Study design and overview
This study is a prospective, non-randomized, single-arm, open-label, pilot clinical trial designed to evaluate the safety and feasibility of delivering DBS to the CnF to alleviate freezing of gait in PD patients with severe, levodopa-resistant gait freezing. This study was approved by the University of Miami Human Subject Research Office (UM HSRO) and the US Food and Drug Administration with an Investigational Device Exemption as a phase I trial. The trial is registered in ClinicalTrials.gov: (NCT04218526). The study outline is shown in Figure 2.
Suitable eligible patients will be screened for study participation and begin the consenting process, where the study objectives and the risks and benefits of participating are explained to them. Informed consent forms for the study will be filled out by subjects to confirm enrollment and they will undergo a baseline assessment, including a thorough neurological and neuropsychiatric examination, as well as standardized subjective and objective gait assessments. The Columbia Suicide Severity Rating Scale is included during screening given the known risk of suicidality with DBS for PD (49). After enrolment and baseline evaluation, subjects will be consented for surgery prior to bilateral implantation of DBS electrodes in the CnF, with a post-operative CT scan to localize final electrode positions. For ethical reasons, all subjects will receive active stimulation beginning at two weeks post-implantation and will undergo repeated gait assessments in the clinic at 2, 6, 12, and 24 weeks post implantation (Table 1). Gait assessment tests will be performed on medication, with DBS on and off, and assessors will be blinded to whether the DBS is on or off to minimize the risk of bias. A final clinic visit will take place at 25 weeks post implantation to perform a more detailed kinematics and EMG gait assessment, using the Nexus system (Vicon Motion Systems Ltd). At study conclusion, subjects will decide whether they want to continue with stimulation or discontinue stimulation; in both cases they will continue to receive their usual standard care and follow up with their neurologist.
BDI Beck Depression Inventory, β-hCG beta human chorionic gonadotropin, CBC complete blood count, CMP comprehensive metabolic panel, CT computed tomography, CXR chest x-ray, EKG electrocardiogram, EMG electromyogram, FOG freezing of gait, F/U follow up, INR international normalized ratio, MDRS Mattis Dementia Rating Scale, MDS-UPDRS Movement Disorder Society Unified Parkinson’s Disease Rating Scale, MRI magnetic resonance imaging, PDQ-39 Parkinson’s Disease Questionnaire-39, PDQL Parkinson’s Disease Quality of Life questionnaire, PT prothrombin time, PTT partial thromboplastin time, U/A urinalysis,
*Pre-op labs are viable for 30 days before surgery. After 30 days they must be repeated before surgical procedure
Participants
We are actively screening and recruiting patients for this study from the Movement Disorders Clinic at the University of Miami Hospital. As this is a pilot study, we plan to enroll 4 patients with PD with levodopa-resistant FOG. A movement disorder neurologist will assess the eligibility of a patient based on the inclusion and exclusion criteria are detailed below.
Inclusion criteria
- Age 40-75
- PD stage 3 with good response to levodopa (defined as greater than 20% improvement in MDS-UPDRS score), except for severe gait disorder
- PD stage 3 with severe gait dysfunction and predominant axial symptoms defined as: TD/PIGD ratio <90 (mean value of MDS-UPDRS items 2.10, 3.15a, 3.15b, 3.16a, 3.16b, 3.17a, 3.17b, 3.17c, 3.17d, 3.17e, and 3.18 divided by the mean value of MDS-UPDRS items 2.12, 2.13, 3.10, 3.11, and 3.12)(15) and FOGQ score> 12
- FOG refractory to levodopa>600 mg
- Minimal tremor, bradykinesia, and rigidity, or well controlled with levodopa.
- Agrees to full 6-month study participation
Exclusion criteria
- Individuals with major executive dysfunction, dementia (Mattis Dementia Rating Scale-2 score ≤ 130), depression (Beck Depression Inventory II > 25), or other neurocognitive impairments
- Presence of major medical co-morbidities and other surgical contra-indications
- Individuals requiring diathermy, transcranial magnetic stimulation, or electroconvulsive therapy
- Individuals with prior intracranial surgery
- Individuals with non-MRI compatible metallic implants in their head or active implantable devices anywhere in the body
- Individuals who are pregnant, breastfeeding, or the desire to become pregnant during the study
- Individuals on investigational drugs or any other intervention (not part of the guidelines for management of PD) known to have a potential impact on outcome
Assessments
The following assessments will be completed to screen for study/surgical eligibility:
- History and physical exam, including a neurological and clinical gait assessment
- Blood pressure and postural drop
- Pre-operative lab work, including 12-lead electrocardiogram and chest x-ray
- Neuropsychiatric evaluation, including the Mattis Dementia Rating Scale-2, Beck Depression Inventory II, and the Columbia Suicide Severity Rating Scale
The following assessments will be completed prior to DBS implantation as well as at each clinic visit post-implantation:
- MDS-UPDRS
- FOG Questionnaire
- Timed Up and Go (TUG) test
- Clinical gait assessment measuring:
- Stride Length
- Velocity
- Gait variability measured over a 2-minute walk
- The Parkinson’s Disease Questionnaire (PDQ-39) and the Parkinson’s Disease Quality of Life Questionnaire (PDQL)
- Columbia Suicide Severity Rating Scale
- Neuropathic pain inventory and history
- Blood pressure and postural drop assessed in the off and on DBS stimulation state.
At study conclusion, patients will undergo a detailed kinematics gait assessment using the Nexus system (Vicon Motion Systems Ltd) and surface EMG recordings in the lower limbs.
Device implantation
The Vercise™ (Boston Scientific Corporation) DBS System and Cartesia™ (Boston Scientific Corporation) directional leads will be used in this study. Implantation of electrodes and generator will be performed in one procedure, as previously described at our institution,(50) but targeting the CnF. A pre-operative 3T MRI will be obtained prior to surgery. Subjects will be admitted on the day of surgery, and under intravenous sedation, a CRW frame will be placed and a CT obtained. The CT and MRI will be merged to obtain frame-based coordinates for the CnF. The default CnF coordinates will be calculated based on MRI brainstem landmarks to target brainstem normalized coordinates of (0.50, 0.25, 0) (43), and diffusion tractography will be used to ensure that our target is within the area demarcated by the medial lemniscus, superior cerebellar peduncle, and central tegmental tract. Trajectory planning will be performed to avoid vessels and ependymal and pial surfaces. Blood pressure and heart rate will be monitored by arterial line, and systolic blood pressure will be maintained between 90-120 mmHg during electrode insertions to reduce the risk of hemorrhage. The DBS leads will be placed with intraoperative test stimulations to assess efficacy and rule out potential side-effects that may warrant repositioning of the lead (Figure 1C). Intraoperative lower-extremity EMG will be used to assess for muscle activation to assist with targeting. The use of an intraoperative O-arm (Medtronic) spin to provide real-time estimates of lead trajectory and location will be an option if there are any concerns about targeting or off-target stimulation effects. After implantation, patients will be fully anesthesized to undergo subcutaneous implantation of the generator in the chest to complete the procedure. Patients will be admitted to a post-surgical unit overnight for monitoring, including blood pressure and vital signs.
DBS programming
Intraoperative stimulation parameters will be used to guide initial programming. Programming sessions will have heart rate, blood pressure, respiratory rate, and blood oxygenation saturation monitoring to mitigate the risk of adverse cardiorespiratory events related to stimulation. Additionally, low frequencies will initially be explored with patients until an adequate stimulation amplitude is found where gait initiation is under volitional control. Stimulation amplitude will then be increased until an adequate gait speed is achieved. Based on other studies, cyclic stimulation with continuous daily stimulation and night arrests will be the default protocol to avoid habituation and waning of effects(43, 51). Current steering will be used to increase the therapeutic window and maximize chances of therapeutic benefit.
Efficacy outcomes
Outcomes of neurological and functional status, gait, and quality-of-life are collected at several time points during the study (Table 1).
Primary outcomes
- Percent change in gait velocity with and without CnF DBS
- Percent change in Movement Disorders Society Unified Parkinson’s Disease Rating Scale (MDS-UPDRS) Part III across study visits relative to pre-operative baseline evaluation.
Secondary outcomes
- Percent change in FOG Questionnaire (FOGQ), Parkinson’s Disease Questionnaire (PDQ-39), and the Parkinson’s Disease Quality of Life Questionnaire (PDQL)
- Percent change in muscle electromyogram (EMG) amplitude during gait testing at study conclusion between CnF DBS on and off conditions
Kinematic and EMG Evaluation of Gait
Lower-limb gait kinematics and EMG will be evaluated with and without DBS in study subjects (n=4). Subjects will be fitted with fifteen reflective markers that will be tracked at 100 Hz with a 10-camera Nexus system (Vicon Motion Systems Ltd) attached bilaterally to the first and fifth distal phalange of the foot, lateral malleolus, calcaneus, lateral femoral epicondyle, anterior superior iliac spine, as well as the mid-shank and mid-thigh. A reflective marker will also be placed on the lower back region overlying the sacrum. EMG surface electrodes will be placed over the tibialis anterior (TA) as well as the lateral gastrocnemius (LG). Subjects will be asked to walk along a 25-foot path at a constant, regular walking pace both without and then with optimal DBS configuration settings (CnF L on/CnF R on), DBS OFF (CnF L off/CnF R off), DBS RIGHT Only (CnF L off/CnF R on), DBS LEFT only (CnF L on/CnF R off) repeating each condition twice. Kinematic and EMG signals will be recorded during each trial while the subjects walk for 25 feet and averaged for each test condition.
Safety
The analyses for safety will be descriptive, focusing on trends for within-subject differences and changes in FOG symptoms or off-target side-effects during the duration of the study. All adverse events (AEs) will be listed and their incidence compared to historical controls. The primary safety analysis will be conducted on all patient data when all 4 participants have completed the study.
Handling of missing data
Because of the 25-week follow-up, efforts will be made to minimize the number of participants lost to follow-up by developing good rapport, making the participant feel comfortable with the research staff and having regular correspondence between assessments. To maintain contact and continued willingness for study participation at each visit participants will provide their current address and phone number and e-mail address as well as contact information for at least two individuals who live outside of their household yet are likely to know their whereabouts. Contact information and contact history will be entered into an electronic database allowing regular review and update.
Although every attempt will be made to avoid missing outcome data, missing data is anticipated with any longitudinal study. The missing data can be defined as intermittent or dropout. The impact of missing data will be examined by comparing means and standard deviations for participants that have and do not have the relevant missed visit data. Where appropriate, imputation of extreme values will be used to demonstrate negligible impact of the missing data. The reason for missing data will also be recorded and fully examined to confirm this assumption, and to minimize this occurrence in any future confirmatory trials. Where appropriate, non-negligible missing data will be imputed using regression methods.
Data analysis
The primary goal of this pilot study is to assess the safety and feasibility of delivering DBS to the CnF in PD patients with refractory FOG, and thus will only involve 4 subjects. We believe this number of subjects will provide adequate data on safety and feasibility for a larger study. However, assessment of trend toward efficacy will be performed for the primary and secondary outcomes. One-way ANOVA will be used to compare percent improvement in gait velocity for the four different DBS configurations (L CnF off/R CnF off; L CnF off/R CnF on; L CnF on/R CnF off; L CnF on/R CnF on) at each clinic visit, with the Tukey Honest Significant Difference post-hoc test to compare configurations. The same test will be used to compare changes in EMG amplitude between the four DBS configurations at the final gait assessment at the study’s conclusion. One-way ANOVA with repeated measures will be used to compare changes in the UPDRS III, FOG Questionnaire, PDQ-39, and PDQL over the multiple time points of the study.
Data management
All study documents and files will use an anonymous study identification number to identify subjects and only an appointed Study Coordinator will maintain linkages, to maintain subject confidentiality. Additionally, locally stored computer data will be password protected and located within our institution-based firewall. Physical study data files including signed consent forms will be stored securely in the principal investigator’s (JJ) office within a locked filing cabinet. Subject data will be documented in source documents initially and then recorded on electronic case report forms (CRFs). The Study Coordinator will ensure that data is entered into CRFs within 5 days of data collection and will review the accuracy of entered data by comparison with subjects’ medical records within 30 days. Potential discrepancies will be flagged and checked and corrected as necessary by study investigators.
Only personnel listed on study protocols will have access to study data, though study data that could medically benefit subjects will be shared with them. There will be periodic audits (at least two during the study) of the data by university’s Office of Research Compliance and Quality Assurance (RCQA) auditors to ensure compliance with the FDA’s Good Clinical Practices and ICH-E6. The Principal Investigator will submit all de-identified CRFs to the Study Sponsors and the FDA throughout and at the completion of the study, including any incomplete CRFs and CRFs of those who withdraw before study completion.
A Data Safety and Monitoring Board (DSMB) has been established as an independent expert advisory group to assess adverse events (AEs) and evaluate the general integrity and conduct of the study. The DSMB chair will be provided a monthly update on the status of all study subjects. Furthermore, all AEs related to the study will be reported to the DSMB, which will make recommendations as to whether the study should continue without change, be modified, or be terminated early. Pre-determined stoppage rules have also been established to aid with early termination decision making (Table 2). No formal interim analysis of efficacy is planned given the small number of participants.
Table 2. Pre-determined Study Stoppage Rules.
1
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Occurrence of one or more SAEs with unexplained etiology and unsatisfactory resolution
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2
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Occurrence of one or more persistent and debilitating stimulation-related AEs in the CnF
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3
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Occurrence of hemorrhage, stroke, or paralysis related to device
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4
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Occurrence of changes in blood pressure, heart rate, and/or respiratory rate related to device function that occur outside of the clinic and require medical intervention
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5
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Significant worsening of any symptom of PD, other than transiently, including tremor, bradykinesia, rigidity, or gait that would not otherwise have been expected as part of the natural course of the disease
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AE adverse event, CnF Cuneiform nucleus, PD Parkinson’s Disease, SAEs serious adverse event