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Prenatal versus Postnatal Expectant management versus conventional screening in infants neonates with for familial retinoblastoma Sameh E. Soliman, MD, 1,2 Helen Dimaras, PhD, 1,3,4, 11 Vikas Khetan, MD, BS, 1,5 Jane A. Gardiner, MD, FRCSC, 1,6 Helen S. L. Chan, MB, BS, FRCPC, 7,8 Elise Héon, MD, FRCSC, 1,3,9 Brenda L. Gallie, MD, FRCSC 1,3,9,10 Corresponding Author: Dr. Brenda Gallie at the Department of Ophthalmology and Vision Sciences, the Hospital for Sick Children, 555 University Avenue, Toronto, ON M5G 1X8, Canada, or at [email protected] Authors’ Affiliations: 1 Departments of Ophthalmology & Vision Sciences, The Hospital for Sick Children, Toronto, Canada 2 Ophthalmology Department, Faculty of Medicine, Alexandria University, Egypt. 3 Department of Ophthalmology & Vision Sciences, Faculty of Medicine, University of Toronto, Toronto, Ontario, Canada. 4 Division of Clinical Public Health, Dalla Lana School of Public Health, University of Toronto, Toronto, Ontario, Canada. 5 Sankara Nethrala ya Hospital, Chennai, India. 6 Department of Ophthalmology and Vision Science, University of British Columbia, Vancouver, British Columbia, Canada

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Prenatal versus Postnatal Expectant management versus

conventional screening in infants neonates withfor familial

retinoblastoma

Sameh E. Soliman, MD,1,2 Helen Dimaras, PhD,1,3,4,

11

Vikas Khetan, MD, BS,1,5 Jane A.

Gardiner, MD, FRCSC,1,6 Helen S. L. Chan, MB, BS, FRCPC,7,8 Elise Héon, MD, FRCSC,1,3,9

Brenda L. Gallie, MD, FRCSC1,3,9,10

Corresponding Author: Dr. Brenda Gallie at the Department of Ophthalmology and Vision

Sciences, the Hospital for Sick Children, 555 University Avenue, Toronto, ON M5G 1X8,

Canada, or at [email protected]

Authors’ Affiliations:

1Departments of Ophthalmology & Vision Sciences, The Hospital for Sick Children, Toronto,

Canada

2Ophthalmology Department, Faculty of Medicine, Alexandria University, Egypt.

3Department of Ophthalmology & Vision Sciences, Faculty of Medicine, University of Toronto,

Toronto, Ontario, Canada.

4Division of Clinical Public Health, Dalla Lana School of Public Health, University of Toronto,

Toronto, Ontario, Canada.

5Sankara Nethralaya Hospital, Chennai, India.

6Department of Ophthalmology and Vision Science, University of British Columbia, Vancouver,

British Columbia, Canada

7Division of Hematology/Oncology, Pediatrics The Hospital for Sick Children, Toronto, Canada

8Department of Pediatrics, Faculty of Medicine, University of Toronto, Toronto, Ontario, Canada.

9Division of Visual Sciences, Toronto Western Research Institute, Toronto, Ontario, Canada.

10Departments of Molecular Genetics and Medical Biophysics, Faculty of Medicine, University of

Toronto, Toronto, Ontario, Canada.

Sameh Gaballah, 07/07/16,
Reviewer 2:In the title, is 'infants' the right word for unborn babies? How about 'Prenatal vs post-natal screening for retinoblastoma in patients with a family history of this disease'
Sameh Gaballah, 07/07/16,
Sameh:I suggest to change the title to this Also, we can use newborns instead of neonates.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

11

Child Health Evaluative Sciences, SickKids Research Institute, Toronto, ON, Canada

Financial Support: None

Conflict of Interest: No financial conflicting relationship exists for any author. BLG is an unpaid

medical director for Impact Genetics Inc.

Running head: Expectant management inPrenatal screening for familial retinoblastoma

Word count: 2746 / 3000 words

Numbers of figures and tables: 4 figures and 2 tables; 1 supplementary table

Key Words: prenatal retinoblastoma, retinoblastoma gene mutation, RB1, molecular testing,

late pre-term delivery, near-term delivery, amniocentesis

Meeting Presentation: Association for Research in Vision and Ophthalmology, Seattle,

Washington, USA, 2016

2

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Précis: 35/35

Expectant management of familial retinoblastoma (Pprenatal RB1 mutation detection and planned early-

term delivery) was advantageous to infants with familial retinoblastoma, achieved was associated with

more often no tumors at birth, earlier tumor detectionsince more had no tumors at birth, needed less

invasive therapies and achieved better visual outcomes, compared than to those conventionally managed.

postnatal screening. in familial retinoblastoma,

3

Sameh Gaballah, 07/07/16,
Reviewer 2:'achieved more often' seems like poor grammar. How about, 'was associated with'. Is 'no tumors at birth' an achievement?
Sameh Gaballah, 07/07/16,
Reviewer 2:'achieved more often' seems like poor grammar. How about, 'was associated with'. Is 'no tumors at birth' an achievement?
Sameh Gaballah, 07/07/16,
Reviewer 2: In the Precis, 'Expectant management' suggests inactivity. Why not start the précis with the word 'Prenatal'?
Sameh Gaballah, 07/07/16,
Editor’s comment:While I cared for RB patients 20 to 25 years ago I am no longer current on all this.  It seems to me that you are looking at patients who are screened pre-natally and delivered early.  I do not recall or know or know if it is known when tumors typically develop but I think we already know that all are not present prenatally.  If they were, we could do one screening and if there are no tumors not do further follow up.  So, some develop before birth, some around the time of birth and some after birth.  Now,  I read:"Expectant management of familial retinoblastoma (prenatal RB1 mutation detection and planned earlytermdelivery) achieved more often no tumors at birth, earlier tumor detection, less invasive therapies andbetter visual outcome, compared to conventional postnatal screening."Well, if you look earlier, of course there will be fewer tumors, earlier detection and since presumably tumors found will be smaller, less invasive therapies.  I guess there might be better vision outcomes but maybe not. Anyway, given what we know about RB, it seems your study is not needed unless we did not already know that some tumors are not present in utero.  My comments in part are silly and I think I do not mean to detract from your study but perhaps I am suggesting that you reword the main points to speak more to what new here you are finding and why it may matter.  Of course, I suspect it is appropriate to add that prospective validation will be needed?

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Abstract (34834513/350 words)

OBJECTIVE To compare overall outcomes of postnatal screening for children withinconventional

managementpostnatal screening of familial retinoblastoma conventionally screened postnatal, compared

toto prenatal those expectantly managedscreening with prenatal RB1 mutation identification and planned

early term delivery.

DESIGN A retrospective, observational study.

PARTICIPANTS Twenty children with with familial retinoblastoma, born between June 1996 and June

2014, examined within first week after birth and cared for at The Hospital for Sick Children (SickKids)

Toronto, Canada.

METHODS Conventional Cohort 1 included spontaneously delivered infants neonates screened

examined within one week of birth and confirmed to carry their family’s RB1 mutant allele who had

postnatal RB1 testingpost-natally. Expectant Cohort 2 consisted of infants identified by amniocentesis to

carry their relative’s knownfamily’s RB1 mutant allele, who wereand scheduled for early term delivery

(36-38 weeks gestation). All children received Ttreatment for eye tumorsretinoblastoma was performed at

The Hospital for Sick Children, (SickKids) Toronto, Canada.

MAIN OUTCOME MEASURES Main outcome measures were gestational age at birth, age at first

tumor in each eye, eye stage, treatments given, ocular salvage, treatment success (defined as avoidance of

enucleation and/or external beam irradiation), visual outcome, number of anesthetics, pregnancy or

delivery complications and estimated treatment burden.

4

Sameh Gaballah, 07/07/16,
Reviewer 2:Should 'enucleation and external beam irradiation' be 'enucleation or external beam irradiation'?Sameh: changed to and/or.
Sameh Gaballah, 07/07/16,
Reviewer 2:Should 'age at first tumor each eye' be 'age at first tumor in each eye'?Sameh: done
Sameh Gaballah, 07/07/16,
Reviewer 1:Under Participants, the location of the study should be transferred to the methods section.Sameh: Done as suggested
Sameh Gaballah, 07/07/16,
Reviewer 2:Should 'postnatal' be 'post-natally'?We think Postnatal is more correct.
Sameh Gaballah, 07/07/16,
Reviewer 2:does the term 'familial retinoblastoma' suggest that the patient does have the malignancy? Sameh: YES, familial retinoblastoma means that they had the tumor. If we say family history of retinoblastoma, we should have included in the post-natal screening all the children that has family history and no RB1 mutation and never developed a tumor. Helen: I would write, Yes, familial retinoblastoma is defined as having retinoblastoma AND family history of retinoblastoma.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

RESULTS Vision-threatening tumors were present at birth in 50% (4/8) of Conventional Cohort 1

infants, and 25% (3/12 ) of Expectant Cohort 2 infants. Eventually, aAll infants eventually developed

tumors in both eyes. At first treatment, 12% (1/8) of Cohort 1 had eyes Group AA T1a/T1a or A0 T1a/T0

(smallest and least vision-threatening tumors) compared to 67% (8/12) of Cohort 2 (Fisher Exact test

(FET), p=0.02). Null RB1 germline alleles induced earlier tumors than low-penetrance alleles (FET,

p=0.03). Treatment success was achieved in 38% (3/8) Cohort 1 patients compared to 92% (11/12)

Cohort 2 patients children (FET, p<0.002). Acceptable vision (better than 0.2) was achieved for 50%

(8/16) of Cohort 1 eyes compared to 88% (21/24) of Cohort 2 eyes (FET, p=0.014). Useful vision (better

than 0.1, legal blindness) was achieved for 88% (8/9) of Cohort 1 children compared to 100% (12/12) of

Cohort 2 children. There were no complications related to early term delivery. The median follow-up was

5.6 years 5.6 yearsC.ohort and 5.8 years Cohort 2.

CONCLUSIONS AND RELEVANCE When a parent had retinoblastoma, expectant management with

prenatal molecular diagnosis with late preterm/nearearly -term delivery increased theincreases the

likelihood of infants born with no detectable tumors, and better vision outcomes with less invasive

therapy. Prenatal molecular diagnosis facilitates anticipatory planning for both child and family.

5

Sameh Gaballah, 07/07/16,
Reviewer 2:Since conclusions are inferences from results, they could be given in the present tense.Sameh: done as suggested
Sameh Gaballah, 07/07/16,
Put here median FU for each Cohort
Sameh Gaballah, 07/07/16,
Reviewer 2:When reporting outcomes, the follow-up times should be reported. Sameh: added
Sameh Gaballah, 07/07/16,
Reviewer 2:When reporting p values, it is conventional to write the statistical method used, before the p value, with a comma. Sameh: Done as suggested.
Sameh Gaballah, 07/07/16,
I agree with Review to exclude %
Sameh Gaballah, 07/07/16,
Reviewer 2:It is not conventional to report percentages when the numbers are so small.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Retinoblastoma, the most common primary ocular malignancy in children, is commonly usually

initiated when both alleles of the RB1 tumor suppressor gene are inactivated in a precursor retinal cell,

followed by progressive mutations in other specific genes.1,2 Both alleles may be lost only in the retinal

cell from which one tumor arises (non-heritable retinoblastoma), or, in 50% of children, a germline RB1

mutation (50% of children) predisposes to development of multiple retinal tumors during childhood and

other cancers later in life. Ten percent of patients inherit a family-specific mutation from a parent.1,3

Children with an RB1 germline mutation may have retinoblastoma tumor(s) at birth, often in the

posterior pole of the eye, where they threaten vision.4-7 Focal laser treatments near the optic nerve and

macula may compromise vision, making treatment of these small tumors difficult. Most of these children

are bilaterally affected, with either simultaneous or sequential detection of tumors.4,6 Later developing

tumors tend to be located peripherally where focal treatment does not affect vision.6,8 Low penetrance

(10% of families)3 and mosaic9 mutations result in fewer tumors and more frequent unilateral phenotype.9

The timing of first tumors after birth has not yet been studied.

The new TNMH (Tumor, nNode, mMetastasis and Heritability) classification for retinoblastoma

replaced the international intraocular retinoblastoma classification (IIRC)10 withand its modifications and

inconsistencies11,12 to accurately predict the prognosis. T1a represents the non-visually threatening tumors

while T1b represents the visually threatening tumors; they corresponds, corresponding to IIRC10 group A

and B eyes, respectively. T2 and uphigher represents the more advanced tumors, with tumor seeding,

6

Sameh Gaballah, 07/07/16,
We need to cite here.
Sameh Gaballah, 07/07/16,
Reviewer 2:'making treatment of these tumors difficult' is not necessary, as it is not treatment that is difficult but conservation of vision. Sameh: Removed as suggested.
Sameh Gaballah, 07/07/16,
Reviewer 2:'eye where' should be 'eye, where'.Sameh Done
Sameh Gaballah, 07/07/16,
Reviewer 2:'retinoblastoma tumor(s)' could be 'retinoblastoma(s)', since these are tumors.Sameh: Changed as suggested
Sameh Gaballah, 07/07/16,
Reviewer 2:'(50% of children) is out of place, without the word 'affecting'.
Sameh Gaballah, 07/07/16,
Reviewer 2:'(50% of children) is out of place, without the word 'affecting'.
Sameh Gaballah, 07/07/16,
Reviewer 2:Page 6. Should 'commonly' be 'usually'?Sameh: yes and done

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

higher risk features and up to extra-ocular spread. Retinoblastoma is the first tumor to be classified

according to its heritability reflecting the higher impact of the genetic status on management. (Table 1)

It is recommended that infants with a family history of retinoblastoma be examined for tumor

detection and management treatment as soon as possible after birth and repeatedly for the first few years

of life, often (conventional screening), including under general anesthesia.13Early diagnosis when tumors

are small (cT1) and treatable with less invasive therapies is thought to optimize salvage of the eye and

vision.5,6,14 We have managed familial retinoblastoma by screening the fetus for the RB1 mutation of the

proband parent. If the child carries the RB1 mutation and has a near 100% risk to develop bilateral

tumors, we suggest delivery at early full term (37 weeks of gestation){13,15 with full retinal examination on

day 1. Further management is conventional screening and treatment.

The aim of this study it was to performWe present a retrospective comparative review of outcomes of

children examined within one week of birth and shown to carry their family’s RB1 mutant allele post-

natally, compared to those found to carry their family’s RB1 mutant allele on prenatal testing and

delivered early deliveryexpectant prenatal genetic diagnosis vs versus conventional postnatal

management of children with familial retinoblastoma. We hypothesized that earlier diagnosed

retinoblastoma tumors would be smaller and easier to treat with better visual outcome.We show that

children with expectant management had earlier detection and treatment of small tumors, lower treatment

7

Sameh Gaballah, 07/01/16,
Reviewer 2:It is not conventional to summarize the results at the end of the introduction.Sameh: we deleted the statement with results.
Sameh Gaballah, 07/09/16,
Reviewer 2:The aim is not clearly stated.
Sameh Gaballah, 07/09/16,
Reviewer 2:'We hypothesized that earlier diagnosed retinoblastoma tumors will be smaller and easier to treat.'  Should 'will' be 'would'?Sameh: changed as suggested
Sameh Gaballah, 07/09/16,
I think this is redundant
Sameh Gaballah, 07/01/16,
Reviewe 2:'including under anesthesia' could be 'under general anesthesia'.
Sameh Gaballah, 07/01/16,
Reviewer 2:In the Introduction, I'm not sure about the terms 'expectant management' and 'conventional screening'. They do not mean anything, to me at least, without having to read the text. This is really about pre-term vs full-term delivery. Screening, testing etc are means to an end (i.e., early induction of labor).
Sameh Gaballah, 07/01/16,
Reviewe 2:'tumor detection and management' Patients are managed and tumors are treated.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

morbidity, and better tumor control and visual outcome, compared to children born spontaneously prior to

genetic diagnosis.

Methods

Study Design

Research Ethics Board approval was obtained from The Hospital for Sick Children (SickKids). The

Study was in accordance with study conformed to the tenets of the Declaration of Helsinki. Family

privacy was preserved by implementing a coding system to hide personal identifiers during data

collection and the code key was accessed only by SS and BLG. Data collected for children with familial

retinoblastoma (all H1 children will be included, Table 1) born between 1 June 1996 and 1 June 2014

included: relation to proband; laterality of retinoblastoma in proband; sex; gestational age at birth;

pregnancy, prenatal abdominal ultrasound (if done); delivery or perinatal complications; type of genetic

sample tested and result; penetrance of RB1 mutation; timing of first examination; age and location of

first tumor(s) in each eye; treatments used; TNMH{, 2009 #11254} staging for eyes and child;

International Intraocular Retinoblastoma Classification (IIRC)10 of each eye; Tumor Node Metastasis

(TNM)15 staging for eyes and child; active treatment duration; date of last follow-up; and visual outcome

at last follow-up. The gestational age at birth for each child was calculated (39 weeks was considered full

term). Eyes with vision threatening tumors were defined as cIIRC Group BT1b or worse, which includes

8

Gallie Brenda, 07/03/16,
I have asked paul finger. Easy for us to do since they are mostly cT1a
Sameh Gaballah, 07/03/16,
Reviewer 1:Page 8, line 2: Dr. Gallie was a member of the 8th edition, AJCC TNM(H) staging committee. Perhaps, this "new" staging system could be used for this study as it directly impacts patient outcomes and survival.
Gallie Brenda, 07/07/16,
I have asked paul finger. Easy for us to do since they are mostly cT1a
Sameh Gaballah, 07/07/16,
Reviewer 1:Page 8, line 2: Dr. Gallie was a member of the 8th edition, AJCC TNM(H) staging committee. Perhaps, this "new" staging system could be used for this study as it directly impacts patient outcomes and survival.
Gallie Brenda, 07/03/16,
Check other Ophthalmology articles and see what words they used.
Gallie Brenda, 07/08/16,
Check other Ophthalmology articles and see what words they used.HELEN: Reference the Tri-Council Policy Statement: Ethical Conduct for Research Involving Humans (Chapter 5 s Privacy, and all our REB approvals abide by this). I think in reference to the coding, it is not PRIVACY you mean, but confidentiality of personal health information? But there are so many other things to protect participatns, that is why I would go high level and simply state that we followed the tri-council statement.
Sameh Gaballah, 07/01/16,
Reviewer 1:The first paragraph should indicate if this study conformed to the Tenets of the Declaration of Helsinki and what privacy protections were afforded these families.
Sameh Gaballah, 07/01/16,
Reviewer 1:The last sentence of the introduction is a conclusion.  It should be phrased that, "The purpose of this study is to examine …..

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

tumor size and proximity to optic nerve or macula. Treatments were summarized as focal therapies (laser

therapy, cryotherapy and periocular subtenon’s injection of chemotherapy) or systemic therapies

(systemic chemotherapy or stereotactic external beam irradiation). Active treatment duration (time from

diagnosis to last treatment) and number of examinations under anesthesia (EUAs) were countedmeasured.

Treatment success was defined as avoidance of enucleation or external beam irradiation. Acceptable

visual outcome in an eye was defined as visual acuity better than 0.2 decimal (20/100) in an eye. Useful

vision is was defined as overall visual acuity better than 0.1 in the better eye and legal blindness as

overall visual acuity worse or equal to 0.1 in the best eye.

Data analysis

Basic descriptive statistics were used for comparisons between patients seen screened postnatally (in

first week) and conventionally screened (Cohort 1) and those provided expectant management defined as

prenatal testing and planned late preterm or early term delivery (Cohort 2). These included Student T-

Test, Chi Square Test, Fisher Exact Test, Mann Whitney Test and Mood’s Median Test. Correlations and

Kaplan-Meyer Survival Graphs were plotted using Microsoft Excel 2007 and Prism 6 for Mac.

9

Sameh Gaballah, 07/01/16,
Reviewer 2:'Useful vision is defined' should be 'was defined'. Sameh: Done
Sameh Gaballah, 07/01/16,
Reviewer 2:'in an eye' is ambiguous.Sameh, changed its position
Sameh Gaballah, 07/01/16,
Reviewer 2:'in an eye' is ambiguous.
Sameh Gaballah, 07/01/16,
Reviewer 2:'Active treatment duration' is not 'counted' but 'measured'.Sameh: Done

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Results

Patient Demographics

Twenty children with familial retinoblastoma were reviewed (10 males, 10 females) and 20 were

eligible for this study (Figure 1). Diagnosis for Conventional Cohort 1 (8 children, 40%) was by

observation of tumor or postnatal testing for the parental RB1 mutation. Six were born full term and 2

were delivered late preterm because of pregnancy-induced hypertension (child #7), or fetal ultrasound

evidence of retinoblastoma16 (child #8). The 12 children (60%) in Expectant Cohort 2 were prenatally

diagnosed to carry their family’s RB1 mutation: 3 were spontaneously premature (children #10, 13, 15;

28-37 weeks gestation) and 9 were referred to a high-risk pregnancy unit for elective late preterm/early

term delivery (36-38 weeks gestation).

Molecular diagnosis

All study subjects were offspring of retinoblastoma probands. Nineteen probands were bilaterally and

1 was unilaterally affected (father #19). The familial RB1 mutations were previously detected. Cohort 1

children (#1-8) were tested postnatal for their family’s RB1 mutation by blood; Cohort 2 children (#10-

21) were tested prenatal by amniocentesis at 16-33 weeks gestation.

Null RB1 mutations were present in 15 families. Five families had low penetrance RB1 mutations

(whole gene deletion, #18; weak splice site mutations, #14, 17, 20; and a missense mutation,17,18 #5)

10

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

(Supplementary 1). No proband in this study was mosaic for the RB1 mutation. Eventually, aAll study

subjects were eventually bilaterally affected. At birth, 8/15 (53%) infants with null RB1 mutations had

tumors, affecting 13/23 (53%) eyes, but 0/5 infants with low penetrance mutations had tumors at birth

(Table 12, p=0.02 for eyes, P=0.1 for children; Fisher’s exact test).

At first tumor per child, children with null mutations tended to be younger (mean 59, median 20 days)

than those with low penetrance mutations (mean 107, median 114 days). At first tumor per eye, children

with null mutations (mean 83, median 39 days) were significantly younger than those with low

penetrance mutations (mean 134, median 119 days) (p=0.03, Median Mood test) (Figure 2).

Classification of Eyes at Birth

Of Cohort 1 eyes, 50% (8/16 ) had tumor at birth, compared to 21% (5/24) of Cohort 2 eyes (Table

2a3a, Figure 1). At birth, tumor was present in at least one eye in 5/8 of Cohort 1 children, 63% (5/8) and

25% (3/12) of Cohort 2 had children Tumor in at least one eye at birth (Table 2b3b, Figure 1). At birth,

38% 6/16 of eyes (6/16) in Cohort 1 had a visually threatening tumor (cIIRC10 Group BT1b or worse)

compared to 17% (4/22) of Cohort 2 of eyes (Table 2a).

Tumors detected at birth tended to be in the peri-macular region (IIRC10 Group BcT1b), and tumors

detected later were smaller and not threatening vision, as previously described (Figures 1, 3).19,20 The

median age of diagnosis of When first tumor was diagnosed, median age was 9 days of for 15 IIRC10

Group BcT1b eyes (threatening optic nerve and fovea, and 6 with at least 1 tumor >3 mm), was 9 days,

11

Sameh Gaballah, 07/01/16,
Reviewer 2:'Of Cohort 1 children, 63% (5/8) and 25% (3/12) of Cohort 2 had tumor in at least one eye at birth (Table 2b, Figure 1).' This sentence needs re-writing and should be supported by statistics, like the next sentence and elsewhere.
Sameh Gaballah, 07/02/16,
Reviewer 2: Either the mean or the median days should be reported, according to whether or not the distribution is skewed. Sameh: the median was used.
Sameh Gaballah, 07/02/16,
Reviewer 2: 'Eventually' is usually at the beginning of the sentence. Sameh: Done
Sameh Gaballah, 07/02/16,
Reviewer 2: 'Eventually' is usually at the beginning of the sentence. Sameh: Done

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

tending younger than the 92 days for 24 IIRC10 Group AcT1a eyes (tumors < 3 mm and away from optic

nerve and fovea). The correctedAgeAfter correcteding for gestational age age when first tumor was

diagnosed per eye, at first tumor diagnosis for these eyes showed the same tendency was observed

(medians 7 and 60 days respectively).

At initial tumor diagnosis, 2/8 (25%) children in Cohort 1 had IIRC10 Group A/A or A/0cT1a/cT1a or

cT1a/cT0 eyes, compared to 8/12 (67%) in Cohort 2 (P=0.02, Fisher exact test) (Figure 1, Table 2b3b). At

first diagnosis, tumors were not threatening vision (IIRC10 Group AcT1a) in 7/16 (50%) Cohort 1 eyes,

compared to 17/24 (71%) Cohort 2 eyes , (Table 2a3a). Vision-threatening tumor (Group BcT1b or

worse) were was present at first diagnosis in 38%6/16 of Cohort 1 compared to 17%4/24 of Cohort 2

(Figure 1, Table 2a3a).

The Cohort 1 showed larger and more posterior tumors than Cohort 2 (Figure 3). Before 37 weeks

gestation, 7.5% (3/40) of eyes showed tumors, and in all tumors were within the posterior pole. At 42

weeks gestation (2 weeks after full term birth), 37.5% (15/40) of eyes showed tumors, and in 80% (12/15

eyes the tumors) were within the posterior pole.

Treatment Course

All infants were frequently examined from birth onwards as per the National Retinoblastoma Strategy

Guidelines for Care.14 If there were no tumors at birth, each child was examined awake every week for 1

month, every 2 weeks for 2 months, and after 3 months of age, had EUAs every 2-4 weeks. If there was

12

Sameh Gaballah, 07/01/16,
Reviewer 2:'The corrected age at first tumor diagnosis for these eyes showed the same tendency (medians 7 and 60 days respectively).' I cannot understand this sentence.
Helen Dimaras, 07/08/16,
Trend?

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

tumor at birth, the children had EUAs every 2-4 weeks until control of tumors was achieved. Cohort 1

patients were treated with focal therapy (8)all), chemotherapy using vincristine, carboplatin, etoposide

and cyclosporine (Toronto protocol)21 {Chan, 2005 #21688}(5), stereotactic radiation (2), and enucleation

of one eye (4) (Supplementary Table 1, Figure 1). Cohort 2 patients were treated with focal therapy

(12all); chemotherapy (5), enucleation of one eye and stereotactic radiation (1) (Figure 1). Treatment by

focal therapy alone (avoidance of systemic chemotherapy or external beam irradiation, EBRT) was

possible in 2/8 (25%) of Cohort 1 patients and 7/12 (58%) of Cohort 2 patients (Table 2b).

The median active treatment duration was 523 days (range 0-2101 days) in Cohort 1, compared to 447

days (range 0-971 days) in Cohort 2 (p=0.77, Mood median test). The median number of EUAs was

equal: 29 (range 18-81) Cohort 1 and 29 (range 20-41) Cohort 2 (p=1, Mood median test).

Outcomes

There were no adverse events associated with spontaneous preterm, induced late preterm or early term

birth. There were no pregnancy, delivery or perinatal complications reported for any infant. Median

Follow upfollow-up (mean, median) wasas 8, 5.6 years; (Cohort 1=, 8.4, 5.6 years; and Cohort 2,= 7.6,

5.8 years) (Supplementary Table 1). At the last follow up, median age of Cohort 1 was mean 10 years

(median 10, range 3-19) and Cohort 2 was mean 9 years (median 9, range 3-16).

Neither enucleation nor external beam irradiation were required (defined as treatmentTreatment

success was achieved ) in 33% (3/8) of Cohort 1 and 92% (11/12 ) of Cohort 2 patients (P=0.02, Fisher

13

Sameh Gaballah, 07/01/16,
Reviewer 2:The following sentence could do with re-writing 'Neither enucleation nor external beam irradiation were required (defined as treatment success) in 33% (3/8) of Cohort 1 and 92% (11/12) of Cohort 2 patients (P=0.02, Fisher exact test) (Table 2b).' as 'neither enucleation nor external beam irradiation' is confusing.  Better to write 'Treatment success occurred in…'
Sameh Gaballah, 07/01/16,
Reviewer 2:In Outcomes, only median should be reported if follow-up times were skewed, as they usually are.
Sameh Gaballah, 07/01/16,
Reviewer 2:Many comparisons are not supported by statistics (e.g., active treatment duration).
Sameh Gaballah, 07/02/16,
Reviewer 2:In the following phrase 'with focal therapy (all)' the word 'all' is confusing. Sameh: all was deleted and the total number was used instead

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

exact test) (Table 2b3b). Kaplan Meier 5 year ocular survival for Cohort 1 was 62% compared to 92% for

Cohort 2 (P=0.03, Log-rank (Mantel-Cox test) (Figure 4). One child (#6) (11%) in Cohort 1 showed high-

risk histopathologic features22-24 in the enucleated eye and received adjuvant treatment. The one eye

enucleated in Cohort 2 showed no high-risk features. All children were are presently alive without

metastases inat the close of the study.

Children were legally Legal blindness afflicted in 12% (1/8 ) of Cohort 1 children and 0% ofno Cohort

2 children (Table 1a3a). Visual outcomes considered acceptable (were better than 0.2) for 50% (8/16) of

eyes in Cohort 1 and 88% (21/24) of eyes in Cohort 2 (P=0.01, Fisher exact test) (Table 1a3a). Final

visual acuity better than 0.5 (20/40) was achieved in 50% (9/18) of eyes in Cohort 1 compared to 71%

(17/24 ) of Cohort 2 eyes. (p=0.3, Mood median test)

Combined treatment success and good vision per eye was documented 50% (8/16) of Cohort 1 and

88% (21/24) of Cohort 2 (P=0.02*, Fisher exact test) (Table 2a, Figure 1). A trend to negative correlation

was found between gestational age and final visual outcome (r=-0.03) with better visual outcome

observed for earlier births.

Discussion

This is the first report on outcomes of expectant management by elective early term or late preterm

delivery of infants confirmed by prenatal RB1 mutation testing to be at risk for familial retinoblastoma

14

Sameh Gaballah, 07/01/16,
Reviewer 2:The structure of the Discussion could be improved.
Sameh Gaballah, 07/01/16,
Reviewer 1:The discussion is too long and needs to be focused. It should only repeat the most important results, contrast them with the literature, discuss the weaknesses of the work as well as the strengths and end with directions for the future. The latter should include how genetic staging will affect our management. That said, this reviewer found a great deal of interesting and important information in the discussion.
Gallie Brenda, 07/03/16,
I think this is already done throughout the manuscript. I would just put figure 1 in the reponse for reviewer 2, and thank him/her for getting the point!
Sameh Gaballah, 07/04/16,
Reviewer 2:General comments: This is an interesting and useful article, which suggests that the birth of individuals with high risk for retinoblastoma should be induced early. It would be useful if the disease stage/number/size of tumors could be correlated with the gestational age/weeks of pregnancy when the labor is induced. Sameh: Thank you very much for your comment. All the data are shown in figures 1-3 and in supplementary table 1.
Sameh Gaballah, 07/02/16,
Reviewer 2:'Final visual acuity better than 0.5 (20/40) was achieved in 50% (9/18) of eyes in Cohort 1 compared to 71% (17/24) of Cohort 2 eyes.' This needs a p value.Sameh: added.
Sameh Gaballah, 07/02/16,
Reviewer 2:The last sentence should read 'All children were alive without metastasis at the close of the study.'Sameh: changed as required
Sameh Gaballah, 07/01/16,
Reviewer 2:Kaplan Meier ocular survival rates of 62% and 92% are meaningless unless a timepoint is given.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

shows benefit for the child. The fewer, and smaller, tumors present at birth wereThis approach allowed

treatment of Small tumors treated as they emerged, resulting in better ocular and visual outcomes and

with less intensive medical interventions, in very young children. Our data suggests that infants at high

risk of developing retinoblastoma (prenatally confirmed RB1+/-), the risk of vision and eye loss despite

intensive therapies after spontaneous delivery outweighings the theoretical risks associated with induced

late pretermof early delivery (Figure 1, Table 2). Consistent with previous reports,23 63% of children with

a germline gene mutation already had tumors at full term birth, compared to 25% at planned late preterm

or early term delivery (Table 2b).

It is practical now standard of care13 to identify 97% of the germline mutations in bilaterally affected

probands and ~15% of unilateral probands who carry a germline gene mutation.3,9,25 When the proband's

unique mutation is known, molecular testing of family members can determines which relatives also carry

thate mutation and are at risk to develop retinoblastoma and other cancers. We report 12 infants identified

in utero by molecular testing to carry the family’s mutant RB1 allele of a parent. The tested Infants who

shown to did not inherit carry their family’s mutation or H0 (not shown) required no surveillance and

were not included in this study. Amniocentesis (to collect sample for genetic testing) was performed in

the second half of pregnancy, where risks of miscarriage are low (0.1-1.4%).26,27

The Our data confirms that the earliest tumors commonly involve the perimacular region, threatening

loss of central vision, while later developing tumors that develop later are usuallytended to be peripheral

15

Helen Dimaras, 07/08/16,
These are H0, and we then extrapolate to T0, N0, M0.
Helen Dimaras, 07/08/16,
This is where you can make reference that these children are H1 before birth, while T status is Tx (unable to be assessed reliably).

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

(Figure 3), with less visual impact.19,20,28 The smaller mMacular and perimacular tumors are at diagnosis

and treatment the better the visual outcome, since are difficult to manage by laser therapy or radioactive

plaque , since these threaten the optic nerve and central vision. Systemic chemotherapy effectively

shrinks tumors such that focal therapy can be applied with minimal visual damage. Child #8 (Cohort 1)

had a tumor at 36 weeks gestation large enough for detectiondetected by obstetrical ultrasound, which

developed drug-resistance following reduced-dose chemotherapy as a newborn,16 ultimately requiring

enucleation at the age of 14 years. Systemic chemotherapy in neonates is difficult challenging due tosince

severe adverse effects may occur due to the unknowns of immature liver and kidney function to in

metabolizmetabolism ofinge the drugs , increasing th.ewith potential of severe adverse effects. The

Conventional recommendation is to eitherdose reductione chemotherapy dosages by 50%, particularly for

infants in the first three months of life,29 or administer a single agent carboplatin chemotherapy.30 open the

door to However, reduced doses carry risk of selection of ing for multidrug resistantce in the tumor cells,

making later recurrences difficult to treat.31-33 Periocular topotecan for treatment of small-volume

retinoblastoma34 may increase the effectiveness of focal therapy without facilitating resistance. Intra-

arterial chemotherapy is not feasible in such tiny babies and thebabies; the youngest age reported is 2

months.35

Imhof et al6 screened 135 children at risk of familial retinoblastoma starting 1-2 weeks after birth

without molecular diagnosis and identified 17 retinoblastoma cases. At first diagnosisscreening,

16

Gallie Brenda, 07/03/16,
Deleted the 135 here, because our point of comparison is kids with tumors, not the population screened……
Helen Dimaras, 07/08/16,
Another way to streamline the discussion would be to just cite the papers, but not reference the first author. I know that it is common practice in medical literature, but to me it feels outdated. The author's name does not add to your point, only the data they reported does.
Helen Dimaras, 07/08/16,
To address the reviewer who thought the discussion too long, we could theoretically shorten this paragraph (though I like it as is).
Sameh Gaballah, 07/01/16,
Reviewer 2:'due to the unknowns of immature liver and kidney function to metabolize the drugs, increasing the potential of severe adverse effects' - sentence can be improved.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

70%12/17 infants had retinoblastoma. At first diagnosis, 14/32 eyes with had vision threatened

threatening tumorin 41% of eyes; 41%12/32 had eye salvagetreatment failure (required radiation and/or

enucleation); one child developed metastasis; 20 eyes had achieved vision >20/100 and 74% 2/17

children achieved vision ><20/2100 (legal blindness). In comparison to our, Cohort 2, showed 17%4/24

eyes visionshowed vision threatening tumors, 8%3/24 eyes had eye salvagetreatment failures, and

88%21/24 eyes had vision >20/100 without any child metastasis or legal blindness.

Early screening of at-risk infants with positive family history as soon as possible after birth is the

internationally accepted convention for retinoblastoma.6,36 Rothschild et al36 retrospectively reviewed 16

children that undergone intensive screening (defined as first week then every month up to 18 months) and

developed familial retinoblastoma; 15/16 had systemic chemotherapy; 2/16 had irradiation; 12/13

children achieved vision >20/200 without data on vision per eye. In our cohort 2, less children required

systemic chemotherapy (5/12) and irradiation (1/12) with similar visual outcome per child.

Two additional reports indicated showed prenatal molecular testing for retinoblastoma: in one, the

fetus sibling of a proband was found not to carry the sibling’s mutation;35 and in the other, 2 of 5 tested

fetuses of a mosaic proband were born without the parental mutation.36

Early screening of at-risk infants with positive family history as soon as possible after birth is the

internationally accepted convention for retinoblastoma.6,33 33

17

Gallie Brenda, 07/03/16,
Quote the critical delations of 16 intenseively screend newborns etc who got RB…in the Rothschild ref.like you did for the Imhof.
Sameh Gaballah, 07/01/16,
Reviewer 2:In the next paragraph, 'indicated' is the wrong verb.
Sameh Gaballah, 07/04/16,
Ithis need re positioning.
Gallie Brenda, 07/04/16,
Quote the critical delations of 16 intenseively screend newborns etc who got RB…in the Rothschild ref.like you did for the Imhof.
Gallie Brenda, 07/03/16,
Since we have gone to numbers not % because of small numbers, lets do the same for the Imhof quotation….
Sameh Gaballah, 07/04/16,
Reviewer 2:'Cohort 2 showed 17% vision threatening tumors, 8% eye salvage failures and 88% vision >20/100.' This sentence is poorly written and confusing. Sameh: Rewrote without percentages as suggested
Sameh Gaballah, 07/04/16,
Reviewer 2:The Imhof data on page 15 do not tally with data in the first para of page 14. WHAT IS THIS REFERRING TO? BG RECHECK ORIGINAL PAGE 14/15Sameh: fixed

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

In our series, amniocentesis (to collect sample for genetic testing) was performed in the second half of

pregnancy, where risks of miscarriage are low (0.1-1.4%).34,35 We show that planned late preterm/early

term delivery (36-38 weeks gestation) for those confirmed to carry their family’s RB1 mutation, resulted

in smaller tumors with less macular involvement and better visual outcome. We observed no difference in

treatment burden between Cohorts, and treatment courses were similar. However, earlier delivery and

treatment correlated with better overall patient outcomes.

A concern with late preterm or early term delivery is its reported effect on neurological and cognitive

development and later school performance.37-39 Additionally, The studies reporting on preterm and early

term babies tend to include many children with complex reasons for early delivery. However, the visual

dysfunction from a large macular tumor common in retinoblastoma patients is equally concerning, as it

can cause similar neurocognitive defects due to blindness,39 although no comparative studies address this.

Additionally, the studies reporting on preterm and early term babies tend to include many children with

complex reasons for early delivery. In contrast, retinoblastoma children are otherwise healthy normal

babies, except for the cancer growing in their eye(s). Early term delivery requires an interactive team of

neonatologist, ophthalmologist and oncologist to reach the best timing for better outcome.40

Neurocognitive development in retinoblastoma patients can be affected by multiple factors including

blindness, multiple EUAs, and external beam irradiation.41,42 A comparative study is recommended to

18

Sameh Gaballah, 07/01/16,
Reviewer 1:The second sentence of the last paragraph on page 16 is poorly written.
Gallie Brenda, 07/03/16,
Are you sure? NEVER is a very strong word…
Gallie Brenda, 07/03/16,
merge with previous para with other stuff removed.
Gallie Brenda, 07/03/16,
also redundant, consider removing
Gallie Brenda, 07/03/16,
repetitious

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

evaluate neurocognitive deficits after early delivery versus after advanced retinoblastoma with its

treatment.

Two additional reports showed prenatal molecular testing for retinoblastoma: in one, the fetus sibling

of a proband was found not to carry the sibling’s mutation;43 and in the other, 2 of 5 tested fetuses of a

mosaic proband were born without the parental mutation.44

Counseling on reproductive risks is important for families affected by retinoblastoma including

unilateral probands.43 Current optimized therapies result in very low mortality, and most retinoblastoma

patients survive and will consider having children. Prenatal diagnosis also enables pre-implantation

screening to ensure an unaffected child and informs parents who may wish to terminate an affected

pregnancy.44 It is our experience that retinoblastoma survivors and their relatives with full understanding

of the underlying risks are often interested in early diagnosis to optimize options for therapy in affected

babies rather than termination of pregnancy. Since germline RB1 mutations predispose to future, second

cancers, perhaps it may be worth investigating the role of cord blood banking for infants that are

prenatally molecularly diagnosed with RB1 mutant allelesretinoblastoma, as a potential stem cell source

in later anti-cancer therapy.

The current study The is limited by ourthe small sample size, in a single institute, being an

observational retrospective data analysis with lack of randomization in both groups. Despite the small

number, this is considered the biggest cohort describing prenatal screening to date as only case reports

19

Sameh Gaballah, 07/01/16,
Reviewer 1:General Comments:This is a well-written manuscript, describing research on an important subject, written by known experts in the field. It suffers from the weaknesses inherent in its structure (small single center, retrospective observational study)
Sameh Gaballah, 07/04/16,
Reviewer 2:In the next paragraph, 'indicated' is the wrong verb.
Sameh Gaballah, 07/08/16,
Ithis need re positioning.HELEN: Why do you need this at all?
Helen Dimaras, 07/08/16,
This paragraph now feels disjointed. I think the sentences Sameh added should go at the end of the paragraph, as the last 2 sentences were meant to follow the first two…

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

were published,45-48 multiple outcomes were Strength is the statistically significant outcome parameters

mainly tumors at birth, treatment success and visual outcome despite the small sample size.,,

andfromoriginating in. Needs more…weaknesses

We conclude that the infants with familial retinoblastoma, who are likely to develop vision-threatening

macular tumors, have an improved chance of good visual outcome with decreased treatment associated

morbidity, with expectant managementprenatal molecular screeningdiagnosis and induced late

preterm/early term delivery rather than conventional postnatal screening of at risk children with positive

family history.

Acknowledgements

We acknowledge the important contributions of Ivana Ristevski to the figures.

20

Sameh Gaballah, 07/01/16,
Editorial office:Please secure written permission from person(s) mentioned in the acknowledgment section.
Sameh Gaballah, 07/01/16,
Reviewer 2:The Discussion should discuss the weaknesses of the study.
Helen Dimaras, 07/08/16,
I’m not sure this is a strength, but I would comment that though it is a small sample size, it is the largest sample of this kind to date (owing to our expertise at sickkids and groundbreaking efforts with genetics!), whereas others doing prenatal testing have only reported on a case here or there (and maybe here you reference those articles above that you don’t know where to place). S

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

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Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Table 12. Tumors present at birth and type of RB1 mutation. *p value by Fisher's exact test

Eyes with tumors at birthChildren with tumors at

birthYES NO total % YES YES NO total % YES

Null RB1 mutation 13 10 23 57% 8 7 15 53%Low penetrance

RB1 mutation0 10 10 0% 0 5 5 0%

Total 33 20p=0.02* p=0.1

p value by Fisher's exact test. *Statistically significant

25

Sameh Gaballah, 2016-07-01,
Reviewer 2:It is conventional to report p values to 3 decimal places. Why is there an asterisk next to only one p value in Table 1?
Sameh Gaballah, 2016-07-01,
Editorial office:Remove embedded tables in manuscript file; upload as separate Word files (1 table per file).

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Table 2a3a: Outcome parameters per eyeConventional Expectant

Cohort 1 (n=16)

Cohort 2 (n=24)

# % # % P valueTumor(s) at birth 8 50% 5 21% 0.09Visual prognosis at first tumor

Group A, O 10 62% 20 83%0.26

Group B, C 6 38% 4 17%

Ocular salvage 12 75%23

96% 0.13

Treatment Success§ 10 63%22

92% 0.04*

Visual Outcome

Acceptable vision∑ 8 50%21

88%0.01*

Poor Vision 8 50% 3 13%Combined Treatment Success & Acceptable vision

8 50%21

88% 0.01*

26

Sameh Gaballah, 2016-07-02,
Reviewer 2:'Combined treatment success and acceptable vision' is, with respect, clumsy. Perhaps treatment success could be defined to include acceptable vision.Sameh: I suggest removing it from the table and only mention it in text.

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Table 2b3b: Outcome parameters per childConventional ExpectantCohort 1 (n=8) Cohort 2 (n=12)

# % # % P valueTumor(s) at birth 5 63% 3 25% 0.17IIRC AA or AO at first tumor diagnosis

1 13% 8 67% 0.02*

TreatmentFocal therapy only 2 25% 7 58%

0.2Systemic chemotherapy 6 75% 5 42%

Treatment Success§ 3 38% 11 92% 0.02*

Ocular salvage 4 50% 11 92% 0.1

Visual Outcome 0%Useful vision¥ 7 88% 12 100%

1Legal Blind¶ 1 13% 0 0%

* significant result; § Avoided enucleation or external beam radiation; ¥ vision > 0.1 in better seeing

eye;¶ vision ≤ 0.1 in better seeing eye; ∑ vision > 0.2 in an eye.

27

Soliman et al. Expectant Management ofPrenatal screening for Familial Retinoblastoma

Figure Legends

Figure 1. Tumor timing, therapy and outcomes. Patients in Cohorts 1 and 2 plotted with gestational age at birth (pink symbols), international

intraocular retinoblastoma classification (IIRC) at birth and at diagnosis, treatment at time of first tumor occurrence (blue diamonds), labeled with

number of EUAs, final visual outcome and follow-up time.

Figure 2. RB1 germline mutation influences timing of tumor development. First tumor per eye for children with null mutations was

significantly earlier (mean 83, median 39 days) than for those with low penetrance mutations (mean 134, median 119 days) (p=0.03, Median

Mood test).

Figure 3: Topographic representation of the first tumor(s) in each eye. The case number is written on each tumor. The size of the tumor is

proportional to the size at diagnosis. Tumors are color coded according to corrected age in weeks at initial diagnosis.

Figure 4. Kaplan Meier ocular survival (avoidance of radiation or enucleation) for Cohort 1 was 62% compared to 92% for Cohort 2 (P=0.03,

Log-rank Mantel-Cox test).

1. Corson TW, Gallie BL. One hit, two hits, three hits, more? Genomic changes in the development of retinoblastoma. Genes Chromosomes

Cancer. 2007;46(7):617-634.

2. Dimaras H, Gallie BL. Retinoblastoma: The Prototypic Hereditary Tumor. In: Heike Allgayer, Helga Rehder, Fulda S, eds. Hereditary

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Sameh Gaballah, 07/01/16,
Reviewer 2:In Figure 4, the statistical test should accompany the p value.
Sameh Gaballah, 07/02/16,
Reviewer 1:Wants to delete this fig.Sameh: I disagree. I think it give good visual representation of early versus late tumors size and location.
Sameh Gaballah, 07/01/16,
Reviewer 2:In Figure 1, it may have been better to have gestational age throughout the x axis as the split confuses matter. For example, age of 1 month means different times according to the gestational age at birth.
Sameh Gaballah, 07/01/16,
Editorial office:Upload all figures in tif or eps format.
Sameh Gaballah, 07/01/16,
Reviewer 2:The figures are fuzzy and of poor quality.

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