3 
Nephrotoxicity 
 
If GFR is greater than 100 mL/min/1.73 m2, give full dose cisplatin. If 50 to 100 mL/min/1.73 m2 give 
2/3 dose; if less than 50 mL/min/1.73 m2, omit cisplatin. 
 
If GFR is greater than 50 mL/min/1.73 m2, give full dose etoposide. If 10 to 50 mL/min/1.73 m2 give 
75% dose; if less than 10 mL/min/1.73 m2, give 50% dose of etoposide. 
 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 47 
 
7.3 
Specimens Requested for Biologic Studies 
 
Submission of primary intra-ocular tumor and/or metastatic tumor is not required for participation on this 
protocol, but is strongly encouraged to allow future biological studies regarding genetic alterations 
associated with the metastatic phenotype. 
 
Tissue: Please submit any available tissue not required for diagnostic purposes at originating institution. 
If a tissue piece of at least 0.5 cm in diameter is available, then tissue should be equally divided between 
formalin-fixation and cryopreservation at -70oC. If less is available, please send frozen tissue as the 
priority. 
 
1) Frozen Tissue: Submit representative primary and metastatic tumor tissue at diagnosis. 20 to 
50 mg of non-sterile tumor should be frozen as soon as possible after biopsy. Wrap in 
aluminum foil, freeze in liquid nitrogen or isopentane and then place in the plastic zip-lock 
bag provided in the Specimen Procurement Kit. Store at -70oC until shipped to BPC. 
2) Formalin Fixed Tissue: Submit a minimum of 1 representative formalin-fixed paraffin-
embedded tissue block from primary and metastatic tumor. If a block is not available, submit 
primary and metastatic tissue in 10% buffered formalin. Store and ship at room temperature. 
3) Slides: 20 tissue sections from formalin-fixed paraffin-embedded block. Sections should be 
3-5µm in thickness and placed on coated slides for immunocytochemical studies. Store and 
ship at room temperature. 
 
Blood: Collect 5 mL of blood in an EDTA (purple top) tube. Centrifuge sample and draw off plasma. 
Distribute plasma evenly among the 5 vials from the Specimen Procurement Kit. Store plasma at –70oC 
to –80oC until shipped. Plasma will be collected from all patients at diagnosis. 
 
Additionally, on the days when bone marrow aspirates are performed, 2.5 mL of peripheral blood in 
PAXgene tube (Qiagen) should be obtained and submitted at room temperature. 
 
Bone marrow: An additional aliquot of bone marrow (5 to 10 mL with 100 Units of heparin/mL of marrow) 
should be obtained when each bone marrow aspiration is performed and submitted at room temperature. 
 
Label specimens for biologic studies with the BPC Number, collection date and specimen type. 
 
7.4 
Specimen Shipping 
 
To facilitate collection of biologic samples, the Biopathology Center (BPC) will provide a Specimen 
Procurement Kit. The specimen procurement kit is constructed to allow shipment of frozen (on dry ice) 
and ambient temperature tissues in the same container. The kit provides specimen collection containers, 
instructions, a pre-printed Federal Express air bill and required biohazard and dry-ice labels. For further 
information, or to obtain kit, please contact the BPC at (800) 347-2486. 
 
Dry ice may be placed in either compartment of the kit, but should not be put in both. Place the frozen 
tissue and plasma in one compartment of the kit along with 4 lbs. of dry ice. Place the fixed tissue and 
slides in the other compartment of the kit. All specimens should be shipped in three layers of packaging. 
Remember to package ambient and frozen specimens separately. First place the specimens in a zip-lock 
bag and seal securely. Next place the zip-lock bag into a Biohazard Secondary Shipping Envelope with 
absorbent material and seal securely. Then, place the Biohazard envelope into the Tyvek Diagnostic 
Envelope and seal securely. Always include a specimen transmittal form with each shipment. 


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THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 49 
 
8.2.4 
Platelet transfusions should be given as local institutional guidelines. It generally is recommended that 
platelet counts be kept > 20 000/µL. Patients with CNS lesions or manifestations of bleeding despite a 
platelet count > 20 000/µL should be managed more conservatively maintaining a platelet count 
> 50 000/µL. 
 
 
8.3 
Infectious complications may be managed as per local Institutional protocols, using the following 
suggested guidelines as considerations. 
 
8.3.1 
Fever and neutropenia: Patients that develop fever need to be promptly evaluated, appropriate cultures 
taken and intravenous antibiotic coverage started. Broad spectrum coverage (2-drug) is recommended 
and should be continued until neutrophil engraftment. For persistent fever of undetermined cause of 
greater than 5 days duration empiric fungal coverage should be added 
 
8.3.2 
Nephrotoxicity: Note that these patients have previously received nephrotoxic chemotherapeutic agents 
and caution must be taken when using aminoglycosides, Vancomycin or Amphotericin B deoxycholate. 
Careful monitoring of antibiotic levels and renal function (serum creatinine, urea and electrolytes) should 
be undertaken when using such agents. Abnormal renal function will also require modification of 
antibiotic doses and dose intervals, which can be most rationally determined by monitoring of peak and 
trough antibiotic levels in the blood. 
 
8.3.3 
Anti-fungal prophylaxis: Fluconazole 6 mg/kg/day IV/PO daily is recommended, particularly during 
periods of neutropenia and during consolidation. 
 
8.3.4 
PCP prophylaxis: During induction therapy, PCP prophylaxis should be administered as per institutional 
guidelines, preferably with trimethoprim-sulfamethoxazole unless the patient has a sulfa allergy. 
 
The Following Apply to the Consolidation Phase of Treatment Only: 
 
8.3.5 
Protective isolation should be as per local institutional guidelines. 
 
8.3.6 
HSV prophylaxis: For patients with a history or serologic evidence of previous oral HSC infection 
acyclovir (750 mg/m2/24 hrs based on ideal body weight, divided q8h) from day –8 to day +30 
 
8.3.7 
PCP prophylaxis: During consolidation therapy, trimethoprim-sulfamethoxazole (5 mg/kg/day in 2 
divided doses orally) is recommended until Day -2 before the stem cell infusion, with re-initiation of 
trimethoprim-sulfamethoxazole on Day + 30 provided the ANC is > 750/µL on 3 consecutive 
measurements after transplant and continued until 6 months post transplant. In patients who are allergic 
to trimethoprim-sulfamethoxazole, aerosolized pentamidine 300 mg given upon admission for transplant, 
then every 4 weeks thereafter for 6 months is a reasonable substitute. 
 


 
THIS PROTOCOL IS FOR RESEARCH PURPOSES ONLY, SEE PAGE 1 FOR USAGE POLICY 
ARET0321 
Version Date: 02/14/14 
 
Page 50 
 
8.3.8 
Intravenous immunoglobulin: IgG should be measured weekly and intravenous IgG should be given at a 
dose of 0.6 g/kg for levels < 5.0 g/L. 
 
 
8.3.9 
Skin care: Skin reactions following thiotepa administration are common. Frequent bathing/washing (at 
least 4 times daily) is recommended during and for at least 24 hours following administration. Sheet 
changes should be frequent. 
 
 
9.0 
CRITERIA FOR REMOVAL FROM PROTOCOL THERAPY AND OFF STUDY 
CRITERIA 
 
9.1 
Criteria for Removal from Protocol Therapy 
 
a. 
Progressive disease. 
b. 
Less than a partial response at the completion of 4 cycles of induction chemotherapy 
c. 
Second malignancy 
d. 
Refusal of further protocol therapy by patient/parent/guardian. 
e. 
Completion of protocol-prescribed therapy. 
f. 
Physician determines it is in patient’s best interest. 
 
Patients who are off protocol therapy are to be followed until they meet the criteria for Off Study (see 
below). Follow-up data will be required unless consent was withdrawn. 
 
9.2 
Off Study Criteria 
 
a. 
Death. 
b. 
Lost to follow-up. 
c. 
Withdrawal of consent for any further data submission. 
d. 
Patient enrollment onto another COG study with tumor therapeutic intent (e.g. at recurrence). 
e. 
Tenth anniversary of study entry. 
 
 
10.0 
STATISTICAL CONSIDERATIONS 
 
10.1 
Statistical Design 
The study involves a non-randomized assignment of CNS negative (stratum Stage 4a) and CNS positive 
(stratum Stage 4b) distant metastatic patients to receive a treatment regimen involving induction 
chemotherapy, stem cell harvesting, external beam radiation therapy, and consolidation therapy (high-dose 
chemotherapy with stem cell rescue). Patients with orbital, regional nodal disease and/or optic nerve margin 
positivity, but no other sites of metastases (stratum Stage 2 & 3), will be non-randomly assigned to receive 
the same treatment regimen without consolidation therapy. Observed event-free survival distributions will 
be compared to fixed, historical distributions separately for each stratum. An event is defined as relapse, 
second malignancy, or death from any cause. 
 
10.2 
Patient Accrual and Expected Duration of Trial 
The primary aim of the study is to compare the event-free survival rate between the current strata-specific 
strategies and historical experiences. The historical event-free survival rate at 1 year for patients with orbital 


 
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disease is 40% with very few failures after 1 year 4 The 1-year historical event-free survival rate for distant 
metastatic patients treated with less intensive strategies is at most 20% for CNS negative patients and 
approximately 5% for CNS positive patients.15 Multiple investigators have reported a near 0% event-free 
survival rate5,12-14, though anecdotal evidence has reported some event-free survivors. It is thought that the 
proposed treatment strategies will improve the 1-year event-free survival rates (EFS) to 70%, 70%, and 20% 
for orbital, distant metastatic CNS negative and distant metastatic CNS positive patients respectively. 
 
The observed EFS distribution will be compared to historical experience separately for each group of 
patients because orbit patients will not receive the high dose chemotherapy with stem cell rescue, and the 
prognoses of CNS negative and CNS positive patients will likely be quite different (due to blood-brain 
barrier considerations). Although we hypothesize that both the CNS negative and CNS positive patients will 
experience a reduction in risk of failure under the proposed therapy, a 78% reduction and a 46% reduction, 
respectively based on an exponential survival model, the reduction in risk is expected to be lower in the 
CNS positive subgroup. So, estimation of a combined relative risk would result in a slight underestimate for 
the CNS negative patients and a slight overestimate for the CNS positive patients. Furthermore, the CNS 
negative and CNS positive patients have historically been summarized as separate cohorts in the literature, 
and therefore, there is interest in estimation of stratum-specific EFS. Clinically and scientifically, it is most 
logical to describe the event-free survival distribution separately for each of the patient strata. 
 
Sample Size 
 
The estimated number of retinoblastoma cases per year in the USA is 300-350. About 5% of cases develop 
extraocular disease; therefore about 15 cases of metastatic disease per year occur in the United States. 
Survey of the COG retinoblastoma group attending the 4-01 meeting seemed to confirm that estimate. An 
equal number of CNS negative, CNS positive and orbital patients are expected. The retinoblastoma 
committee is interested in having this study be an international collaboration with appropriate European and 
South American centers and we have had promising initial discussions regarding this matter with 
international colleagues and Dr. Barry Anderson (CTEP). The proposed annual accrual of 15 patients across 
the 3 strata is based on North American accrual estimates and does not rely on international collaboration. 
Power was computed based on comparison to a binomial proportion using SAS Proc Power. 
 
During the first two years of study activation, accrual was very slow with a total of 11 patients enrolled. 
However, the rate of enrollment has steadily increased to an estimated steady state of 12 patients per year. 
Based on these observations, it is anticipated that there will be a total of 60 patients enrolled at 6 years from 
the start of the study. Also, enrolled patients are split about equally in the three risk groups. 
 
Stage 2 and 3 patients (regional disease patients): With 20 patients and assuming that the EFS rate from 
historical experience is 40% at 1 year, at a 1-sided alpha level of 0.05, the power to detect a true increase in 
the event-free survival rate of 30% (70%-40%) is 89%. A 1-sided alpha level was chosen as primary 
interest is in detecting an improvement in event-free survival rate under the more intensive therapy. The 
target sample size will result in a standard error of approximately 0.10 for the 12-month event-free 
survival rate, assuming a 12-month event-free survival rate of 0.7 under the proposed therapy. 
 
Stage 4a patients (distant metastatic CNS negative patients): Twenty CNS negative distant metastatic 
patients will be accrued over the 6-year period required to address the orbital patient aim. Assuming that the 
event-free survival rate for the current therapy is 20% at 1 year, we will have greater than 95% power to 
detect a true increase in the EFS of 50% (70% - 20%). The target sample size will result in a standard error 
of approximately 0.10 for the 12-month EFS rate, assuming a 12-month EFS rate of 0.7 under the 
proposed therapy. 
 


 
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Stage 4b patients (distant metastatic CNS positive patients): Twenty CNS positive distant metastatic 
patients will be accrued over the 6-year period required for the orbital patient study. Assuming that the EFS 
rate for the current therapy is 5% at 1 year, we will have 80% power to detect a true increase in the EFS of 
15% (20% - 5%) assuming a 1-sided alpha level of 0.05, an annual accrual of 5 patients, a 6 year accrual 
period. A 1-sided alpha level was chosen as primary interest is in detecting an improvement in event-free 
survival rate under the more intensive therapy. The target sample size will result in a standard error of 
approximately 0.09 for the 12-month EFS rate, assuming a 12-month EFS rate of 0.2 under the proposed 
therapy. 
 
In summary, a total of 20 patients will be enrolled in each stratum. Enrollment in a particular stratum will 
stop after the 20 patient target has been met, even if the accrual targets in the other strata have not been met. 
It is estimated that patients will be accrued over a 6-year period, with an additional 1 year of follow-up on 
all patients, resulting in a total study duration of 7 years. These calculations do not include patients from 
international institutions mentioned above.  
 
10.3 
Statistical Analysis Methods 
 
Primary Endpoint 
 
We will assume that the failure-free survival (FFS) experience of each group of patients (distant metastatic 
CNS positive, distant metastatic CNS negative, and orbit patients) can be adequately modeled using the 
exponential cure model.27 We will compare the observed survival experience to the expected distribution 
using a method adapted from Woolson.28 
 
Interim Monitoring 
 
The difference between the number of observed and expected failures is approximately normally 
distributed with independent increments and may be used for interim monitoring using standard group 
sequential boundaries. Based on data reported by Doz et al.,4 we will assume a fixed null hypothesis 
model for the FFS probability over time of the historical patients as follows: 
[
])
8.1
exp(
63
.0
37
.0
)
(
t
t
FFS
−
+
=
. 
Outcome data for the regional disease (stratum stage 2 and 3) patients will be formally reviewed for 
increased harm relative to the historical experience, using the Lan-DeMets implementation of the 
O’Brien and Fleming group sequential boundaries, after 50% and 100% of the expected information is 
observed (after approximately every 6 failures under the null hypothesis). An alpha spending function of 
(alpha * t) will be used to specify the monitoring boundaries, as it is of interest to detect early indications 
of increased harm relative to historical experience.29 The critical values will be 1.64 and 1.44.  Under this 
design, the study will be stopped for review with probability of 0.10 under the null long-term failure rate 
of 63% and with probability of 0.65 under a true long-term failure rate of 90%. 
 
For the patients with distant metastatic CNS positive disease or distant metastatic CNS negative disease, 
the toxic death rate will be monitored as described below. No additional outcome monitoring will be 
performed, unless the toxic death rate appears to be higher than is acceptable based on historical 
experience, at which point we would like to know if there is lack of evidence of superiority given the 
increased risk of toxic death. In this case, the data will be monitored for lack of evidence of superiority 
under the proposed therapy relative to historical experience (futility). Otherwise, if there are no 
indications of increased risk of toxic death, we will not monitor for futility or increased harm because the 
historical outcome for these patients is so poor, we want to avoid acting on early failures when there 


 
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might be a delayed benefit, and we would like to continue to the target accrual in order to preserve 
estimation precision. 
 
The study proposes to enroll a small number of subjects in each stratum and therefore, will not be 
monitored for early evidence of superior outcome in any stratum because halting the study accrual early 
would reduce the already limited precision of estimation. 
 
The toxicity-associated death rate and the percentage of patients for whom an adequate yield of stem cells 
cannot be harvested will be monitored across all treatment groups collectively. Specifically, a 5% toxicity-
associated death rate is acceptable, while a 10%-15% rate would be cause for concern. A continuous 
monitoring rule will be used where the study is stopped for review by the DSMB and study committee if at 
any point in time the probability of observing more than the current number of toxic deaths out of the 
number of accrued patients is less than 0.005 under the null hypothesis of a 5% event rate. Specifically, the 
following algorithm will be followed: 
 
 
Stop the Study for Review if  
 
Number of Events Observed 
Number of Patients On Study 
2 
1-7 
3 
8-14 
4 
15-23 
5 
24-32 
6 
33-42 
7 
43-53 
8 
54-60 
 
So, if for example, 5 toxic deaths are observed among the first 25 patients enrolled, the study will be 
stopped for review. Under the specified monitoring rule, the study will be stopped with probability of 0.84 
under an event rate of 15%, with probability of 0.65 under an event rate of 12%, with probability of 0.48 
under an event rate of 10%, and with probability of 0.09 under the null rate of 5%.  
 
Also, it is expected that over 98% of the patients receiving autologous stem cell rescue (ASCR) will yield an 
adequate amount of stem cells, whereas if only 90% of the patients yield an adequate amount, this would be 
cause for concern. A continuous monitoring rule will be used where the study is stopped for review by the 
DSMB and study committee if at any point in time the probability of observing more than the current 
number of patients with an inadequate amount of stem cells out of the number of accrued patients is less 
than 0.01 under the null hypothesis of a 2% event rate. Specifically, the following algorithm will be 
followed: 
 
Stop the Study for Review if  
 
Number of Events Observed 
Number of Patients On Study 
2 
2-22 
3 
23-42 
4 
43-60 
 


 
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So, if for example, 3 patients with an inadequate supply of stem cells are observed among the first 25 
patients enrolled, the study will be stopped for review. Under the specified monitoring rule, the study will be 
stopped with probability of 0.91 under the alternative event rate of 10% and will be stopped with probability 
of 0.09 under the null rate of 2%. 
 
The accrual rate will also be closely monitored. If fewer than 10 patients from all participating institutions 
are accrued per year on average across the 3 treatment strata, and more than a 9 year accrual period would 
be required to assess the event-free survival endpoints, and would therefore be cause for early termination 
review. 
 
Secondary Endpoints 
 
The response rate to the induction phase of the regimen will be estimated and a corresponding 95% 
confidence interval calculated for all strata combined. Toxicities will be descriptively summarized. 
 
10.4 
Gender and Minority Accrual Estimates  
The gender and minority distribution of the study population is expected to be: 
 
Accrual Targets 
Ethnic Category 
Sex/Gender 
Females 
Males 
Total 
Hispanic or Latino 
2 
1 
3 
Not Hispanic or Latino 
29 
28 
57 
Ethnic Category: Total of all subjects 
31 
29 
*60 
Racial Category 
 
American Indian or Alaskan Native 
1 
1 
2 
Asian 
2 
1 
3 
Black or African American 
4 
4 
8 
Native Hawaiian or other Pacific Islander 
1 
0 
1 
White 
23 
23 
46 
Racial Category: Total of all subjects 
31 
29 
*60 
 
 
 
 
* These totals must agree 
 
This distribution was derived from SEER data.30 
 
 
 
 


 
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11.0 
EVALUATION CRITERIA 
 
11.1 
Common Terminology Criteria for Adverse Events (CTCAE) 
This study will utilize the CTCAE of the National Cancer Institute (NCI) for toxicity and performance 
reporting. The descriptions and grading scales found in the revised CTCAE version 4.0 will be 
utilized for reporting beginning January 1st, 2011.  All appropriate treatment areas should have 
access to a copy of the CTCAE version 4.0, which can be downloaded from the CTEP web site 
(http://ctep.cancer.gov).  
 
11.2 
Response Criteria 
 
This study will use a modified version of the international criteria for neuroblastoma response.  
 
Please note: for some patients with trilateral retinoblastoma, it may be difficult to distinguish between 
tumor necrosis and refractory tumor. Please consider second look surgery prior to consolidation therapy 
should uncertainty arise as to whether an adequate response has been achieved. 
 
11.2.1 Complete Response (CR)  
Resolution of the metastatic disease as defined by bone marrow examinations and relevant imaging 
studies (those that revealed an abnormality prior to enrollment on this study). 
 
11.2.2 Very Good Partial Response (VGPR) 
> 90% decrease in the sum of the 2-dimensional measurements of the tumor(s) on relevant (CT and/or 
MRI) imaging studies. No new lesions. Bone marrow free of tumor. Improved bone scan. 
 
11.2.3 Partial Response (PR) 
50-90% decrease in the sum of the 2-dimensional measurements of the tumor(s) on relevant (CT and/or 
MRI) imaging studies. No new lesions. Bone marrow free of tumor. 
 
11.2.4 Stable Disease (SD) 
< 50% decrease and < 25% increase in the sum of the 2-dimensional measurements of the tumor(s) on 
relevant (CT and/or MRI) imaging studies. No new lesions. 
 
11.2.5 Progressive Disease (PD)  
At least a 25% increase in the sum of the 2-dimensional measurements of the tumor(s) on relevant (CT 
and/or MRI) imaging studies, and/or a new lesion that unequivocally represents retinoblastoma. 
 
11.2.6 Response Assessment 
Each patient will be classified according to their “best response” for the purposes of analysis of treatment 
effect. Best response is determined from the sequence of the objective statuses described above. 
 
 
12.0 
ADVERSE EVENT REPORTING REQUIREMENTS 
 
12.1 
Purpose 
Adverse event data collection and reporting, which are required as part of every clinical trial, are done to 
ensure the safety of patients enrolled in the studies as well as those who will enroll in future studies using 
similar agents.  


 
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12.2 
Determination of reporting requirements 
Reporting requirements may include the following considerations: 1) whether the patient has received an 
investigational or commercial agent; 2) the characteristics of the adverse event including the grade 
(severity), the relationship to the study therapy (attribution), and the prior experience (expectedness) of 
the adverse event.  
 
Commercial agents are those agents not provided under an IND but obtained instead from a commercial 
source. In some cases an agent obtained commercially may be used for indications not included in the 
package label. In addition, NCI may on some occasions distribute commercial supplies for a trial. Even in 
these cases, the agent is still considered to be a commercial agent and the procedures described below 
should be followed. 
 
Determine the prior experience Expected events are those that have been previously identified as 
resulting from administration of the agent. An adverse event is considered unexpected, for reporting 
purposes only, when either the type of event or the severity of the event is not listed in:  
 
• 
the current known toxicities for each commercial agent as provided in the Drug 
Information for Commercial Agents Used by the Children’s Oncology Group posted 
on the COG website; or 
• 
the drug package insert. 
 
Secondary Malignancy 
A secondary malignancy is a cancer caused by treatment for a previous malignancy (eg, treatment with 
investigational agent/intervention, radiation or chemotherapy). A metastasis of the initial neoplasm is not 
considered a secondary malignancy.  
 
All secondary malignancies that occur following treatment need to be reported via CTEP-AERS. Three 
options are available to describe the event:  
• 
Leukemia secondary to oncology chemotherapy   
• 
Myelodysplastic syndrome  
• 
Treatment related secondary malignancy 
 
 
12.3 
Reporting of Adverse Events for Commercial Agents – via CTEP-AERS 
Expedited AE reporting must use CTEP-AERS (Adverse Event Expedited Reporting System), 
accessed via https://eapps-ctep.nci.nih.gov/ctepaers 
 
Commercial reporting requirements are provided in Table B.  The commercial agent(s) used in this study 
are listed in the front of this protocol immediately following the Study Committee roster.  
 
• 
COG requires the CTEP-AERS report to be submitted within 7 calendar days of learning 
of the event.   
• 
Use the NCI protocol number and the protocol-specific patient ID provided during trial 
registration on all reports. 
 
CTCAE term (AE description) and grade: The descriptions and grading scales found in the NCI 
Common Terminology Criteria for Adverse Events (CTCAE) version 4.0 will be utilized for AE 
reporting and are located on the CTEP website at:  
http://ctep.cancer.gov/protocolDevelopment/electronic_applications/ctc.htm. All appropriate treatment 
areas should have access to a copy of the CTCAE. 


 
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Table B  
Reporting requirements for adverse events experienced by patients on study who have NOT 
received any doses of an investigational agent on this study. 
 
CTEP-AERS Reporting Requirements for Adverse Events That Occur During Therapy With a 
Commercial Agent or Within 30 Days1 
 
Attribution 
Grade 4 
Grade 5 
 
Unexpected 
Expected 
 
Unrelated 
or 
Unlikely 
 
 
CTEP-AERS 
Possible, 
Probable, 
Definite 
CTEP-AERS 
 
CTEP-AERS 
1This includes all deaths within 30 days of the last dose of treatment with a 
commercial agent, regardless of attribution.  Any death that occurs more 
than 30 days after the last dose of treatment with a commercial agent that 
can be attributed (possibly, probably, or definitely) to the agent and is not 
due to cancer recurrence must be reported via CTEP-AERS. 
 
 
12.4 
Routine Adverse Event Reporting 
Note: The guidelines below are for routine reporting of study specific adverse events on the COG case 
report forms and do not affect the requirements for CTEP-AERS reporting. 
 
The NCI defines both routine and expedited AE reporting.  Routine reporting is accomplished via the 
Adverse Event (AE) Case Report Form (CRF) within the study database.  For this study, routine 
reporting will include all toxicities reported via CTEP-AERS and all Grade 3 and higher Non-
hematologic Adverse Events.  


 
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13.0 
RECORDS AND REPORTING  
 
13.1 
Categories of Research Records 
 
Research records for this study can be divided into 3 categories: 
 
1. 
Non-computerized Information: Pathology Narrative Reports, Surgical Reports. These forms are 
submitted through the Document Imaging System in the eRDES. 
 
2. 
Reference Labs’ required records and QARC data. These data accompany submissions to these 
centers, which forward their review data electronically to the COG Research Data Center. 
 
3. 
Computerized Information Electronically Submitted: All other computerized data will be entered 
in the COG Remote Data Entry System with the aid of schedules and worksheets (essentially 
paper copies of the RDE screens) as provided in the data form packet. 
 
See separate Data Form Packet which includes submission schedule. 
 
13.2 
CDUS 
This study will be monitored by the Clinical Data Update System (CDUS) version 1.1. Cumulative 
CDUS data will be submitted quarterly to CTEP by electronic means. Reports are due January 31, April 
30, July 31 and October 31. This is not a responsibility of institutions participating in this trial. 
 
13.3 
CRADA/CTA 
Standard Language to Be Incorporated into All Protocols Involving Agent(s) Covered by a Clinical Trials 
Agreement (CTA) or a Cooperative Research and Development Agreement 
 
 
The agent(s) (hereinafter referred to as "Agent(s)"), used in this protocol is/are provided to the NCI under 
a Clinical Trials Agreement (CTA) or a Cooperative Research and Development Agreement (CRADA) 
between Company (or Companies) (hereinafter referred to as “Collaborator(s)”) and the NCI Division of 
Cancer Treatment, Diagnosis and Centers. Therefore, the following obligations/guidelines apply to the 
use of the Agent(s) in this study: 
1. 
Agent(s) may not be used outside the scope of this protocol, nor can Agent(s) be transferred or 
licensed to any party not participating in the clinical study. Collaborators(s) data for Agent(s) are 
confidential and proprietary to Collaborator(s) and should be maintained as such by the 
investigators. 
 
2. 
For a clinical protocol where there is an investigational Agent used in combination with (an) 
other investigational Agent(s), each the subject of different CTAs or CRADAs, the access to and 
use of data by each Collaborator shall be as follows (data pertaining to such combination use 
shall hereinafter be referred to as "Multi-Party Data”): 
 
a. 
NCI must provide all Collaborators with written notice regarding the existence and 
nature of any agreements governing their collaboration with NIH, the design of the 
proposed combination protocol, and the existence of any obligations which would tend to 
restrict NCI's participation in the proposed combination protocol.  
 


 
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b. 
Each Collaborator shall agree to permit use of the Multi-Party Data from the clinical trial 
by any other Collaborator to the extent necessary to allow said other Collaborator to 
develop, obtain regulatory approval or commercialization its own investigational Agent. 
 
c. 
Any Collaborator having the right to use the Multi-Party Data from these trials must 
agree in writing prior to the commencement of the trials that it will use the Multi-Party 
Data solely for development, regulatory approval, and commercialization of its own 
investigational Agent. 
 
3. 
The NCI encourages investigators to make data from clinical trials fully available to 
Collaborator(s) for review at the appropriate time (see #5). The NCI expects that clinical trial 
data developed under a CTA or CRADA will be made available exclusively to Collaborator(s), 
and not to other parties. 
 
4. 
When a Collaborator wishes to initiate a data request, the request should first be sent to the NCI, 
who will then notify the appropriate investigator’s (Group Chair for cooperative group studies, or 
PI for other studies) of Collaborators wish to contact them. 
 
5. 
Any data provided to Collaborator(s) must be in accordance with the guidelines and policies of 
the responsible Data Monitoring Committee (DMC, if there is a DMC for this clinical trial). 
 
6. 
Any manuscripts reporting the results of this clinical trial should be provided to CTEP for 
immediate delivery to Collaborator(s) for advisory review and comment prior to submission for 
publication. Collaborator(s) will have 30 days from the date of receipt for review. An additional 
30 days may be requested in order to ensure that confidential and proprietary data, in addition to 
Collaborator(s)'s intellectual property rights, are protected. Copies of abstracts should be 
provided to Collaborator(s) for courtesy review following submission, but prior to presentation at 
the meeting or publication in the proceedings. Copies of any manuscript and/or abstract should 
be sent to: The instructions in the box below will be included in each sample consent. 
Regulatory Affairs Branch, CTEP, DCTDC, NCI 
Executive Plaza North, Room 7111  
Bethesda, Maryland 20892 
FAX 301-402-1584 
 
The Regulatory Affairs Branch will then distribute them to Collaborator(s). 
 


 
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APPENDIX I:  YOUTH INFORMATION SHEET 
 
INFORMATION SHEET REGARDING RESEARCH STUDY ARET0321 
(for children 7 - 12 years of age) 
 
 
A Trial of Intensive Multi-Modality Therapy for Extra-Ocular Retinoblastoma.  
(A Treatment Study of Retinoblastoma that has Spread Outside of the Eye) 
Distant Metastatic Disease-Stage 4a and 4b 
 
1. We have been talking with you about your cancer, called metastatic retinoblastoma. Metastatic 
means that the cancer has spread outside of the eye. 
2. Now we would like to ask you to take part in a research study about treatment for metastatic 
retinoblastoma. A research study is when doctors work together to try out new ways to help 
people who are sick. In this study, we are trying to learn more about how to treat children with 
metastatic retinoblastoma. 
3. We have been talking with your parent(s) about this study. We want to include you as we talk 
more about it. Being in this study may involve special risks, which the doctor will discuss with 
you. 
4. In this study, doctors will use a new treatment for retinoblastoma that uses big doses of cancer 
fighting drugs (chemotherapy). The doctors also want to do something called a “stem cell 
rescue.” This is when special blood cells (called stem cells) are taken out of your blood and 
saved. Stem cells are like “parent cells” for all the cells in your blood. Later, the stem cells are 
put back into your blood. This is often done when patients get big quantities of chemotherapy 
which lower the number of your blood cells. It is done to help your body get better by giving 
your body back the parent cells it needs to grow new blood cells. Some children may also get 
high energy x-ray treatment (called external beam radiation therapy) which also helps to kill 
cancer cells. 
5. This study is being done to see if this new treatment is better at getting rid of metastatic 
retinoblastoma for as long as possible; than the treatments used in the past. We do not know if 
the bigger amounts of chemotherapy and the stem cell rescue will help get rid of the cancer better 
than older treatments. We do not know which treatment is better. That is why we are doing this 
study. 
6. If you take part in this study, you will get chemotherapy into something called a central line, 
which is often used for children getting this kind of chemotherapy. A central line is a special type 
of tubing that is put into a large vein in your chest. If you have a central line, you will not get to 
be pricked too many times to get chemotherapy or have blood samples taken. 
7. While getting the first part of chemotherapy (called induction), your stem cells will be collected 
and saved. Chemotherapy given during induction may be with 4 drugs (called Standard 
Induction) or with 3-drugs (called Alternative Induction). If you have serious hearing and/or 
vision problems, you may get alternative induction to try to minimize the risk of more visual 
and/or hearing loss. You will get more chemotherapy after induction. This is called consolidation 
therapy. During consolidation, you will have your stem cells that were saved during induction, 
put back into your blood. Following the end of consolidation chemotherapy, some children may 


 
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also get external beam radiation therapy. Your doctors will let you know if you should have 
external beam radiation therapy or not. 
8. After you get your chemotherapy, you will have regular check-ups to see how well the drugs are 
working. 
9. Please talk this over with your parent(s). Together you can decide if you want to take part in this 
study. Please ask any questions that you can think of. If you have a question later, you can ask 
the next time you see me. 
10. If you and your parent(s) decide not to be in this study, no one will be mad or upset with you. 
You will be able to receive treatment used in the past, or other experimental treatments if it is 
available. 
 


 
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INFORMATION SHEET REGARDING RESEARCH STUDY ARET0321 
(for children 7 - 12 years of age) 
 
 
A Trial of Intensive Multi-Modality Therapy for Extra-Ocular Retinoblastoma.  
(A Treatment Study of Retinoblastoma that has Spread Outside of the Eye) 
Regional Metastatic Disease- Stage 2 and 3 
 
1. We have been talking with you about your cancer, called metastatic retinoblastoma. Metastatic 
means that the cancer has spread outside of the eye. 
2. Now we would like to ask you to take part in a research study about treatment for metastatic 
retinoblastoma. A research study is when doctors work together to try out new ways to help 
people who are sick. In this study, we are trying to learn more about how to treat children with 
metastatic retinoblastoma. 
3. We have been talking with your parent(s) about this study. We want to include you as we talk 
more about it. Being in this study may involve special risks, which the doctor will discuss with 
you. 
4. In this study, doctors will use a new treatment for retinoblastoma that uses big doses of cancer 
fighting drugs (chemotherapy). Doctors also want to use high energy x-rays (called external 
beam radiation therapy) which also help kill cancer cells. 
5. This study is being done to see if this new treatment is better at getting rid of metastatic 
retinoblastoma for as long as possible; than the treatments used in the past. We do not know if 
the bigger amounts of chemotherapy and the external beam radiation therapy will help get rid of 
the cancer better than older treatments. We do not know which treatment is better. That is why 
we are doing this study. 
6. If you take part in this study, you will get chemotherapy into something called a central line, 
which is often used for children getting this kind of chemotherapy. A central line is a special type 
of tubing that is put into a large vein in your chest. If you have a central line, you will not get to 
be pricked too many times to get chemotherapy or have blood samples taken. 
7. During the first part of treatment (called Induction), you will get chemotherapy. Chemotherapy 
given during induction may be with 4 drugs (called Standard Induction) or with 3-drugs (called 
Alternative Induction). If you have serious hearing and/or vision problems, you may get 
alternative induction to try to minimize the risk of more visual and/hearing loss. Following the 
end of induction, you will also get external beam radiation therapy as the second part of your 
treatment. Your doctors will explain to you what to expect with these treatments. 
8. After you get your chemotherapy, you will have regular check-ups to see how well the drugs are 
working. 
9. Please talk this over with your parent(s). Together you can decide if you want to take part in this 
study. Please ask any questions that you can think of. If you have a question later, you can ask 
the next time you see me. 
If you and your parent(s) decide not to be in this study, no one will be mad or upset with you. 
You will be able to receive treatment used in the past, or other experimental treatments if it is 
available.


 
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