Submission to Borgess Medical Center

Institutional Review Board

Kalamazoo, Michigan

Protocol Title: CSSA (Carotid Stent Supported Angioplasty) Pilot Study

Principal Investigator: Tim A. Fischell, M.D.

Co-Investigators: William Cambpell, M.D., John Collins, M.D., Krishna Jain, M.D., Ilydio Polachini, M.D., Phillip Green, M.D., Andrew Carter, D.O.

 

INTRODUCTION AND BACKGROUND

The scope of the problem. More than 500,000 new strokes occur annually in the United States and it has been estimated that carotid artery disease may be responsible for 20-30% of major neurological events.1 Carotid artery stenosis is usually identified after a transient ischemia attack but for many patients cerebral infarction caused by artery to artery embolism or carotid occlusion is the initial event. Progression of asymptomatic carotid artery stenosis to occlusion is unpredictable and can be disastrous. At the time of sudden carotid occlusion, a disabling stroke may occur in 20% of patients, and thereafter in 1.5-5% of patients annually.2,3,4

Background and Rationale. Given the aforementioned morbidity associated with significant carotid artery disease, attempts to treat patients with ongoing, repetitive, or threatened neurologic events have included medical therapy, surgical treatment, and most recently angioplasty techniques. Each of these therapeutic modalities has known or potential benefits which must be viewed in the context of treatment-induced complications (drug or procedure-related). Importantly, strategy decisions regarding optimal therapy for individual patients are critically affected by clinical factors, comorbid conditions, anatomic considerations, and the physician expertise available at treatment facilities. Moreover, as drug therapies, surgical techniques, and angioplasty procedure results improve and clinical trials are conducted helping to clarify issues of comparative therapeutic efficacy, there will be a progressive evolution in the treatment standards for patients with carotid artery disease.

Prevention of ischemic strokes with platelet inhibiting drugs. Sulfinpyrazone, aspirin, and dipyridamole all inhibit platelet aggregation in vitro and were found to be beneficial when given to patients with recurrent transient monocular blindness5 The first meta-analysis from the Anti-platelet Trialists' Collaboration reported on vascular events in 25 trials involving 29,000 patients with histories of transient ischemic attacks, minor strokes, unstable angina, or myocardial infarction6. The main analysis, which considered all platelet inhibitors and treatment regimens of equal value, reported an overall 25% odds reduction for vascular events (stroke, MI, or death from a vascular cause) and a 27% odds reduction for nonfatal stroke. In the second meta-analysis from the same group which involved over 100,000 patients (145 clinical trials), among patients with previous minor strokes or transient ischemic attacks, the odds reduction was 22% for vascular events and 23% for nonfatal strokes. Importantly, no single trial has demonstrated that aspirin in high doses (900 to 1300 mg daily) or low doses ( 75 to 300 mg daily) is significantly more effective than placebo in preventing strokes. The meta-analyses show that the overall reduction in the relative risk of stroke associated with high or low dose aspirin was modest and not statistically significant. Aspirin combined with sulfin-pyrazone or dipyridamole was significantly more effective than placebo, but there was no difference between combined therapy and aspirin alone.

Ticlopidine, a platelet-inhibiting drug which does not affect the cyclooxygenase pathway, has also proved beneficial for stroke prevention in two large clinical trials8,9. In the Ticlopidine Aspirin Stroke Study 8, comparing ticlopidine (500mg daily) with aspirin (1300my daily), there was a 21% relative-risk reduction with ticlopidine in three-year fatal or non-fatal strokes. The Canadian American Ticlopidine Study demonstrated a 30% relative-risk reduction with ticlopidine (500mg daily) compared with placebo in major vascular events, when ticlopidine was given 1-16 weeks after a major stroke9. The more widespread use of ticlopidine in clinical practice has been affected by the perceived high frequency of drug-related complications, including neutropenia (~2% of patients) which requires regular blood test monitoring and gastro-intestinal side-effects (especially diarrhea).

Surgical therapy for symptomatic carotid artery disease. The removal of stenotic or ulcerated lesions at the cervical carotid bifurcation appears to be a logical and practical approach to stroke prevention. Recently, six prospective randomized trials for endarterectomy have been reported, five of which have shown benefit for surgery in preventing cerebral ischemia. Three trials including the Veteran's Affairs Cooperative Study,10 NASCET11 (North American Symptomatic Carotid Endarterectomy Trial), and ECST12 (European Carotid Surgery Trial) randomized patients with symptomatic carotid stenosis (transient ischemic attack, amaurosis fugax. Or small completed stroke ipsilateral to the carotid narrowing) demonstrated the following:

1. Carotid endarterectomy provided significant protection against subsequent ipsilateral stroke in patients with high grade (greater than 70%) symptom-atic stenosis.

2. The stroke risk reduction afforded by surgery was realized early after surgery and persisted over extended periods of time.

3. Stroke rates in the non-surgical group in these trials exceeded estimates derived from prior prospective studies.

4. An acceptable level of surgical morbidity and mortality was achieved in trials conducted at multiple centers.

5. Reductions in stroke or perioperative death ranged from 39% in the ECST trial, to 60% in the VA symptomatic trial, to 65% in the NASCET study.

Clearly, based upon these three randomized clinical trials, there is firm evidence to conclude that carotid endarterectomy reduces the frequency of subsequent ipsilateral strokes and death in selected symptomatic patients compared with standard medical therapy.

Surgical therapy for asymptomatic carotid artery disease. The rationale of carotid endarterectomy for asymptomatic carotid bifurcation lesions is based on the assumption that there will be a reduction in long-term stroke risk in the distribution of the artery. To achieve this objective, the following criteria must be fulfilled:

1) a lesion must be associated with a demonstrable stroke risk.

2) removal of the lesion must eliminate or reduce long-term stroke risk.

3) the operating surgeon must have an acceptable low rate of perioperative neurological morbidity and mortality.

The first two trials with endarterectomy for asymptomatic carotid stenosis yielded inconclusive results. The CASANOVA13 (Carotid Surgery Versus Medical Therapy in Asymptomatic Carotid Stenosis) study found no differences in outcome between immediate surgery and non-surgery patients. However, a seriously flawed protocol design resulted in nearly half of the patients in the non-surgical group undergoing endarterectomy. In the Veterans Affairs Cooperative Studies Program Asymptomatic Stenosis Trial14, the combined incidence of ipsilateral neurological events, were significantly reduced in patients undergoing endarterectomy. When endpoints of ipsilateral stroke and perioperative death were analyzed, there was a suggestive benefit for surgical group which was not statistically significant (P=0.056), probably secondary to inadequate sample size. However, recently the Asymptomatic Carotid Atherosclerosis Study 15 (ACAS) demonstrated that among 1662 patients with a high grade stenosis (greater than 60% diameter reduction by ultrasound and/or angiography) who were randomized to medical or surgical groups, there was a projected overall 53% relative-risk reduction in ipsilateral stroke rates over 5 years (mean follow-up 2.7 years) in patients receiving carotid endarterectomy (5.1%) compared with patients not receiving surgery (11.0%). The benefit of surgery was apparent by 10 months and was statistically significant for three years.

Risk of carotid endarterectomy surgery. Carotid endarterectomy is not without its own morbidity and mortality. Data from NASCET11 in symptomatic patients from 50 clinical centers performing carotid endarterectomy revealed a 5.8% incidence of perioperative stroke, an 0.9% incidence of acute myocardial infarction, a 7.6% incidence of cranial nerve injury, a 5.5% incidence of wound hematoma, and a 3.4% incidence of would infection. Restricting the analysis to the most serious events resulted in a rate of 2.1% for major stroke plus death and a fatality rate of 0.6%. In ACAS15 where surgery was performed in lower risk asymptomatic patients, the 30-day peri-operative risk of stroke or death was 2.3% in the carotid endarterectomy cohort.

Results of supra-aortic cerebrovascular angioplasty. Considering the efficacy of carotid endarterectomy for stroke prevention and the acknowledged peri-operative risks, alternatives to surgical revascularization have been sought. Percutaneous transluminal angioplasty has been used extensively as an alternative to surgical revascularization, both in peripheral and coronary atherosclerotic vascular disease. There is significant but less extensive experience with PTA of the supra-aortic arteries including the carotid and vertebral arteries. In a review of over 700 supra-aortic artery PTA's 16, the success rate was 95% and major complications were 0.5% with no deaths; 338 of these procedures were in the carotid, vertebral or innominate artery and the remaining 436 involved the suvbclavian artery. In a series of 29 angioplasties involving the common carotid and internal carotid arteries, there were no major complications and follow-up ranging from 3 months to 4 years did not reveal any recurrence of symptoms.17 These authors further extended the series to 41 patients and there were still no major complications, but follow-up data were not presented18. Higashida reported a series of 42 angioplasties in vertebral and basilar artery stenosis of greater than 70%; 34 lesions involved the proximal vertebral artery, 5 lesions involved the distal vertebral artery, and 3 involved the basilar artery19. Complications were confined to the distal vertebral artery and basilar artery procedures with 2 strokes and 1 death occurring in these groups. The follow-up period was 12 months and there was a 7% restenosis rate. Kachel16 published a series of 112 supra-aortic PTA's in 105 symptomatic patients. There were 35 stenoses of the internal carotid artery and 15 stenoses of the vertebral artery with the remaining lesions involving the external carotid, common carotid, innominate or suvbclavian arteries. The success rate was 95.2%; there were no major complications and 4 minor complications. After a mean follow-up period of 58 months, there were 2 (1.8%) cases of restenosis, both in the subclavian arteries.

From the limited amount of data available on long term follow-up after supra-aortic PTA's, the resenosis rate appears to be low, consistent with the results of angioplasty in other similar size vessels. Large vessels, such as the iliacs and proximal femoral arteries, have restenosis rates of 20-25% at 3 years while smaller vessels such as popliteals and coronaries have restenosis rates of 35-45%20,21. Therefore, one would expect the carotid arteries, which typically range in size from 4 to 10mm, to have relatively low restenosis rates, certainly much lower than in the coronary circulation.

Despite the apparently good results obtained after supra-aortic PTA procedures, there remain several real and/or perceived risks which must be addressed. First, the clinical trial experiences thus far have been poorly controlled with little attention to standardized patient inclusion criteria, angioplasty techniques, pre-specified endpoint evaluations, and clinical event reporting. Although distal embolization from the treatment site appears to be well tolerated by the cerebral circulation without significant transient or permanent neurologic sequellae, this still may pose problems in ulcerated or thrombus-containing lesions in patients with unstable plaque morphology. Dissection and abrupt vessel closure are ubiquitous after mechanical balloon barotrauma techniques and late vessel closure after carotid PTA would undoubtedly lead to major strokes and possible mortality. Finally, the expected late restenosis rate of 20-25% in carotid arteries after PTA is as yet unconfirmed and may well be considerably higher than comparably treated patients after surgical carotid endarterectomy.

Endovascular stents for obstructive vascular disease. For almost a decade endovascular permanent prosthetic devices, or stents, have been utilized to improve results and minimize complications associated with balloon angioplasty procedures. Stents may be superior to conventional angioplasty techniques for the following reasons: (1) stents increase acute procedural minimal lumen diameters, (2) stents prevent or "seal" flaps/dissections decreasing the incidence of early and late abrupt closure, (3) stents entrap friable material, thus reducing the likelihood of distal embolization, and (4) stents decrease the frequency of late restenosis. In two randomized clinical trials, STRESS22 and BENESTENT23, comparing the long-term efficacy of coronary stents versus balloon angioplasty in patients with focal de nova lesions in native coronaries, there was a 30% reduction in both angiographic restenosis and the need for subsequent revascularization procedures. Similarly, data from a randomized trial comparing stents and balloon angioplasty in the treatment of iliac stenoses/occlusions revealed that only 2% of the stent patients versus 28% of the PTA patients required repeat target lesion interventional procedures during the three-year follow-up period24. Importantly, refinements in operator techniques including the use of intravascular ultrasound guidance and post-stent high pressure balloon inflations to optimize stent implantation appear to have reduced the frequency of subacute stent thrombosis while further lowering restenosis frequency

CSSA (Carotid Stent Supported Angioplasty). Since the results of stent procedures indicate significant incremental benefits over conventional balloon angioplasty under most clinical circumstances, the present study is designed to evaluate the effects of primary elective stent implantation as the optimal catheter-based interventional treatment strategy for occlusive carotid artery disease. CSSA has several potential advantages over surgical carotid endarterectomy: the use of local anesthesia allows continuous monitoring of the neurological status, treatment of lesions inaccessible to surgery (e.g. supra-aortic common carotid lesions and intracranial internal carotid stenoses extending into siphon), reduced patient discomfort, potential for shorter hospital stay, potentially reduced costs, and possibly a significant lower morbidity and mortality. It would be particularly well-suited for the 35% of patients with symptomatic carotid disease who have severe coronary artery disease and have a high mortality and morbidity associated with carotid endarterectomy25.

Thusfar, there are few published data describing the technique, safety, and efficacy of CSSA procedures. Mathias and coworkers26 reported an observational study utilizing the self-expanding Wallstent for internal carotid artery stenoses with technical success in 46 of the 47 patients and residual stenosis <20% in all patients at the completion of the procedure. Complications included transient ischemic attacks in 2 patients and no strokes of deaths. Follow-up clinical assessments and anatomic evaluations (either angiography or ultrasound) were available in 44 of the 47 patients. There were no late or recurrent neurologic events and although minimal neointima formation at the stent site was frequent, there was no clinically significant recurrent stenosis and no patient required repeat revascularization procedures.

In the United States, there have been multiple single center observational studies of CSSA represented by the following principal investigators (and locations): Gerald Dorros, M.D. (Milwaukee, Wisconsin), Edward B. Diethrich, M.D. (Phoenix, Arizona), Robert G. Ferguson, M.D. (Memphis, Tennesse), Mark Wholey, M.D. (Pittsburgh, Pennsylvania), Martin Leon, M.D. (Washington , D.C.), Christopher Cates, M.D. (Atlanta, GA), and Gary S. Roubin, M.D. (Birmingham, Alabama). These study sites encompass the full range of interventional expertise including interventional cardiologist, interventional radiologist, vascular surgeons, and interventional neuroradiologist.

25 patients with extra-cranial carotid artery disease treated during CSSA procedures were treated at the Washington Hospital Center. Patient demographics were predominantly male (82%), mean age 64 years old, 70% coexistent coronary artery disease, and 52% had antecedent lesion-related neurologic symptoms. Technical success was 96% (inability to access a single right internal carotid artery due to excessive aortic root tortuosity) and angiographic success was achieved in all treated lesion sites. Only JJIS stents were used, including 42 biliary (medium size: P104, P154, and P204) and 3 coronary stents. Including all procedure-related and 30-day outcomes, there have been no deaths, no major strokes, and two (4%) minor neurologic events (one resolving in less than 24 hours and the other resolving in less than 7 days).

 

The largest ongoing CSSA study is being conducted by a multidisciplinary group of investigators at the University of Alabama (Birmingham, Alabama), led by Gary S. Roubin, M.D.27 Thusfar, >250 vessels (predominantly internal carotid arteries) in ~230 patients have been treated utilizing FDA-approved stents to properly cover all lesion sites. Initially, combinations of Johnson & Johnson Interventional Systems (JJIS, Warren, New Jersey) and Cook (Bloomington, Indiana) stent were used to treat specific lesion morphologies. More recently, the self-expanding Schneider Wallstent (Minneapolis, MN) has been preferentially used due to its ability to resist deformity from external compressive forces. The study protocol requires careful on-line quantitative angiography to assess lesion sites and to accurately determine stent size, as well as careful endpoint analyses including pre-, post-, and follow-up independent neurologic evaluations, ultrasound imaging, and angiography. Preliminary results indicate successful stent deployment and angiographic success (<50% residual stenosis) in all patients with one episode of subacute stent thrombosis. In-hospital, there has been one death, two major strokes (one in the same patient who died), and no myocardial infarctions. Other in-hospital complications have included 10 minor neurologic events (transient ischemic attacks or minor strokes). During the first 30-day follow-up period, additional complications have been 1 major stroke (contralateral hemispheric cerebral embolism in a patient with atrial fibrillation) and 1 minor stroke. Follow-up angiography has been performed in over 70 patients and angiographic restenosis has been observed in <5% of treatment sites. In patients treated with the JJIS stents there has been evidence of asymptomatic external stent compression of sufficient severity to warrant repeat balloon dilatation in 3 patients. Importantly, these data reflect early learning curve experiences in consecutive patients with both favorable and unfavorable lesion morphologies and frequent comorbid disease states, rendering many patients at higher risk for carotid endarterectomy treatment. There have apparently been no major strokes or death in the last 150 consecutive cases, possibly reflecting improved technique after the initial learning curve. These early data which suggest a low 30-day event rate (~1-2%) for death and major strokes (the "traditional" combined primary endpoint) even in unfavorable patient subsets, are most encouraging and justify the further exploration of CSSA as an alternative treatment modality for symptomatic and asymptomatic patients with carotid artery disease.

Summary of clinical data. Based upon the analysis of previous clinical trials and observations from published or ongoing observational studies the following conclusions are justifiable: (1) the presence of symptomatic and asymptomatic carotid artery disease indicated by a measurable internal carotid artery diameter stenosis (>60-70%) is associated with known significant risks for subsequent morbid and mortal neurologic events; (2) aspirin alone or in combination with other anti-platelet agents, and ticlopidine (alone or combined with aspirin) represent "reasonable" medical therapy with an expected 20% relative-risk reduction of recurrent neurologic events; (3) surgical carotid endarterectomy for symptomatic patients (e.g. NASCET) and in asymptomatic patients (e.g. ACAS) results in an additional 25-65% reduction of major events (death of major stroke) compared with medical therapy; (4) carotid PTA appears to be a safe and effective catheter-based alternative to carotid endarterectomy, although direct comparisons have not been made and critical independent analyses of large patient cohorts with late follow-up results are not available; (5) CSSA may be a safer and more effective (i.e. predictable) alternative to carotid PTA based upon large experiences in other vascular distributions (both coronary and extra-cardiac) and therefore should be the preferred or optimal interventional carotid procedure, especially given the unforgiving nature of cerebrovascular complications and the good results already achieved by carotid endarterectomy procedures.

CSSA pilot study. This single center (Borgess Medical Center), consecutive patient, observational pilot study will examine the safety and acute (in-hospital and 30-day) efficacy of CSSA in patients with symptomatic and asymptomatic carotid artery stenoses. Specific anatomic and clinical inclusion/exclusion criteria will be established and patients will be subanalyzed according to pre-specified risk profile. A total of 15-30 patients will be entered into the study over a 6-12 month period. Multidisciplinary investigators from interventional cardiology, neurology, and vascular surgery will approve patient enrollment and participate in study design and data collection/analysis. Standardized interventional techniques will be applied utilizing FDA approved devices for vascular and/or extra-vascular treatments. Pre-, post-, and follow-up evaluations including neurologic assessments, and ultrasound imaging will be performed to determine the event rate for primary and secondary endpoints. Finally, to ensure patient safety, detailed reports will be filed with the Borgess Medical Center Institutional Review Board after the first 15-patient are treated and at the conclusion of the 30-patient study.

 

OBJECTIVES

Primary objectives. The primary objectives of this evaluation are to assess the immediate (peri-procedural), early (30-day) and late (6-month and one year) clinical success of CSSA in the treatment of patients with or without antecedent neurologic symptoms and >70% stenosis of one or both internal (or distal common) carotid arteries. The exact pre-specified primary endpoints for the study are carefully enumerated below. The primary endpoints and composite efficacy and safety endpoints will be closely monitored. Comparison of the results from this pilot study will be made with other observational studies and randomized clinical trials involving similar patient cohorts treated with either PTA techniques or surgical carotid endarterectomy. Multivariable modeling techniques (as appropriate based on sample size factors) will be applied to acute and late clinical endpoints to ascertain any clinically important factors associated with clinical success and/or complications.

Secondary objectives. The secondary objectives of this study include the following: (1) technical success of stent deployment in variable morphology carotid stenoses; (2) acute angiographic results of CSSA; (3) procedural, in-hospital, and 30-day major and minor complications; (4) efficacy and safety of CSSA as determined by independent neurologic assessments post-procedure, @ 30-days, @ 6 months, and @one year; (5) efficacy of CSSA as determined by carotid ultrasound imaging post-procedure, @30 days, @ 6 months, and @ one year; (6) late clinical efficacy of CSSA. as determined by the need for repeat revascularization procedures (surgery or interventional therapy) @ 6 months and @ one year; (7) assessment and standardization of optimal operator techniques to be utilized for future randomized clinical trials comparing CSSA with surgical endarterectomy procedures.

 

STUDY DESIGN

 

Patient Selection - Criteria for eligibility. Candidates for this study must meet ALL of the following criteria:

The patient must be over 18 years of age.

The patient must have a >70% diameter stenosis of the extracranial internal carotid artery (using the NASCET quantitative stenosis measurement methodology) with or without antecedent neurologic symptoms. The lesion site diameter stenosis measurements will be made using on-line operator independent quantitative artery stenosis analysis software programs.

Female patients with child bearing potential must have a negative pregnancy test.

The patient and the patient's physician must agree to have the patient return for a 30-day, 6-month, and one-year clinical and imaging follow-up evaluations as indicated in the protocol.

The patient must provide written informed consent using a form that is reviewed and approved by the Institutionsal Review Board of the Borgess Medical Center.

Patient Selection - Criteria for exclusion. Candidates will be excluded from the study if ANY of the following conditions apply.

The patient has an intracranial tumor or cerebral arterio-venous malfor-mations(s).

The patient has had a previous disabling stroke or dementia.

The patient has had within four weeks of the treatment procedure an intracranial hemorrhage, hemorrhagic stroke, major stroke, or any stroke with mass effect demonstrated on MRI.

The patient has isolated intracranial internal carotid artery stenosis. The only exceptions would be if there is intracranial internal carotid disease in association with extracranial bifurcation carotid disease OR if a distal dissection occurs during the procedure requiring treatment of the previously normal intracranial internal carotid artery.

The patient has inaccessible intracranial arterial stenosis greater in severity than the extracranial internal carotid artery lesion.

The patient has isolated common carotid disease more than 10 mm proximal to the carotid bifurcation.

The patient has a known allergy to heparin.

The patient has a known allergy to anti-platelet agents (aspirin or ticlopidine).

The patient has a history of bleeding diathesis or coagulopathy.

There is angiographic evidence of significant intra-luminal thrombus burden with presumed increased risk of plaque fragmentation and consequent distal embolization. For the purposes of this submission, "significant" intra-luminal thrombus will be defined as an intra-luminal filling defect which extend for more than 5mm in axial length and occupies more than 50% of the reference vessel diameter.

There is total occlusion of the carotid artery treatment site with TIMI O flow characteristics.

The reference segment diameter (internal carotid artery segment cephalad to the lesion) is less than 3 millimeters by quantitative analysis.

The patient has peripheral vascular, supra-aortic or internal carotid artery tortuosity precluding use of catheter-based techniques required for successful CSSA.

The patient is absolutely contraindicated for surgical carotid endarterectomy, has no history of neurologic symptoms and has <70% diameter stenosis of the target carotid artery lesion. Patients considered absolutely contraindicated for carotid endarterectomy must be refused for surgical consideration by a least two board certified vascular surgeons due to prohibitive co-morbidity OR there is "local" anatomy co-morbidity such as radical neck dissection, burns, or radiation fibrosis after therapy for head and neck cancer.

The patient has one or several carotid lesions involving the internal and/or common carotid arteries, wherein the total lesion length (from the beginning of the most proximal lesion to the end of the most distal lesion) is greater than 5 cm.

The patient has unstable angina, evolving myocardial infarction, or recent (within 5 days) myocardial infarction.

The patient is currently participating in another study protocol which may influence either procedure results or follow-up evaluations.

Study design. A single center prospective observational pilot registry of 15-30 consecutive patients fulfilling protocol entry criteria.

Primary analysis population. The primary clinical endpoint and all secondary safety and efficacy endpoints will be analyzed on an intent-to-treat basis, i.e., after fulfilling patient entry criteria and obtaining informed consent, each outcome will be attributed to the CSSA procedure regardless of the actual sequence and results of specific devices utilized.

Deregistration is provided for analytical purposes to deal with the problem of determining study endpoints in patients who dropout before treatment is initiated. In this consecutive case registry series, the only situations where deregistration may be appropriate are (1) clinical factors developing or first recognized after obtaining informed consent and before initiating treatment, and (2) anatomic factors at the time of the procedure which are sufficiently changed to constitute clear deviation from protocol entry criteria (e.g. new significant intra-luminal thrombus or significantly improved stenosis severity). Under no circumstances, will deregistration be allowed after the CSSA treatment has begun. All deregistered patients will be subjected to clinical follow-up for the first year after initial entry into the CSSA study.

Withdrawal. Following the CSSA procedure, all patients are subject to complete clinical follow-up.

Secondary analysis population. The secondary analysis patient subset includes the per protocol treatment sample. Patients in this category have had a successful CSSA procedure defined as successful stent deployment with <50% residual diameter stenosis at all treatment sites and no significant procedure-related complications (death, MI, or major neurologic event). The per protocol treatment sample will provide valuable insights concerning the clinical and angiographic outcomes of only those patients who have had successful CSSA procedures.

High risk subset population. After entering the study, patients will be stratified into high and low (i.e. usual) risk populations for the purpose of retrospective subset analysis and comparison with appropriate patient cohorts from previous or ongoing clinical trials. Eligible patients will be considered low (or usual) risk unless they fulfill any of the following high risk patient characteristics:

1) patient is over 80 years old

2) patient has uncontrolled systemic hypertension (e.g. systolic blood pressure > 200 mm Hg)

3) patient has unstable angina, ongoing MI, or recent MI within 6 weeks

4) patient has class III or IV congestive heart failure and/or known severe left ventricular dysfunction (LV ejection fraction <30%)

5) patient requires simultaneous or staged coronary artery bypass graft surgery, peripheral vascular surgery, or abdominal aortic aneurysm repair

6) patient has vital organ failure (kidney, liver, or lung) or cancer precluding surgery but with life expectancy greater than one year

7) patient has significant restenosis after previous carotid endarterectomy

8) patient has cardiac valvular or rhythm disorder (e.g. atrial fibrillation) likely to be associated with cardiac origin thrombo-embolic neurologic events

9) patient has intracranial internal carotid stenosis not easily accessible utilizing standard surgical techniques

10) patient has significant aortic arch atherosclerosis

11) patient has miscellaneous other comorbid factors precluding carotid endarterectomy

 

 

PATIENT ENROLLMENT

Screening procedures. All patients with known or possible carotid artery disease (based upon antecedent or ongoing neurologic symptoms, physical findings of a carotid bruit, carotid ultrasound examination, or carotid angiography) should be screened for CSSA study eligibility. A member of the Research Team should review the patient for eligibility. If all inclusion criteria are met and no exclusion criteria are present, a Screening (Inclusion/Exclusion) Form should be completed. A CSSA study physician should consult the patient's private physician for permission to approach the patient. If the physician agrees, a member of the Research Team should inform the patient about the study's purpose and should obtain written informed consent.

A multidisciplinary physician team should review all baseline study data for each patient candidate before formal enrollment in the CSSA protocol. Once there is agreement among the primary operating interventionalist, the neurology consultant, and a vascular surgeon that the patient fulfills all protocol entry criteria, the patient may be formally enrolled and the informed consent process will initiated.

Informed Consent. Prior to entering the catheterization laboratory and before the administration of pre-catheterization sedation, informed consent should be obtained. Only members of the Research Team may approach the patient to obtain informed consent. The background of the proposed study and the benefits and risks of the procedures and study should be explained to the patient and his/her family members in attendance. The patient must sign the consent form with a witness prior to beginning the CSSA procedure. Failure to provide informed consent renders the patient ineligible for the study.

TREATMENT METHODOLOGY

Pre-procedure baseline study evaluations. Before entering the catheterization laboratory for planned CSSA, critical baseline study evaluations must be completed including: (1) standard history and physical examination; (2) complete neurologic evaluation by an independent neurologist; (3) routine laboratory test (CBC, PT/PTT, urinalysis, chem 18); (4) 12-lead ECG; (5) carotid ultrasound evaluation; (6) appropriate screening for concomitant coronary artery disease (may be restricted to exercise test but in some cases will require coronary angiography); (7) complete angiography of the aorta, both carotid vessels, both vertebral vessels, and the intra-cerebral vessels - all obtained in at least two projections; (8) completion of other baseline case report form requirements (e.g. NIH stroke scale); (9) other studies may be optional or appropriate under particular clinical circumstances, such as MRI or CT imaging of the head

CSSA technique. CSSA is currently a technique in evolution and it is hoped that during the course of this pilot study that several refinements can be enacted to simplify methodology, improve angiographic results, and increase patient safety. In addition, there will be important equipment enhancements which will be come available during the study period. All important changes in study protocol methodology or equipment designs which become know by virtue of our work or through the work of other investigators would be made in writing to the Borgess Medical Center Institutional Review Board.

Due to interpatient anatomic variability and individual lesion morphology differences (e.g. lesion length, lesion severity, lesion eccentricity, bifurcation stenosis, vessel size, vessel tortuosity, etc.) it is difficult to completely standardize operator technique for all patients and all lesion subsets. However, there are several common technique features which should be consistent throughout the study.

1) The femoral artery and vein (right or left) will be cannulated and sheaths will be placed in standard fashion.

2) A 5 or 6 French temporary venous pacemaker or a 7 French pacing Swan-Ganz catheter may be placed, and/or atropine may be given before or during the procedure as needed.

3) The target vessel carotid artery (right or left) will be selectively cannulated in standard fashion using an angiographic catheter.

4) Selective angiography of the carotid vessel would be performed in multiple oblique views to best isolate and define the carotid lesion.

5) Quantitative carotid angiography will be analyzed to determine the baseline stenosis severity and to measure precise reference vessel size at appropriate locations (distal and possible proximal to the stenosis) to best select correct size balloon and stents. As previously stated, NASCET quantitative measuring criteria will be applied in defining the distal reference vessel location and the calculation of percent diameter stenosis.

6) Utilizing a standard guidewire exchange technique, the angiographic catheter will be exchanged for a 9 French guiding catheter (usually a multipurpose shape) whose distal tip should lie just proximal to the internal and external carotid artery bifurcation. The guiding catheter will permit continuous arterial pressure measurement and selective contrast injection to visualize the lesion site.

7) A steerable guidewire (0.014" or 0.018" diameter), under fluoroscopic control and with the visual assistance of contrast injections, will traverse the lesion. If a sufficiently stiff guidewire cannot be safely used initially to cross the lesion, an exchange procedure may be necessary utilizing a transport catheter for insertion of a stiffer guidewire to facilitate balloon predilatation and stent placement.

8) In most cases, predilatation with a conventional (typically coronary) balloon catheter would be necessary or advisable to ensure subsequent safe stent deployment. In some cases with non-critical stenoses (70% diameter narrowing), especially in straight segments within larger vessels (>6 mm), or with ulcerated friable-appearing lesions, predilatations with a balloon catheter may not be performed. Generally, the predilatation balloon should be "undersized" for the true reference vessel diameter, as the purpose of predilatation is t merely create a channel of sufficient size to accommodate subsequent stent introduction and deployment. After choosing an appropriate balloon catheter size and length, the catheter will be advanced over the guidewire and across the lesion site, with contrast injection to confirm balloon position. One or more brief inflations (30-60) seconds) will be performed at below or at nominal balloon pressures. Subsequent angiography will confirm the predilatation balloon angioplasty results, and if a sufficient vessel lumen caliber is achieved, the balloon catheter will removed.

9) Stent deployment will be accomplished using the correct size (length and diameter) device based upon previous quantitative carotid angiographic and analysis. It is anticipated that the FDA-approved Schneider Wallstent will be the stent used primarily in this pilot study. The Wallstent is a self-expanding stainless steel mesh-stent that is delivered via a delivery catheter with a smooth outer sheath. It comes in a variety of lengths and diameters. This stent is self-deployed as the outer sheath is pulled back. It is possible that in some cases it will be deemed appropriate to use the (tubular slotted) Johnson and Johnson Palmaz stent. This stent type comes in 3 types (P104, P154, and P 204) without articulations and can be expanded to a diameter range from 4 to 10 mm. The Palmaz stents will be hand crimped and mounted on the dedicated Opta 5 balloon catheter (Cordis, Miami Lakes, Fl) which has been subjected to rigorous qualifying engineering tests. Occasionally, it may be necessary to use the JJIS coronary stent (PS1530, PS1535, and PS1540) which is available as part of a sheath-based delivery system in diameters of 3.0, 3.5, and 4.0mm and 15mm in length. These stents would only be used in the treatment of intra-cranial internal carotid artery disease, where the vessel size mandates use of a smaller stent and/or vessel tortuosity would preferably favor the articulated version. Importantly, placement would only be in portions of the internal carotid artery wherein bending motions of the neck and/or external compression could not deform the more delicate articulated coronary stent. Based upon others’ experiences, we predict that the coronary articulated stent would be used in <5% of treatment sites.

The chosen stent-balloon catheter assembly should be advanced across the lesion site, under fluoroscopic control and with the visual assistance of contrast injections. After confirming the ideal trans-lesion stent position, the stent should be deployed by balloon expansion for 15-30 seconds at 6-8 atmospheres pressure. The deflated balloon catheter is than removed and carotid angiography is performed to assess stent implantation results.

10) Our intention would be to cover (or span) the entire lesion length utilizing the one Wallstent whenever possible. If multiple stents are required, the procedure outlined above must be repeated. Generally, in multiple stent cases, the distal stent(s) are placed first and there is slight overlap of the stent ends.

 

11) Post-stent high pressure balloon inflations are usually required to achieve optimal stent implantation characteristics (i.e. flush apposition and full expansion). Utilizing commercially available non-compliant balloons of appropriate sixes (based on quantitative carotid angiography), one or more brief inflations (~15 seconds) will be performed @ 12 to 20 atmospheres within the stent margins. Repetitive carotid angiography will be required to determine if optimal stent expansion is achieved and the need for further post-stent balloon expansion using either higher pressures or with larger balloon catheters.

12) Final post-CSSA quantitative carotid angiography will be obtained utilizing the same pre-treatment designated views to assess angioraphic results and complications. Optimal stent expansion is defined based upon the on-line quantitative angiography and requires that there be less than 20% residual lumen diameter stenosis at all sites within the stented segment after initial deployment and subsequent post-stent high-pressure balloon dilatations.

13) After the technical portions of the CSSA procedure are completed, final intracerebral angiography is obtained in the frontal and lateral projections to be certain that significant distal embolization has not occurred and to re-assess antegrade and collateral flow patterns after restoration of normal carotid artery perfusion.

14) At the completion of the CSSA procedure, patients will return to a monitored bed in an intensive care unit setting for careful neurologic and hemodynamic valuations by a trained staff for 12 to 24 hours. Uniform post-CSSA orders for patient care will be followed. Arterial and venous sheaths will be removed as quickly as possible (when the ACT is below 150 seconds) and gradual ambulation will commence the following day.



Pharmacologic treatment regimens.

1) Calcium antagonist will be given pre-procedure (at least 24 hours if possible), during the procedure, and after the procedure (for at least 24 hours)

2) Aspirin (325 mg. Daily) should be given pre-procedure (at least 72 hours if possible), during the procedure, and after the procedure (indefinitely).

3) Ticlopidine (250 mg. twice daily ) should be given pre-procedure (at least 72 hours if possible), during the procedure, and after the procedure (for one month).

4) Heparin (intravenous) should be given during the procedure immediately after guiding catheter cannulation. The initial bolus dose of heparin should be approximately 5,000 units (with necessary weight adjustments). Additional bolus doses of heparin should be given to maintain an ACT between 150-200 seconds during the entire procedure. No heparin should be given after the procedure.

5) Thrombolytic agents may be used at the discretion of the operating physician for the treatment of distal intra-cerebral or new lesion site thrombus associated with endothelial trauma or distal embolization of thrombotic debris. The choice of thrombolytic agent would be urokinase at doses between 250,00 and 500,00 units given over 30 minutes to two hours. The urokinase would be administered locally, either via the guiding catheter or via small neurovascular catheters (0.010 inch Tracker, target Therapeutic) which would be placed in the distal cerebrovasculature. Importantly, the presence of significant intralumen thrombus is a strict contra-indication for subsequent stent placement.

Treatment failures. Under a variety of circumstances, the intended CSSA procedure may be aborted before successful completion due to technical failures, or pre-determined alternative therapies may become necessary to manage procedure-related complications.

Technical failures. Despite initial enrollment in the CSSA protocol, due to technical difficulties, successful completion may not be possible requiring alternative therapies as follows:

1) If guiding catheter, guidewire, or balloon catheter manipulation is problematic such that the carotid artery lesion cannot be successfully crossed and dilated, the CSSA procedure will be aborted and the patient will be offered elective carotid endarterectomy as alternative therapy.

2) If the carotid artery lesion can be dilated but the stent-balloon assembly cannot cross the lesion to the deploy the stent, the CSSA procedure will be aborted. If the lesion is successfully dilated by the antecedent PTA (<50% residual stenosis), no further therapy will be warranted, but if there is significant dissection at the lesion site, the patient will be offered urgent or elective carotid endarterectomy as alternative therapy.

3) If the carotid artery lesion is not fully crossed and covered (as intended) by the deployed stent, and if additional attempts to correct the incompletely treated lesion with subsequent stents are unsuccessful, the CSSA procedure will be aborted. If the lesion site is adequately treated (<50% residual stenosis and no significant dissection), no further therapy will be warranted; otherwise, the patient will be offered urgent or elective carotid endarterectomy as alternative therapy. In this situation, surgical treat-ment likely will require removal of the stent. Each of the above designated technical failures (1, 2, and 3) will be considered CSSA deployment failures.

4) If the stent is properly deployed across the carotid artery lesion, but there is incomplete expansion (>50% residual stenosis) after attempted post-stent high pressure balloon dilatations, a judgment decision will be made regarding the adequacy of the final result. Either no further therapy will be recommended or elective carotid endarterectomy will be offered. In this situation, surgical treatment likely will require removal of the stent. This technical failure (4) will be considered CSSA angiographic failure.

Procedure-related complications.

1) Transient or minor neurologic events. Intra-procedure transient or minor neurologic events will generally not require altering the CSSA therapy plan, unless continued treatment is deemed likely to exacerbate the complication.

2) Major neurologic events. Intra-procedure major neurologic events will require individualized evaluation and therapy. As appropriate, treatment alternatives will include: continued CSSA until successful completion, abort CSSA and recommend medical therapy, abort CSSA and recommend urgent or elective carotid endarterectomy, and bort CSSA but attempt neurovascular salvage procedure for distal thrombotic (selective thrombolysis and/or balloon angioplasty).

3) Stent thrombosis. Sudden closure of the CSSA treatment site with associated neurologic findings and angiographic evidence of in situ thrombus will be classified as stent thrombosis. If the event occurs in the first 24 hours after successful CSSA, it will be classified as acute thrombosis, and if the event occurs after the first 24 hours after successful CSSA, it will be classified as subacute thrombosis. Treatment of stent thrombosis will include immediate interventional recanalization of the stent site with guidewires and balloon catheters (PTA) to establish normal blood flow to the cerebral circulation. Thereafter, adjunct and definitive therapies will be recommended which may include additional CSSA (to improve initial results or treat contiguous vessel segments), local thrombolysis, long-term systemic anticoagulation or short-term systemic treatment with more potent anti-platelet agents (glycoprotein IIb/IIIa recepto blockade), and surgical endarterectomy (especially in refract-ory cases) which will require removal of the stent.

Additional monitoring techniques. In selected patients, in part limited by the availability and necessity of adjunct imaging and monitoring modalities, other intraprocedure evaluations may be performed, including (1) trans-cranial Doppler assessments, (2) electroencephalography (EEG), and (3) intra-vascular ultrasound imaging. Post-procedure additional imaging studies (other than required by the study protocol) may include CT angiography of the treatment site (@ 6 months) and head MRI (@ 30-days) to evaluate cerebral ischemia.

Post-procedure Assessments. All patients are required to participate in rigorous follow-up assessments to evaluate the safety and efficacy of the CSSA protocol. A summary of post-procedure evaluations is presented in the following table.

 

24 hours

30 days

6 months

yearly

(X5 years)

Neurological Exam

x

x

x

x

Carotid Ultrasound

x

x

x

x

Carotid Angiogram

x (optional)

 

Clinical Endpoints

x

x

x

x

Neurologic exam. Independent neurology evaluations will be performed pre-procedure, post-procedure (within 24 hours), @ 30 days, @ 6 months, @ one year, and yearly thereafter for a total of five years. In addition, formal NIH stroke scale quantitative assessment will be required for each follow-up interval.

Carotid ultrasound. Complete carotid ultrasound evaluation of the affected artery including plaque characterization data will be performed pre-procedure, post-procedure (before discharge), @30 days, @ 6 months, @ one year, and yearly thereafter for a total of five years. Interpretation and quantitative analyses will be directed by a designated expert at Borgess Medical Center. The diagnosis of within stent restenosis will require that an estimated diameter stenosis of >50% be present based upon flow velocity assessments and/or direct ultrasound sagittal view imaging of the stent and treatment site.

Carotid angiography. Repeat carotid angiography will be optional for all patients. Selective carotid angiography may be performed @ 6 months post-procedure. The follow-up study will be limited to only the treatment vessel and may be performed on an outpatient basis. When angiography is performed quantitative carotid angiographic assessments, comparing post-procedure and follow-up results will be used to determine the magnitude of late lumen loss (i.e. angiographic restenosis).

Clinical Endpoints. Clinical event tracking will require either in-hospital or office visits and/or telephone contacts by experienced members of the Research Team. Source documentation of clinical events (e.g. hospital record, catheterization reports, autopsy records, etc.) will be obtained whenever possible. Event tracking will be largely confined to important procedure-related outcomes such as minor/major neurologic events (including TIA's), death, MI (in the first 30-day post-procedure), and access site vascular complications. Clinical endpoints will be assessed pre-procedure, post-procedure (before discharge), @ 30 days, @ 6 months, @ one year, and yearly thereafter for a total of five years.

 

 

STUDY ENDPOINTS

Primary endpoint. A composite 30-day clinical success endpoint defined as angiographic success, without death, MI, or major neurologic event determined using a hierarchical classification scheme approved by the Collaborating investigators. The composite endpoint will comprise the following events:

Angiographic success. For all treatment sites, <50% residual diameter stenosis after CSSA, as calculated by the core angiographic laboratory (measurements made using conventional NASCET methodology).

Death. All cardiovascular, neurologic and "miscellaneous" deaths will be recorded. Any unexplained death without clear etiology will be attributed to neurologic causes. A detailed description of the circumstances surrounding the patient's death will be provided to the IRB.

Myocardial infarction. All patients will have cardiac enzyme and isoen-zyme measurements obtained on the morning after CSSA . Similarly, ECG's will be obtained post-CSSA and on the following morning. All Q-wave myocardial infarctions and significant non-Q wave myocardial infarctions (>5X normal CPK MB fraction) will be included in the composite primary endpoint.

Major neurologic event. A major stroke resulting in permanent disabling neurologic deficit. Such events are characterized by inability to work with or without required nursing assistance for self-care. Major strokes may be further subcategorized by dominant or non-dominant hemispheric events.

Secondary endpoints. Pre-specified secondary safety and efficacy endpoints will comprise the following events:

Major complications. The composite endpoint of major complications will include all deaths, MI's, or major neurologic events occurring in-hospital or within 30 days.

Minor neurologic events. This endpoint refers to all non-major strokes or other neurologic events including (1) transient ischemic attacks (TIA - a neurologic deficit resolving within 24 hours), (2) reversible ischemic neurological deficits (RIND - a neurologic deficit resolving within 7 days), and (3) minor strokes resulting in a permanent neurologic deficit in a patient who is still able to work or function but has a minor deficit such as an incomplete visual field cut or clumsiness in one hand or arm.

Angiographic success.

Death or recurrent neurologic events. This composite endpoints comprises all deaths (stroke-related) or neurologic events (major or minor) occurring after 30 days and within the one year follow-up period.

Clinical or Ultrasound Determined Restenosis. This dichotomous endpoint includes all lesions with >50% diameter stenosis during 6-month follow-up.

REQUIRED DATA

All required data for this pilot registry study will be collected on standardized Case Report Forms accompanying this protocol.

 

UNANTICIPATED AND ANTICIPATED ADVERSE EVENTS

Unanticipated adverse device effects. Unanticipated adverse device effects are defined as adverse effects on the health or safety or any life-threatening problem or death caused by or associated with a device, if that effect, problem, or death was not previously identified in nature, severity, or degree of incidence in the study plan, or any other unanticipated serious problem associated with a device that relates to the rights, safety, or welfare of subjects.

Anticipated adverse events. The following events have been identified as possible (anticipated) adverse events of CSSA: death, emergent repeat hospital intervention, distal embolization, infection, vessel rupture, acute or subacute stent thrombosis, dissection, arrthythmias (including bradycardia), hypotension, allergic reaction, TIA's, RIND, minor stroke, major stroke, balloon rupture, myocardial infarction, vessel spasm, hemorrhage, restenosis, stent migration, failure to deliver the stent to the intended site, perforation, hematoma, fever, renal failure, stent compression pseudoanuerysm, and arterio-venous fistula.

All anticipated and unanticipated adverse events and deaths must be reported immediately to the Borgess Medical Center Institutional Review Board.

 




STATISTICAL CONSIDERATIONS AND ANALYSIS PLAN

Interim analyses and stopping rules. An interim analysis of all primary and secondary endpoints (when appropriate) will be performed after the first 25 consecutive patients have analyzable 30-day data. Unacceptable adverse events for this small population would require that a frequency of twice greater than the reported frequency from the described control populations occurs after stent implantation. For instance, in the subgroup of patients with asymptomatic carotid disease, ACAS reports a 3% mortality/major stroke frequency. If our results indicate a greater than 6% adverse event rate (death and major stroke), this would be an indication for prematurely terminating the registry. In the symptomatic patient group, NASCET reports a 5% overall morality/major stroke rate. Again, if in symptomatic patients the adverse event rate was >10%, this would also constitute sufficient indication to prematurely terminate the study. Importantly, as described above, low (or usual) risk patients will be analyzed separately from the pre-specified high risk patient cohort and stopping rules will vary depending upon the patient risk profile. Given the small number of patients we believe that these general stopping rules provide strict control of adverse events with early opportunity to terminate or revise the investigation, should we exceed published expectations.

Analyses of the results. The trial endpoints will be analyzed on an intention-to-treat basis. Those patients who meet eligibility requirements for primary endpoint ascertainment include all patients who are not deregistered and who are available for clinical and other study follow-up determinations. A per protocol" analysis will also be performed on those patients who are not deregistered, who have had successful CSSA treatment (comprising angiographic success and no procedure-related death, MI, or major neurologic event), and who are available for clinical and other study follow-up determinations.

In a small consecutive case registry cohort, it becomes difficult to compare the data with control populations. Our plan was to attempt data comparisons with previous randomized trials comparing carotid endarterectomy versus medical therapy and other historical control groups. For instance, in asymptomatic patients, we would compare the data to carotid endarterectomy therapy as reported in the ACAS investigation. Similarly, for appropriate symptomatic patients who fulfill the inclusion criteria, we would compare data with the NASCET investigation. Finally, in more complex lesion and clinical situations, wherein patients might otherwise have been excluded from either of these randomized surgical endarterectomy trials, we would compare data with published historical series including the Mayo Clinic Sunlit classification/ complications scheme utilized by many practicing neurologist and vascular surgeons to properly assign patient risks.

Multivariable testing will use linear regression for continuous response variables and logistic regression for dichotomous response variables. The time-sensitive nature of any response variable may be displayed by using a Kaplan-Meier plot, while differences among and between groups may be tested by log rank.

 

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