Partial update to results, fixing appencicies.

main
will king 1 year ago
parent fb644c6c5d
commit fff56b52ea

@ -94,15 +94,19 @@ completion of clinical trials\\ \small{Preliminary Draft}}
\printbibliography
\newpage
\appendix
%---------------------------------------------------------------
\section{Appendicies}
\section{Diagnostics}\label{Appendix:Diagnostics}
%---------------------------------------------------------------
\subfile{sections/21_appendix_diagnostics}
%---------------------------------------------------------------
\section{Other Statistical Results}\label{Appendix:Results}
%---------------------------------------------------------------
\subfile{sections/22_appendix_full_results}
\newpage
\tableofcontents
\end{document}
% NOTES:
%
%

@ -71,33 +71,6 @@ not represented at all.
\label{FIG:barchart_idc_categories}
\end{figure}
% Estimation Procedure
I fit the econometric model using mc-stan
\cite{standevelopmentteam_StanModelling_2022}
through the rstan
\cite{standevelopmentteam_RStanInterface_2023}
interface using 4 chains with
%describe
2,500
warmup iterations and
2,500
sampling iterations each.
Two of the chains experienced a low
Estimated Baysian Fraction of Missing Information (E-BFMI) ,
suggesting that there are some parts of the posterior distribution
that were not explored well during the model fitting.
I presume this is due to the low number of trials in some of the
ICD-10 categories.
We can see in Figure \ref{fig:barchart_idc_categories} that some of these
disease categories had a single trial represented while others were
not represented at all.
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/trials_details/CategoryCounts}
\caption{Bar chart of trials by ICD-10 categories}
\label{fig:barchart_idc_categories}
\end{figure}
\subsection{Primary Results}
@ -111,7 +84,6 @@ keeping enrollment open.
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/dist_diff_analysis/p_delay_intervention_distdiff_boxplot}
\todo{Replace this graphic with the histdiff with boxplot}
\small{
Values near 1 indicate a near perfect increase in the probability
of termination.
@ -128,16 +100,14 @@ keeping enrollment open.
There are a few interesting things to point out here.
Let's start by getting aquainted with the details of the distribution above.
It can be devided into a few different regimes.
% - spike at 0
% - the boxplot
% - 63% of mass below 0 : find better way to say that
% - For a random trial, there is a 63% chance that the impact is to reduce the probability of a termination.
% - 2 pctg-point wide band centered on 0 has ~13% of the masss
% - mean represents 9.x% increase in probability of termination. A quick simulation gives about the same pctg-point increase in terminated trials.
A few interesting interpretation bits come out of this.
% - there are 3 regimes: low impact (near zero), medium impact (concentrated in decreased probability of termination), and high impact (concentrated in increased probability of termination).
The first this that there appear to be three different regimes.
The first regime consists of the low impact results, i.e. those values of $\delta_p$
near zero.
About 13\% of trials lie within a single percentage point change of zero,
@ -155,71 +125,57 @@ from a case where they were highly likely to complete their primary objectives t
a case where they were likely or almost certain to terminate the trial early.
% - the high impact regime is strange because it consists of trials that moved from unlikely (<20% chance) of termination to a high chance (>80% chance) of termination. Something like 5% of all trials have a greater than 98 percentage point increase in termination. Not sure what this is doing.
% - Potential Explanations for high impact regime:
How could this intervention have such a wide range in the intensity
and direction of impacts?
A few explanations include that some trials are suceptable or that this is a
result of too little data.
% - Some trials are highly suceptable. This is the face value effect
One option is that some categories are more suceptable to
issues with participant enrollment.
If this is the case, we should be able to isolate categories that contribute
the most to this effect.
Another is that this might be a modelling artefact, due to the relatively
low number of trials in certain ICD-10 categories.
In short, there might be high levels of uncertanty in some parameter values,
which manifest as fat tails in the distributions of the $\beta$ parameters.
Because of the logistic format of the model, these fat tails lead to
extreme values of $p$, and potentally large changes $\delta_p$.
% - Could be uncertanty. If the model is highly uncertain, e.g. there isn't enough data, we could have a small percentage of large increases. This could be in general or just for a few categories with low amounts of data.
% -
% -
I believe that this second explanation -- a model artifact due to uncertanty --
is likely to be the cause.
Three points lead me to believe this:
\begin{itemize}
\item The low fractions of E-BFMI suggest that the sampler is struggling
to explore some regions of the posterior.
According to \cite{standevelopmentteam_RuntimeWarnings_2022} this is
often due to thick tails of posterior distributions.
\item When we examine the results across different ICD-10 groups,
\ref{fig:pred_dist_dif_delay2}
\todo{move figure from below}
we note this same issue.
\item In Figure \ref{fig:betas_delay}, we see that some some ICD-10 categories
\todo{add figure}
have \todo{note fat tails}.
\item There are few trials available, particularly among some specific
ICD-10 categories.
\end{itemize}
% - take a look at beta values and then discuss if that lines up with results from dist-diff by group.
% - My initial thought is that there is not enough data/too uncertain. I think this because it happens for most/all of the categories.
% -
% -
% -
Overally it is hard to escape the conclusion that more data is needed across
many -- if not all -- of the disease categories.
Figure \ref{fig:pred_dist_dif_delay2} shows how this overall
result comes from different disease categories.
Based on the boxplot below, there are a couple of things to note.
First, the median effect is a 2.3 percentage point decrease
in the probability of termination.
Second, for a random selction from our trials,
there is a 63\% chance that the impact is to
reduce the probability of a termination.
Third, about 13\% of the probability mass is contained within the interval
[-0.1,0.1].
Finally, the mean effect is measured as a 9.6 percentage point increase in
the probability of termination.
The full percentile table can be found in
\ref{TABLE:PercentilesOfDistributionOfDifferences}
in appendix
\ref{Appendix:Results}
% Looking at the spike around zero, we find that 13.09% of the probability mass
% is contained within the band from [-1,1].
% Additionally, there was 33.4282738% of the probability above that
% representing those with a general increase in the
% probability of termination and 53.4817262% of the probability mass
% below the band representing a decrease in the probability of termination.
% On average, if you keep the trial open instead of closing it, 0.6337363% of
% trials will see a decrease in the probability of termination, but, due to
% the high increase in probability of termination given termination was
% increased, the mean probability of termination increases by 0.0964726.
% Pulled the data from the report
% ```{r}
% summary(pddf_ib$value)
% Min. 1st Qu. Median Mean 3rd Qu. Max.
% -0.99850 -0.12919 -0.02259 0.09647 0.14531 1.00000
% quants <- quantile(pddf_ib$value, probs = seq(0,1,0.05), type=4)
% # Convert to a data frame
% quant_df <- data.frame( Percentile = names(quants), Value = quants )
% kable(quant_df)
% Percentile Value
% SEE TABLE IN APPENDIX
%```
Figure \ref{fig:pred_dist_dif_delay2} shows how the different disease categories
tend to have a similar results:
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/dist_diff_analysis/p_delay_intervention_distdiff_by_group}
\caption{Distribution of Predicted differences by Disease Group}
\label{fig:pred_dist_dif_delay2}
\end{figure}
Again, note the high mass near zero, the general decrease in the probability
of termination, and then the strong upper tails.
\subsection{Secondary Results}
% Examine beta parameters
% - Little movement except where data is strong, general negative movement. Still really wide
% - Note how they all learned (partial pooling) reduction in \beta from ANR?
% - Need to discuss the 5 different states. Can't remember which one is dropped for the life of me. May need to fix parameterization.
% -
Continuing to the $\beta$ parameters,
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/betas/parameter_across_groups/parameters_12_status_ANR}
\caption{Distribution of parameters associated with ``Active, not recruiting'' status, by ICD-10 Category}
@ -227,147 +183,66 @@ result comes from different disease categories.
\end{figure}
% -
\subsection{Primary Results}
The primary, causally-identified value we can estimate is the change in
the probability of termination caused by (counterfactually) keeping enrollment
open instead of closing enrollment when observed.
In figure \ref{fig:pred_dist_diff_delay} below, we see this impact of
keeping enrollment open.
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/dist_diff_analysis/p_delay_intervention_distdiff_boxplot}
\small{
Values near 1 indicate a near perfect increase in the probability
of termination.
Values near 0 indicate little change in probability,
while values near -1, represent a decrease in the probability
of termination.
The scale is in probability points, thus a value near 1 is a change
from unlikely to terminate under control, to highly likely to
terminate.
}
\caption{Histogram of the Distribution of Predicted Differences}
\label{fig:pred_dist_diff_delay}
\end{figure}
There are a few interesting things to point out here.
Let's start by getting aquainted with the details of the distribution above.
% - spike at 0
% - the boxplot
% - 63% of mass below 0 : find better way to say that
% - For a random trial, there is a 63% chance that the impact is to reduce the probability of a termination.
% - 2 pctg-point wide band centered on 0 has ~13% of the masss
% - mean represents 9.x% increase in probability of termination. A quick simulation gives about the same pctg-point increase in terminated trials.
A few interesting interpretation bits come out of this.
% - there are 3 regimes: low impact (near zero), medium impact (concentrated in decreased probability of termination), and high impact (concentrated in increased probability of termination).
The first this that there appear to be three different regimes.
The first regime consists of the low impact results, i.e. those values of $\delta_p$
near zero.
About 13\% of trials lie within a single percentage point change of zero,
suggesting that there is a reasonable chance that delaying
a close of enrollment has no impact.
The second regime consists of the moderate impact on clinical trials'
probabilities of termination, say values in the interval $[-0.5, 0.5]$
on the graph.
Most of this probability mass is represents a decrease in the probability of
a termination, some of it rather large.
Finally, there exists the high impact region, almost exclusively concentrated
around increases in the probability of termination at $\delta_p > 0.75$.
These represent cases where delaying the close of enrollemnt changes a trial
from a case where they were highly likely to complete their primary objectives to
a case where they were likely or almost certain to terminate the trial early.
% - the high impact regime is strange because it consists of trials that moved from unlikely (<20% chance) of termination to a high chance (>80% chance) of termination. Something like 5% of all trials have a greater than 98 percentage point increase in termination. Not sure what this is doing.
Finally, in figure \ref{fig:parameters_ANR_by_group}, we can see the estimated distributions of the $\beta$ parameter for
the status: \textbf{Active, not recruiting}.
The prior distributions were centered on zero, but we can see that the pooled learning has moved the mean
values negative, representing reductions in the probability of termination across the board.
This decrease in the probability of termination is strongest in the categories of Neoplasms ($n=49$),
Musculoskeletal diseases ($n=17$), and Infections and Parasites ($n=20$), the three categories with the most data.
As this is a comparison against the trial status XXX, we note that
\todo{The natural comparison I want to make is against the Recruting status. Do I want to redo this so that I can read that directly?It shouldn't affect the $\delta_p$ analysis, but this could probably use it. YES, THIS UPDATE NEEDS TO HAPPEN. The base needs to be ``active not recruiting.''}
Overall, this suggests that extending a clinical trial's enrollment period will reduce the probability of termination.
% - Potential Explanations for high impact regime:
How could this intervention have such a wide range in the intensity
and direction of impacts?
A few explanations include that some trials are suceptable or that this is a
result of too little data.
This leads to the question:
``How could this intervention have such a wide range in the intensity
and direction of impacts?''
The most likely explanations in my mind are that either
some trials are highly suceptable to enrollment struggles or that this is a
modelling artifact.
% - Some trials are highly suceptable. This is the face value effect
One option is that some categories are more suceptable to
issues with participant enrollment.
If this is the case, we should be able to isolate categories that contribute
the most to this effect.
Another is that this might be a modelling artefact, due to the relatively
low number of trials in certain ICD-10 categories.
The first option -- that some categories are more suceptable to
issues with participant enrollment -- should allow us to
isolate categories or trials that contribute the most to this effect.
In figure
\ref{fig:pred_dist_dif_delay2}, it appears that most of the trials have
this high impact regime at $\delta_p > 0.75$.
Another explanation is that this is a modelling artefact due to priors
with strong tails and the relatively low number of trials in
each ICD-10 categories.
In short, there might be high levels of uncertanty in some parameter values,
which manifest as fat tails in the distributions of the $\beta$ parameters.
Because of the logistic format of the model, these fat tails lead to
extreme values of $p$, and potentally large changes $\delta_p$.
% - Could be uncertanty. If the model is highly uncertain, e.g. there isn't enough data, we could have a small percentage of large increases. This could be in general or just for a few categories with low amounts of data.
% -
% -
I believe that this second explanation -- a model artifact due to uncertanty --
is likely to be the cause.
Three points lead me to believe this:
A few things lead me to believe this:
\begin{itemize}
\item The low fractions of E-BFMI suggest that the sampler is struggling
to explore some regions of the posterior.
According to
\authorcite{standevelopmentteam_runtimewarningsconvergence_2022}
this is
often due to thick tails of posterior distributions.
\item When we examine the results across different ICD-10 groups,
According to \cite{standevelopmentteam_RuntimeWarnings_2022} this is
often due to thick tails of posterior distributions.
During earlier analysis, when I had about 100 trials, the number of
warnings was significantly higher.
\item When we examine the results across different ICD-10 category,
\ref{fig:pred_dist_dif_delay2}
we note this same issue.
\item In Figure \ref{fig:parameters_ANR_by_group}, we see that some
ICD-10 categories have
\todo{note fat tails}.
\item There are few trials available, particularly among some specific
ICD-10 categories.
\todo{refer to figure ??}
\end{itemize}
\todo{Reformat so this refers to the original discussion of issues better.}
% - take a look at beta values and then discuss if that lines up with results from dist-diff by group.
% - My initial thought is that there is not enough data/too uncertain. I think this because it happens for most/all of the categories.
% -
% -
% -
We can examine the per-group distributions of differences in \ref{fig:pred_dist_dif_delay2} to
acertain that the high impact group does exist in each of the groups.
This lends credence to the idea that this is a modelling issue, potentially
due to the low amounts of data overall.
Figure \ref{fig:pred_dist_dif_delay2} shows how this overall
result comes from different disease categories.
\begin{figure}
\includegraphics[width=\textwidth]{../assets/img/dist_diff_analysis/p_delay_intervention_distdiff_by_group}
\caption{Distribution of Predicted differences by Disease Group}
\label{fig:pred_dist_dif_delay2}
\end{figure}
we note that most categories have the same upper tail spike.
\item In Figure
% \ref{fig:betas_delay},
\ref{fig:parameters_ANR_by_group},
we see that most ICD-10 categories
have fat tails in the $\beta$s, even among the categories
relatively larger sample sizes.
% Examine beta parameters
% - Little movement except where data is strong, general negative movement. Still really wide
% - Note how they all learned (partial pooling) reduction in \beta from ANR?
% - Need to discuss the 5 different states. Can't remember which one is dropped for the life of me. May need to fix parameterization.
% -
Finally, in figure \ref{fig:parameters_ANR_by_group}, we can see the estimated distributions of the $\beta$ parameter for
the status: \textbf{Active, not recruiting}.
The prior distributions were centered on zero, but we can see that the pooled learning has moved the mean
values negative, representing reductions in the probability of termination across the board.
This decrease in the probability of termination is strongest in the categories of Neoplasms ($n=$),
Musculoskeletal diseases ($n=$), and Infections and Parasites ($n=$), the three categories with the most data.
As this is a comparison against the trial status XXX, we note that
\todo{The natural comparison I want to make is against the Recruting status. Do I want to redo this so that I can read that directly?It shouldn't affect the $\delta_p$ analysis, but this could probably use it.}
Overall, this suggests that extending a clinical trial's enrollment period will reduce the probability of termination.
\begin{figure}[H]
\includegraphics[width=\textwidth]{../assets/img/betas/parameter_across_groups/parameters_12_status_ANR}
\caption{Distribution of parameters associated with ``Active, not recruiting'' status, by ICD-10 Category}
\label{fig:parameters_ANR_by_group}
\end{figure}
% -
\end{itemize}
Overall it is hard to escape the conclusion that more data is needed across
Overally it is hard to escape the conclusion that more data is needed across
many -- if not all -- of the disease categories.
At the same time, the median result is a decrease in the probability
of termination when the enrollment period is held open.
\end{document}

@ -31,7 +31,8 @@ one form of operational failure
in Phase III clinical trials.
Using a novel dataset constructed from administrative data registered on
ClinicalTrials.gov, I exploit variation in enrollment timing and market
conditions to identify how extending the enrollment period affects trial completion.
conditions to identify how extending the enrollment period
affects trial completion.
Specifically, I answer the question:
\textit{
``How does the probability of trial termination change
@ -43,199 +44,18 @@ pipeline and progression between clinical trial phases.
% In 1938 President Franklin D Rosevelt signed the Food, Drug, and Cosmetic Act,
% granting the Food and Drug Administration (FDA) authority to require
% pre-market approval of pharmaceuticals.
% \cite{commissioner_milestonesusfood_2023}
% As of Sept 2022 \todo{Check Date} they have approved 6,602 currently-marketed
% compounds with Structured Product Labels (SPLs)
% and 10,983 previously-marketed SPLs
% \cite{commissioner_nsde_2024},
% %from nsde table. Get number of unique application_nubmers_or_citations with most recent end date as null.
% In 1999, they began requiring that drug developers register and
% publish clinical trials on \url{https://clinicaltrials.gov}.
% This provides a public mechanism where clinical trial sponsors are
% responsible to explain what they are trying to acheive and how it will be
% measured, as well as provide the public the ability to search and find trials
% that they might enroll in.
% Multiple derived datasets such as the Cortellis Investigational Drugs dataset
% or the AACT dataset from the Clinical Trials Transformation Intiative
% integrate these data.
% This brings up a question:
% Can we use this public data on clinical trials to identify what effects the
% success or failure of trials?
% In this work, I use updates to records on
% \url{https://ClinicalTrials.gov}
% to do exactly that, disentangle the effect of participant enrollment
% and competing drugs on the market affect the success or failure of
% clinical trials.
\subsection{Background}
%Describe how clinical trials fit into the drug development landscape and how they proceed
Clinical trials are a required part of drug development.
Not only does the FDA require that a series of clinical trials demonstrate sufficient safety and efficacy of
a novel pharmaceutical compound or device, producers of derivative medicines may be required to ensure that
their generic small molecule compound -- such as ibuprofen or levothyroxine -- matches the
performance of the originator drug if delivery or dosage is changed.
For large molecule generics (termed biosimilars) such as Adalimumab
(Brand name Humira, with biosimilars Abrilada, Amjevita, Cyltezo, Hadlima, Hulio,
Hyrimoz, Idacio, Simlandi, Yuflyma, and Yusimry),
the biosimilars are required to prove they have similar efficacy and safety to the
reference drug.
%TODO? Decide whether to include this or not
%When registering these clinical trials
% discuss how these are registered and what data is published.
% Include image and discuss stages
% Discuss challenges faced
% Introduce my work
In the world of drug development, these trials are classified into different
phases of development\footnote{
\cite{anderson_fdadrugapproval_2022}
provide an overview of this process
while
\cite{commissioner_drugdevelopmentprocess_2020}
describes the process in detail.}.
Pre-clinical studies primarily establish toxicity and potential dosing levels.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase I trials are the first attempt to evaluate safety and efficacy in humans.
Participants typically are healthy individuals, and they measure how the drug
affects healthy bodies, potential side effects, and adjust dosing levels.
Sample sizes are often less than 100 participants.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase II trials typically involve a few hundred participants and is where
investigators will dial in dosing, research methods, and safety.
% \cite{commissioner_drugdevelopmentprocess_2020}.
A Phase III trial is the final trial before approval by the FDA, and is where
the investigator must demonstrate safety and efficacy with a large number of
participants, usually on the order of hundreds or thousands.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Occasionally, a trial will be a multi-phase trial, covering aspects of either
Phases I and II or Phases II and III.
After a successful Phase III trial, the sponsor will decide whether or not
to submit an application for approval from the FDA.
Before filing this application, the developer must have completed
``two large, controlled clinical trials.''
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase IV trials are used after the drug has received marketing approval to
validate safety and efficacy in the general populace.
Throughout this whole process, the FDA is available to assist in decision-making
regarding topics such as study design, document review, and whether
they should terminate the trial.
The FDA also reserves the right to place a hold on the clinical trial for
safety or other operational concerns, although this is rare.
\cite{commissioner_drugdevelopmentprocess_2020}.
In the economics literature, most of the focus has been on describing how
drug candidates transition between different phases and their probability
of final approval.
% Lead into lit review
% Abrantes-Metz, Adams, Metz (2004)
\authorcite{abrantes-metz_pharmaceuticaldevelopmentphases_2004}
described the relationship between
various drug characteristics and how the drug progressed through clinical trials.
% This descriptive estimate was notable for using a
% mixed state proportional hazard model and estimating the impact of
% observed characteristics in each of the three phases.
They found that as Phase I and II trials last longer,
the rate of failure increases.
In contrast, Phase 3 trials generally have a higher rate of
success than failure after 91 months.
This may be due to the fact that the purpose of Phases I and II are different
from the purpose of Phase III.
Continuing on this theme,
%DiMasi FeldmanSeckler Wilson 2009
\authorcite{dimasi_trendsrisksassociated_2010}
examine the completion rate of clinical drug
development and find that for the 50 largest drug producers,
approximately 19\% of their drugs under development between 1993 and 2004
successfully moved from Phase I to receiving an New Drug Application (NDA)
or Biologics License Application (BLA).
They note a couple of changes in how drugs are developed over the years they
study, most notably that
drugs began to fail earlier in their development cycle in the
latter half of the time they studied.
They note that this may reduce the cost of new drugs by eliminating late
and costly failures in the development pipeline.
Earlier work by
\authorcite{dimasi_valueimprovingproductivity_2002}
used data on 68 investigational drugs from 10 firms to simulate how reducing
time in development reduces the costs of developing drugs.
He estimates that reducing Phase III of clinical trials by one year would
reduce total costs by about 8.9\% and that moving 5\% of clinical trial failures
from phase III to Phase II would reduce out of pocket costs by 5.6\%.
A key contribution to this drug development literature is the work by
\authorcite{khmelnitskaya_competitionattritiondrug_2021}
who created a causal identification strategy
to disentangle strategic exits from exits due to clinical failures
in the drug development pipeline.
She found that overall 8.4\% of all pipeline exits are due to strategic
terminations and that the rate of new drug production would be about 23\%
higher if those strategic terminatations were eliminated.
The work that is closest to mine is the work by
\authorcite{hwang_failureinvestigationaldrugs_2016}
who investigated causes for which late stage (Phase III)
clinical trials fail -- with a focus on trials in the USA,
Europe, Japan, Canada, and Australia.
They identified 640 novel therapies and then studied each therapy's
development history, as outlined in commercial datasets.
They found that for late stage trials that did not go on to receive approval,
57\% failed on efficacy grounds, 17\% failed on safety grounds, and 22\% failed
on commercial or other grounds.
Unfortunately the work of both
\authorcite{hwang_failureinvestigationaldrugs_2016}
and
\authorcite{khmelnitskaya_competitionattritiondrug_2021}
ignore a potentially large cause of failures: operational challenges, i.e. when
issues running or funding the trial cause it to fail before achieving its
primary objective.
In a personal review of 199 randomly selected clinical trials which terminated
before achieving their primary objective,
I found that
14.5\% cited safety or efficacy concerns,
9.1\% cited funding problems (an operational concern),
and
31\% cited enrollment issues (a separate operational concern)\footnote{
Note that these figures differ from
\authorcite{hwang_failureinvestigationaldrugs_2016}
because I sampled from all stages of trials, not just Phase III trials
focused on drug development.
}.
The main contribution of this work is the model I develop to separate
the causal effects of
market conditions (a strategic concern) from the effects of
participant enrollment (an operational concern) on Phase III Clinical trials.
This allows me to answer the question posed earlier:
\textit{
``How does the probability of trial termination change
when the enrollment period is extended?''
}
using administrative data.
To understand how I do this, we'll cover some background information on
clinical trials and the administrative data I collected in section
\ref{SEC:ClinicalTrials},
explain the approach to causal identification, the required data,
and describe how the data used matches these requirements in section
clinical trials, the current literature,
and the administrative data I collected in section
\ref{SEC:ClinicalTrials}.
Then I'll
explain the approach to causal identification and how the data collected
matches those results,
\ref{SEC:CausalAndData}.
Then we'll cover the econometric model
(section \ref{SEC:EconometricModel})
and results (section
\ref{SEC:Results}).
and results (section \ref{SEC:Results}).
Finally, we acknowledge deficiencies in the analysis and potential improvements
in section
\ref{SEC:Improvements},

@ -92,6 +92,7 @@ or termination.
Termination occurs after enrollment has begun but before achieving the
primary objective.
Understanding why trials terminate early is the key goal of this work, but
is not straightforward.
Terminated trials typically record a
@ -109,7 +110,8 @@ led to the termination, leaving us to
use another way to infer the relative impact of operational difficulties.
To better descrobe termination causes, I suggest classifying them into
\todo{move the following}
To better describe termination causes, I suggest classifying them into
three broad categories.
The first category, Safety or Efficacy concerns, occurs when data suggests
the treatment is unsafe or unlikely to achieve its therapeutic goals.
@ -127,7 +129,152 @@ These latter two categories represent true failures of the trial process,
as they prevent us from learning whether the treatment would have
been safe and effective.
\subsection{Data Summary}
\subsection{Literature on Clinical Trials}\label{SEC:LitReview}
%Describe how clinical trials fit into the drug development landscape and how they proceed
Clinical trials are a required part of drug development.
Not only does the FDA require that a series of clinical trials demonstrate sufficient safety and efficacy of
a novel pharmaceutical compound or device, producers of derivative medicines may be required to ensure that
their generic small molecule compound -- such as ibuprofen or levothyroxine -- matches the
performance of the originator drug if delivery or dosage is changed.
For large molecule generics (termed biosimilars) such as Adalimumab
(Brand name Humira, with biosimilars Abrilada, Amjevita, Cyltezo, Hadlima, Hulio,
Hyrimoz, Idacio, Simlandi, Yuflyma, and Yusimry),
the biosimilars are required to prove they have similar efficacy and safety to the
reference drug.
In the world of drug development, these trials are classified into different
phases of development\footnote{
\cite{anderson_fdadrugapproval_2022}
provide an overview of this process
while
\cite{commissioner_drugdevelopmentprocess_2020}
describes the process in detail.}.
Pre-clinical studies primarily establish toxicity and potential dosing levels.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase I trials are the first attempt to evaluate safety and efficacy in humans.
Participants typically are healthy individuals, and they measure how the drug
affects healthy bodies, potential side effects, and adjust dosing levels.
Sample sizes are often less than 100 participants.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase II trials typically involve a few hundred participants and is where
investigators will dial in dosing, research methods, and safety.
% \cite{commissioner_drugdevelopmentprocess_2020}.
A Phase III trial is the final trial before approval by the FDA, and is where
the investigator must demonstrate safety and efficacy with a large number of
participants, usually on the order of hundreds or thousands.
% \cite{commissioner_drugdevelopmentprocess_2020}.
Occasionally, a trial will be a multi-phase trial, covering aspects of either
Phases I and II or Phases II and III.
After a successful Phase III trial, the sponsor will decide whether or not
to submit an application for approval from the FDA.
Before filing this application, the developer must have completed
``two large, controlled clinical trials.''
% \cite{commissioner_drugdevelopmentprocess_2020}.
Phase IV trials are used after the drug has received marketing approval to
validate safety and efficacy in the general populace.
Throughout this whole process, the FDA is available to assist in decision-making
regarding topics such as study design, document review, and whether
they should terminate the trial.
The FDA also reserves the right to place a hold on the clinical trial for
safety or other operational concerns, although this is rare.
\cite{commissioner_drugdevelopmentprocess_2020}.
In the economics literature, most of the focus has been on describing how
drug candidates transition between different phases and their probability
of final approval.
% Lead into lit review
% Abrantes-Metz, Adams, Metz (2004)
\authorcite{abrantes-metz_pharmaceuticaldevelopmentphases_2004}
described the relationship between
various drug characteristics and how the drug progressed through clinical trials.
% This descriptive estimate was notable for using a
% mixed state proportional hazard model and estimating the impact of
% observed characteristics in each of the three phases.
They found that as Phase I and II trials last longer,
the rate of failure increases.
In contrast, Phase 3 trials generally have a higher rate of
success than failure after 91 months.
This may be due to the fact that the purpose of Phases I and II are different
from the purpose of Phase III.
Continuing on this theme,
%DiMasi FeldmanSeckler Wilson 2009
\authorcite{dimasi_trendsrisksassociated_2010}
examine the completion rate of clinical drug
development and find that for the 50 largest drug producers,
approximately 19\% of their drugs under development between 1993 and 2004
successfully moved from Phase I to receiving an New Drug Application (NDA)
or Biologics License Application (BLA).
They note a couple of changes in how drugs are developed over the years they
study, most notably that
drugs began to fail earlier in their development cycle in the
latter half of the time they studied.
They note that this may reduce the cost of new drugs by eliminating late
and costly failures in the development pipeline.
Earlier work by
\authorcite{dimasi_valueimprovingproductivity_2002}
used data on 68 investigational drugs from 10 firms to simulate how reducing
time in development reduces the costs of developing drugs.
He estimates that reducing Phase III of clinical trials by one year would
reduce total costs by about 8.9\% and that moving 5\% of clinical trial failures
from phase III to Phase II would reduce out of pocket costs by 5.6\%.
A key contribution to this drug development literature is the work by
\authorcite{khmelnitskaya_competitionattritiondrug_2021}
who created a causal identification strategy
to disentangle strategic exits from exits due to clinical failures
in the drug development pipeline.
She found that overall 8.4\% of all pipeline exits are due to strategic
terminations and that the rate of new drug production would be about 23\%
higher if those strategic terminatations were eliminated.
The work that is closest to mine is the work by
\authorcite{hwang_failureinvestigationaldrugs_2016}
who investigated causes for which late stage (Phase III)
clinical trials fail -- with a focus on trials in the USA,
Europe, Japan, Canada, and Australia.
They identified 640 novel therapies and then studied each therapy's
development history, as outlined in commercial datasets.
They found that for late stage trials that did not go on to receive approval,
57\% failed on efficacy grounds, 17\% failed on safety grounds, and 22\% failed
on commercial or other grounds.
Unfortunately the work of both
\authorcite{hwang_failureinvestigationaldrugs_2016}
and
\authorcite{khmelnitskaya_competitionattritiondrug_2021}
ignore a potentially large cause of failures: operational challenges, i.e. when
issues running or funding the trial cause it to fail before achieving its
primary objective.
In a personal review of 199 randomly selected clinical trials which terminated
before achieving their primary objective,
I found that
14.5\% cited safety or efficacy concerns,
9.1\% cited funding problems (an operational concern),
and
31\% cited enrollment issues (a separate operational concern)\footnote{
Note that these figures differ from
\authorcite{hwang_failureinvestigationaldrugs_2016}
because I sampled from all stages of trials, not just Phase III trials
focused on drug development.
}.
\subsection{Introduction to \href{https://ClinicalTrials.gov}{ClinicalTrials.Gov}}
%% Describe data here
Since Sep 27th, 2007 those who conduct clinical trials of FDA controlled
drugs or devices on human subjects must register
@ -176,13 +323,18 @@ information about the past state of trials.
I combined these two sources, using the AACT dataset to select
trials of interest and then scraping \url{ClinicalTrials.gov} to get
a timeline of each trial.
The result is a series of snapshots, each documenting a specific set of
recorded changes in a trial.
It is these snapshots that provide the opportunity to estimate the
data generating process corresponding to the clinical trials for
which I have data.
%%%%%%%%%%%%%%%%%%%%%%%% Model Outline
The way I use this data is to predict the final status of the trial
from the snapshots that were taken, in effect asking:
``how does the probability of a termination change from the current state
of the trial if X changes?''
% The way I use this data is to predict the final status of the trial
% from the snapshots that were taken, in effect asking:
% ``how does the probability of a termination change from the current state
% of the trial if X changes?''
% -
% -
% -

@ -0,0 +1,39 @@
\documentclass[../Main.tex]{subfiles}
\graphicspath{{\subfix{Assets/img/}}}
\begin{document}
\begin{center}
\label{TABLE:PercentilesOfDistributionOfDifferences}
% \caption{Table of Percentiles of Distribution of Differences}
\begin{tabular}{cc}
\hline
Percentile & Value \\
\hline
0\% & -0.9985020 \\
5\% & -0.3763454 \\
10\% & -0.2639654 \\
15\% & -0.2053399 \\
20\% & -0.1628793 \\
25\% & -0.1291890 \\
30\% & -0.0980523 \\
35\% & -0.0734082 \\
40\% & -0.0547123 \\
45\% & -0.0385514 \\
50\% & -0.0225949 \\
55\% & -0.0045955 \\
60\% & -0.0000394 \\
65\% & 0.0010549 \\
70\% & 0.0509626 \\
75\% & 0.1453046 \\
80\% & 0.3425234 \\
85\% & 0.7084837 \\
90\% & 0.9250351 \\
95\% & 0.9820456 \\
100\% & 1.0000000 \\
\hline
\end{tabular}
\end{center}
\end{document}

@ -5355,7 +5355,7 @@ California 90401-3208},
file = {/home/will/Zotero/storage/KAHW2ABD/Indexing-SPL-Fact-Sheet.pdf}
}
@online{usnlm_fdaaa800finalrule,
@online{usnlm_fdaaa801finalrule,
type = {Government},
title = {{{FDAAA}} 801 and the {{Final Rule}} - {{ClinicalTrials}}.Gov},
author = {{U.S. National Library of Medicine}},

@ -5,3 +5,11 @@
Need to decide whether or not to include this set of sentences.
**** [2025-01-18 Sat 11:58] [[[[file:/home/will/research/phd_deliverables/JobMarketPaper/Paper/sections/11_intro_and_lit.tex::45]]]]
decide whether to include these details here
** 2025-W05
*** 2025-01-29 Wednesday
**** [2025-01-29 Wed 10:12] Summary of yesterday, thoughts for today
Yesterday I got my draft mostly done. I rearranged the causal inference section
fixed some references, etc.
Today I want to remove a bunch of todos, read it backwards to fix things,
and get it sent to Tom.
I'll also run it by claude.ai.

@ -4,19 +4,19 @@
**** DONE Push work to overleaf
DEADLINE: <2025-01-15 Wed> CLOSED: [2025-01-20 Mon 11:46]
*** 2025-01-17 Friday
**** TODO Redo analysis using "Recruitng" as the base status
The goal is to get the $\beta$'s for active, not recruitng.
**** TODO Fix JMP based on Tom's Suggestions and send to committee
***** TODO Get references working properly
**** DONE Fix JMP based on Tom's Suggestions and send to committee
CLOSED: [2025-01-29 Wed 10:11]
***** DONE Get references working properly
CLOSED: [2025-01-29 Wed 09:58]
- setup author date format
- fix references, add to Overleaf version
***** TODO Read Backward
Identify poorly written portions (incomplete sentences and paragraphs) and what I was trying to communicate.
***** TODO fix issues
***** DONE fix issues
CLOSED: [2025-01-29 Wed 09:58]
*** 2025-01-18 Saturday
**** TODO Decide if this section needs added
**** DONE Decide if this section needs added
CLOSED: [2025-01-29 Wed 09:58]
[[[[file:/home/will/research/phd_deliverables/JobMarketPaper/Paper/sections/11_intro_and_lit.tex::45]]]]
nope
**** RECINDED Update citations in lit review section.
CLOSED: [2025-01-20 Mon 11:47]
[[[[file:/home/will/research/phd_deliverables/JobMarketPaper/Paper/sections/05_LitReview.tex::25]]]]
@ -31,8 +31,19 @@
Realized that this was readded by mistake. I integrated lit review into intro in 11
** 2025-W04
*** 2025-01-20 Monday
**** TODO get a citation for the AACT project
**** DONE get a citation for the AACT project
CLOSED: [2025-01-29 Wed 09:55]
[[[[file:/home/will/research/phd_deliverables/JobMarketPaper/Paper/sections/10_CausalStory.tex::114]]]]
*** 2025-01-23 Thursday
**** TODO Pickup citation fixes here
**** DONE Pickup citation fixes here
CLOSED: [2025-01-29 Wed 09:55]
[[[[file:/home/will/research/phd_deliverables/JobMarketPaper/Paper/sections/06_Results.tex::174]]]]
** 2025-W05
*** 2025-01-29 Wednesday
**** TODO Review JMP, list areas that need rewritten.
***** TODO Read Backward
Identify poorly written portions (incomplete sentences and paragraphs) and what I was trying to communicate.
**** TODO Redo analysis using "Recruitng" as the base status
The goal is to get the $\beta$'s for active, not recruitng.

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