For this month’s PCE column, I wanted to say something about interim analyses. They’re in the news nearly every day, attesting to their importance, and yet they are not well understood by most people in the industry, the academic community or lay public. Problem is, there’s a lot to say about interim analyses, and I don’t want to short-change the topic. My compromise is to discuss the Data Monitoring Committee (or DMC) this month and save other interim-analysis topics for a future article(s). The primary references are FDA’s March 2006 final guidance on DMCs and EMEA’s (i.e. CHMP) 2005 guideline on DMCs. If you are going to pick only one of these documents to read, I can recommend the EMEA doc for its brevity and the FDA doc for its thoroughness. I would imagine that ICH has some interest in providing a harmonized guideline, but they apparently have higher priority issues to tackle.
DMCs were first used in the 1960s in NIH-sponsored clinical trials. The rationale for the DMC then (when they were primarily referred to as Data and Safety Monitoring Boards, or DSMBs) was the same as it is now: minimize trial operational biases by using sponsor-independent personnel to monitor study integrity and subject safety. But you might have heard the term Independent DMC. Sounds redundant according to the aforementioned rationale, doesn’t it? It’s not. At some point during evolution of the DMC, probably when industry started to sponsor large clinical trials and senior executives began getting cryptic recommendations on their most important investigational drugs from scientific groups without ties to industry, sponsors decided that it probably wasn’t in their interests to let independent DMCs run their pivotal-trial interim analyses. At that time, industry sponsors relaxed the composition of DMCs to include their own employees. Sometimes these employees were behind a “firewall” to minimize study bias. However, it was not unusual for sponsor employees directly involved in trial design, conduct and final analysis to supervise DMC activities, particularly for non-pivotal studies.
Fairly recently, though, the pendulum has swung back towards industry-sponsor independence for DMC members. The reason is simply that investigators in larger trials with “hard” outcomes (e.g. mortality) didn’t look kindly upon industry sponsors as the primary overseers of trial subject safety and study integrity, and neither did regulators. Quite frankly, had industry enjoyed a sterling reputation during the 1990’s, I have little doubt that the pendulum would have stayed where it was. The call for independent DMCs (and independent steering and endpoint committees) is simply another manifestation of the public’s general distrust of anything the industry sponsors. In any case, thus was born again the truly independent DMC, a DMC composed entirely or nearly entirely of non-sponsor personnel. When the sponsor has a member on an independent DMC, he or she usually plays an administrative or oversight role only, without a vote and with limited access to data.
FDA describes factors leading to the increasing use of DMCs today:
• The growing number of industry-sponsored trials with mortality or major morbidity endpoints;
• The increasing collaboration between industry and government in sponsoring major clinical trials, resulting in industry trials performed under the policies of government funding agencies, which often require DMCs;
• Heightened awareness within the scientific community of problems in clinical trial conduct and analysis that might lead to inaccurate and/or biased results, especially when early termination for efficacy is a possibility, and need for approaches to protect against such problems;
• Concerns of IRBs regarding ongoing trial monitoring and patient safety in multicenter trials.
Implicit in the above factors is increasing pressure on industry sponsors to relinquish more of their direct control over clinical-trial design, conduct and analysis. Pressure to use DMCs is just one reflection of this bigger trend. Independent steering committees, publication committees, endpoint committees, etc are others.
There is no U.S. law mandating use of DMCs, except in the emergency-use setting, when informed consent of the participant is excepted [21 CFR 50.24(a)(7)(iv)]. FDA recommends use of a DMC for: “any controlled trial of any size that will compare rates of mortality or major morbidity…DMCs are generally not needed, [however], for trials at early stages of product development.” Let’s just spend a moment on this point. Is FDA not recommending a DMC for most studies because a DMC would not be useful, or because a DMC is not worth the additional effort necessary to implement given its value in early-phase studies? I believe that FDA’s recommendation is based on the value proposition. In other words, this is FDA’s judgment, based on their sense of the value of a DMC to the study sponsor. IRBs, investigators and other regulators might well have differing judgments from FDA. It is crucial for a sponsor to consider these other opinions prior to determining finally whether to implement a DMC, regardless of phase of development. Indeed, phase of development has different meanings for different therapy areas and study designs. [Example: A Phase 2 oncology trial might have a mortality endpoint, whereas a Phase 2 hypertension trial likely will have a blood pressure endpoint.]
FDA goes on to refine the decision drivers for implementing a DMC:
• The study endpoint is such that a highly favorable or unfavorable result, or even a finding of futility, at an interim analysis might ethically require termination of the study before its planned completion;
• There are a priori reasons for a particular safety concern, as, for example, if the procedure for administering the treatment is particularly invasive;
• There is prior information suggesting the possibility of serious toxicity with the study treatment;
• The study is being performed in a potentially fragile population such as children, pregnant women or the very elderly, or other vulnerable populations, such as those who are terminally ill or of diminished mental capacity;
• The study is being performed in a population at elevated risk of death or other serious outcomes, even when the study objective addresses a lesser endpoint;
• The study is large, of long duration, and multi-center.
FDA’s decision framework makes a lot of sense to me. The bottom line to ask yourself as a sponsor: Would a DMC help mitigate risk to subjects, where the potential risk to subjects is potentially only marginally outweighed by potential benefit? Would a DMC help maintain study integrity? If either of these two questions is answered by “Yes” strongly consider using a DMC.
So, who should be on the DMC, and what is the correct number of members? To the latter, keep the number as small as feasible while making sure to have the appropriate expertise on board. FDA says three is a minimum number. I would say that three is generally too few; four provides a margin of safety to cover unforseeable absences. These numbers don’t include personnel necessary to administer all DMC activities (i.e. logistics). The DMC constituency should include: a Chair (who can appoint the other members and is responsible for communications beyond the DMC), one or more statisticians (to perform and/or assist in interpetation of data analyses), clinicians (therapeutic area and/or clinical research experts), and others. Among the “others” to consider, FDA suggests epidemiologists and non-scientists with interest in the study outcome. I consider these reasonable suggestions. Finally, it’s important to assess potential conflicts of interest when deciding whom to appoint to a DMC. Here’s FDA suggestion for doing this:
• Ensure that those with serious conflicts of interest are not included on the DMC;
• Provide disclosure to all DMC members of any potential conflicts that are not thought to impede objectivity and thus would not preclude service on the DMC;
• Identify and disclose any concurrent service of any DMC member on other DMCs of the same, related or competing products.
Once a sponsor determines to form a DMC (and who will administer it–for a large pivotal study strongly consider outsourcing DMC administration), the first step is to create a DMC Charter. The Charter is essentially a contract between the DMC and the sponsor. It describes the DMC mission, membership, and all operating procedures. One of the key parts of this Charter is how data will be shared between the sponsor and the DMC.
FDA describes how this should operate ideally. Basically, the sponsor and its personnel should remain blinded to all comparative data in a blinded trial: “We recommend that any part of the interim report to the DMC that includes comparative effectiveness and safety data presented by study group, whether coded or completely unblinded, be available only to DMC members during the course of the trial, including any follow-up period—that is, until the trial is completed and the blind is broken for the sponsor and investigators.” The way this accomplished easily is by creating a sponsor-indepedent data analysis group (another reason why outsourcing is a good idea). Short of this, create a data-analysis group within the sponsor that isn’t otherwise involved with the study design or conduct. Read the rest of this entry »
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