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Levels of Evidence,
Recommendations & Phases of
Clinical Trials
Dr SD sanyal
Lt Col Priyaranjan
Cl Spl Surg & GI Surgeon
Levels of Evidence
Evidence Based Medicine
• Dr. David Sackett is the most cited proponent and
author regarding the topic of evidence-based
medicine (EBM)
• Definition:
- “Evidence based medicine is the conscientious,
explicit, and judicious use of current best
evidence in making decisions about the care of
individual patients. The practice of evidence-
based medicine means integrating individual
clinical expertise with the best available external
clinical evidence from systematic research”.
Levels of Evidence
Levels of Evidence
• The levels of evidence outlined by Sackett and his colleagues in
2000:
• 1A = Systematic Review of Randomized Controlled Trials (RCTs)
• 1B = RCTs with Narrow Confidence Interval
• 1C = All or None Case Series
• 2A = Systematic Review Cohort Studies
• 2B = Cohort Study/Low Quality RCT
• 2C = Outcomes Research
• 3A = Systematic Review of Case-Controlled Studies
• 3B = Case-controlled Study
• 4 = Case Series, Poor Cohort, Case Controlled
• 5 = Expert Opinion
Levels of Evidence
• As defined by Hadorn and colleagues
• Level A:
- Well conducted RCT with 100 or more patients (including
meta-analysis)
• Level B:
- Well-conducted case-control study
- Poorly controlled or uncontrolled RCT with one or more
major or
three or more minor methodological flaws
-Observational studies with high potential for bias
- Case series or case reports
• Level C:
- Expert opinion
Grades of Recommendation
Clinical Trials & Phases
• Definition
• Purpose of trials
• Phases of trial
• RCT
• Case control studies
• Cohort Studies
• Case studies and case reports
• Systematic review
• Meta-analysis
Clinical Trials
• Clinical trials are sets of tests in medical research and
drug development that generate safety and efficacy
data
• Generate information about adverse drug reactions
and adverse effects of other treatments for health
interventions e.g.,
- drugs
- diagnostics
- device
- therapy protocols
Purpose of trials
• Assess the safety and effectiveness of a new medication or device
on a specific kind of patient
• Assess the safety and effectiveness of a different dose of a
medication than is commonly used
• Assess the safety and effectiveness of an already marketed
medication or device for a new indication
• Assess whether the new medication or device is more effective for
the patient's condition than the already used, standard medication
or device
• Compare the effectiveness in patients with a specific disease of
two or more already approved or common interventions for that
disease
Phases of trials
• Phase 0: Pharmacodynamics and
Pharmacokinetics
• Phase 1: Screening for safety
• Phase 2: Establishing the efficacy of the drug,
usually against a placebo
• Phase 3: Final confirmation of safety and
efficacy
• Phase 4: Sentry studies during sales
Phases of trials
• Phase 0 trials :
- First-in-human trials
- Single sub-therapeutic doses of the study drug are given to a small
number of subjects (10 to 15) to gather preliminary data on the
agent's pharmacodynamics and pharmacokinetics
• In Phase 1 trials:
- Researchers test an experimental drug or treatment in a small
group of people
(20-80) for the first time to evaluate - its safety
- determine a safe dosage range
- identify side effects
• In Phase 2 trials:
- The experimental treatment is given to a larger group of people
(100-300) to see if it is effective and to further evaluate its safety
Phases of trials
• In Phase 3 trials:
- The treatment is given to large groups of
people (1,000-3,000) to confirm its:
a. Effectiveness
b. Monitor side effects
c. Compare it to commonly used treatments
d. Collect information that will allow it to be used
safely
• In Phase 4 trials:
- Postmarketing studies delineate additional information:
- including the treatment's risks
- benefits
- optimal use
Randomized Control Trials
• Study involves the randomization procedure
• Subjects in the study are randomly allocated to each group included
in the study
• Each subject has an equal chance of being assigned into an
intervention group, a control group, a placebo group or a sham
treatment group
• Eliminates the over-representation of any one characteristic in one
group
• It eliminates any bias in the assignments of individuals to
• Randomized controlled trials are known to be the ‘GoldStandard’
for establishing the effects of a treatment
Case Control Studies
• This design involves choosing 2 patients or 2
groups of patients who were exposed to 2
different interventions
• The investigator retrospectively looks back to
which group or patient achieved a better
outcome
Cohort Studies
• This design is also called a prospective study, or a
longitudinal study
• It involves the selection of a large population of
people who have the same condition and/or
receive a specific intervention
• They are followed over time and compared to a
group not affected by the condition
• This study employs observation as the research
methodology
• The interventions are not manipulated
Case Series & Case Reports
• Case series:
- Reports on a series of patients with a pre-
identified problem
• Case reports:
- This involves a report on the intervention
and outcome for a single patient
Systematic review
• Systematic review is usually restricted to RCTs
• A group of reviewers search the available literature via
bibliographic databases and retrieve copies of all the
articles written on a specific topic
• Critical evaluation of the methodologies and content
• The final product is a synthesis of the properly
completed and meaningful research into information
that is relevant to practicing medical
practitioners/clinicians
• Meta-analysis:
- A subset of systematic reviews that use statistical
methods to combine analyze multiple investigations
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Levels of evidence, recommendations & phases of

  • 1. Levels of Evidence, Recommendations & Phases of Clinical Trials Dr SD sanyal Lt Col Priyaranjan Cl Spl Surg & GI Surgeon
  • 3. Evidence Based Medicine • Dr. David Sackett is the most cited proponent and author regarding the topic of evidence-based medicine (EBM) • Definition: - “Evidence based medicine is the conscientious, explicit, and judicious use of current best evidence in making decisions about the care of individual patients. The practice of evidence- based medicine means integrating individual clinical expertise with the best available external clinical evidence from systematic research”.
  • 5. Levels of Evidence • The levels of evidence outlined by Sackett and his colleagues in 2000: • 1A = Systematic Review of Randomized Controlled Trials (RCTs) • 1B = RCTs with Narrow Confidence Interval • 1C = All or None Case Series • 2A = Systematic Review Cohort Studies • 2B = Cohort Study/Low Quality RCT • 2C = Outcomes Research • 3A = Systematic Review of Case-Controlled Studies • 3B = Case-controlled Study • 4 = Case Series, Poor Cohort, Case Controlled • 5 = Expert Opinion
  • 6. Levels of Evidence • As defined by Hadorn and colleagues • Level A: - Well conducted RCT with 100 or more patients (including meta-analysis) • Level B: - Well-conducted case-control study - Poorly controlled or uncontrolled RCT with one or more major or three or more minor methodological flaws -Observational studies with high potential for bias - Case series or case reports • Level C: - Expert opinion
  • 8.
  • 10. • Definition • Purpose of trials • Phases of trial • RCT • Case control studies • Cohort Studies • Case studies and case reports • Systematic review • Meta-analysis
  • 11. Clinical Trials • Clinical trials are sets of tests in medical research and drug development that generate safety and efficacy data • Generate information about adverse drug reactions and adverse effects of other treatments for health interventions e.g., - drugs - diagnostics - device - therapy protocols
  • 12. Purpose of trials • Assess the safety and effectiveness of a new medication or device on a specific kind of patient • Assess the safety and effectiveness of a different dose of a medication than is commonly used • Assess the safety and effectiveness of an already marketed medication or device for a new indication • Assess whether the new medication or device is more effective for the patient's condition than the already used, standard medication or device • Compare the effectiveness in patients with a specific disease of two or more already approved or common interventions for that disease
  • 13. Phases of trials • Phase 0: Pharmacodynamics and Pharmacokinetics • Phase 1: Screening for safety • Phase 2: Establishing the efficacy of the drug, usually against a placebo • Phase 3: Final confirmation of safety and efficacy • Phase 4: Sentry studies during sales
  • 14. Phases of trials • Phase 0 trials : - First-in-human trials - Single sub-therapeutic doses of the study drug are given to a small number of subjects (10 to 15) to gather preliminary data on the agent's pharmacodynamics and pharmacokinetics • In Phase 1 trials: - Researchers test an experimental drug or treatment in a small group of people (20-80) for the first time to evaluate - its safety - determine a safe dosage range - identify side effects • In Phase 2 trials: - The experimental treatment is given to a larger group of people (100-300) to see if it is effective and to further evaluate its safety
  • 15. Phases of trials • In Phase 3 trials: - The treatment is given to large groups of people (1,000-3,000) to confirm its: a. Effectiveness b. Monitor side effects c. Compare it to commonly used treatments d. Collect information that will allow it to be used safely • In Phase 4 trials: - Postmarketing studies delineate additional information: - including the treatment's risks - benefits - optimal use
  • 16. Randomized Control Trials • Study involves the randomization procedure • Subjects in the study are randomly allocated to each group included in the study • Each subject has an equal chance of being assigned into an intervention group, a control group, a placebo group or a sham treatment group • Eliminates the over-representation of any one characteristic in one group • It eliminates any bias in the assignments of individuals to • Randomized controlled trials are known to be the ‘GoldStandard’ for establishing the effects of a treatment
  • 17. Case Control Studies • This design involves choosing 2 patients or 2 groups of patients who were exposed to 2 different interventions • The investigator retrospectively looks back to which group or patient achieved a better outcome
  • 18. Cohort Studies • This design is also called a prospective study, or a longitudinal study • It involves the selection of a large population of people who have the same condition and/or receive a specific intervention • They are followed over time and compared to a group not affected by the condition • This study employs observation as the research methodology • The interventions are not manipulated
  • 19. Case Series & Case Reports • Case series: - Reports on a series of patients with a pre- identified problem • Case reports: - This involves a report on the intervention and outcome for a single patient
  • 20. Systematic review • Systematic review is usually restricted to RCTs • A group of reviewers search the available literature via bibliographic databases and retrieve copies of all the articles written on a specific topic • Critical evaluation of the methodologies and content • The final product is a synthesis of the properly completed and meaningful research into information that is relevant to practicing medical practitioners/clinicians • Meta-analysis: - A subset of systematic reviews that use statistical methods to combine analyze multiple investigations