Understanding Clinical Research Notice Medicine is an ever-changing science. As new research and clinical experience broaden our knowledge, changes in treatment and drug therapy are required. The authors and the publisher of this work have checked with sources believed to be reliable in their efforts to provide information that is complete and generally in accord with the standards accepted at the time of publication. However, in view of the possibility of human error or changes in medical sciences, neither the authors nor the publisher nor any other party who has been involved in the preparation or publication of this work warrants that the information contained herein is in every respect accurate or complete, and they disclaim all responsibility for any errors or omissions or for the results obtained from use of the information contained in this work. Readers are encouraged to confirm the information contained herein with other sources. For example and in particular, readers are advised to check the prod- uct information sheet included in the package of each drug they plan to administer to be certain that the information contained in this work is accurate and that changes have not been made in the recommended dose or in the contraindications for admin- istration. This recommendation is of particular importance in connection with new or infrequently used drugs. Understanding Clinical Research Editors Renato D. Lopes, MD, MHS, PhD Executive Director, Brazilian Clinical Research Institute Federal University of São Paulo, São Paulo, Brazil Associate Professor of Medicine, Division of Cardiology Department of Medicine, Duke University Medical Center Associate Program Director, Fellowship Program Duke Clinical Research Institute Durham, North Carolina Robert A. Harrington, MD Chair, Department of Medicine Stanford University Stanford, California New York Chicago San Francisco Lisbon London Madrid Mexico City Milan New Delhi San Juan Seoul Singapore Sydney Toronto Copyright © 2013 by McGraw-Hill Education. All rights reserved. Except as permitted under the United States Copyright Act of 1976, no part of this publication may be reproduced or distributed in any form or by any means, or stored in a database or retrieval system, without the prior written permission of the publisher. ISBN: 978-0-07-179265-3 MHID: 0-07-179265-1 The material in this eBook also appears in the print version of this title: ISBN: 978-0-07-174678-6, MHID: 0-07-174678-1. All trademarks are trademarks of their respective owners. Rather than put a trademark symbol after every occurrence of a trademarked name, we use names in an editorial fashion only, and to the benefi t of the trademark owner, with no intention of infringement of the trademark. 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Under no circumstances shall McGraw-Hill Education and/or its licensors be liable for any indirect, incidental, special, punitive, consequential or similar damages that result from the use of or inability to use the work, even if any of them has been advised of the possibility of such damages. This limitation of liability shall apply to any claim or cause whatsoever whether such claim or cause arises in contract, tort or otherwise. Contents Contributors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . xiii Preface . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .xv SECTION I: EVOLUTION OF CLINICAL RESEARCH Renato D . Lopes, editor CHAPTER ONE A Brief History of Clinical Trials, Drug Regulations, and the Food and Drug Administration . . . . . . . . . . . . . . .3 Nidhi Tripathi, Kate Davis, Catherine Bodine, and Daniel K . Benjamin Jr . CHAPTER TWO Information Technology, Access, ClinicalTrials.gov . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17 Anjan K . Chakrabarti and C . Michael Gibson CHAPTER THREE The Role of Academic Research Organizations in Clinical Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 27 Craig J . Reist, Tyrus L . Rorick, Lisa G . Berdan, and Renato D . Lopes CHAPTER FOUR Ethics of Clinical Research: An Overview and Emerging Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 39 Yee Weng Wong and Kevin A . Schulman v vi Contents SECTION II: PRINCIPLES OF CLINICAL EXPERIMENTATION Daniel K . Benjamin Jr . and Karen S . Pieper, editors CHAPTER FIVE Introduction to Clinical Experimentation . . . . . . . . . . 65 Robert Bigelow CHAPTER SIX Phase I Trials: First in Human . . . . . . . . . . . . . . . . . . . . . . . . 83 Kevin M . Watt, Karen Chiswell, and Michael Cohen-Wolkowiez CHAPTER SEVEN Phase II Clinical Trials . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .101 Jeffrey T . Guptill and Karen Chiswell CHAPTER EIGHT Phase III and IV Clinical Trials . . . . . . . . . . . . . . . . . . . . . . .113 Gail E . Hafley, Sergio Leonardi, and Karen S . Pieper CHAPTER NINE Challenges of Clinical Trials in Pediatrics . . . . . . . . .127 Kevin N . Turner and P . Brian Smith SECTION III: OBSERVATIONAL RESEARCH Lesley H . Curtis and Laine E . Thomas, editors CHAPTER TEN Observational Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .143 Michaela A . Dinan CHAPTER ELEVEN Data Resources . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .157 Ying Xian CHAPTER TWELVE Observational Study Designs . . . . . . . . . . . . . . . . . . . . . . . . .169 Bradley G . Hammill Contents vii CHAPTER THIRTEEN Challenges of Observational Designs . . . . . . . . . . . . . . .179 David M . Vock CHAPTER FOURTEEN Specific Regression Techniques . . . . . . . . . . . . . . . . . . . . . .189 Phillip J . Schulte and Laine E . Thomas CHAPTER FIFTEEN Analytical Methods of Addressing Confounding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .209 Eric M . Reyes and Laine E . Thomas CHAPTER SIXTEEN Lessons from Notable Examples in Observational Research . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .227 Zubin J . Eapen Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .237 This page intentionally left blank Contributors Daniel K. Benjamin Jr., MD, PhD Anjan K. Chakrabarti, MD Professor of Pediatrics Clinical Fellow in Medicine Duke University School of Medicine Department of Medicine Faculty Associate Director Division of Cardiology Duke Clinical Research Institute Beth Israel Deaconess Medical Center Durham, North Carolina Boston, Massachusetts Chapter 1 Chapter 2 Lisa G. Berdan, MHS, PA-C Karen Chiswell, PhD Associate Director, Cardiovascular Senior Biostatistician Megatrials Duke Clinical Research Institute Duke Clinical Research Institute Durham, North Carolina Durham, North Carolina Chapters 6 and 7 Chapter 3 Michael Cohen-Wolkowiez, MD, Robert Bigelow, PhD PhD Associate Director Assistant Professor Duke Clinical Research Institute Department of Pediatrics Durham, North Carolina Division of Infectious Disease Chapter 5 Duke Clinical Research Institute Durham, North Carolina Catherine Bodine, RN Chapter 6 Clinical Research Communications Specialist III Lesley H. Curtis, PhD Duke Clinical Research Institute Associate Professor in Medicine Durham, North Carolina Division of General Medicine Chapter 1 Department of Medicine Duke University Medical Center Durham, North Carolina ix