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Policy and Practice 37 Applying Community-Based Participatory Research Principles and Approaches in Clinical Trials: Forging a New Model for Cancer Clinical Research Sarena D. Seifer, MS, MD1, Margo Michaels, MPH2, and Stacy Collins, MSW2 (1) Community-Campus Partnerships for Health; (2) Education Network Access to Advance Clinical Trials Submitted 17 July 2009, revised 21 October 2009, accepted 24 November 2009. The Communities as Partners in Cancer Clinical Trials: Changing Research, Practice and Policy initiative was supported by conference grant R13-HS016471 from the Agency for Healthcare Research and Quality, with co-funding from the National Cancer Institute. Additional support was provided by the Lance Armstrong Foundation, American Society of Clinical Oncology, California Breast Cancer Research Program, and Intercultural Cancer Council; unrestricted educational funds from Genentech and GlaxoSmithKline provided additional support for the initiative. Abstract Although an estimated 20% of adult cancer patients are medically eligible for a cancer treatment clinical trial (CCT),1 adult trial participation in the U.S. remains under 3%.2–4 Participation rates are even lower among ethnic and racial minorities and the medically underserved, who tend to have higher cancer mortality rates than the population as a whole.5–7 Given persistent cancer health disparities in these populations, cancer clinical trial participation is increasingly an issue of social justice. Community-based participatory research (CBPR) approaches have been repeatedly recom mended as a key strategy for increasing and diversifying cancer clinical trial participation and enhancing their relevance and quality. In 2006, Community–Campus Partnership for Health (CCPH) and the Education Network to Advance Cancer Clinical Trials (ENACCT) received funding from the Agency for Healthcare Research and Quality and the National Cancer Institute (NCI), along with industry and nonprofit partners, to develop the first set of national recommendations to employ CBPR approaches in multisite, phase III cancer clinical trials. The Communities as Partners in Cancer Clinical Trials: Changing Research, Practice and Policy final report, developed through a national advisory committee, two stakeholder meetings and a public vetting process, makes more than fifty detailed recommen dations to engage communities in specific and meaningful ways throughout the cancer clinical trial process.1 The report is the first to provide specific guidance as to how and why clinical trials should involve communities affected by cancer—from trial design to implementation to dissemination of results. This paper describes the background and rationale for the initiative, the process used to develop and disseminate the report, and the challenges and opportunities for implementing the report’s community-based approaches to cancer clinical research. Keywords Clinical research, community-based participatory research, minority recruitment and retention, clinical trials, patient advocate, community advisory board, community-engaged research The Problem either no treatment or treatment that does not meet currently A accepted standards of care.10–16 lthough an estimated 20% of adult cancer patients are The low accrual rate in CCTs has a significant effect on medically eligible for a CCT, adult trial participation both the quality of research and the rate at which new scientific in the United States remains under 3%. Accrual discoveries are made.17,18 Better representation of all those rates are even lower among ethnic and racial minorities and affected by cancer—including different races, ethnicities, the medically underserved,6–8 who tend to have higher cancer age groups and income levels—is critical to producing more mortality rates than the population as a whole. Ethnic and generalizable findings to the population as a whole.8,19–22 Slow racial minorities with cancer are also more likely to receive or insufficient patient enrollment in clinical trials significantly 2 3–5 9 pchp.press.jhu.edu © 2010 The Johns Hopkins University Press 38 hampers trial completion and frequently results in the early research staff in which studies are implemented, to increase closure of clinical trials. In a recent preliminary analysis of minority access to research participation27; and (3) address phase III CCTs led by two national cooperative groups, 15% persistent barriers to CCTs through the use of CBPR.26 to 30% of trials were closed owing to poor accrual (Dilts D, personal correspondence, February 2, 2008). The low accrual rate in CCTs—especially among eth- Premise and Promise for Community Engagement in CCT Design and Implementation nic and racial minorities, older adults and other medically Central to many successful initiatives that seek to under- underserved groups—is a matter of social justice. Indeed, stand and improve the health of communities—in particular, the principles of social justice, as articulated in the Belmont ethnic and racial minorities and low-income people—are report on research involving human subjects, demand better participatory research models in which communities are representation of all populations in CCTs to ensure the just actively engaged throughout the research process through distribution of the benefits and burdens of research participa- partnerships with researchers.28 6 22 tion. A number of reports have observed that enhancing In 2004, the Agency for Healthcare Research and Quality trial participation can address persistent disparities in cancer (AHRQ) issued an evidence report suggesting that CBPR can incidence, morbidity, and mortality. enhance recruitment and retention of study participants and 20 23,24 The literature has identified numerous barriers that nega- improve research quality and outcomes.29 The report cited tively affect participation in cancer clinical research. Experts the application of CBPR across a wide range of clinical and have repeatedly noted that to both overcome these barriers behavioral research, including cancer, substance abuse, hyper- and develop successful approaches to recruitment, such efforts tension, heart disease, diabetes, and HIV/AIDS. 25 must (1) identify effective strategies to build trust between Although there are few reported applications of CBPR researchers, patients and the broader community26; (2) change approaches throughout all aspects of a clinical trial,30,31 a both the local environment and the behaviors of clinical number of groups have implemented community engagement Figure 1. Community Engagement Opportunities at Each Stage of Phase III CCT Design & Implementation Progress in Community Health Partnerships: Research, Education, and Action Spring 2010 • vol 4.1 strategies in therapeutic clinical research. Perhaps the best National Advisory Committee to guide the initiative, com- example of comprehensive and systematic implementation posed of national leaders from five key stakeholder groups: of CBPR principles and approaches in clinical research is the (1) cancer clinical research investigators and their staff from National Institute of Allergy and Infectious Diseases–funded both academic and community settings; (2) cancer clinical HIV/AIDS clinical trials network program that requires the research sponsors from both government and industry; (3) involvement of community members. cancer patient advocates and advocacy organizations; (4) 32 Numerous government-sponsored reports have called for community-based organizations whose constituencies are the need to involve community members in clinical research disproportionately affected by cancer; and (5) experts in design, implementation, outreach, and accrual CBPR. The committee met monthly by phone for the first 18 3,33–36 to improve clinical research participation, especially among ethnic and racial minorities. Notably, the AHRQ evidence report recommended that future research “to improve participation of months of the initiative. Stakeholder Meetings underrepresented populations in CCTs . . . be developed within With the guidance of the National Advisory Committee, the framework of CBPR, with community involvement through ENACCT and CCPH convened in September 2007 a diverse all phases of the research.” Despite these repeated calls for group of seventy people from the above-mentioned key action, none of these recommendations have been systemati- stakeholder groups to develop recommendations for applying cally implemented and are still largely absent from national CBPR principles and approaches to phase III CCTs. 26 policy forums and efforts to reform the CCT enterprise. 37 38 A background paper articulating the rationale and goals In 2006, CCPH and the ENACCT sought and received fund- of the project, along with a set of invited commentaries on ing from the AHRQ and the NCI to develop a strategic plan for the paper,39 were shared with participants before the meeting. applying CBPR principles and approaches to multi-site, phase To ensure a shared understanding of both CCTs and CBPR, III CCTs. The funded initiative, “Communities as Partners in orientation sessions on each topic were held. During the Cancer Clinical Trials: Changing Research, Practice and Policy” meeting, participants discussed the definition of community envisioned a phase III CCT system that meaningfully engages and who “represents” community, the need for improving communities at all points throughout the research process community engagement in the CCT process, the pressures (Figure 1), from national design to local implementation to faced by cancer researchers and institutions, and how engage- dissemination. The Lance Armstrong Foundation, American ment works in other clinical research systems. In particular, Society of Clinical Oncology, California Breast Cancer Research participants examined the federally funded AIDS Clinical Program, Intercultural Cancer Council and unrestricted edu- Trials Group, which has an analogous structure to the NCI cational funds from Genentech and GlaxoSmithKline provided National Cooperative Groups,40 but has incorporated com- additional support for the initiative. This paper describes the munity engagement and CBPR principles since the late 1980s. background and rationale for the initiative, the process used At this first of two gatherings, participants articulated a vision to develop and disseminate the report, and the challenges and for the future and guiding principles for the development of opportunities for implementing the report’s community based the strategic plan, as described in Table 1. approaches to cancer clinical research. Developing a Strategic Plan for CBPR Approaches in Phase III Cancer Clinical Trials The initiative involved a series of key steps that we briefly describe below. National Advisory Panel ENACCT and CCPH established a fourteen-member Seifer, Michaels, & Collins Participants adopted the definition of “community” advanced by the Centers for Disease Control and Prevention: those whose participation is necessary for the implementation of the research and whose well-being is likely to be affected by the conduct of the research.41 For years, cancer patient advocates have been representing the cancer patient “community,” providing critical input into the design and implementation of CCTs at both national and local levels. However, to reap the full benefit of community engagement in phase III CCTs, Applying CBPR to Clinical Trials 39 40 W Analysis, Interpretation and Dissemination. The workgroups hen considering who best represents the met via conference call over a 5-month period to develop community perspective in phase III CCTs, initial recommendations for research, practice, and policy. participants recommended the inclusion of both The draft recommendations were circulated widely for com- community representatives and patient advocates, ment through listserv postings, conference presentations, recognizing that both are essential to the research and teleconferences. We received more than fifty comments process: from Cooperative Group chairs, patient advocates, CBPR and • Community Representatives have experience with the healthy population at risk and ideally are affiliated with a community-based organization or group whose constituency is disproportionately affected by cancer. public health researchers, oncologists, research nurses, and • Patient Advocates have experience as a patient with cancer, caregiver, or family member and ideally are affiliated with a cancer advocacy organization or group. comments received. Supportive comments fell into five main participants recommended that (1) the definition of community be expanded, such that communities disproportionately affected by cancer morbidity and mortality should also be well-represented (see side bar); (2) there should be a greater number of community representatives, and (3) their roles be systematized, strengthened, and made more inclusive. Drafting and Vetting the Recommendations After the first stakeholder meeting, participants joined one of three workgroups—National Level Trial Design and Implementation; Local Level Trial Implementation; or Data staff from the NCI and the AHRQ. With guidance from the National Advisory Committee, the comments were reviewed and the predominant themes were identified. These are summarized below and illustrated with a direct quote from the categories: 1. The recommendations have potential to improve the design and conduct of CCTs: “These recommendations . . . [are] useful . . . both to improve the recruitment of study participants and for improving interpretation of study results for different population groups.” 2. Strengthen the role and impact of community/patient representatives: “Most of us have had a research focus that has removed us from spending a lot of time in meetings with communities . . . we then lose that connection. To include those advocates whose primary focus is working with communities is critical.” 3. Recruit, prepare, and support community/patient representatives: “The advocates really need to take responsibility for training their new colleagues because they are the only ones who really know how the job is done.” Table 1. Stakeholder Meeting Vision for the Future and Guiding Principles Vision for the Future Principles for Developing the Strategic Plan A Coordinated National-local System That Includes Trained Community Representatives and Patient Advocates Involved in Each Component of Phase III CCTs. Focus on improving process and outcome of phase III CCTs Focus on recommendations that facilitate application of CBPR principles and community engagement strategies Evaluate recommendations against CBPR principles Acknowledge the many access barriers to CCTs that are beyond the scope of this project Acknowledge that federal research priorities impact the plan but are beyond the scope of this project Acknowledge that we cannot fix all that may be broken about the U.S. health care system Build upon efforts of those in the CCT system currently working to engage communities Challenge the CCT system to change, while also working within the system Progress in Community Health Partnerships: Research, Education, and Action Spring 2010 • vol 4.1 4. Change is challenging and time consuming, but ultimately worth the effort: “The expectations outlined . . . will be challenging to meet, but the potential advance in individual and community understanding and use of research findings is great.” 5. Test out these ideas: “Several pilots should be conducted.” Critical comments fell into six main categories: 1. Need strong rationale or evidence base: “You need documented examples of where having communities involved early in the process materially changed the study design, study execution, or, ultimately the accrual rate.” 2. Need to more fully acknowledge existing patient advocates/advocate role: “[T]here are patient representatives that have been involved (in cooperative groups) since 1992. . . . I agree that we need a more concerted and focused effort, but to deny that anything has been done doesn’t paint an accurate or fair picture.” “unfunded mandates” wherein groups will be required to take certain steps by the NCI without any incremental funding to do so.” 5. Concern over further slowing down trials: “In the end we may improve the diversity of patients on trial, but the results may be years slower in arriving and, if all of the recommendations are funded, we may have even less money to do research.” 6. Concern over misplaced priorities: “If a person in a community is aware of a clinical trial and anxious to enroll, that does them no good if their doctor is not prepared to provide the option.” Project participants reconvened in March 2008 to revise the recommendations based on the comments received. At the meeting, participants also articulated the potential benefits of a community-engaged CCT system (Table 2). The revised draft recommendations were again widely 3. Need to pay attention to current realities: “[T]he cooperative groups are miserably under-funded at present . . . our academic hospitals have to contribute an average of $3,000–$5,000 for every new patient they accrue to a trial.” circulate for comment and revised before being released in 4. Concern over unfunded mandates: “The recommendations . . . represent a large number of potentially to dissemination of results.. The report’s fifty-eight recom- October 2008 as the Communities as Partners final report.1 The report is the first to provide specific guidance as to why and how the CCT process should involve communities affected by cancer—from trial design to implementation mendations fall into seven major categories (Table 3) and Table 2. Potential Benefits of a Community-Engaged CCT System CBPR Approaches in Trial Design at the National Level Can Help to: · Ensure well-designed, high quality, costeffective trials that will accrue, in a timely manner, sufficient numbers of patients and patients from diverse backgrounds · Ensure that trials are more universally relevant to the real lives of patients · Increase participation of underrepresented populations in trials · Enhance community awareness of and trust in clinical research CBPR Approaches in Trial Implementation at the Local Level Can Help to: · Ensure that clinical trials opened for local accrual can more readily accrue patients · Promote the early adoption of safe and effective therapies at the community level · Enhance community comfort with and trust of researchers, research institutions and the research process · Increase equitable access to state-of-the-art care and reduce cancer health disparities · Enhance community understanding about clinical research, enabling them to make more informed decisions about whether to participate in a trial · Increase the rigor and validity of the research · Encourage researchers to think of community involvement/engagement as a benefit, not a burden Seifer, Michaels, & Collins CBPR Approaches in the Interpretation, Dissemination and Implementation of Cancer Research Studies Can Help to: · Improve health literacy · Build greater trust in the clinical trials system · Build greater public awareness about the importance of CCTs · Generate stronger participation in CCTs · Identify issues that should be addressed in phase IV effectiveness studies · Enhance dissemination of research findings to the public and community clinicians Applying CBPR to Clinical Trials 41 42 target specific key stakeholders in the CCT process, including the Vanderbilt Ingram Cancer Center, and the UNC Carolina the NCI, NCI-sponsored National Cooperative Groups, the Community Network.45 U.S. Food and Drug Administration, the Office of Human ENACCT and CCPH are convening the four selected sites Research Protections, industry, institutional review boards, for monthly technical assistance conference calls and several and local research sites and investigators. In addition to have also sought on-site training. All are conducting process making recommendations, the report also includes extensive evaluations and are leveraging other resources to sustain appendices that suggest action steps and resources to support their work beyond the 1-year period of seed grant funding. their implementation. The results of these efforts will be reported in a subsequent report. Disseminating and Implementing the Report The report dissemination process has involved a two- Challenges to Implementing the Recommendations pronged approach: outreach to key audiences through There are a number of challenges to implementing the conferences and meetings, and support for groups seeking report’s recommendations. We have identified the main to implement specific recommendations. comments and criticisms that were raised during the vetting of the draft report recommendations. We now highlight the Outreach to Key Audiences two challenges that have proven to be the most significant As the largest provider of publicly funded phase III CCTs, the NCI-sponsored Cooperative Groups were a key dissemination audience. Project staff presented at four Cooperative Group semi-annual meetings.42 Other audiences included institutional review boards, National Institutes of Health Clinical and Translational Science Awardees, NCI staff, and the American Cancer Society health disparities community. throughout this initiative and during the year since the report was released. Mistrust and Lack of an Organized Constituency to Advocate for Change Unlike HIV/AIDS research, which has long had an expec- 43 tation of community involvement from both the researcher The AHRQ also invited a presentation on the report at its and patient perspective, the same does not hold true for in annual conference as the sole example of nonprofit organiza- cancer clinical research. Although cancer patient advocates tions utilizing its evidence reports as a foundation for a policy have worked for years to gain influence within the CCT change initiative. research system, they have been few in number, their influ- 44 The “Implementation Partners” Program Typically, national reports are released as stand-alone documents with no support provided for their implementa- ence is highly variable, and the mandate for their involvement is weak at best. Some researchers continue to question the need for their role, let alone expanding their ranks to include community representatives. tion. Industry funding for the project allowed us to release Seeking to achieve a unified vision among the five distinct the report with a request for proposals from organizations constituencies assembled by this project proved challenging, seeking to implement specific report recommendations. despite several deliberate attempts to orient them to each These “implementation partners” would each receive a other’s perspectives and “world views.” A significant portion modest 1-year seed grant, along with training and technical of the first meeting was spent sharing perspectives on an assistance from ENACCT and CCPH. Forty-three organiza- established clinical research “system” that some participants— tions submitted proposals, including NCI designated cancer especially those from community-based organizations—felt centers, community-based organizations, and community ready to challenge, whereas others—especially those working oncology practices from twenty-six states. After a merit review in the system—were quick to defend. In some cases, groups process, these four organizations were selected to participate: were skeptical of each others’ motives and capabilities. Some Columbia St. Mary’s Health System in Milwaukee, the Grand CBPR experts did not view community engagement in CCTs Rapids Michigan Community Clinical Oncology Program, as a high priority and were skeptical that CCTs could truly be Progress in Community Health Partnerships: Research, Education, and Action Spring 2010 • vol 4.1 Table 3. Report Recommendations for Community Engagement in Phase III CCTs Rationale Example Recommendation: We recommend that . . . It is critical to broaden community involvement in clinical research through expanded opportunities for both CRs and PAs. However, if they are to be ethically and meaningfully involved in the research process, the system must ensure fairness, transparency, training, clear role definition, and meaningful integration. Public and private sponsors of Phase III CCTs: (I.1) Ensure that the application and selection process for CR/PAs serving at the national level is open and transparent. Opportunities to serve should be widely communicated both to traditional and non-traditional sources of potential candidates. II. Ensuring Community Perspectives in the Institutional Review Board (IRB) Review Process Although phase III CCTs are designed nationally, IRBs play an important role not only in approving the study from an ethical perspective, but also in ensuring locally appropriate consent and recruitment activities. IRBs present an important and often overlooked opportunity for community participation. IRBs that review Phase III CCTs, including the NCI Central IRB: (II.1) Be comprised of 25% community IRB members who are properly oriented, trained, mentored and compensated by the IRB sponsoring institution. III. Improving the Informed Consent Process The complexity of the informed consent process presents a formidable barrier to CCTs. Existing tools—such as the Office of Human Research Protections approved “short form” process and patient navigation – are underutilized in the CCT system. Moreover, approaches to address the needs of non-English speaking, Limited English Proficiency (LEP) and low-literacy individuals in the informed consent process are sorely needed. IRBs that review Phase III CCTs, including the NCI Central IRB: (III.3) Ensure that all members are trained in approaches to address the needs of minority, lowliteracy, poor and elderly, underserved, and LEP populations in the informed consent process. IV. Ensuring Community Perspectives in Protocol Development, Trial Design and Implementation Nationally, trained CR/PAs should be actively involved in protocol development and trial design. Locally, CR/PAs can help to ensure that trial selection and patient recruitment/retention are aligned with community needs, capacities and culture. Public and private sponsors of Phase III CCTs: (IV.2) Encourage and permit funding for local research sites to develop mechanisms, such as community advisory boards (CABs), for ongoing community participation in study implementation. V. Improving Trial Participant Recruit ment, Accrual and Retention Accrual remains an enormous challenge for sponsors and investigators; moreover, substantial uncertainty exists about effective approaches for CCT recruitment, especially among minority populations. Clearly defined recruitment and retention plans, and use of the Culturally and Linguistically Appropriate Services Standards may increase the likelihood of recruitment success. The National Cancer Institute: (V.10) Expand research funding to document and demonstrate promising practices in CCT recruitment and retention efforts, and in particular, on efforts to involve members of underserved minority, non-English speaking, poor and elderly communities. VI. Enhancing Local Community Support for Cancer Research Building trust in the clinical research process increases the likelihood that affected communities are invested in and supportive of the research being done locally. By enhancing community literacy about CCTs, it is possible to change social norms, so that when a person receives a cancer diagnosis, s/he is more likely to inquire about CCTs as an option for treatment. Local Research Sites implementing phase III CCTs: (VI.4) Engage in outreach activities with community groups, particularly those working to reduce health disparities, to educate the broader community about CCTs beyond any particular trial. Whenever possible, research sites located in the same geographic area should collaborate in these efforts. VII. Enhancing Community Interpretation, Dissemination and Implementation of Trial Outcomes Opportunities for community engagement in the final stage of a Phase III CCT include better communication of trial results to participants, as well as broader use of CR/PAs in the interpretation and dissemination of trial outcomes to the broader community. The National Cancer Institute: (VII.3) Partner with advocacy and community-based groups to set priorities for interpretation, broad dissemination, and implementation of study results, based on importance and applicability. There should be particular emphasis on reaching underserved, minority, LEP, low-literacy, poor and elderly populations. Category I. Ensuring a Meaningful Role for Community Representatives/ Patient Advocates (CR/PAs) in Phase III CCTs Seifer, Michaels, & Collins Applying CBPR to Clinical Trials 43 44 participatory in their design. Some researchers and advocates felt that their current efforts to include advocates in the research Opportunities for Implementing the Proposed Recommendations process were being minimized or criticized. Some patient Despite the challenges, there are a number of paradigm advocates have questioned the need for broadening their shifts underway at the federal level that could help to acceler- ranks and making their roles more formal. Although many ate implementation of the report’s recommendations. The are supporting the resulting vision and recommendations— director of the NCI has commissioned the “Advocates in some enthusiastically—no champions or lead organizations Research Working Group,” whose mission is to develop rec- emerged who were willing to make the recommendations a ommendations for more consistent integration of advocates significant advocacy agenda. across the NCI. The NCI Clinical Trials Working Group is A Well-Established Cancer Research System Reluctant or Unable to Change also examining the role of advocates involved in concept and protocol review within NCI scientific review committees. The increased focus at NIH on community engagement in clinical Despite the interest generated by the report (as evidenced and translational research, most visibly apparent in the NIH by the hundreds of downloads of the report from the project Trust Initiative and the Clinical and Translational Science web site and the response to the request for proposals for Award program, is contributing to a growing interest in CBPR implementation seed funding) and the ongoing difficulty in approaches among academic health centers. The report also recruiting and retaining ethnic and racial minority partici- aligns with and advances the Obama administration’s agenda pants in CCTs, the cancer research community has voiced more broadly around greater transparency, public engage- concerns about the recommendations and their capacity to ment, and interagency cooperation. implement them. Many cancer research institutions lack both the infrastructure and external relationships to begin the Conclusion journey toward community engagement in clinical research. For cancer clinical research to achieve its full potential in For example, although all of the organizations applying for reducing cancer deaths and eliminating cancer disparities, it implementation seed funding conveyed a sincere desire to is imperative to foster greater community involvement in the implement specific report recommendations, the vast majority design and implementation of CCTs. Communities must bet- were unable to articulate a plan to operationalize community ter understand how CCTs work, how members can be involved engagement strategies, instead offering to implement tradi- as participants and advisors, and how they can maximally tional patient education and outreach programs. Very few benefit from the results. Similarly, researchers must better were able to name actual community leaders or community understand how communities are organized and function, organizations with whom they would partner. Further, most how community involvement can benefit cancer research, and did not consider the broader institutional culture in which how to effectively engage communities in meaningful roles. community members would need to be supported and The Communities as Partners report calls for nothing less than engaged. a paradigm shift in the way CCTs are conducted. Progress in Community Health Partnerships: Research, Education, and Action Spring 2010 • vol 4.1 References 1. Education Network to Advance Cancer Clinical Trials (ENACCT) and Community-Campus Partnerships for Health (CCPH) [homepage on the Internet; cited 2008]. Communities as partners in cancer clinical trials: Changing research, practice and policy. Silver Spring (MD). Available from: http://www .communitiesaspartners.org 2. 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