Physical Activity Pathway for Patients With Osteoarthritis in Primary Care
Phase: NA
Conditions: Osteoarthritis
Sponsor: University of North Carolina, Chapel Hill

 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Physical Activity Pathway for Patients with Osteoarthritis in Primary Care (OA-PCP) 
 
Protocol Number: 18-0877 
 
NCT Number: 03780400 
 
Principal Investigator: Kelli D. Allen, PhD 
 
Sponsor: University of North Carolina at Chapel Hill 
 
Grant Title: Physical Activity Pathway for Patients with Osteoarthritis in Primary Care 
 
 
Grant Number: 1-R21-AG056568-01A1 
 
Funded by: 
National Institute on Aging of the National Institutes of Health 
 
 
Version Number: 5.0 
 
01 July 2020 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

Physical Activity Pathway for Patients with Osteoarthritis in Primary Care  
Version 5.0 
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Summary of Changes from Previous Version: 
 
Affected 
Section(s) 
Summary of Revisions Made 
Rationale 
 
Protocol re-formatted; revisions made 
on previous versions were related to 
preliminary activities in preparation for 
the single group pilot trial 
For submission to Clinical Trials 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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Table of Contents 
 
 
STATEMENT OF COMPLIANCE.………………………………………………………..………….....1 
INVESTIGATOR’S SIGNATURE…………………………………………………………………..……2 
1  
PROTOCOL SUMMARY…………………………………………………………………………... 3 
1.1 
Synopsis………………………………………………………………………………………3 
1.2 
Schema………………………………………………………………………………………. 5 
1.3 
Schedule of Activities………………………………………………………………………..6 
2 
 INTRODUCTION… ............................................................................................................ 7 
 2.1 
Study Rationale and Background…………………………………………………………. 7 
  2.1.1  Clinical Signficance ................................................................................................... 8 
  2.1.2  Premise………………………………………………………………………………………. 8 
  2.1.3  Prior Studies and Rationale for Development…………………………………………….9 
 2.2 
Risk/Benefit Assessment…………………………………………………………………. .. 9 
  2.2.1  Known Potential Risks………………………………………………………………………9 
  2.2.2 Known Potential Benefits…………………………………………………………………. 10 
  2.2.3 Assessment of Potential Risks and Benefits…………………………………………….10 
3 
STUDY OBJECTIVES AND ENDPOINTS ......................................................................... 10 
4 
STUDY DESIGN………………………………………………………………………………… .. 10 
 4.1  
Overall Design………………………………………………………………………………10 
 4.2  
Scientific Rationale for Study Design ....................................................................... 11 
 4.3   
Justification for Intervention ..................................................................................... 11 
 4.4  
End-of-Study Definition ........................................................................................... 11 
5 
STUDY POPULATION…………………………………………………………………………….11 
 5.1  
Inclusion Criteria ..................................................................................................... 11 
 5.2  
Exclusion Criteria .................................................................................................... 11 
 5.3  
Lifestyle Considerations .......................................................................................... 12 
 5.4  
Screen Failures……………………………………………………………………………..12 
 5.5  
Strategies for Recruitment and Retention………………………………………………. 12 
6 
STUDY INTERVENTIONS 
 6.1  
Study Intervention Administration ............................................................................ 13 
 6.2  
Fidelity..................................................................................................................... 15 
6.3  
Measures to Minimize Bias: Randomizaiton and Blinding……………………………..15 
6.4  
Study Intervention Adherence……………………………………………………………. 15 
6.5  
Concomitant Therapy………………………………………………………………………16 
7 
STUDY INTERVENTION DISCONTINUATION AND  
 
PARTICIPANT DISCONTINUATION/WITHDRAWAL……………………………………… ... 16 
 7.1   
Discontinuation of Study Intervention…………………………………………………… 16 
 7.2   
Participant Discontinuation/Withdrawal from the Study……………………………… . 16 
 7.3   
Lost to Follow-up………………………………………………………………………… .. 16 
8 
STUDY ASSESSMENTS AND PROCEDURES……………………………………………… . 17 
 8.1  
Endpoint and Other Non-Safety Assessments………………………………………… 19 
 8.2  
Safety Assessments……………………………………………………………………… . 19 
 8.3  
Adverse Events and Serious Adverse Events………………………………………… . 19 
8.3.1  Definition of Adverse Events……………………………………………………………. .19 
8.3.2  Definition of Serious Adverse Events………………………………………………….... 19 

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8.3.3  Classification of an Adverse Event……………………………………………………. ... 19 
8.3.4  Time Period and Frequence for Event Assessment and Follow-up…………………..20 
8.3.5  Adverse Event Reporting………………………………………………………………. ... 20 
8.3.6  Serious Adverse Event Reporting……………………………………………………… . 20 
8.3.7  Reporting Events to Participants……………………………………………………….. . 21 
8.3.8  Events of Special Interest……………………………………………………………….. . 21 
8.3.9  Reporting of Pregnancy………………………………………………………………….. . 21 
 8.4  
 Unanticipated Problems………………………………………………………………… ..21 
8.4.1  Definition of Unanticipated Problems…………………………………………………….21 
8.4.2  Unanticipated Problems Reporting……………………………………………………… 22 
8.4.3  Reporting Unanticipated Problems to Participants……………………………………. 22 
9 
STATISTICAL CONSIDERATIONS ...……………………………………………………….. .. .22 
9.1   
Statistical Hypotheses…………………………………………………………………… . 22 
9.2   
Sample Size Determination……………………………………………………………… 22 
9.3  
Populations for Analyses…………………………………………………………………. 22 
9.4  
Statistical Analyses……………………………………………………………………… .. 22 
10 SUPPORTING DOCUMENTATION AND OPERATIONAL CONSIDERATIONS ............... 23 
 10.1 Regulatory, Ethical, and Study Oversight Considerations…………………………………. 23 
10.1.1  Informed Consent Process……………………………………………………………….. 23 
10.1.2  Study Discontinuation and Closure……………………………………………………… 24 
10.1.3  Confidentiality and Privacy………………………………………………………………. . 24 
10.1.4  Future Use of Stored Specimens and Data……………………………………………. 25 
10.1.5  Key Roles and Study Governance………………………………………………………. 25 
10.1.6  Safety Oversight…………………………………………………………………………… 25 
10.1.7  Clinical Monitoring………………………………………………………………………… 26 
10.1.8  Quality Assurance and Quality Control…………………………………………………..26 
10.1.9  Data Handling and Record Keeping…………………………………………………….. 26 
10.1.10 Protocol Deviations………………………………………………………………………. 27 
10.1.11 Publication and Data Sharing Policy…………………………………………………… 27 
10.1.12 Conflict of Interest Policy………………………………………………………………… 27 
 10.2 
Additional Considerations………………………………………………………………… 28 
 10.3 
Abbreviations and Special Terms……………………………………………………… .. 28 
 10.4 
Protocol Amendment History……………………………………………………………. . 29 
11  
References………………………………………………………………………………………30 
 
 
 
 
 
 
 
 
 
 

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1 
 
 
 
STATEMENT OF COMPLIANCE 
 
 
The trial will be carried out in accordance with International Council on Harmonisation Good Clinical Practice 
(ICH GCP) and the following:  
 
• 
United States (US) Code of Federal Regulations (CFR) applicable to clinical studies (45 CFR Part 46, 
21 CFR Part 50, 21 CFR Part 56, 21 CFR Part 312, and/or 21 CFR Part 812).  
 
National Institutes of Health (NIH)-funded investigators and clinical trial site staff who are responsible for 
the conduct, management, or oversight of NIH-funded clinical trials have completed Human Subjects 
Protection and ICH GCP Training. 
 
The protocol, informed consent form(s), recruitment materials, and all participant materials will be submitted 
to the Institutional Review Board (IRB) for review and approval. Approval of both the protocol and the 
consent form(s) must be obtained before any participant is consented. Any amendment to the protocol will 
require review and approval by the IRB before the changes are implemented to the study. All changes to 
the consent form(s) will be IRB approved; a determination will be made regarding whether a new consent 
needs to be obtained from participants who provided consent, using a previously approved consent form. 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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INVESTIGATOR’S SIGNATURE 
 
The signature below constitutes the approval of this protocol and provides the necessary assurances that this 
study will be conducted according to all stipulations of the protocol, including all statements regarding 
confidentiality, and according to local legal and regulatory requirements and applicable US federal regulations 
and ICH guidelines. 
 
Principal Investigator or Clinical Site Investigator: 
 
 
Signed: 
 
Date: 
 
 
Name:  
 
Title: 
 
 
 
 
Investigator Contact Information 
Affiliation: University of North Carolina at Chapel Hill 
Address: 3300 Thurston Bldg., CB #7280, Chapel Hill, NC  27599-7280 
Telephone:919-966-0558 
Email: kdallen@med.unc.edu 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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1 
PROTOCOL SUMMARY 
 
 
1.1 
SYNOPSIS 
 
 
Title: 
Physical Activity Pathway for Patients with Osteoarthritis in Primary 
Care 
Grant Number: 
1-R21-AG056568-01A1 
Study Description: 
The overall objective of this study is to gather preliminary evidence 
on the efficacy, feasibility and acceptability of the Osteoarthritis 
Physical activity Care Pathway (OA-PCP). 
 
 
Objectives: 
 
Obtain data on the efficacy, feasibility and acceptability of the OA-
PCP program. 
Endpoints: 
Primary Endpoint: 
Objectively assessed physical activity (PA), measured via 
accelerometer.  The primary metric of interest is minutes of 
moderate to vigorous physical activity (MVPA). Other metrics will 
include light intensity PA, sedentary minutes and step counts.  
These will be assessed at baseline and 4-month follow-up time 
points.   
 
Secondary Endpoints:  Self-reported pain and function (Western 
Ontario and McMaster Universities Osteoarthritis Index; WOMAC).  
These will be assessed at baseline and 4-month follow-up time 
points.   
 
Study Population: 
N = 60 participants age ≥65 recruited from University of North 
Carolina (UNC) primary care. We will enroll both males and females 
from all racial and ethnic backgrounds.   
 
 
Phase or Stage: 
Based on the Obesity-Related Behavioral Intervention Trials 
(ORBIT) framework, this study is a Phase IIb trial. 
 
 
Description of 
Sites/Facilities Enrolling 
Participants: 
We will involve UNC primary care clinics.  
 
 

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Description of Study 
Intervention/Experimental 
Manipulation: 
The OA-PCP will include four phases. Phase 1:  Physical Activity 
Screening: This component of the OA-PCP will be completed as 
part of the enrollment process. Phase 2: Brief PA Counseling:  This 
will be delivered via phone by a PA Coach, who will be trained in 
relevant aspects of PA and motivational interviewing.  Phase 3:  
Linkage to PA Programs and Resources Phase 4:  PA Coaching 
Follow-Up. The PA coach will call participants approximately 3 
months following the initial call. The coaching calls will focus on PA 
goal-setting and identifying PA resources.  The PA coach will also 
email at three separate time points (approximately every 3 weeks) 
prior to the 3-month follow-up call.  
Study Duration: 
2 years 
 
Participant Duration: 
4 months 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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1.2 
SCHEMA 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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1.3 
SCHEDULE OF ACTIVITIES 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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2 
INTRODUCTION 
 
2.1 
STUDY RATIONALE AND BACKGROUND 
 
 
2.1.1. CLINICAL SIGNIFICANCE  
Osteoarthritis (OA) is a Major Cause of Pain and Disability among Older Adults 
OA is one of the most prevalent chronic conditions in the U.S.  Lifetime risks of symptomatic knee and hip OA are 
45% and 25%, respectively 1,2, and the prevalence of OA is expected to rise dramatically over the next several 
decades 3.  The incidence of OA begins to rise around age 50 years, and OA affects about 1/3 of adults age ≥65 
years 4,5.  OA is associated with significant pain, functional limitations, and poorer health-related quality of life 6.  
Among older adults, the risk of disability attributable to knee OA is as great as that due to cardiovascular disease 
and greater than any other medical condition 7.  In addition, studies show that arthritis is a significant barrier to 
engagement in physical activity (PA) among individuals who are overweight and those who have diabetes and 
cardiovascular disease 8-10; therefore addressing OA symptoms is also critical for management of common 
comorbid health conditions. 
Physical Activity is Essential for OA Management, But Most Patients are Inactive 
Guidelines consistently include PA as a core component of managing knee and hip OA 11-13, based on its strong 
evidence for effectiveness 14.  A meta-analysis of trials of PA for knee OA found that effect sizes for aerobic 
exercise were 0.52 and 0.46 for pain and disability, respectively; for strengthening exercises, effect sizes were 
0.39 and 0.3215. These are moderate to large effect sizes and are comparable to those observed for 
pharmacological treatment of OA 16.  Among patients with hip OA, meta-analysis also showed that land-based 
exercise substantially reduced pain and improved physical function – providing 28% and 24% improvement from 
baseline, respectively 17.  Despite strong evidence for PA in managing OA symptoms, it is substantially under-
utilized 18,19.  For example, in a study of adults who had or were at risk for knee OA, only 2% of African Americans 
and 13% of Caucasians were currently meeting PA recommendations 19. There is an urgent need to improve PA 
levels among older adults with OA, particularly to reduce risk for downstream functional limitations and disability.   
Primary Care is a Key But Under-Utilized Setting for Promoting PA 
The vast majority of patients with OA are seen in primary care, which therefore represents a key opportunity to 
integrate PA into a comprehensive OA management approach 20.  Yet evidence shows that we are failing to bring 
PA into the conversation about OA management 21.  For example, in one study less than half of inactive patients 
with arthritis (primarily OA) reported that a doctor had ever suggested PA as a strategy to help manage joint 
symptoms 22, despite the fact that exercise is included as a first-line therapy in OA treatment guidelines 23.  This is 
in contrast to the overwhelming majority of patients who take pain medications to help manage OA symptoms 24. 
Other data show that only 1/3 of patients overall receive advice to increase PA from a primary care provider 25. 
There are a number of reasons that health care providers infrequently recommend or counsel patients about PA, 
including include lack of routine PA screening, lack of time within clinic visits, and lack of provider confidence in 
skills to deliver PA counseling 20.  These challenges are addressed in our proposed intervention approach.   
Evidence supports the effectiveness of PA interventions within primary care settings 20,26-28.  However, we have 
failed to move this evidence toward implementation, as PA is still not incorporated into health care delivery 
models. The following are critical gaps that must be addressed in order to successfully integrate PA interventions 
into primary care, each of which will be addressed by this study: 
• 
Approach for Regular PA Screening:  Prior studies suggest that incorporation of routine PA screening into 
health care settings can facilitate clinician-patient conversations about PA 29,30.  However, studies have not 
examined models that systematically follow up on PA screening with an intervention for those who are inactive.  
• 
Approach to Sustainable Intervention Delivery:  A key reason that PA interventions have not been integrated 
into clinical settings is the lack of feasible delivery models, both in terms of organization and financial support. 
This project will develop and test an intervention that can be delivered within the context of the Center for 
Medicare and Medicaid Services (CMS) Chronic Care Management (CCM) services, as described below.  This 
provides a practical model for both reimbursement and intervention delivery personnel.  

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• 
Implementation Science-Based Approach to Development:  Models for PA interventions in primary care must 
have input from key stakeholders throughout all phases of the development and testing processes  31. These 
stakeholders include patients and their supportive partners, primary care personnel, and representatives of 
clinical and community-based PA programs 
 
 
 
2.1.2. PREMISE 
Developing an OA Physical activity Care Pathway (OA-PCP) for Primary Care Settings 
We initially developed the OA-PCP model based on: 1) key recommendations for PA interventions in primary 
care, 2) the “Let’s Get Moving” intervention, 3) the Socioecological Model of Health Behavior, and 4) CMS 
guidelines for delivering CCM services:   
Key recommendations for PA interventions in primary care, based on prior studies, include: use of trained 
coaches to deliver the PA intervention, engagement of patients as active participants who select goals and 
identify strategies to overcome barriers, inclusion of follow-up contacts and tailored feedback, and integration with 
community-based and other PA resources 20,27.  
The “Let’s Get Moving” intervention is a systematic approach to integrating PA into primary care that was 
implemented in United Kingdom general practices based on research evidence 32-34. This model involves four 
phases: 1.) Screening for physical inactivity in a primary care setting, 2.) Brief PA counseling intervention, 3.) 
Connection with community and other PA resources, 4.) Follow-up to assess progress and promote 
maintenance. The OA-PCP mirrors these four phases.   
The Social Ecological Model of Health Behavior has been 
applied to many interventions and emphasizes the unique 
and complementary strengths of intervention components 
at different levels 35,36.  As shown in Figure 1, OA-PCP 
components address the individual and interpersonal 
levels though PA counseling, the organizational level via 
systematic PA screening and intervention initiation in 
primary care, and the community level by linking patients 
with programs and resources.  The ultimate goal of this 
research is to provide a strong evidence base that will 
lead to public policy level initiatives such as systematic, 
widespread roll-out and quality measures related to PA 
screening and intervention in health care systems.  
CCM services were initiated by the CMS in 2015, and 
provision of these services has been growing under this 
model and reimbursement structure; CMS is actively 
promoting delivery of these services. Briefly, these 
services provide “at least 20 minutes of clinical staff time, 
directed by a physician or other qualified health care 
professional, per calendar month,” for patients with two or 
more chronic health conditions.  OA is one of the 
qualifying chronic conditions, and many conditions that 
commonly co-occur with OA also qualify (e.g. diabetes, 
depression, hypertension, cardiovascular disease). Therefore, a large proportion of patients with Medicare 
coverage who have OA are eligible for these services. PA counseling could be delivered as a component of CCM 
services, since these include addressing patients’ functional needs, referrals to other clinicians and community-
based services, patient education, motivational counseling and self-management support.  Embedding PA 
counseling within the context of CCM services is appealing because it integrates PA within the broader disease 
management process.  Importantly for the structure of the OA-PCP, CCM services do not need to be delivered by 
the billing practitioner; they may be delivered by other clinic staff under the direction of the billing practitioner. 

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Some primary care clinics at our institution (University of North Carolina at Chapel Hill (UNC)) are currently 
delivering these services using a model that involves “care assistants” (typically individuals with Bachelor Degree 
level of education in an appropriate field who are given training in CCM) who are supervised by billing 
practitioners. Also importantly for the OA-PCP, CCM services can be delivered via telephone, which is a typical 
delivery model at UNC. This project focuses on patients who are eligible for CMS CCM services, since this is a 
currently active reimbursement model and since many patients with OA are age 65 or older.   
 
 
2.1.3. PRIOR STUDIES AND RATIONALE FOR DEVELOPMENT 
Overall Experience of the Research Team 
This project builds on the collective experience of our study team in OA management, PA interventions, and 
primary care-based studies.  Dr. Allen’s has led 8 clinical trials of behavioral and health services interventions 
among individuals with OA 37-43.  Of high relevance to this project were two randomized clinical trials of patient 
and provider based interventions for managing OA in primary care 37,44. These studies directly interfaced with 
primary care clinics, showing the feasibility of this approach and our experience with these types of interventions. 
Dr. Callahan is an international leader in evidence-based PA programs for OA, particularly community-based and 
self-directed interventions.  She led the evaluation of the Arthritis Foundation Walk With Ease program and 5 
other PA intervention trials 45-52.  She participated in development of the National Public Health Agenda for OA 
and directs the Osteoarthritis Action Alliance (OAAA), a coalition of more than 95 organizations committed to 
increasing PA among individuals with OA 53. Dr. Golightly is a physical therapist and epidemiologist with expertise 
in the clinical aspects of OA and PA intervention approaches for OA 54. She serves as the Grants Program 
Manager for the OAAA, partnering with communities and healthcare systems nationwide to implement evidence-
based PA programs for people with OA.  Dr. Nelson is a rheumatologist with expertise in OA diagnosis, clinical 
care and epidemiology.  She is also the medical advisor for the OAAA and leads an OAAA workgroup focused on 
health systems and OA management. Dr. Cleveland is an epidemiologist and statistician with extensive expertise 
in conducting analyses related to OA and PA, as well as other outcomes. Dr. Powell is an implementation 
scientist who has expertise in understanding strategies to implement effective health services interventions 55-57.  
Dr. Vu is a qualitative methodologist who has contributed to many studies that conduct formative assessments of 
multi-level and health system based interventions 58-60.  Dr. Hales is an expert in use of accelerometers to 
measure PA 61,62 and is currently collaborating with Dr. Callahan on a study of partner-focused PA among 
individuals with arthritis.   
 
2.2 
RISK/BENEFIT ASSESSMENT 
 
2.2.1  KNOWN POTENTIAL RISKS 
 
Emotional distress: it is unlikely that the types of questions participants will be asked in this study will result 
in emotional distress, but we understand that participants may be uncomfortable with answering questions 
about some aspect of their health or other things about them. To minimize this risk, we will let participants 
know they may choose not to answer any study questions and can still be involved in the study. 
 
Breach of confidentiality: we will be collecting some elements of personal health information necessary for 
the study. To minimize breaches of confidentiality, all data will be stored on a secure UNC server and paper 
information will be stored in locked filing cabinets in the office of a study team member, and only approved study 
personnel will have access to those data. 
 
Risks of Exercise: The physical activity coach will give participants information on exercise programs appropriate 
for people with OA. This information follows guidelines recommended by physicians and researchers. However, 
exercise programs may be associated with risk of injury, muscle soreness, and joint pain. The risk of sudden 
death during physical activity is about 1 death per 656,000 hours of physical activity. In general, the risk of these 
events with moderate physical activity is very low. 
 

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2.2.2. KNOWN POTENTIAL BENEFITS 
Participants may experience improvements in pain, physical function or other symptoms related to OA, from 
participating in the OA-PCP program. It is possible that this study may not benefit participants directly, but 
participation in this study may lead to information that can benefit other patients with knee and hip OA, as well as 
their health care providers. 
 
 
2.2.3 ASSESSMENT OF POTENTIAL RISKS AND BENEFITS 
This is a minimal risk study with physical risks that are comparable to those that would be encountered with 
exercise programs in clinical or community settings.  Furthermore, we do not anticipate any significant 
psychological, social, financial, or legal risks to be associated with participation in this study.  Given the high and 
increasing rate of OA, the persistent deficits of physical inactivity, and the lack of a standard, evidence-based 
approach to address these deficits in primary care settings, we believe the value of the information to be gained 
outweighs the risks of participation in the study. 
 
3  
STUDY OBJECTIVES AND ENDPOINTS  
 
OBJECTIVES 
ENDPOINTS 
JUSTIFICATION FOR ENDPOINTS 
Primary 
Obtain data on the 
efficacy of the OA-PCP 
program on objectively 
assessed PA, measured 
via accelerometer. 
 
 
MVPA (primary metric), light 
intensity activity, sedentary 
minutes, step counts and 
other PA metrics, assessed 
at baseline and 4 months.   
 
 
MVPA was chosen as the primary metric 
because it corresponds to Department of 
Health and Human Services (DHHS) PA 
recommendations.  Other complementary PA 
metrics are also important for describing the 
overall activity patterns of participants.  The 
4-month time point corresponds to the end of 
OA-PCP calls.    
Secondary 
Obtain data on the 
efficacy of the OA-PCP 
program with respect to 
improvement in self-
reported physical 
function and pain.  
 
Western Ontario and 
McMaster Universities 
Osteoarthritis Index 
(WOMAC) pain and function 
subscales, assessed at 
baseline and 4 months. 
These secondary metrics will be assessed 
because they are key outcomes in OA and 
can be improved with regular PA. The 4-
month time point corresponds to the end of 
OA-PCP calls  
 
4  
STUDY DESIGN 
 
4.1  
OVERALL DESIGN   
This study will be a single group pilot trial of the refined OA-PCP among n=60 patients with 
knee and/or hip OA in primary care clinics.  
 
We will conduct this pilot trial in primary care clinics that differ in terms of practice size and urban / rural location, 
with advisement on clinic selection from the North Carolina Network Consortium (NCNC) Core Team. Study 
patients will complete assessments at baseline and 4 months, with the latter allowing about a one-month period 

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following completion of one PA counseling follow-up call. This will allow a sufficient initial assessment of the 
feasibility and acceptability of the OA-PCP.  
 
4.2   
SCIENTIFIC RATIONALE FOR STUDY DESIGN 
 
See section 2.1 
 
4.3 
JUSTIFICATION FOR INTERVENTION 
 
The Scientific Premise and Prior Studies sections above describe the prior literature, recommendations and 
preliminary studies that have informed development and refinement of the OA-PCP components.  The number, 
frequency and types of contacts were selected based on feasibility to deliver within CMS CCM services.  Content 
of each PA counseling contact is based on scientific evidence related to behavior change and successful 
strategies for increasing PA 20,27,35,63.    
 
4.4  
END-OF-STUDY DEFINITION 
 
A participant is considered to have completed the study if he or she has completed 4-month follow-up 
assessment.  
 
5   
STUDY POPULATION  
 
5.1  
INCLUSION CRITERIA 
 
Participants need to be age 65 or older, and have, in addition to OA, one other chronic health condition that 
qualified under CCM guidelines, including: diabetes, depression, hypertension, hyperlipidemia, heart failure, atrial 
fibrillation, ischemic heart disease, stroke/TIA, peripheral vascular disease, COPD, bronchiectasis, asthma, 
rheumatoid arthritis, osteoarthritis, HIV/AIDS, chronic kidney disease, hepatitis (chronic & viral B & C) and 
osteoporosis.  Other inclusion criteria are:  1) Self-reported current symptoms in a joint with OA, using the 
following validated item: “Do you have pain, aching or stiffness in your knees/hips on most days?” 64. Patients 
also had to self-report a pain score of ≥3 on a 0-10 numeric scale (0=no pain, 10=extreme pain), which is an 
approach recommended by the Osteoarthritis Research Society International Clinical Trial Guidelines 65.  2) Self-
reported physical activity <150 minutes per week, which aligns with public health recommendations. We will use 
the Physical Activity Vital Sign (PAVS) 29,66-68, which includes the following two questions:  1. “On average, how 
many days a week do you engage in moderate to strenuous exercise (like a brisk walk)?” 2. “On average, how 
many minutes do you exercise at this level?”  The PAVS has been implemented in a large health care system, 
showing good face and discriminant validity 29,30.  We also selected this physical activity screening approach 
because it would be feasible to administer in primary care settings as part of implementing OA-PCP.   
 
5.2  
EXCLUSION CRITERIA 
 
Exclusion Criteria and Sources of Information  
Criterion  
EMR 
Phone Screening  
Pain in chest when performing 
physical activity 
 
X 
Pain in chest when not performing 
physical activity 
 
X 
Loss of balance because of dizziness 
or loss of consciousness 
 
X 
Recommendation from doctor to only 
perform physical activity under 
medical supervision 
 
X 

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No documented diagnosis of knee or 
hip OA 
X 
 
Dementia 
X 
X 
Psychosis 
X 
 
X 
Active Substance abuse disorder 
X 
X 
Total knee or hip replacement 
surgery, meniscus tear, ligament tear, 
or other significant lower extremity 
injury or surgery in the last 6 months 
X 
X 
Severe hearing or visual impairment 
X 
X 
Serious/terminal illness as indicated 
by referral to hospice or palliative care 
X 
X 
Unstable angina 
X 
X 
Hospitalization for cardiovascular 
event in last 6 months 
X 
X 
History of ventricular tachycardia 
X 
X 
Unstable chronic obstructive 
pulmonary disease (2 hospitalizations 
within the previous 6 months and/or 
on oxygen) 
X 
X 
Stroke with moderate to severe 
aphasia 
X 
X 
Recent history (last 6 months) of 
three or more falls 
 
X 
Planning total joint replacement in 
next 6 months 
 
X 
Other health problem that would 
prohibit safe physical activity 
participation 
 
X 
Current participation in other study 
related to knee or hip osteoarthritis or 
physical activity 
 
X 
Unable to speak English 
X 
X 
 
 
5.3  
LIFESTYLE CONSIDERATIONS 
N/A 
 
5.4  
SCREEN FAILURES 
 
Screen failures are defined as participants who consent to participate in this study but are not subsequently 
assigned to the study intervention or entered in the study. Individuals who do not meet the criteria for participation 
in this trial (screen failure) because of meeting one or more exclusion criteria (e.g., development of an 
exclusionary health condition) will not be rescreened.   
 
5.5.  
STRATEGIES FOR RECRUITMENT AND RETENTION  
 
Potential participants will first be identified from among patients of participating primary care providers in UNC 
clinics, using the electronic medical record (EMR). Specifically, we will identify patients age 65 and older with 
diagnosis codes for knee or hip OA (M17.0, M17.10, M17.11, M17.12, M17.2, M17.30, M17.31, M17.32, M17.4, 
M17.5, M17.9, M16.0, M16.10, M16.11, M16.12, M16.2, M16.30, M16.31, M16.32, M16.4, M16.50, M16.51, 
M16.52, M16.6, M16.7, M16.9, M19.90, M19.91, M19.92, M19.93, M15.0 (primary, generalized OA)), a diagnosis 
code for at least one qualifying comorbid health condition under CCM guidelines listed above, and no diagnosis 
codes for exclusionary health conditions. Primary care providers will be asked to review lists of patients eligible 

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based on the EMR and approve a final list of patients to contact.  These patients will be mailed an introductory 
letter, signed by their primary care provider (to illustrate providers’ endorsement and support), and then called by 
a study team to further assess eligibility.  Patients who are eligible and interested in participating will complete a 
verbal consent process and be mailed or emailed a HIPAA wavier form to sign and return.  Then participants will 
complete baseline assessments via telephone and be mailed an accelerometer for physical activity assessment.  
Participants will be paid $25 for completing each phone-based assessment and $15 for returning the 
accelerometer at each time point.   
All participants will receive the OA-PCP intervention. Participants will have regular contact with an interventionist 
throughout the study period. Based on our prior studies, we believe this will enhance retention. In addition, we 
believe that the lack of requirement for any in-person study visits will enhance both recruitment and retention.  To 
facilitate completion of recruitment calls, as well as baseline and follow-up assessment calls, we will call 
participants on different times of day and different days, across multiple weeks.  We have used this strategy 
successfully in prior studies to reach participants at times convenient to them.  
 
6.0  
STUDY INTERVENTIONS  
6.1  
STUDY INTERVENTION ADMINISTRATION 
 
As summarized in Figure 2, the OA- PCP will include four phases. 
 
 
Phase 1: Physical Activity Screening: This component of the OA-PCP will be completed as described 
above for the enrollment process. 
Phase 2:  Brief PA Counseling:  This will be delivered via phone by the PA Counselor (akin to “care assistant” 
in the CCM model), who will be trained in relevant aspects of PA and motivational interviewing.  The content 
for the initial call is designed to be brief enough that it can be embedded within a routine CCM call; future calls 
are even shorter.  We have developed detailed scripts for all OA-PCP calls.  At the beginning of the first call, 
the counselor will assess participants’ Stage of Change for PA based on previously developed definitions: pre- 
contemplation (not ready to increase PA right now), contemplation (getting ready to increase PA, intend to 
within the next 6 months), preparation (ready to increase PA within the next month), action (have been 
increasing PA during the past 6 months) and maintenance (have been regularly active for at least 6 months, 
focused on avoiding setbacks). The content of the remainder of the call will be tailored to participants’ Stage of 
Change.  This is a patient-centered approach and also allows the calls to be briefer, since only relevant 
components are delivered. There are 4 potential components for the first counseling call (depending on Stage 
of Change); these are based on prior studies and recommendations for behavior change interventions. The 
following is a brief description of each: 
1. Description of the Benefits and Appropriateness of PA for OA: Content includes a summary of benefits of 

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PA and basic information for safe, appropriate PA in the context of OA. In accordance with OA treatment 
guideless and DHHS recommendations69,70, the PA counselor will recommend that participants incorporate 
aerobic, strengthening and stretching activities in a comprehensive approach to PA. With regard to aerobic 
activity, the PA counselor will encourage participants that a good long-term goal is to do 150 minutes of 
moderate intensity activity per week, per DHHS recommendations 70. However, the counselor will also stress 
the value and health benefits of interim goals when increasing amount of weekly aerobic activity. With respect 
to strengthening exercises, participants will be encouraged to perform these at least twice per week on non-
consecutive days. Lower extremity strengthening exercises will be emphasized. Participants will be 
encouraged to perform stretching exercises daily. Instructions and example strengthening and stretching 
exercises are included in the Arthritis Foundation brochure described below. 
2. Discussion of Preferences for PA and Identifying Appropriate PA Resources: The counselor will ask 
participants brief questions to understand types of PA they enjoy most and are likely to engage in. Based on 
this information, the counselor will recommend specific PA programs resources; a summary of these resources 
will be mailed and / or emailed to the participant. This will lead directly to Phase 3 of the OA-PCP intervention, 
described below. 
3. PA Goal-Setting: The counselor will work with participants to establish and document PA goals, with an 
initial focus on the next 2 weeks (before check-in call; Figure 2). The counselor will talk with participants about 
potential barriers and use a problem-solving approach to address each one. 
4. Discussion of Plans for Dealing with Setbacks: For participants who are regularly active, having plans for 
dealing with setbacks helps to avoid discouragement and prolonged time away from PA. The counselor will 
give tips for identifying setbacks early and work with participants to identify strategies for dealing with these. 
Motivational interviewing (MI) principles will be used throughout the phone call and will be a particular 
emphasis for individuals in the pre-contemplation and contemplation stages. These principles are woven into 
our phone scripts. MI is a key behavior change strategy that can elicit participants’ own motivations and / or 
ambivalence toward PA 71. This helps individuals to explore and resolve their own, sometimes conflicting 
attitudes toward changing PA behaviors, building autonomy and internal awareness that is essential for long- 
term behavior change. To support topics discussed during the first phone call, participants will be mailed and/ 
or emailed materials including: 1) handouts describing appropriate exercise for people with osteoarthritis, tips 
on PA for people with arthritis (including pain management), instructions for different types of exercise 
(aerobic, strengthening, stretching), and example exercises. 2) A list of PA programs and resources adapted 
for their locality. 3) A worksheet for documenting PA goals. 
Approximately two weeks after the initial call, the PA counselor will contact participants to check in on whether 
they have successfully connected with PA programs or resources discussed, as well as review progress 
toward PA goals and set new goals. Content for this call will be tailored based on the first call. The PA 
counselor will be able to refer to notes from the prior call regarding initial PA goals. If participants have 
encountered any barriers since the first call, they will be addressed and other PA resources identified if 
needed. If participants were not ready to set a PA goal or identify PA resources of interest at the first call, they 
will be invited to do so at call #2. 
5. Follow-up emails: At the first call, the counselor will ask participants to opt-in (or opt-out) to receive follow-up 
emails after the 2-week check in call. For those participants that agree to opt-in, the counselor will email the 
participant at three separate time points (approximately every 3 weeks) prior to the 3-month follow-up call. The 
content of the emails will be based on individual PA goals set during previous check in calls. 
 
 
 
 
 
 
 

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Phase 3:  Linkage to PA Programs and Resources 
There are a large number of OA-appropriate, evidence-based PA resources, and a collection of these 
resources has been developed (and is updated on an ongoing basis) by the OAAA at UNC; a key source for 
informing this 
collection is the 
CDC’s 
Compendium of 
Arthritis Appropriate 
Physical Activity 
and Self- 
Management 
Education 
Interventions. 
Table 2 shows 
representative 
examples of these 
resources, which 
include tools to 
facilitate individual 
PA, as well as 
group-based 
classes. With 
regard to the latter, 
we will perform an environmental scan for programs available within the communities surrounding study clinics; 
this will be facilitated by the OAAA, the Arthritis Foundation’s Online Resource Finder and the Evidence-Based 
Leadership Council. Based on our prior experience, there are many free, appropriate PA programs available in 
communities, including walking groups and classes in senior centers. Local resource information will be use to 
tailor patient handouts. Participants will be able to contact the PA counselor throughout the intervention period 
if they have questions about PA resources, or if they would like information on different resources. We will 
document the frequency and nature of the contacts to inform and refine the intervention. 
Phase 4:  PA Counseling Follow-Up 
The PA counselor will call participants approximately three months following the initial call, again using our 
developed phone scripts and tailored based on earlier calls. For participants who previously set goals and 
identified PA resources to engage with, the counselor will assess progress, identify additional PA resources if 
needed, and work with the participants to set new, longer-term PA goals. If participants did not set goals or 
selected PA resources to try during calls 1 or 2, they will be invited to do so at this time. 
 
6.2  
FIDELITY 
PA Coach will be trained by Dr. Allen and will conduct mock sessions of all OA-PCP calls prior to study initiation.   
 
6.3  
MEASURES TO MINIMIZE BIAS: RANDOMIZATION AND BLINDING  
 
N/A – This is a single group, pre-post pilot trial of the OA-PCP.   
 
6.4  
STUDY INTERVENTION ADHERENCE  
 
The study database will be used to track participants’ completion of all assessment visits, as well as all 
intervention contacts. The coordinator will also maintain close communication with the PA coach regarding 
Table 2.  Example OA-Appropriate PA Resources and Programs 
Self-Directed 
Walk With Ease 
(Self-Directed) 
Resources to help people with arthritis learn to walk safely and regularly. Tools 
include a guidebook, walking diary, example exercises, interactive online resources 
(starting point test, motivational tools, activity log) and a mobile app. COST: Free 
Exercises for 
Chronic Conditions 
Exercise CDs developed by Stanford University, appropriate for people with 
arthritis and other chronic health conditions. COST: $10 
Arthritis Foundation 
Online PA Tools 
Resources including arthritis-friendly exercise videos, workouts, tips for people with 
arthritis. COST: Free 
Group-Based 
Arthritis Foundation 
Exercise Program 
Community-based exercise program; trained instructors cover a variety of range- 
of-motion and endurance-building activities and health education topics. COST: 
Free or low cost, varies by location 
Walk with Ease 
(Group-Delivered) 
Community-based walking program developed by the Arthritis Foundation with 
regular meetings, facilitated by trained leaders.  COST: Typically free 
Fit and Strong 
Community-based PA and behavior change intervention offering stretching, 
balance, and aerobic exercises.  COST: Typically free at Senior Centers 
Tai Chi for Arthritis 
Group classes available at many YMCAs and other community centers. COST: 
Varies from low cost to free 
Arthritis Foundation 
Aquatic Program 
Group classes led by a trained instructor, including joint range of motion, breathing, 
and light aerobic activities. Many community aquatic centers have similar, 
appropriate programs for older adults. COST: Varies based on location, some free 

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intervention delivery.  If participants miss intervention calls, a study team member may assist the PA coach in 
attempting to reach the participant. 
 
6.5  
CONCOMITANT THERAPY 
  
Participants will be permitted to continue any other OA treatment during the course of the study.  
 
7  
STUDY INTERVENTION/ DISCONTINUATION AND PARTICIPANT 
DISCONTINUATION/WITHDRAWAL 
7.1  
DISCONTINUATION OF STUDY INTERVENTION 
 
When a participant discontinues from the OA-PCP intervention but not the study, remaining study procedures 
(e.g., follow-up assessments) will be completed as indicated by the study protocol.  If a clinically significant 
finding is identified after enrollment (e.g. health-related changes that may change the safety level of participating 
in an independent PA program), the investigator or qualified designee will determine if any change in participant 
management is needed. Any new clinically relevant finding will be reported as an adverse event (AE). The data to 
be collected at the time of study intervention discontinuation will include the reason(s) for discontinuing the 
participant from the intervention, and methods for determining the need to discontinue. 
 
7.2  
PARTICIPANT DISCONTINUATION/WITHDRAWAL FROM THE STUDY  
 
Participants are free to withdraw from participation in the study at any time upon request. 
An investigator may discontinue a participant from the study for the following reasons: 
 
• 
Lost-to-follow up; unable to contact subject  
• 
Any event or medical condition or situation occurs such that continued collection of follow-up study data 
would not be in the best interest of the participant or might require an additional treatment that would 
confound the interpretation of the study 
• 
The participant meets an exclusion criterion (either newly developed or not previously recognized) that 
precludes further study participation 
The reason for participant discontinuation or withdrawal from the study will be recorded in the study database.   
Participants who discontinue or are withdrawn will be replaced up to the point of randomization assignment being 
given to the participant.  Once participants are given their randomization assignment, they will be counted toward 
the total study sample size and not replaced.  
 
7.3  
LOST TO FOLLOW-UP 
A participant will be considered lost to follow-up if he or she fails to complete the 4-month follow-up assessment.  
If a participant misses intervention calls prior to the 4-month time point and cannot be contacted during the time 
frame, the study team will still attempt to contact the participant for remaining calls / assessments. The study 
team must attempt to contact a participant at least 3 times, on different days of the week, different times of day, 
and across at least 2 weeks, before they are considered to have missed a visit / assessment or be lost to follow-
up.  These contact attempts will be documented in the study database.  
 
8   
STUDY ASSESSMENTS AND PROCEDURES 
 
8.1  
ENDPOINT AND OTHER NON-SAFETY ASSESSMENTS 

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Measures will be collected at baseline and 4-months by a trained research assistant. Other than the 
accelerometer, measures will be administered via phone.  Participants will be paid $25 for completing each 
phone-based measure and $15 for returning the accelerometer device at each time point.   
Primary Efficacy Outcome:  Objectively Assessed Physical Activity.  
We selected this as the primary study outcome because PA is the target of the intervention, and objective 
assessment has advantages over self-report in terms of accuracy 72. Our specific primary outcome of interest is 
minutes of moderate to vigorous intensity PA (MVPA) per week, since this corresponds to DHHS 
recommendations and is a known predictor of outcomes in patients with OA 73. We will also examine step counts, 
minutes of sedentary activity and other complementary metrics, as these are also important for providing a broad 
picture of PA among participants 74,75.  Each participant will be asked to wear the Actigraph GT3X+ (Pensacola, 
FL), which allows for the collection and manipulation of raw actigraphy data to facilitate accurate assessment of 
PA 76.  Participants will be asked to wear the monitors during all waking hours for 7 days. Following previously 
established thresholds, outcomes will only be computed for participants who wear the accelerometer for 4+ days 
with 10+ hours of daytime wear. Monitors will be worn on the waist, using either an elastic belt or clip, over the 
right hip.  We may ask a subset of participants to wear a wrist-worn monitor in addition to the waist-worn monitor, 
in order to assess acceptability and compare values obtained from monitors worn at the two different sites.  
Accelerometers will be mailed with instructions and a pre-stamped / addressed return envelope.  Several days 
after the accelerometer has been mailed, a study team member will call the participant to review instructions.  A 
phone number will be provided for problems or questions. A second call will be made toward the end of the 7 
days to ask about wear and to remind participants to return the monitor. If participants have not worn the monitor 
enough, they will be asked to wear the monitor a few extra days.  Drs. Hales, Callahan and Allen have been 
involved with projects that have successfully mailed accelerometers to and / or from study participants with OA. 
There have been high rates of adherence (4+ days with 10+ hours of wear); 93% in one study of adults and 
partners with OA and 89% in another of 140 patients with OA, with minimal loss of monitors (< 2%).  In Aim 2 of 
this project, valid accelerometer data were available for 57 participants at baseline (95%) and 52 participants at 
follow-up (86%). Upon return, accelerometer data will be downloaded, compiled into 60s epochs, processed to 
identify wear, non-wear, and sleep periods using current algorithms 77,78, and summarized using cut-points 
developed by Troiano 77 and Mathews 79. These cut-points will allow us to calculate minutes of MVPA, as well as 
sedentary time and step counts.  
 
Secondary Efficacy Outcomes:  
Self-Reported Physical Function. Physical function is a key outcome in OA and can be improved with regular PA 
14,15.  We will assess physical function with the widely used Western Ontario and McMaster Universities 
Osteoarthritis Index (WOMAC) subscale 80,81; it includes 17 items, rated on a Likert scale of 0 (no difficulty) to 4 
(extreme difficulty), that assess difficulty with performing a range of daily activities commonly affected by lower 
extremity OA. The reliability and validity of the WOMAC total score and subscales have been confirmed 81.  In 
patients with hip or knee OA, Bellamy et al. reported internal consistency coefficients (Cronbach’s alpha) 
between 0.86 and 0.95 on WOMAC subscales.   
Pain (WOMAC). We will assess self-reported pain using the WOMAC subscale 14,15; it includes 5 items, rated on 
a Likert scale of 0 (no pain) to 4 (extreme pain), that assess pain during a range of daily activities.  
Exploratory Outcomes: 
Stanford Numeric Rating Scale (NRS) for Fatigue: We will assess self-reported fatigue using the Stanford NRS 
Scale for Fatigue; it includes 1 item, rated on a Likert scale of 0 (no fatigue) to 10 (severe fatigue), that 
assesses fatigue in the past 2 weeks. 
PROMIS Sleep Disturbance Short Form 4a: We will assess self-reported sleep quality, sleep depth and 
restoration associated with sleep using the PROMIS Sleep Disturbance instrument; it includes 4 items, with 5 
response options ranging in value from 1 to 5. 
International Physical Activity Questionnaire (IPAQ): We will assess self-reported physical activity in the last 7 

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days using the IPAQ(93); it includes 7 items, assessing PA in four life domains: job-related work done outside 
the home, recreation, transportation and house and yard work. 
 
Participant Characteristics:  
We will collect the following information to characterize the study sample: age, race / ethnicity, gender, education, 
works status, marital status, body mass index, comorbid illnesses 82, joints with arthritis symptoms, and duration 
of knee / hip OA symptoms.  
 
Feasibility and Acceptability: 
The following metrics will inform feasibility of a larger trial, as well as decisions regarding the number of 
clinics needed to meet recruitment goals and expected rates of retention: 
• 
Proportion of screened patients who meet the PA eligibility criterion (<150 min per week) 
• 
Proportion of screened patients who are eligible overall 
• 
Proportion of patients who consent to participate, along with refusal reasons for those who do not 
• 
Proportion of participants who complete each phase of the intervention and follow-up assessments 
We have developed open-ended questions to assess acceptability of the intervention. Topics include 
acceptability of each intervention component, usefulness of options provided for PA programs / resources, and 
suggestions for increasing the patient-centeredness of the intervention.  

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8.2  
SAFETY ASSESSMENTS 
The study PA coach will be trained to deliver the interventions in adherence to and within the scope of the 
intervention.  If a study team member learns of any adverse events (AEs) that occur in the course of 
participants’ home exercise, this will be documented on the Adverse Events form, as described below.  
 
8.3  
ADVERSE EVENTS AND SERIOUS ADVERSE EVENTS  
 
8.3.1 DEFINITION OF ADVERSE EVENTS 
This protocol uses the definition of adverse event from DHHS Office for Human Research Protections (OHRP): 
Any untoward or unfavorable medical occurrence in a human subject, including any abnormal sign (for 
example, abnormal physical exam or laboratory finding), symptom, or disease, temporally associated with the 
subject’s participation in the research, whether or not considered related to the subject’s participation in the 
research (modified from the definition of adverse events in the 1996 International Conference on 
Harmonization E-6 Guidelines for Good Clinical Practice). 
 
 
8.3.2 DEFINITION OF SERIOUS ADVERSE EVENTS 
This protocol uses the definition of serious adverse event from DHHS OHRP: any adverse event that results in 
death; is life-threatening (places the subject at immediate risk of death from the event as it occurred); results in 
inpatient hospitalization or prolongation of existing hospitalization; results in a persistent or significant 
disability/incapacity; results in a congenital anomaly/birth defect; or based upon appropriate medical judgment, 
may jeopardize the subject’s health and may require medical or surgical intervention to prevent one of the 
other outcomes listed in this definition (examples of such events include allergic bronchospasm requiring 
intensive treatment in the emergency room or at home, blood dyscrasias or convulsions that do not result in 
inpatient hospitalization, or the development of drug dependency or drug abuse). 
 
 
8.3.3 CLASSIFICATION OF AN ADVERSE EVENT 
 
 
 
8.3.3.1 SEVERITY OF EVENT 
All AEs will be assessed by the Principal Investigator (PI) or co-investigators, if the PI is not available.  The 
following guidelines will be used to describe severity:  
 
• 
Mild – Events require minimal or no treatment and do not interfere with the participant’s daily activities.  
• 
Moderate – Events result in a low level of inconvenience or concern with the therapeutic measures. 
Moderate events may cause some interference with functioning. 
• 
Severe – Events interrupt a participant’s usual daily activity and may require systemic drug therapy or 
other treatment. Severe events are usually potentially life-threatening or incapacitating.  Of note, the 
term “severe” does not necessarily equate to “serious”.] 
 
 
 
8.3.3.2 RELATIONSHIP TO STUDY INTERVENTION/EXPERIMENTAL MANIPULATION 
All AEs will have their relationship to study procedures, including the intervention, assessed by the PI or co-
investigators based on temporal relationship and his/her clinical judgment. The degree of certainty about 
causality will be graded using the categories below.  
 

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• 
Related – The AE is known to occur with the study procedures, there is a reasonable possibility that 
the study procedures caused the AE, or there is a temporal relationship between the study procedures 
and the event. Reasonable possibility means that there is evidence to suggest a causal relationship 
between the study procedures and the AE. 
• 
Not Related – There is not a reasonable possibility that the study procedures caused the event, there 
is no temporal relationship between the study procedures and event onset, or an alternate etiology has 
been established. 
 
 
 
8.3.3.3 EXPECTEDNESS 
The PI or Dr. Nelson or Dr. Golightly (co-investigators on the study) will be responsible for determining whether 
an AE is expected or unexpected. An AE will be considered unexpected if the nature, severity, or frequency of 
the event is not consistent with the risk information previously described for the study procedures. 
 
 
8.3.4 TIME PERIOD AND FREQUENCY FOR EVENT ASSESSMENT AND FOLLOW-UP 
The occurrence of an AE or serious adverse event (SAE) may come to the attention of study team members 
during study visits.  All AEs, not otherwise precluded per the protocol, will be captured on the Adverse Event 
Form.  Information to be collected includes event description, time of onset, PI or co-investigator’s assessment 
of severity, relationship to study procedures (assessed only by those with the training and authority to make a 
diagnosis), and time of resolution/stabilization of the event. All AEs occurring while on study will be 
documented appropriately regardless of relationship. All AEs will be followed to adequate resolution. 
Any medical or psychiatric condition that is present at the time that the participant is screened will be 
considered as baseline and not reported as an AE. However, if the study participant’s condition deteriorates at 
any time during the study, it will be recorded as an AE.  
Changes in the severity of an AE will be documented to allow an assessment of the duration of the event at 
each level of severity to be performed. Documentation of onset and duration of each episode will be 
maintained for AEs characterized as intermittent. 
The Project Coordinator will record events with start dates occurring any time after informed consent is 
obtained until 7 (for non-serious AEs) or 30 days (for SAEs) after the last day of study participation.  
Participants are identified in the EMR as a study participant and for each AE/SAE occurrence, research team 
members will receive an alert through EMR. AEs or SAEs may also be reported to study PA coach during the 
course of intervention visits.  Events will be followed for outcome information until resolution or stabilization. 
 
 
8.3.5  ADVERSE EVENT REPORTING 
Once Dr. Allen (or a co-investigator) is contacted about the adverse event, she / he will make a determination 
about the reporting requirements in accordance with UNC IRB guidelines.   
The PI will report all adverse events to the NIH and UNC IRB as soon as possible, but no later than 10 working 
days after the investigator first learns of the event. Additionally, the PI or a co-investigator will report any AEs 
that suggest new or increased risk to participants or others within 7 calendar days of when the PI became 
aware of the information.  For AEs that are not related to participation in the research and do not suggest new 
or increased risks to the participant, these will be reported at continuing review.    
 
 
8.3.6 SERIOUS ADVERSE EVENT REPORTING 
Once Dr. Allen (or a co-investigator) is contacted about a serious adverse event, she / he will make a 
determination about the reporting requirements in accordance with UNC IRB guidelines.  This will include 

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notification of the UNC IRB, as well as the NIH, within 24-hours if a study-related death and within 48 hours if 
another SAE.  
 
 
8.3.7 REPORTING EVENTS TO PARTICIPANTS 
N/A 
 
 
8.3.8  EVENTS OF SPECIAL INTEREST 
N/A 
 
 
8.3.9 REPORTING OF PREGNANCY   
N/A 
 
8.4. 
UNANTICIPATED PROBLEMS 
 
 
8.4.1 DEFINITION OF UNANTICIPATED PROBLEMS 
 
This protocol uses the definition of Unanticipated Problems as defined by the Office for Human Research 
Protections (OHRP). OHRP considers unanticipated problems involving risks to participants or others to 
include, in general, any incident, experience, or outcome that meets all of the following criteria: 
 
(1) Unexpected (in terms of nature, severity, or frequency) given (a) the research procedures that are 
described in the IRB-approved research protocol and informed consent document; and (b) the 
characteristics of the participant population being studied; 
 
(2) Related or possibly related to participation in the research. Possibly related means there is a reasonable 
possibility that the incident, experience, or outcome may have been caused by the procedures involved in 
the research); and 
 
(3) Suggests that the research places participants or others at a greater risk of harm (including physical, 
psychological, economic, or social harm) than was previously known or recognized. 
 
OHRP recognizes that it may be difficult to determine whether a particular incident, experience, or outcome is 
unexpected and whether it is related or possibly related to participation in the research.  OHRP notes that an 
incident, experience, or outcome that meets the three criteria above generally will warrant consideration of 
substantive changes in the research protocol or informed consent process/document or other corrective 
actions in order to protect the safety, welfare, or rights of participants or others.   
The following corrective actions or substantive changes that could be considered in response to an 
unanticipated problem include:  
 

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o 
Changes to the research protocol initiated by the investigator prior to obtaining IRB approval to 
eliminate apparent immediate hazards to subjects;  
o 
modification of inclusion or exclusion criteria to mitigate the newly identified risks; 
o 
implementation of additional procedures for monitoring subjects; suspension of enrollment of new 
subjects;  
o 
suspension of research procedures in currently enrolled subjects;  
o 
modification of informed consent documents to include a description of newly recognized risks;  
o 
provision of additional information about newly recognized risks to previously enrolled subjects. 
 
Only a small subset of adverse events occurring in human subjects participating in research will meet these 
three criteria for an unanticipated problem. Furthermore, there are other types of incidents, experiences, and 
outcomes that occur during the conduct of human subjects research that represent unanticipated problems but 
are not considered adverse events.  For example, some unanticipated problems involve social or economic 
harm instead of the physical or psychological harm associated with adverse events.  In other cases, 
unanticipated problems place subjects or others at increased risk of harm, but no harm occurs.   
 
 
8.4.2 UNANTICIPATED PROBLEMS REPORTING 
All UPs will be reported to UNC IRB within 48 hours of the PI becoming aware of the event. 
 
8.4.3 REPORTING UNANTICIPATED PROBLEMS TO PARTICIPANTS 
Participants will be given any new information gained during the course of the study that might affect their 
willingness to continue participation in the study.  
 
 
9  
STATISTICAL CONSIDERATIONS 
 
9.1  
STATISTICAL HYPOTHESES 
 
As this is an exploratory study, there is no hypothesis testing. Analyses will focus on descriptive comparison of 
baseline and follow-up scores on primary and secondary outcomes.   
 
9.2  
SAMPLE SIZE DETERMINATION 
 
As this is an exploratory study, sample size will be determined on the feasibility of completion within the time 
period, as well as gathering sufficient data and experience to evaluate the feasibility of the intervention. 
 
9.3  
POPULATIONS FOR ANALYSES 
 
The primary analyses will be conducted using an intent-to-treat approach.  Supportive exploratory analyses 
may be conducted to consider samples with greater completion of study intervention visits.  Since this is an 
exploratory trial, the nature of these supportive analyses will be based on observed patterns of intervention 
contacts.  
 
9.4  
STATISTICAL ANALYSES PLAN  
Feasibility metrics (proportions) will be calculated as described above. Based on our prior OA trials and 
other studies (37, 39, 70), we expect that about 90% of patients will be eligible based on the PAVS, about 

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35% of those eligible based on EMR evidence will meet all eligibility criteria and enroll, and the retention 
rate will be about 90%. For measures of feasibility, appropriateness and acceptability administered to 
providers, we will calculate scores (median, range) for each domain, as well as proportions of those who 
agree vs. disagree with each item. For measures of efficacy, we will assess feasibility of administration, 
particularly the proportion of participants with complete accelerometer data. Means and standard deviations 
for continuous variables and percentages for categorical variables will be calculated, and paired t-tests 
assess differences between pre-test and post-test MVPA and secondary outcomes Statistical significance 
will be assessed at the p=0.05 level. 
 
10  
SUPPORTING DOCUMENTATION AND OPERATIONAL CONSIDERATIONS 
 
10.1 
REGULATORY, ETHICAL, AND STUDY OVERSIGHT CONSIDERATIONS 
 
10.1.1 INFORMED CONSENT PROCESS 
 
10.1.1.1 CONSENT AND OTHER INFORMATIONAL DOCUMENTS PROVIDED TO 
PARTICIPANTS 
Consent forms describing in detail the study intervention, study procedures, and risks will be given to the 
participant and verbal documentation of informed consent will be completed prior to starting the study 
intervention.   
 
10.1.1.2 CONSENT PROCEDURES AND DOCUMENTATION 
 
Once a potential participant meets the medical record and telephone screening criteria for eligibility, and is 
interested in participating, the study team member will begin the verbal consenting process by phone.  If the 
participant does not have time to complete the verbal consent, the study team member will arrange a date and 
time to call the participant back. No other study activities will occur until this process is completed.   
 
We will use a UNC IRB approved consent form / script with included language that satisfies the HIPAA 
requirements and outlines the protection of health information utilized in the study.   
 
Verbal informed consent will be obtained by a trained study team member.  The study team member will read 
the IRB approved verbal consent script to the potential participant and provide an opportunity for him/her to ask 
any questions that they may have about the research study.  We anticipate this process to take approximately 
20 minutes, but this time will not be limited should a participant have additional questions or concerns 
regarding the study.  During this phase of the consent process, it will be stressed that the participant is not 
obligated to participate in the study, that participation is completely voluntary, and that he/she may withdrawal 
from the study at any time without penalty.  Also, potential risks from participating in the study will be outlined 
in the consent form, as are the measures taken to protect against study specific risks.  Once the information in 
the consent form is fully reviewed and understood by the individual, he/she will be asked to decide at that time 
if they would like to voluntarily participate in the research study.  If the individual does choose to participate in 
the study, the study team member will document in REDCap the date verbal consent is collected.  Each 
enrolled participant will then be mailed a copy of the consent form to keep for their records.   
 
If after review of the consent form, the potential participant is not sure they would like to participate in the study 
at this time, they may choose to consider the study further, and then contact the study team if they decide later 
that they would like to participate.  

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Once verbal informed consent has been collected, the study team member will mail the participant a HIPAA 
authorization, and no activities will commence until this is received by the study team. 
 
Participants will only be included if they have capacity to give legally effective consent. Additionally, this study 
will only recruit participants whom are English speakers.   
 
 
10.1.2 STUDY DISCONTINUATION AND CLOSURE 
This study may be temporarily suspended or prematurely terminated if there is sufficient reasonable cause. 
Written notification, documenting the reason for study suspension or termination, will be provided by the 
suspending or terminating party to study participants, investigator, funding agency, and regulatory authorities. 
If the study is prematurely terminated or suspended, the PI will promptly inform study participants, the IRB, and 
sponsor/funding agency and will provide the reason(s) for the termination or suspension. Study participants will 
be contacted, as applicable, and be informed of changes to study visit schedule. 
 
Circumstances that may warrant termination or suspension include, but are not limited to: 
• 
Determination of unexpected, significant, or unacceptable risk to participants 
• 
Demonstration of efficacy that would warrant stopping    
• 
Insufficient compliance to protocol requirements 
• 
Data that are not sufficiently complete and/or evaluable 
• 
Determination that the primary endpoint has been met 
• 
Determination of futility 
 
The study may resume once concerns about safety, protocol compliance, and data quality are addressed, and 
satisfy the funding agency, sponsor, IRB or other relevant regulatory or oversight bodies (OHRP, SO). 
 
10.1.3 CONFIDENTIALITY AND PRIVACY 
 
Participant confidentiality and privacy is strictly held in trust by the participating investigators, their staff, the 
safety and oversight monitor(s), and the sponsor(s) and funding agency. This confidentiality is extended to the 
data being collected as part of this study. Data that could be used to identify a specific study participant will be 
held in strict confidence within the research team. No personally-identifiable information from the study will be 
released to any unauthorized third party without prior written approval of the sponsor/funding agency.  
 
All research activities will be conducted in as private a setting as possible. 
The study monitor, other authorized representatives of the sponsor or funding agency, representatives of the 
IRB, regulatory agencies or representatives from companies or organizations supplying the product, may 
inspect all documents and records required to be maintained by the investigator, including but not limited to, 
medical records (office, clinic, or hospital) and pharmacy records for the participants in this study.  
 
The study participant’s contact information will be securely stored on a secure study database for internal use 
during the study. At the end of the study, all records will continue to be kept in a secure location for as long a 
period as dictated by the reviewing IRB, Institutional policies, or sponsor/funding agency requirements. 
 

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Study participant research data, which is for purposes of statistical analysis and scientific reporting, will be 
stored on a secure UNC server. The study data entry and study management systems used by research staff 
will be secured and password protected. At the end of the study, all study databases will be de-identified and 
archived on a secure UNC server. 
 
Measures Taken to Ensure Confidentiality of Data Shared per the NIH Data Sharing Policies  
It is NIH policy that the results and accomplishments of the activities that it funds should be made available to 
the public (see https://grants.nih.gov/policy/sharing.htm). The PI will ensure all mechanisms used to share data 
will include proper plans and safeguards for the protection of privacy, confidentiality, and security for data 
dissemination and reuse (e.g., all data will be thoroughly de-identified and will not be traceable to a specific 
study participant). Plans for archiving and long-term preservation of the data will be implemented, as 
appropriate.  
 
Certificate of Confidentiality  
To further protect the privacy of study participants, the Secretary, Health and Human Services (HHS), has 
issued a Certificate of Confidentiality (CoC) to all researchers engaged in biomedical, behavioral, clinical or 
other human subjects research funded wholly or in part by the federal government.  Recipients of NIH funding 
for human subjects research are required to protect identifiable research information from forced disclosure per 
the terms of the NIH Policy (see https://humansubjects.nih.gov/coc/index). As set forth in 45 CFR Part 
75.303(a) and NIHGPS Chapter 8.3, recipients conducting NIH-supported research covered by this Policy are 
required to establish and maintain effective internal controls (e.g., policies and procedures) that provide 
reasonable assurance that the award is managed in compliance with Federal statutes, regulations, and the 
terms and conditions of award. It is the NIH policy that investigators and others who have access to research 
records will not disclose identifying information except when the participant consents or in certain instances 
when federal, state, or local law or regulation requires disclosure. NIH expects investigators to inform research 
participants of the protections and the limits to protections provided by a Certificate issued by this Policy. 
 
10.1.4 FUTURE USE OF STORED DATA 
 
Data collected for this study will be analyzed and stored on a secure UNC server. After the study is completed, 
the de-identified data will be made available to other researchers, available by request to the PI. Investigators 
requesting study data must adhere to regulatory requirements for data use (e.g., IRB approvals, data use 
agreements). No biological samples are collected for this study. 
 
10.1.5 KEY ROLES AND STUDY GOVERNANCE 
 
Principal Investigator 
Kelli D. Allen, PhD 
University of North Carolina at 
Chapel Hill  
3300 Thurston Bldg, CB #7280 
Chapel Hill, NC  27599-7280 
919-966-0558 
kdallen@med.unc.edu 
 
 
10.1.6 SAFETY OVERSIGHT 

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Because this study involves only survey-based assessments and participation in mild / moderate physical 
activity programs, this is a minimal risk study we do not believe it requires a data safety monitoring board.  
However, we will appoint a board or independent safety monitor if advised by the NIH. 
 
10.1.7 CLINICAL MONITORING 
 
Since this is a single site study there will not be site visits conducted by the PI or co-investigators.  However, 
we will monitor the fidelity of intervention delivery as described above.   
 
 
10.1.8 QUALITY ASSURANCE AND QUALITY CONTROL 
 
Quality control (QC) procedures will be implemented as follows: 
 
Informed consent --- During the consenting process, the study team member will review the completed consent 
document to ensure the participant has signed and dated the consent form accurately prior to completing any 
other study activities.   
 
Source documents and the electronic data --- No data will be captured on source documents; all data from 
study measures and study interventions will be entered directly into the study database.   
 
Intervention Fidelity — Consistent delivery of the study interventions will be monitored throughout the 
intervention phase of the study. Procedures for ensuring fidelity of intervention delivery are described in Section 
6.2  
 
Protocol Deviations – The study team will review protocol deviations on an ongoing basis and will implement 
corrective actions when the quantity or nature of deviations are deemed to be at a level of concern. 
 
Should independent monitoring become necessary, the PI will provide direct access to all trial related sites, 
source data/documents, and reports for the purpose of monitoring and auditing by the sponsor/funding agency, 
and inspection by local and regulatory authorities. 
 
 
10.1.9 DATA HANDLING AND RECORD KEEPING 
 
 
10.1.9.1 DATA COLLECTION AND MANAGEMENT RESPONSIBILITIES 
Study data will be stored on a secure UNC server in a folder accessible only to IRB-approved study team 
members. We will use REDCap to store all patient information and dispositions, responses to screening and 
outcome assessments. REDCap is a secure web application supported at UNC that can be used to build and 
manage case report forms, surveys, and other data capture mechanisms.   
 
 
10.1.9.2 STUDY RECORDS RETENTION 
 
Research study records will be maintained for no less than 6 years following the completion of the study, after 
which time personal identifying information will be removed.  Research information in a subject’s medical 
record will be kept indefinitely. No records will be destroyed without the written consent of the sponsor/funding 
agency, if applicable. It is the responsibility of the sponsor/funding agency to inform the investigator when 
these documents no longer need to be retained. 

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10.1.10 PROTOCOL DEVIATIONS 
 
This protocol defines a protocol deviation as any noncompliance with the clinical trial protocol,  
ICH GCP, or Manual of Procedures (MOP) requirements. The noncompliance may be either on the part of the 
participant, the investigator, or the study site staff. As a result of deviations, corrective actions will be 
developed by the site and implemented promptly.  
 
These practices are consistent with ICH GCP:  
• 
Section 4.5 Compliance with Protocol, subsections 4.5.1, 4.5.2, and 4.5.3  
• 
Section 5.1 Quality Assurance and Quality Control, subsection 5.1.1  
• 
Section 5.20 Noncompliance, subsections 5.20.1, and 5.20.2.  
 
It will be the responsibility of the site investigator to use continuous vigilance to identify and report deviations 
that impact participant safety to the UNC IRB within 7 business days of the time the PI becomes aware to the 
event, if the protocol deviation harmed participant(s) or others or placed participant(s) or others at increased 
risk of harm. Otherwise, protocol deviations/violations that occur but do not affect participant safety will be 
submitted with the routine safety reports as noted. Protocol deviations will be sent to the reviewing IRB per 
their policies. The site investigator will be responsible for knowing and adhering to the reviewing IRB 
requirements. Further details about the handling of protocol deviations will be included in the MOP. 
 
 
10.1.11 PUBLICATION AND DATA SHARING POLICY 
This study will be conducted in accordance with the following publication and data sharing policies and 
regulations: 
 
- 
National Institutes of Health (NIH) Public Access Policy, which ensures that the public has access to 
the published results of NIH funded research. It requires scientists to submit final peer-reviewed journal 
manuscripts that arise from NIH funds to the digital archive PubMed Central upon acceptance for 
publication. 
 
This study will comply with the NIH Data Sharing Policy and Policy on the Dissemination of NIH-Funded 
Clinical Trial Information and the Clinical Trials Registration and Results Information Submission rule. As such, 
this trial will be registered at ClinicalTrials.gov, and results information from this trial will be submitted to 
ClinicalTrials.gov. In addition, every attempt will be made to publish results in peer-reviewed journals.  Data 
from this study may be requested from other researchers after the completion of the primary endpoint by 
contacting the study PI.  Considerations for ensuring confidentiality of these shared data are described in 
Section Error! Reference source not found. 
 
 
10.1.12 CONFLICT OF INTEREST POLICY 
 
The independence of this study from any actual or perceived influence is critical. Therefore, any actual conflict 
of interest of persons who have a role in the design, conduct, analysis, publication, or any aspect of this trial 
will be disclosed and managed. Furthermore, persons who have a perceived conflict of interest will be required 
to have such conflicts managed in a way that is appropriate to their participation in the design and conduct of 
this trial. The study leadership in conjunction with the National Institute on Aging has established policies and 
procedures for all study group members to disclose all conflicts of interest and will establish a mechanism for 
the management of all reported dualities of interest. 

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10.2 
ADDITIONAL CONSIDERATIONS 
N/A 
 
10.3  ABBREVIATIONS 
 
AE 
Adverse Event 
CCM 
Chronic Care Management  
CMS 
Center for Medicare and Medicaid Services  
CoC 
Certificate of Confidentiality 
CFR 
Code of Federal Regulations 
DHHS 
Department of Health and Human Services 
EMR 
Electronic Medical Record 
GCP 
Good Clinical Practice 
HIPAA 
Health Insurance Portability and 
Accountability Act of 1996 
ICH 
International Council on Harmonisation  
IPAQ 
International Physical Activity Questionnaire 
IRB 
Institutional Review Board 
MOP 
Manual of Procedures 
MI  
Motivational Interviewing  
MVPA 
Moderate to Vigorous Intensity Physical 
Activity 
NCNC 
North Carolina Network Consortium 
NIH  
National Institutes of Health 
OA 
Osteoarthritis 
OAAA 
Osteoarthritis Action Alliance  
OARSI 
Osteoarthritis Research Society International  
OA-PCP 
Osteoarthritis Physical activity Care Pathway 
OHRP 
Office for Human Research Protections 
ORBIT 
Obesity-Related Behavioral Intervention 
Trials 
PA 
Physical Activity 
PI 
Principal Investigator 
PROMIS 
Patient-Reported 
Outcomes Information System 
QC 
Quality Control 
SAE 
Serious Adverse Event 
NRS 
Stanford Numeric Rating Scale (NRS) for 
Fatigue 
UNC 
University of North Carolina 
WOMAC 
Western Ontario and McMaster Universities 
Osteoarthritis Index 
 
 
 
 
 

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10.4 
PROTOCOL AMENDMENT HISTORY 
 
Version 
Date 
Description of Change  
Brief Rationale 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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