الأحد، 26 أغسطس 2012

Reporting of conflicts of interest from drug trials in Cochrane reviews: cross sectional study

Reporting of conflicts of interest from drug trials in Cochrane reviews: cross sectional study | BMJ

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Research Reporting of conflicts of interest from drug trials in Cochrane reviews: cross sectional study BMJ 2012; 345 doi: 10.1136/bmj.e5155 (Published 21 August 2012) Cite this as: BMJ 2012;345:e5155 Epidemiologic studies Competing interests (ethics) Clinical trials (epidemiology) Article Related content Article metrics Michelle Roseman, master’s student1, Erick H Turner, assistant professor2, Joel Lexchin, professor3, James C Coyne, professor4, Lisa A Bero, professor5, Brett D Thombs, associate professor1
1Lady Davis Institute for Medical Research, Jewish General Hospital and McGill University, Montreal, Quebec, Canada, H3T 1E4
2Department of Psychiatry, Oregon Health and Science University and Portland Veterans Affairs Medical Center, Portland, OR, USA
3School of Health Policy and Management, York University, Toronto, ON, Canada
4Department of Health Science, Health Psychology Section, University Medical Center Groningen, University of Groningen, Netherlands
5Department of Clinical Pharmacy, School of Pharmacy and Institute for Health Policy Studies, School of Medicine, University of California, San Francisco, USACorrespondence to: B D Thombs brett.thombs{at}mcgill.caAccepted 12 July 2012AbstractObjectives To investigate the degree to which Cochrane reviews of drug interventions published in 2010 reported conflicts of interest from included trials and, among reviews that reported this information, where it was located in the review documents.

Design Cross sectional study.

Data sources Cochrane Database of Systematic Reviews.

Selection criteria Systematic reviews of drug interventions published in 2010 in the Cochrane Database of Systematic Reviews, with review content classified as up to date in 2008 or later and with results from one or more randomised controlled trials.

Results Of 151 included Cochrane reviews, 46 (30%, 95% confidence interval 24% to 38%) reported information on the funding sources of included trials, including 30 (20%, 14% to 27%) that reported information on trial funding for all included trials and 16 (11%, 7% to 17%) that reported for some, but not all, trials. Only 16 of the 151 Cochrane reviews (11%, 7% to 17%) provided any information on trial author-industry financial ties or trial author-industry employment. Information on trial funding and trial author-industry ties was reported in one to seven locations within each review, with no consistent reporting location observed.

Conclusions Most Cochrane reviews of drug trials published in 2010 did not provide information on trial funding sources or trial author-industry financial ties or employment. When this information was reported, location of reporting was inconsistent across reviews.

IntroductionConcerns are ongoing about the influence on the medical evidence base of conflicts of interest stemming from links between researchers and drug manufacturers.1 2 A conflict of interest has been defined by the Institute of Medicine as “a set of circumstances that creates a risk that professional judgment or actions regarding a primary interest will be unduly influenced by a secondary interest.”3 Conflicts of interest due to research funding and other financial relations can influence how drug trials are designed and carried out,1 4 the likelihood that results will support a sponsor’s drug,5 6 7 8 9 whether or not results will be published,10 11 12 and how results will be interpreted in trial reports and articles about drug trials.10 12 13 14 Similarly, industry support of systematic reviews and meta-analyses, including financial ties of the authors of the reviews, has been associated with conclusions more likely to favour a sponsor’s drug compared with systematic reviews and meta-analyses not linked to industry.15 16 As a result, research reporting guidelines now routinely recommend that study funding and author-industry financial ties be disclosed in published research reports, including reports of systematic reviews and meta-analyses.17 18 19 20 Guidelines for systematic reviews and meta-analyses do not, however, require review authors to report conflicts of interest from trials included in the reviews.19 21 In this context, a recent study found that only two of 29 meta-analyses of drug trials published in high impact biomedical journals reported the funding sources of included drug trials, and none reported author-industry financial ties from included trials.22

Systematic reviews and meta-analyses produced by the Cochrane Collaboration are widely recognised as setting the standard for the evaluation of healthcare interventions.23 24 25 26 As evidenced by substantial ongoing funding to the Cochrane Collaboration by major governmental agencies,27 28 29 along with Cochrane’s partnerships with the World Health Organization30 and other key healthcare organisations,31 the Cochrane Collaboration plays an important part in the development of healthcare policies around the world. The Cochrane Collaboration also plays a key part in the training of health researchers27 and influences how both Cochrane and non-Cochrane systematic reviews and meta-analyses are conducted and reported. The Cochrane Handbook for Systematic Reviews of Interventions,21 32 which describes the Cochrane Collaboration’s methodology for review conduct and reporting, is a widely cited source of guidance on systematic review and meta-analysis methodology. The current version of the Cochrane Handbook (March 2011)21 and the previous version (September 2008),32 which guided reviewers until recently, indicate that review authors should extract data on the funding source of included trials and may consider extracting data on trial author-industry financial ties.33 34 Both versions make reporting information on trial funding in reviews optional and indicate that, if reported, it should be included in the table on characteristics of included studies.35 36 Whereas the previous edition (September 2008)32 suggested that potential bias related to study sponsorship could optionally be incorporated into the risk of bias assessment,37 the current version of the handbook (March 2011)21 states that information on conflicts of interest from included trials should not be included in the risk of bias assessment.38

We investigated the extent to which systematic reviews of drug treatments published in 2010 in the Cochrane Database of Systematic Reviews reported funding sources, author-industry financial ties, and author-industry employment from included trials. Among reviews that reported such information, we also determined where it was located in the published Cochrane review document.

MethodsSelection of systematic reviewsWe searched the Cochrane Database of Systematic Reviews through the Cochrane Library on 28 March 2011, using the MeSH term “drug therapy,” to identify Cochrane reviews of drug interventions published in 2010. Cochrane reviews are published in the Cochrane Database of Systematic Reviews when new and when updates (that is, a new search) or amendments (that is, edited to make corrections or to reflect changes in methodology) are made to previously published reviews. Because reporting standards are evolving, we restricted the search to this one year period to obtain recent systematic reviews, with or without meta-analyses, that reflected relatively current reporting practices.19 20

Eligibility criteriaCochrane reviews published in 2010 were eligible if they included a documented systematic review of the literature classified by Cochrane as up to date in 2008 or later,39 included results from at least one randomised controlled trial, and evaluated the efficacy, effectiveness, or harm of a drug or class of drug against an alternative treatment (for example, placebo, alternative drug). We excluded reviews that only assessed different methods for administering a drug or dosage schedules of that drug. Drugs were defined broadly to include biologicals and vaccines but not nutritional supplements (for example, vitamins) or medical devices without a drug component. We included reviews that investigated a combination of drug and non-drug interventions (for example, psychotherapy), or interventions that may or may not involve a drug (for example, amnioinfusion), if a study group was exclusively given a drug intervention or if the review assessed the addition of a drug to a treatment received by both intervention and control groups. Interventions were classified as having a drug component if any form of the active ingredient (for example, dosage, route, strength, compound) was listed as an approved or discontinued brand name, generic drug, or therapeutic biological product by the US Food and Drug Administration.40 For agents not listed in the Drugs@FDA database,40 we determined drug status on the basis of consensus among investigators, using publically available sources that provided information on a particular agent.

Two investigators independently reviewed Cochrane reviews for eligibility. If either reviewer deemed a review to be potentially eligible based on review of the title and abstract, then we carried out a review of the full text. Two reviewers also independently carried out full text reviews, with any disagreements resolved by consensus. Cohen’s ? statistic was used to assess agreement between reviewers corrected by chance.

Data extractionTwo investigators independently extracted and entered into a standardised spreadsheet data items from the Cochrane reviews, with any discrepancies resolved by consensus. Investigators reviewed all text, tables, figures, appendices, disclosure statements, and acknowledgments from each Cochrane review to record disclosed conflicts of interest from each selected Cochrane review (review funding source and review author-industry financial ties). They also determined whether or not conflicts of interest from included trials (trial funding sources, trial author-industry financial ties, or trial author-industry employment) were reported in the reviews. Data items were extracted only from the included Cochrane reviews and not from any additional sources, such as online Cochrane resources (see supplementary appendix 1 for data extraction forms).

We extracted the funding sources for the Cochrane reviews from the sources of support declaration or acknowledgments and classified them as non-industry (for example, public granting agency, private not for profit granting agency), combined pharmaceutical industry and non-industry, or none reported (review not funded or review funding information not disclosed). Financial ties of review authors to industry were defined per the July 2010 version of the International Committee of Medical Journal Editors uniform disclosure form for potential conflicts of interest20 and included current or former board membership, current or former consultancy work, current or former industry employment, expert testimony, industry grants (issued or pending), payment for lectures including service on speakers bureaus, payment for manuscript preparation, patents (planned, pending, or issued), royalties, payment for development of educational presentations, stock or stock options, travel reimbursement, or other relations with industry, as disclosed in the review. If a review did not contain a disclosure statement, we coded review author-industry financial ties as not reported.

For each Cochrane review we also recorded whether the review reported information on the following types of conflicts of interest from included trials: trial funding sources, trial author-industry financial ties, and trial author-industry employment. For each of these types of conflicts of interest from included trials, we coded the reviews as reporting fully (reporting for all included trials), partially (reporting for some, but not all, included trials), or not reporting. We coded reviews as not reporting trial funding sources if they included data from pharmaceutical industry databases or noted that trial drugs were supplied by the manufacturers for certain trials but did not make any explicit statement of trial funding sources. For Cochrane reviews that reported information on conflicts of interest from included trials either fully or partially, we recorded where the information was reported. Specifically, we recorded whether the information was reported in the context of the risk of bias assessment (text, figure, or risk of bias table attached to the table showing the characteristics of the included studies) or outside of the context of the risk of bias assessment, including the text, the characteristics of included studies table, other table, the abstract, the plain language summary, in a footnote of a summary of findings table, or in the context of sensitivity analyses. In addition to coding whether conflicts of interest from included trials were reported in the Cochrane reviews, we coded whether the review’s reported data extraction protocol included extracting data on trial funding sources and trial author-industry financial ties or employment (yes, no, could not be determined).

A protocol was not published or registered for the present study. However, all methods were determined a priori with two exceptions. Firstly, during data extraction we added the classification of Cochrane reviews as funded by “combined industry and non-industry” sources. This was because, although the Cochrane Handbook states that commercial funding of reviews is prohibited,41 we encountered three Cochrane reviews where industry funding sources, along with non-industry funding sources, were listed. Secondly, our initial review protocol indicated that Cochrane reviews would be coded as either reporting or not reporting conflicts of interest information from included trials. We added the fully and partially reporting classifications because some reviews provided information on some, but not all, included trials. This occurred, for instance, when reviews mentioned a subset of included trials as funded by industry but did not provide information on the funding status of other trials (non-industry funding, no trial funding, not reported).

ResultsThe electronic database search yielded 272 unique titles and abstracts for review. Of these, 110 were excluded after review of the title and abstract because, although published in 2010, the review content was not classified as being up to date as of 2008 or later, no randomised controlled trials were included in the review, or the review did not assess the efficacy, effectiveness, or harm of a drug or class of drug against an alternative treatment. Of the 162 Cochrane reviews that underwent review of the full text, 11 were excluded because they were not systematic reviews of the efficacy, effectiveness, or harm of a drug or class of drug against an alternative treatment, leaving 151 eligible systematic reviews (figure?). Chance corrected agreement on inclusion and exclusion decisions between reviewers, as assessed with the Cohen’s ? statistic, was 0.95.

View larger version:In a new windowDownload as PowerPoint SlideFlow chart of selection of Cochrane reviews of drug trials published in 2010 with searches up to date as of 2008 or later

The 151 selected Cochrane reviews evaluated a broad range of drug interventions, including 18 on treatment efficacy or effectiveness, two on harms, and 131 on both efficacy or effectiveness and harms. Between one and 121 trials were included in each systematic review. The content of 27 Cochrane reviews (18%) was classified as up to date in 2008, 59 (39%) in 2009, and 65 (43%) in 2010. The review status of 39 reviews (26%) was listed as “new,” 51 (34%) as “new search” with or without a change to review conclusions, 50 (33%) as “edited” (that is, any modification which does not involve a search for new studies) with or without a change to review conclusions, and 11 (7%) as “stable” (that is, no further changes expected to the review). The 151 selected Cochrane reviews included systematic reviews from 36 of the 53 Cochrane Review Groups that were registered in 2010. (See supplementary appendix 2 for the characteristics of the 151 selected Cochrane reviews.)

Review funding and review author-industry financial ties of Cochrane reviewsOf the 151 selected Cochrane reviews, 125 (83%) reported review funding from non-industry sources, three (2%) reported review funding from both pharmaceutical industry and non-industry sources, three (2%) stated that the review was not funded, and 20 (13%) did not include a sources of support declaration (see supplementary appendix 2). Of the three reviews that reported funding from both industry and non-industry sources, we were able to clarify that for two studies this referred to previous funding to the authors unrelated to the review itself (personal communication, Christopher Eccleston, coordinating editor, Cochrane Pain, Palliative, and Supportive Care Review Group, 10 April 2012); for the third study, this reflected a contribution from Merck for a previous version of a review that had been carried out from 1998 to 2000, before the 2004 Cochrane policy that prohibited industry funding of reviews (personal communication, Jackie Price and Gerry Stansby, coordinating editors, Cochrane Peripheral Vascular Diseases Review Group, 4 May 2012). In 42 of the 151 Cochrane reviews (28%, 95% confidence interval 21% to 35%), at least one review author reported one or more financial ties to the pharmaceutical industry (see supplementary appendix 3).

Reporting in Cochrane reviews of trial funding sourcesForty six of the 151 selected Cochrane reviews (30%, 95% confidence interval 24% to 38%) reported information on the funding source of least some of the included trials. Thirty reviews (20%, 14% to 27%) reported information on trial funding for all included trials and 16 (11%, 7% to 17%) reported for some, but not all, included trials (table 1?; also see supplementary appendix 4). Four Cochrane reviews did not report or partially reported trial funding sources, but did state that the trial drug was provided by a pharmaceutical company for at least some trials (see supplementary appendix 5). One hundred and five Cochrane reviews did not report trial funding sources (70%, 62% to 76%), including (based on data extraction protocols) 11 reviews (7%) that recorded, but did not report, trial funding sources, 16 (11%) that provided a data extraction protocol that did not list trial funding source information, and 78 (52%) for which it could not be determined whether or not data on trial funding sources had been collected.

View this table:View PopupView InlineTable 1 Reporting of trial funding sources, trial author financial ties to the pharmaceutical industry, and trial author employment by the pharmaceutical industry among 151 Cochrane reviews of drug trials published in 2010*

Among the 46 Cochrane reviews that reported any trial funding sources, partially or fully, this information was reported in as few as one and as many as seven locations in each review. In all, 22 different reporting patterns (see supplementary appendix 6) were observed. In each of the 46 Cochrane reviews that reported trial funding sources partially or fully, this information was reported in at least one of four locations in the review: in the risk of bias section of the text, in the risk of bias table attached to the characteristics of included studies table, in other text, or in a part of the characteristics of included studies table other than the risk of bias table. Trial funding source was reported in the context of the risk of bias assessment in 28 of the 151 Cochrane reviews (19%), including eight (5%) that reported this information in the risk of bias text only, four (3%) that reported in the risk of bias table only, 14 (9%) that reported in both of these locations, and two (1%) that reported in both of these locations plus the risk of bias figure. Twenty four reviews (16%) reported the sources of trial funding in other text, and 24 (16%) reported the sources of trial funding in the characteristics of included studies table in the “methods” or “notes” fields. Information on trial funding source was reported in other locations less often, including another table (one review, 1%), a footnote in a summary of findings table (five reviews, 3%), the abstract (one review, 1%), the plain language summary (two reviews, 1%), and in the context of sensitivity analyses (six reviews, 4%) (table 2?; see also supplementary appendix 4).

View this table:View PopupView InlineTable 2 Summary of reporting patterns of the 46 of 151 Cochrane reviews of drug trials published in 2010 that reported trial funding sources, trial author financial ties to the pharmaceutical industry, and trial author employment by the pharmaceutical industry*

Partial or full information on trial funding sources was reported in 16 of 39 reviews with “new” status (41%, 95% confidence interval 27% to 57%) and 30 of 112 reviews with an updated or amended status (27%, 19% to 36%), including 17 of 50 reviews with “edited” status (34%, 22% to 48%), 11 of 51 reviews with “new search” status (22%, 12% to 35%), and two of 11 reviews with “stable” status (18%, 5% to 48%). Trial funding source was partially or fully reported in nine of 27 reviews classified as up to date in 2008 (33%, 19% to 52%), 18 of 59 classified as up to date in 2009 (31%, 20% to 43%), and 19 of 65 classified as up to date in 2010 (29%, 20% to 41%).

Reporting in Cochrane reviews of trial author-industry financial ties and trial author-industry employmentSixteen (11%, 95% confidence interval 7% to 17%) of the 151 Cochrane reviews reported trial author-industry financial ties or employment by industry. Eleven reviews (7%, 4% to 11%) reported information on author-industry financial ties from included trials, including two (1%) that reported for all included trials and nine (6%) that reported for some, but not all, included trials. Ten reviews (7%, 4% to 12%) partially reported trial author employment by industry, and none reported this fully. Of the 10 reviews that reported trial author-industry employment for some included trials, five also partially reported other trial author-industry financial ties (table 1; see also supplementary appendix 4). All of the reviews that reported information on trial author-industry financial ties or trial author-industry employment reported information on trial funding sources. All studies that extracted trial author-industry financial ties or employment data reported it in the review. In addition, in 30 reviews (20%) the data extraction protocols indicated that this information was not extracted and 105 (70%) did not provide enough information to determine if this information had been extracted.

Trial author-industry financial ties or employment by industry were reported in between one and three locations in each review that reported this information. Information on trial author-industry financial ties or employment was reported in the context of the risk of bias assessment in 15 reviews (10%), including five (3%) that reported this information only in the risk of bias section of the text, seven (5%) only in the risk of bias table, two (1%) in both locations, and one (1%) in both locations plus the risk of bias figure. Trial author-industry financial ties or employment were reported in other review text in three reviews (3%) and in the characteristics of included studies table in one review (1%) (table 2; see also supplementary appendix 4).

Reporting in Cochrane reviews of trial funding, trial author-industry financial ties, and trial author-industry employmentOverall, considering either partial or full reporting, 30 Cochrane reviews (20%) reported only information on trial funding sources, six reported on trial funding sources and trial author-industry financial ties (4%), five on trial funding sources and trial author-industry employment (3%), and five on all three (3%). Considering only full reporting, 28 reviews (19%) reported only on trial funding sources and two reviews reported on trial funding sources and trial author-industry financial ties (1%).

Of the 42 Cochrane reviews that had at least one review author with disclosed financial ties to industry, 12 (29%) reported information on trial funding sources compared with 34 of 109 reviews (31%) in which no review authors disclosed financial ties to industry. Two of 42 Cochrane reviews (5%) with review author ties to industry reported trial author-industry financial ties or employment by industry from included trials, compared with 14 of 109 Cochrane reviews (13%) without review authors with disclosed financial ties to industry.

DiscussionLess than a third of 151 Cochrane reviews of drug trials published in 2010 reported the funding source of any included trials, with only a fifth providing funding information for all included trials. Information on the funding source of any included trials was reported at a somewhat higher rate among new reviews (41%) than updated or amended reviews (27%). About 1 in 10 Cochrane reviews reported on trial author-industry financial ties, including employment of the trial author by the pharmaceutical industry, for at least some included trials. When Cochrane reviews did report on conflicts of interest from included trials, the location where this information was reported was inconsistent across reviews. The 46 Cochrane reviews that provided partial or full information on trial funding sources did so in between one and seven locations within each review, with more than 20 different patterns observed for reporting this information. Only one Cochrane review reported information on conflicts of interest from included trials in the review abstract.

Comparison with other studiesTransparent disclosure of conflicts of interest is increasingly emphasised as an important component in the reporting of results from both clinical trials and systematic reviews, including meta-analyses.17 18 19 20 However, a recent study found that only 7% of meta-analyses of drug trials published in high impact biomedical journals included information on trial funding disclosed in original trials, and none reported on trial author-industry financial ties or employment disclosed in the original trial publications.22 The results of the present study show that, although Cochrane reviews reported trial funding sources and trial author-industry financial ties or employment at a higher rate than non-Cochrane reviews published in high impact journals, information on conflicts of interest from included trials was absent from most Cochrane reviews. This gap in the reporting of conflicts of interest from included trials in Cochrane reviews is important because systematic reviews and meta-analyses of drug efficacy or effectiveness and safety are relied on by clinicians and policy makers,42 43 and Cochrane reviews have been found to be a high quality source of evidence on which to base decisions about healthcare interventions.23 24 25 26 Furthermore, the Cochrane Collaboration is an international leader in setting standards for the conduct and reporting of systematic reviews, including meta-analyses, of healthcare evidence.

Policy implicationsAuthors of systematic reviews and meta-analyses are guided by the preferred reporting items for systematic reviews and meta-analyses (PRISMA) statement, which does not address the reporting of trial funding and author-industry financial ties from included trials.19 44 Authors of Cochrane reviews are additionally expected to adhere to practice recommendations described in the Cochrane Handbook for Systematic Reviews of Interventions,21 32 which is widely used in practice by authors of both Cochrane and non-Cochrane reviews as a primary source of systematic review and meta-analysis methodology.21 32 Both the current version of the handbook (March 2011),21 which presently guides reviewers, and the previous version (September 2008),32 which served as the standard setter at the time the included Cochrane reviews were done, updated, or amended, state that data on trial funding should be collected in all reviews.33 34 However, neither requires that trial funding sources be reported. Both versions of the handbook suggest that the authors of reviews may optionally include trial funding source as an additional field in the characteristics of included studies table.35 36 The 2008 edition of the handbook suggested that potential bias related to the influence of trial sponsors could be considered in an optional “other sources of bias” domain of the risk of bias tool.37 In contrast, the 2011 edition specifies that this information should not be incorporated in the risk of bias assessment.38 Both versions of the handbook mention that review authors may consider extracting data on trial author-industry financial ties but do not specify if and where this information should be reported.33 34

The results of the present study suggest that, without a more explicit reporting policy, conflicts of interest from included trials will not be reported in most Cochrane reviews. Given the well documented influence of industry funding of drug trials on their conduct, interpretation, and reporting,1 4 5 6 7 8 9 10 12 the Cochrane handbook and the PRISMA statement should be updated to require authors of systematic reviews and meta-analyses to report the funding sources of all included trials or to report that trial funding sources were not disclosed. Some Cochrane reviews indicated that a subset of trials in the reviews were funded by industry, but did not report the funding status of other trials (non-industry funding, no trial funding, not reported). As noted previously,22 if the funding source of included trials is only partially reported, readers might assume that the funding sources of other trials were available but not recorded, leaving them unsure as to how to interpret potential bias related to the funding sources of those trials. Alternatively, readers might assume that review authors indeed recorded the funding sources of all included trials, but only reported those with industry funding. This assumption may not be correct, and the potential for conflicts of interest related bias may be different for trials that did not report their funding source compared with trials that reported non-industry funding or trials that were not funded.

Beyond study funding, consumers of research consider conflicts of interest from trial author-industry financial ties and employment as relevant to appraising the likelihood of bias in trials.45 46 47 Authors of the Cochrane handbook and the PRISMA statement should also consider recommending that review authors record and report information on trial author-industry financial ties or employment as disclosed in the original trials (for example, number of trial authors with disclosed industry financial ties or employment, or that there was no disclosure statement).

Cochrane reviews that do report information on conflicts of interest in trials do not consistently do so in the same location of the review document. Thus, along with an explicit recommendation for reporting conflicts of interest from all included trials, greater emphasis should be placed on ensuring that this information can be easily found without readers having to inspect the entirety of the (typically lengthy) review document. The Cochrane handbook suggests that authors of Cochrane reviews may optionally add up to three extra fields to the characteristics of included studies table, including one to report information on trial funding.35 36 When the source of trial funding was reported in the characteristics of included studies table, however, this information was always reported in either the “methods” or “notes” fields of the table, both of which are required fields. The inclusion of “study funding” and “author-industry financial ties or employment” fields as required fields of the characteristics of included studies table would encourage more consistent reporting.

Finally, we recommend that the Cochrane Collaboration reconsider its position that trial funding and trial author-industry financial ties not be included in the risk of bias assessment. The 2008 version of the Cochrane handbook listed “inappropriate influence of funders” (section 8.14.1.6) (for example, data owned by industry sponsor) as a potential source of bias that review authors could optionally incorporate in the “other sources of bias” domain of the Cochrane risk of bias tool.37 The 2011 version of the handbook, however, argues that “vested interests” should not be included in the risk of bias assessment, which “should be used to assess specific aspects of methodology that might be been influenced by vested interests and which may lead directly to a risk of bias” (section 8.15.1.5).38 As previously noted,22 empirical criteria are generally used to select items (for example, sequence generation, blinding) that are included in assessments of risk of bias,38 48 including evidence of a mechanism, direction, and likely magnitude of bias. Empirical data show that trial funding by pharmaceutical companies and trial author-industry financial ties are associated with a bias towards positive results even when controlling for other study characteristics6 8 49 50 and, thus, meet these criteria. One concern might be that including conflicts of interest from included trials in the risk of bias assessment could result in “double counting” of potential sources of bias. However, ratings in the risk of bias table are not summed to a single score, and inclusion of risk of bias from conflicts of interest could reflect mechanisms through which industry involvement can influence study outcomes6 that are not fully captured by the current domains of the risk of bias tool (random sequence generation, allocation concealment, blinding of participants and staff, blinding of outcome assessment, incomplete outcome data, selective reporting, and other sources of bias). Furthermore, even if all relevant mechanisms were to be assessed, the degree of their influence may not be fully captured when reviewers only have access to the relatively brief descriptions of trial methods that are provided in most published reports. Inclusion of conflicts of interest from included trials in the risk of bias assessment would encourage a transparent assessment of whether industry funded trials and independently conducted trials reach similar conclusions. It would also make it explicit when an entire area of research has been funded by industry and would benefit from outside scrutiny.

Coding trial funding sources can be complex, and it may not always be clear to what degree different funders played a part in a given study. There are other examples, however, where risk of bias is coded even though the degree of potential bias may not be easily assessed from information available in trial reports. For instance, the degree to which trial participants and outcome assessors are successfully blinded is not always easily determined by review authors, but is rated as accurately as possible on the basis of available information. A reasonably simple system would be to code trial funding as pharmaceutical industry, non-industry (for example, public granting agency, private not for profit granting agency), combined pharmaceutical industry and non-industry, non-industry with study drug supplied by pharmaceutical industry, no study funding, or not reported.22

Limitations of the studyLimitations should be considered in interpreting results from this study. Firstly, most (74%) of the included Cochrane reviews published in 2010 were either updates or amendments (that is, review status of “new search,” “edited,” or “stable”), for which it is not known which version of the Cochrane handbook review authors might have consulted. However, the 39 reviews with “new” status reported trial funding sources (partially or fully) at only a somewhat higher rate (41%) than updated or amended (for example, status of “new search,” “edited,” or “stable”) reviews (27%), and most of the “new” reviews did not report this information. Secondly, the small number of reviews from each of the Cochrane Review Groups, which support review authors who carry out reviews in a particular content area, did not allow us to assess whether there may be differences across groups in reporting of conflicts of interest from included trials. Thirdly, we did not review the original reports of drug trials included in the Cochrane reviews to determine how many of these included disclosures of trial funding source or trial author-industry financial ties. However, we previously found that 63% of randomised controlled trials included in meta-analyses published in high impact biomedical journals reported the trial funding source in the original published reports, and 26% of the randomised controlled trial reports included financial disclosures by the trial authors.22 Regardless of the actual rate of original disclosure, systematic reviews and meta-analyses should transparently report whether, in each original trial, conflicts of interest are present, absent, or not disclosed. Finally, we searched the Cochrane Database of Systematic Reviews through the Cochrane Library using the MeSH term “drug therapy,” to identify Cochrane reviews of drug trials. It is possible that our search strategy may have missed potentially eligible reviews. However, we have no reason to believe that this would have biased our findings on the proportion of Cochrane reviews reporting conflicts of interest information from included trials.

ConclusionsIn summary, the Cochrane Collaboration is a recognised leader in the establishment of methodology for the conduct and reporting of evidence based reviews. This study, however, found that most Cochrane reviews of drug trials did not report information on trial funding sources or trial author-industry financial ties, including employment, from included trials. When this information was reported, patterns of reporting were inconsistent across Cochrane reviews. Cochrane and the PRISMA statement should require the reporting of conflicts of interest from included trials in systematic reviews and meta-analyses. Cochrane should ensure that this information is reported in the same way across reviews, including in the abstract, which would be consistent with the consolidated standards of reporting trials (CONSORT) recommendation that funding information be reported in the abstracts of journal articles.17 18 Cochrane should also give consideration to including conflicts of interest from trial funding and trial author-industry financial ties as part of the risk of bias tool and assessment.

What is already known on this topicGuidelines for systematic reviews and meta-analyses do not require authors to describe conflicts of interest from included trials

A study found that meta-analyses of drug trials published in high impact biomedical journals rarely reported the funding sources of included trials, and none noted trial author-industry financial ties

It is not known to what degree this information is reported in Cochrane reviews, which set the standard for the conduct and reporting of high quality evidence based reviews

What this study addsMost Cochrane reviews of drug trials published in 2010 did not report information on trial funding sources or trial author-industry financial ties, including employment, from included trials

When information was reported, it was not consistently reported in the same location across Cochrane reviews

Cochrane and the PRISMA statement should require reviews to report conflicts of interest from included trials in a way that is consistent across reviews, and Cochrane should include this information as part of risk of bias assessment

NotesCite this as: BMJ 2012;345:e5155

FootnotesContributors: MR contributed to the study design, reviewed articles for inclusion, carried out the data extraction, contributed to the analysis, interpretation, and presentation of the data, and drafted the manuscript with the input of BDT and the other authors. EHT, JL, JCC, and LAB contributed to the study design and contributed a critical revision of the manuscript. BDT was responsible for the study concept and design, reviewed articles for inclusion, carried out the data extraction, contributed to the analysis, interpretation, and presentation of the data, consulted with MR on the drafting of the manuscript, and contributed a critical revision of the manuscript. He is the guarantor. All authors had full access to all of the data (including statistical reports and tables) in the study and can take responsibility for the integrity of the data and the accuracy of the data analysis.

Funding: MR was supported by a Frederick Banting and Charles Best Canadian graduate scholarship-master’s award from the Canadian Institutes of Health Research, a master’s training award from the Fonds de la Recherche en Santé Québec, a McGill University provost’s graduate fellowship, and a McGill University principal’s graduate fellowship. BDT was supported by a new investigator award from the Canadian Institutes of Health Research and an Établissement de Jeunes Chercheurs award from the Fonds de la Recherche en Santé Québec. This study received no funding, and no funding body had any input into any aspect of the study.

Competing interests: All authors have completed the ICMJE uniform disclosure form at www.icmje.org/coi_disclosure.pdf (available on request from the corresponding author) and declare that: no authors had any financial support for the submitted work; JL was a consultant to a law firm representing Apotex in 2007, a consultant to the Canadian federal government in a lawsuit challenging the Canadian ban on direct to consumer advertising of prescription drugs in 2007-08, and a consultant to a law firm representing a plaintiff in a case against Allergan in 2010; LAB has received a grant from the Cochrane Collaboration Methodological Fund to examine how systematic reviewers identify unpublished drug trial data, and is an active member of the Cochrane Collaboration.

Ethical approval: Not required.

Data sharing: No additional data available.

This is an open-access article distributed under the terms of the Creative Commons Attribution Non-commercial License, which permits use, distribution, and reproduction in any medium, provided the original work is properly cited, the use is non commercial and is otherwise in compliance with the license. See: http://creativecommons.org/licenses/by-nc/2.0/ and http://creativecommons.org/licenses/by-nc/2.0/legalcode.

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Integration of balance and strength training into daily life activity to reduce rate of falls in older people (the LiFE study): randomised parallel trial

Integration of balance and strength training into daily life activity to reduce rate of falls in older people (the LiFE study): randomised parallel trial | BMJ

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Research Integration of balance and strength training into daily life activity to reduce rate of falls in older people (the LiFE study): randomised parallel trial BMJ 2012; 345 doi: 10.1136/bmj.e4547 (Published 7 August 2012) Cite this as: BMJ 2012;345:e4547 Sociology This article has a correctionPlease see: Integration of balance and strength training into daily life activity to reduce rate of falls in older people (the LiFE study): randomised parallel trial

Article Related content Article metrics Lindy Clemson, professor of occupational therapy and ageing12, Maria A Fiatarone Singh, john sutton chair of exercise and sport science, professor of medicine2, Anita Bundy, professor of occupational therapy2, Robert G Cumming, professor of epidemiology and geriatric medicine3, Kate Manollaras, research assistant2, Patricia O’Loughlin, physiotherapist2, Deborah Black, biostatistician, professor, and chair of health data management2
1Ageing, Work, and Health Research Unit and the Centre for Excellence in Population Ageing Research, Faculty of Health Sciences, University of Sydney, Lidcombe, 2141 New South Wales, Australia
2Faculty of Health Sciences, University of Sydney
3Centre for Education and Research on Ageing (CERA) and Faculty of Medicine, University of Sydney, Sydney, New South WalesCorrespondence to: L Clemson lindy.clemson{at}sydney.edu.auAccepted 7 June 2012AbstractObjectives To determine whether a lifestyle integrated approach to balance and strength training is effective in reducing the rate of falls in older, high risk people living at home.

Design Three arm, randomised parallel trial; assessments at baseline and after six and 12 months. Randomisation done by computer generated random blocks, stratified by sex and fall history and concealed by an independent secure website.

Setting Residents in metropolitan Sydney, Australia.

Participants Participants aged 70 years or older who had two or more falls or one injurious fall in past 12 months, recruited from Veteran’s Affairs databases and general practice databases. Exclusion criteria were moderate to severe cognitive problems, inability to ambulate independently, neurological conditions that severely influenced gait and mobility, resident in a nursing home or hostel, or any unstable or terminal illness that would affect ability to do exercises.

Interventions Three home based interventions: Lifestyle integrated Functional Exercise (LiFE) approach (n=107; taught principles of balance and strength training and integrated selected activities into everyday routines), structured programme (n=105; exercises for balance and lower limb strength, done three times a week), sham control programme (n=105; gentle exercise). LiFE and structured groups received five sessions with two booster visits and two phone calls; controls received three home visits and six phone calls. Assessments made at baseline and after six and 12 months.

Main outcome measures Primary measure: rate of falls over 12 months, collected by self report. Secondary measures: static and dynamic balance; ankle, knee and hip strength; balance self efficacy; daily living activities; participation; habitual physical activity; quality of life; energy expenditure; body mass index; and fat free mass.

Results After 12 months’ follow-up, we recorded 172, 193, and 224 falls in the LiFE, structured exercise, and control groups, respectively. The overall incidence of falls in the LiFE programme was 1.66 per person years, compared with 1.90 in the structured programme and 2.28 in the control group. We saw a significant reduction of 31% in the rate of falls for the LiFE programme compared with controls (incidence rate ratio 0.69 (95% confidence interval 0.48 to 0.99)); the corresponding difference between the structured group and controls was non-significant (0.81 (0.56 to 1.17)). Static balance on an eight level hierarchy scale, ankle strength, function, and participation were significantly better in the LiFE group than in controls. LiFE and structured groups had a significant and moderate improvement in dynamic balance, compared with controls.

Conclusions The LiFE programme provides an alternative to traditional exercise to consider for fall prevention. Functional based exercise should be a focus for interventions to protect older, high risk people from falling and to improve and maintain functional capacity.

Trial registration Australia and New Zealand Clinical Trials Registry 12606000025538.

IntroductionFalling in older age has debilitating and isolating social consequences, along with high and escalating economic costs.1 2 Falls can start a downward spiral of immobility, reduced confidence, and incapacity leading to institutionalisation. Fall related admissions have not declined over the past ten years,3 and there is an imperative to develop effective strategies for fall prevention that are acceptable and sustainable over the long term for older people.

The optimum exercise modality for falls prevention in older adults has been defined as balance enhancing activity and lower limb resistance training.4 However, the number of older people that routinely engage in strength training remains low at less than 10%5 and possibly much lower for activities that challenge balance. Those people older than 70 years who do engage in balance and resistance training are much more likely to be healthy and functionally capable than those who do not.

Integration of exercise into lifestyle activities could enhance exercise adoption and adherence in other cohorts,6 7 8 but this approach has never been investigated in frail, older people at risk for falls. Therefore, we designed and tested the Lifestyle integrated Functional Exercise (LiFE) programme, which embeds balance and lower limb strength training into habitual daily routines. In a small pilot study,9 this alternate approach to traditional exercise had high potential to reduce falls (incidence rate ratio 0.23, 95% confidence interval 0.07 to 0.83), and a larger trial was needed to confirm the new approach’s effectiveness compared with placebo and to determine mechanisms of benefit.

We hypothesised that a lifestyle integrated approach (using the LiFE programme) to balance and strength training would be more effective than a sham control programme (comprising of gentle exercise) in reducing falls in high risk people aged 70 years and over and living at home over one year. We further hypothesised that a traditional structured exercise programme would be as effective as LiFE in reducing falls, compared with the control programme; that intermediate outcomes of strength, balance, functional capacity, and quality of life would show equal benefit in LiFE participants compared with the structured programme; and that balance confidence in daily tasks and habitual physical activity levels would improve to a greater extent from the LiFE programme than from either the traditional or the control programme.

MethodsTrial designWe conducted a three arm, randomised parallel trial with assessments measured at baseline, six months, and 12 months after randomisation. The study was approved by the University of Sydney human research ethics committee and registered on 20 January 2006.

Participant recruitment, randomisation, and blindingParticipants were recruited by mailings to Department of Veteran’s Affairs (DVA) Databases across the metropolitan area of Sydney, Australia, and three general practice databases inviting them to participate. DVA databases included veterans, their spouses, and war widows. Inclusion criteria were men and women aged 70 years or older and who had two or more falls or one injurious fall in the past 12 months, which was determined by self report. Exclusion criteria were moderate to severe cognitive problems (Randomisation was generated by an investigator not involved in data collection or intervention, who used Stata 7 and the add on program Ralloc10 to generate random block groups of three and six, and stratified by sex and history of fall (that is, one or two falls, or three or more falls) in a 1:1:1 ratio. The randomisation was conducted after baseline assessment and concealed by using an automated secure website that was operated by an off-site independent service. All assessments at six and 12 month follow-up, conducted on a home visit, and fall event surveillance were conducted by a research assistant blinded to group allocation. All data was also entered and checked by a blinded research assistant.

InterventionsIn the LiFE approach, movements specifically prescribed to improve balance or increase strength are embedded within everyday activities, so that the movements can be done multiple times during the day. Rather than a prescribed set of exercises conducted several times a week, LiFE activities occur whenever the opportunity arises during the day. The strategies to improve balance include “reduce base of support”, “move to limits of sway”, “shift weight from foot to foot”, “step over objects”, and “turning and changing direction”. A prescribed activity incorporating the strategy of “reducing base of support” might involve a tandem stand while working at the kitchen bench, and over time could be upgraded to working while standing on one leg. Strategies to increase strength include “bend your knees”, “on your toes”, “up the stairs”, “on your heels”, “sit to stand”, “walk sideways”, and “tighten muscles”. A prescribed activity incorporating the strategy of “bend knees” might involve squatting instead of bending at the waist to close a drawer, and could be upgraded to picking things up from the floor. The LiFE training focuses on instituting new habitual behaviours within selected situational contexts that serve as prompts for action.9 11

Everyday activities that were altered for LiFe participants were determined through self report using a weekly planner and interview. We used an assessment tool designed for this study to establish the difficulty level of the strategy incorporated into everyday activity.12 The movements embedded in everyday activity were discussed on each visit and revised as necessary. Participants manuals provide examples of each balance and strength strategy across a range of daily activities and situations, with ideas for increasing intensity and challenge.13 The manuals were used in the teaching and planning of the individualised programme.

The structured programme14 involved seven exercises for balance and six for lower limb strength using ankle cuff weights and performed three times a week. These exercises used the principles of maintaining training in the “hard zone” and similar to other successful exercise regimens in fall prevention. The LiFE and structured programmes were taught over five sessions with two booster sessions and two follow-up phone calls over a six month period. Both programmes were prescribed, tailored, and upgraded. Ample evidence from home based structured programmes indicates that this dosage is feasible and cost effective.15 The control programme (two sessions, one booster session, and six follow-up phone calls) comprised 12 gentle and flexibility exercises while seated, lying down, or standing while holding on (for example, hip rotation, leg swings). Exercises were not upgraded—that is, not altered in any way (such as changing the number of repetitions or increasing the challenge to balance). The reduced time given to the control intervention was appropriate because this programme was much simpler and easier to teach. Interventionists, trained in each of the interventions, included physiotherapists and occupational therapists.

Outcome measuresFall surveillanceA fall was defined as a person unintentionally coming to rest on the ground, floor, or other lower level. Falls were recorded by daily calendar, which were mailed monthly using preaddressed envelopes. A research assistant blinded to group allocation telephoned participants if they failed to return the calendar to ascertain whether they had fallen. Exercise adherence was monitored by weekly logs returned monthly by post to the interventionists once weekly visits ceased.

Balance and strengthPostural control was defined as either static balance (where balance is measured in a standing position) or dynamic balance (where postural control is challenged during movement involving walking). Static balance was assessed using two hierarchical balance scales. The first was a five level scale from the short physical performance battery-balance test,16 and the second was an eight level scale that incorporated challenging tasks at a higher level (such as “tandem stand eyes closed”, “one leg stand with cognitive distracter”) and used cut-off values of 10 or 15 seconds. We developed the second scale before analysis by using Rasch modelling17 to test the ordering of responses, which required the collapsing of several higher level items to construct the eight hierarchy levels. Dynamic balance was measured by a 3 m tandem walk time and errors. Maximal isometric lower limb strength was determined by the highest of three measurements obtained using a Chatillon DMG250 dynamometer with a custom made portable stand to eliminate variability in examiner strength.

Functional outcomes, other outcomes, and participant characteristicsWe assessed balance self efficacy using the Activities Specific Balance Confidence (ABC) Scale.18 Functional limitation in capacity for daily life activities was measured by the Late Life Function Index19 and the NHANES independence measure for activities of daily life.20 The Late Life Disability Index measured limitation and frequency of participation in life tasks across personal, social, and community domains.21 We used the Physical Activity Scale for the Elderly22 to measure habitual physical activity, the Paffenbarger physical activity index23 to capture energy expenditure, and Life Space Assessment to determine the distance travelled within and from the home.24

We assessed health related quality of life with the five item EQ-5D instrument and global health status with the EQ-VAS scale.25 Body mass index was calculated from body height and weight, the latter using a calibrated electronic portable scale. Bioelectrical impedance analysis26 measured body composition (fat free mass) using an Impedimed DF50 device on the right wrist and ankle and with the person supine on a bed.

For participants’ characteristics, we collected demographic information and medical history during interviews and recorded levels of depression via the geriatric depression scale.

Statistical analysisWe compared the rates of falls in the LiFE and structured interventions with those from the control intervention (that is, gentle exercise) using the negative binomial regression model (Stata, version 11).27 The model uses a Poisson distribution of fall events accounting for overdispersion, which incorporates both number of falls and time (days) followed up. We monitored fall events for one year or until the person withdrew from the study, was lost to follow-up, or died. An a priori power calculation indicated that we would need 110 participants in each group (n=330) to detect a 33% relative reduction in fall rate (from 60% to 40%) in each intervention group compared with the control group (ß=0.20, a=0.05). We estimated that about 60% of control participants would have at least one fall during the year of follow-up, in view of the at-risk sample targeted. This estimate did not include dropout rates, which was 10% for falls data in our study, indicating a sample of 363 participants. Therefore, we recruited 87% of the target sample.

For secondary outcomes, we used the general linear modelling, repeated measures procedure (SPSS, version 17.0) to establish the effects of interventions over time compared with the control group. The reported F ratio is a measure of the variation between groups divided by the variation within groups. We conducted a three way comparison, and if the main time×treatment effect was significant, or if indicated by significant retrospective Scheffe or Tukey tests, we examined pairwise comparisons between the interventions and control. We aimed to establish whether the change in one intervention was significantly greater than the control group over the 12 month follow-up—that is, if retrospective linear contrasts (rather than quadratic contrasts) were significant, which would indicate change over time rather than just a difference at one time point. We analysed rank order categorical data using a polynomial regression model. Finally, we determined effect sizes for significant pairwise results using a formula for Cohen’s d.28

To calculate the proportion of exercises adhered to during the full first six months, we divided the number of exercises per set performed in each session by the number needed to be performed. The LiFE programme activities, which could be performed daily, were recoded to correspond with the other two programmes (up to one day of activities performed in the LiFE programme=0 times per week of exercises performed in other two programmes, two to three days=one time per week, four to five days=two times per week, and six to seven days=three times per week). We used a one way analysis of variance with retrospective analysis, and subsequent t tests, to determine any differences. To establish exercise maintenance at 12 months, we examined adherence in the final (12th) month of follow-up.

ResultsParticipant characteristics and tracking through trialThe figure? tracks the participants through the trial. The major reason for not including people in the trial was that they did not meet the inclusion criteria for previous multiple falls in the past year or an injurious fall (62.2%, n=370). Other reasons were that participants were unable to independently ambulate (8.7%, n=52), had an illness or condition precluding exercise (7.6%, n=45), were in a hostel or nursing home (6.4%, n=38), had a neurological condition influencing gait or mobility (6.4%, n=38), were cognitively impaired (3.9%, n=23), were vision impaired or deaf (2.7%, n=16), were already involved in fall prevention programmes (2.0%, n=12), or lived outside the metropolitan area (0.2%, n=1). The sample recruited (mean age 83.4 years) was a high risk group, with 60% (n=191) reporting a history of recurrent falls and just over 90% (n=290) having had an injurious fall in the past year.

View larger version:In a new windowDownload as PowerPoint SlideFlow chart of trial participants. *Requested to discontinue the exercise programme; does not include some participants who were not exercising in the final month (LiFE, n=10; structured, n=18; control, n=19)

We recruited and randomised 317 people from February 2006 to December 2007. We saw no important differences between intervention or control groups in baseline measures (table 1?). The fall data outcomes were missing for 31 (10%) randomised participants. For the secondary measures, 76 (24%) participants were not available at the final 12 month assessment. Since the frequency and causes of missed assessments were similar between groups (fig 1), we did a “complete case” intention to treat analysis.29

View this table:View PopupView InlineTable 1 Demographic and health status of trial participants at baseline. Data are no (%) of participants unless stated otherwise

Falls outcomeAfter 12 months of follow-up, we recorded 172 falls in the LiFE group, 193 in the structured exercise group, and 224 falls in the control group. The LiFE, structure exercise, and control groups had 21, 24, and 26 people who fell once, and 39, 41, and 45 who fell at least twice, respectively. Median length of follow-up for all participants was 365 days (range 2-468, interquartile range 357-372). The overall incidence of falls in the LiFE programme was 1.66 per person years, compared with 1.90 in the structured programme and 2.28 in the control group. We recorded a clinically important reduction of 31% in the rate of falls for participants in the LiFE programme compared with the control programme (incidence rate ratio 0.69 (95% confidence interval 0.48 to 0.99), n=212). We did not see a significant reduction in the fall rate for participants in the structured programme compared with the control programme (0.81 (0.56 to 1.17), n=210).

Tables 2 to 5? ? ? ? present the secondary measures summarising the major outcomes. If the general linear modelling analysis was significant for all three programmes, we then confirmed which of the interventions was effective through pairwise analysis. We also presented Cohen effect sizes to provide an indication of clinical effectiveness for easier interpretation.

View this table:View PopupView InlineTable 2 Balance outcomes

View this table:View PopupView InlineTable 3 Strength outcomes

View this table:View PopupView InlineTable 4 Outcomes for secondary measures of function

View this table:View PopupView InlineTable 5 Outcomes for other secondary measures

Balance and strengthTables 2 and 3 summarise the findings for balance and strength outcomes over the 12 month study follow-up. LiFE participants significantly improved compared with controls, with moderate to large effect sizes for the two balance hierarchy scales. The structured programme showed small and significant effects for the five level scale (table 2). Dynamic balance measured by the timed tandem walk showed a significant and moderate effect for both the LiFE and structured programme compared with the control programme. Ankle strength significantly improved in the LiFE programme compared with controls (table 3). Knee and hip strength changes were not significant for either programme because the control group also made some intermittent gains.

Functional outcomesTable 4 summarises secondary findings for functional measures. Activities of daily living using the NHANES measure was significantly improved for the LiFE participants compared with controls, with a moderate effect size. The Late Life Function Index showed large and significant effects for LiFE and a moderate and significant effect for the structured programme. The measure of participation, the Late Life Disability Index (frequency), was significantly improved for the LiFE group, with a moderate effect size. Both LiFE and structured programmes made significant gains in balance confidence, with small to moderate effect sizes (table 4). Physical activity, measured by the Physical Activity Scale for the Elderly, showed small but significant gains for the LiFE programme.

Other secondary outcomesThe Paffenbarger scales showed increased energy expenditure by both the LiFE and structured programmes, with moderate and small effects, respectively (table 5). The life space index showed no change in temporal range of activity spaces. Health status, measured by the itemised questions of the EQ-5D, did not differ significantly between groups, however, when participants were asked to rate their health status using the EQ-VAS scale, LiFE participants reported a significantly better health status at 12 months. We saw no significant difference in fat free mass. Body mass index showed that the controls increased their body mass index, which was significant compared with the structured group.

Adverse eventsTwo patients reported severe adverse effects that they attributed to the exercise programme. One participant in the structured programme had a groin strain and surgery for an inguinal hernia and ceased the programme; a LiFE participant was diagnosed with a pelvic stress fracture and attributed this to increased walking and stair climbing, but continued on the programme.

AdherenceTable 6? shows the mean proportion of adherence to each exercise programme over the first six months; the structured programmed showed a significant group effect (P=0.01) with the lowest adherence. Retrospective analysis confirmed that the adherence to the structured programme was significantly lower than either the LiFE programme (mean difference 0.12, t=2.82, P<0.01) or the control programme (0.13, 2.66, P<0.01). Although each programme had similar numbers of participants who withdrew at six months of follow-up, the pattern for poor adherence (that is, =25%) varied between the three programmes (table 7?).

View this table:View PopupView InlineTable 6 Analysis of variance for adherence to exercise programmes over first six months

View this table:View PopupView InlineTable 7 Exercise status over six months. Data are no (%) of participants

There were 68 (64%) participants exercising at 12 months in the LiFE programme (seven (6.5%) did not return records but provided self reports), 56 (53%, including 12 (11.4%) self reports) in the structured programme, and 56 (53%, including seven (6.7%) self reports) in the control programme. Of 61 LiFE participants who completed exercise records, the mean number of days in which the exercises were done per week in the final month was 3.89 (standard deviation 2.13; interquartile range 2.24-6.00), of a maximum seven days. Of 44 participants in the structured programme who returned exercise records and were exercising at 12 months, 43 (98%) were still doing the balance exercises, 26 (59%) were doing strength exercises with rod weights (weight range 1-6.5 kg, median 5 kg), and four (9%) were doing isometric strength exercises.

DiscussionLiFE is a tailored programme of embedded balance and strength activities, taught over five home visits with two booster visits. It was designed to reduce fall risk and resulted in a clinically important 31% reduction in the rate of falls compared with the control programme, which involved gentle sham exercise. A 30% reduction in falls is similar to most interventions currently recommended for fall prevention in clinical guidelines. The structured lower limb strength and balance exercises, taught over a similar time frame and prescribed three times a week, did not show significant results, with a 19% reduction in the rate of falls compared with the controls. Furthermore, the LiFE programme was superior in terms of function and participation, providing support that this programme mediates both fall risk and frailty.

LiFE programme participants improved in both static and dynamic balance, showing moderate effect sizes with the strongest effect observed into the high end static balance measure. The structured programme showed a small effect on static balance and a moderate effect on dynamic balance. The importance of balance, as the most important exercise component in mediating fall risk, was highlighted in a systematic review of 44 exercise trials,4 which examined trials in terms of both fall outcome and exercise intensity. Training in control of postural sway seems to affect the vestibular system by improving individual capacity to regain and control balance.30 The functional activities in the LiFE programme also translated into moderate changes in ankle strength. Ankle strength is understood to be a prime factor for an effective strategy for the ankle when a pertubation occurs, and therefore is protective of falls.31 While LiFE showed steady improvements, all programmes made variable gains for knee and hip strength.

Two other exercise programmes to prevent falls have reported physical activity outcomes using the Physical Activity Scale for the Elderly.32 33 Both reported less deterioration in controls than in the intervention group, whereas we reported an increase in physical activity in both the structured and control programmes, with a small significant effect for the LiFE programme. The strong response from the Paffenbarger measure of energy expenditure for LiFE could be linked to its use of increased physical activity, in particular stair climbing, for many participants. The LiFE programme also had better outcomes than the structured programme on the functional and daily activity measures, with significant and moderate to large effect sizes for LiFE participants. This effect suggests that the LiFE programme could improve functional capacity in frail older people. There might be value in testing whether the LiFE programme and philosophy could be introduced at a younger and earlier stage, to mediate functional decline whether or not a person has experienced a fall.

The LiFE programme is unique and novel; no other interventions have used a tailored approach to embedded exercise with functional activity. We did find three other programmes offering either structured exercise that included functional movement or specific balance tasks that showed positive outcomes. These programmes perhaps lend some support to the effects of the integration component of the LiFE programme.34 35 36

Dual tasking LiFE activities include a range of activities and can upgrade balance and strength challenges in small but incremental ways. For some people, these exercises have included ironing while standing on one leg, talking on the phone while heel standing and moving to limits of stability, carrying a tray or drink in a cup while tandem walking, squatting in the supermarket to select an item from a lower shelf rather than bending, and carrying the groceries from the car to the porch while walking sideways. Emerging evidence suggests that a person’s capacity for dual tasking can predict their risk of falls, particularly capacity for tasks that involve gait variability and attention demanding tasks,37 with increased risk for repeat fallers.38. Furthermore, training in specific dual task activities to challenge balance in older people, undertaken in clinics, has been shown to improve gait stride and variability, and dynamic and static balance. However, these clinic interventions have not been shown to be transferable to novel situations.30

Tailored and embedded activity that aligns with functional conditions and everyday tasks could enhance integration of skills such as task co-ordination, postural control, and spatial processing. Along with physiological changes, these activities could lead to translation of protective skills in other situations. Liu-Ambrose and colleagues39 presented a central benefit model of exercise for fall prevention, arguing that the contribution of attention, dual tasking, planning, and other executive functioning might be just as important as physiological outcomes. The LiFE approach shows that a sole exercise intervention designed to prevent falls can have a clinically important effect on function at the level of participation engagement.40

Adherence was significantly better in the LiFE programme and control group than in the structured exercise programme, which was evident in the detailed frequency analysis over the first six months. All three programmes maintained a good adherence at 12 months, although adherence to the LiFE programme remained superior. All programmes exceeded the 42% adherence reported in the New Zealand Otago trial, which tested a successful exercise programme that was structured and home based.32 The measures of intensity varied for each programme, making an exact comparison difficult. The structured programme in our study had less follow through with the strength component, although our results were still near to the Otago result. In our study, therapists commented that many older participants struggled with the cumbersome nature of the weight cuffs, and we recommend investment in better designs. Many participants in the control group made comments; some liked the gentle exercise and others regarded them as “too easy’ and not meeting their needs.

The lower performance of the structured programme in terms of a falls outcome might also be due to the range of challenge activities and upgrades needing to be enhanced. In addition, recruitment of participants with recurrent or injurious falls resulted in a higher risk group with multiple problems in our study than in the New Zealand Otago trial.32

LimitationsThe control group received less contact time than both interventions, which could have caused a bias, but we saw no difference in the return rates of fall surveillance diaries, so this is unlikely. Also, adherence to the control and LiFE programmes was similar over the first six months, which spanned the interventionists’ follow-up phase. The falls outcome for the LiFE programme was significantly different from controls; however, the higher confidence interval was close to 1, indicating some caution with interpretation of these results, and further research with the LiFE intervention should aim to replicate our findings. The strong outcomes of the secondary measures point to clear mediators of benefit and confirm there was a positive fall outcome. The control group had an intervention that could have diluted the effect of the outcomes. Since the control exercises were gentle, flexible, mostly non-weightbearing, and not upgraded by the therapists, their effect on fall reduction or balance would have been marginal,41 42 43 although we did observe some minimal strength improvements.

Our study had a slightly lower sample size than preferred, which could have led to a type II error. If we had greater power to detect a difference, the confidence interval would probably have been narrower. Furthermore, the fall rate was higher than expected, which could also reduce the required sample size. Despite these limitations, we did find statistical significance. The pilot study, matched against a control programme of no intervention, showed a large reduction of falls, adding further support to our findings. A meta-analysis combining the pilot study9 and our current findings gave an incidence rate ratio of 0.63 (95% confidence interval 0.45 to 0.90), using Comprehensive Meta-Analysis software (version 2).

ConclusionThe LiFE programme provides an additional choice to traditional exercise and another fall prevention programme that could work for some people. Functional based exercise should be a focus for protection from falling and for improving and maintaining functional capacity for older people at risk. The programme has many positive outcomes: increased energy to do more tasks, improved function during activities, and enhanced participation in daily life. In a modern world that increasingly relies on increased automation and doing less, the LiFE programme provides a beneficial environment that offers some stressors and complexity. Furthermore, it challenges allied health professionals to expand their focus when working with older people to find opportunities to incorporate balance and strength training into daily life.

What is already known on this topicBalance and strength training is known to reduce falls in older adults

However, less than 10% of older people routinely engage in strength training and is probably lower for activities that challenge balance

What this study addsThe Lifestyle integrated Functional Exercise (LiFE) programme provides an alternative to traditional exercise for older people to reduce falls, to improve function in doing activities and to enhance participation in daily life

The LiFE programme demonstrates that having an environment that offers some stressors and complexity is beneficial

NotesCite this as: BMJ 2012;345:e4547

FootnotesWe thank Jo Munro for her contribution to the development of the LiFE programme, Elvina Weissel for her support, the Department of Veteran’s Affairs for assistance with recruitment, Melissa Abela for compiling the six month adherence data, and Augustus Yip for preparing the body composition estimates.

Contributors: LC (principal investigator) designed the study and protocol, led the development of the LiFE programme, wrote the grant application, analysed data, interpreted results, and wrote the paper. LC is guarantor. MAFS contributed to the study design, grant application, and development of the LiFE programme; provided the structured and control programmes; and contributed to the interpretation of study results and writing of the paper. AB contributed to the study design, grant application, interpretation of results, and writing of the paper. RGC contributed to the study design, grant application, interpretation of study results, and writing of the paper. KM recruited participants, conducted assessments, and managed and cleaned the data. PO conducted interventions, managed the intervention team, and collected adherence data. DB provided advice on statistical analysis, interpretation of results, and writing of the paper.

Funding: The trial was funded by a project grant from the National Health and Medical Research Council.

Competing interests: All authors have completed the Unified Competing Interest form at www.icmje.org/coi_disclosure.pdf (available on request from the corresponding author) and declare: support from the National Health and Medical Research Council; no financial relationships with any organisations that might have an interest in the submitted work in the previous three years, no other relationships or activities that could appear to have influenced the submitted work.

Ethical approval: This study was approved by the University of Sydney human ethics committee.

Data sharing: Requests for data sharing should be directed to LC and would be considered as required.

Study protocol available from corresponding author.

This is an open-access article distributed under the terms of the Creative Commons Attribution Non-commercial License, which permits use, distribution, and reproduction in any medium, provided the original work is properly cited, the use is non commercial and is otherwise in compliance with the license. See: http://creativecommons.org/licenses/by-nc/2.0/ and http://creativecommons.org/licenses/by-nc/2.0/legalcode.

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