The Oncologist, Vol. 9, No. 3, 302311,
June 2004
© 2004 AlphaMed Press
Advances in Chemoprevention of Head and Neck Cancer
John C. Rheea,
Fadlo R. Khurib,
Dong M. Shinb
a Department of Medicine, Division of Hematology/Oncology, University of Pittsburgh Medical Center, Pittsburgh, Pennsylvania, USA;
b Winship Cancer Institute, Emory University, Atlanta, Georgia, USA
Correspondence:
Dong M. Shin, M.D., F.A.C.P., Head and Neck Cancer Program, Winship Cancer Institute, Emory University, 1365-C Clifton Road, Atlanta, Georgia 30322, USA. Telephone: 404-778-5990; Fax: 404-778-5520; e-mail: dong_shin{at}emoryhealthcare.org
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LEARNING OBJECTIVES
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After completing this course, the reader will be able to:
- Describe the mechanism of carcinogenesis of head and neck cancer.
- Explain chemoprevention with retinoids and other chemopreventive compounds.
- Discuss the published data including phase II and phase III randomized trials.
Access and take the CME test online and receive 1 hour of AMA PRA category 1 credit at CME.TheOncologist.com
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ABSTRACT
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Head and neck squamous cell carcinoma is a devastating disease with a poor outcome in advanced stages, accounting for approximately 3% of all malignancies, with an estimated 37,200 new cases and 11,000 deaths annually in the U.S. Second primary tumors are estimated to occur at an annual rate of 3%10% and are significant threats to long-term survivors. Chemoprevention is an appealing strategy, and its success has been demonstrated in breast cancer and familial adenomatous polyposis. High-dose retinoids have been shown to be active against oral premalignant lesions and in prevention of second primary tumors in the head and neck. New targets include the epidermal growth factor receptor, cyclooxygenase-2, and other molecular targets. Challenges in future head and neck cancer chemoprevention investigations include achieving long-lasting efficacy with retinoids and/or new agents, and determining the optimal dose and duration of therapy while maintaining acceptable toxicities.
Key Words. Head and neck cancer • Biochemoprevention • Retinoids • Epidermal growth factor receptor • Cyclooxygenase-2 inhibitors
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INTRODUCTION
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Head and neck squamous cell carcinoma (HNSCC) is a devastating disease with a poor outcome in advanced stages, accounting for approximately 3% of all malignancies, with an estimated 37,200 new cases and 11,000 deaths annually in the U.S. [1]. Tobacco and alcohol are widely recognized risk factors. Some patients will achieve long-term survival, particularly those diagnosed with early-stage disease. However, patients with recurrent disease or distant metastases have a median survival of only 68 months [2, 3]. Second primary tumors (SPTs) are estimated to occur at an annual rate of 3%10% and are significant threats to long-term survivors [4, 5]. Moreover, despite curative therapy for HNSCC, patients may acquire debilitating changes in appearance, speech, swallowing, and breathing. Clearly, preventative strategies are desirable.
Two concepts that have contributed to the understanding of the pathogenesis of head and neck cancer and other epithelial cancers are field cancerization and the multistep process [69]. Field cancerization was proposed by Slaughter in the 1950s, when it was observed that tissue adjacent to oral carcinomas revealed dysplasia, carcinoma in situ, and other histologic changes [6]. This was felt to explain the increased risks for SPTs and local recurrences. More recently, the discovery of genetic alterations supports this theory. These events comprise the multistep process, which includes inherited genetic alterations, damage from carcinogens such as tobacco and alcohol, and viral infections [7, 8]. There has been great interest in developing ways to interrupt these processes.
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CHEMOPREVENTION
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Chemoprevention has been studied in several malignancies; however, its success is greatest in breast cancer, where tamoxifen has been shown to decrease the incidence of invasive breast cancer in women at high risk [10]. Epidemiologic studies have suggested that nonsteroidal anti-inflammatory drugs decreased the risk of colon cancer [11]. In familial adenomatous polyposis, a condition that confers a markedly increased risk of colorectal cancer, the cyclooxygenase-2 (COX-2) inhibitor celecoxib has been shown to decrease the number of colonic polyps by 28% [12]. In other malignancies, such as lung and prostate cancers, several agents have been studied; however, there are no proven strategies.
Oral leukoplakia is a white-plaque mucosal lesion that confers an increased risk for the development of squamous cell carcinoma. Histologically, oral leukoplakia includes hyperplasia, hyperkeratosis, dysplasia, and carcinoma in situ. In 150 patients with leukoplakia followed for a mean duration of 103 months, squamous cell carcinoma developed in 36 (24%). The DNA content of the cells was predictive of the risk for the development of carcinoma [13]. Treatment for oral leukoplakia is removal, when feasible, via surgery or laser therapy. Inherited susceptibility as well as exposure to carcinogens such as tobacco and alcohol result in DNA damage and an increased risk for the development of invasive cancer [14]. Much of what is known about head and neck cancer chemoprevention is based on studies of patients with oral leukoplakia.
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AGENTS IN HEAD AND NECK CANCER CHEMOPREVENTION
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The most well-studied agents in head and neck cancer chemoprevention include vitamin A, other retinoids, beta-carotene, vitamin E, selenium, and COX-2 inhibitors. In addition, the investigation of biomarkers has led to the development of epidermal growth factor receptor (EGFR) tyrosine kinase inhibitors (TKIs) and farnesyl transferase inhibitors (FTIs) that target EGFR and H-ras and are new promising agents for chemoprevention.
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VITAMIN A
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Vitamin A (retinyl palmitate) deficiency was implicated as a cause of head and neck cancer when low levels of serum vitamin A were found twice as often in patients with stage III and IV disease than in healthy individuals [15]. Lower levels of vitamin A were also found in head and neck cancer patients with SPTs compared with those without SPTs, suggesting a possible role in their etiology [16]. The exact mechanism of vitamin A and its derivatives in potential HNSCC prevention is not fully understood; however, it is thought that these agents restore expression of retinoic acid receptor-beta (RAR-ß) mRNA, which may promote normal tissue growth and differentiation [17].
In a randomized controlled trial of smokeless tobacco users and betel nut chewers with oral leukoplakia, participants were given either 200,000 IU of vitamin A weekly for 6 months or placebo. Complete remissions occurred in 57.1% and suppression of the development of new leukoplakia occurred in 100% of the treated group, versus 3% and 21% of the placebo group, respectively. This was confirmed by histologic and cytologic differences between biopsies taken at the beginning and the completion of the trial [18].
These and other studies stimulated interest in the idea that vitamin A and antioxidants could prevent cancer of the upper and lower airways and led to the European Study on Chemoprevention with Vitamin A and N-acetylcysteine (EUROSCAN), a large randomized intervention study in over 2,000 patients with head and neck cancer or lung cancer. In that study, patients were randomized to receive vitamin A (300,000 IU/day followed by 150,000 IU/day in the second year), N-acetylcysteine (600 mg/day for 2 years), both compounds, or no intervention. Unfortunately, recurrence, SPT, and death rates were not better in any of the intervention groups with a median follow-up of 49 months [19].
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OTHER RETINOIDS IN ORAL LEUKOPLAKIA
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Retinoids include vitamin A and its synthetic derivatives and have been shown to have beneficial effects on epithelial cancers in animal studies. Their potential for chemoprevention in head and neck cancer has been studied for several years [20, 21]. Compared with the approximately 15% spontaneous regression rate of oral leukoplakia, Koch achieved complete or partial remissions in 45% of patients with these premalignant lesions treated with one of three retinoids13-cis-retinoic acid (isotretinoin), trans-beta-retinoic acid, and aromatic retinoidafter follow-up of up to 6 years [22, 23].
In 1986, a landmark trial (Fig. 1 ) by Hong et al. showed that high doses of isotretinoin were active against oral leukoplakia. There were significant decreases in the sizes of lesions in 16 of 24 patients (67%) receiving 12 mg/ kg/body weight/day, compared with only 2 of 20 patients (10%) receiving placebo (p = 0.0002). In addition, clinical response correlated with histologic resolution in nine of those 16 patients. However, toxicities were significant and have, at this point, precluded its clinical use. They included cheilitis, erythema and dryness of the skin, and hypertriglyceridemia, which, in some cases, required reduction or cessation of the drug. Furthermore, over 50% of patients with responses relapsed within 3 months after therapy was stopped. One patient in the treatment group (versus two in the placebo group) developed squamous cell carcinoma; however, since the study lasted only 9 months, it could not be determined whether leukoplakia regression correlated with a decrease in future invasive cancers [24].

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Figure 1. Study schema and results of high-dose 13-cis-retinoic-acid in oral leukoplakia. Abbreviations: 13-cRA = 13-cis-retinoic acid.
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The adverse effects of high-dose isotretinoin and the relapse rate after discontinuation of the drug led to a clinical trial to evaluate the efficacy and toxicity of a lower dose of isotretinoin for a longer period of time, with the hope of sustaining a response with minimal adverse effects. In that study, reported by Lippman et al., patients with leukoplakia were initially treated with isotretinoin at a high dose (1.5 mg/kg) for 3 months. Those who had stable or improved lesions then proceeded to be randomized to the maintenance phase30 mg of beta-carotene versus isotretinoin (0.5 mg/kg) for 9 months. Thirty-six of 66 (55%) patients had complete or partial clinical responses, 23 (35%) had stable disease, and seven had progression and did not proceed to the maintenance phase. Twenty-two of the 26 (92%) patients randomized to maintenance with low-dose isotretinoin and 13 of the 33 (45%) patients who received beta-carotene responded to the therapy or had stable disease (p < 0.001). Additionally, there were minimal side effects in both groups in the maintenance phase, with no differences in grade 3 or 4 cheilitis, dry skin, or hypertriglyceridemia [25].
Chiesa et al., in Italy, studied the synthetic retinoid fenretinide (4-HPR) in 115 patients with oral leukoplakia treated surgically. In that 1-year study, 3 of 39 (8%) patients in the treated group and 12 of 41 (29%) patients who received no intervention were found to have local relapses or new lesions. Toxicities included dermatitis and hypertriglyceridemia. Compared with use at higher doses, there were no reports of decreased night vision [2628]. Updated results from that study reported that toxic effects were minimal and compliance was good [29].
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RETINOIDS FOR SPT PREVENTION IN HEAD AND NECK CANCER
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In light of the trials of retinoids in oral leukoplakia, the role of retinoids in the adjuvant setting in HNSCC was studied. A phase III study randomized 103 patients with stage I-IV HNSCC to receive either placebo or 50100 mg/m2 isotretinoin daily for 1 year [30]. Although there were no significant differences between the two groups in the number of local, regional, or distant recurrences of the primary cancers, the treatment group had significantly fewer SPTs. After a median follow-up of 32 months, only two patients (4%) in the isotretinoin group, versus 12 (24%) in the placebo group, had SPT (p = 0.005). Toxicities included skin dryness, cheilitis, hypertriglyceridemia, and conjunctivitis. Sixteen of 49 (33%) patients did not complete the 12-month treatment because of adverse effects or noncompliance. Long-term follow-up showed that, in the treatment group, there was a 14% rate of development of an SPT, versus 31% in the placebo group (p = 0.04), after a median of 54.5 months (Fig. 2 ) [31].

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Figure 2. Study schema and results of 13-cis-retinoic-acid in HNSCC in the adjuvant setting. Abbreviations: 13-cRA = 13-cis-retinoic acid.
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In a randomized prospective study, 316 early-stage head and neck cancer patients were treated with surgery and/or radiation curatively and received either adjuvant etretinate or placebo for a period of 24 months [32]. Unfortunately, there were no differences in SPT rate, local or distant recurrence, or 5-year survival rates. Toxic effects in the treated group included grade 2 and 3 cheilitis, conjunctivitis, and dermatologic toxicity.
Khuri et al. recently reported data from an intergroup, placebo-controlled, double-blinded study evaluating the efficacy of low-dose isotretinoin (30 mg) in the prevention of SPTs in patients with stage I or stage II HNSCC, as well as the impact of smoking status on SPT development. Starting in 1991, 1,190 patients were randomized to receive either 30 mg of isotretinoin daily or placebo for 3 years. The last patient completed treatment in September 2002. The annual SPT rate was 4.7% in both arms, and there were no significant differences in overall survival or recurrence-free survival. There was a transient, statistically nonsignificant pattern of fewer recurrences with isotretinoin, which was lost after treatment cessation. Continued smoking was shown to have a significant adverse effect on disease-free survival. Molecular tumor characteristics are being analyzed to better distinguish between SPTs and recurrences [33, 34].
The toxicities encountered with high-dose retinoids have prevented them from becoming the standard of care, while low-dose retinoids have been shown to be ineffective. An efficacious schedule with an adequate dose of retinoids has not been achieved.
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BETA-CAROTENE
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Dietary beta-carotene has long been thought to reduce cancer rates [35], and animal studies have shown inhibition of oral carcinogenesis with topical beta-carotene treatment [36]. Earlier studies showed the response rates of oral leukoplakia to beta-carotene to be as high as 44%71% [37, 38].
A clinical trial of 79 patients with oral leukoplakia receiving antioxidant supplements of 30 mg beta-carotene as well as 1,000 mg ascorbic acid and 800 IU vitamin E or alpha-tocopherol ( -TF) for 9 months showed clinical improvements in 56% of those patients [39].
In a randomized, double-blinded, placebo-controlled multicenter trial, 264 patients with early-stage head and neck cancer received either 50 mg beta-carotene or placebo after being curatively treated with radiation and/or surgery [40]. After a median period of 51 months, there were no differences between the two groups in mortality, time to SPT development, or local recurrences.
In the Physicians Health Study, a large trial that enrolled 22,071 male physicians, 12 years of supplementation with beta-carotene produced neither benefit nor harm in the incidence of malignant neoplasms [41]. Furthermore, the beta-carotene and retinol efficacy trial (CARET) actually showed that the combination of beta-carotene and vitamin A had a relative risk of lung cancer of 1.28 (p = 0.02) and a relative risk of 1.26 of death from cardiovascular disease [42]. Those trials prompted beta-carotene to be removed from chemoprevention trials for oral premalignancy in smokers.
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VITAMIN E AND SELENIUM
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The antioxidant vitamin E ( -TF) prevented the development of cancers in oral cavities in animal studies [43]. A phase II study showed that, among 43 patients with oral leukoplakia who took 400 IU of vitamin E twice daily for 24 weeks, 20 (46%) had clinical responses and nine (21%) had histologic responses [44]. The treatment was well tolerated, without any toxicity higher than grade 2 and with good compliance.
The trace element selenium was proposed to be a potential agent for head and neck cancer chemoprevention when epidemiologic studies showed that death rates for head and neck cancer were lower in regions where soil contained higher levels of selenium [45]. In patients undergoing surgery and/or radiation therapy for head and neck cancer, supplementation with 200 µg of selenium per day was found to be associated with a significantly enhanced cell-mediated immune responsiveness [46].
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BIOCHEMOPREVENTION
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Biochemoprevention therapy combined high-dose isotretinoin, -TF, and interferon-alpha (IFN- ). -TF had been chosen because of its synergistic effects with retinoids, its ability to decrease the toxicity of isotretinoin, as well as its minimal side effect profile. In preclinical studies, this three-drug combination showed a markedly better inhibition of cell growth compared with each single agent or two-drug combination. Cell cycle analysis showed that cells were inhibited in the S phase, and a binding assay indicated greater apoptosis by the three-drug combination [47]. A prospective, nonrandomized phase II trial by Papadimitrakopoulou et al. enrolled patients with biopsy-proven advanced premalignant lesions (e.g., mild, moderate, and severe dysplasia) of the oral cavity, oropharynx, and larynx. Participants had serial biopsies and clinical examinations. Among patients with laryngeal dysplasia, 9 of 19 (47%) and 7 of 14 (50%) had complete responses at 6 months and 12 months, respectively. However, patients with oral cavity and oropharynx dysplasia did not achieve such responsesonly 1 of 11 (9%) and zero of seven (0%) showed complete responses at 6 and 12 months, respectively. Some patients experienced side effects associated with isotretinoin, but there were no toxicities greater than grade 3 [48]. Seven patients whose pretreatment biopsies expressed a mutant p53 gene were found to have had a reappearance of the wild-type p53 gene in posttreatment biopsies, suggesting biochemoprevention may suppress the mutant p53 gene [49].
Shin et al. conducted a bioadjuvant phase II trial with isotretinoin, -TF, and IFN- for 12 months in patients with locally advanced head and neck cancer [50, 51]. The starting doses were 50 mg/m2/day orally of isotretinoin, 1,200 IU/day orally of -TF, and 3 million units/m2 s.c. of IFN- three times weekly. Among the 44 patients, 9% (four patients) developed locoregional recurrence, 5% (2 patients) developed locoregional recurrence and distant metastases, and one patient developed a second primary malignancy (acute promyelocytic leukemia) at a median of 24 months. The 1- and 2-year survival rates were 98% and 91%, respectively. Disease-free survival rates during the same time periods were 91% and 81%, respectively [50]. Long-term follow-up at a median of 49.4 months showed that the overall survival rates at 1 year, 3 years, and 5 years were 98%, 89%, and 81%, respectively. Disease-free survival rates at 1 year, 3 years, and 5 years were 89%, 78%, and 74%, respectively, suggesting that the effect of bioadjuvant therapy is long lasting [51]. This combination was well tolerated, with 86% of patients completing the planned therapy. Toxicities were similar to those previously reported with interferon and isotretinoin and included mild-to-moderate constitutional symptoms and fatigue. Grade 3 toxicities included fatigue in three patients (7%) and peripheral neuropathy in one patient (2%) and required dose reduction. One patient developed visual disturbances with moderate optic neuritis on ophthalmologic examination. The patients vision recovered after cessation of the medication [50]. A phase III randomized trial (Fig. 3 ) is currently being conducted to confirm the phase II results. As a result of the toxicity experienced in the phase II study, the dose of isotretinoin for that study is 40 mg/m2/day orally and the IFN- dose is 2 million units/m2 s.c. three times weekly.

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Figure 3. Study schema of phase III trial of adjuvant biologic therapy in patients with stage III/IV HNSCC. Abbreviation: 13-cRA = 13-cis-retinoic acid.
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NEW TARGETS AND BIOMARKERS OF HNSCC
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HNSCC develops after the accumulation of genetic changes in epithelia exposed to carcinogens. This multistep process (Fig. 4 ) has led to the investigation of biomarkers that may represent distinct alterations and may lead to the development of new chemopreventive agents as well as serve as intermediate points in chemoprevention trials. These biomarkers include oncogenes, growth factors and growth factor receptors, and tumor suppressor genes.

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Figure 4. Multistep process of the development of HNSCC. Abbreviations: TGF- = transforming growth factor alpha; PCNA = proliferating cell nuclear antigen.
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Expression of RAR-ß is selectively lost as tissue progresses through dysplasia to invasive carcinoma [17]. A tumor suppressor gene on chromosome 9p is also lost in oral dysplastic lesions, and loss of heterozygosity was found in 72% of HNSCC tumors [52].
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H-RAS GENE
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Members of the ras gene family are among the most commonly altered protooncogenes in a variety of solid tumors. A mutation in the H-ras gene is found in 27%61% of squamous cell carcinoma cases and 30% of cases of oral leukoplakia [53, 54]. FTIs inhibit an enzymatic step in the expression of this gene and have been shown to have extensive activity in preclinical studies using HNSCC cell lines, as well as in non-small cell lung cancer lines. A combination of the FTI, L-778,123 and radiotherapy has been studied in locally advanced head and neck cancer patients in the phase I setting, with acceptable toxicities. Two of three patients with HNSCC had no evidence of disease on follow-up computed tomography scans and nasopharyngoscopy [55].
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EPIDERMAL GROWTH FACTOR RECEPTOR
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The EGFR is a 170-kDa transmembrane protein that plays an important role in organogenesis and tissue homeostasis and is thought to be important in the proliferation and survival of cancer cells [56]. Overexpression of the EGFR has been found in several malignancies, including head and neck, lung, breast, prostate, bladder, and pancreatic cancers [5761]. Dysregulation of EGFR has been found in 80%90% of HNSCC specimens and is felt to correlate with a greater risk for disease recurrence [6266]. Since the EGFR is frequently expressed in HNSCC, blocking the EGFR is an excellent approach to treat and prevent head and neck cancer. One approach to block the EGFR includes targeted agents that inhibit EGFR tyrosine kinase. These TKIs include gefitinib (Iressa®; AstraZeneca Pharmaceuticals; Wilmington, DE) and erlotinib (TarcevaTM; Genentech, Inc.; South San Francisco, CA). In phase I trials, gefitinib has shown antitumor activity in patients with non-small cell lung cancer [67]. In 47 patients with recurrent or metastatic HNSCC treated with 500 mg/day gefitinib, the response rate was 10.6% [68]. Gefitinib is generally well tolerated, with the most common adverse events being rash and diarrhea. However, rare cases of interstitial pneumonitis have been reported with gefitinib, which is of concern for its use in the preventative setting [69]. However, the mechanisms involved and the true incidence of interstitial pneumonitis should be further investigated. Preliminary data from a phase II study with 250 mg/day gefitinib support a superior toxicity profile, but conclusions regarding efficacy have not been made [70].
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p53 GENE
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p53 is a tumor suppressor gene located on the short arm of chromosome 17, and mutations in this gene occur in 43% of HNSCC patients [71]. The expression of p53 protein in HNSCC has been shown to be predictive of shorter survival and may be a valuable marker for identifying individuals at high risk for developing recurrent disease or SPTs [72, 73]. p53 status has also been shown to be an independent indicator of response to neoadjuvant chemotherapy [74]. ONYX-015 is an adenovirus lacking the gene encoding E1B 55kd, which binds to and inactivates p53. ONYX-015 was administered as a mouthwash therapy in a phase II trial for premalignant oral dysplasia. In the first 10 patients treated with weekly therapy, resolution of dysplasia occurred in three patients, as well as histologic improvement in an additional two patients with no toxicity of grade 2 or greater [75]. Further studies are necessary.
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CYCLOOXYGENASE-2 INHIBITORS
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Selective COX-2 inhibitors are promising agents in chemoprevention [76]. COX-2 is thought to enhance the production of vascular growth factors, leading to neoangiogenesis, as well as to mediate cytokines involved in chronic inflammation, resulting in increased epithelial carcinogenesis. Other mechanisms by which COX-2 activity contributes to carcinogenesis include catalyzing the conversion of procarcinogens to carcinogens, decreasing apoptosis, and stimulating the invasive phenotype of cancer cells [77]. COX-2 is expressed in neoplastic cells in head and neck, lung, colon, and breast cancer tissues. Nearly 100-fold greater expression levels of COX-2 were found in HNSCC cells compared with normal oral mucosa [78].
COX-2 inhibitors were first studied as chemopreventative agent in colonic polyps and colorectal cancer [7981] and have an established use in familial adenomatous polyposis [12]. Potential prevention of breast [82, 83], hepatocellular [84], and bladder cancers [85] has also been proposed.
A randomized animal study by Wang et al. showed a significant difference between the quantity of new vasculature at tumor sites in mice intradermally inoculated with oral carcinoma cells and control mice, suggesting the chemopreventative efficacy of the COX-2 inhibitor celecoxib [86]. Preclinical studies have been performed with celecoxib and the EGFR-TKI AG1478 on cell growth and cell cycle progression of HNSCC cell lines. The combination of the EGFR-TKI and celecoxib synergistically inhibited the growth of the HNSCC cell lines, with apoptosis in 72% with combined treatment, 21%50% with single-agent therapy, and 8% without treatment [87]. Downstream signaling molecules, mitogen-activated protein kinase, Akt, and signal transducer and activator of transcription (STAT)-3, were also synergistically lower with the combined treatment with an EGFR-TKI and COX-2 inhibitor compared with the single-drug treatment [88]. This combined approach, with EGFR-TKIs and COX-2 inhibitors, has great promise in the future chemoprevention of HNSCC. Our institution is planning a phase I/II chemoprevention trial with celecoxib and erlotinib.
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CONCLUSIONS
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Chemoprevention is an attractive strategy in head and neck cancer management, although past trials have not demonstrated its feasibility. Single-agent retinoids are active against oral premalignant lesions, demonstrating a proof of principal that head and neck cancer chemoprevention is possible. Biochemoprevention (isotretinoin, IFN- , -TF) is a promising approach, but its efficacy needs to be determined in phase III trials. Molecular targeted agents such as EGFR-TKIs, FTIs, and COX-2 inhibitors are important potential treatments. Future clinical trials should test these new agents and combinations of these agents. Questions remain regarding the optimal dose and duration of therapy with retinoids and other agents. Other challenges include achieving efficacy while maintaining acceptable toxicity levels and good patient compliance. Although vast advances have been made in the knowledge of head and neck carcinogenesis, chemoprevention for HNSCC remains investigational.
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Received July 18, 2003;
accepted for publication January 21, 2004.
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