Human Immunodeficiency Virus-1 Infection: Developing Antiretroviral Drugs for Treatment

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Human Immunodeficiency
Virus-1 Infection:
Developing Antiretroviral
Drugs for Treatment
Guidance for Industry
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
November 2015
Clinical/Antimicrobial
Revision 1

Human Immunodeficiency
Virus-1 Infection:
Developing Antiretroviral
Drugs for Treatment
Guidance for Industry
Additional copies are available from:
Office of Communications, Division of Drug Information
Center for Drug Evaluation and Research
Food and Drug Administration
10001 New Hampshire Ave., Hillandale Bldg., 4th Floor
Silver Spring, MD 20993-0002
Tel: 855-543-3784 or 301-796-3400; Fax: 301-431-6353; Email: druginfo@fda.hhs.gov
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm
U.S. Department of Health and Human Services
Food and Drug Administration
Center for Drug Evaluation and Research (CDER)
November 2015
Clinical/Antimicrobial
Revision 1

TABLE OF CONTENTS
I. 	INTRODUCTION............................................................................................................. 1
II. 	BACKGROUND ............................................................................................................... 2
III. 	DEVELOPMENT PROGRAM ....................................................................................... 6
A. 	General Considerations ................................................................................................................. 6
1. Pharmacology/Toxicology Development Considerations ................................................................ 6
2. Nonclinical Virology Development Considerations ........................................................................ 7
a. 	Mechanism of action ................................................................................................................. 8
b. 	Antiviral activity in cell culture ................................................................................................ 8
c. 	Cytotoxicity and mitochondrial toxicity ................................................................................... 8
d. 	Combination antiviral activity .................................................................................................. 9
e. 	Activity in animal models ......................................................................................................... 9
f. 	Resistance and cross-resistance ................................................................................................. 9
3. Drug Development Population ...................................................................................................... 10
4. Early Phase Clinical Development Considerations....................................................................... 11
a. 	First-in-human trials ................................................................................................................ 11
b. 	Phase 1b (proof-of-concept) trials........................................................................................... 11
c. 	Phase 2 trials and dose finding................................................................................................ 12
5. Efficacy Considerations ................................................................................................................. 12
6. Safety Considerations .................................................................................................................... 13
B. 	Specific Efficacy Trial Design Considerations .......................................................................... 14
1. Trial Design and Trial Population ................................................................................................ 14
2. Randomization, Stratification, and Blinding.................................................................................. 19
3. Choice of Controls ......................................................................................................................... 20
4. Efficacy Endpoints ......................................................................................................................... 21
5. Trial Procedures and Timing of Assessments ................................................................................ 21
6. Statistical Considerations .............................................................................................................. 22
a. 	Analysis populations ............................................................................................................... 22
b. 	Efficacy analyses .................................................................................................................... 22
c. 	Noninferiority margin ............................................................................................................. 23
d. 	Missing data ............................................................................................................................ 23
e. 	Interim analyses and data monitoring committees .................................................................. 24
f. 	Other analyses of interest and secondary endpoints ................................................................ 24
g. 	Statistical analysis plan ........................................................................................................... 24
h. 	Submission of data and programs ........................................................................................... 25
7. Accelerated Approval (Subpart H) Considerations ....................................................................... 25
C. 	Other Considerations................................................................................................................... 26
1. Clinical Virology Considerations .................................................................................................. 26
2. Pharmacokinetic/Pharmacodynamic Considerations.................................................................... 27
3. Pediatric Populations .................................................................................................................... 28
4. Early Access/Treatment INDs........................................................................................................ 29
REFERENCES............................................................................................................................ 31
APPENDIX A: RECOMMENDED APPROACH FOR EVALUATING VIROLOGIC
RESPONSE IN CLINICAL TRIALS SUPPORTING ANTIRETROVIRAL APPROVALS. 33
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APPENDIX B: NONINFERIORITY MARGIN RECOMMENDATIONS AND
JUSTIFICATIONS ..................................................................................................................... 39
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Human Immunodeficiency Virus-1 Infection: Developing
Antiretroviral Drugs for Treatment
Guidance for Industry1
This guidance represents the current thinking of the Food and Drug Administration (FDA or Agency) on
this topic. It does not create any rights for any person and is not binding on FDA or the public. You can
use an alternative approach if it satisfies the requirements of the applicable statutes and regulations. To
discuss an alternative approach, contact the FDA staff responsible for this guidance as listed on the title
page.
I. 	INTRODUCTION
This guidance provides recommendations for the development of antiretroviral drugs regulated
within the Center for Drug Evaluation and Research at the Food and Drug Administration (FDA)
for the treatment of human immunodeficiency virus-1 (HIV-1 or HIV) infection.2 Specifically,
this guidance addresses the FDA’s current thinking regarding the overall development program
and clinical trial designs for antiretroviral drugs to support an indication for the treatment of
HIV-1 infection. The organization of the guidance parallels the development plan for a
particular drug or biologic.
This guidance does not address the use of antiretroviral drugs for preventing transmission of
HIV-1 infection. Also, this guidance does not address the development of therapeutics without
antiviral mechanisms, intended to mitigate or reverse clinical or pathophysiological outcomes of
immunologic suppression caused by HIV-1 infection.
Additionally, this guidance does not contain discussion of the general issues of statistical
analysis or clinical trial design. Those topics are addressed in the ICH guidances for industry E9
Statistical Principles for Clinical Trials and E10 Choice of Control Group and Related Issues in
Clinical Trials, respectively.3 This guidance also does not contain details regarding nonclinical
1 This guidance has been prepared by the Division of Antiviral Products in the Center for Drug Evaluation and
Research at the Food and Drug Administration.
2 For the purposes of this guidance, all references to drugs include both human drugs and therapeutic biological
products unless otherwise specified.
3 We update guidances periodically. To make sure you have the most recent version of a guidance, check the FDA
Drugs guidance Web page at
http://www.fda.gov/Drugs/GuidanceComplianceRegulatoryInformation/Guidances/default.htm.
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safety and toxicology studies that should be conducted in standard animal models as described in
the guidance for industry Nonclinical Safety Evaluation of Drug or Biologic Combinations.
In general, FDA’s guidance documents do not establish legally enforceable responsibilities.
Instead, guidances describe the Agency’s current thinking on a topic and should be viewed only
as recommendations, unless specific regulatory or statutory requirements are cited. The use of
the word should in Agency guidances means that something is suggested or recommended, but
not required.
II. 	BACKGROUND
Brief summaries of HIV infection, HIV treatment, and the regulatory history of antiretroviral
drug development are included below to support the rationale for this drug development
guidance.
HIV Infection and Treatment
HIV infection is a chronic viral infection that, when untreated, causes a progressive destruction
of the immune system resulting in acquired immunodeficiency syndrome (AIDS). The key
component of the immune deficiency associated with untreated HIV replication is a marked
reduction in cluster of differentiation 4 (CD4) positive T-cells, but derangements in other
immunologic parameters also play a role in the immune deficiency syndrome. AIDS is defined
as the presence of HIV infection with a CD4+ cell count fewer than 200 cells/millimeter (mm)3
and/or the presence of an AIDS-defining clinical condition, which includes any number of
opportunistic infections, malignancies, or other clinical syndromes as defined by the Centers for
Disease Control and Prevention (CDC 2014).
Current treatment of HIV consists of a combination of antiretroviral drugs, typically three drugs
from two or more classes. Sometimes more than three drugs are used in patients who have been
treated previously and are known or presumed to harbor viral strains with reduced susceptibility.
In addition, some combination antiretroviral therapy (cART) regimens include a drug that
increases or prolongs exposures of one or more drugs in the regimen because of an intentional
drug interaction.
The goal of antiretroviral treatment is to indefinitely maintain suppression of plasma HIV-
ribonucleic acid (RNA) levels (also called viral load) below the level of detection of sensitive
HIV-RNA assays (less than the lower limit of quantification, target not detected). The
Department of Health and Human Services (HHS) Guidelines for the use of antiretroviral agents
in HIV-1-infected adults and adolescents provides recommended regimens for initiating first-line
therapy in treatment-naïve patients.4 If a recommended regimen fails, there are numerous other
drugs that can be used in a variety of possible combinations. Continued suppression of HIV
4 Guidelines for the Use of Antiretroviral Agents in HIV-1-Infected Adults and Adolescents, Department of Health
and Human Services Panel on Antiretroviral Guidelines for Adults and Adolescents — A Working Group of the
Office of AIDS Research Advisory Council (http://aidsinfo.nih.gov/contentfiles/AdultandAdolescentGL.pdf).
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RNA can be maintained indefinitely in the majority of individuals who adhere to appropriate
cART regimens.
Regulatory History of Antiretroviral Drug Development and Approval
Most antiretroviral drugs initially entered the market via accelerated approval based on changes
in surrogate endpoints, primarily plasma HIV-RNA levels but also CD4+ cell counts, before
routine monitoring with HIV-RNA. Before 1997, traditional approvals were based on clinical
endpoint trials assessing the effects of a drug on mortality and/or progression of HIV disease.
With the success of combination therapy, subsequent decline of HIV-related illnesses (Palella et
al. 1998; Hogg et al. 1999), and the routine use of HIV-RNA monitoring to assess response to
treatment, it became clear that a requirement for clinical endpoint trials for every traditional
approval was no longer feasible. In July 1997, we convened an advisory committee meeting to
consider the use of changes in HIV-RNA levels as endpoints in clinical trials supporting
traditional approval of antiretrovirals.5
In 1996 and 1997, a collaborative group of pharmaceutical, academic, and government scientists
investigated relationships between treatment-induced changes in HIV-RNA levels and clinical
endpoints collected from ongoing and completed antiretroviral trials (Murray et al. 1999; Hill et
al. 1999). Several analyses of more than 5,000 patients in multiple trials identified a relationship
between initial decreases in plasma HIV-RNA levels and reduction in the risk of clinical
progression and death. This relationship was observed across a range of patient characteristics
including pretreatment CD4+ cell counts and HIV-RNA levels, prior drug experience, and
treatment regimen (Marschner et al. 1998).
Based on these data, the Antiviral Drug Advisory Committee concluded that treatment-induced
decreases in HIV-RNA levels were highly predictive of meaningful clinical benefit and that
HIV-RNA measurements could serve as endpoints in trials designed to support both accelerated
and traditional approvals. Specifically, the committee stated that accelerated approvals could be
based on studies that show a drug’s contribution toward shorter term reductions in HIV-RNA
(e.g., 24 weeks), a surrogate endpoint “reasonably likely to produce clinical benefits,” while
traditional approvals could be based on trials that show a drug’s contribution toward durability of
HIV-RNA suppression (e.g., for at least 48 weeks), a surrogate endpoint more convincingly
related to long-term benefit in the setting of life long therapy. The committee also recommended
that changes in CD4+ cell counts be consistent with observed HIV-RNA changes when
considering approval of an antiretroviral drug.
5 See http://www.fda.gov/ohrms/dockets/ac/97/transcpt/3303t1.pdf.
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Subsequently, additional data further supported the utility of an endpoint of viral load
suppression for predicting a clinical benefit in HIV progression. Such data include:
 	Analysis of 12 clinical endpoint trials (originally submitted to the FDA in support of
approval) that showed that a difference of a 0.5 logarithm (log) HIV-RNA reduction from
baseline between treatment arms was also associated with a reduction in clinical disease
progression
 	Results from the Strategies for Management of Antiretroviral Therapy (SMART) trial
that showed a strategy of continuous viral suppression provided a lower risk of disease
progression than a strategy of drug conservation that allowed for treatment holidays until
CD4+ cell counts declined to a specified amount (SMART Study Group 2006)
 	Epidemiologic reports (Hogg et al. 1999) that showed the current treatment strategy of
maximal viral suppression with combination antiretroviral treatment has dramatically
reduced AIDS morbidity and mortality
 	Data from numerous trials that showed incomplete viral suppression results in emergence
of viral resistance, viral rebound, and loss of efficacy of individual drugs and sometimes
entire drug classes
All drugs that received accelerated approval, either before 1997 or since that time, have
subsequently received traditional approval. Since 1997, 13 antiretroviral drugs entered the
market via an accelerated approval based on 24-week changes in HIV-1 RNA. All of these
drugs were confirmed to have durable virologic suppression at 48 weeks and beyond. Although
a percentage of people on cART develop virologic failure over time, in no case did longer term
data reveal that a drug lost the efficacy initially seen at time of accelerated approval. However,
longer term data have shown more subtle differences between treatment arms comparing
different drugs or dosing regimens and have been useful for choosing optimal doses or preferred
regimens in treatment guidelines.
Given that HIV-RNA is a validated surrogate for predicting efficacy of antiretrovirals, a
paradigm of accelerated approval (based on viral load changes at 24 weeks) followed by
traditional approval (based on viral load changes at 48 weeks) is no longer needed for the
development of antiretrovirals. Instead traditional approval can be the initial approval for all
antiretroviral drugs, with the duration of viral load assessments dependent on the population
studied, as will be described in this guidance. Table 1 summarizes recommended treatment
durations to support approvals of indications for the listed groups. The general groups of patient
types included in Table 1 take into account both viral susceptibility and treatment history.
Because patients in Group 2 and Group 3 have characteristics that may overlap, decisions
regarding which group best describes a particular individual will be a matter of clinical judgment
to some extent. Because community drug resistance profiles and the availability of new drugs
change over time, sponsors may develop protocol inclusion criteria for Group 2 patients that best
describe a multidrug resistant population for which their particular investigational drug would be
suitable at the time of enrollment in a protocol.
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Table 1: Recommendations for Efficacy and Safety Determination Time Points According
to HIV Patient Population6
Patient Population 	Efficacy Determination
Time Point
Safety Determination
Time Point
Group 1:
Fully susceptible to all
approved drugs, treatment
naïve, or previous treatment
with a well-documented
treatment history
demonstrating no virologic
failure.
Virologic response at 48
weeks
Safety outcomes through 48
weeks
Group 2:
Drug resistance to multiple
drugs and multiple drug
classes. Not able to
construct a treatment
regimen that can suppress
HIV-RNA to levels below
assay quantification limits.
Virologic response at 2
weeks (or less) plus
virologic follow-up at 24
weeks
Safety outcomes through 24
weeks
Group 3:
Drug resistance present and
able to construct a treatment
regimen that can suppress
HIV-RNA to levels below
assay quantification limits.
Virologic response at 24-48
weeks*
Safety outcomes through
24-48 weeks
* Twenty-four weeks of data is appropriate for drugs that have some benefit over existing options (e.g., better
efficacy, tolerability, ease of administration), while 48 weeks is recommended for drugs with comparable
characteristics to existing options.
6 The terminology Group 1 patients, treatment-naïve patients, and patients who received previous treatment with a
well-documented treatment history demonstrating no virologic failure are used interchangeably throughout the
guidance. Similarly, treatment-experienced (with virologic failure) refers to either Group 2 or Group 3 and the
terms are used interchangeably throughout the guidance.
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III. 	DEVELOPMENT PROGRAM
A. 	General Considerations
1. 	Pharmacology/Toxicology Development Considerations
Pharmacology/toxicology development for HIV-1 antivirals should follow existing guidances for
drug development (see, for example, section III.C.3., Pediatric Populations).7
The above-referenced guidances suggest that nonclinical combination studies generally should
be conducted to support clinical trials for combination drugs involving two or more entities in
early stages of development. In the ICH guidance for industry M3(R2) Nonclinical Safety
Studies for the Conduct of Human Clinical Trials and Marketing Authorization for
Pharmaceuticals, section I.C., Scope of the Guidance, states, “Pharmaceuticals under
development for indications in life-threatening or serious diseases (e.g., advanced cancer,
resistant HIV infection, and congenital enzyme deficiency diseases) without current effective
therapy also warrant a case-by-case approach to both the toxicological evaluation and clinical
development in order to optimize and expedite drug development.”
For new HIV drug combinations of two or more early stage entities that are not expected to offer
benefits over currently effective therapy, combination toxicology studies usually should precede
phase 2 and phase 3 clinical trials evaluating the investigational combination as referenced in
ICH M3(R2) cited above. Usually no more than two drugs should be tested simultaneously in a
particular arm of a toxicology study. However, the evaluation of more than two drugs and the
inclusion of a combination arm in a general toxicology study can also be considered. The design
of such studies should be discussed with the Division of Antiviral Products (DAVP). For
combinations that are expected to offer benefits over currently effective therapy, such as treating
drug-resistant HIV in patients with few remaining options or substantially improving treatment
response in other patient groups, the FDA may conclude the benefits of these combinations
outweigh the potential risks of foregoing the combination toxicology studies when all of the
following apply:
 	Mechanisms of action or in vitro data of potential off-target effects do not suggest a
potential for additive or synergistic toxicity of significant clinical concern.8
 	Studies in animals or humans of absorption, distribution, metabolism, and excretion of
the individual drugs show no potential for an unmanageable interaction (one that cannot
be addressed with dose adjustments) or serious toxicity for the combination.
7 See the ICH guidances for industry M3(R2) Nonclinical Safety Studies for the Conduct of Human Clinical Trials
and Marketing Authorization for Pharmaceuticals and S6 Preclinical Safety Evaluation of Biotechnology-Derived
Pharmaceuticals.
8 If in vitro signals are investigated and found not to be relevant in vivo, this point can be disregarded.
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 	Toxicology studies (of at least 3 months duration) of the individual drugs show an
appropriate safety margin9 for the intended clinical dose(s) or exposures for toxicities that
are potentially serious and/or unable to be adequately monitored clinically.
 	Phase 1 clinical data in healthy volunteers or HIV-infected patients receiving the
individual drugs show no substantial or unmanageable safety concerns. Phase 1 data
should include single- and multiple-dose pharmacokinetic (PK) and safety trials, at a
minimum. Additional safety data from phase 1 and phase 2 trials with the individual
drugs are encouraged when possible and may be warranted if one or more of the drugs
demonstrate a potential serious safety risk.
 	There are no concerning overlapping toxicities for the individual drugs based on animal
toxicology studies and phase 1 or phase 2 clinical data (if available).
 	Clinically significant PK drug-drug interactions are considered unlikely or can be reliably
managed with dose adjustments such that safety margins based on individual drug
exposures are not exceeded.
After considering the above points, sponsors should discuss with the DAVP the design, rationale,
and/or potential requirement for conducting combination toxicology studies. Generally,
combination trials in healthy volunteers should not be the first-in-human trials for the individual
drugs unless the drugs cannot be administered separately and unless combination toxicology
studies have been completed according to ICH guidance.
Nonclinical combination toxicology/safety studies of an early stage antiretroviral drug plus an
approved or late-stage antiretroviral drug generally are not warranted and are not feasible
because individual antiretrovirals are often combined with multiple other antiretrovirals in
multiple different regimens over a lifetime of treatment. Therefore, unless data from nonclinical
studies of an early stage investigational antiretroviral suggest a potential for serious synergistic
toxicity with an approved therapeutic drug combination, we do not anticipate nonclinical
combination toxicology studies.
Applicants can choose to submit carcinogenicity studies with an initial new drug application
(NDA) or as required postmarketing studies.
2. 	Nonclinical Virology Development Considerations
Antiretrovirals for the treatment of HIV-1 should be tested in cell culture for antiviral activity
before submission of an initial investigational new drug application (IND). Information about
9 The margin will depend on the nature of the toxicologic/pathologic findings. Margins much greater than 10 may
be needed for life-threatening toxicities, while margins less than 10 may be appropriate for less serious toxicities.
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pre-INDs and information regarding appropriate nonclinical assays is available from the FDA.10
Additional recommendations for general antiviral drug development can be found in the
guidance for industry Antiviral Product Development — Conducting and Submitting Virology
Studies to the Agency.
a. 	Mechanism of action
The mechanism by which an antiretroviral drug specifically inhibits HIV replication or a virus-
specific function should be investigated in studies that include evaluation of the effect of the
drug on relevant stages of the virus life cycle. Mechanism of action investigations should
include appropriate controls for assessing the specificity of anti-HIV activity, which may include
assessments of activity against HIV proteins that are not targeted by the investigational drug,
relevant host proteins, and other viruses.
b. 	Antiviral activity in cell culture
The antiviral activity of a new drug should be characterized in cell culture to demonstrate anti-
HIV activity and identify a target plasma concentration for evaluation in HIV-infected patients.
Anti-HIV activity studies should include assessments against a broad range of clinical and
laboratory viral isolates including different groups and subtypes (or clades). The effective
concentration (EC) at which virus replication is inhibited by 50 and 90 percent (e.g., EC50 and
EC90 for cell-based assays; inhibitory concentration (IC50 ) and IC90 for biochemical or
subcellular assays) should be determined using a quantitative assay.
Sequestration of the drug by serum proteins also should be assessed and a serum-adjusted EC50
value determined. We recommend evaluation of the drug’s antiviral activity at different
concentrations of human serum and extrapolation to a 100 percent human serum EC50 value.
c. 	Cytotoxicity and mitochondrial toxicity
The cytotoxic effects of the drug should be quantified directly in the cells used for assessing anti-
HIV activity, and a 50 percent cytotoxic concentration (CC50 ) and a therapeutic index should be
calculated. Cytotoxicity should be assessed using various human cell lines and primary cells
cultured under proliferating and nonproliferating conditions. Some investigational drugs (e.g.,
active triphosphate of nucleoside analog inhibitors) should be evaluated in biochemical assays
for activity against host deoxyribonucleic acid (DNA) polymerases and mitochondrial DNA and
RNA polymerases (Arnold et al. 2012).
Additionally, it is important to examine the effects of investigational drugs on mitochondrial
toxicity (e.g., lactic acid production, mitochondrial DNA content, mitochondrial morphology,
glucose utilization) early in development before dosing humans. When mitochondrial toxicity is
evaluated, experimental conditions should be justified based on current best practices (e.g.,
10 See the FDA Web site at
http://www.fda.gov/Drugs/DevelopmentApprovalProcess/HowDrugsareDevelopedandApproved/ApprovalApplicati
ons/InvestigationalNewDrugINDApplication/Overview/ucm077546.htm.
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examining mitochondrial toxicity in both glucose-containing medium and galactose-containing
medium (Marroquin et al. 2007; Hynes et al. 2013)). Cytotoxicity and mitochondrial toxicity
assessments under proliferating conditions should be evaluated with drug exposures for several
cell divisions. These biochemical and cell-based assessments for potential cellular and
mitochondrial toxicity should be performed as a complement to in vivo toxicology assessments
and not in lieu of in vivo studies. Results from these studies should be interpreted in the context
of the in vivo toxicology, nonclinical, and clinical PK data to help assess clinical risk.
d. 	Combination antiviral activity
We anticipate that most, if not all, antiretrovirals will be used to treat HIV-1 in combination with
other approved drugs. Early in development, cell culture combination antiviral activity
relationships of the new drug with two representatives of each antiretroviral drug class should be
evaluated to determine whether the combination antiviral activity is antagonistic. If antagonism
is seen with either member of a class, all members of the class should be evaluated. Additional
combination antiviral activity studies with other investigational antiretroviral drugs should be
conducted if future combination therapy with other drugs is anticipated. For all combination
antiviral activity assessments, sponsors should provide antagonism, additivity, or synergy values
(e.g., combination index values) when the two drugs are combined at or near their individual
EC50 values, and studies should include controls for cytotoxicity. Combination antiviral activity
relationships for HIV and hepatitis C virus (HCV) or hepatitis B virus (HBV) drugs with similar
mechanisms of action (e.g., nucleo(t)side analogue polymerase/reverse transcriptase inhibitors,
protease inhibitors) also should be assessed before testing combinations of the drugs in
HIV/HCV- or HIV/HBV-coinfected patients.
e. 	Activity in animal models
Demonstration of anti-HIV activity in an animal model is not required.
f. 	Resistance and cross-resistance
The ability of HIV to develop resistance to an antiretroviral when subjected to drug pressure
should be examined in appropriate cell culture models. Amino acid substitutions associated with
the development of resistance to the investigational drug should be determined and validated by
introducing the mutations into the HIV genome, and determining the conferred fold-shift in
susceptibility using appropriate cell culture and/or biochemical assays. Results from these
studies should be used to:
 	Identify resistance pathways
 	Assess whether the genetic barrier for resistance development is relatively high or low
(e.g., whether one mutation or multiple mutations confer drug resistance and whether few
or many passages with the drug are required for resistance to occur)
 	Predict whether the genetic barrier for resistance may vary as a function of in vivo
concentration of the new drug
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 	Assess the potential for cross-resistance with other anti-HIV drugs
 	Support the drug’s hypothesized mechanism of action
Resistance studies should include evaluation of the potential for cross-resistance, both to
approved drugs and also to drugs in development when possible, particularly focusing on those
in the same drug class and other classes targeting the same protein or protein complex. The
antiviral activity of the investigational drug should be assessed against mutant viruses that are
resistant to drugs within the same drug class as the investigational drug as well as a
representative sample of viruses resistant to other approved antiretroviral drugs.
3. 	Drug Development Population
We encourage the evaluation of antiretroviral drugs in a wide range of patients including
treatment-naïve and treatment-experienced patients (Groups 1 to 3), as appropriate. However,
the drug development population depends to a large extent on specific characteristics of the drug,
such as resistance profile, tolerability, pharmacologic profile, and route of administration. A
drug with a daily subcutaneous or intravenous route of administration may be appropriate for a
highly treatment-experienced patient with few remaining options, but generally is not appropriate
for a treatment-naïve individual. A drug with a favorable resistance profile that retains activity
to viral strains resistant to approved drugs is likely to fill an unmet medical need in treatment-
experienced patients. However, such a drug need not be restricted to treatment-experienced
patients if it is well tolerated and favorable in other aspects (e.g., convenient dosing schedule).
Investigational drugs intended for treatment-naïve patients should be at least as efficacious, well
tolerated, and convenient to administer as approved drugs for use in treatment-naïve patients and
ideally should have some favorable characteristic (e.g., tolerability, improved drug interaction
profile) for at least a subgroup of naïve patients if deficient in another aspect.
We encourage the study of antiretrovirals in patients having the greatest need for new drugs,
such as patients who cannot tolerate other antiretrovirals or have developed resistance to multiple
antiretrovirals. We realize that trials in heavily treatment-experienced patients may need to be
supported by preliminary data from trials in healthy volunteers and in HIV-infected populations
with little or no prior antiretroviral therapy to define preliminary activity, safety, and
pharmacokinetics.
HIV is a disease that is present worldwide and clinical trials typically are conducted
internationally. However, trials should include adequate U.S. patient representation and patients
infected with Clade B virus to ensure applicability of trial results to the U.S. population. An
adequate representation of males and females, races, ages, and weights are recommended during
all stages of drug development, especially in phase 3 trials. Inclusion of a diverse patient
population early in drug development may help to identify potential efficacy or safety issues and
can help to inform phase 3 trial designs. At an end-of-phase 2 meeting, sponsors are encouraged
to discuss with the DAVP the anticipated number of women and the racial representation in
clinical trials. Extending trial site enrollment caps to allow for enrollment of underrepresented
populations has also helped to increase trial diversity.
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4. 	Early Phase Clinical Development Considerations
a. 	First-in-human trials
For first-in-human trials, we recommend single- and multiple-ascending-dose trials in healthy
adult subjects to assess safety and pharmacokinetics and to avoid development of resistance that
could occur from subtherapeutic exposure in HIV-infected individuals.
b. 	Phase 1b (proof-of-concept) trials
The first proof-of-concept trial in HIV-infected patients should be a multiple-dose study that
allows for short-term (e.g., several days to 2 weeks depending on the drug class, resistance
profile in cell culture, potency, and pharmacokinetics) evaluation of a drug’s effect on reducing
HIV-RNA levels from baseline and also provides for evaluation of safety for a short duration.
Duration of monotherapy should be minimized to reduce the risk of resistance while still being
able to assess activity. Mean changes in HIV-RNA from baseline should be the primary
endpoint. Examples of proof-of-concept trials include:
 	A randomized placebo-controlled trial comparing the investigational drug as
monotherapy, at several dose levels, to placebo in HIV-infected patients who are
described in Group 1.11 The trial duration depends on the anticipated resistance barrier of
the drug based on cell culture studies. Some drugs with an anticipated low genetic barrier
to resistance would not be appropriate candidates for study in a monotherapy trial of any
duration. For drugs with a presumed low barrier to resistance, sponsors should discuss
proof-of-concept trials with the DAVP. Drugs with a presumed high barrier to resistance
emergence generally can be studied for up to 2 weeks.
 	A randomized placebo-controlled trial comparing the investigational drug, at several dose
levels as functional monotherapy to placebo in Group 2 or Group 3 HIV-infected patients
who are failing their current regimen.
Adding one new drug to a regimen not producing complete viral suppression is
sometimes referred to as functional monotherapy. Functional monotherapy is not
recommended for long durations. The primary assessment of activity should occur at
2 weeks (or perhaps sooner for some drugs). After the initial placebo-controlled
comparison of efficacy, patients can be followed on open-label treatment for longer
periods for safety, durability of response, and emergence of resistance. However, we
recommend that trials contain provisions for changing the background regimen after
2 weeks (or earlier) in an attempt to maximize the likelihood of a fully suppressive
regimen. Also, patients randomized to placebo can be allowed to receive the
investigational drug after 2 weeks (or earlier) in addition to an optimized background
11 Group 1 patients are recommended because they have many treatment options in the event of emergence of drug
resistance to the investigational drug and because they are less likely to have partial resistance at baseline that could
affect the determination of drug activity.
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regimen, provided that there are supporting pharmacology/toxicology data for longer
term administration.
c. 	Phase 2 trials and dose finding
The goal of early phase 2 trials is to characterize an active, tolerable, and safe dose(s) of an
antiretroviral drug as part of a combination regimen for further study in phase 3 trials. Sponsors
should conduct mechanistic modeling of the drug concentration-viral kinetics and the
concentration-safety profile from short-term monotherapy trials to choose doses for early phase 2
trials. As a general rule, doses selected for phase 2 should provide exposures expected to
exceed, by several-fold, the protein binding-adjusted, cell culture EC50 value of the drug for the
relevant HIV genotype/subtype. However, for some drug classes, specifically nucleo(t)side
reverse transcriptase inhibitors (NRTIs), intracellular triphosphate concentrations rather than
plasma concentrations are more related to pharmacodynamic effect. Sponsors should avoid
selecting doses that provide exposures that are expected to be subtherapeutic to reduce the risk of
selecting for resistant virus.
Phase 2 dose-ranging trials can have the same designs as recommended for phase 3 (see section
III.B., Specific Efficacy Trial Design Considerations), but generally should evaluate a wider
range of doses and should be smaller in scope such that preliminary safety and efficacy of the
doses can be assessed before larger trials. A 24- to 48-week trial duration generally should be
sufficient for phase 2 dose ranging trials. Phase 2 dose-ranging studies that have demonstrated a
significant dose response can provide supportive data for an approval of an antiretroviral drug.
Generally, dose-ranging studies should include a sufficient range of doses to demonstrate a dose-
or exposure-response relationship.
5. 	Efficacy Considerations
In general, NDAs should include at least two adequate and well-controlled trials conducted in the
proposed population(s) intended for labeling. Applicants can submit an NDA in a single
population, either treatment-naïve or treatment-experienced patients. Alternatively, applicants
can choose to pursue an indication for both treatment-naïve and -experienced patients. In this
circumstance, the NDA should contain at least one adequate and well-controlled phase 3 trial in
each patient population, with adequate supporting data from phase 2 trials. A trial in either
Group 2- or Group 3-type patients could support an indication for treatment-experienced patients
in general; the exact wording and extent of the claim would depend on the trial design and
population supporting the indication. For example, labeling claims for efficacy against drug-
resistant strains of the same class should be supported by a trial that investigates the new drug in
patients who have failed one drug in the same class (or more than one drug depending on the
cross-resistance profile of the approved drugs in the class).
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Sponsors should consult existing guidance regarding circumstances in which one phase 3 clinical
trial may be supportive of approval.12
Applicants should consult 21 CFR 300.50 for specific regulatory considerations regarding fixed-
dose combinations. In brief, two or more drugs can be combined in a single dosage form when
each component makes a contribution to the claimed effects of the drug, and the dosage of each
component is such that the combination is safe and effective for a significant patient population
requiring such concurrent therapy as defined in the labeling for the drug. Clinical factorial
designs are not needed if there are other data that support the use of the combination. Examples
include, but are not limited to:
 	Cell culture data showing that the combination can delay the development of resistance
compared to single drugs with relatively loss resistance barriers
 	PK data showing that one component can increase exposures of the other active drug
(e.g., the effect of ritonavir or cobicistat on HIV protease inhibitors)
 	Clinical data of similar combinations showing the contribution of different drug classes in
combination HIV regimens
HIV treatment development plans may be eligible for consideration under 21 CFR part 312,
subpart E, Drugs Intended to Treat Life-Threatening and Severely-Debilitating Illnesses, and
may be eligible to receive fast track or breakthrough therapy designation.13,14
6. 	Safety Considerations
The majority of past antiretroviral approvals were based on databases including approximately
500 patients receiving the approved dose for at least 24 to 48 weeks depending on the
population. For initial approvals (Groups 1 to 3), depending on the intended labeling indication
claim and the particular drug’s safety profile, safety data on 300 to 500 patients receiving the
intended dose for 24 to 48 weeks should be sufficient (see Table 1). Efficacy supplements for
expanding the indication after initial approval can rely on the safety experience of all populations
studied (previous and new); therefore, the number of patients needed to support the new
indication generally depends on that needed to demonstrate efficacy. Applicants are encouraged
to discuss their proposed safety database with the DAVP before submitting an NDA. On
occasion, specific findings in nonclinical or phase 1 and phase 2 development may indicate the
need for a database that is larger or longer in duration to adequately evaluate potential drug
toxicity.
12 See the guidance for industry Providing Clinical Evidence of Effectiveness for Human Drug and Biological
Products.
13 See section 506 of the Federal Food, Drug, and Cosmetic Act (21 U.S.C. 356) as amended by section 902 of the
Food and Drug Administration Safety and Innovation Act of 2012.
14 See the FDA Web site Fact Sheet: Breakthrough Therapies at
http://www.fda.gov/regulatoryinformation/legislation/significantamendmentstothefdcact/fdasia/ucm329491.htm.
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Most of the safety database should be from controlled trials. Safety data from uncontrolled trials
or treatment access trials may be useful, but often lack the degree of detailed reporting obtained
in controlled clinical trials. In addition, the assessment of causal relationships between a drug
and an adverse event is more difficult to assess from uncontrolled safety data. Trials assessing
dose response can be useful for evaluating drug-related adverse reactions.
To support specific labeling claims, see the guidance for industry Adverse Reactions Section of
Labeling for Human Prescription Drug and Biological Products — Content and Format.
Sponsors should predefine specific clinical adverse events or clinically meaningful laboratory
changes to evaluate in a phase 3 protocol. Phase 2 data may help to define which adverse
reactions or laboratory evaluations to target. Replicated findings from adequately designed trials
demonstrating substantial, clinically meaningful advantages over other therapy can be used to
support specific safety claims.
B. 	Specific Efficacy Trial Design Considerations
1. 	Trial Design and Trial Population
The appropriate trial design depends on the population being studied. Refer to the three patient
groups outlined in section II., Background.
It is important to emphasize that treatment-naïve patients have several approved treatment
options that are highly effective, well-tolerated, and convenient to use (e.g., 1 tablet or capsule
once daily for an entire regimen). Although an active and tolerable antiretroviral regimen can be
identified in 24 weeks or less, modest differences in virologic efficacy, emergence of resistance,
and loss of tolerability are sometimes detected when treatment-naïve patients are followed
through 48 weeks and beyond. Given that the initial regimen generally should be the best
available and that loss of response to an initial regimen often can affect the choice of subsequent
drugs because of resistance, regimens for treatment-naïve patients are evaluated stringently and
are compared to known, high-performing, control regimens.
Lower efficacy or less tolerability of a new drug/regimen compared to known controls in
treatment-naïve patients is an important issue that can affect approval for this use or lead to
precautionary language in labeling. Standard regimens for treatment-experienced patients are
less well defined than regimens for treatment-naïve patients; it is sometimes appropriate to
evaluate the effectiveness of potentially promising drugs in combination with an optimized
background of antiretroviral drugs for treatment-experienced patients at time points earlier than
48 weeks.
Group 1 Patients (fully susceptible to all approved drugs, treatment-naïve or previous
treatment with a well-documented treatment history demonstrating no virologic failure)
The most feasible trial design for this group is a randomized active-controlled noninferiority trial
(see Appendix B for a discussion of noninferiority margins). In this design, patients should be
randomized to a standard three-drug regimen or to the same standard regimen with the
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investigational drug substituting for one of the components of the regimen and followed for at
least 48 weeks. As discussed in Appendix B, the efficacy contribution of the substituted
component should be known based on previous trial data.
Multiple doses of the investigational drug can be studied in active-controlled noninferiority
studies to better define an optimal dose (but a dose known to be less effective could not be
ethically chosen). An observed dose response would strongly support efficacy.
Add-on superiority trials (e.g., three approved drugs plus the investigational drug compared to
three approved drugs) are interpretable if the results demonstrate superiority but are considered
less feasible because the response rate in treatment-naïve patients is high (greater than 80
percent); and when lack of response occurs, it is often for reasons other than lack of virologic
response, such as poor adherence or early drop out for adverse events. Consequently, four active
drugs have not often shown improved efficacy over three drugs in this population. Similarly,
showing superiority to current commonly used control regimens in an active-controlled
substitution trial is difficult for the same reasons.
Switch trials enroll patients fully suppressed on an initial regimen and randomize them to either
continue their current regimen or to change one (or occasionally two) of the drugs in their
existing regimen to a new drug(s). In clinical practice, patients sometimes switch one or more
components of a regimen to improve tolerability or to have a more convenient regimen;
therefore, data on comparability of regimens following a treatment switch is useful. However,
switch trials are discouraged for supporting initial approval of an indication for initiation of HIV
treatment because they do not allow an evaluation of the ability of a drug/regimen to induce a
treatment suppression and only allow examination of maintenance of suppression. Switch trials
can be conducted in addition to other phase 3 trials outlined in this guidance or conducted
postmarketing to support additional labeling statements or display of data in the Description of
Clinical Trials section of the package insert. The FDA’s recommended primary endpoint and
analysis of switch trials differs from that for Group 1 patients initiating treatment (see sections
III.B.4., Efficacy Endpoints, and III.B.6., Statistical Considerations, respectively). We also
recommend that patients in Switch trials remain on randomized regimens for a minimum of 48
weeks to allow a stringent assessment of loss of viral suppression in patients who were otherwise
suppressed on a regimen at trial enrollment.
Group 2 Patients (drug resistance to multiple drugs and multiple drug classes and unable
to construct a regimen that suppresses HIV-RNA to below assay quantification limits)
This population is also referred to as heavily treatment-experienced. Noninferiority trials
generally are not feasible in this population because there usually is no appropriate active control
with a sufficiently well-described effect that can be used to define a noninferiority margin.
If two investigational drugs with activity against multidrug resistant virus are available for study
simultaneously, a factorial design as described for Group 3 is a reasonable option.
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When only one new drug is available for study in a clinical trial, a randomized placebo-
controlled superiority trial should be conducted where the primary endpoint is assessed at an
early time point (see Figure 1). Longer term placebo-controlled comparisons have fallen out of
favor because continued use of the unmodified old (failed) regimen increases the risk of
emergence of resistance to the investigational drug or the background drugs. In our
recommended design, patients experiencing ongoing viral replication on their current regimen
and who need a new drug to construct a new viable regimen are continued on their current
regimen, and randomized to add either placebo or the investigational drug (randomization to the
investigational drug could be for one or more dose levels). The primary efficacy evaluation of
investigational drug versus placebo occurs over a short duration (7 days to 2 weeks), before
development of a significant risk for resistance to the new drug or additional resistance to the
background drugs. After the placebo comparison, all patients can receive the investigational
drug (at one or various dose levels) added to a new background of approved drugs that are
optimized by use of resistance testing. In this proposal, a second assessment occurs at 24 weeks
to assess for:
 	A dose response (if multiple doses are included)
 	Response by baseline susceptibility or resistance profile
 	Safety
 	Durability of initial response
 	Emergence of resistance to the investigational drug and to other drugs in the regimen
The primary efficacy analysis is the short duration (e.g., up to 2 weeks) comparison to placebo.
At 24 weeks, the comparison is no longer controlled unless a dose response is being evaluated.
Given that doses chosen for study in HIV trials usually are on the plateau portion of a dose-
response curve, demonstration of a dose response is considered unlikely. This design is similar
to one of the recommended phase 1b trial designs discussed above, except that this phase 3 trial
is larger and allows for a more thorough evaluation of baseline characteristics and response at 24
weeks. In addition, this trial should be conducted only after smaller initial proof-of-concept
trials identify reasonably active doses to reduce the likelihood of administering suboptimal doses
to this vulnerable population. Evaluation for both safety and efficacy beyond 24 weeks is
recommended and could be accomplished during the postmarketing period.
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Figure 1: Schematic of Possible Trial Design in Heavily
Treatment-Experienced Patients
Old Regimen
(Failing)
Randomize
New Regimen (Optimized)
+ New Drug
Old Regimen
+ New Drug
Old Regimen
+ Placebo
24 weeks
Secondary Endpoints
Safety
Dose Response (if multiple
Up to 2 wks. 	doses studied)
Primary Efficacy Endpoint 	Resistance Emergence
Safety 	Baseline Resistance/Response
This type of trial design, which includes a primary efficacy analysis at 2 weeks (or less) and a
safety analysis at 24 weeks, may be appropriate for a population of heavily treatment-
experienced patients when the investigational drug is expected to offer antiviral activity in the
setting of multiple-drug resistance. First drugs of a new class or second generation drugs of an
existing class that can treat drug-resistant strains are candidates for this type of design. Trials
conducted in this population would support only a limited treatment indication for use in patients
who cannot construct a viable regimen without a new antiretroviral drug.
Criticisms of this approach primarily relate to the uncontrolled design of the trial beyond the
primary (2-week or less) comparison and the concern that it does not allow for an adequate
assessment of the durability of the virologic effect and of longer term safety. However, the
unmet medical need in this population and the potential to decrease further development of
resistance to the background regimen in the trial patients outweigh the modest loss of certainty in
the interpretation of results from this type of trial design.
After decades of antiretroviral drug development, many experts agree that active antiretroviral
drugs can be identified within days to weeks of HIV-RNA monitoring based on early viral load
kinetics. Durability of response is related to the ability to use a drug with an active supportive
regimen. In fact, even drugs with low barriers of resistance have become preferred when
combined with other active drugs in treatment-naïve patients. In a heavily treatment-experienced
population, multiple types of regimens are likely to be used with a new drug, so there is no well-
defined benchmark to compare noninferiority. The assessments that the above trial design
provides — with respect to comparative short-term activity, longer term observations for
virologic rebound or virologic durability, and safety and potential dose-response — are adequate
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to support approval of a limited indication for a population at high risk of suffering substantial
HIV-related complications.
Modifications to the trial design shown in Figure 1 could include: (1) unequal randomization
with more patients randomized to the short-term functional monotherapy (old regimen plus new
drug) arm; and (2) adding functional monotherapy to both arms but deferring it in Arm 2 for the
time period of the functional monotherapy assessment. For example, Arm 1 would receive the
investigational drug as functional monotherapy for Days 1 to 14 and Arm 2 would receive the
new drug as functional monotherapy for Days 15 to 28 (after continuing their old regimen for
Days 1 to 14). An advantage of increasing the number of subjects receiving functional
monotherapy (in both arms) may be an ability to conduct more meaningful resistance analyses,
particularly when there are multiple drug-resistant patterns for the drug class.
Group 3 Patients (drug resistance present and able to construct a regimen that suppresses
HIV-RNA below assay quantification limits)
An active-controlled noninferiority comparison (as described for Group 1) with or without
comparisons of multiple doses of the investigational drug is an appropriate trial design. For this
population, patients should be followed for at least 24 to 48 weeks. NDA submissions can be
made after an analysis at 24 weeks, if the drug demonstrates superiority over approved drugs.
Choice of the active control is less straightforward than treatment-naïve trials because second-
line regimens are not well defined in treatment guidelines and generally are left up to clinical
judgment depending on the situation. However, we recommend using controls that were
previously studied in large randomized trials to justify the choice of a noninferiority margin (see
Appendix B).
An add-on superiority trial, where patients are randomized to a new regimen consisting of
approved drugs versus a new regimen of approved drugs plus the investigational drug, is another
possible trial design. The approved drugs in the regimen usually are selected after taking into
account patient history and resistance testing. It is desirable for patients in both arms to have a
sufficient number of drugs to construct a fully suppressive regimen. However, if too many
patients in the enrolled population have many remaining treatment options, particularly drugs
with a high level of potency, it is likely that adding another drug to the regimen would not
demonstrate superiority.
If two investigational drugs are available for study at the same time, a randomized controlled
superiority trial with a factorial-type design can be used. This design may be useful when
studying patients who are unable to construct a viable antiretroviral regimen from approved
drugs. In this type of trial design, where both A and B are investigational drugs, patients could
be randomized to one of the following trial arms:
 	Arm 1: Approved drugs + A+ B
 	Arm 2: Approved drugs + A
 	Arm 3: Approved drugs + B
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To demonstrate efficacy for drug A, Arm 1 would need to be superior to Arm 3, and to
demonstrate efficacy for drug B, Arm 1 would need to be superior to Arm 2.
2. 	Randomization, Stratification, and Blinding
We encourage sponsors to conduct double-blind trials whenever feasible. For add-on superiority
trials of a new antiretroviral plus background therapy compared to background therapy alone,
patients randomized to the latter should receive a matching placebo. In open-label protocols,
patients may be more likely to drop out of the trial if they know they are not receiving the new
treatment.
There are situations in which blinding drugs or regimens may not be feasible, but in most cases
the difficulties associated with blinding a trial are not insurmountable. For example, blinding
may be difficult when drugs require dose adjustments based on drug interactions with other
drugs in the regimen; however, this could be accomplished by similarly dose adjusting the
placebo. In most cases, blinding only one component of a regimen is needed in trials adding
investigational drugs to a common background drug. Background therapy does not need to be
blinded.
Sponsors designing trials in which blinding may be difficult or infeasible should discuss the
proposal with the DAVP in advance to review potential modifications that might facilitate
blinding and to discuss the potential effect of open-label therapy on interpretation of results.
When blinding is impossible, open-label protocols should have detailed procedures for treatment
switches and toxicity management because differential implementation of protocol procedures
among treatment arms in open-label trials may impair interpretability of results. For example,
the validity of the results of open-label trials may be questioned if there are large differences
among treatment arms with respect to nonprotocol-specified treatment discontinuations and, on a
case-by-case basis, could affect the extent of labeling claims. In such instances, we anticipate
additional sensitivity analyses using different methods of handling treatment discontinuations or
missing data.
Sponsors should consider stratification of patients by important baseline factors such as, but not
limited to, viral load (below 100,000 copies/milliliter (mL) versus equal to or above 100,000
copies/mL15), CD4+ cell count (fewer than 200 versus greater than or equal to 200), and
geographic area. Baseline resistance scores (phenotypic, genotypic, or overall susceptibility) can
be used as a stratification factor in treatment-experienced trials. The resistance scoring method
and application should be discussed with the DAVP (e.g., use of partial scores, discordance
between genotypic and phenotypic assay results).
15 Other viral load cut-offs could be used, but baseline values above 100,000 copies/mL has been predictive of
reduced response rates in previous programs. Also a cut-off of 100,000 often divides a naïve population roughly in
half allowing for sizable subgroups.
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3. 	Choice of Controls
Sponsors should include treatment regimens consistent with standards of clinical practice while
the trial is being conducted. Because of the evolving nature of accepted standards of HIV
treatment, appropriate comparison regimens are expected to change over time. In general,
current HIV treatment guidelines emphasize the importance of using at least three potentially
active drugs (if possible) when constructing a regimen. However, some of the newer approved
drugs have a genetic barrier that could possibly support study of two-drug combinations. From a
patient management perspective, use of control regimens that have been determined to be
suboptimal, based on clinical studies or consensus of expert panels reviewing pertinent data,
would jeopardize the viability of a trial and possibly future treatment options for patients, and
therefore should not be used. Protocol proposals with control arms that deviate from current
standards of care should be discussed with the DAVP before implementation and sponsors
should consider ethics consultation.
Cross-class comparisons may be appropriate for Group 1 (treatment-naïve) trials. An
investigational drug with the potency of a nonnucleoside reverse transcriptase inhibitor
(NNRTI), integrase strand transfer inhibitor (INSTI), or protease inhibitor/metabolism inhibitor
(PI/MI) combination can be compared to efavirenz (EFV), an INSTI, or one of the HHS
Antiretroviral Treatment Guidelines-recommended PIs/MIs. If two treatment-naïve trials are
being conducted, an in-class comparison in one trial and a cross-class comparison in the other
trial can provide useful comparative information for a prescriber. EFV and PIs (including a PI
plus low-dose ritonavir) have been used as comparators in many active-controlled trials in
treatment-naïve patients, and choice of noninferiority margins for Group 1 trials are based, in
part, on what is known about their contribution toward efficacy as part of a treatment regimen
(see Appendix B). An INSTI is also considered to be an adequate comparator because all
INSTIs have been demonstrated to be at least as efficacious as EFV with a tolerability profile
that facilitates blinding.
For treatment-naïve trials, a drug with the potency of an NRTI can be compared to one of the
other two NRTIs in the regimen. Comparing a drug from another class to an NRTI may be
considered on a case-by-case basis. When studying an NRTI in noninferiority trials, the third
drug in at least one of the trials should be EFV or another similar NNRTI or an INSTI with a low
barrier to resistance, but not a PI/MI. The relative contributions of NRTIs to an EFV-based
regimen can be reasonably inferred from previous data. This is not the case for regimens that
include a PI/MI. See Appendix B for the recommended noninferiority margin for a
noninferiority trial that uses EFV as the active control.
For treatment-experienced patients (Group 2 and Group 3), there are no standard regimens.
Active controls depend on the exact patient population studied with respect to baseline resistance
and also depend on a sufficiently robust demonstration of efficacy of active controls in
previously conducted trials. Noninferiority margins can be based on a rationale similar to that
described in Appendix B. Noninferiority trial proposals should be discussed with the DAVP in
advance.
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4. 	Efficacy Endpoints
We recommend the following primary efficacy endpoints for phase 2 and phase 3 trials:
 	For Group 1 trials: the proportion of patients with HIV-RNA levels less than the lower
limit of quantification at 48 weeks using a sensitive, FDA-licensed test. If more sensitive
tests are approved, sponsors are encouraged to base the primary endpoint on an approved
test with the lowest lower limit of quantification. The method for calculating these
proportions is described in Appendix A.
 	For Group 2 trials: the proportion of patients with HIV-RNA decreases from baseline
exceeding 0.5 log10 at an early time point (up to 2 weeks). Other increments can also be
used, such as 1 log10 decline from baseline.
 	For Group 3 trials: the proportion of patients with HIV-RNA levels less than the lower
limit of quantification at 48 weeks using a sensitive, FDA-licensed test. A 24-week time
point can be used for superiority comparisons when a drug is expected to offer an
advantage over currently available options.
 	For Switch trials: the proportion of patients with HIV-RNA greater than or equal to
the lower limit of quantification at 48 weeks using a sensitive, FDA-licensed test. This
differs from the endpoints in Group 1 to 3 trials in that the endpoint focuses on and is
powered for virologic failure and not success. This is because in Switch trials patients
are starting with HIV-RNA levels that are already suppressed below the assay limit of
quantification. In other words, the endpoint of interest is the proportion of people with
suppressed HIV-RNA at baseline who lose virologic control after switching to a new
drug or regimen.16
Secondary endpoints should include:
 	Mean changes in viral load from baseline for treatment-experienced patients
 	Changes in CD4+cell counts from baseline
5. 	Trial Procedures and Timing of Assessments
Recommended critical time points for measuring viral RNA depend on the patient population
studied. Early time points (1 to 4 weeks) are critical assessments for Group 2. Beyond the first
month, HIV-RNA, CD4+ cell counts, and safety assessments are typically collected at Weeks 8,
12, 16, 24, 36, and 48 and every 3 to 6 months beyond 48 weeks. Longer term follow-up out to
16 Previous Switch trials have used the proportion of patients with HIV-RNA below 50 copies/mL as the primary
endpoint. However, most of the patients who were not counted as treatment successes did not experience actual
virologic failure but were not considered successes for other reasons, such as stopping the drug because of adverse
reactions, lost to follow-up, or withdrawing consent, among others. Because most Switch trials are not blinded and
enroll patients who may have some interest in switching to the new treatment, it appeared that treatment failures for
reasons other than true virologic failure were introducing bias into a treatment success analysis.
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96 weeks and beyond is recommended, particularly for treatment-naïve patients. Longer term
follow-up can be completed as a postmarketing commitment or a postmarketing requirement if
there is a safety concern identified in the 48-week dataset that needs further evaluation.
Protocols should include procedures for clinical management based on changes in HIV-RNA.
To facilitate interpretation of study results, it is critical that management decisions be made in a
uniform manner. This is particularly important for open-label studies. Protocol procedures that
allow treatment switches for patients who never achieve HIV-RNA levels below an assay limit
should be applied consistently across treatment arms. For example, some protocols allow
treatment-naïve patients who have not achieved an HIV-RNA reduction of 1 log10 by 8 weeks to
switch their antiviral regimen. These criteria may vary depending on the population studied and
the response that is expected or desired.
6. 	Statistical Considerations
Sponsors should designate the hypotheses to be tested before trial initiation. These hypotheses
should be stated in the protocol or the statistical analysis plan (SAP). If sponsors choose to test
multiple hypotheses, they should address issues related to the potential inflation of false positive
results (overall type I error rate) caused by multiple comparisons. These issues should be
discussed with the DAVP in advance of trial enrollment, and should be incorporated into SAPs
as appropriate.
a. 	Analysis populations
The Full Analysis Set, as defined in ICH E9, should be used for the primary efficacy and safety
analyses. Patients who discontinued from the trial before receiving any trial drugs generally can
be excluded if balanced across treatment arms and relatively few in number (approximately less
than 1 percent).
b. 	Efficacy analyses
For trial Group 1- and Group 3-type patients, the primary efficacy endpoint should be the
proportion of patients with HIV-RNA less than the lower limit of quantification at 48 weeks (or
24 weeks for drugs with a likely treatment advantage over available options for treatment-
experienced patients) using a sensitive, FDA-approved viral load assay. For Switch trials, the
endpoint is the proportion of patients with HIV-RNA greater than or equal to the limit of
quantification at 48 weeks. The method for calculating the proportions for all trials is described
in Appendix A. For Group 2 patients, the primary efficacy endpoint should be the proportion of
patients with HIV-RNA decreases from baseline exceeding 0.5 log10 or greater at an early time
point (up to 2 weeks).
The primary efficacy analysis should be adjusted for at least one or two of the most important
covariates (e.g., baseline HIV-RNA). The covariates that will be included in the primary
analysis should be prespecified in the protocol. Cochran-Mantel-Haenszel analyses and
Breslow-Day statistics can be used to examine the homogeneity of treatment effects. The
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calculation of the difference between two proportions and its confidence interval can be based on
stratum-adjusted Mantel-Haenszel proportions.
For subgroup analyses, the analysis of the primary efficacy endpoint should be performed within
important demographic and baseline characteristics such as sex, race, age group, region, baseline
HIV-RNA viral load, baseline CD4+ cell count, clade, and baseline resistance score (when
appropriate). The purpose of subgroup analyses is to evaluate the consistency of the primary
efficacy endpoint result across a range of baseline factors. However, simply by chance, a drug
that has a homogeneous overall effect in a trial population will often show different effects in
some subgroups, sometimes even showing significant heterogeneity. Therefore, subgroup results
should be interpreted with caution.
We encourage sponsors to collect data regarding drug-adherence and change of treatment
including switching treatment and adding additional therapy. These data are important to
determine reasons for discontinuation so that patients who discontinue assigned therapy early can
be appropriately classified in the analysis.
c. 	Noninferiority margin
In noninferiority trials, the choice of noninferiority margins for statistical hypotheses should be
discussed with the DAVP before trial initiation because one margin is not appropriate for all trial
designs. The sponsor should attempt to define a margin (M1 ) based on prior knowledge of the
quantitative contribution of the active control (i.e., the substituted part of the drug regimen) to
the regimen as a whole. This contribution should be determined in a similar population with a
similar length of follow-up of the proposed trial (see Appendix B).
In addition, the noninferiority margin (M2 ) used in the study may need to be smaller than M 1 (the
whole effect of the active control) to preserve a clinically important fraction of the active control.
For noninferiority testing, sponsors should employ two-sided 95 percent confidence intervals
adjusted for multiple comparisons or other appropriate testing procedures. If noninferiority is
shown, then superiority can be assessed. For additional information regarding noninferiority
trials in general, see Appendix B, ICH E10, and the draft guidance for industry Non-Inferiority
Clinical Trials.17
d. 	Missing data
There is no single optimal way to deal with missing data from clinical trials. Sponsors should
make every attempt to limit loss of patients from the trial, and when the loss is unavoidable,
collect information that can help explain the cause of the loss and the final status of the patient.
Analyses excluding patients with missing data or other post-treatment outcomes are potentially
biased because patients who do not complete the trial may differ substantially in both measured
and unmeasured ways from patients who remain in the trial. The method of how missing data
will be handled should be specified in the protocol or the SAP. A patient retention and follow-up
17 When final, this guidance will represent the FDA’s current thinking on this topic.
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plan should be included in the protocol providing details on how to minimize missing data and
collect follow-up information.
e. 	Interim analyses and data monitoring committees
If interim (or futility) analyses are performed, these analyses should be prespecified in the
protocol and the SAP. The purpose of the interim analysis should be stated in the analysis plan.
If an adaptive design such as withdrawal of a treatment arm or sample size re-estimation based
on an interim analysis is applied, then the adaptive design procedures should be prospectively
prespecified.18 It is important that the interim analysis does not affect trial conduct and thereby
compromise trial results.
Use of a data monitoring committee (DMC) may be appropriate depending on the design of the
proposed phase 3 trial. If a DMC is used, a detailed charter with the composition of the
committee members and the operational procedures should be provided for review.19
f. 	Other analyses of interest and secondary endpoints
Sponsors can present secondary analyses on other endpoints of interest. An analysis of change in
CD4+ cell count from baseline at Week 24 or 48 among the treatment groups is a recommended
secondary endpoint. In the event that a CD4± cell count at Week 48 time window is missing, we
suggest that there be a planned analytic approach to impute missing data. Examples include, but
are not limited to, last observation carried forward, baseline observation carried forward, and
mixed-effect models. It may be useful to compare results with other approaches to examine
sensitivity of outcome to the method chosen.
Secondary endpoints will not be sufficient to support efficacy in the absence of an effect for the
primary endpoint. The protocol should propose a multiple testing strategy for secondary
endpoints that adjust for multiplicity to be applied after the result for the primary endpoint is
significant.
g. 	Statistical analysis plan
Before unblinding any phase 2b or phase 3 trial, sponsors should have in place a detailed
finalized SAP. Although sponsors can update or modify an SAP as long as the trial remains
blinded, sponsors should recognize that a detailed discussion may be needed concerning data
access and appropriate firewalls for maintaining the integrity of the blind. If any major
modification occurs, sponsors should discuss the modifications with the DAVP. Ideally, the
SAP should be prepared at the time the protocol is made final, but we recognize that changes are
sometimes made later, but before unblinding. The SAP should be considered as part of the
18 See ICH E9 and the draft guidance for industry Adaptive Design Clinical Trials for Drugs and Biologics (when
final, this guidance will represent the FDA’s current thinking on this topic).
19 See the guidance for clinical trial sponsors Establishment and Operation of Clinical Trial Data Monitoring
Committees.
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protocol, and it can be either a section within the protocol (encouraged) or a separate document.
The SAP should include:
 	Details on endpoint ordering
 	Analysis populations
 	Structure of statistical hypotheses to be tested
 	Statistical methods including the mathematical formulations
 	Level of significance or alpha-level
 	Alpha adjustments for multiple comparisons or interim analyses if applied
 	Definition of visit window
 	Handling of missing data
 	Sensitivity analyses
It is important that the SAP prospectively identify any covariates that are to be used in the
analysis. It is also important to choose covariates that are expected to strongly influence
outcome.
h. 	Submission of data and programs
Applicants should provide the following in the NDA:
 	The standard operating procedure for randomization code generation.
 	The screening dataset including the information on all patients screened.
 	The raw datasets consisting of variables that come directly from case report forms
(CRFs) or other original source documents.
 	The analysis datasets including variables for key efficacy and safety analyses.
 	Algorithms and programs used to create analysis datasets directly from the raw datasets
and programs for the primary and key secondary statistical analyses. If the analysis
datasets were created from intermediate datasets other than original raw datasets from
CRFs, applicants should provide the intermediate datasets and programs to cover both
steps.
For additional information on regulatory submissions, see the guidance for industry Providing
Regulatory Submissions in Electronic Format — Certain Human Pharmaceutical Product
Applications and Related Submissions Using the eCTD Specifications.
7. 	Accelerated Approval (Subpart H) Considerations
Full approval based on an endpoint of HIV-RNA suppression at the time points specified in
section III.B.4., Efficacy Endpoints, is the anticipated pathway for marketing approval.
Suppression of HIV-RNA is a fully validated surrogate for HIV clinical disease progression. In
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addition, shorter term HIV-RNA changes are predictive of longer term HIV-RNA suppression in
the setting of active antiretroviral drug regimens.
C. 	Other Considerations
1. 	Clinical Virology Considerations20
Clinical resistance analyses should examine all patients that experience viral rebound, have no
antiviral response or an incomplete antiviral response, or discontinue before suppression. As
such, the number of virologic failures in this analysis may be different from the number of
virologic failures in the snapshot approach analysis (see Appendix A). The examination of
virologic failures in the clinical resistance analysis is designed to be more conservative to detect
all possible signals and markers of resistance.
Proof-of-concept and efficacy trials should assess the development of HIV genotypic resistance
to the investigational drug. Phenotypic and genotypic resistance testing should be performed on
baseline and on-treatment failure samples (preferably the rebound confirmation sample) for
patients who demonstrate virologic rebound (defined as a 1 log10 increase in HIV-RNA from
nadir value or a confirmed HIV-RNA above 400 copies/mL after confirmed suppression to
below 50 copies/mL or who meet other resistance criteria). Any changes, including mixtures, in
the amino acid coding sequence of the targeted genome region present in on-treatment or follow-
up samples, but not in the baseline sample, should be reported as having emerged during therapy.
We recommend performing genotypic resistance analyses on the baseline samples from all
subjects in trials in Group 1, Group 2, or Group 3 populations. Firstly, baseline resistance
information helps to construct an effective background regimen in treatment-experienced
patients and treatment-naïve patients because of transmission of drug-resistant virus. Secondly,
baseline genotypic and/or phenotypic resistance data are important in evaluating the effect of
transmitted or drug-selected baseline resistance-associated substitutions on antiviral response,
especially in the case of new drugs in an established class. In addition, baseline samples can be
analyzed to identify HIV genetic polymorphisms that are associated with differential antiviral
activity with the new drug.
Virologic response by baseline genotype and phenotype analyses should be performed on a
censored population to assess the effect of baseline resistance on outcome without confounding
factors such as early discontinuation for adverse events. Therefore, patients who discontinue
study treatment while suppressed or who discontinue study treatment before confirmed
suppression for adverse event, noncompliance, protocol violation, pregnancy, or withdrawal of
consent should be censored from the analysis. In general, patients who discontinue while
suppressed (HIV-RNA below 50 copies/mL) or discontinue before Week 4 should be censored
from baseline resistance and response analyses. Sponsors can discuss with the DAVP cases
where analyzing a subset of patients with baseline resistance data may be appropriate.
20 See the Attachment to Guidance on Antiviral Product Development — Conducting and Submitting Virology
Studies to the Agency: Guidance for Submitting HIV Resistance Data and the guidance for industry Role of HIV
Resistance Testing in Antiretroviral Drug Development.
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Viral resistance-associated polymorphisms or substitutions observed in clinical trials but not
identified and characterized in nonclinical virology experiments should be evaluated
phenotypically by introducing the amino acid changes into the HIV genome, and determining the
conferred fold-shift in susceptibility to the drug using appropriate cell culture and/or biochemical
assays. Phenotypic data can confirm the resistance association of an infrequently occurring
genotypic treatment-emergent substitution. However, treatment-emergent substitutions that
occur frequently should be considered potentially genotypically resistance-associated even if
they do not show a shift in phenotypic susceptibility. Phenotypic analyses of baseline and on-
treatment failure clinical isolates should be analyzed and compared using patients representative
of the HIV genetic diversity and virologic responses observed in clinical trials. For baseline
resistance and response analyses, phenotypic testing of a large subset of baseline samples may be
needed when an adequate genotypic resistance algorithm cannot be established.
Sponsors should consider genotyping regions outside the direct HIV genome target depending on
the characteristics of the antiviral drug and interactions of the target with other viral proteins. In
cases when resistance is suspected based on viral RNA kinetics (rebounding viral load while the
patient maintained adherence to study drugs), but genotypic evidence of resistance is not
detected, sponsors also should consider performing additional genotypic analyses using a method
sufficiently sensitive to detect minority variants.
2. 	Pharmacokinetic/Pharmacodynamic Considerations
Trials conducted in HIV-infected patients should assess pharmacokinetics and the relationship
between exposure and virologic suppression and toxicity in all patients.
Sponsors can use a combination of intensive and sparse sampling throughout development to
characterize the pharmacokinetics of the investigational drug and sometimes other HIV drugs in
the regimen as appropriate. For example, an intensive sampling schedule should be implemented
in monotherapy trials. In longer term trials, however, an intensive sampling schedule might not
be feasible, or may be feasible only in a subset of patients or over a limited period of time (i.e., a
single assessment at steady state). Sparse PK samples should be obtained from as many patients
in longer duration trials as possible, and the PK samples from these trials can be combined with
intensive PK data from earlier trials for analysis. Sparse PK samples should be obtained at the
time of virologic assessments, such as at Weeks 4, 8, 12, 24, 36, or 48 or as otherwise specified
in a protocol.
Sponsors can use the following two broad approaches to characterize the relationship between
drug exposure and viral kinetics or virologic suppression of the investigational drug, depending
on the development stage and purpose of the analysis. Both approaches allow for exploration of
relevant covariates.
1. 	To aid the design of phase 2b or phase 3 trials, with respect to selection of dosage
regimen, a mechanistic approach relating drug concentrations and viral kinetics is most
appropriate. A mechanistic modeling approach should also account for the development
of resistance to the investigational drug.
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2. 	A simplified analysis relating proportion of patients with virologic suppression or
virologic failure and appropriate exposure variable (e.g., minimum concentration or area
under the plasma drug concentration versus time curve) can be used to support evidence
of effectiveness and justify dose selection.21
Additional analyses of the exposure-safety relationship(s) using similar approaches as described
in # 2 also should be performed to assist in evaluating the balance between effectiveness and
toxicity of different dosage regimens.
3. 	Pediatric Populations
Under the Pediatric Research Equity Act (PREA), sponsors must study a drug in all relevant
pediatric populations when submitting an application under section 505 of the Federal Food,
Drug, and Cosmetic Act (FD&C Act) (21 U.S.C. 355) or section 351 of the Public Health
Service Act (42 U.S.C. 282) for a new active ingredient, new indication, new dosage form, new
dosing regimen, or new route of administration. However, PREA requirements may be waived
or deferred in certain circumstances.
Although a detailed discussion of addressing PREA requirements is beyond the scope of this
guidance, several points relevant to drugs for HIV treatment are addressed below. In addition,
under the Best Pharmaceuticals for Children Act, drugs are eligible for 6 months of additional
exclusivity if sponsors conduct pediatric clinical trials specified in a Written Request. New
drugs for treatment of HIV may be issued a Written Request if the FDA determines that
information relating to the use of the drug may produce health benefits in relevant pediatric
populations.
Only adult patients should be enrolled in early trials of novel antiretrovirals, reserving drug
administration to pediatric patients until the pharmacokinetics, pharmacodynamics, and safety of
the drug are reasonably well defined.22 Sponsors are encouraged to begin discussions of their
pediatric formulation and clinical development plan early in development, but pediatric clinical
trials should be initiated after phase 2 adult data characterizing the safety profile and initial
antiviral efficacy are available. Under PREA, sponsors must submit an initial pediatric study
plan to the FDA no later than 60 days after the end-of-phase 2 meeting.23 If clinical trials in
adults have demonstrated no significant safety concern that would preclude study in children,
evaluation of adolescents using the adult dose and formulation is encouraged (Momper et al.
21 See the guidance for industry Exposure-Response Relationships — Study Design, Data Analysis, and Regulatory
Applications.
22 See the guidance for industry E11 Clinical Investigation of Medicinal Products in the Pediatric Population.
23 See section 505B(e) of the FD&C Act, as amended by section 506 of the Food and Drug Administration Safety
and Innovation Act of 2012, and the draft guidance for industry Pediatric Study Plans: Content of and Process for
Submitting Initial Pediatric Study Plans and Amended Pediatric Study Plans. When final, this guidance will
represent the FDA’s current thinking on this topic.
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2013). Ideally, dose confirmation and safety data in this older pediatric age group (i.e., 12 to 17
years of age) should be available at the time of NDA submission.
The overall pediatric development program should include:
 	Juvenile nonclinical studies (if necessary).
 	Development of age-appropriate formulation(s). Clinical pharmacology trials to assess
single- or multiple-dose pharmacokinetics (as appropriate for the drug) across the
pediatric age range (4 weeks to younger than 18 years of age). Of note, there may be
circumstances in which evaluating drugs in children younger than 4 weeks of age is
appropriate and should be discussed with the DAVP. Dose selection for the clinical
pharmacology assessment and subsequent trials assessing efficacy and safety should be
discussed with the DAVP.
 	A sufficient number of patients in the pediatric safety database who have received the
drug at the to-be-marketed dose or higher for at least 6 months to reasonably characterize
the safety profile of the drug in pediatric patients. Generally, a safety database that
includes at least 100 pediatric patients (with adequate representation across the age range
of 4 weeks to 17 years of age) treated for at least 6 months should be sufficient, but this
number may vary based on drug-specific issues. In addition to collection of safety data,
HIV-RNA should be collected to assess activity along with resistance data in patients
with virologic failure.
 	A plan for long-term follow-up to assess growth and development, other potential safety
concerns relevant to the investigational drug, and durability of virologic suppression.
Follow-up over a period of at least 3 years of treatment is anticipated, but a
postmarketing requirement provided after initial pediatric labeling also may be
appropriate.
The course of HIV infection and the effects of antiretroviral drugs are considered sufficiently
similar in pediatric and adult patients to allow extrapolation of efficacy. Information about
pediatric extrapolation can be found in other guidance.24 Although pediatric efficacy of
antiretroviral drugs is generally extrapolated from adult trials based on bridging
pharmacokinetics, HIV-RNA should be collected in the pediatric trials to assess activity along
with resistance data in patients with virologic failure.
4. 	Early Access/Treatment INDs
Treatment INDs or other access protocols for antiretroviral drugs may be appropriate when
sufficient clinical trial data have been generated to characterize a reasonably safe and active dose
of an investigational drug. Ideally, the initiation of a treatment IND would occur after phase 3
trials are fully enrolled or well underway so as not to interfere with phase 3 drug development.
24 See the draft guidance for industry General Clinical Pharmacology Considerations for Pediatric Studies for
Drugs and Biological Products. When final, this guidance will represent the FDA’s current thinking on this topic.
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Treatment INDs can provide early access while phase 3 trials are being completed, analyzed,
submitted, and reviewed by the FDA. Individual patient INDs and treatment access protocols for
intermediate size populations can occur earlier in drug development.
Historically, early access programs for the treatment of HIV infection allowed many patients to
gain access to lifesaving drugs. However, for some individuals, early access to a drug resulted in
sequential monotherapy and led to the emergence of multidrug resistance. Because treatment of
HIV requires multiple drugs to achieve and maintain viral suppression below detection and to
reduce the emergence of drug resistance to single drugs or drug classes, treatment INDs that
include two or more investigational drugs or that allow co-enrollment in several treatment IND
programs simultaneously are desirable. Treatment use of multiple investigational drugs should
be supported by:
 	Data and rationale that characterize the potential for PK-based drug interactions and
potential for overlapping toxicity. Data to support dose modifications (if needed) when
substantial drug interactions are present.
 	Information suggesting the lack of antagonistic antiviral activity and minimal or no
overlapping resistance profiles.
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REFERENCES
Arnold, JJ, SD Sharma, JY Feng et al., 2012, Sensitivity of Mitochondrial Transcription and
Resistance of RNA Polymerase II Dependent Nuclear Transcription to Antiviral
Ribonucleosides, PLoS Pathog, 8(11):e1003030.
Bartlett, JA, J Johnson, G Herrera et al., 2006, Long-Term Results of Initial Therapy with
Abacavir and Lamivudine Combined with Efavirenz, Amprenavir/Ritonavir, or
Stavudine, J Acquir Immune Defic Syndr, 43:284-92.
Centers for Disease Control and Prevention, 2014, Revised Surveillance Case Definition for HIV
Infection — United States 2014, MMWR, April 11, 63(RR03);1-10.
Chuang-Stein, C and R Demasi, 1998, Surrogate Endpoints in AIDS Drug Development:
Current Status, Drug Information Journal, 32:439-448.
Hill, AM, R DeMasi, and D Dawson, 1999, Meta-Analysis of Antiretroviral Effects on HIV-1
RNA, CD4 Cell Count and Progression to AIDS or Death, Antiviral Therapy, 3:139-145.
Hogg, RS, B Yip, and C Kully, 1999, Improved Survival Among HIV-Infected Patients After
Initiation of Triple-Drug Antiretroviral Regimens, CMAJ, 160:659-65.
Hynes, J, S Nadanaciva, R Swiss, et al., 2013, A High-Throughput Dual Parameter Assay for
Assessing Drug-Induced Mitochondrial Dysfunction Provides Additional Predictivity
Over Two Established Mitochondrial Toxicity Assays, Toxicology In Vitro, 27:560-569.
Marroquin, LD, J Hynes, JA Dykens et al., 2007, Circumventing the Crabtree Effect: Replacing
Media Glucose with Galactose Increases Susceptibility of HepG2 Cells to Mitochondrial
Toxicants, Toxicol Sci, 97:539-47.
Marschner, IC, AC Collier, RW Coombs et al., 1998, Use of Changes in Plasma Levels of
Human Immunodeficiency Virus Type 1 RNA to Assess the Clinical Benefit of
Antiretroviral Therapy, J Infect Dis, 177:40-7.
Momper, JD, Y Mulugeta, DJ Green, A Karesh, KM Krudys, HC Sachs, LP Yao, and GJ
Burckart, 2013, Adolescent Dosing and Labeling Since the Food and Drug
Administration Amendments Act of 2007, JAMA Pediatr, Oct, 167(10):926-32.
Murray, JS, MR Elashoff, LC Iacono-Connors et al., 1999, The Use of Plasma HIV RNA as a
Study Endpoint in Efficacy Trials of Antiretroviral Drugs, AIDS, 13:797-804.
Palella, FJ, KM Delaney, AC Moorman et al., 1998, Declining Morbidity and Mortality Among
Patients with Advanced Human Immunodeficiency Virus Infection, N. Engl. J. Med.,
338:853-60.
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Saag, MS, P Cahn, F Raffi et al., 2004, Efficacy and Safety of Emtricitabine vs. Stavudine in
Combination Therapy in Antiretroviral-Naïve Patients: A Randomized Trial, JAMA
292:180-9.
Strategies for Management of Antiretroviral Therapy (SMART) Study Group, WM El-Sadr, JD
Lundgren, JD Neaton, F Gordin, D Abrams, RC Arduino, A Babiker, W Burman,
N Clumeck, CJ Cohen, D Cohn, D Cooper, J Darbyshire, S Emery, G Fätkenheuer,
B Gazzard, B Grund, J Hoy, K Klingman, M Losso, N Markowitz, J Neuhaus, A Phillips,
and C Rappoport, 2006, CD4+ Count–Guided Interruption of Antiretroviral Treatment,
N Engl J Med, 355:2283–96.
Van Leth, F, P Phanuphak, and K Ruxrungtham, 2004, Comparison of First-Line Antiretroviral
Therapy with Regimens Including Nevirapine, Efavirenz, or Both Drugs, Plus Stavudine
and Lamivudine: A Randomized Open-Label Trial, the 2NN Study, Lancet, 363:1253-63.
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APPENDIX A:
RECOMMENDED APPROACH FOR EVALUATING VIROLOGIC RESPONSE IN
CLINICAL TRIALS SUPPORTING ANTIRETROVIRAL APPROVALS
The time to loss of virologic response (TLOVR) method previously used in labeling by the
DAVP for determining virologic successes at critical time points has often led to multiple queries
between the DAVP and the applicant. Briefly, to be called a virologic success (HIV-RNA below
50 copies) by TLOVR,25 a patient needed to have an HIV-RNA level below a detection limit on
two time points and should not have experienced confirmed rebound (two time points) above the
limit. This algorithm was, at times, cumbersome when patients were less than perfectly adherent
or when patients needed to stop treatment for brief periods.
DAVP statistical and clinical reviewers recently completed a project titled “Handling
Uncertainty in Endpoint Selection and Other Endpoint Issues.” The goal of the project was to
determine if simplified endpoints could be used for approval at Week 48. The team evaluated 18
trials from 7 NDAs with 8,046 patients. Results obtained using the TLOVR algorithm, which
used data from every visit to consider the pattern of HIV responses, were compared to a less
complicated snapshot approach that only used HIV-RNA data at the visit (window period) of
interest. A high concordance between the TLOVR algorithm and snapshot results was observed.
Using the TLOVR algorithm, 61 percent of the 8,046 patients remained in the study for 48 weeks
and were virologic responders compared to 61 percent of the patients using the snapshot
approach; 18 percent were virologic nonresponders using the TLOVR algorithm compared to 17
percent using the snapshot approach and approximately 20 percent discontinued before Week 48
using both approaches. Differences between the two methodologies are minimal.
Based on the findings from the project and the ease of the snapshot method, pending
supplemental NDAs and future NDAs should include virologic outcome results based on the
snapshot approach in product labeling.
Snapshot Approach
For analysis of virologic outcome at a given time point, a window period for possible virologic
assessments can be used as follows:
 	Window size is one-half the duration of time between study visits.
 	Windows can be smaller at earlier time points than later time points.
25 Previously, labels used the term virologic success or virologic failure to describe patients who had HIV-RNA
levels below or equal to or above 50 copies, respectively. However, we now prefer not to use the terms success or
failure, but rather just state whether the viral load was below or above 50 copies. Transient blips of HIV-RNA
above 50 copies occur for a variety of reasons and this does not always signify true virologic failure to the regimen.
True virologic failure may only be determined after assessment of drug adherence, repeat HIV-RNA testing with
continued treatment, and/or resistance testing. Snapshot time windows allow time for clinical assessment and
retesting to reduce the number of patients counted as having HIV-RNA levels above 50 copies/mL because of
transient blips.
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 	If trial-defined windows differ from the proposed windows in Table A, alternatives
should be discussed with the DAVP. In most cases the protocol-defined windows for
completed trials are appropriate; however, for future trials we encourage standardization
and recommend the windows in Table A.
Table A: Proposed Windows
Visit 	Window (Through End-of-Study
Week)
(Express in Days for Nonoverlap)
Window (Days)
24 	18-30 	127-210
48 	42-54 	295-378
96 	90-102 	631-714
Table B is an example of efficacy presentation in labeling.
Table B: Virologic Outcome at 48-Week Window (295 to 378 Days)
Drug A 	Drug B
HIV-RNA < 50 copies/mL ± 60% 	50%
HIV-RNA ≥ 50 copies/mL# 20% 	30%
No Virologic Data at Week 48 Window
Reasons
Discontinued study/study drug due to AE
or Death *
Discontinued study/study drug for Other
Reasons **
On study but missing data in window
10%
6%
4%
8%
6%
6%
± Assays with other lower limits (below 50 copies/mL) also can be used.
# Includes patients who changed any component of background therapy to a new drug class, changed background
components that were not permitted per protocol, or changed any background drug in the regimen because of lack of
efficacy (perceived or documented) before Week 48; patients who discontinued study drug or study before Week 48
for lack or loss of efficacy and patients who are equal to or above 50 copies/mL in the 48-week window.
* Includes patients who discontinued because of adverse event (AE) or death at any time point from Day 1 through
the time window if this resulted in no virologic data during the specified window.
** Other Reasons includes: withdrew consent, loss to follow-up, moved, among others.
Principles of snapshot analysis
Some general concepts of the snapshot approach include the following:
 	The primary efficacy endpoint should be primarily a virologic endpoint and not a clinical
endpoint. This method follows a Virology First hierarchy.
 	Because this is primarily a virologic endpoint, the hierarchy for assessing row and
column percentages is HIV-RNA below 50 copies/mL or HIV-RNA equal to or above 50
copies mL, first, for any given time window followed by reasons for No Virologic Data
in the 48-Week Window.
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 	Percentages not included in the HIV-RNA below or equal to or above 50 copies/mL rows
should describe reasons for no data at a specified analysis time window. These
percentages should not represent comprehensive safety or clinical efficacy analyses.
Procedures for calculating virologic outcome
The following examples use a detection limit of 50 copies/mL, but approved sensitive assays
with other detection limits also can be used.
 	Data in the window
Virologic outcome should be determined by the last available measurement while the
patient is on treatment and continued on trial within the time window (see Table A).
 	Examples: HIV-RNA = 580 copies/mL at Day 336, HIV-RNA below 50 copies/mL
on Day 350. This should be categorized as HIV-RNA below 50 copies/mL, even if
an aliquot from the same sample was retested.
 	In the rare example that someone would have HIV-RNA below 50 copies/mL at Day
336 and then equal to or above 50 copies/mL at Day 350, the result would be counted
as above 50 copies/mL (we believe this will be rare, because undetectable patients
would not likely have a second lab result in a window).
 	No data in the window
 	If there are no data in a time window, then percentages for each category of missing
data should be tallied.
 	There are three main reasons for no data in the window:
1. 	Discontinued study due to Adverse Event or Death. Any patient who
discontinues because of an AE or death before the window should be classified as
Discontinued due to AE or Death (as appropriate), regardless of the HIV-RNA
result, even if the HIV-RNA is below 50 copies/mL at the time of
discontinuation.26 However, if a patient has an HIV-RNA value in the time
window and also discontinues after the viral load was tested in the time window,
the viral load data should be used to classify the patient’s response. This is the
Virology First hierarchy. Example: HIV-RNA below 50 copies/mL at Day 336
and discontinues because of AE or even dies on Day 360 — this person is
categorized as having HIV-RNA below 50 copies/mL. Likewise if HIV-RNA is
552 copies/mL on Day 336 and the patient discontinues on Day 360, the patient is
categorized as having HIV-RNA equal to or above 50 copies/mL.
26 There should not be a separate category for Death. We believe a separate category for Death is misleading,
because it does not account for all deaths in the trial. Instead, text describing percentages of deaths can be included
in the CLINICAL STUDIES section of product labeling.
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2. 	Discontinued study for Other Reasons. The examples above also apply to this
category. If a patient discontinues the study before the window because of lack of
efficacy then the patient should be included in the HIV-RNA equal to or above 50
row and not in the Discontinued for Other Reasons row. To further clarify, for
patients who Discontinued for Other Reasons, it is important to realize that in the
Virology First hierarchy only patients who have achieved virologic suppression
can be counted as Discontinued for Other Reasons. If a patient discontinues
because the subject withdrew consent and his or her HIV-1-RNA result at the time
of discontinuation was equal to or above 50 copies/mL, then he or she should be
categorized as HIV-RNA equal to or above 50 and NOT as Discontinued for
Other Reasons. However, if a patient discontinued because of Lost to Follow-Up
and the last HIV-RNA result was 49 copies/mL, then the patient can be
categorized as Discontinued for Other Reasons.
Likewise, if patients changed background treatment — not permitted by protocol
— they should be considered an efficacy failure and captured in the HIV-RNA
equal to or above 50 copies/mL row.
3. 	On study but missing data in window. Only data in the window can be used for
patients remaining on study. For example, if there are no data during Days 295 to
378, but there is an HIV-RNA below 50 copies/mL on Day 380, this patient
should be considered On Study but Missing Data in Window. This patient can
count as below 50 copies at subsequent analysis points (e.g., 96 weeks), if he or
she remains undetectable at the subsequent analysis window (e.g., 96 weeks).
Conversely, if there are no data during Days 295 to 378, but there is an HIV-RNA
equal to or above 50 copies/mL on Day 280, this patient also should be classified
as On Study but Missing Data in Window.
Optimized Background Therapy Substitutions After Randomization
Typically trials have permitted one in-class substitution of an optimized background therapy
(OBT) drug for documented toxicity reasons. As more drugs became available, cross-class
substitutions were permitted in some trials; however, drug substitutions potentially can affect
long-term durability of a regimen particularly if the OBT change occurred later in the trial. OBT
substitutions (in-class or cross-class) permitted per protocol for documented toxicity reasons can
be permitted on or before the first trial visit without penalty. If OBT substitutions for toxicity
reasons occur after the first trial visit, then patients should be categorized as having HIV-RNA
equal to or above 50 copies/mL if they have HIV-RNA above 50 copies/mL at the time of
switch.
Applicants have asked to amend the algorithm such that only cross-class switches are classified
as primary endpoint failures because not allowing in-class OBT substitutions may create
disincentives. Specifically, investigators may not have incentive to ensure follow-up after an
OBT switch because those patients are deemed as analysis failures, or investigators may
unnecessarily increase early switches to avoid classifying patients as failures in the primary
efficacy analysis.
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We decided not to amend the algorithm for the following reasons:
 	All in-class switches are not the same. With the expanded number of drugs in each class
and the approval of second generation drugs within the same class, switching therapy
after knowledge of viral load changes may confound the results. One would then have to
decide which switches are appropriate for the population being studied.
 	We attempted to make the snapshot as concise and stringent as possible to reduce the
amount of end-of-NDA-review negotiations over single cases. Having to decide which
in-class switches are appropriate for specific populations (e.g., naïve, experienced) would
complicate the algorithm. Example: In what population is a switch from atazanavir to
darunavir considered acceptable?
 	We believe that the unwanted scenarios mentioned above can be minimized. Both types
of analyses can be performed, perhaps allowing cross-class switches in sensitivity
analyses. However, for FDA labeling purposes, the snapshot should be used. Therefore,
investigators could be informed that not all analyses may result in their particular patient
counting as a failure if he or she switches background drugs and that follow-up should be
maintained.
 	We do not believe that there is one correct analysis. All analyses only approximate truth.
The snapshot approach strives for efficiency and consistency across multiple
applications. This should not prohibit academic investigators from presenting a variety
of analyses at scientific meetings. Differences can be described.
Datasets for Snapshot Approach
For a submission with multiple trials, each trial should have its own dataset for the snapshot
analysis. The datasets should contain, at minimum, the following information:
 	Study identification (ID)
 	Patient study ID
 	Study day and date of last double-blind treatment
 	Virologic outcome based on the snapshot approach (i.e., HIV-RNA below 50 copies/mL,
HIV-RNA equal to or above 50 copies/mL, discontinued due to AE or death,
discontinued for other reasons, on study but missing data during window)
 	The HIV-RNA measurement and the corresponding study day and date used to determine
the above virologic outcome if the measurement was not missing
 	Study day and date when the patient switched to open-label treatment because of lack or
loss of virologic suppression, if applicable
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 	Discontinuation study day and date, reason for discontinuation, and last on double-blind,
treatment measurement before discontinuation for the patients who discontinued drug
The treatment phase in the dataset should be defined and only include three categories as
follows: screening (or baseline), treatment, and follow-up.
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APPENDIX B:
NONINFERIORITY MARGIN RECOMMENDATIONS AND JUSTIFICATIONS
1.0 	Justification for a Noninferiority Margin Using EFV as a Control Arm in
Treatment-Naïve Studies on a Background of Dual Nucleoside Therapy
The noninferiority margin for comparing the potent anchor drug or third drug in regimens for
Group 1 HIV treatment-naïve patients is 10 to 12 percent. This margin is an M2 delta, based on
the treatment effect we clinically wish to preserve compared to active controls. We have known
for years, based on well-controlled superiority trials, that an M1 for assessing comparability to a
PI or NNRTI as a third drug added to a dual nucleo(t)side background is large (approximately 45
percent — using lower confidence bounds for the endpoint of HIV-RNA below 50 or 400
copies/mL at 48 weeks). The rationale is as follows.
1.1 EFV’s treatment effect is highly reproducible and dual nucleosides alone are known to be
largely ineffective for durable virologic suppression
Few individuals (approximately 2 percent or less) receiving only two nucleoside analogues
achieve viral load suppression below 400 copies/mL. Even fewer suppress HIV-RNA below 50
copies/mL. The few that suppress below the detection limit are those individuals with low
baseline viral loads below 5,000 copies and high CD4+ cell counts. These people are known as
long-term nonprogressors but few enroll in registration trials. Beginning in 1995, suppressing
viral load below assay detection limits was a new phenomenon, recognized when PIs and
NNRTIs became available and were added to a dual nucleo(t)side backbone. Before PIs and
NNRTIs, long-term suppression (less than 24 to 48 weeks) of viral load was rare. The addition
of a PI or an NNRTI to two nucleosides basically converted a negligible viral load response (less
than 2 percent) to a response rate of 60 to 90 percent, owing to the potency of PIs and NNRTIs,
marked antiretroviral synergy of an antiviral regimen, and a formidable resistance barrier that
three drugs confer compared to two drugs.
Several drug labels contain examples of response rates observed with dual nucleoside therapy.
All of these studies show that dual nucleoside therapy is associated with a negligible response
rate (defined as suppressing viral load below an assay limit). The genetic barrier for two
nucleo(t)side analogue drugs is known to be insufficient to durably suppress viral load in most
individuals based on calculations of reservoirs, replication rates, and potential for pre-existence
of antiretroviral mutations. Examples of dual nucleoside response rates are listed in Table C.
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Table C: Virologic Response Rates for Dual Nucleoside Studies
(Approximately 48 Weeks)
Drug Label
Study
Nucleoside
Backbone
Nucleoside
Response Rate < 400
at 48 Weeks
Triple Response
Rate
Nelfinavir
-Study 511
ZDV/3TC 	3% 	58%
Indinavir
-ACTG* Trial 320
ZDV/3TC 	2% 	45%
Indinavir
Merck Trial-035
ZDV/3TC 	0% 	80%
* ACTG = AIDS Clinical Trial Group
EFV has been extensively studied in triple regimens in clinical studies of 48 weeks duration in
treatment-naïve patients and was part of the control regimen in many of these studies. In Table
D, response rates for proportion below 400 copies/mL for triple regimens that included EFV
ranged from 64 percent to 84 percent, and for proportion below 50 copies/mL ranged from 37
percent to 80 percent. (Note that the 37 percent response rate is an outlier and samples were
believed to be mishandled in that study; excluding results from this trial, the range is 59 to 80
percent.) In contrast, dual nucleo(t)side treatment consistently showed a response rate of less
than 5 percent. Therefore, the treatment effect for EFV is reliably around 60 to 80 percent and
with the use of fixed-dose combinations has been closer to 80 percent.
Table D: Virologic Response Rates for EFV-Based Regimens
Drug Label (or
Reference)
Trial
Regimens 	Percentage of Patients
With HIV-RNA < 400 (50)
Copies/mL*
(Bartlett et al. 2006)
CLASS Trial
ABC/3TC/EFV
ABC/3TC + AMP/ritonavir
ABC/3TC + d4T
81% (72%)
75% (59%)
80% (60%)
Atazanavir
Study AI 424-034
ZDV/3TC + ATV
ZDV/3TC + EFV
70% (32%)
64% (37%)
Efavirenz
Study 006
ZDV/3TC + EFV
ZDV/3TC + IDV
70% (64%)
48% (43%)
(Van Leth et al. 2004)
2NN Trial
D4T + 3TC + NVP
d4T + 3TC + NVP
d4T + 3TC + EFV
d4T + 3TC + EFV + NVP
(70%)
(65%)
(70%)
Abacavir
CNA 30024
ZDV/3TC + EFV
ABC/3TC + EFV
71% (69%)
74% (70%)
(Saag et al. 2004)
Study 301A
FTC +ddI + EFV
D4T + ddI + EFV
81% (78%)
68% (59%)
Tenofovir
Study 903
TDF + 3TC + EFV
D4T + 3TC + EFV
80% (76%)
84% (80%)
continued
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Table D, continued
Drug Label (or
Reference)
Trial
Regimens 	Percentage of Patients
With HIV-RNA < 400 (50)
Copies/mL*
Tenofovir
Study 934
TDF + FTC + EFV
ZDV + 3TC + EFV
81% (77%)
70% (68%)
Lamivudine
EPV20001
ZDV+ 3TC (bid) + EFV
ZDV + 3TC (qd) + EFV
65% (63%)
67% (61%)
Abacavir
CNA 30021 Study
ABC (bid)+ 3TC + EFV
ABC (qd) + 3TC + EFV
(68%)
(66%)
* Response rate estimates include analyses based on missing-equals-failure analyses and time to loss of virologic
response analyses. However, because analysis types rarely vary by more than a few percentage points, analysis type
was not specified for the purpose of this summary.
One should note that by 48 weeks the proportion below 50 copies/mL and proportion below 400
copies/mL are fairly similar for most EFV regimens, within 10 percent and usually within
5 percent, except for one outlier mentioned above.
In the trials above, the dual nucleo(t)sides ABC+3TC, d4T+3TC, TDF+3TC (or FTC), and
ZDV+3TC with added EFV, performed similarly. TDF+FTC has on occasion performed slightly
better, but in some cases treatment effect may be driven by better tolerability rather than
virologic response.
1.2 EFV has been shown to be superior to two older PIs that are well known to be active controls
responsible for the sharp decline in AIDS mortality in the last decades
In previous studies two nucleosides plus indinavir (IDV) has been shown to be superior to two
nucleosides alone at approximately 48 weeks (proportion below 400 copies/mL). In ACTG 320,
ZDV+3TC+IDV was superior to ZDV+3TC by approximately 40 percent. In the Merck Trial
035, ZDV+3TC+IDV was superior to ZDV+3TC by 80 percent (+/- 18 percent);27 therefore, the
lower confidence bound is 62 percent. In Study 006, EFV was superior to the known active
control IDV by 21 percent (+/- 11.5 percent) for proportion of patients achieving below 50
copies/mL. In this trial the 95 percent lower confidence bound for EFV compared to a highly
active control was 9.5 percent. Therefore, the contribution of EFV is probably at least 10 percent
more than the treatment effect of IDV.
We are recommending a noninferiority margin (M2 ) of 10 to 12 percent, which is much less than
the lower bound of the treatment effect of either EFV or IDV based on historical studies. An M2
of 10 to 12 percent is clinically reasonable because it preserves a large portion of the treatment
effect. In addition, in the setting of ongoing monitoring of viral load, failing therapy may be
detected sufficiently early to allow individuals to change their regimen and avoid clinical
consequences of disease progression.
27 1.96 times the standard error of the risk difference
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Other support for EFV comes from studies in which EFV was superior to nelfinavir (NFV) in
both a treatment-naïve (ACTG 384) and treatment-experienced study. NFV is known to be
superior to ZDV+3TC by a margin of 55 percent (+/- 2 percent); lower bound 53 percent.
2.0 	Justification for a Noninferiority Margin Using an NRTI as a Control Arm in
Group 1 Treatment-Naïve Studies
As stated in section III.B.3., Choice of Controls, investigational NRTIs should be compared only
to control NRTIs in the context of an NNRTI or INSTI-based regimen. Because PIs/MIs have a
high genetic barrier to resistance and a substantial proportion of patients may achieve
undetectable HIV-RNA levels with a PI/MI alone, the quantitative contribution of an NRTI to a
PI/MI-based regimen is unknown. First generation NNRTIs, however, are known to have a low
genetic barrier to resistance and when used as monotherapy, nearly 100 percent of individuals
will develop resistance in a matter of days to weeks. This has been documented for nevirapine,
and based on a similar resistance profile is believed to be the same for EFV. First generation
INSTIs also have a low barrier to genetic resistance. Therefore, because of synergy, nearly all of
the response rate in an NNRTI-based regimen also can be attributed to the two nucleo(t)side
components of the regimen.
Based on early studies with NNRTIs such as nevirapine and delavirdine, one NRTI in
combination with an NNRTI was not sufficient to achieve and maintain undetectable HIV-RNA
levels. Conservatively one could attribute half of the treatment effect to each NRTI. In two
recent trials in treatment-naïve patients, the lower bound for the treatment effect for an
EFV/tenofovir/emtricitabine regimen was 77 percent (pooled data from two trials). Therefore,
half of the treatment effect (38 percent) could be attributed to each NRTI. If one wanted to
preserve an additional 50 percent of the effect, the margin is 19 percent. However, clinically we
do not want to lose more than 10 to 12 percent of the treatment effect (M2 margin). Similarly,
for the reasons stated, an M2 of 10 to 12 percent is an acceptable margin for an endpoint of HIV
RNA below 50 copies/mL at 48 weeks.
3.0 	Justification for Noninferiority Margin in Switch Trials
Based on the noninferiority margin justifications above, we know that the contribution for an
anchor drug or other drug in a treatment regimen in Group 1-type patients is sufficiently large
(M1 ) such that margin choice is driven by the amount of virologic failure that is clinically
tolerable (M2 ). In previous Switch trials the rate of virologic failure (proportion of patients equal
to or above 50 copies/mL) was typically in the range of 1 to 3 percent. If one assumes 2 percent
will have HIV-RNA equal to or above 50 copies/mL at 48 weeks in both treatment arms, then a
stringent noninferiority margin of 4 percent allows trial sizes that are comparable to those for
Group 1 trials using 10 to 12 percent as a noninferiority margin using an endpoint of treatment
success (HIV-RNA below 50 copies/mL). A margin of 4 percent for virologic failure in Switch
trials is clinically tolerable; therefore, a margin in this general range is recommended and
considered feasible from a drug development standpoint.
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4.0 	Justification for Noninferiority Margin in Group 2, Treatment-Experienced, Trials
The justification of a valid noninferiority margin in treatment-experienced trials is based on past
performance of the active control and comparison of prior trial conditions to the current trial.
The noninferiority margin determination for HIV treatment-experienced trials is complicated by
variations in response rates across trials, use of different background drugs, and differences in
baseline patient characteristics. The noninferiority margin should take these variables into
account and a new protocol should attempt to replicate the original superiority trial for the
active-controlled drug with respect to patient characteristics and protocol procedures. One issue
encountered in establishing a noninferiority margin includes the change in virologic response
rates for optimized background regimens over time. As presented in Table E, the proportion of
patients with HIV-RNA below 50 copies/mL from the optimized treatment regimen (control) in
three recent trials to support approval of new drugs increased from 2004 to 2008. As expected,
the patient characteristics, namely the phenotypic susceptible score (PSS) at baseline,28
influenced the response rates.
Table E: Virologic Response (HIV-RNA Below 50 Copies/mL) for OBT (Control) Over
Trials/Time
Drug/Trial/Time 	PSS=0 	PSS=1 	PSS=2 	PSS > 3
Maraviroc
Motivate Trials
2004-2006
3% 	5% 	7% 	42%
Raltegravir
Benchmark
Trials
2006-2007
2% 	29% 	39% 	61%
Etravirine
DUET Trials
2005-2008
6% 	32% 	62% 	75%
Sponsors are encouraged to provide detailed supporting documentation for noninferiority
treatment-experienced trials early in the protocol development stage. The proposed
noninferiority margin should be discussed with the FDA at the time of submission of the
protocol for FDA comments.
28 A PSS is the number of drugs to which a patient’s virus is susceptible according to phenotypic laboratory
resistance tests. A score of zero means that the patient has no remaining drugs to which his or her virus has full
susceptibility.
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