Abstract
In preclinical investigations, for example, in in vitro, in vivo, and in silico studies, the pharmacokinetic, pharmacodynamic, and toxicological characteristics of a drug are evaluated before advancing to first-in-man trial. Usually, each study is analyzed independently and the human dose range does not leverage the knowledge gained from all studies. Taking into account all preclinical data through inferential procedures can be particularly interesting in obtaining a more precise and reliable starting dose and dose range. Our objective is to propose a Bayesian framework for multi-source data integration, customizable, and tailored to the specific research question. We focused on preclinical results extrapolated to humans, which allowed us to predict the quantities of interest (e.g. maximum tolerated dose, etc.) in humans. We build an approach, divided into four steps, based on a sequential parameter estimation for each study, extrapolation to human, commensurability checking between posterior distributions and final information merging to increase the precision of estimation. The new framework is evaluated via an extensive simulation study, based on a real-life example in oncology. Our approach allows us to better use all the information compared to a standard framework, reducing uncertainty in the predictions and potentially leading to a more efficient dose selection.
Introduction
At the beginning of the development of a new element, object, compound, etc. (depending on the field), preliminary knowledge of its properties is estimated through several experiments involving small sample sizes. For example, the clinical development of a novel drug molecule is always preceded by numerous preclinical studies. They include in vitro studies (studies in subcellular fractions, cell cultures, micro-organisms, organoid models, etc.), in vivo studies (animal testing in species such as mouse, rat, dog, monkey, etc.), and in silico studies (simulations and synthetic data). These preclinical studies generate an abundance of knowledge regarding the safety and efficacy of the compound, including pharmacokinetics/pharmacodynamics (PK/PD) on a cellular, tissue, organ, or organism level, which is then used for go/no go decisions and influences the design of clinical trials in humans. However, preclinical trials usually involve small sample sizes, for ethics and budget constraints.
When studies are performed sequentially and the endpoints can be linked (via mathematical transformations, for example), the inference can be easily placed under a Bayesian framework that can update posterior knowledge each time new data becomes available. For example, in the preclinical and clinical context, La Gamba et al. 1 sequentially introduced knowledge in preclinical investigations within a Bayesian PK/PD setting, using the posterior distributions resulting from one trial to build the prior distributions for the following trial. More widely, the Bayesian approach has also been used to use information obtained from one population for the analysis of another population. For instance, Zheng and Hampson 2 used preclinical data from animal to inform the design and prior distributions of a phase I clinical trial via a Bayesian decision-theoretic approach and Zheng et al. 3 via a meta-analytic approach. Another example is that of Petit et al. 4 who propose a method allowing extrapolation and bridging of adult data in the early-phase dose-finding pediatric studies.
Application When stepping from preclinic to the clinic, several studies have usually been performed, and one of the key questions regards the computation of the starting dose (or the regime) in humans. The Food and Drug Administration (FDA) 5 provides guidelines regarding the use of preclinical knowledge to compute the maximum recommended starting dose (MRSD) of the first-in-human (FIH) trial, with healthy volunteers and drug products for which systemic exposure is intended. These guidelines outline an empirical algorithmic approach to compute the FIH dose in four steps; (1) for each animal species used in the in vivo studies, the human equivalent dose (HED) is computed based on the no-observed-adverse-effect level (NOAEL) and on the body surface area; (2) the HED corresponding to the most sensitive animal species is selected and (3) used for the calculation of the MRSD by applying a safety factor accounting for the expected variability coming from animal-to-human toxicity extrapolation; and (4) the MRSD is then adjusted based on the predicted pharmacological mechanism. Although this approach is a valuable starting point, it shows several drawbacks. First, there is no precise recommendation for choosing the safety factor and thus ensuring the safety at the starting dose. Second, the dose selection is primarily based on the minimization of toxicity risk, rather than on efficacy. While this approach may be the only option when there is no comparable marker in healthy volunteers, for example, because they do not express the target molecule for the tested drug, it is suboptimal when efficacy can be evaluated. Indeed, poorly estimating a dose range or starting dose for FIH studies may increase the time, the cost and the number of healthy volunteers or patients required. For instance, too low starting doses may lead to hardly detectable exposures during the initial escalation steps and potential difficulties in achieving maximum tolerated dose (MTD) while too large starting dose may result to safety concerns. In this situation, to improve the clinical development process, the European Medicines Agency (EMA) 6 suggests to take under consideration toxicity but also efficacy by calculating the Minimal Anticipated Biological Effect Level (MABEL) based on all in vitro and in vivo information available. Other approaches facilitating preclinical to clinical translation are mentioned by Shen et al. 7 and include PK-driven or PK/PD-driven approaches. Translational PK/PD models extrapolate concentration and drug effect over time rather than dose and account for differences in both PK and PD parameters when moving from animal species to humans.
However, all of these frameworks use only a part of the collected preclinical data (e.g. from the most appropriate animal species based on an empirical estimation), thus ignoring a vast majority of the available data. Additionally, each of the preclinical analyses is conducted independently, without fully using the results already accrued in previous studies. Recently, as part of the European project on Flagellin aerosol therapy as an immunomodulatory adjunct to the antibiotic treatment of drug-resistant bacterial pneumonia (FAIR), Michelet et al. 8 have proposed to consider the FIH clinical trial as a continuum of serial preclinical studies. The authors propose an approach based on the “learn-predict-confirm” paradigm in which mathematical models are updated at each step and the updated versions are used to optimize the next study. 9
Aim The objective of this article is to propose a Bayesian framework accounting for differences and similarities between preclinical studies, to use all relevant information. More precisely, our approach needs to consider multi-source data (cells, mouse, etc.) and be able to better use all available information compared to the standard methods to predict the quantities of interest (e.g. MABEL, NOAEL, minimal effective dose-MED, MTD, etc.) in humans.
A classic Bayesian framework for a sequence of preclinical studies, where the posterior distributions of the previous study are used to set prior distributions for the new study, requires the use of the same mathematical models (or sub-models) for each criterion (outcome, marker) between studies. Moreover, in the simple process, not all previous information should be included in the new study, since, as a general rule in a Bayesian approach, the amount of information of the prior should not exceed the information of the current study. Furthermore, when robustification approaches 10 are used to deal with possible differences between species, which are not taken into account by extrapolation formulas, if at least one study has any parameter not consistent with all other studies, the information chain can be broken, and information gathered before this study may be lost.
Instead, our framework, in its sequential way and final Bayesian posteriors meta-analysis, preserves the individual studies in terms of results, endpoints end model used. A fully joint model could be adopted only in specific cases, when the same model (or submodel) is shared between studies, that is, usually unfeasible. Moreover, it could come with potential computation instabilities. Instead, using this framework, we expect to reduce uncertainty in the predictions and potentially leading to a more efficient dose selection while keeping the full process feasible. Within the framework, we propose some methodological innovations, such as a way to normalize the quantity of information of a distribution coming from longitudinal data and a Bayesian formula that encompasses the Bayes theorem in special cases. This new framework was evaluated via an extensive simulation study. The simulation setting was inspired by the development of an oncology drug, galunisertib, an inhibitor of TGF-

The Bayesian framework in four steps: (1) sequential Bayesian estimation, for each outcome, with weakly informative prior distributions; (2) extrapolation to human for each criterion (via pre-specified formulas); (3) coherence/commensurability checking of posterior distributions via a divergence-based measure; and (4) merging the selected posterior distributions using an extension of the Bayes formula.
This article is organized as follows. Methods are presented in Section 2. Section 3 describes the simulation study used to assess the proposed methodology, and the simulation results are given in Section 4. Key findings and recommendations are discussed in Section 5.
We assume that the development plan includes
First step: Parameters estimation
For
For each study
For the first study, prior distributions are chosen based on prior knowledge external to this process. When no prior knowledge is available, non-informative prior distributions can be used. For the following studies, if any component of
To summarize, at the end of the process, each study
Second step: Extrapolation to human
While in the previous step, extrapolation was used between preclinical studies, at this step, we focus on human extrapolation. For each study
In the Bayesian setting, the transformation is applied directly on posterior distributions of parameters to obtain the posterior distributions of the extrapolated parameters (via the random variable transformation theorem). Then, the doses of interest,
Third step: Commensurability checking and posterior distributions selection
In this step, we aim to compare the
However, posterior distributions cannot be directly compared since they bring a different amount of information depending on the corresponding study sample size. One way to make two posteriors comparable consists on discounting the likelihood of the study with the highest sample size, as proposed by Ollier et al.
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This method requires the re-analysis of one of the two experiences and the decision on the discounting factor: it could be straightforward in the case of fixed effect models, but not really for mixed effect model involving longitudinal studies. Inspired by the ESS notion,
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we propose to transform the posterior distributions to move to a situation where they could be assumed as Gaussian, and then we standardize them at the highest variance. For example, in our case study,
Once the posteriors are comparable, the commensurability of the modified distributions
An algorithm, along with a threshold, based on Hellinger distance results should be defined to decide which studies will be selected for the next step. When only a small number of studies are available, ad hoc algorithms can be easily developed, as shown in our example with simple decision rules (see Section 3.4). In more complex settings, clustering methods can be used. We suggest to run simulations of selected/relevant scenarios to optimize the algorithm and to choose a threshold basing on the results accuracy. For each selected scenario, we define the studies that we consider consistent and that we wish to retain for the fourth and final step. More precisely, we define a binary variable “true response” related to each comparison between studies, that is, equal to 1 if the two studies are considered similar (theoretically, in the scenario) and 0 otherwise. Then, via simulation, we compute the Hellinger distances between the studies, and, for each possible threshold on the Hellinger distance, a variable “predicted response” that is equal to 1 if the computed distance is below the threshold and 0 otherwise. The value of the threshold is then chosen based on the curve of the accuracy versus the Hellinger distance threshold. The accuracy is defined as the proportion of correct predictions (i.e. true positives and true negatives) among the total number of cases,
At the end of this step, consistent studies are selected. When no studies are “clustered together,” only the results of the most relevant study are considered for the following step.
Let
To illustrate and evaluate our approach, we use the preclinical and clinical development of galunisertib (LY2157299) as a case-study to build different simulation scenarios. In the following section, we describe how to define the MTD using PK results. Therefore, only for the sake of simplicity,
Galunisertib case tudy
Galunisertib is a transforming growth factor (TGF)-
We used this setting to design the simulation study, simplifying the PK model to a one-compartment model as by Lestini et al.
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For a given study, let
Toxicity data simulation
In our example, surrogate toxicity data for a given study occurs if the value of a function of the AUC of the drug in blood plasma exceeds a given threshold.
The concentration
Then,
In our specific example, the toxicity threshold is related to the total AUC (i.e. cumulative drug exposure) and, therefore, directly to the PK. Other toxicity measures could be considered instead, either continuous (high temperature, elevated liver damage marker, maximum concentration, etc.) or of a different nature (occurrence of an adverse event, etc.) which we would then model through the probability of occurrence.
We assume a proportional error of 20% for the measurements of the concentration of the drug in blood plasma defined as

(a) Mean concentration of the drug versus time for several doses for human in scenario 1; (b) probability of toxicity according to the extrapolated dose for scenarios 1 and 2 and for all preclinical studies (1: mouse; 2: rat; and 3: dog). Red horizontal lines depict the probability of toxicity
We simulate galunisertib (LY2157299) data corresponding to the dose ranges used in the vivo studies. To keep the simulation study simple, we only simulated three sequential studies, with mice (study
Toxicity data for human in scenario 1 (baseline scenario) are first simulated from models 3 and 4; the parameters were chosen so that the simulated data follow similar distributions to those produced by Lestini et al.
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(see Figure 2). Then,
Simulation parameters for PK model and approximate extrapolated MTD for all species and scenarios 1 and 2.
For each scenario, 500 datasets are simulated. We assume that equations (3) to (6) describing the toxicity data generation and allometric scaling formulas are known as well as
All analyses are performed using R software version 4.04 with Stan 22 package rstan Version 2.21.2. In rstan, three chains, a burn-in of 3000 and 6000 other iterations are used and, as a convergence criterion, Gelman and Rubin’s 23 potential scale reduction factor Rhat = 1.
To illustrate the steps of our methodology, let us first focus on the results from a single simulated dataset. Figure 3 shows the concentration of the drug versus time for each animal of scenarios 1 and 2 for this dataset.

Simulated individual concentration of the drug versus time for one simulated dataset for mouse (study 1) (a), rat (study 2) in scenario 1 (b), rat (study 2) in scenario 2 (c), and dog (study 3) (d).
At step 1 of our methodology, for each animal species / study
First, for the mouse (study
Then, for the rat (study
For the next steps of the analysis based on mouse data, we make the assumption that
Second step: Extrapolation to human
In step 2, for each study
Next, for each study

Maximum tolerated dose (MTD) distributions for one simulated dataset in scenarios 1 and 2, for the Bayesian approach. Extrapolated preclinical studies (1-mouse, 2-rat, and 3-dog) to human MTD distributions (from step 2) and final predicted MTD distribution (from step 4) in the dataset from scenario 1 (a) and from scenario 2 (b); transformed extrapolated MTD distributions and Hellinger distances (from step 3) in the dataset from scenario 1 (c) and from scenario 2 (d). The Hellinger distances equal to 1 are due to approximation in computation.
In step 3, we first transform the dose distributions from step 2 according to equation (1) so that the Hellinger distances between animal species do not depend on the difference between sample size in each study.
Then, in practice, the Hellinger distance between the transformed dose distributions is approximated using the rectangle method:
Thereafter, to compute the accuracy and then to choose a threshold, as proposed in Section 2.3, for each scenario, the animal species that should be kept for the final step (because they are consistent) have to be defined. The extrapolated MTDs to humans from Table 1 are very close to 502 mg (the true MTD value for humans) for all animal species (mouse, rat, and dog) in scenario 1, and only for mouse and dog in scenario 2. Therefore, for the MTD, the binary variable “true response” is set to one for all comparisons between animal species in scenario 1, and only for the comparison between mouse and dog in scenario 2. Otherwise, for all comparisons including rat in scenario 2, it is set to zero. To note, in the case of MTD, all scenarios are considered as relevant for choosing the Hellinger distance threshold. It is not the case for the MED, as described in the Supplemental Material (see Section 2.5.2). Next, based on the sensitivity analysis described in Section 4.1, we set the threshold for the Hellinger distance at 0.5 for MTD.
Then, we used the ad hoc following algorithm. If the three computed Hellinger distances are lower or equal to the selected threshold, the three studies are selected. All three studies are selected also if at least two measures are lower than the threshold. If only a value is lower the threshold, the two corresponding studies are selected. Finally, if all three Hellinger distances exceed the threshold the results of the most relevant animal species are considered for the following step. In this work, we assume that the most relevant animal species for galunisertib is the dog.
For scenario 1, Hellinger distances are equal to 0.51 for mouse versus rat, 0.36 for mouse versus dog, and 0.19 for rat versus dog. Two of these distances are <0.5 so all animal species are selected. For scenario 2, the two distances including rat are >0.5 (mouse vs. rat: 1; rat vs. dog: 1) but the last distance is <0.5 (mouse vs. dog: 0.36) so only mouse and dog are selected.
Fourth step: Merging the selected posterior distribution
In step 4, the final predicted MTD distributions are computed by merging the extrapolated dose distributions between the animal species selected in the previous step. These posterior distributions can be computed using the kernel density estimator,
Simulation results
We then applied our methodology to the scenarios with 500 replications each.
Using Hellinger distance to check extrapolability from animal species to human
Figure 5(a) and (b) shows the boxplots of the Hellinger distances between two species for the Bayesian approach in the different scenarios, for the MTD. As seen in these figures, the Hellinger distance easily distinguishes animal species between those that show similarities in extrapolated toxicity and those that show dissimilarities.

Hellinger distance of the transformed predicted MTD distributions in humans between preclinical studies (1-mouse, 2-rat, and 3-dog) for scenario 1 (a) and scenario 2 (b) for the Bayesian approach over 500 replications (under the assumption that
Indeed, for scenario 1 for which the extrapolation is correct from all animal species to human, the Hellinger distances between animal species for the MTD distributions are lower than 0.5 in more than 73% of cases. This indicates consistent results across all animal species and, therefore, the possibility of using them all to derive human MTDs.
For scenario 2 that uses an inaccurate extrapolation of toxicity model parameters for rat, the Hellinger distances between mouse and rat, and between rat and dog are close to one but again lower for mouse versus dog. This indicates MTD distributions are consistent between mouse and dog, but not for rat.
As shown in Figure 5(c), as Hellinger distance threshold (mentioned in Section 2.3) increases, so does accuracy for MTD. For MTD, we set the threshold at 0.5. We decided to stop the accuracy evaluation at the threshold of 0.5 since the Hellinger distance is bounded between zero and one, and going beyond the median value did not seem relevant to us.
As shown in Figure 6(a), for scenario 1 for which data from all animal species are often used to estimate the final MTD, the MTD is correctly estimated to 515 mg (standard deviation-sd-equal to 48 mg) by the Bayesian approach (close to the true value of 502 mg). For scenario 2, the MTD is slightly overestimated to 561 mg (sd: 296 mg).

Estimated MTD in humans (a) and the length of the 95% credibility interval (CrI95) (b) for scenarios 1 and 2 for the Bayesian approach and using the standard approach (i.e. only study 3-dog-data) over 500 replications, under the assumption that
The length of the equal tails 95% credible interval (CrI95) is considerably greater when only the dog results are used (i.e. the standard approach) to calculate the MTD than when using the proposed method (see Figure 6(b)). Actually, the mean of the CrI95 lengths is around 300 mg (sd: 47 mg) using only dog results compared to the values of 165 and 242 mg (sd equal to 26 and 153 mg) for, respectively, scenarios 1 and 2 using the proposed approach.
The results of the sensitivity analysis for
We proposed a Bayesian approach for multisource data integration, that was tailored, in this work, to dose extrapolation from preclinical to clinical research. In particular, steps 3 and 4 require methodological innovations such as a way to normalize the quantity of information on a distribution coming from longitudinal data and the modified Bayes formulas. The new framework allows to better use all available information compared to the standard methods, reducing uncertainty in the predictions and potentially leading to a more efficient dose selection. In preclinical setting, this new framework can be seen as a Bayesian generalization of the Food and Drug Administration (FDA) 5 guidelines. An advantage of the Bayesian framework is that allows us to obtain the posterior distribution of the extrapolated doses, whatever the shape of this distribution. Therefore, other metrics than the mean value or the credible interval could be taken into account, such as the asymmetry or the peak of the distribution or other possible summary values. Furthermore, the framework is very flexible. Submodels (linear, generalized, mixed-effect, etc.) can be specified according to the study outcomes and could be different between studies. Our approach can be used either prospectively, that is when studies are done sequentially and there is enough time to perform the analysis in between studies, or retrospectively, at the end of all studies. If the preclinical studies are conducted simultaneously, it is always possible to use non-informative prior distributions.
To evaluate the performance of the approach, we used a case study inspired by the preclinical development of galunisertib. In this example, only data from in vivo studies were simulated. However, it is possible to include data from in vitro studies as well, by simply considering the appropriate extrapolation formulae to humans, that is working on areas or cell numbers. In our example, only some estimates of PK fixed effects are extrapolated from animals to humans using allometric formulas. Indeed, to our knowledge, there is no analytical formula to extrapolate the parameters of the PD models, nor to anticipate interindividual variability between species in this setting. However, mouse or rat, for example, which are specially bred for preclinical studies (controlled lines, similar age, same diet, same physical exercises, etc.) could be more homogenous than healthy volunteers or patients. In our simulations, a sensitivity analysis with lower variances for these species did not indicate that the uncertainty on the variabilities was an issue, but we could also incorporate expected changes across species in the extrapolation step, for instance, to integrate differences in disease course or mechanistic pathways. In our context, a normal distribution on the logarithm transformed value of the concentration is used, that is, a quite standard choice in PKPD modeling. In other contexts, in the presence of studies with a small sample size, alternative distributions to the so common normal distribution for error term could be considered, such as the
In our simulation setting, the theoretical MTD (i.e. the MTD calculated from the true values of the model parameters) extrapolated to humans shown in Table 1 are not exactly the same between animal species, even for scenario 1, but, in general, very close each other. Therefore, this imperfection of the simulation scenarios should be kept in mind when interpreting the results. However, in real life, the extrapolation of a dose between two species is always subject to a margin of error.
In the third step of our methodology, a rule/algorithm must be defined to check the commensurability between distributions and to select the ones to carry to the next step. In our example, since we have three studies, we proposed a simple algorithm to do it. However, when more than three studies are available, clustering algorithms based on a distance matrix can be investigated to select studies for the last step. Accuracy computation, as done in this work, or receiver operating characteristic curves can be adopted to calibrate algorithm thresholds and could be applied directly on distances results (as in this work) or on the final results from the algorithm. Moreover, another distribution distance could be used instead of the Hellinger distance. We suggested it due to its symmetric propriety and, since it is bounded, it is easily interpretable.
In our specific case study, since the transformed distributions have identical variances across studies, the Hellinger’s distance simply reflects differences in means, at the given variance, and a simpler criteria could be used for commensurability checking. For simplicity and for the coherence of the algorithm, we decided to standardize all distribution moving to the lowest information level available, that is to the highest variance. We suggest it since it is more comfortable to reduce existing information than creating information by decreasing the variance of a posterior distribution. However, further investigation may be needed investigating other ways, for example, the two by two adjusted distributions or moving towards the medium/lowest variance.
To run simulations, we decided to keep the results involving the more numerous cluster, that is, in our case, if at least two species were selected in the coherence step. We used this decision to check the performance of the algorithm in its less supervised implementation. However, in real application, if it is well-known that the results in a species are really closed/related to human ones, and, therefore, more relevant in a clinical point of view, this species can be selected as default and only species clustered with it will be carried on at the merging step.
Some additional extensions will be investigated. It could be interesting to include external sources of information, such as expert opinion or literature data. Such data could be integrated into the weakly informative prior distributions of the parameters in step 1, or as additional dose distributions in the final step. External information should be introduced wisely, since if used multiple times it can impact the results of equation (2). Indeed, when only weakly informative prior distribution, carrying on a small and negligible ESS, are adopted, the final impact on equation (2) could be neglected. Otherwise, further studies on how discounting embedded prior distribution are needed. Another perspective would be to handle weighted posterior distributions through the Hellinger distance and the merging formula, in order to give more weight to certain results, for example, to account for larger sample sizes or on previous knowledge of human similarity. For instance, in our illustration, if it is known that the extrapolated results from dogs to humans will be more useful, more weight can be given to the dog study. Following this idea, several doses can be proposed regarding the number of posterior distribution modes. Then, novel dose-finding methods should be developed to take into account a possible change in the dose panel evaluated in the trial. In addition, in the methodology, no uncertainty is attributed to the extrapolation approach itself. However, it is possible that a lack of consistency is observed because of inappropriate extrapolation rather than due to a mismatch between preclinical data and humans. Thus, our framework could be expanded with different extrapolation strategies (allometry, PBPK, etc.) that then will be used at the coherence step, or distribution can be assumed for extrapolation parameter formulas, carrying on this uncertainty during the whole extrapolation process.
Another straightforward extension is using this framework to compute prior distributions for human model parameters used in the future (human) dose-finding trial. Indeed, while our work was focused on doses estimation, we can work at parameter level, that is clustering and merging parameter posterior distributions. This will give, as results, a distribution for each parameter, that could be used as prior distribution on human model parameters. ESS discounting or dynamic borrowing may worth to be studied.
In conclusion, we proposed a new framework to facilitate preclinical to clinical extrapolation in four main steps. Each step could be customized (models, algorithms, extrapolation formulas, hypotheses, etc.) according to the studies the researchers are working on.
Supplemental Material
sj-pdf-1-smm-10.1177_09622802241231493 - Supplemental material for Bayesian framework for multi-source data integration-Application to human extrapolation from preclinical studies
Supplemental material, sj-pdf-1-smm-10.1177_09622802241231493 for Bayesian framework for multi-source data integration-Application to human extrapolation from preclinical studies by Sandrine Boulet, Moreno Ursino, Robin Michelet, Linda BS Aulin, Charlotte Kloft, Emmanuelle Comets and Sarah Zohar in Statistical Methods in Medical Research
Footnotes
Declaration of conflicting interests
The author(s) declared no potential conflicts of interest with respect to the research, authorship, and/or publication of this article.
Funding
The author(s) disclosed receipt of the following financial support for the research, authorship, and/or publication of this article: This work is part the European FAIR project that has received funding from the European Union's Horizon 2020 research and innovation program [grant number 847786].
Supplemental material
Supplemental material for this article is available online. Web appendices, tables and figures, referenced in Sections 2 to 4, are available with this article at the Statistical Methods in Medical Research website.
References
Supplementary Material
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