title: Some essential considerations in the design and conduct of non-inferiority trials.
abstract: BACKGROUND
  Suppose a standard therapy (Standard) has been established to provide a clinically important reduction in risk of irreversible morbidity or mortality. In that setting, the safety and efficacy of an experimental intervention likely would be assessed in a clinical trial providing a comparison with Standard rather than a placebo arm. Such a trial often is designed to assess whether the efficacy of the experimental intervention is not unacceptably worse than that of Standard, and is called a non-inferiority trial. Formally, the non-inferiority trial usually is designed to rule out a non-inferiority margin, defined as the minimum threshold for what would constitute an unacceptable loss of efficacy.
  
  
  OBJECTIVE
  Even though the literature has many important articles identifying various approaches to the design and conduct of non-inferiority trials, confusion remains especially regarding key considerations for selecting the non-inferiority margin. The purpose of this article is to provide improved clarity regarding these considerations.
  
  
  METHODS
  We present scientific insights into many factors that should be addressed in the design and conduct of non-inferiority trials to enhance their integrity and reliability, and provide motivation for key considerations that guide the selection of non-inferiority margins. We also provide illustrations and insights from recent experiences.
  
  
  RESULTS
  Two considerations are essential, and should be addressed in separate steps, in the formulation of the non-inferiority margin. First, the margin should be formulated using adjustments to account for bias or lack of reliability in the estimate of the effect of Standard in the non-inferiority trial setting. Second, the non-inferiority margin should be formulated to achieve preservation of an appropriate percentage of the effect of Standard.
  
  
  CONCLUSIONS
  The considerations, in particular regarding the importance of preservation of effect, might not apply to settings where it would be ethical as well as clinically relevant to include both Standard and placebo arms in the trial for direct comparisons with the experimental intervention arm.
  
  
  CONCLUSIONS
  Non-inferiority trials with non-rigorous margins allow substantial risk for accepting inadequately effective experimental regimens, leading to the risk of erosion in quality of health care. The design and conduct of non-inferiority trials, including selection of non-inferiority margins, should account for many factors that can induce bias in the estimated effect of Standard in the non-inferiority trial and thus lead to bias in the estimated effect of the experimental treatment, for the need to ensure the experimental treatment preserves a clinically acceptable fraction of Standard's effect, and for the particular vulnerability of the integrity of a non-inferiority trial to the irregularities in trial conduct. Due to the inherent uncertainties in non-inferiority trials, alternative designs should be pursued whenever possible.
authors.affiliation: Department of Biostatistics, University of Washington, Seattle, WA 98195-7232, USA. tfleming@u.washington.edu
authors.forename: Thomas R
authors.initials: TR
authors.lastname: Fleming
authors.forename: Katherine
authors.initials: K
authors.lastname: Odem-Davis
authors.forename: Mark D
authors.initials: MD
authors.lastname: Rothmann
authors.forename: Yuan
authors.initials: Y
authors.lastname: Li Shen
mesh_terms: D015982:Bias; D018849:Controlled Clinical Trials as Topic / Q000379:methods* / Q000706:statistics & numerical data; D015987:Effect Modifier, Epidemiologic; D011786:Quality Control; D016032:Randomized Controlled Trials as Topic; D012107:Research Design / Q000592:standards; D016896:Treatment Outcome