Exploring Immunologic Effects of Oral Insulin in Relatives at Risk for Type 1
Phase: PHASE2
Conditions: Type 1 Diabetes
Sponsor: National Institute of Diabetes and Digestive and Kidney Diseases (NIDDK)

 
 
 
 
 
 
 
 
 
 
Exploring Immune Effects of Oral Insulin in Relatives at Risk for 
Type 1 Diabetes Mellitus 
 
 
 
(Protocol TN-20) 
 
 
 
VERSION: January 15, 2016 
 
IND #: 76,419 
 
 
 
 
 
Sponsored by the National Institute of Diabetes and Digestive and Kidney Diseases 
(NIDDK), the National Institute of Allergy and Infectious Diseases (NIAID), the National 
Center for Research Resources (NCRR), the Juvenile Diabetes Research Foundation 
International (JDRF), and the American Diabetes Association (ADA) 
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TrialNet Protocol TN20 
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PREFACE 
 
The Type 1 Diabetes TrialNet Protocol TN20, Exploring Immune Effects of Oral Insulin in Relatives at 
Risk for Type 1 Diabetes Mellitus, describes the background, design, and organization of the study. 
The protocol will be maintained by the TrialNet Coordinating Center at the University of South Florida 
over the course of the study through new releases of the entire protocol, or issuance of updates either 
in the form of revisions of complete chapters or pages thereof, or in the form of supplemental protocol 
memoranda. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
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Glossary of Abbreviations 
 
 
AE 
Adverse event 
AICD 
Activation Induced Cell Death 
APC 
Antigen presenting cell 
CBC 
Complete Blood Count 
CFR 
Code of Federal Regulations 
cGMP 
Current Good Manufacturing Practice 
CHO 
Carbohydrates 
CRF 
Case report form 
DC 
Dendritic Cell 
DPT-1 
Diabetes Prevention Trial - Type1Diabetes 
DSMB 
Data and Safety Monitoring Board 
ELISPOT 
Enzyme-Linked ImmunoSpot Assay 
FACS 
Fluorescence activated cell sorting 
FDA 
US Food and Drug Administration 
FOXP3 
Forkhead box P3 
FWA 
Federal-wide Assurance 
GAD 
Glutamate decarboxylase 
GCP 
Good Clinical Practice 
HbA1c 
Hemoglobin A1c 
HBsAg 
Hepatitis B surface antigen 
HIV 
Human immunodeficiency virus 
ICA 
Islet cytoplasmic antibodies 
IEC 
Independent Ethics Committee 
IGRA 
Interferon-γ release assays 
IND 
Investigational New Drug 
IRB 
Institutional Review Board 
ITN 
Immune Tolerance Network 
JDRF 
Juvenile Diabetes Research Foundation 
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LIFT 
Long Term Investigative Follow-Up 
mIAA 
Insulin Autoantibody 
NIDDK 
National Institute for Diabetes and Digestive and Kidney Diseases 
NIH 
National Institute of Health 
NCI-CTCAE 
National Cancer Institute Common Terminology Criteria for Adverse 
Events 
NOD 
Nonobese diabetic 
OGTT 
Oral Glucose Tolerance Test 
OHRP 
Office for Human Research Protections 
PBMC 
Peripheral Blood Mononuclear Cell 
PCR 
Polymerase chain reaction 
PI 
Principal Investigator 
PO 
Per Oral (by mouth) 
QA 
Quality Assurance 
RMSE 
Residual Mean Square Error 
SAE 
Serious adverse event 
SOA 
Schedule of assessments 
SOP 
Standard operating procedure 
T1D 
Type 1 diabetes mellitus 
TCA 
T Cell Assay 
Tregs 
Regulatory T cells 
TSDR 
Treg Specific Demethylation region 
ZnT8 
Zinc Transporter 8 
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Table of Contents 
 
1. 
STUDY OVERVIEW .................................................................................................................... 7 
2. 
BACKGROUND AND SIGNIFICANCE ....................................................................................... 7 
2.1. 
Rationale for Study .............................................................................................................. 7 
2.1.1. 
Type 1 diabetes (T1D) .................................................................................................. 7 
2.1.2. 
Natural History of Type 1 Diabetes Mellitus (T1D) ........................................................ 8 
2.1.3. 
Oral Insulin for prevention of T1D ............................................................................... 12 
2.2. 
Possible Mechanisms of Action of Oral Insulin ................................................................... 13 
2.2.1. 
Regulatory T cells (Tregs) .......................................................................................... 13 
2.2.2. 
Deletion of effector T cells .......................................................................................... 13 
2.2.3. 
Sequestration of effector T cells ................................................................................. 14 
2.3. 
Rational for Mechanistic Assays ........................................................................................ 14 
2.3.1. 
Detection of autoreactive T cells and induction of T regulatory cells ........................... 14 
3. 
STUDY DESIGN ........................................................................................................................ 15 
3.1. 
Overview ............................................................................................................................ 15 
3.2. 
Objectives .......................................................................................................................... 15 
3.3. 
Summary of Inclusion/Exclusion Criteria ............................................................................ 16 
3.3.1. 
Inclusion Criteria ........................................................................................................ 16 
3.3.2. 
Exclusion Criteria ....................................................................................................... 16 
3.4. 
Study Population ................................................................................................................ 17 
3.5. 
Description of Treatment Groups ....................................................................................... 17 
3.6. 
Treatment Assignment ....................................................................................................... 17 
3.7. 
Study Assessments ........................................................................................................... 18 
3.8. 
Quality Assurance .............................................................................................................. 18 
3.9. 
Study Timeline ................................................................................................................... 18 
3.10. Post-Treatment Follow up .................................................................................................. 18 
4. 
PARTICIPANT MANAGEMENT ................................................................................................ 18 
4.1. 
Screening Visit and Eligibility Assessment ......................................................................... 18 
4.2. 
Randomization ................................................................................................................... 18 
4.3. 
Drug Administration ........................................................................................................... 19 
4.4. 
Treatment Modification or Discontinuation ......................................................................... 19 
5. 
STUDY VISIT ASSESSMENTS ................................................................................................. 19 
5.1. 
General Assessments ........................................................................................................ 19 
5.2. 
Mechanistic Outcome Assessments................................................................................... 19 
5.3. 
Metabolic Outcome Assessments ...................................................................................... 20 
5.4. 
Visit Windows .................................................................................................................... 20 
6. 
ADVERSE EVENT REPORTING AND SAFETY MONITORING ............................................... 20 
6.1. 
Adverse Event Definitions .................................................................................................. 20 
6.1.1. 
Adverse Event ............................................................................................................ 20 
6.1.2. 
Adverse Reaction ....................................................................................................... 20 
6.1.3. 
Serious Adverse Event/Reaction ................................................................................ 21 
6.1.4. 
Unexpected Adverse Event ........................................................................................ 21 
6.1.5. 
Grading Event Severity .............................................................................................. 22 
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6.2. 
Adverse Event Reporting and Monitoring ........................................................................... 22 
7. 
PARTICIPANT SAFETY ........................................................................................................... 22 
7.1. 
Risks, Benefits and Inclusion of Children ........................................................................... 22 
7.2. 
Expected Side Effects and Adverse Events ....................................................................... 23 
7.3. 
Protecting Against or Minimizing Potential Treatment Risks ............................................... 23 
7.4. 
Pregnancy.......................................................................................................................... 24 
8. 
STATISTICAL CONSIDERATIONS AND ANALYSIS PLAN .................................................... 24 
8.1. 
Overview ............................................................................................................................ 24 
8.2. 
Study Design, Accrual, and Study Duration........................................................................ 24 
8.3. 
Analysis Plan ..................................................................................................................... 25 
8.4. 
Toxicity and Tolerability...................................................................................................... 27 
8.5. 
Primary Outcome ............................................................................................................... 28 
9. 
ETHICAL CONSIDERATIONS AND COMPLIANCE WITH GOOD CLINICAL PRACTICE ...... 28 
9.1. 
Statement of Compliance ................................................................................................... 28 
9.2. 
Participating Centers .......................................................................................................... 28 
9.3. 
Informed Consent .............................................................................................................. 28 
9.4. 
Study Participant Confidentiality ......................................................................................... 29 
10. STUDY ADMINISTRATION ....................................................................................................... 30 
10.1. Organizational Structure .................................................................................................... 30 
10.2. Groups and Committees .................................................................................................... 30 
10.2.1. 
Oral Insulin Trial Protocol Committee ......................................................................... 30 
10.2.2. 
TrialNet Chairman’s Office, TrialNet Coordinating Center, and the TrialNet Hub ........ 30 
10.2.3. 
Clinical Sites .............................................................................................................. 30 
10.2.4. 
Safety Monitoring Committee and Medical Monitor .................................................... 30 
10.2.5. 
Clinical Site Monitoring ............................................................................................... 31 
10.2.6. 
Data and Safety Monitoring Board (DSMB) ................................................................ 31 
10.3. Sample and Data Storage .................................................................................................. 31 
10.4. Preservation of the Integrity of the Study ........................................................................... 31 
10.5. Participant Reimbursement and Compensation ................................................................. 32 
Appendix A:  Schedule of Assessments ....................................................................................... 33 
References ....................................................................................................................................... 34 
 
 
 
 
 
 
 
 
 
 
 
 
 
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TrialNet Protocol TN20 
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1. STUDY OVERVIEW 
 
Title 
Exploring Immune Effects of Oral Insulin in Relatives at Risk for 
Type 1 Diabetes Mellitus 
IND Sponsor 
National Institute of Diabetes and Digestive and Kidney Diseases 
(NIDDK) 
Conducted By 
Type 1 Diabetes Trial Network (TrialNet) 
Protocol Chair 
Peter Gottlieb, M.D.; Barbara Davis Center, Denver, CO 
Accrual Objective 
A minimum of 40 participants will be enrolled for this study. 
Study Design 
The study is a 2-arm, multicenter, randomized, open-labelled 
clinical research study. 
Treatment Description 
Each participant will receive recombinant human oral insulin 
capsules either through a daily regimen (67.5 mg/day) or biweekly 
regimen (i.e. every other week, starting at 135 mg titrating up to 500 
mg as tolerated). 
Study Duration 
Participants are enrolled and followed for a total duration of 12 
months. 
Objective 
The objective of this study is to assess the effects of varying doses 
and schedules of oral insulin on immunologic and metabolic markers 
in participants at risk for T1D. 
Primary Outcome 
The primary outcome is the change in immune function as assessed 
by level or quality of T lymphocyte or autoantibody biomarkers of β-
cell specific immune response measured between 13 and 26 weeks 
after 1st dose versus baseline. 
Major Inclusion Criteria 
(1) Relatives of T1D proband with mIAA and at least one other 
diabetes-related autoantibody confirmed present 
Major Exclusion Criteria 
(1)  Diagnosis of diabetes 
 
 
2. BACKGROUND AND SIGNIFICANCE 
 
2.1. Rationale for Study 
 
2.1.1. Type 1 diabetes (T1D) 
Type 1 diabetes mellitus is an immune-mediated disease in which insulin-producing beta cells are 
completely or nearly completely destroyed, resulting in life-long dependence on exogenous insulin.  It 
is a chronic and potentially disabling disease that represents a major public health and clinical 
concern. The number of patients being diagnosed with type 1 diabetes is increasing each year and is  
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approaching an epidemic level in some countries that track this information (1).  Unfortunately, the 
increase in type 1 diabetes is the greatest in children under age five years (2). 
 
Current management of T1D is not optimal. To avoid long-term complications, patients must attempt 
to maintain near normal glycemic control by frequent glucose monitoring throughout the day, by 
multiple daily insulin injections or use of an insulin pump, and by adjusting insulin doses for variation 
in diet and exercise. Such strict glycemic control is rarely achieved with current management and 
overly aggressive therapy results in severe hypoglycemia which can be life threatening (3). It is not 
possible to fully mimic the function of the beta cell, and there are no established treatments that can 
prevent its destruction. Thus, despite advances in diabetes care and treatment, individuals with 
diabetes remain at risk for early mortality and a high rate of morbidity due to complications such as 
retinopathy leading to blindness, neuropathy and vascular disease leading to amputations and heart 
disease, and nephropathy leading to renal failure. The costs of caring for diabetes and its 
complications are currently greater than $100 billion a year (4). 
 
2.1.2. Natural History of Type 1 Diabetes Mellitus (T1D) 
Much is known about the natural history of the type 1 diabetes disease process (5). Although all 
people are susceptible, relatives of individuals with T1D are at much greater risk for development of 
the disease. In the general population, approximately 0.3% of individuals will develop T1D. In 
contrast, those with a close relative with T1D have a 5% incidence of disease – a 15 fold increase (6). 
Further risk stratification among family members depends upon genetic, immune and metabolic data 
(7). 
 
Beta cell destruction generally begins in genetically susceptible individuals years before clinical onset 
of disease (8). The autoimmune process that causes beta cell destruction is clinically silent and can 
only be identified by the detection of autoantibodies in the blood such as: Islet Cell Antibodies (ICA), 
anti-glutamic acid decarboxylase (GAD)65ab, anti-ICA512ab/anti-IA2ab, anti-insulin autoantibodies 
(mIAA) (6), and the recently described antibodies to a zinc transporter (ZnT8) (9). Continued immune 
mediated beta cell destruction involving both B- and T-cells occurs until physiologic insulin demand 
cannot be met by the remaining beta cells, resulting in hyperglycemia and clinical diagnosis of T1D 
(10, 11). 
 
Based on data from the Diabetes Prevention Trial-Type 1 Diabetes (DPT-1), the TrialNet Natural 
History/Pathway to Prevention Study, and others, the risk for developing diabetes in relatives without 
the disease can be defined by the presence of autoantibodies and the degree of metabolic impairment 
(12- 14). Like the DPT-1, the ongoing TrialNet Natural History/Pathway to Prevention Study has 
tested more than 150,000 relatives for the presence of diabetes-associated autoantibodies during the 
past decade or so. 
 
Approximately 5% of relatives tested are found to have at least one autoantibody. Further testing 
enables risk assessment of this population. In DPT-1, relatives with at least two autoantibodies and 
normal glucose tolerance have at least a 42% risk for development of T1D over 6 years. This was 
demonstrated in DPT-1 as well as ENDIT (European Nicotinamide Diabetes Intervention Trial), a 
large European trial enrolling autoantibody-positive relatives (15). This risk has been confirmed in the 
ongoing TrialNet Natural History/Pathway to Prevention Study (Figure 1). 
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Figure 1: Cumulative incidence of type 1 diabetes in TN01 Natural History Pathway to Prevention Study 
participants with > 2 autoantibodies positive and normal glucose tolerance on first OGTT Test. 
 
 
Moreover, while the limited numbers of relatives followed for more than 10 years prevent precision 
around a 10-year risk estimate, it is noteworthy that available data from those in DPT-1 or TrialNet 
Natural History/Pathway to Prevention Study suggests no leveling off of this risk over time. Data 
from studies following individuals at risk from birth also demonstrate the continued risk for T1D over 
time once they develop multiple autoantibodies (Figure 2). 
 
 
 
Figure 2: Risk for development of T1D in antibody positive children followed from birth (16). 
 
Thus our current understanding is that essentially all relatives confirmed to have two or more 
autoantibodies will eventually develop clinical T1D. 
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Prior to this clinical diagnosis, autoantibody-positive relatives progress from normal glucose tolerance 
to impaired or indeterminate glucose tolerance (defined as any blood glucose level after ingestion of 
oral glucose of > 200 mg/dL and/or a glucose level 2 hours after ingestion of oral glucose of 140-199 
mg/dL and/or fasting glucose between 110 – 125 mg/dL during a standard oral glucose tolerance 
test). Participants in the TN01 Natural History/Pathway to Prevention Study with multiple autoantibody 
positivity and normal glucose tolerance at baseline were found to have a 38% two-year risk of 
progression to confirmed abnormal glucose tolerance (Figure 3). Once such abnormal glucose 
tolerance is present, there is a very high short-term risk of clinical diagnosis: 68% over 4 years (Figure 
4). The risk is particularly high for individuals under the age of 18 (Figure 5). The extremely high risk 
of this group has now been demonstrated in three independent studies: DPT-1, ENDIT and the 
ongoing TrialNet Natural History/Pathway to Prevention Study. 
 
 
 
Figure 3: Two-year risk of confirmed abnormal glucose tolerance is 38%, and the six-year risk is 67.9% among 
individuals with multiple autoantibody positivity and normal glucose tolerance at baseline in the TN01 Natural 
History/Pathway to Prevention Study. 
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Figure 4: Four-year risk of diabetes onset is 68% among individuals with multiple autoantibody positivity and 
confirmed abnormal glucose tolerance in the TN01 Natural History/Pathway to Prevention Study. 
 
 
 
Figure 5: Risk of diabetes onset among multiple antibody positive relatives is highly dependent on age, with 
children progressing to clinical disease much faster than adults. Data from TN01 Natural History/Pathway to 
Prevention Study. 
 
 
 
 
 
 
 
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Figure 6: DPT-1 analysis of time to diabetes according to treatment in the subset of participants with IAA 
confirmed ≥80 nU/ml (1). 
 
 
2.1.3. Oral Insulin for prevention of T1D 
The DPT-1 oral insulin study was designed to examine the hypothesis that daily administration of 7.5 
mg insulin would protect participants at risk of developing type 1 diabetes from progression to overt 
disease. The primary results of that study, including all randomized participants, reported no beneficial 
effect. However, a hypothesis-generating analysis of a subgroup with high insulin autoantibody (IAA) 
levels (defined as ≥80 nU/ml confirmed on two occasions) showed significant benefit: annualized 
diabetes rate was 6.2% during treatment with oral insulin and 10.4% with placebo (P = 0.015) and 
median progression to diabetes was delayed by 4.5 years. 
 
Subsequent to the DPT-1, a newer assay measuring insulin antibodies was developed which is more 
sensitive and specific for type 1 diabetes. This is the micro IAA assay (mIAA). Employing this new 
assay, Diabetes TrialNet is currently testing the hypothesis that 7.5 mg daily of oral insulin in relatives 
confirmed for mIAA plus another autoantibody will delay the development of clinical type 1 diabetes. 
As of June 2015, more than 500 individuals have randomized in this double-masked, placebo- 
controlled trial, which has ended enrollment as of December 2015. Results from the trial are expected 
in January 2017. 
 
Others continue to investigate oral or mucosally-delivered antigen therapy in altering the course of 
type 1 diabetes. This work, as well as evidence from the use of antigen therapy in treating allergic 
disease, emphasizes the importance of the dose and dose frequency in outcome. While the DIPP 
study found no effect on development of type 1 diabetes in autoantibody-positive relatives treated with 
nasal insulin at 4-8 mg intranasal insulin per day, INIT II investigators in Australia/New Zealand 
continue to study nasal insulin in a similar population using a different dosing regimen (16 mg 
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intranasal insulin for 7 consecutive days, then once per week), which they have previously 
demonstrated to have a favorable immune effect (17). While it is difficult to extrapolate antigen 
dosing in animal models to humans, it has been noted the dose of 7.5 mg oral insulin daily chosen for 
the DPT-1 and TrialNet trials is about 10 fold lower than a dose shown to be effective in the NOD 
mouse pre-clinical model. Additionally, modelling has suggested that intermittent dosing would be 
more likely to induce T regulatory cells to control the immune response (18). Recently, Bonifacio et al 
explored different doses in a clinical setting.  The Pre-POINT study evaluated different doses of oral 
insulin in genetically at-risk children (mean age 5 years). Using immunologic read-outs, these data 
indicated no untoward effects of treatment and demonstrated that the highest dose (67.5 mg daily) 
was most effective in favorably altering the immune response (19). As such, these investigators are 
pursuing the POINT study, using 67.5 mg daily in a primary prevention setting aimed at delaying or 
preventing the progression from genetic risk to autoantibodies. 
 
The proposed study is planned to further address the question of dose in the context of oral insulin 
therapy in the prevention of type 1 diabetes in the autoantibody-positive at-risk group. We will 
examine the immunologic effects of 67.5 mg daily as well as 500 mg administered on alternate weeks 
to evaluate both dose and dose frequency in mIAA-positive relatives. Together with results from the 
ongoing Diabetes TrialNet Oral Insulin Trial testing 7.5 mg daily, these data will provide needed 
information for future studies using antigen therapy pre-diagnosis both as stand-alone and potentially 
in conjunction with other agents. Importantly, all participants will receive six months of active therapy 
and be carefully monitored for disease progression. 
 
 
2.2. Possible Mechanisms of Action of Oral Insulin 
Although numerous putative mechanisms of action of oral antigen have been mooted on the basis of 
nonclinical studies, there are several that emerge as rational candidates. 
 
2.2.1. Regulatory T cells (Tregs) 
Several nonclinical studies have identified the induction of T cells in response to oral antigen that are 
associated with, and can adoptively transfer, protection from autoimmune disease (20-21). These 
cells are typically autoantigen-specific, CD4+ and secrete the immune suppressive cytokines IL-10 
and TGF-β. They have occasionally been termed TH3 (20, 22-23) cells and are generically termed 
regulatory T cells or Tregs. When induced against autoantigens such as insulin, these cells and the 
associated cytokine secretion may also result in bystander suppression of effector T cells responding 
to autoantigens other than insulin, as well as “infectious” tolerance whereby regulatory T cells with 
specificity for non-insulin autoantigens may arise (24- 28). Oral immunotherapy has been used 
successfully to treat food allergy. When low doses are used and escalated every two weeks, a rise in 
the number of antigen-specific Tregs is detectable over time. Moreover, those individuals without 
clinical response had no change in antigen-specific Tregs, strongly supporting the concept that 
induction of these cells is an important mechanism for the action of oral tolerance. These reports also 
noted that the function of antigen-specific Tregs increased over time with therapy, in relation to the 
methylation state of FOXP3. In summary, advances in our understanding of Treg biology and the 
manipulation of related regulatory pathways provide a critical underpinning to this proposal. 
 
 
2.2.2. Deletion of effector T cells 
Another mechanism, demonstrated in animal models, by which antigen therapy may work is by way of 
exhaustion, anergy, or death, of antigen-specific effector T cells, through a process termed activation 
induced cell death (AICD). This mechanism has also been identified to be operative in humans, 
whereby feeding higher doses of antigen to food allergic patients induces a rapid clinical benefit 
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(anergy to allergens), associated with anergic and exhausted antigen-specific T cells (29). Although 
theoretically, high doses of antigen could lead to Treg death, this was not seen. Recent advances in 
the identification of antigen-specific effector T cells (e.g. using peptide-HLA multimers combined with 
multi-dimensional flow cytometry) has enabled the development of approaches that can explore 
effects of chronic antigen administration on these inflammatory mediators, including their expression 
of markers of chronic stimulation (30), as potential biomarkers in the context of this protocol. 
 
2.2.3. Sequestration of effector T cells 
It has been further suggested that the use of the oral route for antigen administration leads to 
sequestration of antigen-specific effector T cells within the extensive gut immune system (31). This is 
consistent with the known effect of antigen in determining T cell migration, and would theoretically 
lead to a loss of relevant effector cells from the site of pancreatic islet inflammation, with concomitant 
therapeutic effect that is sustained for the duration of the therapy. 
 
In summary, the T cell field has matured sufficiently to allow rational hypotheses as to the mechanistic 
effects of oral insulin to be proposed and examined experimentally. 
 
 
2.3. Rational for Mechanistic Assays 
 
2.3.1. Detection of autoreactive T cells and induction of T regulatory cells 
 
2.3.1.1.     Autoreactive CD4 T cells 
Assays to detect antigen-specific autoreactive T cells in T1D have been developed, replicated and 
validated in recent years. Modifying the standard proliferation assay to incorporate selection of 
CD45RO memory cells has identified disease-associated responses in T1D. Staining for intracellular 
cytokine production and the ELISPOT assay which measures extracellular cytokine production after 
antigen stimulation has been shown to detect CD4 T cell responses to insulin IA-2, GAD and ZnT8 
antigens (32-33). The ELISPOT system allows for quantitative (number of spots/well = frequency) 
and qualitative (differential cytokine response – IFN-g, IL-10, IL-17) analysis of the response to islet 
cell autoantigens (34). Measuring CD4 T cells using these types of assays will be important in 
determining if oral insulin can lower the number of antigen-specific autoreactive T cells present in the 
periphery of individuals given study drug vs. those on control or modify the nature of the response 
based on the cytokine profile detected. 
 
 
2.3.1.2.     Autoreactive CD8 T cells 
CD8 T cells are known to be critical to disease development in both the NOD mouse and human T1D. 
Although ELISPOT assays assessing their function similar to what has been described for CD4 T 
cells have been developed (35-36), they have not been replicated or validated in their current format. 
Enumeration of CD8 T cells by flow cytometry has been performed for new onset studies, clinical 
research studies and islet transplantation protocols and has been validated in several workshops (37- 
39). The quantam dot or Qdot system relies on the use of two Qdot chromophores for a particular 
reactivity which appears to increase the specificity and ability to detect very low frequency CD8 T cells 
more reliably than previously described approaches. The ability to multiplex these reagents also has 
reduced the amount of cells needed for these analyses and, lastly, it can be done on frozen samples. 
An array of class I HLA-specific islet cell peptide reagents has been designed to assess antigen 
reactivity to a number of islet antigen targets and will be used to measure the number of CD8 T cells 
present prior to and after oral insulin therapy. Again, this and other methodologies using tetramers 
should help us to understand the mechanism of oral antigen therapy in changing insulin-reactive CD8 
T cells, as well as if it can affect bystander non-insulin-specific CD8 T cell number through bystander 
suppression mechanisms. 
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2.3.1.3.     T regulatory cells 
As discussed previously, oral insulin in NOD mice can induce T regulatory cells as one potential 
mechanism of its action. Detection of CD4+CD25+ Tregs can be done via flow cytometry, utilizing the 
combination of CD4, CD25, CD127 and FOXP3 to enumerate the number of these cells present in the 
periphery of participants in the trial (40). Studies in new onset T1D have allowed us to better understand 
the potential dysfunction that may be occurring in this regulatory cell population, which may contribute 
to disease onset (41- 43). Bonifacio and colleagues recently reported on their work using a higher 
dose of oral antigen in genetically at-risk first degree relatives of T1D participants (19). They showed 
that higher doses of oral insulin could be associated with changes in autoantibody as well as T cell 
responses to oral insulin, suggestive of a mechanism for protection. The assay employed in their 
study took peripheral blood monocytes (PBMC’s), stimulated them with insulin or proinsulin and then 
isolated the activated T cells and examined their transcription profiles. They found that insulin- or 
proinsulin-specific T cells from treated participants had increased expression of FOXP3 regulatory 
cells, increased expression of IL-21 which would be consistent with a vaccination effect and 
decreased expression of IFN-g autoreactive T cells, consistent with the intended effect of oral 
insulin as a vaccine inducing active immune protection in these young children. Our study will utilize 
these types of assays to assess the frequency of T regs and to examine their antigen-specific 
transcription profiles to try to confirm and extend these intriguing observations from the Pre-POINT study. 
 
3. STUDY DESIGN 
 
3.1. Overview 
This is a 2-arm, multicenter, randomized, open-labelled clinical research study. Participants will receive 
varying doses and schedules of recombinant human insulin in capsules (referred to hereafter as oral 
insulin). In this design, each participant is randomly assigned to 1 of 2 treatment regimens with 
equal probability. The primary outcome is the change in immunologic parameters before and after 
treatment. 
 
3.2. Objectives 
The key questions that this mechanistic study will address are: 
 
1. Does treatment with oral insulin affect underlying immunological mechanism(s) that are 
observed through changes in immune markers? 
2. Are there differential changes in immunological biomarkers between different schedules of oral 
insulin? 
 
In terms of a specific set of hypotheses that can be tested using samples from these component 
studies, we aim to examine the following: 
 
We hypothesize that introduction of oral insulin in treatment-naïve participants: 
• 
removes from the circulation insulin-specific pro-inflammatory T cells, detectable and 
recognizable by the secretion of signature cytokines such as IFN-γ and IL-17 
• 
removes from the circulation or modifies the effector functions of insulin-specific CD8 T cells 
recognizable by peptide responses in ELISPOTs or using peptide-HLA multimers or other 
similar assays 
• 
induces changes in gene expression of insulin-specific, proliferating T cells that indicate a 
change in balance of inflammation and regulation 
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• 
changes peripheral blood gene signatures (total cell populations, cell subsets, cells activated 
ex vivo) to indicate induction of immune regulation 
 
All enrolled participants (relatives of probands with type 1 diabetes and with at least 2 autoantibodies) 
have established islet autoimmunity, a condition which generally leads to clinically overt type 1 
diabetes over time. In addition to the mechanistic hypotheses described above, all participants will 
be closely followed for progression of disease, as oral insulin may delay or prevent such progression. 
 
 
3.3. Summary of Inclusion/Exclusion Criteria 
Participants must meet all entry criteria for the protocol as outlined below. 
 
3.3.1. Inclusion Criteria 
Potential participants must meet all of the following inclusion criteria prior to randomization: 
1. Participant in TrialNet Natural History/Pathway to Prevention Study (TN01) and thus, a relative 
of a proband with T1D and between the ages of 1-45 at the time of enrollment in TN01. 
 
2. If most recent OGTT demonstrates Normal Glucose Tolerance, participants must be age ≥3 at 
time of randomization in this trial. 
 
3. If most recent OGTT demonstrates Abnormal Glucose Tolerance, participants must be age 3-7 
at time of randomization in this trial. 
 
4. mIAA confirmed positive within the previous six months. 
 
5. Participant must weigh ≥12 kg at the time of screening. 
 
6. At least one other diabetes-associated autoantibody present on two separate samples, one of 
which was drawn within the past six months. Confirmation does not have to involve the same 2 
autoantibodies. 
 
7. Willing to provide Informed Consent or have a parent or legal guardian provide informed consent 
if the participant is <18 years of age. 
 
3.3.2. Exclusion Criteria 
Potential participants must not meet any of the following exclusion criteria: 
 
1. Diagnosed with Diabetes or having their most recent OGTT with fasting glucose ≥126 mg/dl or 2 
hour glucose ≥ 200 mg/dl. 
 
2. Prior participation in clinical research for secondary prevention of T1D. 
 
3. History of treatment with insulin or oral hypoglycemic agent. 
 
4. Current chronic use of medications altering stomach acid (such as H2 blockers, proton pump 
inhibitors and antacids). 
 
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5. History of gastric ulcer or gastric surgery. 
 
6. History of therapy with immunosuppressive drugs or non-physiologic glucocorticoids within the 
past two years for a period of more than three months.  
 
7. Has severe active disease, e.g. chronic active hepatitis, severe cardiac, pulmonary, renal, hepatic, 
immune deficiency and/or disease that is likely to limit life expectancy or lead to therapies such as 
immunosuppression during the time of the study. 
 
8. Ongoing use of medications known to influence glucose tolerance, i.e. sulfonylureas, growth 
hormone, metformin, anticonvulsants, thiazide or potassium depleting diuretics, beta adrenergic 
blockers, niacin. Participants on such medications should be changed to a suitable alternative, if 
available, and will become eligible one month after medication is discontinued. 
 
9. Pregnant, intends to become pregnant while on study, or lactating. 
 
10. Deemed unlikely or unable to comply with the protocol or have any complicating medical issues or 
abnormal clinical laboratory results that interfere with study conduct or cause increased risk. 
 
3.4. Study Population 
Recruitment and initial screening to identify participants will be done through the TrialNet TN01 
Natural History/Pathway to Prevention Protocol. As part of this protocol and TN01, participants will 
then undergo additional testing, and if eligible and willing, will be randomized and followed as 
described. Participants determined during screening to be ineligible or unwilling to be randomized 
to this protocol will be offered follow-up under the Natural History/Pathway to Prevention Protocol. 
 
3.5. Description of Treatment Groups 
This protocol will enroll at least 40 participants who will be randomly assigned to the following groups: 
o 20 participants will be assigned to receive Oral Insulin daily (67.5 mg) 
o 20 participants will be assigned to receive Oral Insulin every other week (starting at 135 
mg and titrating up to 500 mg every other week as tolerated) 
 
Figure 7. Proposed study schema to examine changes in immunologic biomarkers in treatment-naïve and 
treatment –responsive participants following introduction of oral insulin as daily or every other week dosing.   
 
 
 
3.6. Treatment Assignment 
After participants sign the consent form, complete the screening visit(s), meet all of the inclusion 
criteria, and none of the exclusion criteria, and complete the baseline procedures, they will be 
randomized to receive one of two dose schedules of oral insulin. Participants will be randomized in 
equal allocations to each group. The randomization method will also be stratified by age group to 
ensure balance between the treatment arms for this potential confounder. 
 
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3.7. Study Assessments 
The intervention protocol will be conducted at TrialNet Centers and Affiliates. During the course of the 
study, participants will frequently undergo assessments of their insulin production, immunologic 
status, and overall health and well-being (see Appendix A, Schedule of Assessments). All blood and 
serum samples for outcome determinations will be sent to the TrialNet Core Laboratories for analysis. 
 
The primary outcome is the change in immunologic biomarkers before and after treatment. Additional 
outcomes include safety measures and disease progression assessed by regular glucose tolerance 
testing. 
 
During the course of the study, samples will be drawn for storage at the National Institute for Diabetes 
and Digestive and Kidney Disease (NIDDK) Repository and at TrialNet Sites for future analysis. 
Participants who decline consent for these sample collections will not be eligible to participate in this 
study (see Section 10.4). 
 
3.8. Quality Assurance 
During the study, duplicate collections of blood samples for assays may be obtained in a small 
sample of participants for the purpose of external quality surveillance of the performance of the 
central laboratories. 
 
3.9. Study Timeline 
Participants are enrolled and followed for a total duration of 12 months through this protocol. 
 
3.10. Post-Treatment Follow up 
Participants who have not developed T1D at the conclusion of the study will return to the TN01 Natural 
History/Pathway to Prevention Study. They may be eligible for future TrialNet prevention studies. 
This will be determined when future studies are developed. 
 
Participants who develop T1D while enrolled in the TN20 Immune Effects of Oral Insulin Study will be 
offered follow-up in the TN16 Long Term Investigative Follow-Up in TrialNet (LIFT) Study. 
 
4. PARTICIPANT MANAGEMENT 
 
4.1. Screening Visit and Eligibility Assessment 
Participants potentially eligible for this study will be identified through the TrialNet TN01 study. They 
will be notified of their eligibility by TrialNet Investigators or qualified staff. The participant will be 
asked to sign an informed consent document describing the purpose, risks, and benefits of this study. 
Assent will be obtained for children. A participant’s signature indicates that he/she understands the 
potential risks and benefits of study participation. 
 
The initial testing for mIAA and other autoantibodies will be done as part of TN01 screening. Those 
individuals who are mIAA positive will then be eligible for additional tests as part of TN01 Monitoring 
visit or this protocol as applicable. 
 
4.2. Randomization 
All eligible study participants will be randomized to one of two treatment arms, once eligibility has 
been confirmed. Randomization to each of the two arms will be in a 1:1 manner (i.e. equal allocation 
to the treatment arms). To prevent potential confounding, randomization will be stratified by age at 
study entry. After randomization, study medication will be dispensed to the participant per the dose 
and schedule of the arm to which they were randomized. 
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4.3. Drug Administration 
Participants will then take study drug according to the treatment arm in which they are assigned.  Those 
assigned to daily oral insulin will receive 67.5 mg per day. Those assigned to every other week oral 
insulin will receive 135 mg for the initial dose, 250 mg for the second dose, and 500 mg every other 
week thereafter as tolerated. Participants will be observed at the study site for 2 hours after dosing visits 
V0(A), V0(B), and V1. Participants will be contacted at a minimum of every other week while on treatment 
to facilitate compliance. 
 
4.4. Treatment Modification or Discontinuation 
Participants who have a screening glucose value < 50 mg/dl will not be randomized in the study. 
Participants who have pre-dosing glucose values <50 mg/dl will not receive oral insulin.  If this occurs on 
visit 0 (A) such that the participant will have never taken oral insulin, the participant will be withdrawn from 
the study.  If this occurs on subsequent dosing visits, the participant will not receive any further study 
medication. They will continue with study visits per protocol (Appendix A).  
 
Participants who have post-dosing mild, prolonged, or severe hypoglycemia as defined in section 6.1.5 
will not receive further study medication.  They will continue with study visits per protocol (Appendix A). 
Participants may also be discontinued from treatment due to adverse effects of treatment that are ≥ 
Grade 3 and that in the judgment of the investigator are at least possibly related to the study medication. 
These participants will continue with study visits per protocol (Appendix A).Participants who revoke their 
consent to be treated will also be discontinued from treatment. These participants will also continue to 
be monitored through study visits per protocol unless they withdraw consent for further follow-up.  
 
Participants with acute upper GI illness, or symptoms needing medications described in exclusion criteria 
4 should withhold drug and contact study team for advice on when to resume study drug. 
 
Participants will not be discontinued from evaluation and follow-up on this study due to non-compliance. 
 
5. STUDY VISIT ASSESSMENTS 
See Appendix A for detailed schedule of assessments. 
 
5.1. General Assessments 
General assessments for this Protocol will include: 
o Informed consent 
o Inclusion/exclusion criteria 
o Medical history 
o Physical examination including height/weight 
o Concomitant medications 
o Adverse events 
o Pregnancy test (if female of reproductive potential) 
o Treatment compliance 
 
5.2. Mechanistic Outcome Assessments 
Mechanistic assessments will consist of studies such as: 
o DNA for testing diabetes or other immune-associated genetic markers. 
o RNA for the evaluation of immune cell frequency and function by gene expression analysis 
o Peripheral Blood Mononuclear Cells (PBMCs) for the evaluation of immune cell function, 
especially antigen-specific responses relevant to the hypothesis that oral insulin can induce a 
state of tolerance to islet proteins. 
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o Serum and plasma for the evaluation of islet autoantibody epitope, affinity, isotyping and 
proteomics-based assessment of immune responses. 
o CBC with Differential 
 
 
5.3. Metabolic Outcome Assessments 
Metabolic assessments will consist of: 
o Baseline OGTT (i.e. within 52 days of initiation of treatment), as well as OGTTs at the 6 month 
and 12 month visits. Glucose, insulin, C-peptide, and other analytes will be measured from 
OGTT samples. 
o Glucose, insulin, and C-peptide will be measured before the study drug dose, and at 1 and 2 
hours after dosing during study visits V0(A), V0(B), V1. 
o HbA1c 
5.4. Visit Windows 
Initial treatment administration (Visit 0(A)) should begin within 7 weeks, ( no more than 52 days) 
from the OGTT. For Visit 0(B) and Visit 1, the window is +/- 3 days of the target date. For Visit 2 
through Visit 7, the window is +/- 7 days of the target date. Visit 8 should be within +/- 14 days of the 
targeted date. 
 
The target date is based on the date of initial treatment administration. 
 
6. ADVERSE EVENT REPORTING AND SAFETY MONITORING 
 
6.1. Adverse Event Definitions 
 
6.1.1. Adverse Event 
In this clinical research study, an adverse event is any occurrence or worsening of an underlying 
condition of an undesirable or unintended symptom or disease. 
 
Throughout the study, the investigator must record adverse events on source documents, regardless 
of the severity or perceived attribution to the study medication. The investigator should treat 
participants with adverse events appropriately and observe them at suitable intervals until the events 
resolve or stabilize. 
 
Adverse events may be discovered through: 
o observation of the participant; 
o questioning the participant; 
o unsolicited complaint by the participant. 
 
Questioning of the participant should be conducted in an objective manner. 
 
6.1.2. Adverse Reaction 
An adverse reaction means any adverse event caused by a drug.  Adverse reactions are a subset of all 
suspected adverse events for which there is reason to conclude that the drug caused the event. 
Suspected adverse reaction means any adverse event for which there is a reasonable possibility that 
the drug caused the adverse event. For the purposes of safety reporting, “reasonable possibility” means 
there is evidence to suggest a causal relationship between the drug and the adverse event. A suspected 
adverse reaction implies a lesser degree of certainty about causality than an adverse reaction, which 
means any adverse event caused by a drug.  Examples of evidence that suggest a causal relationship 
(reasonable possibility) between the drug and the adverse event include:  
• 
A single occurrence of an event that is uncommon and known to be strongly associated with drug 
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exposure 
• 
One or more occurrences of an event that is not commonly associated with drug exposure, but is 
otherwise uncommon in the populations exposed to the drug 
• 
An aggregate analysis of specific events observed in clinical research (such as known 
consequences of the underlying disease or condition under investigation or other events that 
commonly occur in the study population independent of drug therapy) that indicates those events 
occur more frequently in the drug treatment group than in a concurrent or historical control group. 
 
6.1.3. Serious Adverse Event/Reaction 
A serious adverse event (SAE) or reaction is defined as “any adverse event occurring at any dose that 
suggests a significant hazard, contraindication, side effect, or precaution.”  An adverse event or 
suspected adverse reaction is considered “serious” if, in the view of either the investigator or sponsor, 
it results in any of the following outcomes: 
 
1. Death.  A death that occurs during the study or that comes to the attention of the investigator 
during the protocol-defined follow-up after the completion of therapy must be reported whether 
it is considered to be treatment related or not. 
 
2. A life-threatening adverse event. A life-threatening event is any adverse therapy experience 
that, in the view of the investigator, places the participant at immediate risk of death from the 
reaction as it occurred. 
 
3. Inpatient hospitalization or prolongation of existing hospitalization, with the exception of 
hospitalization relating to initial diagnosis of type 1 diabetes. 
 
4. Persistent or significant incapacity or substantial disruption of the ability to conduct normal life 
functions 
 
5. Congenital anomaly or birth defect. 
 
6. Important medical events that may not result in death, be life-threatening, or require 
hospitalization may be considered serious when, based upon appropriate medical judgment, 
they may jeopardize the participant and may require medical or surgical intervention to prevent 
one of the outcomes listed above. 
 
An adverse event or suspected adverse reaction is considered “life-threatening” if, in the view of either the 
investigator or sponsor, its occurrence places the participant at immediate risk of death. It does not include an 
adverse event or suspected adverse reaction that, had it occurred in a more severe form, might have caused 
death. 
Regardless of the relationship of the adverse event to study drug, the event must be reported as a 
serious adverse event if it meets any of the above definitions. 
 
6.1.4. Unexpected Adverse Event 
An adverse event is considered unexpected when the nature (specificity) or severity of the event is not 
consistent with the risks described in the protocol or informed consent document for a particular 
protocol required intervention. Unexpected refers to an experience that has not been previously 
observed.  This includes events that occur more frequently than expected. 
 
 
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6.1.5. Grading Event Severity 
TrialNet has adopted usage of the most current version of the National Cancer Institute (NCI) Common 
Toxicity Criteria for Adverse Events (with the exception of hyper or hypoglycemia including the 
diagnosis of diabetes whether or not it requires hospitalization to initiate treatment).  In the context of 
this trial, hypoglycemia will be defined as follows: (a) mild hypoglycemia is defined as signs and 
symptoms associated with hypoglycemia and glucose <50 mg/dl that responds to initial oral treatment 
and does not recur during observation period, (b) prolonged hypoglycemia is defined as signs and 
symptoms associated with hypoglycemia and glucose <50 mg/dl that responds to oral treatment but 
is persistent or recurs during observation period, and (c) severe hypoglycemia is defined as signs and 
symptoms associated with hypoglycemia that does not respond to oral treatment or requires 
assistance from others due to altered consciousness. Data regarding onset of diabetes are gathered 
as study measures. TrialNet Investigators will also provide an assessment of relationship of AE to 
study drug as not, unlikely, possibly, probably, or definitely related. 
 
6.2. Adverse Event Reporting and Monitoring 
Adverse events will be reported to the TrialNet Coordinating Center in accordance with the TrialNet 
Adverse Event Monitoring Plan (and according to study specific criteria stated in section 6.1. The 
investigator will grade their severity according to common toxicity criteria or study-specific criteria and 
will make a determination as to the relation to therapy.  Events will be assessed and reported in 
accordance with the ICH Guidelines for Good Clinical Practice, 21 CFR 312.32 for expedited safety 
reporting, and per the guidance of the DHHS Office for Human Research Protections (OHRP). 
 
The adverse event case report form for the protocol must be completed for all adverse events greater 
or equal to Grade 2 of the NCI CTCAE with the exception of hyper or hypoglycemia including the 
diagnosis of diabetes whether or not it requires hospitalization to initiate treatment.  For reporting serious 
adverse events (SAE), the TrialNet MedWatch Form should also be completed and faxed to the TNCC 
within 24 hours of when the site was notified of the event. This will be reviewed by the TrialNet Medical 
Monitor, the TrialNet Safety Monitoring Committee, and the DSMB as appropriate. 
Deaths must be reported immediately.  Event outcome and other follow-up information regarding the 
treatment and resolution of the event will be obtained and reported when available, if not known at the 
time the event is reported. The follow-up information should contain sufficient detail to allow for a 
complete medical assessment of the case and an independent determination of possible causality. 
 
Adverse events will be assessed and adjudicated, if required, by the TrialNet Medical Monitor. The 
DSMB will conduct regular safety reviews approximately every six months (and, as needed) of adverse 
events by treatment group assignment.  Serious adverse events as well as adverse events leading to 
study discontinuation will be reviewed by the DSMB. 
 
For SAEs that are unexpected and considered possibly or probably drug related, the Medical Monitor will 
provide information on frequency of similar events, and generate FDA form 3500A reports (MedWatch 
form) for distribution to FDA, NIDDK, DSMB and site investigators.  Expedited safety reports will be 
submitted to the IND by the NIDDK. 
 
7. PARTICIPANT SAFETY 
 
7.1. Risks, Benefits and Inclusion of Children 
The risks of this study are presented below and in the informed consent form. 
 
There is the prospect of direct benefit to the individual participants for their participation in the study. 
These potential benefits include the recognized benefits of being in a clinical study, including close 
monitoring offered to all participants regardless of group assignment.  Further, the intervention has the 
prospect of direct benefit to a given participant as all participants will receive active drug, which may 
delay or prevent disease progression.  Moreover, the study is likely to yield general knowledge about 
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T1D which is of importance for the understanding and amelioration of T1D in children. 
 
The study procedures, consisting of blood draws and oral glucose tolerance testing, are minimal risk. 
Moreover, with over 1,349 person years of exposure, no adverse events related to oral insulin have 
been reported, suggesting that administration of oral insulin is also minimal risk. However, as it remains 
an investigational agent, taking oral insulin may be considered only slightly greater than minimal risk. 
Also, it offers the possibility of benefit due to the close monitoring for all participants, including children.  
Assent of children along with consent of the parent/legal guardian will be obtained prior to any study 
procedures. This research proposal in children is therefore consistent with the United States 
Department of Health and Human Services, Protection of Human Subjects, Subpart D, section 46.405 
(research involving slightly greater than minimal risk but presenting the prospect of direct benefit to 
individual subjects) and with Subpart D. 50. 52 (Clinical investigations involving greater than minimal 
risk but presenting the prospect of direct benefit to individual subjects). 
 
7.2. Expected Side Effects and Adverse Events 
There were no side effects or adverse events associated with oral insulin during the DPT-1 and TN07 
Oral Insulin trials, which consisted of the same study population. Participants did occasionally have 
mild expected adverse events associated with study procedures such as fainting and bruising with 
phlebotomy. While preclinical models have suggested that it is theoretically possible that oral insulin 
could accelerate disease, there is no evidence of disease acceleration or hypoglycemia in the ongoing 
TN07 trial in which >250 individuals have received oral insulin up to 8 years. There were no associated 
adverse effects including no hypoglycemia noted in the pilot Pre-POINT study, which used higher doses 
of oral insulin, similar to what will be used in this trial. As illustrated below, no change in glucose values 
were observed (45). 
 
 
 
7.3. Protecting Against or Minimizing Potential Treatment Risks 
Participants who have other active serious medical problems will not be enrolled. To assure that every 
other week doses of insulin are well tolerated, those in the every other week dosing group will receive 
an initial dose of 135 mg oral insulin and a second dose of 250 mg oral insulin, before receiving the full 
500 mg dose every other week. 
As noted above (section 7.2), oral insulin is not metabolically active; thus, no hypoglycemia from study 
medication is expected.  Moreover, asymptomatic and not clinically important hypoglycemia can occur 
in those with beta cell dysfunction (44). Individuals with pre-treatment glucose values < 50 mg/dl at 
screening or at study visits V0(A), V0(B), or V1 will not receive any further study medication.  Those 
who receive study drug at these visits will be observed for 2 hours after the dose of study medication.  
If signs or symptoms consistent with hypoglycemia are observed, the participant’s blood glucose will 
be checked.  If glucose is < 50 mg/dl, the participant will be treated as needed and observed at least 
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an additional hour before discharge when glucose ≥50 mg/dl.   Any individual with mild, prolonged, or 
severe hypoglycemia during this period will not receive any further study medication but will continue 
to be monitored per protocol (Appendix A). 
In the unlikely event that any individual has prolonged or severe hypoglycemia (as defined in section 
6.1.5), or if 2 or more individuals have mild hypoglycemia (as defined in section 6.1.5), further enrollment 
will be temporarily suspended pending full review by the study group and the medical monitor.  
Regular monitoring of participants and active inquiry will allow for early identification of adverse events. 
 
7.4. Pregnancy 
Pregnant and lactating women will not be included in this study. Females must have a negative 
pregnancy test prior to enrolling in the study and will be required to either use birth control or practice 
abstinence during the study. At every study visit, the sexual activity of female participants of 
reproductive age will be re-assessed. If a participant who was previously sexually inactive becomes 
sexually active, she will be counseled about the need to use a reliable form of birth control. All female 
participants of reproductive potential will undergo urine pregnancy tests at regular intervals. 
 
8. STATISTICAL CONSIDERATIONS AND ANALYSIS PLAN 
 
8.1. Overview 
This is a randomized study designed to assess the impact of two different oral insulin regimens on 
immune function and markers in participants at risk for T1D. Specifically, patients will be randomized to 
receive either daily (67.5 mg/day) or biweekly (starting at 135 mg up to 500 mg as tolerated every other 
week) oral insulin dosing. The primary goals of this study are focused on assessing immune and 
inflammation markers before and after administration of these two different oral insulin regimens in this 
patient population, and how these immunological biomarker changes differ between the treatment arms. 
 
8.2. Study Design, Accrual, and Study Duration 
The overarching goal of this study is to evaluate how varying oral insulin regimens affect immune 
function and related markers. Specifically, eligible participants will be randomized to one of two 
oral insulin regimens defined in Section 3.5. The accrual period for this trial will be approximately 
9 months; based on historical data from the ongoing TN07 study of oral insulin in this same population, 
we plan to enroll a total of 40 evaluable participants, where 20 participants will be randomized to each 
of the two treatment arms. If accrual is more rapid than expected and 40 patients are accrued and 
randomized to the two treatment arms prior to the end of the accrual period, additional participants 
may continue to be randomized to each of these treatment arms. This allows for limited over accrual 
to accommodate the possibility of participants dropping out prior to post-treatment sample collection, 
which would make them not evaluable for the primary mechanistic endpoint. 
 
Eligible patients will be randomized to one of two oral insulin regimens in a 1:1 allocation using block 
randomization with variable block sizes. To ameliorate the possible confounding effects of age on the 
immunologic primary endpoint markers, randomization will be stratified by age at study entry (<10 vs. 
≥10 years old) to ensure balance of this factor across the two arms. Given that this is a mechanistic 
study focusing on effects on the immune system after treatment with these varying oral insulin 
regimens, we will employ a treatment-received analysis approach. Any participant who receives at 
least one dose of oral insulin in accordance to their treatment arm will be considered evaluable and 
will be included in these analyses. 
 
In lieu of a placebo arm, we will use the two baseline samples on each participant to gauge the 
intra- participant variability and likelihood of immunologic changes for the key biomarkers in the 
absence of treatment. 
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8.3. Analysis Plan 
Immune function can be assessed through multiple (often correlated) markers as well as additional 
cytokine/inflammation/genetic markers; however, our primary outcome is the change in immune 
function as assessed by level or quality of T lymphocyte or autoantibody biomarkers of β-cell specific 
immune response measured between 13 and 26 weeks after 1st dose versus baseline. As described 
in Section 3.2, specific outcome measures may include CD4 auto-antigen specific ELISPOTs for IFN- 
γ and IL-17, and CD8 peptide-HLA multimers (Q-dots) and other assays from just before treatment to 
3-months post-treatment. To identify the most promising regimen of oral insulin in terms of immunologic 
change, we will compare these changes in the selected immunobiomarkers between the treatment 
arms. Specifically, we will calculate the fold change from baseline pre-treatment to 3 months after oral 
insulin treatment is started. In order to adjust for potential intra-participant variability that may exist 
in these measures in the absence of treatment, we will “normalize” these fold change measures 
such that you have the 3-month post-treatment sample marker levels divided by the day 0 marker levels 
as the fold change of interest, and then divide that by the fold change observed in the “control phase”, 
or the no-treatment phase, so to speak, with the ratio of the day 0 baseline to the sample marker 
levels 2-4 weeks prior to treatment (i.e. FC2 ÷ FC1 from above figure). 
We recognize that some of these measures may not have detectable levels at baseline or even after 
treatment. Since it is important to capture not only a maintenance of undetectable counts of these 
markers but also to capture if there is an increase in these markers (for better or worse), we will 
impute the midpoint between 0 and the lower limit of detection (LLOD) specific to the assay and 
plate/run for participants identified as having measures below the LLOD for that marker. In the setting 
where levels below the LLOD can be estimated from a standard curve with the assay, we will still 
consider these unreliable estimates below the LLOD and will impute the midpoint as well. If levels for 
a participant remain undetectable before and after treatment, then this imputation allows them to 
be captured as having a fold change equal to one for that marker, indicating no change. This 
will, however, allow capture of an increase in these levels for that marker in that participant if pre-
treatment levels are below the LLOD but increase above that threshold post-treatment. This is 
particularly important for measures such as the ELISPOT measures of IFN-γ and IL-17, where an 
increase in these markers is considered a negative outcome. 
In this setting, a fold change or ratio equal to 1 reflects no change in the marker(s) after treatment with 
oral insulin. For each of the markers (e.g. ELISPOT IFN-γ, ELISPOT IL-17, peptide-HLA multimers – 
naïve, effector, stem-like) we will use nonparametric two-sided Mann-Whitney-Wilcoxon (rank sum) 
tests to compare the fold changes in these markers (via ranks) between the arms. Since we are 
comparing fold change measures for each participant, and how this responsiveness to oral insulin 
therapy differs based on dose and schedule, we expect that each arm will have some level of 
responsiveness and thus our comparison will be focused on which induces a greater change to the 
markers. With 20 participants per treatment arm, we will have at least 80% power to detect a difference 
in the fold changes between the arms for each of the markers (vs. the null hypothesis that there is no 
difference between the arms). This is based on the assumption that the true mean fold change for one 
b1 = 
1st baseline
evaluation 
b2 =
2nd 
 
m3 = 
primary immune
response 
- 4 to -2 
wks 
Day 0 
 
3 mos. 
 
  
 
= 
 
 
 
= 
 
where FC = fold change 
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arm is 1.5 (a 50% increase) and that the true mean fold change in the other treatment arm is at least 
2.3 (i.e. a 2.3 fold increase in marker level). This conservatively constrains the Type I error to 0.01 
(based on a Bonferroni correction to accommodate the simultaneous evaluation of up to five different 
immunologic markers in these comparisons).  These calculations assume an underlying normal 
distribution of the measures after a log2 transformation of these ratios, and assume standard deviations 
of 0.5 for these underlying distributions. Even if the less effective treatment schedule is more 
effective than the above scenario assumption and has a true mean fold change of 1.75, we will still 
have at least 80% power to detect a difference in marker fold change between the arms if the true mean 
fold change for the other arm is 2.64. The same power statements hold for the inverse of these; i.e. to 
detect significant differences for these magnitudes of differences in the reduction of these markers 
(e.g. mean fold change of 0.67 vs. 0.435). Even in the unlikely case that the true underlying distribution 
of these fold changes for the markers is actually a uniform distribution, we will still have at least 80% 
power to detect a difference between the arms if the average fold changes are 2.8 vs. 1.5 or 4 vs. 
1.75. 
In addition to looking at differences between the treatment arms, we will also evaluate each of the 
arms individually to test if there are significant changes in the fold changes in each of the markers 
after oral insulin treatment. With 20 participants in an arm, we will have at least 90% power to detect 
a significant change in a marker if the true mean fold change is at least 1.4 (i.e. a fold increase by 1.4 
or greater)  or  a  decrease  of  the  same 
magnitude (fold change of 
0.72) 
versus the null hypothesis in this 
single-arm evaluation that there is no 
change in these markers before and 
after treatment (with the same other 
assumptions as above: significance 
level 
of 
0.01, 
underlying 
normal 
distribution for the log2 transformed 
values, standard deviation of 0.5 on 
that scale). Even if there is greater 
variability in the  measures for the  
underlying distribution (e.g. sd=0.75), 
we will still have at least 80% power to 
detect a significant change in these   
markers after oral insulin treatment if 
the true mean fold change is 1.6 (or 
conversely, 0.625) versus the null 
hypothesis  that the true mean fold 
change is 1.0. 
2.0 
2.3 
2.64 
3.0 
3.5 
4.0 
 
 
In an ancillary manner, we will use each 
participant as his or her own control, and assess changes in each of the primary biomarkers using 
a paired test (Wilcoxon signed rank test) to evaluate the differences in the fold change between the 
two baseline evaluations (FC1) vs. the fold change between the pre-treatment (b2) and post-treatment 
(m3) evaluations (FC2). With 20 participants in a group, we will have at least 90% power to detect a 
significant difference in the means, if the true mean fold change after treatment is 1.52 or greater vs. 
no change (fold change of 1) in the two baseline assessments, again constraining the two-sided 
significance level to 0.01, assuming an underlying normal distribution of the log2 transformed values 
and sd=0.5. We will also evaluate the overall effect of oral insulin regardless of dose/schedule versus 
the biomarker changes without treatment. With 40 participants, we will have at least 90% power to 
Arm 2 mean fold 
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detect a significant difference in fold change if the true mean fold change after treatment is 1.35 or 
greater vs. no change (fold change of 1) between the two baseline assessments. 
 
To visually assess patterns of change, we will graphically analyze the fold change for each of the 
immunologic markers at each of the timepoints for each treatment arm. Since the kinetics of immune 
change and response at certain timepoints are currently unknown, we will evaluate this first using 
descriptive statistics to characterize the fold change measures at each of the timepoints after treatment 
is started: 1, 2, 3, and 6, as well as after treatment is completed: 7, 8, 9, and 12 months. Repeated 
measures ANOVA models will also be used to compare the responsiveness to oral insulin regimens 
in terms of fold changes for each of the immunologic biomarkers. Multivariate ANOVA (MANOVA) 
models will also be used to compare more broadly the impact of these regimens on immune 
function, where the different cell type markers will be assessed through this model for CD4+ T cells 
and for CD8+ T cells. To assess longer-term impact of an oral insulin regimen on immune cell 
mobilization, we will evaluate fold changes in these markers after completion of therapy (e.g. at 7 and 
9 months after initiation of treatment) to assess whether or not any immune stimulation is maintained. 
Pairwise comparisons of the fold change in markers will be made between arms for the various 
timepoints using two-sided nonparametric Wilcoxon rank sum tests, as well as graphically using side- 
by-side boxplots. 
 
In addition, we will evaluate the impact of treatment arm and other demographic and clinical factors 
such as age, gender, and autoantibody profile in the univariate setting on these biomarkers, as well 
as assess the influence of treatment arm when adjusting for age and other factors in the multivariable 
setting. Here, we can also assess the influence of other immunologic markers of interest on these 
changes in the primary immune biomarkers being evaluated above. Since timing of immune response 
is not well understood in this setting, we will also evaluate changes in these markers over time, 
particularly after treatment is completed. 
 
In a secondary manner, we will also evaluate multiple additional immunologic markers, such as 
phenotypic markers: naïve, effector memory, and central memory CD4+ T cells and CD8+ T cells as 
well as regulatory T cells. These markers will be measured as absolute numbers per mL, and will be 
assessed at baseline (i.e. prior to oral insulin treatment) as well as at multiple timepoints during and 
after treatment (Appendix A). Given that our focus is on how these oral insulin regimens affect 
immune cell mobilization and thus a response by the immune system, we will assess the fold change 
at the various timepoints (i.e. the ratio of the post-treatment level to the baseline marker levels). 
 
Secondary endpoints will also include clinical responses to treatment as measured by metabolic markers 
before and after treatment. C-peptide levels along with insulin and glucose levels before and after 
treatment will be captured and evaluated to better characterize these participants, particularly in relation 
to changes in immune markers.  
 
8.4. Toxicity and Tolerability 
Analysis of this trial will include summarization of the toxicity and tolerability by arm using NCI’s 
CTCAE with the exception of hypoglycemia, which will be summarized by arm according to definitions 
in section 6.1.5. Frequency and severity of adverse events and tolerability of the regimen in each 
of the treatment arms will be collected and summarized using descriptive statistics. As per NCI CTCAE, 
the term toxicity is defined as adverse events that are classified as either possibly, probably, or 
definitely related to study treatment. The maximum grade for each type of toxicity will be recorded 
for each patient, and frequency tables will be reviewed to determine toxicity patterns. In addition, we 
will review all adverse event data that is graded as 3, 4, or 5 and classified as either “unrelated” or 
“unlikely to be related” to study treatment in the event of an actual relationship developing. The 
Page 27 of 37 
 

TrialNet Protocol TN20 
Protocol Version: 15Jan2016 
 
incidence of severe (grade 3+) adverse events or toxicities will be described.  
In addition, we will also capture the proportion of participants who go off treatment due to adverse 
reactions or those who refuse further treatment for lesser toxicities that inhibit their willingness to 
continue participation on the trial. These tolerability  measures  will  be  assessed  within  each  of  the  
treatment  arms  and  we  will  evaluate differences in these measures between the arms. All participants 
who have received at least one dose in a treatment arm will be evaluable for toxicity and tolerability. 
In order to closely monitor for hypoglycemia, all participants will have pre- and post-dose glucose, 
insulin, and C-peptide levels for each treatment arm evaluated. We will closely monitor and 
summarize glucose levels before and after treatment as specified. Incidence of mild, prolonged, and 
severe hypoglycemia events will be summarized based on the definitions in Section 6.1.5.  
Although unlikely and not expected, we will closely monitor for hypoglycemia events as defined in Section 
6.1.5. If at any time any patient is reported to have prolonged or severe hypoglycemia or if at any time 
two or more patients are reported as having mild hypoglycemia based on these definitions, we will 
temporarily suspend accrual to the trial pending full review by the study team, Medical Monitor.  
 
8.5. Primary Outcome 
The primary outcome is the change in immune function as assessed by level or quality of T lymphocyte 
or autoantibody biomarkers of β-cell specific immune response measured between 13 and 26 weeks 
after 1
st dose versus baseline. 
 
9. ETHICAL CONSIDERATIONS AND COMPLIANCE WITH GOOD CLINICAL PRACTICE 
 
9.1. Statement of Compliance 
This study will be conducted in compliance with the protocol and consistent with current Good Clinical 
Practices (GCP), adopting the principles of the Declaration of Helsinki, and all applicable regulatory 
requirements (ICH E6, 45CFR46, and FDA 21CFR sections 11, 50, 56, 312). 
 
Prior to study initiation, the protocol and the informed consent documents will be reviewed and 
approved by an appropriate Independent Ethics Committee/Research Ethics Board (IEC/REB) or 
Institutional Review Board (IRB). Any amendments to the protocol or consent materials must also be 
approved before they are implemented. 
 
9.2. Participating Centers 
Participating TrialNet clinical sites must have an appropriate assurance, such as a Federal-wide 
Assurance (FWA) or an Unaffiliated Investigators Agreement (UIA), with the Office for Human 
Research Protections (OHRP), since they are actively engaged in research and provide informed 
consent. The protocol and consent forms will be approved by Institutional Review Boards or Ethics 
Committees/Research Ethics Boards at each of the participating clinical sites. HIPAA and applicable 
local regulations will be followed by each participating institution in accordance with each institution’s 
requirements. The participating international sites will obtain approval from their corresponding 
review boards in accordance with their local procedures and institutional requirements. 
 
The investigator is required to keep accurate records to ensure the conduct of the study is fully 
documented. The investigator is required to ensure that all case report forms are legibly completed 
for every participant entered in the trial. 
 
9.3. Informed Consent 
The process of assuring that individuals (and parent/guardian if less than 18 years of age) are making 
an informed decision about participating in this study includes both verbal and written communication. 
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TrialNet Protocol TN20 
Protocol Version: 15Jan2016 
 
Written material includes a Participant Handbook, Volunteer Understanding Assessment, and written 
consent forms. The consent form describes the procedures, risks, and benefits for the study. The 
consent form will be reviewed with participants (and their guardian in the case of participants under 18 
years of age) and the participant will be given time to review the written consent form and ask 
questions. An assent form has also been developed for participants less than 18 years of age (unless 
local IRB requirements differ in procedure). 
 
As part of the informed consent process, the participant and/or parent or guardian (if the participant is 
less than 18 years of age) will also complete a short, written Volunteer Understanding Assessment 
that is designed to ensure that the participant understands the study, as well as what is being asked 
of him/her. The participant will be given a copy of their signed consent/assent forms. 
 
The consent process will be conducted by qualified study personnel (the Trial or Study Coordinator 
and/or Investigator or other designee). All participants (or their legally acceptable representatives) 
must read, sign and date a consent form prior to participation in the study, and/or undergoing any 
study-specific procedures. 
 
The informed consent form must be updated or revised whenever there is new, clinically significant 
information applicable to the safety of the participants, when indicated for a protocol amendment, 
and/or whenever any new information becomes available that may affect a participant’s participation 
in the study. 
 
Participants will be re-consented if they reach the age of 18 years while enrolled in the study. 
 
9.4. Study Participant Confidentiality 
Study participant data, which is for reporting purposes, will be stored at the TrialNet Coordinating 
Center. Data sent to the Coordinating Center will identify participants by the unique TrialNet 
Identification Number. The data entry system at the Coordinating Center is a secured, password- 
protected computer system. At the end of the study, all study databases will be archived at the 
Coordinating Center for long-term storage. 
 
The investigational sites participating in this study will maintain the highest degree of confidentiality 
permitted for the clinical and research information obtained from participants participating in this 
study. When a participant participates in this study at more than one TrialNet site, sharing of this 
information is required. Sharing of information obtained during this study between the TrialNet Hub, 
TrialNet clinical centers, and affiliates will occur whenever necessary to assure participant 
understanding and consent, safety, and adherence to protocol. Medical and research records will be 
maintained at each site in the strictest confidence. However, as a part of the quality assurance and 
legal responsibilities of an investigation, the investigational site must permit authorized 
representatives of the sponsor(s) and regulatory agencies to examine (and when required by 
applicable law, to copy) records for the purposes of quality assurance reviews, audits, and evaluation 
of the study safety and progress. Unless required by the laws permitting copying of records, only the 
coded identity associated with documents or other participant data may be copied (obscuring any 
personally identifying information). Authorized representatives as noted above are bound to maintain 
the strict confidentiality of medical and research information that may be linked to identify individuals. 
The investigational site will normally be notified in advance of auditing visits. 
 
 
 
 
 
Page 29 of 37 
 

TrialNet Protocol TN20 
Protocol Version: 15Jan2016 
 
 
10. STUDY ADMINISTRATION 
 
10.1. Organizational Structure 
 
This study is part of Type 1 Diabetes TrialNet, which is funded by the National Institutes of Health, 
principally the National Institute of Diabetes, Digestive and Kidney Diseases. Funding will cover the 
costs of administration and laboratory tests associated with this study during the participant’s period 
of follow-up. Eli Lilly and Company will provide oral insulin crystals free of charge. 
 
The proposed study medication, oral insulin, is not commercially available. Eli Lilly and Company is 
providing the oral insulin crystals for this study. 
 
10.2. Groups and Committees 
 
10.2.1. Oral Insulin Trial Protocol Committee 
The Study Chair and TrialNet Executive Committee will receive periodic reports from the TNCC on the 
progress of the study. These will include accrual rates and baseline demographic characteristics. 
Interim data summaries provided to others (except those that could lead to unmasking of study 
outcome) will first be supplied to the Study Chair for review. Criteria and results of ongoing monitoring 
of the TrialNet labs in terms of reproducibility will also be provided on a routine basis and reported on 
during the Joint Prevention Study Chair Committee meetings, as scheduled. As appropriate, abstracts 
and manuscripts dealing with the progress of the trial shall be directed by the TN20 Immune Effects of 
Oral Insulin Trial Protocol Committee. 
 
10.2.2. TrialNet Chairman’s Office, TrialNet Coordinating Center, and the TrialNet Hub 
The TrialNet Chairman’s Office, the TNCC, and the TrialNet Hub will collaboratively provide 
leadership to the TrialNet study group to include protocol and manual preparation, training for clinical 
sites, development of statistical design for each study, analysis of study results and the preparation of 
publications and presentations. The TNCC will also coordinate interactions among the participating 
TrialNet Clinical sites, laboratories including TrialNet core laboratories and other subcontract 
laboratories, NIDDK, and other sponsoring agencies. 
 
10.2.3. Clinical Sites 
Principal Investigator at each participating TrialNet clinical site will oversee all operations at that site. 
The clinical sites will forward all laboratory and data collection form information to the TNCC for 
analysis. Direct communication and site visits, as needed, will facilitate evaluation of the trial 
management. 
 
10.2.4. Safety Monitoring Committee and Medical Monitor 
The Type 1 Diabetes TrialNet Safety Monitoring Subcommittee (SMS) is responsible for establishing 
policies and procedures for assurance of safety monitoring of TrialNet protocols and of TrialNet 
participants. The Safety committee will review all serious AEs and receive summary reports of all 
AEs.   
All adverse events will be recorded on the adverse event forms, which will be sent to the local 
IRBs/REBs, per their reporting requirements, and to the TNCC. 
An independent physician will be designated to serve as the medical monitor for this study who will 
maintain regular contact with the study and the Study Chair. (S)he will review all adverse event 
reports and will file event reports with regulatory authorities as appropriate 
 
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TrialNet Protocol TN20 
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10.2.5. Clinical Site Monitoring 
In order to conduct this study with established research principles and ICH-GCP guidelines, site visits 
will be conducted during the study to evaluate study conduct and ensure participant safety. All sites 
will be monitored by the TNCC and appropriate TrialNet committees for participant enrollment, 
compliance with protocol procedures, completeness and accuracy of data entered on the case report 
forms (CRFs), the occurrence and reporting of adverse events (AEs) and serious adverse events 
(SAEs), site pharmacy accountability/operations, and to confirm the presence of appropriate IRB/REB 
regulatory approvals/documents. 
 
10.2.6. Data and Safety Monitoring Board (DSMB) 
The DSMB will meet approximately every 6 months to review the potential toxicity and tolerability of 
the study treatments as defined in Sections 8.4.1 and 7.3 based on interim summaries and reports 
prepared by the TNCC. The DSMB will independently evaluate whether there are grounds to modify or 
discontinue the study. 
 
10.3. Sample and Data Storage 
Stored samples, including genetic material, could be utilized to learn more about causes of type 1 
diabetes, its complications (such as eye, nerve, and kidney damage) and other conditions for which 
individuals with diabetes are at increased risk, and how to improve treatment. 
 
Samples to be stored for research purposes will be located at the NIDDK Repository and at TrialNet 
Sites. While TrialNet is active, the use of the samples will be restricted to TrialNet researchers unless 
researchers from outside of TrialNet obtain approval from the TrialNet Steering Committee and the 
NIDDK to utilize the samples. The samples will be coded with unique study numbers, but TrialNet 
researchers will be able to identify samples if it is necessary to contact participants for reasons of 
health or to notify them about future studies. Approval from the TrialNet Steering Committee and the 
NIDDK would be required before such linkage could occur. Researchers from outside of TrialNet will 
not be permitted to identify samples. 
 
Data collected for this study will be sent to the TrialNet Coordinating Center at the University of South 
Florida. After the study is completed, de-identified data will be stored at the NIDDK Repository, under 
the supervision of the NIDDK/NIH, for use by researchers including those outside of TrialNet. 
 
When TrialNet is completed, samples will continue to be stored at the NIDDK Repository Sites. Since 
the stored data will be fully de-identified upon the completion of TrialNet, it will no longer be possible 
to identify samples. However, there will still be the potential to link data derived from the samples with 
data that had been derived from TrialNet studies. Once TrialNet is completed, researchers will only 
obtain access to samples through grant proposals approved by the NIDDK. The NIDDK will convene 
an external panel of experts to review requests for access to samples. 
 
Genetic and other biological material will be stored for future use with the permission of the study 
participant as described above. The results of these future analyses will not be made known to the 
participant. 
 
10.4. Preservation of the Integrity of the Study 
The scientific integrity of the trial dictates that results be reported on a study-wide basis; thus, an 
individual clinical site will not report the data collected from its site alone. All presentations and 
publications using TrialNet data must protect the main objectives of the trial. Data that could be 
perceived as threatening these objectives will not be presented prior to release of the primary study 
outcomes. The TrialNet Publications and Presentations Committee will approve the timing of 
Page 31 of 37 
 

TrialNet Protocol TN20 
Protocol Version: 15Jan2016 
 
presentations of data and the meetings at which they might be presented, and the publication of 
results and the selection of the journal to which each paper will be submitted for publication. Study 
results should be discussed with the news media only upon authorization of the Executive Committee, 
but never before the results are presented. Any written statements about this study that are shared 
with national media should be approved by the Executive Committee and the National Institute of 
Diabetes, Digestive and Kidney Diseases before release. 
 
 
10.5. Participant Reimbursement and Compensation 
Participants may be compensated for each visit attended in the study. In compliance with ICH 
Guidance E6, the amount and method of payments to participants shall be designed to avoid coercion 
or undue influence on the study participants. Payments to participants will be prorated and not wholly 
contingent on completion of the trial by the participant.
Page 32 of 37 
 

Appendix A:  Schedule of Assessments 
 
 
Month of Trial  
 
 
0 
 2 weeks  
1 
 
2  
 
3  
 
6  
   7  
   8  
 
9  
 
12  
 
Visit number  
-1 
0 
( Visit A) 
0 
(Visit B)1  
1 
 
2  
 
3  
 
4  
   5  
   6  
 
7  
 
8  
Informed Consent 
X 
Inclusion/exclusion Criteria 
X 
Medical History 
X 
Physical Exam 
(X2) 
(X2) 
X 
Concomitant Medications 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
Adverse Events3 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
Pregnancy test (if female of reproductive potential) 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
X 
Drug Dispensation 
 
X4 
X4 
X4 
X 
X 
Assess Treatment Compliance 
 
 
X 
X 
X 
X 
Oral Glucose Tolerance Test 
X5 
X 
X 
HbA1c 
(X6) 
(X6) 
X 
X 
X 
X 
Diabetes Associated Autoantibodies 
X6 
Samples for Mechanistic Assays7 
X 
X 
 
X 
X 
X 
X 
X 
X 
X 
X 
 
 
 
 
 
1  Visit V0 (B) only applies to participants in the 500mg every other week treatment group . 
2 Physical Exam may be performed at the -1 or 0 visit, and is not required at both. 
3 Complete directed Physical Exam, if appropriate, for evaluation of AE 
4 Participants will be observed for 2 hours after dosing with samples obtained for glucose, insulin, C-peptide prior to and 1 and 2 hours after dosing. 
5 TN20 Screening OGTT and/or autoantibody confirmation can be performed as either part of the TN01 Natural History/Pathway to Prevention Study visit, or 
the TN20 screening visit. Participants who are not confirmed mIAA and other autoantibody positive prior to screening may use results from the screening visit   
or tie-breaker PRN visit for TN20 randomization eligibility. 
 
6 HbA1c may be collected at either the -1 or 0 visit, and is not required at both. 
7 May include serum, plasma, whole blood, PBMC, RNA, DNA, and CBC with differential. Schedule of assessments may vary as appropriate. Total blood 
draw volume in adults will not exceed 10.5 ml/kg or 550 ml, whichever is smaller, over an 8 week period. For children, no more than 5 ml/kg will be drawn 
at any single visit and no more than 9.5 ml/kg over an 8 week period. 
Page 33 of 37 
 

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