Exploration of tradeoffs in intensity-modulated radiotherapy David Craft, Tarek Halabi, and Thomas Bortfeld Department of Radiation Oncology, Massachusetts General Hospital and Harvard Medical School, Boston, MA 02114, USA E-mail: [email protected]Abstract. The purpose of this study is to calculate Pareto surfaces in multicriteria radiation treatment planning, and to analyse the dependency of the Pareto surfaces on the objective functions used for the volumes of interest. We develop a linear approach that allows us to calculate truly Pareto-optimal treatment plans, and we apply it to explore the tradeoff between tumor dose homogeneity and critical structure sparing. We show that for two phantom and two clinical cases, a smooth (as opposed to kinked) Pareto tradeoff curve exists. We find that in the paraspinal cases the Pareto surface is invariant to the response function used on the spinal cord: whether the mean cord dose or the maximum cord dose is used, the Pareto plan database is similar. This is not true for the lung studies, where the choice of objective function on the healthy lung tissue influences the resulting Pareto surface greatly. We conclude that in the special case when the tumor wraps around the organ at risk, e.g. prostate cases and paraspinal cases, the Pareto surface will be largely invariant to the objective function used to model the organ at risk. Submitted to: Phys. Med. Biol.
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Exploration of tradeoffs in intensity-modulated
radiotherapy
David Craft, Tarek Halabi, and Thomas Bortfeld
Department of Radiation Oncology, Massachusetts General Hospital and HarvardMedical School, Boston, MA 02114, USA
Abstract. The purpose of this study is to calculate Pareto surfaces in multicriteriaradiation treatment planning, and to analyse the dependency of the Pareto surfaces onthe objective functions used for the volumes of interest. We develop a linear approachthat allows us to calculate truly Pareto-optimal treatment plans, and we apply it toexplore the tradeoff between tumor dose homogeneity and critical structure sparing.We show that for two phantom and two clinical cases, a smooth (as opposed to kinked)Pareto tradeoff curve exists. We find that in the paraspinal cases the Pareto surfaceis invariant to the response function used on the spinal cord: whether the mean corddose or the maximum cord dose is used, the Pareto plan database is similar. This isnot true for the lung studies, where the choice of objective function on the healthylung tissue influences the resulting Pareto surface greatly. We conclude that in thespecial case when the tumor wraps around the organ at risk, e.g. prostate cases andparaspinal cases, the Pareto surface will be largely invariant to the objective functionused to model the organ at risk.
Submitted to: Phys. Med. Biol.
Exploration of tradeoffs in intensity-modulated radiotherapy 2
1. Introduction
Radiotherapy treatment planning almost always requires tradeoffs to be made between
delivering high doses of radiation to the tumor target volume and sparing the
surrounding healthy structures. Recently the concept of multi-objective Pareto
optimization has been introduced into treatment planning, especially for intensity-
modulated radiotherapy, to control the tradeoffs more directly and simultaneously
[5, 9, 24]. Given one or more objective functions for each volume of interest (VOI),
a Pareto optimal treatment plan is one for which there does not exist another plan that
is strictly better in at least one objective function while being no worse in every other
VOI objective. Given a pre-calculated database of Pareto optimal plans, the treatment
planner can interactively navigate through these plans and understand in realtime the
tradeoffs involved in the particular case [9].
With this new capability, it is now of interest to explore the shape of the tradeoff
curves (”Pareto fronts”) for various theoretical and clinical cases. Similar analyses have
been done with single-objective IMRT planning systems [8], which, however, did not
necessarily produce Pareto optimal plans. One question to be asked is about the general
shape of the tradeoff curves: Are they generally smooth such that a gradual change in
one objective (say, the dose in one critical structure) will cause gradual changes in the
other objectives? Or are there ”kinks” in the curves, such that a small change in one
objective will suddenly have a large impact on some other planning objective(s)?
Another question of interest is the sensitivity of the Pareto optimal plans to the
choice of the objective functions for the various VOIs. Specifically, will the tradeoff
curves look completely different if we use different objective functions? The reason
to ask this question is that no general agreement exists with respect to the choice of
the ”right” objective function and both biological and dose-based objectives have been
used [18]. In the case of biological objective functions, the underlying parameters are
uncertain (cf. [14]). To give an example, in the case of the rectum, the Emami tables [6]
do not suggest a volume effect of the dose response, whereas the Burman fit [4] states
a volume exponent [11] of n = 0.12, which corresponds to an EUD model parameter
a = 1/0.12 = 8.3. Indeed, Skwarchuk et al. [21] provide some evidence that the rectum
may be sensitive to large volumes receiving medium to low dose values (see also [10]).
Against this background it is a relief that Romeijn [20] have shown that Pareto
fronts are insensitive to a certain type of change of the objective function: If one function
can be represented as an increasing function of another function, then the two functions
are identical from the point of view of Pareto front computation. Specifically, normal
tissue complication probability (NTCP) can, under certain approximations, be cast as
an increasing function of equivalent uniform dose (EUD), hence NTCP and EUD lead
to the same Pareto fronts.
In this paper we take this analysis one step further. We explore the sensitivity of
Pareto fronts to more substantial changes of the objectives. We focus our exploration
on linear objectives because of the simplicity of linear models and the fact that they
Exploration of tradeoffs in intensity-modulated radiotherapy 7
4. Discussion
Multi-criteria IMRT optimization facilitates understanding of the tradeoffs in tumor
coverage and OAR sparing in radiation treatment planning. Access to a Pareto optimal
surface allows treatment planners and physicians to evaluate in real-time how changes
in the dose to some structure impacts the doses to other structures. In this paper we
present a method to calculate Pareto surfaces for IMRT planning and investigate the
sensitivity of the resulting database of Pareto plans to the choice of OAR response
function.
A persistent difficulty which affects both scalar and multi-objective optimization is
the lack of scientific agreement over the appropriate objective functions to use, further
complicated by the fact that it is unlikely that a single value can capture the effects of a
heterogeneous dose distribution on a single OAR or target volume. MCO partly resolves
this issue by allowing multiple objective functions on a single organ without having to
combine them with artifical weights, but the choice of the objective functions is still
problematic. However, MCO offers another advantage regarding the uncertainties over
the best objective functions to select.
Any two functions which are positively correlated are the same in terms of the
generation of the Pareto surface‡. In a previous work, [20], such correlation of two
functions was discussed in the context of mathematical correlation, and included as the
main examples the correlation between EUD and NTCP and TCP. In this current work,
we investigate IMRT patient/beam geometries which produce correlations in objective
functions that are not in general mathematically correlated. The particular example
we use is the linear EUD, α · (max dose) + (1 − α) · (mean dose), for different values
of α ∈ [0, 1], which we employ due to its simplicity and because linear programs are
solvable to optimality, thus ensuring our plans are exactly Pareto optimal. It may be
more appropriate, especially in a multi-criteria setting, to have maximum dose and mean
dose as separate objective functions, but combining them into a single EUD reduces
the dimensionality of the Pareto surface, which is an important consideration for large
dimensional Pareto surfaces.
If the maximum and mean doses of a structure are correlated, then the choice of
α is irrelevant from the point of view of MCO. In this paper, we show that when the
tumor surrounds a relatively small OAR, as in the paraspinal phantom and the actual
paraspinal case, minimizing the OAR maximum is similiar to the problem of minimizing
the OAR mean. In order to reduce the mean of the OAR, one must bring the dose in
the voxels adjacent to the tumor down as much as possible, i.e. one must reduce the
maximum dose. Due to its size and location in the tumor, one does not have much
separate control over the mean and max doses in the OAR (in the limiting case of a
structure consisting of a single voxel, maximum and mean dose are of course equal).
‡ This is not true in the case of single objective optimization when multiple objectives are scalarizedby a weighted sum. In this case, substituting one objective function for another positively correlatedone is the same as altering the weight of that function, which obviously changes the final result.
Exploration of tradeoffs in intensity-modulated radiotherapy 8
Thus, a large common boundary between the tumor and the OAR, large relative to the
size of the OAR, is sufficient for a strong correlation between the maximum and the
mean doses of the OAR. With a large OAR, a coupling between the maximum dose
and the mean dose need not exist, as shown in the lung studies, which reveal a large
difference in plans when the max dose is minimized versus the mean dose. Fortunately
however, large organs like the lung are often treated as parallel structures, meaning
that a single voxel representing the mean dose to the lung can be used in a linear
programming setting.
In the clinical paraspinal case, we do not find as strong a correlation between the
mean and the maximum dose when we optimize, as indicated by the larger gap in the
Pareto curves of Figure 6. This is most likely due to the fact that there is a larger gap
between the tumor and the OAR as compared with the phantom study which means the
maximum dose to the OAR is not occuring at a ring of voxels on the common interface,
but is more localized. The small tradeoff that does exist between the maximum and
the mean dose is explored in Figure 7, and displays a kink in this tradeoff. In words,
such a kink means that, for a fixed tumor homogeneity level, one can reduce the max
dose to the OAR without impacting the mean dose greatly, until a threshold where
further reduction in the OAR max causes the OAR to be flooded with radiation. More
importantly, the existence of a kink in this curve means that the original 2D Pareto
surface, while not insensitive to the full range of α, is insensitive to α values that find
the kink of the curve, approximately α ∈ [0.2, 0.8].
5. Conclusion
We have presented a method to compute the Pareto surface exactly for the general IMRT
inverse planning problem using a linear formulation. Pareto surfaces allow treatment
planners and physicians to understand the tradeoffs for individual patient plans. We
apply the model to four cases, two phantoms and two real data sets, and for each analysis
we produce three pareto curves by varying the objective function on the OAR: mean
dose, maximum dose, and the average of the mean and maximum dose.
For the lung phantom and the real lung case, we find that the choice of the
objective function on the OAR is very influential on the resulting Pareto database of
plans: minimizing the mean lung dose is a much different problem than minimizing the
maximum lung dose. In contrast, for the paraspinal cases, the choice of the OAR
parameter α is less important: whether you minimize the mean OAR dose or the
maximum OAR dose, it is necessary to reduce the dose to the the ring of voxels of the
OAR adjacent to the tumor which are at the maximum dose level. The smallness of the
OAR, the large common boundary it has with the tumor, and the physical limitations
of the dose deposit mechanism (i.e. the inability to create arbitrary dose distributions)
create an invariance to the choice of α in the paraspinal cases.
Exploration of tradeoffs in intensity-modulated radiotherapy 9
Acknowledgments
We are grateful to Drs. Karl-Heinz Kufer, Michael Monz, and Alexander Scherrer from
Fraunhofer ITWM, Kaiserslautern, and Jan Unkelbach and Monika Uhrig from DKFZ,
Heidelberg, for helpful discussions of this work, and for their hospitality during the
optimization workshop in Kaiserslautern, Germany. This work was supported by NCI
Grant 1 R01 CA103904-01A1: Multi-criteria IMRT Optimization.
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Exploration of tradeoffs in intensity-modulated radiotherapy 11
FIGURES
F1
YN
Z*
V
F2
Y2
Y1
Figure 1. Normal constraint method. Anchor points Y1 and Y2 are calculated byoptimizing F1 and F2 individually. The line connecting Y1 and Y2 is populated byan even spread of points. At each of these points Y , an optimization minimizing F2
is performed with the constraint which makes the shaded region feasible and the restinfeasible. This constraint is given by N ′V ≤ 0 where V is the vector from Y to thetrial point (F1, F2), and N is a vector from Y1 to Y2. The optimal solution, Z∗, is apoint on the Pareto surface.
Exploration of tradeoffs in intensity-modulated radiotherapy 12
−6 −4 −2 0 2 4 6−5
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y (c
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Tumor
OAR R
1
R3 = 3.8 cm
R2
R1 = 1 cm
R2 = 1.3 cm
IMRT information: 5 equispaced gantry angles,symmetric, beamlet size = 0.5 cm voxel size = 0.2 cm x 0.2 cm
Phantom radius = 8 cm
Paraspinal phantom
Figure 2. RTOG benchmark geometry used as our paraspinal phantom, values asshown. When used as the lung tumor phantom, we switch the OAR and the tumor,reduce the field size of the beams to cover only the tumor, and use R1 = 1.5, R2 = 1.95and R3 = 5.7 cm.
0.95 1 1.05 1.1 1.15 1.2 1.250.2
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1.051.05
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1.05 1.
05
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mean optimizedα=0.5 optimizedmax optimized
Figure 3. Pareto surfaces for paraspinal RTOG phantom geometry. Tradeoffis between tumor homogeneity, measured as the maximum tumor dose, and OARmaximum dose, mean dose, or the average between them. The minimum tumor doseis fixed at 95% prescription level. The red X indicates the plan for which the iso-doselevels are shown.
Exploration of tradeoffs in intensity-modulated radiotherapy 13
1 1.05 1.1 1.15 1.20.25
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tumor max dose (relative dose)
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8 0.95
mean optimizedα=0.5 optimizedmax optimized
1
2
1: mean optimized OAR 2: max optimized OAR
Figure 4. Pareto surfaces for lung phantom geometry. Clearly the choice of the OARresponse model influences the resulting Pareto plan database (left). Iso-dose number1 (middle) is a mean OAR dose optimized plan (corresponding to the red X in the leftfigure), and here one can see clearly that the tumor is covered by the two lower beams.In contrast, a much different plan is used when the maximum dose is used as the OARindicator function (right). In this case, iso-dose 2 shows, as expected, that all 5 beamsare used in order to reduce the maximum dose to the lung. This plan however resultsin a high mean dose to the lung, as shown by the Pareto curves.
0.25 0.26 0.27 0.28 0.29 0.30.6
0.65
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1.05
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oar mean dose (relative dose)
oar m
ax d
ose
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ativ
e do
se)
tumor max=1.025tumor max=1.05tumor max=1.2
Figure 5. Three dimensional Pareto surface for the lung phantom case (Figure 4),obtained by splitting the OAR EUD objective into its separate components, mean doseand maximum dose. At each tumor maximum level, a smooth tradeoff exists betweenthe OAR maximum dose and the OAR mean dose.
Exploration of tradeoffs in intensity-modulated radiotherapy 14
50 60 70 80 90 1006
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Oar
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y)
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Dose (Gy)
Per
cent
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ume
mean optimizedα=0.5 optimizedmax optimized
ctv+gtv boostcordR.KidneyL.Kidney
Figure 6. Paraspinal case. The red X indicates the plan for which the DVH is shown.A minimum dose of 45 Gy is used for the tumor.
7 8 9 10 11 12 13 14 1526
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oar mean dose (Gy)
oar m
ax d
ose
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tumor max=55tumor max=60tumor max=70tumor max=80
Figure 7. Paraspinal case. Viewing the mean and the maximum OAR doses asseparate objectives, we construct a three dimensional Pareto surface. The max meantradeoff of the OAR displays a kink, which implies that a range of α values near 0.5will yield this kink solution in the original two dimensional problem. The red line plotsconstant values of the max/mean EUD for α = 0.5 (the slope is −(1− α)/α = −1, asdiscussed in the text).
Exploration of tradeoffs in intensity-modulated radiotherapy 15
Figure 8. Paraspinal case, iso-dose plot for plan depicted by red X in Figure 6.
100 120 140 160 1805
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tumorR.LungL.Lungcord
mean optimizedα=0.5 optimizedmax optimized
Figure 9. Lung case. The red X indicates the plan for which the DVH is shown. Aminimum dose of 97% is used for the tumor.
Exploration of tradeoffs in intensity-modulated radiotherapy 16
Figure 10. Lung case, iso-dose plot for plan depicted by red X in Figure 9. Theclinical target volume is outlined by the green contour and the planning target volumeby the yellow contour. The CTV homogeneity was used for the tumor objective.