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DESIGNING STUDIES WITH RECURRENT EVENTS
Model choices, pitfalls and group sequential design
DEMONSTRATED ON
 Head of Statistics
 nQuery Lead Researcher
 FDA Guest Speaker
 Guest Lecturer
Webinar Host
HOSTED BY:
Ronan
Fitzpatrick
AGENDA
1. Recurrent Event Data and Models Introduction
2. Sample Size for Recurrent Event Models
3. Group Sequential Design for Recurrent Events
4. Conclusions and Discussion
The complete trial design platform to make clinical trials
faster, less costly and more successful
The solution for optimizing clinical trials
In 2019, 90% of organizations with clinical trials approved by
the FDA used nQuery
Recurrent Event Data
Introduction
Part 1
Recurrent Events Overview
Recurrent event processes are endpoints where subject can
have >1 informative event in time period
Common endpoint in clinical trials esp. chronic diseases
 COPD/asthma exacerbations, MS relapses, migraines, seizures
Similar considerations and methods also relevant in case of
count data e.g. imaging, epidemiology
Should use events/counts “as-is” for better estimation but
historically often “simplified” to other endpoints
Recurrent Event Analysis Approaches
Event Rate Models: Estimate # of events per time unit
 Parametric models for (constant over time) event rate ratio
 e.g. Poisson (incl. quasi-P), negative binomial (both ZI, ZT)
Time-to-Events Models: Time(s) between/til next event
 Semi-parametric models for hazard from each event
 e.g. Andersen-Gill, Wei-Lin-Weissfeld, Prentice-Williams-
Peterson
Mean Cumulative Event Function: E(Events) at time t
 Non-parametric method for cumulative E’s e.g. Nelson-Aalen
Issues in Recurrent Event Analysis
What is the question/target of interest in study?
 Use event rate, time between events, # of events?
 Compare groups via rate ratio, # events, intensity/HR?
 Interested in first K events, later events, more intense events?
What assumptions are reasonable for data?
 Independent events, non-informative censoring,
 Event process differs per subject, process changes over time
 Some events more important, effect of terminal events
Count Model Examples
1 Poisson Model Event Rates, rate ratio, constant rate
2 Negative Binomial Event Rates, RR, event rate/subject
3 Andersen-Gill Time-to-Events, intensity/hazard of all E
4 Wei-Lin-Weissfeld Time-to-Events, time til 1st K events, HR
5 Prentice-Williams-Peterson Time-to-Events, gap between 1st K E’s, HR
6 MCF Non-parametric, # events at time t
7 Approximate Models Survival models (1st E), t-test, event “rates”
Sample Size for Recurrent
Event Models
Part 2
Example Models for SSD
1) Poisson: Signorini (1991), Lehr (1992), Gu et .al. (2008)
 Parametric model for rate ratio, assumes constant rate ratio
 Rate constant over time, same rate per subject unless quasi-P
2) Negative Binomial: Zhu & Lakkis (2014), Tang (2015,18)
 Parametric model for rate ratio, assumes constant rate ratio
 Rate constant over T, Poisson rate/subject from gamma dist.
3) Andersen-Gill: Bernardo & Harrington (2001), Tang &
Fitzpatrick (2019)
 Semi-Parametric for intensity/hazard, assume constant RR here
 Arbitrary rate over T (e.g. Weibull), need proportional hazards
Sample Size for Recurrent Events
SSD initially focussed on simple
approx. assuming Poisson (e.g. √)
More work done for Poisson
regression (& Quasi-Poisson
Recent work on Neg. Binomial and
extend it & Poisson for unequal
follow-up, dropout & NI/equiv
SSD also derived for Andersen-Gill
incl. flexible approach for design
and hazard function assumptions
Source: R. Lehr
(1992)
Source: H. Zhu & H. Lakkis
(2014)
Source: Y. Tang
(2015)
Source: D. Signorini
(1991)
Source: Y. Tang & R. Fitzpatrick
(2019)
Worked Example 1
“On the basis of previous studies of
fluticasone propionate–salmeterol
combinations we assumed a yearly
exacerbation rate with vilanterol of 1·4
and a dispersion parameter of 0·7. Thus,
we calculated that a sample size of 390
assessable patients per group in each
study would provide each study with 90%
power to detect a 25% reduction in
exacerbations in the fluticasone furoate
and vilanterol groups versus the vilanterol
only group at a two-sided 5% significance
level”
Source: Lancet Respiratory Medicine
(2013)
Parameter Value
Significance Level (Two-Sided) 0.05
Control Incidence Rate (per year) 1.4
Rate Ratio 0.75
Exposure Time (Years) 1
Dispersion Parameter 0.7
Power (%) 90%
Negative Binomial/ Recurrent Events Example
Group Sequential Design
for Recurrent Events
Part 3
Group Sequential Designs (GSD)
“Group sequential trials can provide
ethical and efficiency advantages by
reducing the expected sample size and
calendar time of clinical trials and by
accelerating the approval of effective
new treatments.
For example, a group sequential design
with a single interim analysis and can
reduce the expected sample size of the
trial by roughly 15 percent relative to a
comparable non-adaptive trial.”
GSD allows interim analyses to stop
early
Interim: look while trial is on-going
Looks occur at pre-specified times
E.g. After 50% subjects measured
Can stop for benefit and/or futility
Neither? Continue until end/next look
However, need to account for effect of
multiple analyses
Do by “spending” error at each look
GSD Details
2 early stopping criteria (work similar)
1. Efficacy (α-spending)
2. Futility (β-spending)
Use “spending function” to account for
multiple analyses/”chances”
 Spend proportion of total error at each look
 More conservative N vs. fixed term analysis
Multiple SF available (incl. custom)
 O’Brien-Fleming (conservative), Pocock
(liberal), Power, Hwang-Shih-DeCani (flexible)
Different heuristics for efficacy/futility
 Conservative SF expected for efficacy
 More flexibility for futility (less problematic)
𝛼 𝜏 = 2 1 − Φ
𝑧 𝛼/2
𝜏
O’Brien-Fleming Spending Function
Recurrent Events GSD Issues
Appropriate MLE and test for GST
 Normal approx. if t same per subject?
 For NB, no closed form if t differs
How turn info. time into “real” time
 Info. time related to follow-up times,
n, rates and dispersion parameter
 Equal t ~ Means, Unequal ~ TTE
Type I Error ↑ if low N/high κ
 No Exact, some proposed altered stats
 t-distribution GSD better for low N
Source: Mütze, T., Glimm, E., Schmidli, H., &
Friede, T. (2019).
Group Sequential Design for Negative Binomial
Parameter Value
Number of Looks 3
Efficacy Bound O’Brien Fleming
Futility Bound Non-Binding
Beta Spending Function Hwang-Shih-DeCani
HSD Parameter -1.25
Extend previous example to group
sequential design with 2 interim analyses
with O’Brien Fleming efficacy bound and
non-binding Hwang-Shih-DeCani futility
bound with gamma = -1.25
Worked Example 2
Source: Lancet Respiratory Medicine
(2013)
Parameter Value
Significance Level (Two-Sided) 0.05
Control Incidence Rate (per year) 1.4
Rate Ratio 0.75
Exposure Time (Years) 1
Dispersion Parameter 0.7
Power (%) 90%
Discussion and Conclusions
Recurrent Events/Count data common in clinical trials
Move away from approximations to modelling process fully
Variety of models depending on scientific question
Parametric: event rate; Semi-parametric: t between/to events
SSD methods available for most common models
Negative Binomial, Poisson, Andersen-Gill; one less barrier
GSD methods available for recurrent events growing
Approx. work adequately for standard Phase III assumptions
Further information at Statsols.com
Questions?
Thank You
info@statsols.com
Statsols.com/trial
For video tutorials
and worked examples
Statsols.com/start
The solution for optimizing clinical trials
PRE-CLINICAL
/ RESEARCH
EARLY PHASE
CONFIRMATORY
POSTMARKETING
Animal Studies
ANOVA / ANCOVA
1000+ Scenarios for Fixed Term,
Adaptive & Bayesian Methods
Survival, Means, Proportions &
Count endpoints
Sample Size Re-Estimation
Group Sequential Trials
Bayesian Assurance
Cross over & personalized medicine
CRM
MCP-Mod
Simon’s Two Stage
Cohort Study
Case-control Study
Cameron, A. C., & Trivedi, P. K. (2013). Regression analysis of count data. Cambridge
university press.
Cook, R. J., & Lawless, J. (2007). The statistical analysis of recurrent events. Springer Science
& Business Media.
The Analysis of Recurrent Events: A Summary of Methodology; J Rogers, Oxford:
https://www.psiweb.org/docs/default-source/resources/psi-subgroups/scientific/2016/time-
to-event-and-recurrent-event-endpoints/jrogers.pdf?sfvrsn=a86d2db_2
Lehr, R. (1992). Sixteen S‐squared over D‐squared: A relation for crude sample size estimates.
Statistics in medicine, 11(8), 1099-1102.
Signorini, D. F. (1991). Sample size for Poisson regression. Biometrika, 78(2), 446-450.
Gu, K., Ng, H. K. T., Tang, M. L., & Schucany, W. R. (2008). Testing the ratio of two poisson
rates. Biometrical Journal, 50(2), 283-298.
References
References
Zhu, H. (2017). Sample size calculation for comparing two poisson or negative binomial rates
in noninferiority or equivalence trials. Statistics in Biopharmaceutical Research, 9(1), 107-
115.
Zhu, H., & Lakkis, H. (2015). Sample size calculation for comparing two negative binomial
rates. Statistics in medicine, 33(3), 376-387.
Tang, Y. (2015). Sample size estimation for negative binomial regression comparing rates of
recurrent events with unequal follow-up time. Journal of biopharmaceutical statistics, 25(5),
1100-1113.
Tang, Y. (2017). Sample size for comparing negative binomial rates in noninferiority and
equivalence trials with unequal follow-up times. Journal of biopharmaceutical statistics, 1-17.
Tang, Y., & Fitzpatrick, R. (2019). Sample size calculation for the Andersen‐Gill model
comparing rates of recurrent events. Statistics in Medicine, 38(24), 4819-4827.
References
Dransfield, M. T., et. al. (2013). Once-daily inhaled fluticasone furoate and vilanterol versus
vilanterol only for prevention of exacerbations of COPD: two replicate double-blind, parallel-
group, randomised controlled trials. The lancet Respiratory medicine, 1(3), 210-223.
Jennison, C., & Turnbull, B. W. (1999). Group sequential methods with applications to clinical
trials. CRC Press.
Cook R. & Lawless J. (1996). Interim monitoring of longitudinal comparative studies with
recurrent event responses. Biometrics 52: 1311–1323.
Mütze, T., Glimm, E., Schmidli, H., & Friede, T. (2019). Group sequential designs for negative
binomial outcomes. Statistical methods in medical research, 28(8), 2326-2347.
Mutze, T., E. Glimm, H. Schmidli, and T. Friede. (2019). Group sequential designs with robust
semiparametric recurrent event models. Statistical Methods in Medical Research

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Designing studies with recurrent events | Model choices, pitfalls and group sequential design

  • 1. DESIGNING STUDIES WITH RECURRENT EVENTS Model choices, pitfalls and group sequential design DEMONSTRATED ON
  • 2.  Head of Statistics  nQuery Lead Researcher  FDA Guest Speaker  Guest Lecturer Webinar Host HOSTED BY: Ronan Fitzpatrick
  • 3. AGENDA 1. Recurrent Event Data and Models Introduction 2. Sample Size for Recurrent Event Models 3. Group Sequential Design for Recurrent Events 4. Conclusions and Discussion
  • 4. The complete trial design platform to make clinical trials faster, less costly and more successful The solution for optimizing clinical trials
  • 5. In 2019, 90% of organizations with clinical trials approved by the FDA used nQuery
  • 7. Recurrent Events Overview Recurrent event processes are endpoints where subject can have >1 informative event in time period Common endpoint in clinical trials esp. chronic diseases  COPD/asthma exacerbations, MS relapses, migraines, seizures Similar considerations and methods also relevant in case of count data e.g. imaging, epidemiology Should use events/counts “as-is” for better estimation but historically often “simplified” to other endpoints
  • 8. Recurrent Event Analysis Approaches Event Rate Models: Estimate # of events per time unit  Parametric models for (constant over time) event rate ratio  e.g. Poisson (incl. quasi-P), negative binomial (both ZI, ZT) Time-to-Events Models: Time(s) between/til next event  Semi-parametric models for hazard from each event  e.g. Andersen-Gill, Wei-Lin-Weissfeld, Prentice-Williams- Peterson Mean Cumulative Event Function: E(Events) at time t  Non-parametric method for cumulative E’s e.g. Nelson-Aalen
  • 9. Issues in Recurrent Event Analysis What is the question/target of interest in study?  Use event rate, time between events, # of events?  Compare groups via rate ratio, # events, intensity/HR?  Interested in first K events, later events, more intense events? What assumptions are reasonable for data?  Independent events, non-informative censoring,  Event process differs per subject, process changes over time  Some events more important, effect of terminal events
  • 10. Count Model Examples 1 Poisson Model Event Rates, rate ratio, constant rate 2 Negative Binomial Event Rates, RR, event rate/subject 3 Andersen-Gill Time-to-Events, intensity/hazard of all E 4 Wei-Lin-Weissfeld Time-to-Events, time til 1st K events, HR 5 Prentice-Williams-Peterson Time-to-Events, gap between 1st K E’s, HR 6 MCF Non-parametric, # events at time t 7 Approximate Models Survival models (1st E), t-test, event “rates”
  • 11. Sample Size for Recurrent Event Models Part 2
  • 12. Example Models for SSD 1) Poisson: Signorini (1991), Lehr (1992), Gu et .al. (2008)  Parametric model for rate ratio, assumes constant rate ratio  Rate constant over time, same rate per subject unless quasi-P 2) Negative Binomial: Zhu & Lakkis (2014), Tang (2015,18)  Parametric model for rate ratio, assumes constant rate ratio  Rate constant over T, Poisson rate/subject from gamma dist. 3) Andersen-Gill: Bernardo & Harrington (2001), Tang & Fitzpatrick (2019)  Semi-Parametric for intensity/hazard, assume constant RR here  Arbitrary rate over T (e.g. Weibull), need proportional hazards
  • 13. Sample Size for Recurrent Events SSD initially focussed on simple approx. assuming Poisson (e.g. √) More work done for Poisson regression (& Quasi-Poisson Recent work on Neg. Binomial and extend it & Poisson for unequal follow-up, dropout & NI/equiv SSD also derived for Andersen-Gill incl. flexible approach for design and hazard function assumptions Source: R. Lehr (1992) Source: H. Zhu & H. Lakkis (2014) Source: Y. Tang (2015) Source: D. Signorini (1991) Source: Y. Tang & R. Fitzpatrick (2019)
  • 14. Worked Example 1 “On the basis of previous studies of fluticasone propionate–salmeterol combinations we assumed a yearly exacerbation rate with vilanterol of 1·4 and a dispersion parameter of 0·7. Thus, we calculated that a sample size of 390 assessable patients per group in each study would provide each study with 90% power to detect a 25% reduction in exacerbations in the fluticasone furoate and vilanterol groups versus the vilanterol only group at a two-sided 5% significance level” Source: Lancet Respiratory Medicine (2013) Parameter Value Significance Level (Two-Sided) 0.05 Control Incidence Rate (per year) 1.4 Rate Ratio 0.75 Exposure Time (Years) 1 Dispersion Parameter 0.7 Power (%) 90% Negative Binomial/ Recurrent Events Example
  • 15. Group Sequential Design for Recurrent Events Part 3
  • 16. Group Sequential Designs (GSD) “Group sequential trials can provide ethical and efficiency advantages by reducing the expected sample size and calendar time of clinical trials and by accelerating the approval of effective new treatments. For example, a group sequential design with a single interim analysis and can reduce the expected sample size of the trial by roughly 15 percent relative to a comparable non-adaptive trial.” GSD allows interim analyses to stop early Interim: look while trial is on-going Looks occur at pre-specified times E.g. After 50% subjects measured Can stop for benefit and/or futility Neither? Continue until end/next look However, need to account for effect of multiple analyses Do by “spending” error at each look
  • 17. GSD Details 2 early stopping criteria (work similar) 1. Efficacy (α-spending) 2. Futility (β-spending) Use “spending function” to account for multiple analyses/”chances”  Spend proportion of total error at each look  More conservative N vs. fixed term analysis Multiple SF available (incl. custom)  O’Brien-Fleming (conservative), Pocock (liberal), Power, Hwang-Shih-DeCani (flexible) Different heuristics for efficacy/futility  Conservative SF expected for efficacy  More flexibility for futility (less problematic) 𝛼 𝜏 = 2 1 − Φ 𝑧 𝛼/2 𝜏 O’Brien-Fleming Spending Function
  • 18. Recurrent Events GSD Issues Appropriate MLE and test for GST  Normal approx. if t same per subject?  For NB, no closed form if t differs How turn info. time into “real” time  Info. time related to follow-up times, n, rates and dispersion parameter  Equal t ~ Means, Unequal ~ TTE Type I Error ↑ if low N/high κ  No Exact, some proposed altered stats  t-distribution GSD better for low N Source: Mütze, T., Glimm, E., Schmidli, H., & Friede, T. (2019).
  • 19. Group Sequential Design for Negative Binomial Parameter Value Number of Looks 3 Efficacy Bound O’Brien Fleming Futility Bound Non-Binding Beta Spending Function Hwang-Shih-DeCani HSD Parameter -1.25 Extend previous example to group sequential design with 2 interim analyses with O’Brien Fleming efficacy bound and non-binding Hwang-Shih-DeCani futility bound with gamma = -1.25 Worked Example 2 Source: Lancet Respiratory Medicine (2013) Parameter Value Significance Level (Two-Sided) 0.05 Control Incidence Rate (per year) 1.4 Rate Ratio 0.75 Exposure Time (Years) 1 Dispersion Parameter 0.7 Power (%) 90%
  • 20. Discussion and Conclusions Recurrent Events/Count data common in clinical trials Move away from approximations to modelling process fully Variety of models depending on scientific question Parametric: event rate; Semi-parametric: t between/to events SSD methods available for most common models Negative Binomial, Poisson, Andersen-Gill; one less barrier GSD methods available for recurrent events growing Approx. work adequately for standard Phase III assumptions
  • 21. Further information at Statsols.com Questions? Thank You info@statsols.com
  • 23. For video tutorials and worked examples Statsols.com/start
  • 24. The solution for optimizing clinical trials PRE-CLINICAL / RESEARCH EARLY PHASE CONFIRMATORY POSTMARKETING Animal Studies ANOVA / ANCOVA 1000+ Scenarios for Fixed Term, Adaptive & Bayesian Methods Survival, Means, Proportions & Count endpoints Sample Size Re-Estimation Group Sequential Trials Bayesian Assurance Cross over & personalized medicine CRM MCP-Mod Simon’s Two Stage Cohort Study Case-control Study
  • 25. Cameron, A. C., & Trivedi, P. K. (2013). Regression analysis of count data. Cambridge university press. Cook, R. J., & Lawless, J. (2007). The statistical analysis of recurrent events. Springer Science & Business Media. The Analysis of Recurrent Events: A Summary of Methodology; J Rogers, Oxford: https://www.psiweb.org/docs/default-source/resources/psi-subgroups/scientific/2016/time- to-event-and-recurrent-event-endpoints/jrogers.pdf?sfvrsn=a86d2db_2 Lehr, R. (1992). Sixteen S‐squared over D‐squared: A relation for crude sample size estimates. Statistics in medicine, 11(8), 1099-1102. Signorini, D. F. (1991). Sample size for Poisson regression. Biometrika, 78(2), 446-450. Gu, K., Ng, H. K. T., Tang, M. L., & Schucany, W. R. (2008). Testing the ratio of two poisson rates. Biometrical Journal, 50(2), 283-298. References
  • 26. References Zhu, H. (2017). Sample size calculation for comparing two poisson or negative binomial rates in noninferiority or equivalence trials. Statistics in Biopharmaceutical Research, 9(1), 107- 115. Zhu, H., & Lakkis, H. (2015). Sample size calculation for comparing two negative binomial rates. Statistics in medicine, 33(3), 376-387. Tang, Y. (2015). Sample size estimation for negative binomial regression comparing rates of recurrent events with unequal follow-up time. Journal of biopharmaceutical statistics, 25(5), 1100-1113. Tang, Y. (2017). Sample size for comparing negative binomial rates in noninferiority and equivalence trials with unequal follow-up times. Journal of biopharmaceutical statistics, 1-17. Tang, Y., & Fitzpatrick, R. (2019). Sample size calculation for the Andersen‐Gill model comparing rates of recurrent events. Statistics in Medicine, 38(24), 4819-4827.
  • 27. References Dransfield, M. T., et. al. (2013). Once-daily inhaled fluticasone furoate and vilanterol versus vilanterol only for prevention of exacerbations of COPD: two replicate double-blind, parallel- group, randomised controlled trials. The lancet Respiratory medicine, 1(3), 210-223. Jennison, C., & Turnbull, B. W. (1999). Group sequential methods with applications to clinical trials. CRC Press. Cook R. & Lawless J. (1996). Interim monitoring of longitudinal comparative studies with recurrent event responses. Biometrics 52: 1311–1323. Mütze, T., Glimm, E., Schmidli, H., & Friede, T. (2019). Group sequential designs for negative binomial outcomes. Statistical methods in medical research, 28(8), 2326-2347. Mutze, T., E. Glimm, H. Schmidli, and T. Friede. (2019). Group sequential designs with robust semiparametric recurrent event models. Statistical Methods in Medical Research