Hutson, 2003 Safety and efficacy outcome

Tropical Journal of Pharmaceutical Research, December 2003; 2 (2): 197-206

© Pharmacotherapy Group, Faculty of Pharmacy, University of Benin, Benin City, Nigeria. All rights reserved.

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Research Article

A sequential test procedure for monitoring a singular safety and efficacy outcome

Alan D. Hutson University at Buffalo, Department of , Farber Hall Room 249A, 3435 Main St., Buffalo, NY 14214-3000.

Abstract

In this note we describe a modification of the sequential probability ratio test (SPRT) developed for the purpose of “flagging” a significant increase in the mortality rate of a treatment relative to a control while ensuring that double-blinding and the Type I error for the primary test of efficacy, also based on mortality rates, is not compromised.

Key words: Interim ; safety monitoring; sequential testing.

Φ To whom correspondence should be addressed: E-mail: [email protected]

197 Trop J Pharm Res, December 2003; 2 (2) Hutson, 2003 Safety and efficacy outcome

Introduction time monitoring of AE reports? To generate a formal statistical rule to tackle this problem Drug trials go through different phases. In requires the principal investigators to design phase I trials the primary concern is safety, the trial around the efficacy outcome in the the subjects are typically healthy volunteer traditional sense, while the DSMB needs to and patient studies, and the primary determine what are the unacceptable objective is to determine the maximum differences between the new therapy and tolerated dose (MTD). This is followed by a control in the opposite (unsafe) direction. phase II trial, which build upon the results of the phase I trial. The primary goal of a In this note we develop a one-sided safety phase II trial is to determine the optimal monitoring rule based upon a modification of method of administration and examine Wald's classical sequential probability ratio potential efficacy. If the phase II trial test (SPRT)1. This rule is to be used in demonstrates that the drug may be conjunction with a randomized block design reasonably safe and potentially effective a where the hypothesis involving efficacy is a phase III trial may be carried forth. The simple comparison of two mortality primary goal of a phase III trial is to compare proportions of the form H : p = p versus 0 1 2 the effectiveness of the new treatment with H : p

In a majority of phase III clinical trials subject 1. Mortality can be evaluated within a fixed measurements can be divided into distinct time period shortly following treatment, efficacy and safety variables. With the 2. It is one-sided in the sense that a safety exception of truly sequential trials the problem is not flagged if the new primary efficacy variables are usually treatment appears efficacious, analyzed at a few well defined points in time 3. Requires the input of members of the (typically based upon calendar time or DSMB to determine what an unsafe rate accrual milestones). In , safety is might be for the new therapy relative to monitored continuously through the control given the design parameters of generation of adverse event (AE) reports to the trial, the respective internal review board (IRB) 4. Is continuously sequential in terms of and review by the principal investigator (PI), blocks of subjects being the unit of time, with summary data safety monitoring board 5. It is easily explained to non-statisticians (DSMB) reports generated at regular through the use of examples, intervals, e.g. quarterly or bi-yearly. In a 6. Maintains the Type I error control for the majority of high-risk clinical trials the DSMB test of efficacy conditioned upon the will also monitor the flow of AE reports in relative safety of the experimental real-time. therapy.

In the specific case of double-blind controlled The motivation of this methodology stemmed trials of a new treatment versus standard of from the request of our DSMB to generate a care, or placebo, how might one monitor safety monitoring rule based upon statistical safety “continuously” and efficacy at distinct methods for the DCA-MALA of points in time when the primary safety and 2 malaria in Ghana . This trial was designed efficacy variable is mortality. In addition, if as a randomized, double-blind, placebo- the DSMB wishes to remain blinded to controlled single-center trial. The trial was treatment assignment unless there is a true originally designed to enroll n=1500 safety issue, what type of information is subjects, but was terminated earlier due to needed in order for them to make an financial reasons. For this specific trial of informed decision in conjunction with real dichloroacetate (DCA) versus placebo the

198 Trop J Pharm Res, December 2003; 2 (2) Hutson, 2003 Safety and efficacy outcome measure of efficacy was 28-day mortality, blocks, and N =n + n denote the number of i 1i 2i and the primary measure of safety was also subjects in block i, i=1, 2,···K, where N =N/K. 28-day mortality. Ultimately the DSMB i wanted a simple statement after each block For the purposes of our safety monitoring of subjects completed the trial: “remain plan we set the null “efficacy” hypothesis to blinded at this point in time” or that the “blind correspond to the original study design and be broken at this point in time.” Unblinding the alternative “safety” hypothesis to the study is used to group summary correspond to unsafe rates of the new statistics will be analyzed and presented in therapy relative to control. Let p and p an unblinded fashion. This does not 1 2 necessarily mean that data at the individual denote the event rates of the new therapy subject level is unblinded. Also note that the and control group, respectively. Then the principal investigators would remain blinded safety data monitoring rule(SDMR) consists even if the DSMB were to take an unblinded of testing look at this trial. The use of this rule still H :  = efficacy (p , p ), allowed us to monitor secondary measures 0 0 1 2 of safety in the standard way3-4. In addition, H :  = safety(p ,p ), 1 1 1 2 adverse events involving mortality were still monitored on a case-by-case basis (in a after blocks of N = n + n subjects complete blinded manner). i 1i 2i the study. The DSMB chairperson is then

notified of the results after each test is Statistical Methods carried out per block. We strongly recommend that the values for p and p We will employ a version of a sequential test 1 2 for the purpose of generating a safety corresponding to H0 be chosen based upon monitoring rule, which will basically flag a the original study design pertaining to problem for the DSMB with respect to a efficacy. For example, in the DCA-MALA disproportionate amount of mortalities for a trial the mortality rates from which the trial was designed were p = 0.19 and p =0.25, new therapy relative to the standard of care 1 2 or placebo. Note that this rule does not for DCA and placebo, respectively. For H , 1 terminate the clinical trial, it only suggests the “safety” hypothesis, the DSMB with the unblinding the trial for the purpose of more guidance of a simulation study deemed intense scrutiny. The sequential test is p =0.28 to be an unacceptable death rate in based upon a modification of the SPRT, 1 initially developed by Wald1, and is a the DCA arm given a placebo death rate of p =0.25, and accounting for statistical noise. procedure for testing a simple null 2 hypothesis versus a simple alternative The mathematical details for the efficacy and hypothesis continuously in time. With safety “functions” are contained in Appendix respect to the new safety monitoring plan, A. Through simulations we illustrated that if “continuously in time” will refer to blocks of the placebo death rate is lower than subjects who complete the trial as opposed anticipated the decision to recommend to testing after individual subjects complete unblinding the trial will be earlier given the the trial. Therefore, in order to implement same relative differences in adverse event rates, e.g. p =0.18 to p =0.15 for DCA this rule effectively the design of the trial 1 2 should be of the form of a randomized block relative to placebo. Note that the unblinding design. Let N=n +n denote the total number 1 2 rule can be easily modified to accommodate of subjects for the new treatment plus the other types of outcomes such as mean standard treatment, K denote the number of differences.

199 Trop J Pharm Res, December 2003; 2 (2) Hutson, 2003 Safety and efficacy outcome

Test . Denote the estimates of the the test terminates earlier and we accept H0, proportions p and p as yet the test would terminate quickly if there is 1 2 -8 a safety concern. Setting =0.20 and =10 ^ corresponds to the stopping bounds of p1i = number of mortalities in the new A=9.9999 and B=0.00001. Therefore, if the therapy arm/n test errs it will err on the conservative side in 1i terms of unblinding the study early. The ^ parameters  and  may be adjusted by the p2i = number of mortalities in the DSMB in order to relax or tighten the monitoring rule during the course of the control arm/n , study. 2i

Using the candidate choices of =0.20 and where i=1, 2,···, K, and again K denotes the -8 number of blocks. The safety monitoring test =10 (approximately null) in the DCA- ^ MALA trial it was determined through statistic  is then simply a function of simulation that  would never be less than B i p1i i ^ prior to the first planned interim analysis at and p2i updated after every block i. For 50% accrual. If this scenario did occur it the DCA-MALA study we set B=75 and would have indicated that DCA is n =n =10 based upon efficacy considera- substantially more effective than originally 1i 2i anticipated and that the safety of DCA in tions. Note that n and n have to be large 1i 2i terms of the mortality rates shouldn't be of enough to produce a meaningful value for  . i concern to the EAC at that current point in The details for the calculation of  are time. Therefore, we propose that if