Full Text CA-96-004 WOMEN AND MINORITY RECRUITMENT: INTERVENTION TESTING NIH GUIDE, Volume 25, Number 1, January 26, 1996 RFA: CA-96-004 P.T. 34, FF, II Keywords: Clinical Trial Disease Prevention+ Cancer/Carcinogenesis National Cancer Institute Letter of Intent Receipt Date: February 20,1996 Application Receipt Date: April 18, 1996 PURPOSE The Early Detection Branch (EDB), Division of Cancer Prevention and Control (DCPC), National Cancer Institute (NCI) invites investigator-initiated grant applications (R01s) for research to develop, implement, and test well-defined, hypothesis-based interventions to improve the participation of women and minority groups as subjects in cancer prevention and screening clinical trials. The focus will be on Phase III research. Populations of research interest are defined in the NIH Guidelines on Inclusion of Women and Minorities as Subjects in Clinical Research and include women and U.S. minority racial/ethnic groups (American Indian or Alaskan Native, Asian or Pacific Islander, Black, and Hispanic) and their subpopulations (DHHS 1994). Proposed research should build on current knowledge and research findings concerning clinical trial participation and patient recruitment, compliance, and retention and physician referral factors. HEALTHY PEOPLE 2000 The Public Health Service (PHS) is committed to achieving the health promotion and disease prevention objectives of ~Healthy People 2000,~ a PHS-led national activity for setting priority areas. This RFA (Women & Minority Recruitment: Intervention Testing), is related to all of the special populations targets. Potential applicants may obtain a copy of ~Healthy People 2000" (Full Report: Stock No. 017-001- 00474-0) or ~Healthy People 2000" (Summary Report: Stock No. 017-001-00473-1) through the Superintendent of Documents, Government Printing Office, Washington, DC 20402-9325 (telephone 202-783-3238). ELIGIBILITY REQUIREMENTS Applications may be submitted by for-profit and non- profit organizations, public and private, such as universities, colleges, hospitals, laboratories, units of State and local governments, and eligible agencies of the Federal government. Racial/ethnic minority individuals, women, and persons with disabilities are encouraged to apply as Principal Investigators. MECHANISM OF SUPPORT Support of this program will be through the National Institutes of Health (NIH) traditional research project grant (RO1). Responsibility for the planning, direction, and execution of the proposed project will be solely that of the applicant. Collaboration of investigators funded under this RFA is planned, see SPECIAL REQUIREMENTS section below. The total project period for an application submitted in response to this RFA may not exceed four years. The anticipated award date is September 30, 1996. Because the nature and scope of the research proposed in response to this RFA may vary, it is anticipated that the size of an award will vary also. This RFA is a one-time solicitation. Future unsolicited competing continuation applications will compete with all investigator-initiated applications and be reviewed according to the customary peer review procedures. FUNDS AVAILABLE Approximately $1.25 million in total costs per year for four years will be committed to fund applications submitted in response to this RFA. It is anticipated that four to six applications will be funded. The total project period of these awards may not exceed four years. This level of support is dependent on the receipt of a sufficient number of applications of high scientific merit. Although this program is provided for in the financial plans of the NCI, awards pursuant to this RFA are contingent upon the availability of funds for this purpose. RESEARCH OBJECTIVES Background The NIH Revitalization Act of 1993 directed NIH to establish guidelines for the inclusion of women and minorities in clinical research. The guidelines were to supersede and strengthen prior policies regarding the participation of women and minorities as subjects in clinical research, the manner in which clinical trials are designed and carried out, and the operation of outreach programs (DHHS 1994). The NIH published these guidelines in the Federal Register on March 28, 1994. Since a primary aim of medical research is to provide findings that can be used to develop and revise policies and standards of care, it is important to know if an intervention under study has a differential effect upon men or women or members of minority groups. The NIH guidelines are intended to ensure that all future NIH-supported research is designed to elicit information on both genders and diverse minority groups (DHHS 1994). Although female participation in NCI's clinical trials has exceeded 50 percent for several years, women and minority groups overall are currently under represented as subjects in many clinical studies (El- Sadr and Capps 1992, GAO 1990, Larson 1994, Svensson 1989). This lack of representation has resulted in significant gaps in knowledge and has limited the usefulness of results from many studies (GAO 1990). Studies without adequate numbers of women and minorities are unable to detect potentially important biological or clinical differences among these groups. This lack of information can lead to misunderstandings of disease etiology as well as inappropriate public health policies and treatment guidelines (Mohiuddin and Hilleman 1993, Svensson 1989). The generalizability of findings to larger populations at risk may also be compromised in studies without appropriate gender and minority group representation (Antman et al. 1985, NIH 1994a, Kaluzny et al. 1993, King et al. 1994, Roberson 1994). The lack of generalizability seriously limits the applicability of potentially relevant results to large segments of the population. In addition, the ability to gain important new information about cancer that can benefit all Americans is diminished in studies without representative study populations. Some populations, such as Filipino Americans, experience far more favorable cancer rates than the majority population (Baquet and Hunter 1995). Gender and ethnicity can serve as markers for both high and low risk populations where environmental and genetic causal relationships may be more easily observed (Cooper 1993). By identifying and then analyzing population differences, important new interventions can be developed to help reduce cancer rates for the entire U.S. population. While scientific concerns with under representation are important as noted above, there are also compelling social and ethical reasons to include women and minorities in clinical research. These reasons have to do with fairness and the potential benefits that individuals and population groups can obtain through participation in federally-funded research. The well-known bioethical principle of justice calls for equal distribution of social goods and services (Beauchamp and Childress 1989). Justice is clearly not served when important questions regarding the health of one gender or minority group are ignored, when one gender or minority group does not participate in clinical trials, or when one gender or minority group receives treatment that has been inadequately tested in that group (IOM 1994). Within the oncology community, it is generally believed that patients treated under clinical trial protocols receive the best available medical care and state-of-the-art treatment (AMA 1991, MacIntyre 1991, Thomas et al. 1994, Wittes 1988). Advantages to participation extend beyond the patient to their families and friends who benefit through shared information and resources. There is also growing evidence to suggest that care provided in clinical trials may be more cost effective than that provided by conventional treatment (AMA 1991). Under the bioethical principle of beneficence, all biomedical research should be designed to maximize benefit and minimize harm (McCarthy 1994). Limited clinical trial participation among women and minorities can lead to harm through denying these groups critical information that could alter ineffective or detrimental medical care (Dresser 1992). There is an urgent need for information that will lead to the identification and validation of cancer control interventions for minority populations (Alexander 1995). Many of these populations suffer higher cancer rates than the majority population. Therefore, it becomes imperative that all groups of people including women and minorities have equal access to the advantages that participation in clinical trials brings (NIH 1994a, Spilker and Cramer 1992, Wermeling and Selwitz 1993). Need for Proposed Research Program Differential patterns of cancer rates between population groups and genders are well documented but not well understood. For example, black women experience higher rates of breast cancer at significantly younger ages that do white women, and black males experience rates for prostate cancer morbidity and mortality that are two to three times higher than those of white males (Baquet and Hunter 1995). Compared to the majority population, Native Americans have an increased risk for several cancers including cancers of the lung, cervix, and gallbladder and Hispanic Americans as a group have an increased risk for cancers of the stomach, esophagus, pancreas, and cervix (Alexander 1995). In order to develop effective intervention strategies for higher risk populations, we must investigate the underlying causes for differences in observed cancer patterns and include these populations in research studies. Because many U.S. minority groups are at a lower socioeconomic status than the general population, it is often more difficult to conduct clinical trials with minority subjects (Freeman 1993). Nonetheless, the level of participation of minorities and women as subjects in NCI's treatment trials is currently close to their representation in populations at risk (Tejeda et al. 1994). The success is due in part to two recent NCI programs, the Division of Cancer Prevention and Control's (DCPC) Minority-Based Clinical Community Oncology Program (MBCCOP) and the Division of Cancer Treatment's (DCT) Increasing Minority Accrual to Cooperative Clinical Trials program. However, the numbers of women and minority groups participating in NCI's prevention and screening trials lag behind those enrolled in its treatment trials. Therefore, the NCI is eager to find effective strategies and models to increase their participation in these trials. The participation of women and minority groups as subjects in clinical trials is a new area of interest and research. Very little research on the topic been published or documented (Chen 1994, Johnson and Arfken 1992, Roberson 1994). While a number of barriers to the participation of these groups in clinical studies have been identified, good culturally sensitive, hypothesis-driven research on interventions is greatly needed (Bateman et al. 1993, Fleetwood 1993, Millon- Underwood et al. 1993, NCI 1993, ORWH 1994, Thomas et al. 1994). The selection characteristics, recruitment, and enrollment of subjects into clinical trials involves multiple factors related to patients, physicians, and trial protocols. In many trials only a small fraction of eligible participants actually enroll. Investigations into reasons for this lack of enrollment have found that physician preferences are responsible for the nonentry of a large proportion of eligible patients (Begg et al. 1983, Hunter et al. 1987, Taylor et al. 1984). Efforts to significantly increase the enrollment of women and minority groups in clinical trials may need to address physician attitudes regarding clinical trials and treatment preferences. Cancer prevention and screening clinical trials differ significantly from treatment trials (McCabe et al. 1994). Unlike treatment trials, they focus on cancer free populations and require the participation of very large numbers of subjects for very long periods of time. Therefore, the nature of the accrual process differs and special strategies are required (Kaluzny et al. 1993). Incentives for people to participate in cancer prevention and screening trials differ from cancer treatment trials. For example, perceived risk is an especially important issue (ORWH 1994). People with cancer are often motivated to participate in trials by strong feelings of hope. However, when people feel that they are at low risk for contracting a disease, there is less motivation to participate in clinical trials. In prevention and screening trials, the research community is asking essentially healthy people to participate for an uncertain, far off reward (Cassileth et al. 1982). Given that a significant proportion of many minority groups carry a heavy burden of poverty, worries about daily safety and well-being are likely to take precedence over concerns for a disease they do not yet have (Lacey 1993). Studies which do not accrue and retain sufficient numbers of eligible populations at a specified rate risk losses of statistical power and validity (Taylor et al. 1984). Prolonged trials suffer from diminished enthusiasm and risk funding lapses and changes in important background variables (MacIntyre 1991). The scientific "window of opportunity" is small for a study to activate, reach its targeted accrual, and then close. If a study languishes due to poor accrual and lack of adequate gender and minority group representation, the study question runs a risk of becoming obsolete. This in turn is a disservice to the people who have chosen to participate in the trial. To be able to properly give informed consent, a participant must: 1) be able to understand the research question being studied, the methodology employed, and the potential benefits and harm from trial participation, 2) have an information base sufficient to critically read and understand an informed consent document, and 3) have the ability to allow for personal risk (Allen 1994, Henderson 1994). In our effort to include minorities and women in clinical research, the medical community must recognize that some people within these groups may be vulnerable or less advantaged and need special recruitment consideration and safeguards (NIH 1994b, Spilker and Cramer 1992). Levine describes vulnerable populations as those people who have insufficient "...resources, strength, or other needed attributes to protect their own interests through negotiations for informed consent" (Levine 1986). Because women and members of minority groups may experience discriminatory societal customs, a high proportion of them may be vulnerable due to such things as poverty, poor health, and low educational attainment or feel vulnerable due to cultural and historical factors. They may, therefore, be in a disadvantaged, less-powerful position when interacting with the health care system. Nonetheless, it is not appropriate to treat all women or an entire minority group as if they were vulnerable. As Levine notes, this sort of treatment, "among other things, ...adds unnecessarily to the burden of stereotypes already borne by such groups" (Levine 1986). With implementation of the new NIH guidelines, researchers need to work closely with their communities, Institutional Review Boards (IRBs), and ethics committees to enhance accrual rates of target populations and, at the same time, protect subjects from coercive practices. Special staff training and subject recruitment guidelines may need to be developed to ensure that all potential subjects are able to fully understand the research project and freely choose (or decline) to participate. All clinical interventions and studies involve personal, culturally-based interactions between patients and staff. These human interactions involve values and needs as well as differences between cultures; the culture of the medical profession, the culture of "being a patient," and the ethnic cultures of individuals (Morrow and Bellg 1994). As with clinical practice, researchers who don't take these factors into account when designing and implementing clinical trials with women and minority groups risk problems with subject compliance and poor study retention. Research Objectives and Scope Goal: To identify interventions that enhance the participation of under represented populations as subjects in cancer prevention and screening clinical trials. Major Objectives: 1. To develop, implement, and test interventions for target subject populations that will increase their: (a) recruitment, (b) compliance, (c) retention, and (d) referral from physicians and other health care providers 2. To evaluate the effectiveness and costs of proposed interventions. 3. To disseminate program results to the cancer research community. Multidisciplinary research teams are encouraged to submit RO1 applications that address research issues within well-defined study populations such as but not limited to the following: (1) Determining optimum ways to recruit subjects. Examining the effects of communication strategies (e.g., channels, spokespersons, materials); community outreach strategies; referring health care provider factors; sponsoring or collaborating organizations; advocacy groups; peer group support; protocol characteristics; incentives; psychological factors (e.g., concepts of disease, trust in the medical system) and counseling of potential subjects on trial recruitment. (2) Determining factors that influence a health care professional's decision to refer patients to clinical trials. Examining logistical and attitudinal barriers and incentive strategies. (3) Determining optimum environment-related strategies for clinical trial recruitment activities (e.g., on-going Wellness clinics, health fairs, worksites) where information on clinical trials may be provided as part of a spectrum of other endeavors. (4) Determining effective ways to reduce barriers to subject participation and enhance those factors that help motivate and facilitate participation. (5) Determining optimum ways to assure subject compliance with clinical trial protocols. Examining the effect of social support systems, case management, staff composition and characteristics, and incentive and reimbursement strategies on compliance and satisfaction. (6) Determining optimum ways to retain subjects throughout the duration of a clinical trial. Examining the effect of communication patterns between researchers and subjects (e.g., physician support and encouragement, newsletters), patient education, quality of life, service and protocol characteristics of the trial, and incentive and reimbursement strategies on retention. (7) Defining issues that should be addressed in the recruitment and informed consent process for subjects and their health care providers. Measuring differential response to the informed consent process. (8) Defining the impact of participation in clinical trials on the subsequent behavior of subjects and their interactions with health professionals. (9) Identifying optimal referral sources and networks for potential clinical trial subjects. (10) Examining the role of economic barriers to subject participation in clinical trials including issues surrounding reimbursement of patient care costs. (11) Examining the role of partnerships between research institutions and communities on the participation of subjects and health care providers in clinical trials. Examining any differences in support systems used by various populations. (12) Examining ways to ensure the protection of "vulnerable" populations from research abuse (e.g., avoiding coercion or undue influence to participate or remain in a study). Applications should propose developing and testing interventions. An experimental design is the preferred approach. Applicants are encouraged to test and compare multiple innovative strategies and to assess their relative effectiveness. Applicants should address cost issues and include measures of cost effectiveness and efficiency in their proposals. In developing research designs and interventions, it is important that investigators clearly identify their hypotheses and define the target population(s). Investigators will be required to document that they have experience working with the target population(s). Investigators may adapt and test existing participation strategies used with the general population for use with women and minority populations. They may also develop and test new strategies including those that build upon or extend current NCI programs and resources such as the Cancer Centers program, the CCOPs, the Leadership Initiatives, the Patient Education Program, the Physician Data Query (PDQ) system, and the Cancer Information System (CIS). SPECIAL REQUIREMENTS All research funded through this RFA must be undertaken within the context of an ongoing cancer prevention or screening clinical trial. Written approval in the form of a letter from the Trial's Principal Investigator must be submitted with the application. The letter must state that the application and research plan were reviewed and approved. If this document does not accompany the application, the application will be deemed nonresponsive. In addition, written approval of the proposed project by the agency funding the clinical trial must be received by the NCI prior to issuance of an award. This RFA is not intended to support or supplement new clinical trials. INCLUSION OF WOMEN AND MINORITIES IN RESEARCH INVOLVING HUMAN SUBJECTS It is the policy of the NIH that women and members of minority groups and their subpopulations must be included in all NIH supported biomedical and behavioral research projects involving human subjects, unless a clear and compelling rationale and justification is provided that inclusion is inappropriate with respect to the health of the subjects or the purpose of the research. This new policy results from the NIH Revitalization Act of 1993 (Section 492B of Public Law 103-43) and supersedes and strengthens the previous policies (Concerning the Inclusion of Women in Study Populations, and Concerning the Inclusion of Minorities in Study Populations), which have been in effect since 1990. The new policy contains some provisions that are substantially different from the 1990 policies. All investigators proposing research involving human subjects should read the ~NIH Guidelines For Inclusion of Women and Minorities as Subjects in Clinical Research,~ which have been published in the Federal Register of March 28, 1994 (FR 59 14508 to 14513) and reprinted in the NIH Guide for Grants and Contracts, Volume 23, Number 11, March 18, 1994. Investigators also may obtain copies of the policy from the program staff listed under INQUIRIES. Program staff may also provide additional relevant information concerning the policy. LETTER OF INTENT Prospective applicants are asked to submit by February 20, 1996 a letter of intent that includes a descriptive title of the proposed research, the name, address, and telephone and FAX numbers of the Principal Investigator, the identities of other key personnel and participating institutions, and the number and title of the RFA in response to which the application may be submitted. Although a letter of intent is not required, is not binding, and does not enter into the review of a subsequent application, the information that it contains allows NCI staff to estimate the potential review workload and avoid conflict of interest in the review. The letter of intent is to be sent to: Nancy K. Simpson, Sc.M. Early Detection Branch National Cancer Institute Executive Plaza North, Room 305 6130 Executive Boulevard, MSC 7342 Bethesda, MD 20892-7342 Rockville, MD 20894 (courier express) Telephone: (301) 496-3893 FAX: (301) 496-8667 APPLICATION PROCEDURES The research grant application form PHS 398 (rev. 5/95) is to be used in applying for these grants. These forms are available at most institutional offices of sponsored research; from the Office of Grants Information, Division of Research Grants, National Institutes of Health, 6701 Rockledge Drive, MSC 7910, Bethesda, MD 20892-7910, telephone 301/710-0267, email: girg@drgpo.drg.nih.gov; and from the NCI Information Office listed under INQUIRIES. The RFA label available in the PHS 398 (rev. 5/95) application form must be affixed to the bottom of the face page of the application. Failure to use this label could result in delayed processing of the application such that it may not reach the review committee in time for review. In addition, the RFA title and number must be typed on line 2 of the face page of the application form and the YES box must be marked. Submit a signed, typewritten original of the application, including the Checklist, and three signed, photocopies, in one package to: DIVISION OF RESEARCH GRANTS NATIONAL INSTITUTES OF HEALTH 6701 ROCKLEDGE DRIVE, ROOM 1040 - MSC 7710 BETHESDA, MD 20892-7710 (U.S. POSTAL SERVICE) BETHESDA, MD 20817 (courier service) At the time of submission, two additional copies of the application must be sent to: Ms. Toby Friedberg Division of Extramural Activities National Cancer Institute Executive Plaza North, Suite 636 6130 Executive Boulevard - MSC 7405 Bethesda, MD 20892-7405 (U.S. postal service) Rockville, MD 20852 (courier express) Applications must be received by April 18, 1996. If an application is received after that date, it will be returned to the applicant without review. The Division of Research Grants (DRG) will not accept any application in response to this RFA that is essentially the same as one currently pending initial review, unless the applicant withdraws the pending application. The DRG will not accept any application that is essentially the same as one already reviewed. This does not preclude the submission of substantial revisions of applications already reviewed, but such applications must include an introduction addressing the previous critique. REVIEW CONSIDERATIONS Upon receipt, applications will be reviewed for completeness by the DRG and for responsiveness by the NCI. Incomplete applications will be returned to the applicant without further consideration. If the application is not responsive to the RFA, NIH staff may contact the applicant to determine whether it should be returned or submitted for review in competition with unsolicited applications at the next review cycle. Applications that are complete and responsive to the RFA will be evaluated for scientific and technical merit by an appropriate peer review group convened by the NCI in accordance with the review criteria stated below. Applications that are complete and responsive to the RFA will be evaluated for scientific and technical merit by an appropriate peer review group convened in accordance with NIH peer review procedures. As part of the initial merit review, all applications will receive a written critique and undergo a process in which only those applications deemed to have the highest scientific merit, generally the top half of applications under review, will be discussed, assigned a priority score, and receive a second level review by the National Cancer Advisory Board. As part of the initial merit review, a process (triage) may be used by the initial review group in which applications will be determined to be competitive or non-competitive based on their scientific merit relative to other applications received in response to the RFA. Applications judged to be competitive will be discussed and be assigned a priority score. Applications determined to be non- competitive will be withdrawn from further consideration and the Principal Investigator and the official signing for the applicant organization will be notified. Review Criteria o Applications will be judged on evidence of an in- depth understanding of the target population; the ability to access and obtain the participation of target population members; and the innovativeness of proposed strategies. o Scientific, technical, or medical significance and originality of proposed research; o Appropriateness and adequacy of the experimental approach and methodology proposed to carry out the research; o Qualifications and research experience of the Principal Investigator and staff, particularly, but not exclusively, in the area of the proposed research; o Availability of the resources necessary to perform the research; o Appropriateness of the proposed budget and duration in relation to the proposed research; The initial review group will also examine the adherence to special requirements, and the provisions for the protection of human and animal subjects, the safety of the research environment, and conformance with the NIH Guidelines for the Inclusion of Women and Minorities as Subjects in Clinical Research. AWARD CRITERIA The anticipated date of award is September 30, 1996. Applicants will compete for funding based on the quality and merit of the proposed research as determined by peer review, availability of funds, and programmatic priorities. It is the intent of this program to fund a portfolio of research projects that will test a variety of strategies and target a variety of population groups. Therefore, the extent of diversity of interventions as well as geographic and racial/ethnic variation will be considered in making funding decisions. INQUIRIES Written and telephone inquiries concerning this RFA are encouraged. The opportunity to clarify any issues or questions from potential applicants is welcome. Direct inquiries regarding programmatic issues to: Nancy K. Simpson, Sc.M. Early Detection Branch National Cancer Institute Executive Plaza North, Room 305 6130 Executive Boulevard MSC 7342 Bethesda, MD 20892-7342 Rockville, MD 20894 (courier service) Telephone: (301) 496-3893 FAX: (301) 496-8667 Email: SIMPSONN@DCPCEPN.NCI.NIH.GOV Direct inquiries regarding fiscal issues to: Robert Hawkins Grants Administration Branch National Cancer Institute Executive Plaza South, Room 243 6120 Executive Boulevard, MSC 7150 Bethesda, MD 20892-7150 Rockville, MD 20852 (courier express) Telephone: (301) 496-7800 Ext. 213 FAX: (301) 496-8601 Email: HAWKINSR@GAB.NCI.NIH.GOV AUTHORITY AND REGULATION This program is described in the Catalog of Federal Domestic Assistance No. 93.399, Cancer Control Science Program. Awards are made under the authorization of the Public Health Service Act, Title IV, Part A. (Public Law 78-410, as amended by Public Law 99-158, 42 USC 241 and 285) and administered under PHS grants policies and Federal Regulations 42 CFR part 52 and 45 CFR part 74 and 92. This program is not subject to the intergovernmental review requirements of Executive Order 12372 or Health Systems Agency review. The PHS strongly encourages all grant and contract recipients to provide a smoke-free workplace and promote the non-use of all tobacco products. In addition, Public Law 103-227, the Pro Children Act of 1994, prohibits smoking in certain facilities (or in some cases, any portion of a facility) in which regular or routine education, library, day care, health care or early childhood development services are provided to children. This is consistent with the PHS mission to protect and advance the physical and mental health of the American people. References Alexander GA. Cancer control in special populations: African Americans, Native Americans, Hispanics, poor and undeserved. 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Cancer Supplement 72:1078-1083, 1993. Larson E. Exclusion of certain groups from clinical research. Image: Journal of Nursing Scholarship 26(3):185-190, 1994. Levine RJ. Ethics and Regulations of Clinical Research. 2nd ed. Baltimore: urban and Schwarzenber, 1986. MacIntyre IM. Tribulations for clinical trials: Poor recruitment is hampering research. BMJ 302:1099-1100, 1991. McCabe MS, Varricchio CG, Padberg RM. State of the art care: Efforts to recruit the economically disadvantaged to national clinical trials. Seminars in Oncology Nursing 10(2):123-129, 1994. McCarthy CR. Historical background of clinical trials involving women and minorities. Academic Medicine 69(9):695-698, 1994. Million-Underwood S, Sanders E, Davis M. Determinants of participation in state-of-the-art cancer prevention, early detection/screening, and treatment trials among African-Americans. Cancer Nursing 16(1):25-33, 1993. Mohiuddin SM, Hilleman DE. Gender and racial bias in clinical pharmacology trials. 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Seminars in Hematology 25(3):38-42, 1988. .
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