Download 1 - Robert H. Lurie Comprehensive Cancer Center

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Protocol Template Instructions
This template has been created to assist in the development of an investigator-initiated clinical trial
protocol. It is not mandatory that you follow the exact order presented in this template (although this is the
preferred format for studies that will utilize services of the Clinical Research Office). However, all the
information contained in this template must be present, in some format, in your final protocol.
The sections in BLACK are standard/required language for studies under the purview of the
Robert H. Lurie Comprehensive Cancer Center and should be included in your protocol and/or
revised as needed to reflect the specifics of your trial. In some cases, alternate language choices
are included and may be more appropriate.
Please note that a Letter of Intent (LOI) must be submitted to the Lurie Cancer Center’s Scientific Review
Committee (SRC) for all Northwestern University interventional investigator-initiated trials [IITs] prior to full
protocol submission. Please refer to additional instructions which may be included in the SRC approval
letter for your LOI, as these may provide guidance as to what language is required in your protocol.
The sections in BLUE provide examples and/or instructions, and details should be modified to fit
your specific trial. You may RENAME sections (if appropriate) and/or DELETE any sections that do
not apply. The final protocol document should not contain any BLUE text.
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
Study Title
Title should include study phase, design descriptors (e.g., randomized, double-blind, placebocontrolled, multi-center, etc.), the intervention(s), the target population (disease(s) or condition(s) and
stage, if appropriate), and the setting (e.g. front-line, adjuvant, etc). Acronyms should be spelled out.
Principal Investigator:
Name/Credentials (One person only - may not be a resident/fellow)
Institution/Department or Division
Address
City, State, Zip
Phone:
Fax:
Email
Sub-Investigator(s):
For local sub-Is include:
Name
Department/Division (may group individuals together from same)
For external sub-Is include (one per site):
Name/Credentials
Institution
Address
City, State, Zip
Phone:
Fax:
Email
Biostatistician:
Name
Email
(May include other contact info if biostatistician is external)
Study Intervention(s):
Generic study drug name, followed by marketed name
IND Number:
May list “pending” or “TBD” or delete if N/A.
IND Holder:
Delete if N/A.
Funding Source:
List support (funding or investigational agent) from Industry or other
sources (provide grant number, if applicable.)
Version Date:
Coordinating Center:
Clinical Research Office
Robert H. Lurie Comprehensive Cancer Center
Northwestern University
676 N. St. Clair, Suite 1200
Chicago, IL 60611
http://cancer.northwestern.edu/CRO/index.cfm
CONFIDENTIAL
This material is the property of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University.
Do not disclose or use except as authorized in writing by the study sponsor.
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
CONFIDENTIAL
This material is the property of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University.
Do not disclose or use except as authorized in writing by the study sponsor.
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
TABLE OF CONTENTS
LIST OF ABBREVIATIONS............................................................................................................. 1
STUDY SCHEMA ............................................................................................................................ 2
1.0
STUDY SUMMARY ............................................................................................................. 2
1.0
INTRODUCTION – BACKGROUND & RATIONALE ......................................................... 4
1.1
Disease Background........................................................................................................ 4
1.2
Intervention Background & Overview .............................................................................. 4
1.3
Rationale for the Current Study ....................................................................................... 4
1.4
Exploratory Studies.......................................................................................................... 4
2.0
OBJECTIVES & ENDPOINTS ............................................................................................. 4
2.1
Primary Objective & Endpoint .......................................................................................... 5
2.2
Secondary Objectives & Endpoints ................................................................................. 5
2.3
Exploratory Objectives & Endpoints ................................................................................ 5
3.0
PATIENT ELIGIBILITY ........................................................................................................ 5
3.1
Inclusion Criteria .............................................................................................................. 6
3.2
Exclusion Criteria ............................................................................................................. 7
4.0
TREATMENT PLAN ............................................................................................................ 7
4.1
Overview .......................................................................................................................... 7
4.2
Treatment Administration ................................................................................................ 8
4.3
Phase I Dose Escalation Scheme ................................................................................... 8
4.4
Toxicity Management & Dose Delays/Modifications ..................................................... 10
4.5
Concomitant Medications/Treatments ........................................................................... 13
4.6
Other Modalities or Procedures ..................................................................................... 13
4.7
Duration of Therapy ....................................................................................................... 13
4.8
Duration of Follow Up .................................................................................................... 13
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
4.9
Removal of Subjects from Study Treatment and/or Study as a Whole ......................... 13
4.10
Patient Replacement ..................................................................................................... 14
5.0
STUDY PROCEDURES ..................................................................................................... 14
6.0
ENDPOINT ASSESSMENT ............................................................................................... 15
6.1
Definitions ...................................................................................................................... 15
6.2
Primary Endpoint ........................................................................................................... 15
6.3
Secondary Endpoints..................................................................................................... 16
7.0
ADVERSE EVENTS .......................................................................................................... 16
7.1
Adverse Event Monitoring ............................................................................................. 16
7.2
Definitions & Descriptions .............................................................................................. 16
7.3
Adverse Event Reporting ............................................................................................... 18
8.0
8.1
9.0
DRUG INFORMATION ...................................................................................................... 19
Agent XXX ..................................................................................................................... 19
CORRELATIVES/SPECIAL STUDIES .............................................................................. 21
9.1
Sample Collection Guidelines ........................................................................................ 21
9.2
Sample Processing, Storage, and Shipment ................................................................. 21
9.3
Assay Methodology ....................................................................................................... 21
9.4
Specimen Banking ......................................................................................................... 21
10.0
STATISTICAL CONSIDERATIONS .................................................................................. 21
10.1
Study Design/Study Endpoints ...................................................................................... 21
10.2
Sample Size and Accrual .............................................................................................. 22
10.3
Data Analyses Plans...................................................................................................... 22
11.0
STUDY MANAGEMENT .................................................................................................... 22
11.1
Institutional Review Board (IRB) Approval and Consent ............................................... 22
11.2
Amendments .................................................................................................................. 22
11.3
Registration Procedures ................................................................................................ 22
ii
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
11.4
Instructions for Participating Sites ................................................................................. 23
11.5
Data Management and Monitoring/Auditing .................................................................. 24
11.6
Adherence to the Protocol ............................................................................................. 24
11.7
Investigator Obligations ................................................................................................. 24
11.8
Publication Policy........................................................................................................... 25
REFERENCES ............................................................................................................................... 26
APPENDICES ................................................................................................................................ 27
iii
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
LIST OF ABBREVIATIONS
It may be helpful to include a list of frequently-used abbreviations. Some examples commonly used in
oncology research include:
AE
Adverse Event
ALT
Alanine Aminotransferase
ALC
Absolute Lymphocyte Count
AST
Aspartate Aminotransferase
BUN
Blood Urea Nitrogen
CBC
Complete Blood Count
CMP
Comprehensive Metabolic Panel
CR
Complete Response
CT
Computed Tomography
CTCAE
Common Terminology Criteria for Adverse Events
DLT
Dose Limiting Toxicity
DSMB
Data and Safety Monitoring Board
ECOG
Eastern Cooperative Oncology Group
H&PE
History & Physical Exam
IV (or iv)
Intravenously
MTD
Maximum Tolerated Dose
NCI
National Cancer Institute
ORR
Overall Response Rate or Objective Response Rate
OS
Overall Survival
PBMCs
Peripheral Blood Mononuclear Cells
PD
Progressive Disease
PFS
Progression Free Survival
PO (or p.o.)
Per os/by mouth/orally
PR
Partial Response
SAE
Serious Adverse Event
SD
Stable Disease
SGOT
Serum Glutamic Oxaloacetic Transaminase
SPGT
WBC
Serum Glutamic Pyruvic Transaminase
White Blood Cells
Version Date:
1
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
STUDY SCHEMA
The schema should be a diagram or pictorial representation of your study design and general treatment
plan. For example:
Stage I/II Cancer A
Randomize
Arm A
Drug 1 at dose # IV Day 1 each
cycle
+
Drug 2 at dose # PO daily
Arm B
Drug 1 at dose # IV Day 1 each
cycle
+
Placebo PO daily
Response Assessment after 4 cycles
CR/PR/SD
continue
treatment until
POD
PD proceed to
surgery offstudy
CR/PR/SD
continue Drug 1
until POD
Replace placebo
with Drug 2 & reassess after 4
cycles
Once off treatment continue follow-up q 6 months up to 3 years
Version Date:
2
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
STUDY SUMMARY
Title
Full title of protocol
Short Title
Shortened title (match this to title used it ClinicalTrials.gov)
Version
Include date & amendment number.
Study Design
Study Center(s)
Study phase & design attributes such as single blind, double blind or
open label; randomized, placebo or active placebo control; cross-over
design, Simon two-stage, etc.
If multi-center, list all projected centers to be involved & indicate who the
lead site will be.
Objectives
At a minimum list all primary & secondary objectives (can refer to body of
protocol for any exploratory objectives).
Sample Size
Number of subjects projected for the entire study (may specify by phase
if phase I/II trial).
Diagnosis & Key
Eligibility Criteria
Note the main clinical disease state under study and some of the
significant inclusion or exclusion criteria (do not list all criteria here)
Treatment Plan
Statistical Methodology
Version Date:
Brief overview of treatment plan including study intervention(s) and
dose/route/regimen or other description of therapy (for non-drug or
biologic). Also state overall treatment/intervention timeframe. NOTE: If
name-brand agent is used in the study, may reference the marketed
name in background or drug info section, but should use generic name
throughout majority of the protocol.
A very brief description of the main elements of the statistical
methodology to be used in the study (sample size and power calculation,
brief discussion of primary endpoint analysis).
3
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
1.0
2.0
INTRODUCTION – BACKGROUND & RATIONALE
1.1
Disease Background
Please provide disease background information particularly relevant to your study, such
as incidence, prognosis or current data corresponding to planned endpoints; be specific
about the population being studied (e.g. relapsed/refractory disease or previously
untreated or those possessing a particular genetic marker, etc). Questions to be
addressed may include the current standard of care and any relevant treatment issues or
controversies. Please justify why an investigational therapy or approach is warranted.
1.2
Intervention Background & Overview
Please provide relevant background information about the study agent(s) or
intervention(s) that you are planning to use in the study. Include the following for each
intervention:
 FDA approval status (if applicable).
 A summary of findings from non-clinical in vitro/in vivo studies that have potential
clinical significance including information on mechanism of action, pharmacokinetics
and safety. NOTE: This is particularly important for investigational agents, and may
not be necessary for commercially available drugs, and/or drugs with sufficient
clinical data.
 A summary from relevant clinical studies (or current clinical use), with focus on those
that provide background for your study.
 Important safety information, such as known toxicities and current or approved doses
and regimens.
 If available (especially for early-phase or first-in-human trials): information on clinical
pharmacokinetics, major route(s) of elimination, metabolism of the agent(s) in
humans, and any potential for drug interactions.
1.3
Rationale for the Current Study
Discuss the reasoning for conducting the study in light of the background information
already presented. Specifically, provide rationale for each of the following:
 The study design being used, including the primary endpoints.
 The population being studied (particularly if focusing on a subset within the disease
population, such as relapsed disease or elderly patients).
 The treatment plan (particularly if doses and/or regimens are not established or will
not follow approved versions).
1.4
Exploratory Studies
If applicable, please provide background information to support any exploratory endpoints
such as correlative studies; include the biological rationale and hypothesis (if applicable).
OBJECTIVES & ENDPOINTS
Please list all Primary, Secondary, and Exploratory objectives of the study (see below for
definitions). Number objectives separately. In addition, it is strongly recommended that you have
only one primary objective. An overall summary of the goal of the study is fine to include (e.g.
“Establish the safety and efficacy of the combination of X and Y in the treatment of Z”), however
specific objectives with measurable outcomes should be given to support this broad goal.
For each objective please describe the corresponding endpoint, which is the outcome that is
being measured. This includes what will be measured, how, and when. In addition, there are
generally 4 levels of specificity that should be included:
Level 1 – Domain or the type of health outcome measure.
Level 2 – Specific tool to measure the domain.
Level 3 – Specific metric to be measured.
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
Level 4 – Method of aggregation (continuous vs. categorical).
An example of a clearly written objective and endpoint is the following:
The primary objective will be to assess the efficacy of drug ABC on reducing symptoms of
depression in patients undergoing chemotherapy. The endpoint will be a change in depression
score on the Hamilton Anxiety Rating Scale of ≥ 5 points from baseline to end of treatment with
drug ABC (6 weeks).
Level 1: outcome/domain = depression
Level 2: tool = Hamilton Anxiety Rating Scale
Level 3: specific metric = change from baseline to post-treatment (6 week timeframe)
Level 4: aggregation = categorical (will report proportion of patients who achieve a change in
score of ≥ 5 points on the scale)
Other examples of common endpoints and things to consider:
 Response – often a primary endpoint for phase II trials
o Specify which criteria will be used (e.g. RECIST, Cheson, iwCLL2008, etc)
o Specify how it will be reported:
 By response category (e.g. CR/PR/SD/PD or some combination of these)
 In terms of time or “duration of response”
 Survival – often used in phase II or III trials
o Specify the type (e.g. progression-free or overall survival) and at what timepoint (e.g.
indefinitely vs. at 2 years from start of treatment)
 Safety/toxicity – often used in phase I or II trials
o Specify what criteria will be used (e.g. NCI CTCAE v 4.0) or if the focus will be on a
specific list of adverse events of interest
 Quality of life – may be a secondary or even exploratory endpoint in any trial
o Specify the subjective measure that will be used (if it is a tool or survey, briefly
describe in background and indicate if it has been validated)
Consider whether or not certain objectives are truly exploratory in nature (such as
pharmacokinetics studies, tissue correlatives, etc). It is strongly encouraged to label objectives
that are not associated with health outcomes as exploratory.
2.1
Primary Objective & Endpoint
2.2
Secondary Objectives & Endpoints
2.2.1
2.2.2
2.2.3
2.3
3.0
Exploratory Objectives & Endpoints
Delete if not applicable.
PATIENT ELIGIBILITY
The target population for this study is patients with [insert description]. This will be a [multicenter
or single-center] trial conducted at [insert name of site or clinic] of Northwestern University.
Remove or revise the following as appropriate: Northwestern University will serve as the lead site
and coordinating center for this study. Participating sites will include [list additional sites].
Version Date:
5
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
A total of ## subjects will be needed for this trial. Approximately # potentially eligible patients are
seen per month, and it is anticipated that at least # per month will be accrued (once all sites are
up and running). Potential patients may be referred to the Principal Investigator (PI) at
Northwestern University, Dr. [insert name], at (###) ###-####, or to the local PI at each
participating site.
Eligibility will be evaluated by the study team according to the following criteria. Eligibility waivers
are not permitted. Subjects must meet all of the inclusion and none of the exclusion criteria to be
registered to the study. Study treatment may not begin until a subject is registered. Please refer
to Section 11 for complete instructions regarding registration procedures.
3.1
Inclusion Criteria
Each criterion should include its own number, e.g., 3.1.1, 3.1.2, etc. Inclusion criteria
should not contain phrases that are actually meant to exclude patients (e.g. “patients
must not have had prior radiation therapy” is actually an exclusion criteria and should be
listed in section 3.2 accordingly).
3.1.1
Patients must have a [histologically/cytologically/confirmed by imaging or other
means] diagnosis of [insert disease name and stage]
3.1.2
Patients must have [measurable or evaluable] disease. NOTE: include definition
of measurable, if applicable.
3.1.3
Include allowed type(s) and amount(s) of prior therapy for this cancer, along with
any required washout periods.
3.1.4
Patients must be age ≥ 18 years.
3.1.5
Patients must exhibit a/an [ECOG, Karnofsky, or other] performance status of
[insert values].
3.1.6
Patients must have adequate organ and bone marrow function within # days prior
to registration, as defined below: (adjust values as appropriate)
 leukocytes
≥ 3,000/mcL
 absolute neutrophil count ≥ 1,500/mcL
 platelets
≥ 100,000/mcl
 total bilirubin
within normal institutional limits
 AST(SGOT)/ALT(SPGT)
≤ 2.5 X institutional upper limit of normal (ULN)
 creatinine
within normal institutional limits
 May add others…
NOTE: Include any exceptions to the above (such as Gilbert’s Syndrome) and
note whether nor not levels may be achieved with transfusion and/or growth
factor support.
3.1.7
Females of child-bearing potential (FOCBP) and males must agree to use
adequate contraception (give examples, e.g. hormonal or barrier method of birth
control; abstinence) prior to study entry, for the duration of study participation,
and for # days following completion of therapy. Should a female patient become
pregnant or suspect she is pregnant while participating in this study, she should
inform her treating physician immediately.
NOTE: A FOCBP is any woman (regardless of sexual orientation, having
undergone a tubal ligation, or remaining celibate by choice) who meets the
following criteria:
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)


Has not undergone a hysterectomy or bilateral oophorectomy
Has had menses at any time in the preceding 12 consecutive months (and
therefore has not been naturally postmenopausal for > 12 months)
3.1.8
FOCBP must have a negative pregnancy test within # days prior to registration
on study.
3.1.9
Other study-specific inclusion criteria or baseline parameters that are required for
eligibility purposes (such as LVEF, QTc interval, disease-specific criteria, etc).
3.1.10 Patients must have the ability to understand and the willingness to sign a written
informed consent prior to registration on study.
3.2
4.0
Exclusion Criteria
Some examples might include…
3.2.1
Patients who have had chemotherapy or radiotherapy within 4 weeks prior to
entering the study or those who have not recovered from adverse events due to
agents administered more than 4 weeks earlier are not eligible.
3.2.2
Patients may not be receiving any other investigational agents.
3.2.3
Patients who have a history of allergic reactions attributed to compounds of
similar chemical or biologic composition to [study agent(s)] are not eligible.
AND/OR
Patients who have had prior exposure to compounds of similar chemical or
biologic composition to [study agent(s)] are not eligible.
3.2.4
Patients who have an uncontrolled intercurrent illness including, but not limited to
any of the following, are not eligible: (edit/remove/add to list as needed)
 Hypertension (defined as ###/##) that is not controlled on medication
 Ongoing or active infection requiring systemic treatment
 Symptomatic congestive heart failure
 Unstable angina pectoris
 Cardiac arrhythmia
 Psychiatric illness/social situations that would limit compliance with study
requirements
 Any other illness or condition that the treating investigator feels would
interfere with study compliance or would compromise the patient’s safety or
study endpoints
3.2.5
Female patients who are pregnant or nursing are not eligible.
3.2.6
Other study specific or disease criteria for exclusion (e.g. certain disease subtypes that are not eligible, patients who are unable to swallow oral medication if
the study involves oral agents, etc).
TREATMENT PLAN
As with all sections of this template, please delete sub-sections that do not apply and/or re-name
to fit the specifics of your study.
4.1
Version Date:
Overview
Give a brief (1-2 paragraphs at most) summary of the treatment plan, including
intervention(s), doses/regimens, duration of treatment, and key study time-points
7
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
(response assessment, futility assessment, transition from phase I to II if a combination
study, etc).
4.2
Treatment Administration
It may be useful to include a table that summarizes the various interventions prior to
giving details:
Treatment Administration Summary
Agent
Premedications
Dose
Route
Schedule
Drug X
Acetaminophen
650 to 1000 mg
every 4 to 6
hours for 3 days
prior to Drug X
300
mg/m2
IV over 2
hours before
Drug Y (day 1
only)
Days 1, 8,
and 15 of
each
cycle
150
mg/m2
IV 30 min
after
completion of
Drug X (day 1
only)
Day 1 of
each
cycle
50 mg
tablet
PO in the
a.m. at least
1 hour before
eating
Daily x 3
weeks
followed
by 1 week
break per
cycle
Drug Y
Drug Z
4.3
n/a
n/a
Cycle
Length
Supportive
Therapies
Omeprazole
or similar as
needed
4
weeks
(28
days)
n/a
Switch to
taking 1
hour after
eating if
vomiting
occurs
4.2.1
Intervention/Agent A
Describe the intervention in detail, including the following:
 Dose/route/schedule (if using cycles, define “cycle” for your trial)
 Instructions for patients (if self-administered) or clinical staff (e.g. how to
monitor)
 Any required or recommended supportive care medications (include dose(s),
instructions for how/when to administer, criteria for administration, etc)
 Methods for tracking compliance (e.g. pill diary)
 Instructions regarding skipped or missed doses
4.2.2
Intervention/Agent B
Phase I Dose Escalation Scheme
Remove this section & re-number others if this does not apply to your trial.
Key items to include in this section:
 State the starting dose(s) of the agent(s)/drug(s).
 Explain escalation/de-escalation rules for each agent/drug (or indicate if certain
agents/drugs are kept constant). Please note that escalation of only one drug at each
dose level is recommended.
 Describe the number of patients to be treated at each level and how a decision about
dose escalation or expansion of cohort sizes will be made.
 Use tables to illustrate dose levels/cohorts. Use exact doses rather than percentages.
 Consult with your biostatistician when designing your dose escalation scheme and
rules!
The following language and table are provided as examples and may be modified as
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
needed:
Patients will be enrolled to dose level 1 initially (Drug A 75 mg/m 2 and Drug B 120 mg).
Dose escalation will proceed first with Drug A up to 100 mg/m 2 for level 2; thereafter,
Drug B will be escalated in 20 mg increments (up to a maximum of 160 mg) while Drug A
remains constant. The table below summarizes the dose levels. A dose level -1 is
included in the event that level 1 is determined to be too toxic.
Dose Escalation Scheme
Dose Level
Drug A
Drug B
# of Patients^
Level -1
50 mg/m2
120 mg
3-6
Level 1*
75 mg/m2
120 mg
3-6
Level 2
100 mg/m2
120 mg
3-6
Level 3
100 mg/m2
140 mg
3-6
Level 4
100 mg/m2
160 mg
3-6
*Starting dose level
^A minimum of 3 patients will be treated per cohort; a total of 6 patients should be
treated at whichever dose level is determined to be the MTD.
A standard “3+3” dose escalation design will be utilized. Initially, 3 patients will be
enrolled at the starting dose (level 1), after which enrollment will be temporarily
suspended until all 3 patients complete the DLT evaluation period (defined as cycle 1 or
the first 28 days of treatment). Once all 3 patients complete the DLT period and toxicity
data has been submitted, the Data Monitoring Committee (DMC) will review the data and
confirm the presence or absence of any DLTs (defined below). The following rules will be
used at each dose level to determine whether or not to proceed to the next dose level:
 If 0 of 3 patients at a given dose level experience a DLT (defined below), then
escalation will proceed to the next dose level.
 If 2 or 3 of 3 patients at a given dose level experience a DLT, then one of the
following must occur:
o If this happens at level 1, de-escalation to level -1 will occur.
o If this happens at level 2 or beyond, the previous level will be declared the
maximum tolerated dose (MTD).
o If this happens at level -1, the study will be closed to further accrual and the
regimen of Drug A + Drug B will be considered too toxic at any dose.
 If 1 of 3 patients at a given dose level experiences a DLT, then an additional 3 slots
will be added (for a total of 6 patients at that level):
o If 1 of 6 total experiences a DLT, then escalation will proceed to the next
level.
o If ≥ 2 of 6 total experience a DLT, the previous level will be declared the
MTD.
NOTE: Whichever dose level is declared the MTD must have 6 total patients treated at
that level. For example, if 3 patients are treated at level 2 and 0 patients experience DLT,
escalation would then proceed to level 3. However, if ≥ 2 patients at level 3 experience
DLT, enrollment to level 2 would need to be re-opened to enroll an additional 3 patients
at that level (with 0 or 1 DLT observed in 6 total patients) in order to declare level 2 the
MTD.
4.3.1
Version Date:
Definitions
Tips to consider:
o Define the period during which patients will be evaluating for dose-limiting
toxicities (DLT period).
o Describe how DLTs will be evaluated (e.g. per CTCAE v 4.0 criteria or other).
9
NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
o
o
o
o
4.4
Indicate whether or not toxicities must be related to study therapy to be
labeled DLT (generally DLTs are defined as toxicities attributed to study
therapy, but in some cases there may be exceptions to this).
Provide an explicit definition of what constitutes a DLT:
 Types or categories of toxicities (e.g. hematologic vs. nonhematologic)
 Grades (e.g. “any ≥ Grade 4”)
 Duration of events (e.g. “persisting for ≥ 1 week”)
Clearly list any exceptions to the DLT definition (e.g. “any ≥ Grade 3 nonhematologic toxicity except for alopecia any grade”).
Clearly state the definition of MTD and (if appropriate) how this pertains to
phase II (e.g. MTD will be the recommended phase II dose or RP2D).
Toxicity Management & Dose Delays/Modifications
This section should be included in all protocols, including phase I (note that for phase I
trials, this usually pertains to management of toxicities that do not meet the criteria of
DLT).
Any patient who receives at least one dose of study therapy will be evaluable for toxicity
endpoints. Each patient will be assessed for the development of toxicity according to the
timeframe referenced in the Schedule of Events table). Toxicity will be assessed
according to [insert name(s) of criteria].
Things to consider for this section:
 If more than one drug/agent is administered, provide a detailed description of toxicity
grades and course of action for each agent separately. Also explain how to apply
dose adjustments in the event that more than one study drug/agent could be
responsible for a given toxicity, (e.g. “For non-hematologic toxicities, adjust Drug B
before Drug A”).
 Indicate if and/or when treatment modifications are appropriate (if not permitted,
please state when that is the case and reference the appropriate section for how to
manage the patient once they are off study therapy)
 If dose modifications are anticipated/allowed, provide a dose de-escalation scheme
(table) for intra-patient dose adjustments. Please also address whether and when reescalation is permitted, and in what fashion.
 For guidance, refer to the appropriate sections in the protocol that contain more
detailed information on the known or potential toxicities associated with each
drug/agent.
 Use tables rather than lengthy blocks of text!
 Dose adjustments should be expressed using exact doses rather than percentages.
 If dose delays are allowed:
o Specify if/when study treatment may resume and at what dose (e.g. “Hold
until resolved to ≤ Grade 1 or baseline and then resume at same dose
level”).
o Indicate how many days or doses/cycles of treatment may be missed before
patient must be removed from the study.
 For ease of reading, dose modifications may be divided into hematological versus
non-hematological criteria. For hematological toxicity, please address guidance on
use of growth factor support.
 If applicable, include supportive care actions to be taken aside from holding therapy
or adjusting doses (e.g. “administer Agent Y as needed and refer to cardiologist for
evaluation”).
The following tables are provided as examples and should be modified as appropriate:
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
Toxicity
Grade/Description
Drug A
Drug B
Hematologic Toxicities
Grade 1 or 2
Thrombocytopenia
Maintain dose level.
1st occurrence: Hold
dose & follow CBC
weekly. Once ≤ Grade 1
(platelets ≥
75,000/mm3), resume at
same dose.
Grade 3 or 4
Grade 1 or 2
Neutropenia
Grade 3 w/ fever or
Grade 4
2nd occurrence: Hold
dose & follow CBC
weekly. Once ≤ Grade 1
(platelets ≥
75,000/mm3), resume at
1 dose level lower.
Maintain dose level.
1st occurrence: Hold
dose & follow CBC
weekly. Once resolved
to > 1.0 x 109/L (if
neutropenia was the
only toxicity noted),
resume at same dose. If
other toxicity was noted,
resume at 1 dose level
lower.
Maintain dose level.
Hold Drug B if Drug A is
held; resume Drug B at
same dose once Drug A
resumes (regardless of
whether or not Drug A
dose is changed).
Maintain dose level.
Maintain dose level. If
Drug A is permanently
discontinued but patient
is receiving benefit, may
consider continuing on
single-agent Drug B,
per treating
investigator’s discretion.
2nd occurrence:
Permanently
discontinue Drug A.
Non-hematologic Toxicities
Allergic reaction or
hypersensitivity
≤ Grade 3
Grade 4
Infection
Herpes zoster or
simplex
Version Date:
≥ Grade 3
Any grade
Hold dose until resolved
to ≤ Grade 1 & then
resume at same dose
level.
Permanently
discontinue Drug A.
Hold dose until
systemic treatment for
infection is complete. If
no neutropenia, resume
at same dose level. If
neutropenic, follow
instructions above
(hematologic section).
Hold dose until resolved
to ≤ Grade 1 & then
resume at same dose
level.
Permanently
discontinue Drug B.
Hold dose until
systemic treatment for
infection is complete. If
no neutropenia, resume
at same dose level. If
neutropenic, follow
instructions above
(hematologic section).
If no resolution after > 3
weeks: permanently
discontinue Drug A.
If no resolution after > 3
weeks: permanently
discontinue Drug A.
Hold dose until lesions
are dry & then resume
at same dose level.
Maintain dose level.
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
Grade 2 w/ pain or
Grade 3
Initially, maintain dose
level. If neuropathy
persists for > 2 weeks,
hold dose until resolved
to ≤ Grade 2 or baseline
then resume at 1 dose
level lower.
Neuropathy
Grade 4
Renal dysfunction
CrCl ≤ 15 mL/min
Grade 1 or 2
Other
Version Date:
Grade ≥ 3
May continue on singleagent Drug B (per
treating investigator’s
discretion) if Drug A is
held. Maintain dose
level.
Hold dose until CrCl >
15 mL/min & then
resume at 1 dose level
lower.
Maintain dose level.
Hold dose until resolved
to ≤ Grade 1 or
baseline. Once
resolved, resume at
same dose level.
If patient is receiving
benefit, may continue
on single-agent Drug B
(per treating
investigator’s discretion)
if Drug A is
discontinued. Maintain
dose level.
Hold dose until CrCl >
15 mL/min & then
resume at 1 dose level
lower.
Maintain dose level.
Hold dose until resolved
to ≤ Grade 1 or
baseline. Once
resolved, resume at
same dose level.
Unresolved (persisting
> 2 weeks) or recurrent
event: permanently
discontinue Drug A.
Unresolved (persistent
> 2 weeks) or recurrent
event: permanently
discontinue Drug B.
Permanently
discontinue Drug A.
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
4.5
Concomitant Medications/Treatments
Please list all relevant concomitant drugs and/or treatments that are required, allowed, or
prohibited (sub-sections should be used). This section should be consistent with the
medications restrictions in the inclusion/exclusion criteria, as well as any premedications
that are required or recommended. If any medications may be used, but only with
caution, please clearly address that in this section.
4.6
Other Modalities or Procedures
If applicable, please provide a description of any other modalities (e.g., surgery,
radiotherapy) or procedures (e.g., hematopoietic stem cell transplantation) used in the
protocol treatment. Please distinguish between those modalities that comprise standard
of care, and those under investigation within your protocol (if standard of care, the
description does not have to be lengthy but should include information relevant to the
study, such as timing or other requirements).
4.7
Duration of Therapy
This section should clearly define the “end of protocol therapy.” This may be a clearly
defined number of cycles or doses, or it may be opened-ended with specific criteria to
determine when treatment will conclude. For example:
Patients may continue to receive cycles of treatment until any of the following occur:
 Disease progression
 Development of an inter-current illness that prevents further administration of
treatment
 Unacceptable adverse event(s)
 Patient decides to withdraw from either study treatment or the as a whole study
 The treating investigator determines that the patient should be taken off treatment for
any reason (i.e. changes in condition, inability to comply with study treatment or
procedures)
4.8
Duration of Follow Up
This section should clearly define the protocol-specific follow-up period and nature.
Things to consider:
 All studies should have an end of treatment visit (which may or may not also be end
of study) approximately 30 days after the last dose of study drug for the purposes of
adverse event assessment.
 Patients removed from treatment for unacceptable adverse events will be followed
until resolution or stabilization of the adverse event.
 Follow-up behind the 30-day post-last-dose visit will depend on study endpoints;
patients may need to be followed to document disease progression or start of next
therapy or survival.
 If there are no long-term endpoints, it is not necessary to state when and how
patients will be followed clinically for disease management behind the end of study
visit. This section pertains only to the period during which data is still to be collected
for patients on this study for study purposes.
 Please think this through carefully as following patients until death may require
considerable resources, and may not be necessary (although if this will definitely be
the case, please clearly state such).
 Include the nature and frequency of follow-up (e.g., visits every 3 months, by phone
call every 6 months, etc.).
4.9
Version Date:
Removal of Subjects from Study Treatment and/or Study as a Whole
The language below is somewhat standard and should be modified as appropriate for the
study under development:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
Patients can be taken off the study treatment and/or study as a whole at any time at their
own request, or they may be withdrawn at the discretion of the investigator for safety,
behavioral or administrative reasons. The reason(s) for discontinuation must be clearly
documented on the appropriate eCRF and may include:









4.10
Patient voluntarily withdraws from treatment (follow-up permitted)
Patient withdraws consent (no follow-up permitted)
Patient is unable to comply with protocol requirements
Patient demonstrates disease progression
Patient experiences unacceptable toxicity
Treating physician determines that continuation on the study would not be in the
patient’s best interest
Patient becomes pregnant
Patient develops a second malignancy that requires treatment which would interfere
with this study
Patient becomes lost to follow-up (LTF)
Patient Replacement
If appropriate, include guidelines describing when and how enrolled patients may be
replaced in the study. For example:
“Three patients within a dose level must be observed for one cycle (28 days) before
accrual to the next higher dose level may begin. If a patient is withdrawn from the study
prior to completing 22 days of therapy without experiencing a DLT prior to withdrawal, an
additional patient may be added to that dose level. Patients missing 7 or more doses due
to toxicity will not be replaced since these patients will be considered to have
experienced a dose limiting toxicity.”
5.0
STUDY PROCEDURES
The table below is provided as an example only and should be modified as appropriate to fit the
study under development. Column headings can be changed, added, removed, or combined.
Procedures and activities should be listed in the far left column. Use of footnotes to provide clarity
and detail is strongly encouraged.
***Formatting tip: highlight all of section 5 (including table) and select landscape under page
layout for “selected text only” to create more space in order to fit on one page if possible***
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
On Treatment7
Screening
Time Period
Baseline
Cycle 1
Cycle 2+
Every 3
cycles
Off Treatment
End of
FollowTreatment
up8
Assessment or
Activity
Informed
X
Consent
Medical history
X
X
Physical exam1
X
X
X
X
ECOG status
X
X
X
X
Toxicity
X
X
X
assessment
Tumor
X
X
X
Measurements2
Chest x-ray
X
X
CBC with diff
X
X
X
X
Chemistry panel
X
X
X
X
3
Pregnancy test
X
Echo or MUGA4
X
Drug A
X
X
administration5
Drug B
X
administration6
Survival status
X
1 Includes vital signs (pulse, respirations, blood pressure) and height (baseline only) and weight.
2 By CT or MRI (per treating investigator’s discretion); the same modality used at baseline should
be used throughout.
3 Serum or urine test for females of child-bearing potential.
4 Required for all patients at baseline and then only as clinically indicated thereafter.
5 Drug A will be administered IV at the assigned dose for the cohort for cycles 1 and 2 only.
6 Drug B will be self-administered orally by patients at a fixed dose daily on days 1-14 of each
cycle.
7 A cycle is defined as 21 days (+/- 2 days).
8 Patients will be followed (either by routine clinic visit or by phone call) every 3 months for 2
years and then every 6 months up to 5 years total from start of study treatment to document
survival and disease progression.
6.0
ENDPOINT ASSESSMENT
6.1
Definitions
Define/describe any terminology that is used in study endpoints or to address the
objectives of the study (i.e. MTD, response categories, PFS/OS, etc). Include definitions
(if applicable) of measurable vs. evaluable disease.
6.2
Version Date:
Primary Endpoint
Describe the primary endpoint, including how (what methods) and when (specifically) it
will be assessed. For example, if response rate is an endpoint, note at what timepoint(s)
this is assessed for all patients (i.e. after every 2 cycles or at 6 months post-end of
therapy).
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
If there is published criteria to be utilized (iwCLL, RANO, RECIST, others) describe the
criteria and include descriptions or refer to table representations in the appendices.
Clearly state which patients will be considered evaluable for this endpoint!
6.3
7.0
Secondary Endpoints
Same as with primary endpoints:
 Define
 Explain how and when each will be assessed
 Note the relevant criteria (or tools, such as FACT-Fatigue questionnaire)
 Clearly state who will be evaluable for each endpoint
ADVERSE EVENTS
This study will be conducted in compliance with the Data Safety Monitoring Plan (DSMP) of the
Robert H. Lurie Comprehensive Cancer Center of Northwestern University (please refer to
Appendices for additional information). The level of risk attributed to this study requires [insert
monitoring level as specific in SRC approval letter for LOI], as outlined in the DSMP. In addition,
the study will abide by all safety reporting regulations, as set forth in the Code of Federal
Regulations.
7.1
Adverse Event Monitoring
Adverse event data collection and reporting, which are required as part of every clinical
trial, are done to ensure the safety of subjects enrolled in the studies as well as those
who will enroll in future studies using similar agents. Adverse events are reported in a
routine manner at scheduled times during a trial (see Section 5 for timepoints). In
addition, certain adverse events must be reported in an expedited manner to allow for
optimal monitoring and patient safety and care.
All patients experiencing an adverse event, regardless of its relationship to study drug,
will be followed until:




7.2
the adverse event resolves or the symptoms or signs that constitute the adverse
event return to baseline;
any abnormal laboratory values have returned to baseline;
there is a satisfactory explanation other than the study drug for the changes
observed; or
death.
Definitions & Descriptions
7.2.1 Adverse Event
An adverse event (AE) is any untoward medical occurrence in a patient receiving
study treatment and which does not necessarily have a causal relationship with
this treatment. An AE can therefore be any unfavorable and unintended sign
(including an abnormal laboratory finding), symptom, or disease temporally
associated with the use of an experimental intervention, whether or not related to
the intervention.
Recording of AEs should be done in a concise manner using standard,
acceptable medical terms. In general, AEs are not procedures or measurements,
but should reflect the reason for the procedure or the diagnosis based on the
abnormal measurement. Preexisting conditions that worsen in severity or
frequency during the study should also be recorded (a preexisting condition that
does not worsen is not an AE). Further, a procedure or surgery is not an AE;
rather, the event leading to the procedure or surgery is considered an AE.
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
If a specific medical diagnosis has been made, that diagnosis or syndrome
should be recorded as the AE whenever possible. However, a complete
description of the signs, symptoms and investigations which led to the diagnosis
should be provided. For example, if clinically significant elevations of liver
function tests are known to be secondary to hepatitis, “hepatitis” and not
“elevated liver function tests” should be recorded. If the cause is not known, the
abnormal test or finding should be recorded as an AE, using appropriate medical
terminology (e/g/ thrombocytopenia, peripheral edema, QT prolongation).
7.2.2
Severity of AEs
Note, some hematology studies may choose to grade toxicity using alternatives
to the CTCAE v4.0 (e.g., iwCLL criteria). When an alternative is used, please
modify this section as needed. If using the CTCAE state:
All non-hematologic adverse events will be graded according to the NCI
Common Terminology Criteria for Adverse Events (CTCAE) version 4.03. The
CTCAE v4 is available at http://ctep.cancer.gov/reporting/ctc.html
If no CTCAE grading is available, the severity of an AE is graded as follows:





7.2.3
Version Date:
Mild (grade 1): the event causes discomfort without disruption of normal daily
activities.
Moderate (grade 2): the event causes discomfort that affects normal daily
activities.
Severe (grade 3): the event makes the patient unable to perform normal daily
activities or significantly affects his/her clinical status.
Life-threatening (grade 4): the patient was at risk of death at the time of the
event.
Fatal (grade 5): the event caused death.
Serious Adverse Events (SAEs)
All SAEs, regardless of attribution, occurring from time of signed informed
consent, through 30 days after the last administration of study drug, must be
reported upon discovery or occurrence.
An SAE is defined in regulatory terminology as any untoward medical occurrence
that:
 Results in death.
If death results from (progression of) the disease, the disease should be
reported as event (SAE) itself.
 Is life-threatening.
The patient was at risk of death at the time of the event; it does not refer to
an event that hypothetically might have caused death if it were more severe.
 Requires in-patient hospitalization or prolongation of existing
hospitalization for ≥ 24 hours.
 Results in persistent or significant disability or incapacity.
 Is a congenital anomaly/birth defect.
 Is an important medical event.
Any event that does not meet the above criteria, but that in the judgment of
the investigator jeopardizes the patient, may be considered for reporting as a
serious adverse event. The event may require medical or surgical
intervention to prevent one of the outcomes listed in the definition of “Serious
Adverse Event“.
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
For example: allergic bronchospasm requiring intensive treatment in an
emergency room or at home; convulsions that may not result in
hospitalization; development of drug abuse or drug dependency.
7.2.4
7.3
Unanticipated Problems Involving Risks to Subject or Others
A UPIRSO is a type of SAE that includes events that meet ALL of the following
criteria:
 Is unanticipated in terms of nature, severity, or frequency
 Places the research subject or others at a different or greater risk of harm
 Is deemed to be at least possibly related to participation in the study.
Adverse Event Reporting
7.3.1 Routine Reporting
All routine adverse events, such as those that are expected, or are unlikely or
definitely not related to study participation, are to be reported on the appropriate
eCRF . Routine AEs will be reviewed by the Data Monitoring Committee (DMC)
according to the study’s phase and risk level, as outlined in the DSMP.
7.3.2
Determining if Expedited Reporting is Required
This includes all events that occur within 30 days of the last dose of protocol
treatment. Any event that occurs more than 30 days after the last dose of
treatment and is attributed (possibly, probably, or definitely) to the agent(s) must
also be reported accordingly.
1)
Identify the type of adverse event using the NCI CTCAE v 4.03.
2)
Grade the adverse event using the NCI CTCAE v 4.03.
3)
Determine whether the adverse event is related to the protocol therapy.
Attribution categories are as follows:
 Definite: AE is clearly related to the study treatment.
 Probable: AE is likely related to the study treatment.
 Possible: AE may be related to the study treatment.
 Unlikely: AE not likely to be related to the study treatment.
 Unrelated: AE is clearly NOT related to the study treatment.
4)
Determine the prior experience of the adverse event.
Expected events are those that have been previously identified as
resulting from administration of the agent. An adverse event is
considered unexpected, for expedited reporting purposes only, when
either the type of event or the severity of the event is not listed in:
 the current protocol
 the drug package insert
 the current Investigator’s Brochure
7.3.3
Expedited Reporting of SAEs/Other Events
7.3.3.1 Reporting to the Northwestern University QAM/DMC
All SAEs must be reported to the assigned QAM within 24 hours of
becoming aware of the event. Completion of the NU CRO SAE Form,
provided as a separate document, is required.
The completed form should assess whether or not the event qualifies as
a UPIRSO. The report should also include:
 Protocol description and number(s)
 The patient’s identification number
 A description of the event, severity, treatment, and outcome (if
known)
 Supportive laboratory results and diagnostics
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)

The hospital discharge summary (if available/applicable)
All SAEs will be reported to, and reviewed by, the DMC at their next
meeting.
7.3.3.2 Reporting to the Northwestern University IRB
The following information pertains to the responsibilities of the lead site
(Northwestern University). Additional participating sites should follow
their local IRB guidelines for reporting to their local IRBs.
 Any death of an NU subject that is unanticipated in nature and at
least possibly related to study participation will be promptly reported
to the NU IRB within 24 hours of notification.
 Any death of an NU subject that is actively on study treatment
(regardless of whether or not the event is possibly related to study
treatment)
 Any death of a non-NU subject that is unanticipated and at least
possibly related and any other UPIRSOs will be reported to the NU
IRB within 5 working days of notification.
 All other deaths of NU subjects not previously reported, other nonNU subject deaths that were unanticipated and unrelated, and any
other SAEs that were not previously reported as UPIRSOs will be
reported to the NU IRB at the time of annual continuing review.
7.3.3.3 Reporting to the FDA
In the event that an IND is granted for this study, the following
notifications will be handled by the NU QAM (if the protocol is determined
to be IND exempt, this section will not apply):
The FDA will be notified within 7 calendar days of any SAE that is
associated with study treatment, is unexpected, and is fatal or lifethreatening.
The FDA will be notified within 15 calendar days of any SAE that is
associated with the study treatment, unexpected, and serious but not
fatal or life-threatening. This includes any previous SAEs that were not
initially deemed reportable, but are later determined to meet the criteria
for reporting (i.e. by the DMC).
All other SAEs will be reported on an annual basis as part of the annual
FDA report.
7.3.3.4 Reporting to [insert name of funding source(s)]
Most drug companies and other funding sources have established
procedures and policies for what events must be reported to them and
when. It is NU Cancer Center Policy to utilize our CRO SAE Form for all
reporting (companies may review and ask for additional items or forms if
absolutely necessary). At a minimum, this section should state what
events are to be reported, in what timeframe(s), and the contact person
or method for reporting (i.e. phone, fax, email).
8.0
DRUG INFORMATION
The details in this section should be repeated for each agent administered (including standard of
care therapies).
8.1
Agent XXX
8.1.1 Other names
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
8.1.2
Classification - type of agent
8.1.3
Mode of action
8.1.4
Storage and stability
8.1.5
Protocol dose specifics
If a drug is given at different doses at different points in the treatment cycle, all
doses should be indicated. Even if standard/approved dosing is used, please
specify what that is here (may not simply state “refer to package insert”).
8.1.6
Preparation
Whether investigational or not, include preparation instructions (may not simply
state “refer to package insert”). If oral, it is acceptable to state that no preparation
is required.
8.1.7
Route of administration for this study
8.1.8
Incompatibilities
8.1.9
Availability & Supply
Specify if commercially available and not supplied by study or if provided by
sponsor (if provided but will be commercial supply, state this as it affects the
IND). Include contact information and instructions for ordering drug (may refer to
order for in appendices). For multi-center trials, specify if drug is shipped directly
to each site or if all will come to NU and then be shipped out.
8.1.10 Side effects
List adverse events by category (i.e. “Most Likely” vs. “Less Likely” vs. “Rare or
Serious” or use percentage cut-offs). This must be done by the PI and he/she
should verify that this reflects the IB or package insert for each drug. This will be
the basis for the consent form risk section so it is essential that this be correct.
8.1.11 Nursing implications
8.1.12 Return and Retention of Study Drug
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
9.0
CORRELATIVES/SPECIAL STUDIES
Summarize the goal/rationale of the planned laboratory correlative studies.
In addition, please list each correlative study in the table below with the required information. The
Protocol Development Coordinator will format the information as needed in the subsequent
sections of the protocol as well as a separate lab manual. If there are no correlative/special
studies, remove this section entirely and renumber remaining sections.
Correlative Samples - Details for Lab Manual
please add additional rows as needed or mark “n/a” where information does not apply
Correlative study (sample type)
e.g. Pharmacokinetics (blood)
Mandatory or Optional
Timing (+/- windows)
Volume Needed (blood only)
Tube type needed (blood only)
Tissue thickness and/or # slides
(tissue only)
Processing center (e.g. PCFCTU)
Sample handling/processing
instructions
Shipping/delivery info
Storage needs
Analysis center
Assay methodology
10.0
9.1
Sample Collection Guidelines
9.2
Sample Processing, Storage, and Shipment
9.3
Assay Methodology
9.4
Specimen Banking
STATISTICAL CONSIDERATIONS
Here is where you describe the statistical aspects of the protocol in detail. This section must be
written in coordination with the study statistician. It should precisely describe what results will be
reported and how those results were calculated.
10.1
Study Design/Study Endpoints
Please specify the study design. Clearly state design aspects (i.e. retrospective or
prospective, blinded, randomized, single or multi-centered). Define all study endpoints.
If there are stopping rules for either safety or efficacy, describe the reasoning behind
them, and how they might cause a suspension of study enrollment until a safety review
has been convened.
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
11.0
10.2
Sample Size and Accrual
Justification for the number of patients to be used in the study must be given. Please
state precisely what the statistical power and sample size considerations are for the
proposed study, and which objective they address. The total sample size, the total
accrual, the expected accrual rate, and all relevant assumptions should be stated
explicitly. How these numbers were calculated, including the software used, should be
included. A reviewer should be able to duplicate the calculations given the information
provided.
10.3
Data Analyses Plans
Please describe in detail how each objective will be addressed by a particular data
analysis plan. This is where the details of each data analysis plan (for each objective) are
given – stating what statistical methods will be used, and under which assumptions.
Every objective/study endpoint should have a plan associated with it.
STUDY MANAGEMENT
11.1
Institutional Review Board (IRB) Approval and Consent
It is expected that the IRB will have the proper representation and function in accordance
with federally mandated regulations. The IRB should approve the consent form and
protocol.
In obtaining and documenting informed consent, the investigator should comply with the
applicable regulatory requirement(s), and should adhere to Good Clinical Practice (GCP)
and to ethical principles that have their origin in the Declaration of Helsinki.
Before recruitment and enrollment onto this study, the patient will be given a full
explanation of the study and will be given the opportunity to review the consent form.
Each consent form must include all the relevant elements currently required by the FDA
Regulations and local or state regulations. Once this essential information has been
provided to the patient and the investigator is assured that the patient understands the
implications of participating in the study, the patient will be asked to give consent to
participate in the study by signing an IRB approved consent form.
Prior to a patient’s participation in the trial, the written informed consent form should be
signed and personally dated by the patient and by the person who conducted the
informed consent discussion.
11.2
Amendments
The Principal Investigator will formally initiate all amendments to the protocol and/or
informed consent. All amendments will be subject to the review and approval of the
appropriate local, institutional, and governmental regulatory bodies, as well as by [insert
sponsor name if applicable]. Amendments will be distributed by the lead institution
(Northwestern) to all affiliate sites upon approval by the Northwestern University IRB.
11.3
Registration Procedures
11.3.1 Registering a Patient for the Phase I Portion of the Study
For potential patients for the phase I portion of this study, study teams are asked to
inform the QAM of the date and time that the patient will need to be registered
([email protected]).
BEFORE a patient can be treated on study, please complete and submit the following
items to confirm eligibility and receive an identification number:
 Patient’s signed and dated informed consent form (upload to NOTIS and keep
original hard copy in a secure location/study chart)
 Eligibility checklist (signed and dated by the treating physician – upload to NOTIS)
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)


Eligibility eCRF (complete in NOTIS)
Copy of the pathology report (upload to NOTIS)
The QAM will review all source documentation required to confirm eligibility that is readily
available in the patient’s electronic medical record (EMR). Any information that is not
available in the EMR must be de-identified and emailed to the QAM. Once the QAM
confirms the patient is eligible, he or she will register the patient, assign a subject
identification number, provide a cohort assignment, and send a confirmation of
registration to involved personnel. Registration will then be complete and the patient may
begin study treatment.
11.3.2 Registering a Patient to the Phase II Portion of the Study
For potential patients for the phase II portion of this study, study teams are asked to
inform the QAM of the date and time that the patient will need to be registered
([email protected]).
BEFORE a patient can be treated on study, please complete and submit the following
items to confirm eligibility and receive a subject identification number:
• Eligibility eCRF (complete in NOTIS)
• Eligibility checklist (signed and dated by the treating physician – upload in NOTIS)
• Signed and dated informed consent document (upload in NOTIS)
• Pathology Report (upload in NOTIS)
The QAM will review the registration, register the patient, assign an identification number,
and send a confirmation of registration to involved personnel. Registration will then be
complete and the patient may begin study treatment.
11.4
Data Submission
Once a subject is confirmed and registered to the study, eCRFs should be submitted
according to the detailed data submission guidelines (provided in a separate document).
Generally, all data for phase I patients during the time period patients are evaluated for
Dose Limiting Toxicities (DLTs) must be submitted on a weekly basis. Generally, for all
phase II patients, data are due at the end of every cycle.
This is a general template. Data Submission language can be revised as make sense for
each protocol. A detailed data submission guideline must be included as a separate
document for all NU IITs determined to require high or moderate level intensity
monitoring. To develop your data submission guideline, contact
[email protected].
11.5
Version Date:
Instructions for Participating Sites
Remove this language if no additional sites are planned.
Before the study can be initiated at any site, the following documentation must be
provided to the Clinical Research Office at Northwestern University:
 Signed and completed Letter of Invitation to participate in the study.
 Signed copy of Northwestern University’s Data Monitoring Committee policy
pertaining to data submission.
 Draft informed consent form should for review/approval prior to submission to the
local IRB
 A copy of the official IRB approval letter for the protocol and informed consent.
 CVs and medical licensure for the local PI and any sub-investigators who will be
involved in the study at the site.
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)

Form FDA 1572 appropriately filled out and signed with appropriate documentation.
Additional activities may be required prior to site activation (i.e. contract execution, studyspecific training). Full requirements will be outlined in a memo upon receipt of the signed
Letter of Invitation.
11.6
Data Management and Monitoring/Auditing
This study will be conducted in compliance with the Data Safety Monitoring Plan (DSMP)
of the Robert H. Lurie Comprehensive Cancer Center of Northwestern University (please
refer to NOTIS for additional information). The level of risk attributed to this study requires
{insert risk level from SRC approval letter for LOI}, as outlined in the DSMP. The
assigned QAM, with oversight from the Data Monitoring Committee, will monitor this
study in accordance with the study phase and risk level. Please refer to the NOTIS for
additional data submission instructions.
11.7
Adherence to the Protocol
Except for an emergency situation in which proper care for the protection, safety, and
well-being of the study patient requires alternative treatment, the study shall be
conducted exactly as described in the approved protocol.
11.6.1 Emergency Modifications
Investigators may implement a deviation from, or a change of, the protocol to
eliminate an immediate hazard(s) to trial subjects without prior IRB approval.
For any such emergency modification implemented, an IRB modification form
must be completed within 5 business days of making the change, and the QAM
must be notified within 24 hours of such change.
11.6.2 Other Protocol Deviations
All other deviations from the protocol must be reported to the assigned QAM
using the appropriate form.
A protocol deviation is any unplanned variance from an IRB approved protocol
that:
 Is generally noted or recognized after it occurs.
 Has no substantive effect on the risks to research participants.
 Has no substantive effect on the scientific integrity of the research plan or the
value of the data collected.
 Did not result from willful or knowing misconduct on the part of the
investigator(s).
A protocol deviation may be considered an instance of Promptly Reportable NonCompliance (PRNC) if it:
 Has harmed or increased the risk of harm to one or more research
participants.
 Has damaged the scientific integrity of the data collected for the study.
 Results from willful or knowing misconduct on the part of the investigator(s).
 Demonstrates serious or continuing noncompliance with federal regulations,
State laws, or University policies.
11.8
Version Date:
Investigator Obligations
The Principal Investigator is responsible for the conduct of the clinical trial at the site in
accordance with Title 21 of the Code of Federal Regulations and/or the Declaration of
Helsinki. The PI is responsible for personally overseeing the treatment of all study
patients. The PI must assure that all study site personnel, including sub-investigators and
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
other study staff members, adhere to the study protocol and all FDA/GCP/NCI
regulations and guidelines regarding clinical trials both during and after study completion.
The Principal Investigator at each institution or site will be responsible for assuring that all
the required data will be collected, entered onto the appropriate eCRFs, and submitted
within the study-specific timeframes. Periodically, monitoring visits may be conducted and
the Principal Investigator will provide access to his/her original records to permit
verification of proper entry of data. The study may also be subject to routine audits by the
Audit Committee, as outlined in the DSMP.
11.9
Publication Policy
This section should be removed if the trial is not rated as a high intensity trial.
All potential publications and/or data for potential publications (e.g. manuscripts,
abstracts, posters, clinicaltrials.gov releases) must be approved in accordance with the
policies and processes set forth in the Lurie Cancer Center DSMP. For trials that require
high intensity monitoring, the assigned QAM will prepare a preliminary data summary (to
be approved by the DMC) no later than 3 months after the study reaches its primary
completion date (the date that the final subject is examined or receives an intervention for
the purposes of final data collection for the primary endpoint). If the investigator’s wish to
obtain DMC-approved data prior to this point (or prior to the point dictated by study
design), the PI must send a written request for data to the QAM which includes
justification. If the request is approved, data will be provided no later than 4 weeks after
this request approval. The data will be presented to the DMC at their next available
meeting, and a final, DMC-approved dataset will be released along with any DMC
decisions regarding publication. The investigators are expected to use only DMCapproved data in future publications. The investigators should submit a copy of the
manuscript to the biostatistician to confirm that the DMC-approved data are used
appropriately. Once the biostatistician gives final approval, the manuscript may be
submitted to external publishers.
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
REFERENCES
Version Date:
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NU Study Number: Will be assigned by SRC Coordinator
Other Study Number: Other reference numbers used by external collaborators (if applicable)
APPENDICES
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