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A Framework for Staging Clinical Trials Pre-Clinical to Phase IV in Rehabilitation. James Gordon Department of Biokinesiology & Physical Therapy University of Southern California. Purpose…. Review standard framework for “staging” clinical trials
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A Framework for Staging Clinical Trials Pre-Clinical to Phase IV in Rehabilitation James Gordon Department of Biokinesiology & Physical Therapy University of Southern California
Purpose… • Review standard framework for “staging” clinical trials • Developing a novel treatment technique from its discovery to a fully tested, established intervention • Naïve view: that this will happen automatically • Mature view: we need to plan this “staging” in advance
Caution… • The language and methodology of clinical trials was developed in the context of developing new drugs. • Rehabilitation is not a drug • Rehabilitation has unique characteristics • We should adapt this framework and not be afraid to deviate from tradition
Clinical Trials in Rehabilitation • Fitzgerald, G.K., Delitto, A. (2001) Considerations for planning and conducting clinic-based research in physical therapy. Phys Ther 81:1446 –1454. • Barbeau, H., Fung, J. (2001) The role of rehabilitation in the recovery of walking in the neurological population. Curr Opin Neurol 14:735-740.
What is clinical research? • Research that takes place in clinical settings • Case studies • Case series • Descriptive & retrospective studies • Clinical trials • Randomized controlled trials
What is a clinical trial? • A research study in which a specific treatment is compared to a control condition • Control Condition • No treatment • Pre-treatment (pre- vs. post-) • Placebo • Standard care • Another experimental intervention
What is a randomized controlled trial? • A type of clinical trial in which the subjects are allocated at random to receive one of several different clinical interventions • Randomization reduces the potential for bias • RCT – the gold standard
Clinical Trial – alternate definition • A clinical trial is a research study that you conduct when you already know what the result will be
Staging Clinical Trials • Efficacy vs. Effectiveness • Stages of Development • Discovery & pre-clinical studies • Phase I, II, III, IV
Efficacy and effectiveness • Efficacy – Does the intervention work in tightly controlled conditions? • Strict inclusion/exclusion criteria • Highly standardized treatments • Explicit procedures for ensuring compliance • Focus on direct outcomes
Efficacy and effectiveness • Effectiveness – Does the intervention work in ‘real world’ conditions? • Looser inclusion/exclusion criteria • Treatments carried out by typical clinical personnel • Little or no provision for insuring compliance • Focus on less direct outcomes (e.g., quality of life)
Efficacy and effectiveness studies optimize different aspects of validity… clinical research [intervention] studies continuum: InternalValidity ExternalValidity Efficacy Effectiveness Experimental (RCTs) Quasi-experimental/ Observational designs Most studies fall somewhere in between these anchors From: Winstein & Lewthwaite, Eugene Michels Forum: CSM, Nashville TN, February 7, 2004
Stages in the Development of BWSTT From Barbeau & Fung (2001) Curr Opin Neurol 14:735-740.
Stages of Development of New Drug or Intervention • Basic & Translational Science • Discovery • Preclinical • Clinical Trials • Phase I • Phase II • Phase III • Phase IV
Basic & Translational Science • Discovery • A new therapeutic effect is reported • Often in animal studies • Also, human studies in “normal” subjects • Preclinical • Safety is demonstrated in animal studies • Potential therapeutic efficacy observed in human subjects
Clinical Trials • Phase I • Demonstration of safety & feasibility in patients • Small n • Often not true RCT’s • Include case studies and case series • Phase II • Focus on efficacy in ‘small’ groups • Ideally, these are RCT’s • Not necessarily randomized, e.g., if outcomes can be measured objectively • Dose-response studies
Clinical Trials… • Phase III • Designed to assess effectiveness • Compare drug/intervention with standard treatment • Usually large-scale RCTs • Phase IV • Studies that monitor adverse effects after approval • Surveillance studies and surveys • Not RCTs
Clinical Trial Phases An overlapping continuum Safety Feasibility Efficacy Effectiveness Safety I II III IV
Should we worry about phases? • Strict adherence to the definitions of phases is not important • What is important is to plan the process of moving from safety and feasibility to efficacy to effectiveness
Rehabilitation has unique characteristics • Patient is an active participant • Compliance is not enough… • Blinding is difficult • Placebos are difficult to construct • The proper level of analysis is difficult to establish • What unit should be studied? • Avoid comparisons of interventions at different levels • Outcomes are difficult to measure • Especially at disability level • Effects take a long time to emerge • Long-term follow-up is essential
Thank you… For ‘handouts’, contact me: jamesgor@usc.edu