Implementing Response-Adaptive Randomization in Multi-Armed Survival Trials

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Implementing Response-Adaptive Randomization in Multi-Armed Survival Trials BASS Conference 2009 Alex Sverdlov, Bristol-Myers Squibb A.Sverdlov (B-MS) Response-Adaptive Randomization 1 / 35

Joint work with Yevgen Tymofyeyev (Merck) A.Sverdlov (B-MS) Response-Adaptive Randomization 2 / 35

Outline 1 Introduction 2 Optimal Allocations for a K-Treatment Survival Trial D A -Optimal Allocation Optimal Allocations Based on Nonlinear Programming 3 Simulation Results 4 Redesigning a Phase III Survival Trial 5 Conclusions A.Sverdlov (B-MS) Response-Adaptive Randomization 3 / 35

Introduction Response-Adaptive Randomization Response-adaptive randomization (RAR) procedures use the accruing information in the course of a clinical trial to change the allocation probabilities sequentially with the goal of assigning more patients to the better treatment Two treatments: A and B n patients enter the trial sequentially and must be randomized to either A or B Randomization sequence: T n = (T 1,..., T n), T j = 1, if A; = 0, if B Patients responses: Y n = (Y 1,..., Y n) Statistical model: E(Y n) = f (θ T n) RAR procedure: φ j+1 = Pr(T j+1 = 1 T j, Y j ), j = 1, 2,..., n 1 A.Sverdlov (B-MS) Response-Adaptive Randomization 4 / 35

Introduction Response-Adaptive Randomization for Survival Trials Why implement RAR in survival trials? Outcomes are grave, hence it is ethical to assign more patients to a better treatment, if one exists It turns out in the survival response case allocations maximizing statistical efficiency are also skewed towards the better treatment Hence, more subjects may wish to participate Large sample sizes, hence asymptotic results apply What are potential difficulties? Primary outcomes are time-to-event (PFS, OS), thus inherent delays in responses Recruitment may terminate before sufficient number of responses accrue to start benefiting from adaptation Censored data Logistical complexity, regulatory concerns A.Sverdlov (B-MS) Response-Adaptive Randomization 5 / 35

Introduction Survival Trials: Optimal Allocations Consider a survival trial comparing two treatment arms, A and B T k =survival time, exponential with mean θ k C =censoring time t k = min(t k, C) and δ k = 1 {tk =T k } Based on samples of n A and n B patients, the m.l.e. s are nk i=1 ˆθ k = t ik nk i=1 δ = t ik r, k = A, B It can be shown that E(ˆθ k ) = θ k, var(ˆθ k ) = θ2 k n k ɛ k, where ɛ k = Pr(T k C) =prob. of death before censoring A.Sverdlov (B-MS) Response-Adaptive Randomization 6 / 35

Introduction Zhang and Rosenberger (2007, JRSS C) derived an optimal allocation from minimizing a weighted sum of sample sizes subject to constraints on the variance: min s.t. n A u(θ) + n B v(θ), θa 2 + θ2 B V. n A ɛ A n B ɛ B If u(θ) = v(θ) = 1, then one has n A /n B = θ A ɛb /(θ B ɛa ) - Neyman allocation minimizing total sample size of the study If u(θ) = θ 1 A, v(θ) = θ 1 B, then one has n A/n B = θa 3 ɛ B/ θb 3 ɛ A - ethical allocation minimizing total expected hazard in the study Note that optimal allocations depend on (θ A, θ B, ɛ A, ɛ B ), which must be sequentially estimated, and a RAR can be used to target the desired allocations. A.Sverdlov (B-MS) Response-Adaptive Randomization 7 / 35

Introduction Sverdlov and Tymofyeyev (2009) generalized to K 2 treatments: Consider 2 distinct approaches to optimal allocations: D A -optimal design Nonlinear programming optimal allocation rules Construct sequential RAR procedures to approach optimal allocations in the limit Compare the designs in terms of: Variability Imbalance Power Ethical criteria (number of deaths and total hazard) A.Sverdlov (B-MS) Response-Adaptive Randomization 8 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations for K 2-Treatment Survival Trial We are interested in comparing (K 1) experimental treatments to a control n k - number of patients on treatment k = 1,..., K, and K k=1 n k = n A trial has recruitment period of fixed length R > 0 months, and the total duration D > R months In the kth group one observes t k = min(t k, C, D U) and δ k = 1 {tk =T k }, where T k = survival time, exponential with mean θ k C = censoring time, uniform over (0, D) U = patient arrival time, uniform over (0, R) Let θ = (θ 1,..., θ K ).Given the responses (t ik, δ ik ), i = 1,..., n k, k = 1,..., K, we want to test H 0 : A T θ = 0 vs. H A : A T θ 0, where A T is a (K 1) K matrix of contrasts s.t. A T θ = (θ 2 θ 1,..., θ K θ 1). A.Sverdlov (B-MS) Response-Adaptive Randomization 9 / 35

Optimal Allocations for a K-Treatment Survival Trial D A -Optimal Allocation D A -Optimal Design A D A -optimal allocation vector ρ = (ρ 1,..., ρ K ) minimizes det{a T M(ρ, θ) 1 A} over the set of probability distributions on the K-treatment design space. ρ is found using directional derivatives from the system of equations: d A (k) = 1 ρ k ɛ k /θk 2 K k=1 ρ = K 1, k = 1,..., K. (1) k(ɛ k /θk 2 ) Result 1: Assume that θ 1 θ 2... θ K and ɛ k is a decreasing function of θ k for each k = 1,..., K. Then, for the D A -optimal allocation solving (1), one has ρ 1 ρ 2... ρ K. In addition, 0 ρ k 1/(K 1) for k = 1,..., K. Hence, D A -optimal design is always ethical in the sense that it allocates greater proportions of subjects to more efficacious treatments A.Sverdlov (B-MS) Response-Adaptive Randomization 10 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Optimal Allocations Based on Nonlinear Programming Define θ C = (θ 2 θ 1, θ 3 θ 1,..., θ K θ 1). We are interested in testing using Wald s test statistic H 0 : θ C = 0 vs. H A : θ C 0 W n = ˆθ T C 1 ˆΣ n ˆθ C W n is asymptotically (as n k ) chi-square with K 1 degrees of freedom and noncentrality parameter Σ n = φ(n 1,..., n K ) = θ T C Σ 1 n θ C, θ2 2 n 2 ɛ 2 0 0 θ3 0 2 n 3 ɛ 3 0 0 + 0 0 θ 2 K n K ɛ K θ 2 1 11 T, n 1ɛ 1 A.Sverdlov (B-MS) Response-Adaptive Randomization 11 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Following Tymofyeyev et al. (2007, JASA), we can formulate two optimization problems: Problem 1: Problem 2: min n1,...,n k K j=1 w jn j, s.t. n k / K j=1 n j B, k = 1,..., K, φ(n 1,..., n K ) C, max m1,...,m k φ(m 1,..., m K ), s.t. m k / K j=1 m j B, k = 1,..., K, K j=1 w jm j M, where B [0, 1/K] is a minimum desired proportion of patients for each treatment group A.Sverdlov (B-MS) Response-Adaptive Randomization 12 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming It is easily checked that φ(n) is strictly concave and φ > 0 By Theorem 1 of Tymofyeyev et al. (2007), there exist the unique solutions to both Problems 1 and 2. Moreover, let n = (n 1,..., n K ) be the optimum for Problem 1, and m = (m 1,..., m K ) be the optimum for Problem 2. Then one has n k K j=1 n j = m k K j=1 m j = ρ k, k = 1,..., K. Note : Problem 2 is a nonlinear optimization problem with linear constraints, which can be easily solved using optimization software A.Sverdlov (B-MS) Response-Adaptive Randomization 13 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Choices of the vector of weights w: If w = (1,..., 1), then we are maximizing power of Wald s test for a total sample size n s.t. the proportion of patients in each treatment group is at least B. If w = (θ 1 1,..., θ 1 K ), then we are minimizing the total expected hazard in the trial s.t. the constraints on B and φ(n) If w = (ɛ 1,..., ɛ K ), then we are minimizing the expected number of deaths in the trial s.t. the constraints on B and φ(n) Note : For w = (1,..., 1), we have the analytical form of the optimal solution. It will be referred to as NP-optimal allocation A.Sverdlov (B-MS) Response-Adaptive Randomization 14 / 35

Optimal Allocations for a K-Treatment Survival Trial Allocation Surfaces Optimal Allocations Based on Nonlinear Programming Consider K = 3 treatments, R = 55 and D = 96, 5 θ A 35, 5 θ B 35, θ C = 17. 0.6 0.4 0.5 rho.a 0.3 5 rho.a 0.4 5 0.2 10 0.3 10 35 30 25 20 25 15 20 theta.b 0.2 35 30 25 20 25 15 20 theta.b theta.a 15 30 theta.a 15 30 10 10 5 35 5 35 Figure: Allocation surfaces ρ A (θ A, θ B, 17) for the D A -optimal allocation (left plot) and the NP-optimal allocation with B = 0.2 (right plot) A.Sverdlov (B-MS) Response-Adaptive Randomization 15 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Operating characteristics of the designs: D A -efficiency: Given a D A -optimal design ξ, the D A -eff. of any other design ξ is defined as { } A T M 1 (ξ 1/(K 1) )A E(ξ) = A T M 1 (ξ)a A value of E(ξ) = 0.95 means that design ξ is 95% as efficient as ξ. Balance: Euclidean distance between a vector of allocation proportions and the vector of uniform probabilities (1/K,..., 1/K). Power of Wald s test Difference in proportions of deaths K k=1 ρ kɛ k between the balanced allocation and an optimal allocation A.Sverdlov (B-MS) Response-Adaptive Randomization 16 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Theoretical Comparison of Design Characteristics Consider K = 3 treatments, R = 55 and D = 96, θ A = 8, θ B = 17, 2 θ C 34. D A efficiency Balance D A efficiency 0.80 0.85 0.90 0.95 1.00 Balanced NP optimal Euclidean distance to the uniform probability vector 0.0 0.1 0.2 0.3 0.4 0.5 D A optimal NP optimal 5 10 15 20 25 30 35 5 10 15 20 25 30 35 theta.c theta.c Power Ethics Power 0.5 0.6 0.7 0.8 0.9 1.0 Balanced D A optimal NP optimal Difference in proportions of deaths 0.00 0.01 0.02 0.03 0.04 0.05 0.06 Balanced minus D A optimal Balanced minus NP optimal 5 10 15 20 25 30 35 5 10 15 20 25 30 35 theta.c theta.c A.Sverdlov (B-MS) Response-Adaptive Randomization 17 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Implementing Response-Adaptive Randomization to Target Optimal Allocations A.Sverdlov (B-MS) Response-Adaptive Randomization 18 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Optimal allocations depend on unknown model parameters Given data from the first (j 1) patients: T j 1 and Y j 1, compute ˆρ(j 1) = (ˆρ 1(j 1),..., ˆρ K (j 1)) estimate of the target allocation N i /(j 1), i = 1,..., K current treatment proportions Randomize the jth patient to treatment k with probability (Doubly-Adaptive Biased Coin (DBCD), Hu and Zhang (2004), Ann. Statist.) ψ jk = ( ) γ ˆρk (j 1) N k /(j 1) ˆρ k (j 1) ( K i=1 ˆρ i(j 1) ˆρi (j 1) N i /(j 1) ) γ, k = 1,..., K, where γ 0 is a parameter controlling the degree of randomness of an allocation procedure. A.Sverdlov (B-MS) Response-Adaptive Randomization 19 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Role of γ: γ = 0 (the highest variability). One has sequential maximum likelihood procedure ψ jk = ˆρ k (j 1), k = 1,..., K. γ = (the smallest variability). The procedure is almost deterministic: ψ jk = 1, ˆρ i (j 1) if treatment k has maximum value of, i = 1,..., K, N i /(j 1) = 1/s, ˆρ i (j 1) if s treatments are ties in terms of, i = 1,..., K, N i /(j 1) = 0, otherwise γ = 2 is recommended for use in practice (Rosenberger and Hu, 2004) A.Sverdlov (B-MS) Response-Adaptive Randomization 20 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming Asymptotic properties of the DBCD procedure: Hu and Zhang (2004) (assuming that responses are immediate) showed that if the allocation vector ρ = ρ(θ) is continuous θ, and ρ is twice cont.-diff. in a neighborhood of the true θ, then as n N(n)/n ρ a.s. n(n(n)/n ρ ) N(0, Σ) in distribution, where ρ = ρ(θ ) and Σ is a known expression. Hu et al. (2008) justified the above asymptotic properties of the DBCD procedure for cases when responses are moderately delayed (e.g. exponential delays) A.Sverdlov (B-MS) Response-Adaptive Randomization 21 / 35

Optimal Allocations for a K-Treatment Survival Trial Optimal Allocations Based on Nonlinear Programming In our case: ρ for D A -optimal allocation is nice and smooth, and hence asymptotic results of Hu and Zhang (2004) apply ρ for NP-optimal allocation is discontinuous for certain values of θ. We smooth ρ using a standard K-variate Gaussian kernel as follows: 0.6 0.6 0.5 0.5 rho.a 0.4 5 rho.a 0.4 5 0.3 10 0.3 10 0.2 35 30 25 20 25 15 20 theta.b 0.2 35 30 25 20 25 15 20 theta.b theta.a 15 30 theta.a 15 30 10 10 5 35 5 35 and target the smoothed NP-optimal allocation using the DBCD procedure A.Sverdlov (B-MS) Response-Adaptive Randomization 22 / 35

Simulation Study Simulation Results 3 procedures: Complete randomization (CRD) DBCD with γ = 2 targeting D A -optimal allocation (D A ) DBCD with γ = 2 targeting smoothed NP-optimal allocation (NP) K = 3 treatments, R = 55 months, D = 96 months Two choices of θ A ( control treatment): θ A = 8.5 ( poor survival); ɛ A = 0.91 θ A = 24 (2-year survival); ɛ A = 0.74 Sample size n is chosen s.t. CRD has 90% power (when θ A = 8.5), or 80% power (when θ A = 24) under a given alternative 10000 simulations of a trial with n patients for each experimental scenario using R A.Sverdlov (B-MS) Response-Adaptive Randomization 23 / 35

Simulation Results Table: Theoretical optimal designs for D A -optimal allocation (D A ), and a Gaussian-smoothed nonlinear programming optimal allocation (NP) with B = 0.2 Scenario n (θ A, θ B, θ C ) D A NP Ia 136 (8.5, 17, 17) (.22,.39,.39) (.32,.34,.34) IIa 162 (8.5, 8.5, 17) (.29,.29,.43) (.20,.20,.60) IIIa 84 (8.5, 25, 17) (.19,.44,.37) (.23,.57,.20) IVa 136 (8.5, 8.5, 8.5) (1/3, 1/3, 1/3) (1/3, 1/3, 1/3) Ib 516 (24, 34, 34) (.26,.37,.37) (.40,.30,.30) IIb 567 (24, 24, 34) (.30,.30,.40) (.20,.20,.60) IIIb 213 (24, 48, 34) (.24,.42,.34) (.26,.54,.20) IVb 516 (24, 24, 24) (1/3, 1/3, 1/3) (1/3, 1/3, 1/3) A.Sverdlov (B-MS) Response-Adaptive Randomization 24 / 35

Simulation Results Scenario CRD D A NP (% resp.) Ia (77%) N/n (.33,.33,.34) (.28,.36,.36) (.29,.36,.35) S.D. (.04,.04,.04) (.04,.04,.04) (.04,.09,.09) IIa (81%) N/n (.33,.33,.34) (.31,.31,.38) (.27,.26,.47) S.D. (.04,.04,.04) (.03,.03,.03) (.05,.05,.07) IIIa (74%) N/n (.33,.33,.34) (.28,.37,.35) (.27,.41,.32) S.D. (.05,.05,.05) (.05,.05,.05) (.05,.10,.09) IVa (85%) N/n (.33,.33,.34) (.33,.33,.34) (.33,.33,.34) S.D. (.04,.04,.04) (.04,.04,.04) (.07,.07,.07) Ib (63%) N/n (.33,.33,.34) (.31,.35,.35) (.32,.34,.33) S.D. (.02,.02,.02) (.02,.02,.02) (.04,.06,.06) IIb (65%) N/n (.33,.33,.34) (.32,.32,.36) (.31,.30,.39) S.D. (.02,.02,.02) (.02,.02,.02) (.05,.05,.06) IIIb (60%) N/n (.33,.33,.34) (.30,.36,.34) (.29,.40,.31) S.D. (.03,.03,.03) (.03,.03,.03) (.04,.08,.07) IVb (63%) N/n (.33,.33,.34) (.33,.33,.34) (.33,.33,.34) S.D. (.02,.02,.02) (.02,.02,.02) (.05,.05,.05) A.Sverdlov (B-MS) Response-Adaptive Randomization 25 / 35 Table: Simulated allocation proportions N/n = (N A /n, N B /n, N C /n) and their standard deviations (S.D.)

Simulation Results Table: Power and error rates Scenario n CRD D A NP-1 Ia 136 0.902 0.891 0.891 IIa 162 0.902 0.919 0.942 IIIa 84 0.897 0.905 0.903 IVa 136 0.044 0.054 0.051 Ib 516 0.805 0.799 0.796 IIb 567 0.801 0.821 0.820 IIIb 213 0.801 0.816 0.823 IVb 516 0.049 0.048 0.050 A.Sverdlov (B-MS) Response-Adaptive Randomization 26 / 35

Simulation Results Table: Total number of deaths in the study (S.D.) Scenario CRD D A NP-1 Ia 115 (4) 115 (4) 115 (4) IIa 142 (4) 142 (4) 140 (4) IIIa 69 (4) 68 (4) 68 (4) IVa 124 (3) 124 (3) 124 (3) Ib 349 (11) 348 (11) 349 (11) IIb 402 (11) 400 (11) 398 (11) IIIb 137 (7) 135 (7) 134 (7) IVb 382 (10) 382 (10) 382 (10) A.Sverdlov (B-MS) Response-Adaptive Randomization 27 / 35

Simulation Results Table: Total hazard (in patients per months) in the study (S.D.) Scenario CRD D A NP-1 Ia 10.9 (1.1) 10.5 (1.0) 10.5 (1.1) IIa 16.1 (1.5) 15.7 (1.4) 14.9 (1.4) IIIa 6.3 (0.9) 5.9 (0.8) 5.8 (0.8) IVa 16.4 (1.5) 16.4 (1.5) 16.4 (1.5) Ib 17.4 (0.9) 17.2 (0.9) 17.3 (1.0) IIb 21.4 (1.1) 21.2 (1.1) 21.0 (1.1) IIIb 6.6 (0.6) 6.5 (0.6) 6.4 (0.6) IVb 21.6 (1.1) 21.6 (1.1) 21.6 (1.1) A.Sverdlov (B-MS) Response-Adaptive Randomization 28 / 35

Redesigning a Phase III Survival Trial Redesigning a Phase III Survival Trial A randomized phase III clinical trial to compare the 3-yr survival rates of patients with locally advanced head and neck cancer (HNC) treated with standard fractionated RT alone (arm A) or RT+cisplatin (arm B) or RT+carboplatin (arm C) (Fountzilas et al. (2004) Medical Oncology 21(2), 95-107) From Jan-1995 to Jul-1999, n = 124 patients with proven locally advanced HNC were equally randomized to treatments using stratified blocks (randomization was centralized) A(n = 41) B(n = 45) C(n = 38) Died 36 23 23 Censored(%) 5 (0.12) 22 (0.49) 15 (0.39) Survival rate at 3 yr (%) 17.5 52.0 42.0 Survival rate at 5 yr (%) 9.0 52.0 38.0 Median TTP (months) 6.3 45.2 17.7 OS (months) 12.2 48.6 24.5 A.Sverdlov (B-MS) Response-Adaptive Randomization 29 / 35

Redesigning a Phase III Survival Trial Given this data, assume that ITT survival times are exponentially distributed with means θ A = 8.5, θ B = 34, and θ C = 17 Trial duration D = 96 months, recruitment period R = 55 months Theoretical D A -optimal design is ρ (θ) = (0.18, 0.46, 0.36) Theoretical smoothed NP-optimal design is ρ (θ) = (0.20, 0.60, 0.20) Simulate 10000 trials with n = 124 patients and 3 randomization procedures A.Sverdlov (B-MS) Response-Adaptive Randomization 30 / 35

Redesigning a Phase III Survival Trial CRD D A NP n = 124 N(n)/n (.33,.33,.33) (.27,.39,.34) (.26,.46,.28) S.D.(N(n)/n) (.04,.04,.04) (.04,.04,.04) (.04,.09,.08) D(n) (S.D.) 98 (5) 96 (5) 94 (5) H(n) (S.D.) 8.7 (1.0) 8.0 (0.9) 7.7 (1.0) Power > 0.99 > 0.99 > 0.99 n = 66 N(n)/n (.33,.33,.33) (.28,.38,.34) (.26,.43,.31) S.D.(N(n)/n) (.06,.06,.06) (.05,.05,.05) (.05,.10,.09) D(n) (S.D.) 52 (3) 51 (3) 50.5 (4) H(n) (S.D.) 4.8 (0.8) 4.4 (0.7) 4.3 (0.7) Power.900.920.932 n = 63 N(n)/n (.33,.33,.33) (.28,.38,.34) (.26,.43,.31) S.D.(N(n)/n) (.06,.06,.06) (.06,.06,.05) (.05,.10,.09) D(n) (S.D.) 50 (3) 49 (3) 48 (3) H(n) (S.D.) 4.5 (0.8) 4.2 (0.7) 4.1 (0.7) Power.880.900.917 A.Sverdlov (B-MS) Response-Adaptive Randomization 31 / 35

Conclusions Conclusions The DBCD procedures targeting optimal allocations assign greater proportions of patients to more efficacious treatments On average, these procedures result in 1 4 fewer deaths, and smaller total hazard than the balanced design Also, in most of the cases, for a given sample size these procedures are 1% 3% more powerful than the balanced design Under H 0, all procedures reduce to the balanced allocation Overall conclusion: The DBCD procedures can be good alternatives to the balanced designs in clinical trials with grave outcomes, such as in survival trials. The total sample size can be reduced without sacrificing power, which implies extra savings in the study cost, reduction of the risk of exposing subjects to less efficient therapies, and reduction of the total number of deaths in the trial. A.Sverdlov (B-MS) Response-Adaptive Randomization 32 / 35

Possible Extensions Conclusions Optimal allocations for other response distributions, such as Weibull, or lognormal Incorporating covariates and developing covariate-adjusted response-adaptive (CARA) randomization procedures Bivariate response (efficacy + toxicity) in application to dose-finding (phase II) survival trials A.Sverdlov (B-MS) Response-Adaptive Randomization 33 / 35

Conclusions Thank You for Your Attention! A.Sverdlov (B-MS) Response-Adaptive Randomization 34 / 35

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