Title: Design and Analysis of Phase I Clinical Trials in Cancer Therapy
1Design and Analysis of Phase I Clinical Trials in
Cancer Therapy
- Merrill J. Egorin, M.D.
- University of Pittsburgh Cancer Institute
- Modified from previous talks given by Alex Adjei
others - I get to do it this year because Alex is not
participating in the course no one else was
silly enough to agree to do it.
2Exposures Disclosures
- I have the following financial relationships to
disclose - Consultant for Novartis, Bristol-Myers Squibb,
Saladax, Amplimed, Adherex, Johnson and Johnson,
Daiichi Sankyo - Grant/Research support from Novartis,
Bristol-Myers Squibb, Merck, Infinity, The NCI - Honoraria from Novartis, Bristol-Myers Squibb
3Questions I Will Try to Cover
- What are Phase I studies?
- This is sort of easy to address.
- Why do we do Phase I studies?
- This seems sort of easy to address.
- What do we need to do Phase I studies?
- I think this should be rather straightforward.
- How do we do Phase I studies?
- This is a bag of worms!
4Phase I Studies in Oncology
- First evaluation of a new cancer therapy in
humans - First-in-human single agent study
- Last year someone said they were doing the
second first-in-human study of some agent (I am
still thinking about that! - Combination of novel agents
- Combination novel agent and approved agent
- Combination of approved standard agents?
Combination of novel agent and radiation therapy - Eligible patients usually have refractory solid
tumors of any type - Not necessarily the same definition used in other
branches of medicine.
5Why Do a Phase I Study?(Sort of Like Why Did the
Chicken Cross the Road?)
- Primary objective (there can only be one of
these.) - The critical information needed to do a phase II
study. - MTD/toxicities
- Secondary objectives (These are sexy, but
secondary!) - PK (my favorite)
- PD and biomarkers
- Response (even the Pirates win sometimes
6What Is Needed To Do A Phase I Study?
- An Investigational New Drug Application (IND)
- Provides a means of advancing from pre-clinical
to clincal testing - Required for unmarketed/unaproved products
- May be required for already marketed products
- A formal application to study and intervention in
patients - Commercial-sponsor usually a pharmaceutical
company - Non-commercial
- Investigator
- Emergency use (e.g. single patient)
- Treatment
7IND Application
- Should include
- Chemistry, manufacturing, and control information
- Animal pharmacology and toxicology
- Genotoxicity
- Toxicology
- Histopathology
- Non-clinical justification for proposed
dose/schedule - Justification for duration of treatment
- Prior use in humans if applicable
- Clinical protocol and investigator information
8IND Application
- Informed consent (More on this later in the
course) - Continued treatment beyond protocol?
- Charging for intervention?
- 30-day review clock
- Clinical hold
- Safety concerns
- Design will not allow protocol objectives to be
met - Teleconference between sponsor and division
director about what is required to lift the hold - IND exemptions for studies of lawfully marketed
cancer drug - Based on interpretation of risk
- Dose, schedule, patient population
9Phase I Patient Population
- Conventional eligibility criteria
- Advanced solid tumors unresponsive to standard
therapies or for which there is no known
effective treatment - Performance status (e.g. ECOG 0 or 1)
- Adequate organ functions (e.g. ANC, platelets,
creatinine, AST/ALT, bilirubin) - Specification about prior therapy allowed
- Specification about time interval between prior
therapy and initiation of study treatment - No serious uncontrolled medical disorder or
active infection
10Phase I Patient Population
- Agent-specific eligibility criteria - examples
- Restriction to certain patient populations must
have strong scientific rationale - Specific organ functions
- Example cardiac function restrictions (QTc lt
450-470 ms, LVEF gt 45, etc) if preclinical data
or prior clinical data of similar agents suggest
cardiac risks - Example no recent (6-12 months) history of
acute MI/unstable angina, cerebrovascular events,
venous thromboembolism no uncontrolled
hypertension no significant proteinuria for
antiangiogenic agents - Prohibited medications if significant risk of
interaction with study drug
11A New Agent Merits Clinical Study If
- It is biologically plausible that the agent may
have activity in cancer (target seems valid and
agent affects it) - There is reason to expect benefit for patients
(preclinical or other evidence of efficacy) - There is reasonable expectation of safety
(toxicology) - There are sufficient data on which to base a
starting dose - Hirschfeld S, 2004
12The 3 Basic Tenets Of Phase I Studies
- Define a recommended dose
- SAFELY (minimum of serious toxicities)
- EFFICIENTLY (smallest possible of pts)
- RELIABLY (high statistical confidence)
- SAFETY TRUMPS EVERYTHING ELSE
13Phase I Study Basic Design Principles
- Start with a safe dose
- Minimize of pts treated at sub-toxic/therapeutic
doses - Escalate dose rapidly in the absence of toxicity
- Escalate dose slowly in the presence of toxicity
- Expand patient cohort at recommended phase II
dose - Do you buy this argument?
- If so, why?
14Phase I Trials Fundamental Questions
- If you believe the stuff on the previous slide,
you must consider - At what dose do you start?
- What are the endpoints?
- How many patients per cohort?
- How quickly do you escalate and by what method?
15 At what dose do you start ?
16Preclinical Toxicology
- Typically a rodent (mouse or rat) and non-rodent
(dog or non-human primate) species - Animal organ-specific toxicities
- Are not great predictors of human toxicity
- Myelosuppression and gastrointestinal toxicity
more predictable - Hepatic and renal toxicities large false
positive rate - Toxicologic parameters
- LD10 lethal dose in 10 of animals
- TDL (toxic dose low) lowest dose that causes
any toxicity in animals
17Phase I Trials Starting Dose
- 1/10th of the LD10 in rodents,
- or
- 1/3rd of the minimal toxic dose in large animals
- Expressed as mg/m2
- Freireich, et.al., Quantitative comparisons of
toxicity of anticancer agents in mouse, rat, dog,
monkey and man. Cancer Chemother. Repts.
50219-244, 1966 - These have historically been safe doses
18Freireich EJ, et al, Cancer Chemother Rep
50219-244, 1966
19What Are The Endpoints/Objectives?
20Phase I Study Endpoints
- Classical goals (we have not been smart enough to
understand primary and secondary. - Primary
- Identify the maximally tolerated dose (MTD) and
recommended Phase II dose (RP2D) - Identify dose-limiting toxicities (DLTs)
- Secondary
- Pharmacokinetics
- We have not been smart enough to recognize drug
metabolism a - Pharmacodynamics (Clinical and now molecular)
- Target modulation
- Efficacy
21Defining Toxicities NCI Common Toxicity
Criteria
- Grade 1 mild
- Grade 2 moderate
- Grade 3 severe
- Grade 4 life-threatening
- Grade 5 fatal
- Version 4 of the NCI Criteria are here.
22Dose-Limiting Toxicities (DLT)
- Toxicities that, due to their severity or
duration, are considered unacceptable, and limit
further dose escalation - Defined in advance of beginning trial
- Classically based on cycle 1 toxicity
- Examples
- ANC lt 500/ml for ? 5 or 7 days
- ANC lt 500/ml of any duration with fever
- PLT lt 10,000 or 25,000/ml
- Grade 3 or greater non-hematological toxicity
- Inability to re-treat patient within 2 wks of
scheduled treatment
23Definition of DLT is Dynamic
- Examples DLTs in 2008
- Diarrhea grade 3 in spite of adequate
antidiarrheal therapy (loperamide) - Nausea and vomiting grade 3 in spite of
adequate anti-emetic prophylaxis and therapy
(steroids, 5HT3 antagonists) - Hypertension grade 3 in spite of adequate
anti-hypertensive therapy - Inability to take at least 90 of drug doses in a
cycle (continuous oral meds) - Grade 2 chronic unremitting toxicity
24Maximally Tolerated Dose (MTD)
- Inconsistently defined as either
- Dose at which ? 33 of pts experience
unacceptable toxicity (DLT in ? 2 of 3 or ? 2 of
6) - OR
- 1 dose level below that
- MTD level _at_ DLT (in Europe or Japan)
- MTD level below DLT (in US)
- 6-10 pts treated at the recommended Phase II dose
(MTD or 1 dose level below)
25Recap Trans-AtlanticDifferences in Terminology
- Important to note that
- Maximum tolerated dose (MTD)
- Usually means recommended dose in US
- Usually means dose level above recommended dose
in Europe and some other jurisdictions
26How many patients per cohort?
27Patients per Cohort Guiding Principles
- Minimum needed to provide adequate toxicity
information - Classically 3 patients per cohort
- In some designs 1 patient per cohort until
toxicity seen - If correlative studies are a major aim, may
increase up to 6 patients per cohort
28Phase I Standard 3 3 Design
Eisenhauer et al.
29How quickly do you escalate?
30Phase I Trial Design Dose Escalation
- Escalation in decreasing steps (Hansen HH et
al. Cancer Res. 1975) - Attributed to a 13th century Italian
- Leonardo Fusano, aka
- Leonardo di Pisa
- Fibonacci
- How many pairs of rabbits can be produced from
a single pair under specified conditions? (1, 1,
2, 3, 5, 8, 13, 21, 34, 55, 89, 144..) (Liber
abaci)
31Phase I Trials Dose Escalation
The Modified Fibonacci Schedule
32Cohort Dose Escalation
33Problems and Pitfalls
34Phase I Study Assumptions
- The higher the dose, the greater the likelihood
of efficacy - Dose-related acute toxicity is regarded as a
surrogate for efficacy - The highest safe dose is the dose most likely to
be efficacious
35Dose-response Efficacy and Toxicity
36Modified Fibonacci Dose Escalation
- Problems
- Requires many patients
- Takes a long time (really?)
- May expose a substantial proportion of patients
to low, ineffective doses
37Classic Phase I Trials Design Limitations
- Wide confidence intervals
- Patients treated at ineffective doses in first
cohorts - High risk of severe toxicities at late cohorts
38Classic Phase I Trials Design Limitations
- Chronic toxicities usually cannot be assessed
- Cumulative toxicities usually cannot be
identified - Uncommon toxicities will be missed
39Phase I Studies and Infrequent Toxicities
Probability of overlooking a toxicity
POT(p) (1-p)n n sample size, p
true toxicity rate
40Alternate Designs
- Starting dose
- Number of patients per dose level
- Method/rapidity of dose escalation
41Selection of Starting Dose for Phase I Trials
Retrospective analysis of 21 trials using
modified Fibonacci dose escalation
Unsafe defined as reaching MTD in ? 3 dose
levels Eisenhauer et al JCO (18), 2000
42Intra-patient dose escalation
- Treat patients at dose level 1
- Dose level 2 is well tolerated and patients at
dose level 1 have no toxicities - Patients at level 1 are escalated to level 2
- WHY NOT DO THIS ALWAYS ?
- Makes evaluation of chronic toxicities difficult
- The proverbial 1 responder at dose level 1
43Phase I Trial DesignAccelerated Titrated Design
(Rule-based)
- First proposed by Simon et al (J Natl Cancer Inst
1997) - Several variations exist
- usual is doubling dose in single-patient cohorts
till Grade 2 toxicity - then revert to standard 33 design using a 40
dose escalation - intrapatient dose escalation allowed in some
variations - More rapid initial escalation
44Accelerated Titrated Design
45Accelerated Titrated Design Phase I Study of
Lonafarnib (SCH66336)
Adjei AA et al, Cancer Research, 2000
46Phase I Trial DesignModified Continual
Assessment Method (MCRM Model-based)
- Bayesian method
- Pre-study probabilities based on preclinical or
clinical data of similar agents - At each dose level, add clinical data to better
estimate the probability of MTD being reached - Fixed dose levels, so that increments of
escalation are still conservative
47Modified Continual Assessment Method (MCRM
Model-based)
- Example Pre-set dose levels of 10, 20, 40, 80,
160, 250, 400 - If after each dose level, the statistical model
predicts a MTD higher than the next pre-set dose
level, then dose escalation is allowed to the
next pre-set dose level - Advantages
- Allows more dose levels to be evaluated with a
smaller number of patients - More patients treated at or closer to
therapeutic dose - Disadvantages
- Does not save time, not easily implemented if
without access to biostatistician support
48Phase I Trial DesignDose Escalation with
Overdose Control (EWOC Model-based)
- Bayesian method
- After each cohort of patients, the posterior
distribution is updated with DLT data to obtain
?d (probability of DLT at dose d). The
recommended dose is the one with the highest
posterior probability of DLT in the ideal
dosing category - The overdose control mandates that any dose that
has gt 25 chance of being in the over-dosing or
excessive over-dosing categories, or gt 5
chance of being in the excess-overdosing
category, is not considered for dosing
49Estimated MTD Based on Bayesian Logistic Method
(Parameter Estimation With Overdose Control)
EXAMPLE of Probability of DLTs (Bayesian design)
50Phase I Trial Design-Bayesian EWOC Model (Example
With 1 DLT in 4 Patients)
- Posterior summaries for probabilities of DLT (in
) - __________________________________________________
______________ - Dose 0-0.16 0.16-0.33 0.33-0.6 0.6-1
Median Overdose - mg Under- Targeted Over- Excessive DLT
rate Control - /day dosing Toxicity dosing toxicity
- __________________________________________________
______________ - 2.5 95.7 3.3 0.5 0.4
0.0 ok - 5 91.1 5.5 3.1 0.4
0.2 ok - 10 82.9 9.1 6.7 1.3
1.9 no3 - 17.5 62.5 17.7 12.5 7.2
8.8 no2,3 - 25 40.0 21.2 19.3 19.5
22.3 no1-3 - 35 15.6 19.7 20.4 44.3
53.7 no1-3 - 45 9.9 12.5 19.9 57.7
73.0 no1-3 - 60 5.6 10.9 12.0 71.5
86.5 no1-3 - 75 3.2 7.7 12.7 76.4
92.8 no1-3 - 100 2.4 3.3 13.3 80.9
96.6 no1-3 - __________________________________________________
________________ - 1 Escalation to this dose not possible, overdose
control criterion - (P(overdosing or excessive tox)gt25) violated
- No first cycle DLTs
- Bayesian model supports dose escalation in cohort
2 (100 dose increment)
51Phase I Trial Design-Bayesian EWOC Model Example
With ¼ DLTs
- Posterior summaries for probabilities of DLT (in
) - __________________________________________________
______________ - Dose 0-0.16 0.16-0.33 0.33-0.6 0.6-1
Median Overdose - mg Under- Targeted Over- Excessive DLT
rate Control - /day dosing Toxicity dosing toxicity
- __________________________________________________
______________ - 2.5 48.1 28.4 16.4 7.1
16.5 no2 - 5 30.5 31.5 27.5 10.5
26.4 no1,2 - 10 16.5 23.7 37.3 22.4
38.3 no1-3 - 17.5 8.8 14.7 41.6 34.9
50.3 no1-3 - 25 6.1 9.9 37.6 46.4
58.3 no1-3 - 35 5.6 7.7 29.6 57.1
65.6 no1-3 - 45 3.7 7.6 24.5 64.1
69.6 no1-3 - 60 3.3 6.5 18.9 71.2
75.1 no1-3 - 75 2.4 6.1 15.3 76.1
78.1 no1-3 - 100 2.4 4.9 13.6 79.1
82.3 no1-3 - __________________________________________________
________________ - 1 Escalation to this dose not possible, overdose
control criterion
- First cycle DLT in first cohort
- Bayesian model does not support dose escalation
in cohort 2
52Challenges to Developing Novel Non-Classical
Antineoplastic Agents
- General requirement for long-term administration
pharmacology and formulation critical - Difficulty in determining the optimal dose in
phase I MTD versus OBD - Absent or low-level tumor regression as single
agents problematic for making go no-go decisions - Need for large randomized trials to definitively
assess clinical benefit need to maximize chance
of success in phase III
53Phase I Trial Design Non-Cytotoxic Agents
- MTD may not be the goal of Phase I because
specificity of effect may be lost at MTD - Pharmacologic effect may not equal biologic
effect - Goal identify optimal biologically effective
dose (OBED) - Paradox requires early development and
integration of (usually unvalidated) measures of
biologic effect into Phase I
54Do We Need Correlative Studies ?
- Conventional cytotoxic drugs have led to
predictable effects on proliferating tissues
(neutropenia, mucositis, diarrhea), thus enabling
dose selection and confirming mechanisms of
action - Targeted biological agents may or may not have
predictable effects on normal tissues and often
enter the clinic needing evidence/proof of
mechanisms in patients
55Do we need correlative studies ?
- Therefore, biological correlative studies may be
used to derive the best dose and schedule of an
agent, and - To determine whether the drug is inducing the
intended biological effect in the patient, and - To predict clinical benefit, although this
generally requires testing in large randomized
studies.
56Alternative Endpoints
- Minimum blood levels/AUC or other PK measure
- Inhibition of target
- In normal tissue
- In tumor tissue
- Need enough preclinical evidence to suggest that
the above are reasonable endpoints with
sufficient clinical promise - Must also pay attention to toxicity
57Phase I Trial Design Non-Cytotoxic Agents -
Examples
- Pre-clinically define target drug exposure
Matrix Metalloproteinase Inhibitors - Define pharmacodynamic endpoint Bortezomib (70
of 26S proteasome inhibition in PBMCs) - Use functional imaging as endpoint Vatalanib
(DCE-MRI) - Use cumulative toxicities CI-1040 MEK
Inhibitor, 800mg TID intolerable after 3 cycles
of therapy - Problem If drug works, youre a genius. If it
doesnt, youre a goat
58Vatalanib (PTK/ZK) VEGF Receptor Tyrosine
Kinase Inhibitor
Extracellular
Intracellular
Adapted from Dvorak H. J Clin Oncol.
200220(21)4368-4380.
59PTK/ZK Induced Significant Reduction in Tumor
Blood Flow in Metastatic Colorectal Cancer by
DCE-MRI
Reduction in tumor blood flow through liver
metastases secondary to colorectal cancer at day
2 is significantly correlated with improved early
clinical outcome
Thomas AL, et al. Semin Oncol. 20033032-38. Morg
an B, et al. J Clin Oncol. 2003213955-3964.
60Using DCE-MRI to Establish the Optimal
Therapeutic Dose for Vatalanib
Morgan B, et al. J Clin Oncol. 2003213955-3964.
61The Conundrum of Optimal Biologic Dose Phase
III PTK787/FOLFOX in CRC
PTK787 1250 mg QD
62Phase I Trials of Agent Combinations
- Initial dose-finding component often needed if
you are planning a new combination for a phase II
trial - Patients for dose-finding phase
- Advanced solid tumors (all comers)
- Advantage fast accrual
- Disadvantage may not be representative of your
patient population of interest - Specific patient population (e.g. same as phase
II cohort) - Advantage population of interest, and early
glimpse at antitumor activity in disease of
interest - Disadvantage slow down accrual especially if
rare/uncommon tumors
63Phase I Trials of Agent Combinations
- Dose escalation
- New drug A Standard combination BC
- Ideally keep standard combo doses and escalate
the new drug (e.g. 1/3, 2/3, full dose) - Need to provide rationale why add A to BC?
- Need to think about overlapping toxicity in your
definition of DLT - Do you need PK assessment to determine if A, B
and C interact with each other?
64How are Phase I Studies Designed Now ?
- 31 targeted agents representative of most common
targets - Reports (papers or abstracts) of completed single
agent phase I trials in non-hematologic
malignancies - 57 phase I reports identified
-
- Parulekar and Eisenhauer JNCI July 2004
65Agents/Targets
Target Agent Trials
EGFR/HER2 ZD1839OSI-774C225MAB225EMD7200EKB569RG83852trastuzumab 51111111
MMP BAY 12-9566MarimastatCOL-3BMS-275291 3211
Farnesyltrans-ferase BMS-214662R115777L778,123SCH66336 2323
Target Agent Trials
Angiogenesis EndostatinZD6474PTK787SU6668SU5416BevacizumabSU11248 3113311
BCL-2 G3139 2
PKC alpha ISIS 3521 2
raf kinase BAY 43-9006 ISIS 5132 33
DNA MTase MG98 2
MEK CI-1040 1
mTOR CCI-779 1
- Parulekar and Eisenhauer JNCI July 2004
66Results Reason for Halting Dose Escalation
Reason No. Trials No. Agents
Toxicity 36 20
PK 7 5
Other Design (max. planned dose) Drug Supply Other phase I results Active dose 3421 3221
Not stated 4 4
TOTAL 57
Parulekar and Eisenhauer JNCI July 2004
67Basis for Recommending Phase II Dose
Recommended phase II dose? Recommended phase II dose? No. Trials No. Agents
Recommended Recommended 50 27
Basis ToxicityPK (blood levels)Other trial toxicityClinical activityPBMC findingsTumor measuresConvenience 35921111 19721111
Not stated 5 5
Not recommended Not recommended 2 1
Parulekar and Eisenhauer JNCI July 2004
68Secondary Information to Support Dose
Recommendation
No. Trials Primary Basis No. Trials Secondary Support From No. Trials Secondary Support From No. Trials Secondary Support From No. Trials Secondary Support From No. Trials Secondary Support From
No. Trials Primary Basis Toxicity PK Tumor measures Surrogate measures Other
Toxicity 35 - 12 2 7 8
PK 9 - - 1 1 3
Tumor measures 1 - - - - -
Surrogate measures 1 - - - - -
Other 4 2 1 1 -
TOTAL 50 1 12 4 9 11
Other includes clinical effects, results other
trials, convenience, etc.
69Laboratory and Imaging Studies
Total No. Trials Primary Basis of Dose Supportive of dose No Help
Tumor Tissue 5 1 4 -
Surrogate Tissue PMBC Skin Buccal 1122 1-- 522 5--
Imaging 6 - 1 5
15
Parulekar and Eisenhauer JNCI July 2004
70Summary ReviewPhase I Trials Targeted Agents
- Toxicity
- Most common reason to halt escalation and primary
basis for dose recommendation (35/50 trials) - PK (Blood levels)
- Second most common basis for dose recommendation
(9/50 trials) - Laboratory studies
- May provide information to support dose
recommendation
Parulekar and Eisenhauer JNCI July 2004
71 72Phase I Study - Ethics
- Patient benefit or antitumor activity is not a
primary goal of the study, but therapeutic
intent is an important feature - Desperate patients cannot make a truly informed
decision - Historically low probability of response in Phase
I trials - lt 5 response rate
- Majority of responses occur within 80-120 of
the recommended phase II dose
73Response Rates and Toxic Deaths in Phase I
Oncology Trials (Horstman et al, NEJM 352 2005)
Trial No. of Trials of Pts Assessed for Response Overall Response Rate No. of Patients Assessed for Toxic Events Deaths from Toxic Events no.
TotalFirst use of an agent in humans 117 3164 4.8 3498 9 (0.26)
Cytotoxic chemotherapyFirst use of an agent in humans 43 1298 5.0 1422 7 (0.49)
ImmunomodulatorFirst use of an agent in humans 16 404 7.4 431 1 (0.23)
Receptor or signal transductionFirst use of an agent in humans 27 742 3.8 853 1 (0.12)
AntiangiogenesisFirst use of an agent in humans 8 200 7.0 228 0
Gene transferFirst use of an agent in humans 0 0 0 0 0
VaccineFirst use of an agent in humans 23 520 3.1 564 0
74Phase I Study - Ethics
- Investigators have an inherent conflict of
interest - Funding
- Academic promotion
- Publicity
75Phase I Study Ethics Partial Solutions to the
Dilemma
- Youre the patients physician 1st and a scientist
2nd - Scientific goals should never take precedence
over the patients best interest - Only pts for whom no life-prolonging or curative
therapy exists are eligible for Phase I trials - Informed consent is obtained from every patient
- No new agent can hit the pharmacy shelves without
going through Phase I clinical evaluation
76Phase I Clinical Trials - Summary
- Most drugs tend to follow the MTD/DLT paradigm
- Alternative designs continue to be explored. Most
times they are more complex. - Correlative studies are increasingly important in
the comprehensive evaluation of new agents - Patient benefit/wellbeing trumps all the science
- Being a good phase I trialist is not as simple as
you may think