Elucidation of the Influence of Sleep Apnea on Risk of Atrial Fibrillation
Phase: NA
Conditions: Sleep Apnea, Atrial Fibrillation
Sponsor: The Cleveland Clinic

 
 
 
 
 
 
 
 
 
Study Protocol and Statistical Analysis Plan 
 
Elucidation of the Influence of Sleep Apnea on Risk of Atrial 
Fibrillation 
 
NCT02576587 
 
Document Date: 03/01/2016 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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STUDY PROTOCOL 
Elucidation of the Influence of Sleep Apnea on Risk of Atrial Fibrillation 
 
1.  ABSTRACT 
 
The NHLBI strategic plan has highlighted a need to identify strategies to halt the atrial 
fibrillation (AF) epidemic and reduce its related morbidity and financial burden. The 
growing rate of AF, with projections of afflicting up to 16 million individuals by the year 
2050, is not fully explained by known risk factors, underscoring the need to identify 
novel triggers. Sleep-disordered breathing (SDB) is common in patients with 
cardiovascular disease and its attendant hypoxemia and autonomic dysfunction create 
a milieu that is likely to enhance AF propensity.  Thus, SDB may represent a novel 
target for AF prevention and treatment strategies. Although our prior cross-sectional 
work has shown a 2-4 fold higher odds of AF related to SDB, these and other reports 
have not included cardiac structural data or autonomic/biochemical measures, and have 
addressed only arrhythmic events occurring during an overnight sleep study. In this 
proposal, we will examine paroxysmal AF (PAF), an early stage risk factor for persistent 
AF, and relevant to this proposal because it occurs prior to extensive cardiac electrical 
remodeling/fibrosis. PAF provides an ideal setting to investigate the immediate 
influences of SDB and examine temporal patterns given its intermittent nature. We will 
perform a case control study with each group matched on important confounders such 
as age (±5 years), gender, race (white versus non-white), and obesity (+/-2 kg/m2) and 
characterized using detailed collection of overnight sleep study data, echocardiographic 
measures, biomarkers and 7-21 day continuous ECG monitoring. Cases (PAF, n=150) 
will be recruited from our local AF clinics, and controls (n=150) from medicine and 
cardiology clinics. The following existing gaps will be addressed: clarify the extent that 
respiratory event frequency, apnea subtype (obstructive versus central), and hypoxia 
are associated with PAF independent of cardiac structural abnormalities (i.e. systolic 
dysfunction and left atrial enlargement); explore the extent to which cardiac morphology, 
pathways of inflammation/oxidative stress and autonomic dysfunction mediate the SDB-
PAF relationship and identify whether temporal patterns of AF paroxysms differ in 
patients with SDB. 
Data generated from this research is key for developing new strategies to reduce AF-
related morbidity including stroke, heart failure and also death. Expected results will be 
of high impact given ability to identify and inform future screening and treatment 
approaches for management and/or prevention of AF and identify key outcomes for 
clinical trials. 
 
The primary aims of the study are to: 
 
SA 1. Quantify the extent that SDB and its subtypes are associated with PAF. SDB will 
be assessed by the standard metric: the Apnea Hypopnea Index (AHI) and also Central 
Apnea Index, Periodic Breathing, Obstructive Apnea Hypopnea Index and % sleep time 
<90%SaO2. For each, exposure response relationships and thresholds that confer 
increased risk for PAF will be defined.   

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SA 2. Examine PAF burden (defined as frequency of paroxysms over a 24 hour period 
and average duration of paroxysms) via 7-21 day continuous ECG monitoring relative to 
SDB in those with PAF.  
 
SA 3. Examine the effects of SDB (AHI>15) treatment for 3 months on PAF burden and 
also measures of autonomic function, cardiac morphology and biochemical measures in 
those with SDB and PAF.  

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2.  OVERVIEW 
 
The Elucidation of the Influence of Sleep Apnea on Risk of Atrial Fibrillation study 
Is employs a case control study design to investigate the extent to which there is an 
independent relationship of SDB and PAF. Cases will be defined as clinically identified patients 
with PAF and controls as those without AF. In order to rigorously address important biologic 
confounding influences, the cases and controls will be individually matched based upon age 
(±5 years), gender, race (white versus non-white), and obesity (+/-2 kg/m2). Those 
participants with both PAF and SDB (Apnea Hypopnea Index, AHI>15) will be asked to return 
for a follow up exam after 3 months of SDB treatment in the Case Dahms Clinical Research 
Unit (DCRU) and the Cleveland Clinic CRU for collection of the same measures collected at 
the baseline exam to observe for any significant changes with the purpose of collecting effect 
size data to inform future clinical trials.  
 
In addition, ten participants with SDB who are CPAP treatment naive with paroxysmal 
AF and 10 control participants will be recruited for a sub- study. The 10 participants of 
the CPAP treatment group undergo MRI scanning before and after 12 weeks of CPAP 
treatment in a 7T imaging protocol designed to study resting state networks at high 
spatial resolution. Cognitive testing and questionnaires will be performed before and 
after treatment. The strength of connectivity between elements of the DMN will be 
compared before and after treatment. Controls will only be given the cognitive battery 
and not undergo the MRI brain scan. 
 
The total duration of the study is 4 years.  The duration for any individual participant is 
up to from one to 13 weeks months, including a 3-month treatment period for those with 
moderate to severe SDB, i.e. AHI>15. 
 
 

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Study Time Line 
                      
Study Year 
1 
2 
3 
4 
5 
Calendar Year 
2011 
2012 
2013 
2014 
2015 
2016 
Quarter 
3 
4 
1
2 
3 
4 
1 2 
3 
4 
1 
2 
3 
4 
1 
2 
3 
4 1 
2
Hiring, Training, Refining 
Protocols 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Study Recruitment 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Collection of ECHO Data 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Collection of Continuous 
ECG Data 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Collection of Biochemical 
Data 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
Data Analysis  
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 
 

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3.  BACKGROUND AND RATIONALE 
 
3. A. 1. Atrial Fibrillation: Burgeoning Epidemic and Need for New Prevention and 
Treatment Approaches. AF is the most common sustained arrhythmia 3, affecting ~2.2 
million individuals in the US 4, and potentially up to 16 million Americans by the year 
2050 5. AF is an independent predictor of mortality 6 and increased stroke, implicated in 
~75,000 strokes per year 7. Annual costs for AF treatment have been estimated at $6.7 
billion, including $2.9 billion for hospitalizations 8. Therefore, improved AF disease 
management strategies are needed to reduce hospitalizations and costs 9. Furthermore, 
AF treatments such as ablation and anti-arrhythmic medications are fraught with 
inconsistent results and pro-arrhythmic side effects 10. There is a critical need to identify 
alternative AF treatment and prevention strategies such as those targeting SDB.   
 
3. A. 2. Paroxysmal Atrial Fibrillation: An Ideal Condition to Examine 
Electrophysiologic Triggers and Diurnal Patterns. PAF is often asymptomatic and 
occurs early in the continuum of persistent AF development 11. Half of those with PAF 
have no obvious cause 12 which may be due to unrecognized triggers such as SDB.  
The longer PAF persists, the more difficult it is to restore sinus rhythm and prevent 
recurrence which emphasizes the need to expeditiously identify and address potential 
contributing factors such as SDB at this stage of disease 13. Patients initially presenting 
with PAF often progress to longer, non–self-terminating bouts 13. Importantly, PAF often 
begins before electrical and extensive structural cardiac remodeling has occurred and 
provides an ideal substrate for examining acute physiologic triggers such as those that 
occur in SDB. In individuals with symptomatic PAF, there is a 12:1 ratio of 
asymptomatic versus symptomatic episodes 14, therefore continuous ECG monitoring is 
helpful to provide more detailed, objective data on paroxysms as described in the 
current proposal. Furthermore, unlike continuous AF, which does not allow reliable 
detection of autonomic dysregulation via heart rate variability (HRV) indices from ECG 
data; in PAF, HRV analyses for autonomic function assessment can be derived from the 
normal sinus rhythm (NSR) period data. 
 
3. A. 3. Atrial Fibrillation: Unexplained Risk. Given the excess burden of AF and also 
high prevalence of SDB (~10-15%) 15, there is a need to better understand AF risk as it 
pertains to SDB. Hypertension is a risk factor for AF possibly via mechanisms of atrial 
fibrosis 16 and left ventricular hypertrophy resulting in atrial dilatation 17. Obesity is a risk 
for incident AF based upon Framingham data 18. A graded relationship between body 
mass index and progression from PAF to permanent AF in a longitudinal cohort followed 
over a 21-year period has also been described 19. However, the role of SDB was not 
assessed in either study. As increasing SDB has coincided with the obesity epidemic, it 
is reasonable to suspect that unrecognized SDB would be a contributor to the AF 
epidemic. Heart failure is also a significant AF predictor 20 and other bidirectional 
relationships are likely at play. Despite identification of these AF risk factors 21, 
Framingham data as a whole have shown an increased AF prevalence even after 
adjusting for these known risks 22. Hence, the underlying explanations of increasing AF 
prevalence have not been completely realized, and investigation of other biologically 

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SLEEP 
DISORDERED 
BREATHING 
 
INDICES: 
 
Apnea Hypopnea 
Index (AHI) 
 
% Sleep Time 
<90% SaO2 
 
Central Apnea 
Index 
 
Periodic Breathing 
 
 Obstructive Apnea 
Hypopnea Index 
 
EEG Arousal Index 
 
PAROXYSMAL 
ATRIAL 
FIBRILLATION 
Sleep 
Fragmentation 
(Arousal Index)
Intrathoracic 
Pressure 
Alterations 
Autonomic 
Instability 
(HRV Indices, 
e.g. HF, LF, 
SDNN)
Intermittent 
Hypoxia/ 
Reoxygenation 
(AHI, % Sleep 
Time <90% 
SaO2)
Myocyte Ion 
Channel 
Alterations 
Oxidative Stress 
(Endothelin-1, F2-
IP, Oxidized LDL) 
Systemic 
Inflammation 
(IL-6, CRP and 
sIL-6R)
Cardiac Structural 
Alterations 
(e.g. LAV, ,LAP,  
RAP, LVEF, LVH, 
LVMI)
Key: Apnea Hypopnea Index (AHI), F2-isoprostanes (F2-IP), High Frequency (HF), Heart Rate Variability 
(HRV), Interleukin-6 (IL-6), C-Reactive Protein (CRP),  Left Atrial Volume (LAV), Left/Right Atrial 
Pressure (L/RAP), Left Ventricular Hypertrophy (LVH), Left Ventricular Mass Index (LVMI),  Left 
Ventricular Ejection Fraction (LVEF), Low Frequency (LF), Soluble Interleukin-6 Receptor (sIL-6R), 
Standard Deviation NN (SDNN) 
DIRECT 
EFFECTS 
INDIRECT 
EFFECTS
Figure 1. 
plausible risks is critical.  The incomplete explanation of AF etiology is “disquieting 
because, in the absence of identifiable predisposing factors, targeting preventive 
therapy is difficult” 13. SDB can be such a factor, and be recognized and managed in 
clinical practice and in AF pathways for prevention. 
 
3. A. 4. Sleep Disordered Breathing 
Potentially Accounts for Unexplained 
Atrial Fibrillation Risk: 
Pathophysiology (Figure 1). SDB is a 
highly prevalent and disabling disorder, 
afflicting ~15% 23 of adults and as many 
as 30-50% 24 of patients with cardiac 
disease. SDB exposes the individual to 
chronic intermittent hypoxemia and wide 
intrathoracic pressure swings altering 
autonomic balance, preload and 
afterload and also enhances 
inflammatory and oxidative stresses, 
which operate to bolster a pro-
arrhythmogenic milieu. Animal and 
human experimental studies have 
identified potential mechanisms by which 
SDB either through direct or indirect pathways alters the functional and cardiac 
structural substrate for AF arrhythmogenesis. 
 
1) Direct SDB Effects Potentially Contributing to PAF. (gray boxes and solid arrows 
in Figure 1) 
a. Intermittent Hypoxia/Reoxygenation. Apneas and hypopneas in SDB are 
associated with oxygen desaturation and ventilatory overshoot hyperoxia. AF is 
associated with activation of hypoxic factors including hypoxia inducible factor-1α (HIF-
1α) 25, 26, a transcription factor which is also up-regulated in SDB 27. The role of hypoxia 
in AF is further exemplified by reduction in post-operative AF with the use of 
supplemental oxygen in those with hypoxia 28. Retrospective clinical data also implicate 
nocturnal hypoxia as a risk of incident AF 29. 
b. Intrathoracic Pressure Alterations. Obstructive apneas and hypopneas cause 
repetitive forced inspiration against a closed airway, which generates substantial 
negative pressures in the chest cavity (approaching  
-65mmHg) 30. These cyclical increased intrathoracic pressures in SDB result in acute 
left atrial and pulmonary vein stretch 30-33 thereby potentially resulting in stretch-
mediated ion channel activation triggering AF.  
c. Autonomic Instability. This is a known AF risk 34, 35 and occurs in SDB via increased 
vagal activity during obstructive apneas and hypopneas as well as post-apnea and 
hypopnea related hypercarbia or hypoxia-induced sympathoexcitation 36, 37. Vagally 
mediated influences favor atrial macroreentry and reduce the effective refractory period, 
whereas sympathetic influences favor abnormal automaticity and triggered atrial activity 

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38. Compelling animal data support attenuation of apnea-mediated AF after autonomic 
blockade (via ganglionated plexi neural ablation) highlighting the importance of the role 
of the autonomic system in SDB and AF 39. HRV analyses have shown increased 
Standard Deviation of NN intervals (SDNN), increased high frequency (HF) and reduced 
low frequency (LF) preceding PAF episodes suggesting that sympathovagal imbalances 
contributing to PAF 40. These data support the value of performing HRV in the proposed 
research to investigate SDB-related autonomic instability triggers in PAF. 
d. Sleep Fragmentation. SDB-related EEG arousals assessed by the arousal index 
based upon polysomnography (PSG) lead to sleep fragmentation and are associated 
with sympathetic activation 41.  
 
2) Indirect SDB Effects Potentially Contributing to PAF. (dashed outlined boxes and 
arrows in Figure 1) 
a. Cardiac Structural Alterations. SDB leads to increased wall stress, increased 
afterload, increased atrial size 32, 33 and impaired diastolic function 32, 42. Our published 
data demonstrate increased left ventricular mass index in SDB compared to those 
without SDB, mechanistically explained by the nocturnal degree of hypoxia 43. Known 
risks for AF include increased left atrial volume and strain, left ventricular hypertrophy 
and left atrial wall motion velocity 44, all which should be measured in any research on 
AF in SDB. 
b. Systemic Inflammation. SDB markers include increased interleukin-6 (IL-6) 45, 
soluble IL-6 receptor (sIL-6R)46 and high sensitivity C-Reactive Protein (hs-CRP) 47. 
Importantly, increased hs-CRP levels are implicated in atrial structural and electrical 
remodeling 48, 49 and increased IL-6 levels have been associated with AF 50.  
c. Oxidative Stress SDB-related intermittent hypoxia-reoxygenation results in oxidative 
stress 51-54 which may alter myocyte ion channel function. Animal data show increased 
oxidized glutathione 55 and NADPH oxidase levels in the left atrial appendage 56 in 
persistent AF. Initiation and perpetuation of AF involves inflammation and oxidative 
stress, e.g. endothelin-1 has been increasingly implicated as a pathogenic factor in AF 
resulting in upregulation of oxidative stress pathways 57-59. There are methods to 
quantify F2-isoprostanes, a recognized marker in SDB 60-62 which are prostaglandin-like 
compounds derived from free radical-catalyzed peroxidation of arachidonic acid. This 
has allowed facile and accurate assessment of oxidative stress in vivo 63 and will be 
measured in the current proposal.  
 
3. A. 5. Sleep Disordered Breathing Potentially Accounts for Unexplained Atrial 
Fibrillation Risk: Clinical and Epidemiologic Data. The existing clinical and 
epidemiologic data in SDB are currently limited by a lack of objective assessments of 
cardiac and autonomic function 2, 64-67, lack of consideration of central apnea 64, 67, 
inconsistent arrhythmia adjudication (Sleep Heart Health Study), insufficient sample size 
66, retrospective data in a skewed population 29 and the SDB data in AF studies depend 
largely on subjective measures (lack of objective sleep study data) 64, 68. 
1) Clinical Data. The published relationships between SDB and AF, while in general 
compelling, have flaws. One well referenced study found a significantly higher 
prevalence of SDB (by questionnaire) in AF patients, many with established structural 

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heart disease, than in age-matched controls 64. In contrast, another study found a 
similar prevalence of SDB in AF patients and controls 66; close reading suggests that 
this study was likely under-powered with a control sample potentially biased towards 
having SDB 66. A small case control study matched for age and sex and excluding those 
with LVEF<50% demonstrated a 3-fold increased adjusted odds of AF in those with 
moderate to severe SDB, but was limited by not taking into account the contribution of 
central sleep apnea and also did not include detailed assessment of cardiac structural 
data or autonomic function measures 67. Although data support that effectively treated 
SDB in compliant patients reduces AF recurrence after cardioversion, the comparison 
group were those non-compliant with SDB treatment, a group perhaps more likely to 
engage in other unhealthy behaviors increasing AF recurrence 69. There are also 
conflicting data as to whether SDB predicts procedural failure after AF ablation 68, 70.  
2) Epidemiologic Data. We have performed epidemiologic observational studies which 
have demonstrated statistically significant associations of SDB and AF (odds ratio point 
estimates of 2-4) even after taking into account a host of potential confounding factors such 
as age, sex, race, body mass index, and self-reported co-morbidities such as hypertension, 
diabetes mellitus, cardiovascular disease and heart failure 1, 2. A major limitation of these 
large-scale studies is dependence on self-reported diagnoses and a lack of objective 
cardiac function data to account for the confounding influence of structural cardiac disease. 
Even when examining the association of Central Sleep Apnea-Cheyne Stokes Respirations 
(CSA-CSR) with AF, the directionality is unclear, as CSR-CSA could either predispose to 
AF development or merely represent a marker of cardiac dysfunction leading to AF. Other 
limitations include lack of measurement or consideration of markers of autonomic function, 
systemic inflammation, oxidative stress and consideration of only nocturnal ECG data from 
the sleep study to ascertain AF.  
 
 
 
 
 
 
 
 
 
 
The goal of the current application is to address the shortcomings of existing data by the detailed 
collection of cardiac structural data, autonomic function and biomarkers of inflammation oxidative 
stress and careful consideration of these influences in the SDB-PAF relationship. Relationships of 
obstructive and central apnea with PAF will be explored. We will also investigate interactions of PAF 
and age in SDB given our prior work showing increased odds of arrhythmia with younger age 1.  
Moreover, diurnal variation of PAF with SDB will also be examined given the immediate and chronic 
SDB-related physiologic stresses (i.e. intermittent hypoxia, intrathoracic pressure alterations and 
autonomic influences). Furthermore, effects of SDB treatment on PAF will also be examined to 
provide data for future studies. 

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4.  ORGANIZATIONAL STRUCTURE 
Experts in large-scale epidemiologic studies, engineering, biostatistics and 
electrophysiology will meet weekly during the first several study months and then monthly. 
Case Western Reserve University Administrative Center, (Director: R Mehra, PI): 
Dr. Mehra is an Associate Professor of Medicine at the Cleveland Clinic Lerner College 
of Medicine and Director of Sleep Disorders Research in the Sleep Center of the 
Neurologic Institute. She has acquired experience in clinical trials/epidemiologic 
research with a focus on cardiovascular outcomes. She will oversee the Administrative 
Center which will be charged with providing overall scientific direction and strategic 
planning for the study, ensuring adherence to study objectives and timelines, 
maintaining high levels of data integrity and providing fiscal oversight. Members of the 
center will include a study coordinator, research assistant, sleep technologists, data 
manager and statisticians. The Center will be responsible for development of informed 
consent forms, obtaining IRB approval and enrollment of participants. It will develop 
data collection instruments, provide data management and quality control, closely 
monitor study recruitment, set up meetings and calls and provide minutes. Dr. Kingman 
P. Strohl will serve as the Responsible Principal Investigator at the University Hospitals 
Case Medical Center site to oversee recruitment and data integrity. The Center will 
coordinate the processing and merging of files from the different cores. The statistical 
core will be led by Dr. Jeffrey Albert, Associate Professor of Biostatistics, an expert in 
mediation analysis and causal inferences who will oversee programming of data and 
performing interim and final analyses for manuscript writing. Data Sharing: The Center 
will integrate the collected PSG, ECHO and ECG raw signal data in a customized instance 
of Physio-MIMI system developed by Dr. Zhang (PI) at Case as an NCRR-funded Multi-
CTSA-site project. Data sharing will be facilitated by Physio-MIMI's extensible Role-Based 
Access Control mechanism, which allows for fine-controlled access to data. Curated data 
and application tools will be made available for long-term data sharing and 
dissemination. 
Electrophysiology (EP) /Autonomic Nervous System Physiology Core (Co-Directors: 
Drs. Mackall and Loparo). Dr. Judith Mackall is the Director of the UHCMC EP Center 
with longstanding clinical experience in the care of patients with AF and as an investigator 
in several AF trials. She will work with the PI and administrative center staff to facilitate 
recruitment for the study and provide input in the interpretation and analysis of data.  Dr. 
Kenneth Loparo, Nord Professor of Engineering, will apply his expertise in signal 
processing, system dynamics and nonlinear and stochastic control to the proposal. He 
has an interest in signal processing of sleep study and ECG data and also has worked 
with Dr. Mehra on other projects. Dr. Al Waldo, Director of EP Research at UHCMC, is 
internationally renowned for his extensive contributions and work in the realm of AF 
mechanisms and pathogenesis, and will apply his expertise in the conduct of this study, 
interpreting outcomes and providing input for analyses of data. The Core will establish and 
ensure quality standards, establish standardized procedures for acquisition and processing 
of digitized ECG data and oversee the transmission of incoming raw ECG data to the 
Administrative Center for ECG extraction/spectral analyses applying robust algorithms. 
Echocardiography Core (Director: Dr. Brian Hoit). Dr. Hoit is the Director of the 
Noninvasive Echocardiography Laboratory at UHCMC with extensive experience in 

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noninvasive cardiac testing and will oversee the performance and interpretation of 
ECHOs for the proposed research. The Administrative Center will work with members of 
his team to transfer ECHO data files to the center for analyses. 
 
 
5.  SAMPLE SELECTION 
 
Cases. Patients with PAF who present to Electrophysiology (EP) Clinic at UHCMC and the 
Cleveland Clinic Foundation (CCF) will be approached for recruitment in the study.  
 
Inclusion Criteria for Cases:  1) PAF defined by recurrent episodes of AF, which self-terminate 
within a 7-day period (based upon AHA consensus statement 77), 2) Age 18-80 years, 3) 
Individuals able to participate in > 2 overnight/daytime sleep and physiologic assessments 
over a 3 month period. 
 
Exclusion Criteria for Cases: 1) PAF with rapid or uncontrolled rate (>120bpm), 2) Post-
operative PAF, 3) History of cardiac  ablation or successful electro-cardioversion for PAF 
(ablation for other arrhythmias such as AVNRT and if  PAF persists after cardioversion is 
acceptable ), 4) Valvular stenosis, prosthesis or significant valvular insufficiency [i.e. those 
with moderate or greater severity of aortic stenosis (aortic valve area <1.5 cm2), mitral 
regurgitation which is moderate or more severe in degree (>20% regurgitant fraction) or 
moderate or greater severity mitral stenosis (mitral valve area <1.5 cm2)], 5) Atrial septal 
defect, 6) Infiltrative/restrictive cardiomyopathy, 7) Sick sinus syndrome, 8) Previously 
diagnosed  SDB on specific SDB treatments (CPAP, oral appliances), 9) Severe chronic 
insomnia, 10) Circadian rhythm disorder (e.g. shift work sleep disorder, delayed or advanced 
sleep phase syndrome), 11) Insufficient sleep syndrome defined by reported sleep duration < 
4 hrs, 12) Supplemental oxygen use, 13) Unstable medical conditions (e.g., new onset or 
changing angina, a myocardial infarction or congestive heart failure exacerbation 
documented within the previous 3 months, systolic heart failure (Left Ventricular Ejection 
Fraction < 35%), high grade cardiac dysrhythmia/heart block, stroke with functional 
limitations, uncontrolled hypertension (BP>170/110), abdominal aneurysm >5.5 cm or >1 
cm growth/year, uncontrolled diabetes mellitus (HbA1c>9.0), pulmonary hypertension, non-
skin cancer diagnosis or treatment within the previous year, end stage renal and hepatic 
failure, immunodeficiencies (HIV, HCV), uncontrolled hypo- or hyperthyroidism), 14) 
Psychiatric disorders which are inadequately treated, 15) Compromised competence, 16) 
Alcohol abuse (currently drinks  >5 alcoholic drinks/day), 17) Pregnancy, 18) Inability to 
provide informed consent, 19) Illicit drug use over last 6 months, 20) Rate controlling anti-
arrhythmic medication (Classes I-III and V) with no further clinical occurrence of PAF,  21) 
has an Implantable cardioverter-defibrillator. Rationale for criteria: The goal of this study is 
to include those patients with PAF that is not secondary to the post-operative period or 
valvular disease and without ablation as these processes would result in alteration of atrial 
physiology and preclude assessment of independent SDB effects on AF which is 
independent of these conditions. Patients with sleep disorders will be excluded as sleep 
disorders may influence arrhythmogenesis. Those on treatment for SDB will be excluded 
because treatment would preclude assessment of SDB pathophysiologic effects on atrial 

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arrhythmogenesis. Those with unstable medical conditions or rapid or uncontrolled heart 
rate will be excluded due to safety reasons. 
 
Note: Exclusion criteria for positive airway pressure (PAP) intervention: Central Apnea Index>5 
noted on baseline examination sleep study or evidence of Cheyne Stokes 
Respirations/periodic breathing (cyclical crescendo and decrescendo change in breathing 
amplitude). 
 
We plan to recruit 10 cases with moderate to severe SDB and paroxysmal AF who are 
placed on CPAP to participate in an ancillary study to investigate the effect of CPAP on the 
default mode network, which is a well-established resting state network in the brain that is 
involved in semantic processing and associated with compromise in cognitive task 
performance. 
 
Note: Exclusion criteria for the 7T MRI would include ferrous objects in the body (cochlear 
(ear) implant, brain aneurysm clip, stimulator device, and cardiac pacemaker), severe 
kidney disease, and history of claustrophobia. 
 
Controls. Patients without AF will be recruited from the UHCMC and CCF General Cardiology 
and Internal Medicine clinics (geographically similar to controls). Selection bias will be 
minimized as there are a broad range of reasons for patients to present to these clinics. 
 
Inclusion Criteria for Controls: 1) Age 18 to 80 years, 2) Individuals in normal sinus rhythm 
(NSR) with no current AF or history of AF 3) Individuals able to participate in an 
overnight/daytime sleep and physiologic assessment. 
 
Exclusion Criteria for Controls: Current or history of AF, otherwise the same exclusion 
criteria listed for cases. 
 
We plan to recruit 10 controls without PAF but with moderate to severe SDB to participate 
in an ancillary study to investigate the default mode network, which is a well-established 
resting state network in the brain that is involved in semantic processing and associated 
with compromise in cognitive task performance. The controls will have the cognitive battery 
and questionnaires only. They will not undergo the 7T MRI. 
 
 
MATCHING. Cases and controls will be individually matched to enhance study efficiency and 
precision with more stable odds ratio estimates and narrower confidence intervals. Matching 
will be based upon factors which are biologically strong confounders as follows: 1) age (±5 
years), 2) gender, 3) race (white versus non-white) and 4) obesity (BMI +/-2 kg/m2). 
Recruitment of controls and cases will be contemporaneous given concurrent assessments of 
eligibility (AF status and matching criteria). To ensure appropriate individual matching on the 
factors listed above, a staggered recruitment of controls will occur such that matching 
parameters will change monthly depending upon the distribution of these factors in the case 
group. Statistical code will be written to perform matching of cases and controls with these five 

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variables. If exact control matches are not identified, then unmatched cases will be retained in 
the cue until the next round of matching.  

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6. RECRUITMENT OVERVIEW 
 
The site’s study Research Coordinator will oversee recruitment efforts. Patients with PAF 
who present to Electrophysiology (EP) Clinic at UHCMC and CCF will be approached for 
recruitment in the study. Dr. Bruce Lindsay, Director of CCF EP Program and Dr. Judith 
Mackall (Co-I), Director of the UHCMC EP Center and 6 other electrophysiologists including 
Dr. Al Waldo (Director of Electrophysiology Research, Co-I) comprise the EP clinical team 
along with the EP fellowship program/clinic. Approximately 1,680 new patients/year 
(140/month) with AF are seen in the EP clinics. Of these, ~672 patients/year (~60/month) have 
PAF. Assuming 50% meet eligibility criteria and 50% of those are interested then ~n=168 
patients will be recruited/year (n=14/month). This translates into n=672 potential participants 
over the 4 year recruitment period which far exceeds the n=150 cases required to meet 
sample size requirements. As part of clinical care, PAF patients have echocardiograms, may 
be treated with ablation or anti-arrhythmic medications and often will undergo Holter ECG 
monitoring.  Only those patients with PAF diagnosed within the last 6 months who have not 
undergone ablation will be approached for enrollment. 
 
A screening form will be designed to identify eligibility criteria. Once a person has been 
identified as eligible to participate in the study, written informed consent and HIPAA 
authorization will be obtained.  To maintain general descriptive information about the 
target sample, the screening questionnaires will be entered into a secure research 
database that does not include any personal identification.  All hard copies of this health 
information will be destroyed about all patients who do not meet study criteria and those 
who decline participation. All personal health information collected and retained on site 
prior to obtaining written authorization will be de-linked from identifying personal 
information.  Also, if written authorization is not obtained within 90 days of patients who 
have agreed to participate in the study, their health information will be destroyed. 
 
Recruitment Sites and Sources 
 
At University Hospitals, case participants will be recruited from the Electrophysiology 
(EP) Clinic affiliated with University Hospitals/Case Medical School (including the 
practices of Drs. Judith Mackall, Mauricio Arruda, Ivan Cakulev, Bruce Stambler, 
Robert Goldstein, Mauricio Hong, Jayakumar Sahadevan and Al Waldo along with 
the EP fellowship program/clinic), the Anticoagulation Clinic (Director, Teresa 
Carmen and Cardiac Rehab Clinic (Director Richard Josephson) and the 
Electrocardiogram (event monitor) Lab.  Control participants will be recruited from 
the cardiology and Internal Medicine clinics affiliated with University Hospitals/Case 
Medical Center (including the practices of Drs. M Cunningham, T Wilson, L Greene, 
B Effron, S Madan Mohan, Eric Yasinow, Paula Deuley, Claudia Villabona, James 
Pizzaro, Michael Eckstein, David Cogan, Jyoti Bhatt, and Debra Leizman, George 
Kilkano, Vanessa Maier, Robert Cirino, A. Halle, C. Orringer, and James O’Donnell. 
 

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At Cleveland Clinic, subjects will be recruited from Cardiology, Family Medicine, and 
Internal Medicine clinical practices, referring physicians, and advertisements. All 
advertising materials will be approved by the IRB. Study personnel will screen the 
electronic medical record (EMR) of potential subjects using the adult Cardiology, 
Family Medicine, and Internal Medicines outpatient schedule. 
 
A written waiver of consent will be requested (according to 45 CFR46.117) to 
collect and review health information about prospective subjects prior to 
obtaining written informed consent.  The research involves no more than minimal 
risk.  The waiver will not adversely affect the rights and welfare of the subjects and 
the research could not be conducted without the waiver because the health 
information collected is necessary to ascertain which subjects are eligible to 
participate in the study. 
 
This is a request for partial waiver of HIPAA authorization” to collect health 
information” from screening questionnaires or from the medical records of 
participating electrophysiology clinics. The screening questionnaires will ask health 
questions to screen for sleeping patterns, and personal health information to 
determine which patients would qualify for study participation. The medical record 
screening form identifies eligibility criteria. Once a person has been identified as 
eligible to participate in the study, they will be scheduled for an in-person study visit 
at which time, written informed consent and HIPAA authorization will be obtained.  (If 
the patient is available at the time of the screening, as may occur if the screening 
questionnaire is directly administered, the full screening visit may be conducted at 
that time in an area sufficiently private to provide for confidentiality.  To maintain 
general descriptive information about the target sample, the screening 
questionnaires will be entered into a secure research database that does not include 
any personal identification.  All hard copies of this health information will be 
destroyed about all patients who do not meet study criteria and those who decline 
participation. All personal health information collected and retained on site prior to 
obtaining written authorization will be de-linked from identifying personal information. 
 Also, if written authorization is not obtained within 90 days of patients who have 
agreed to participate in the study, their health information will be destroyed. 
 
 
13. Electronic Record System Utilization 
     Eligibility will be assessed by a study recruiters (Kathryn Clark (UH) and Rawan 
Nawabit (CCF)) and the study coordinator (Joan Aylor (CCF)) using the UH and CCF 
Physician Portal. This will be done by accessing each potentially eligible patient’s 
electronic chart only once in order to review the most recent note from the patient’s 
cardiologist. Information viewed will be used by the study recruiter to check yes or no on 
the study inclusion and exclusion criteria form with no recording of specific results being 
made. These forms are de-identified with only the study id listed. No printouts from the 
Portal will be made. Review of the chart should take no more than 5 minutes per 
patient.  All hard copies of this health information will be destroyed about all patients 

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who do not meet study criteria and those who decline participation. All personal health 
information collected and retained on site prior to obtaining written authorization will be 
de-linked from identifying personal information.  Also, if written authorization is not 
obtained within 90 days of patients who have agreed to participate in the study, their 
health information will be destroyed. 
The reason for requesting access to physician notes on the Portal rather than 
reviewing paper charts is that paper charts are not stored at each clinic but are instead 
stored at an off site locality where they are not accessible for review until 24 hours prior 
to the patient appointment. Because the recruiter is expected to be at a clinic each day, 
he cannot physically review paper charts until the day of clinic but this is disruptive to 
patient care. By utilizing the UH Portal, the recruiter can screen for eligible patients 
without interfering with clinical care. 
If questions arise relevant to eligibility (e.g., degree of renal insufficiency, time since 
free of cancer) that cannot be readily answered by the recruiter, one of the study 
physicians (at UHCMC, Drs. Kingman Strohl, Kristie Ross, Anna May and Rawad 
ElGhoul and at the Cleveland Clinic, Drs. Reena Mehra and Harneet Walia) who already 
has Portal access will use the Physician Portal to access the relevant clinical notes or 
laboratory information to make a judgment on study eligibility. It should be noted that 
this study physician may not be a direct caregiver of the patient. The recruiter will get 
approval from the patient’s physician prior to accessing the patient’s record for 
screening. Access to electronic records will be made at most once per patient by a 
study physician to determine eligibility and only in those cases where staff has been 
unable to make a clear determination through review records in the clinic and interview 
with the patient. We anticipate this will be required in less than 5% of screenings. 
Information viewed will be used by the study physician to check yes or no on the 
inclusion and exclusion criteria with no recording of specific results being made. These 
forms are de-identified with only study id listed. No printouts from the Portal will be 
made. 
    Similarly, in dealing with potential safety concerns, one of the study physicians at 
UHCMC, Drs. Strohl, Ross, May, and ElGhoul and at the Cleveland Clinic, Drs. Mehra 
and Walia) may access the Physician Portal to stratify adverse events. For example, if 
overnight cardiac monitoring reveals bouts of atrial fibrillation, identifying that the patient 
has a history of atrial fibrillation will make this finding a low level adverse event requiring 
only a letter to the patient’s study physician. However, if review of the Physician Portal 
demonstrates the patient has no prior history of atrial fibrillation, this would result in a 
higher level adverse event where the patient’s physician would be contacted within 24 
hours to be notified of this important new finding. Again, the Portal would be accessed 
at most once per adverse event and only if it was unclear if the finding were new (e.g., 
there would be no need if the patient reported he had a history of atrial fibrillation). This 
information will be recorded only in terms of grading adverse events, all of which again 
are on de-identified forms labeled only with a study id and no printouts of Portal 
information will be made. Using the Portal is necessary to obtain information relevant to 
patient safety in a timely manner as requesting paper patient outpatient charts can take 
up to a week. 
 

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7. OUTLINE OF STUDY VISITS  
 
Baseline Visit (SA 1 and 2, Table 1). After informed consent, eligible participants will be 
scheduled to arrive for an overnight visit in the DCRU/CRU within a standardized time 
interval (< 2 weeks) from informed consent. During the evening, participants will undergo 
questionnaire administration, blood pressure measurements, application of the 
MultiSense™ monitoring device, and anthropometry. They will be provided dinner and 
undergo polysomnography (PSG). In the morning, participants will undergo fasting 
venipuncture, overnight urine collection, ECHO, 6 minute walk test and blood pressure 
measurements. For those with PAF (cases), hook-up for continuous ECG monitoring will be 
performed along with education regarding how to handle the device and bathing 
instructions, etc. All measurements in the DCRU/CRU will be performed blinded to PAF 
status. The only unblinded staff will be a dedicated research assistant who will perform the 
ECG monitoring hook-up. Blinded staff will collect and process data and perform data entry. 
After the baseline visit, participants with PAF (n=150) will undergo hook-up of the ECG 
monitor and an activity monitor at the baseline visit to wear for a 7-21 day period. The 
monitors will be picked up by a courier service. If eligible for the 7T MRI sub-study (cases - 
AHI≥15 and agree to CPAP treatment, controls AHI≥15), they will be consented and all 
questions answered.  The individuals who serve as controls who are identified to have 
sleep apnea (AHI>5) or for those with PAF who have an AHI ranging from 5-15 on the 
baseline sleep study in the Clinical Research Unit will be notified of these results and the 
physician will be contacted if the participant provides permission.  
 
 
Follow-Up Visit (SA3). Those with SDB (AHI>15) without evidence of central apnea 
(central apnea index>5) or Cheyne Stokes Respirations via baseline visit PSG and who 
have PAF will undergo the following: 
1. A 5-7 day home-based auto-titration (APAP, Respironics Autopap System One with 
humidifier) to identify the optimal positive airway pressure (PAP) setting will be 
performed (with settings 4-20cm H2O). 
2. Participants will be educated on the use of PAP and mask fit will be optimized.  
3. The research assistant will maintain contact with the participant by telephone during 
the 5-7 days. The research assistant will contact the participant within 24 hours and 
then again within the 5-7 period. During the first 24 hours the overnight data will be 
Table 1. Timeline of Events for SA 1 and 2 
 
EVENING 
MORNING 
5PM          DCRU/CRU Arrival/Intake 
515PM      Questionnaire Administration  
600PM      Anthropometry 
630PM      Dinner 
9PM          PSG Hook-Up 
10PM        Blood Pressure Measurements in Triplicate
1030PM    Lights Out-Overnight PSG 
7AM       Lights On/Blood Pressure Measurements 
                  in Triplicate 
715AM      Fasting Venipuncture 
745AM      Overnight Urine Collection 
8AM          Echocardiography 
830AM      Breakfast 
9AM          Continuous ECG monitoring hook-up 
                  and education for cases with PAF       
930AM      DCRU/CRU Discharge 

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reviewed and ascertained for the presence of treatment emergent central apnea. If a 
central apnea index >5 is noted during the first night initial exposure to CPAP, then 
the participant will be withdrawn from the study. The participant will be notified about 
the results of the research study testing and will be encouraged to follow-up with 
his/her physician. The participant’s physician will be contacted provided that the 
participant provides permission. 
4. At the end of the 5-7 day titration, the data on pressure responses and PAP use 
(with no patient identifying information) are transmitted using a wireless feature from 
the patient’s home to a secure web-site which is accessible by the research staff. If 
wireless coverage is unavailable, data may be transmitted using a standard phone 
line or directly retrieving a data card from the machine. The PI will review the data 
and identify the optimal pressure. If the initial APAP study is unacceptable, a repeat 
5-7 day recording will be performed. The goal will be to identify the pressure that 
results in an AHI<5 events/hour (optimally), however, <10 events/hour would be 
deemed acceptable. For those participants that have mask leak or interface issues, 
they will undergo troubleshooting by the coordinator by phone and in-person as 
needed. If despite addressing these issues, the AHI remains >10, then the 
participant will be withdrawn from the study and will be encouraged to follow-up with 
his/her physician. The participant’s physician will be contacted provided that the 
participant provides permission. If the participant qualifies for  CPAP,, then the 
subject will approached to assess interest in the MRI sub-study.  
5. The research assistant will re-set the device to deliver this optimal fixed pressure 
identified by the PI through the secure wireless web-site. The web-site will allow the 
research assistant to measure adherence daily and review with the participant at the 
scheduled follow up calls to maximize PAP use. Each APAP also contains a 
“smartcard” which will provide objective adherence data if wireless is not available. 
The participant contact during follow-up will be as follows: the participant will be 
called every 2 weeks thereafter during the 3 months period of CPAP usage or more 
frequently as needed to address CPAP adherence issues. An in-person visit will be 
scheduled for those participants that have non-adherence due to mask fit/leak noted 
on more than 2 consecutive nights. 
6. An overnight DCRUCRU visit will be scheduled after 3 months of wearing CPAP 
(*this duration chosen based upon data supporting immediate influences of apnea 
on PAF71 and CPAP effects on cardiac function in 1 month 78) during which the 
same measures performed at the baseline visit will be collected. If the participant 
had a 7T MRI at their baseline visit, a follow-up MRI will be scheduled. 
As SDB prevalence of ~50% has been noted in those with AF 64, we estimate that ~75 
participants will meet criteria to proceed to CPAP. If this goal is not met, then we will 
supplement recruitment from the sleep disorders program (~1200 studies/year) to identify 
those with SDB who have PAF to achieve this goal. 
 
 
 
 

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8. STUDY PROCEDURES AND DATA COLLECTION 
 
2-DIMENSIONAL DOPPLER ECHOCARDIOGRAPHY. Procedure: Participants will be 
studied by one of two senior sonographers during quiet respiration in the left lateral 
decubitus position with administration of intravenous agitated saline to enhance 
imaging. Parasternal, apical and subcostal 2-D views and apical 3D views will be 
obtained with transducer orientation and gain settings adjusted to optimally define 
endocardial surface of each cardiac chamber. Measurements will be performed by the 
Director of the ECHO Lab (accredited by the Intersocietal Commission for the 
Accreditation of Echocardiography Laboratories), Dr. Brian D. Hoit (Co-I) and designate 
off-line (HeartLabs Inc, Q Labs, Phillips Medical) in a blinded fashion on 3 
representative beats and the results averaged. Measurements will be performed 
according to the American Society of Echocardiography recommendations 79, 80. Studies 
will be archived on CD. Rigorous quality control measures will be used including 
random repeat measurements to calculate inter- and intra-observer reliability. 
 
Approximately 20% of echocardiograms result in suboptimal views in at least 2 of 6 
myocardial segments of the left ventricle in apical views.  The use of a contrast 
agent can opacify the sub optimally viewed areas allowing for better analysis.  
Individuals with obesity, lung disease, or other critical care areas usually require the 
use of a contrast agent for optimal echocardiogram views.  Subjects requiring a 
contrast dye will be administered an IV dose of Definity ® (perflutren lipid 
microsphere injectable suspension), a US Food and Drug Administration (FDA) 
approved contrast dye.  Subjects will be screened for known contraindications: 
known or suspected cardiac shunts or patent foramen ovale, or known 
hypersensitivity to perflutren.  Subjects will also be informed of the potential risks 
BASELINE 
EXAM 
 
Questionnaires 
 
Overnight Urine 
 
Fasting 
Venipuncture 
 
Anthropometry 
 
Blood Pressure 
 
Polysomnography  
 
Echocardiography 
 
6-Minute Walk 
CASES 
PAF 
n=150 
CONTROLS 
No AF 
n=150 
SA 1-2 
7-21 day 
Continuous 
 ECG and   
   Activity 
Monitoring 
along with 
ECG Log 
*Only those 
with PAF, 
n=150 
UNEXPOSED 
CASES 
PAF without 
SDB
EXPOSED 
CASES 
PAF with 
SDB 
UNEXPOSED 
CONTROLS 
No AF 
without SDB 
EXPOSED 
CONTROLS 
No AF with 
SDB
FOLLOW-UP 
EXAM 
 
Questionnaires 
 
Overnight Urine 
 
Fasting 
Venipuncture 
 
Anthropometry 
 
Blood Pressure 
 
Polysomnography 
 
Echocardiography 
 
6-Minute Walk  
7-21 day 
Continuous 
ECG and 
Activity 
Monitoring 
along with 
ECG Log 
No AF without 
SDB 
APAP for 
5-7 days 
to identify 
optimal 
pressure 
*Only 
those with 
PAF and 
SDB 
(n~75) 
PAF with 
SDB 
 
CASES 
PAF
ith
CPAP for 
3 months 
UNEXPO
FIGURE 2. Key: Atrial Fibrillation (AF), Auto Positive Airway Pressure (APAP), Continuous Positive Airway Pressure (CPAP), Paroxysmal AF (PAF), 
Sleep Disordered Breathing (SDB) defined as Apnea Hypopnea Index >=15 from baseline exam polysomnogram, Specific Aim (SA)
SA 1-2 
SA3 

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associated with Definity ® as described in the informed consent document.  
 
Relevant ECHO Variables: 
1) Left and Right Atrial Parameters: Left atrial volume by using the biplane area-length 
method 79, right atrial area (from the 4-chamber view), left atrial pressure estimated from 
the ratio of early diastolic transmitral flow velocity to early annular tissue velocity 81 and 
right atrial pressure based on the diameter of the inferior vena cava and its response to a 
“sniff”  will be assessed 82. Peak left atrial systolic strain, a measure of LA remodeling which 
is inversely related to fibrosis in PAF 83, will also be measured. 
2) Left Atrial Appendage (LAA) Parameters:  LAA wall motion velocity, a measure 
associated with AF will be assessed 84. A value of >40 cm/s, has been noted to be an 
independent predictor of NSR maintenance in AF44. LAA tissue velocity, a more readily 
obtained and sensitive LAA dysfunction measure will also be measured 84.  
3) Left ventricular ejection fraction (LVEF, %): This will be derived from left ventricular end-
diastolic volume (LVEDV) and end-systolic volume (LVESV): [(LVEDV-LVESV)/LVEDV x 
100] 85.  
4) Left ventricular mass index (LVMI): This will be calculated by a validated formula 86 : 
LVMI = {0.8 x [1.04 x (LVIDd + IVST X LVPWT)3 – (LVIDd)3] + 0.6}/height 2.7, where LVIDd 
is LV internal diastolic diameter, IVST is interventricular septal thickness and LVPWT is LV 
posterior wall thickness, measured in centimeters.  
5) Left ventricular hypertrophy (LVH): Using previously published thresholds, we will define 
LVH as an LVMI of 49.2 g/m2.7 for men and 46.7 g/m2.7 for women 87. Subjects with LVH will 
be classified as having concentric hypertrophy if relative wall thickness [(LVPWT x 
IVST)/LVIDd)] is >0.41 or eccentric hypertrophy if <0.41 88. 
 
2) POLYSOMNOGRAPHY (PSG). Procedure for PSG: Research PSG will be performed 
using the Compumedics E-series system (Abbottsford, AU) which will include 3 cortical 
encephalograms, bilateral electro-oculograms, a bipolar submental electromyogram, 
thoracic and abdominal respiratory inductance plethysmography, airflow (by nasal-oral 
thermocouple and nasal cannula pressure recording), oximetry (using highly sensitive 
finger pulse oximeter, sampling frequency 25Hz), electrocardiogram (ECG) at 250Hz (used 
to derive HRV measures of autonomic function); body position (mercury switch sensor), 
bilateral leg movements. EEGs are recorded at 125Hz. Sensors will be calibrated, and 
signal quality/impedance checked by a certified technician, using standardized techniques. 
PSG scoring criteria are documented in the Case Sleep Research Manual of Procedures 
(Appendix B). Relevant PSG Variables: Apneas will be classified as “central” or 
“obstructive” according to the absence or presence of respiratory effort respectively. 
Hypopneas will be scored as a 50% amplitude reduction in inductance or flow and associated 
3% oxygen desaturation or arousal. Periodic breathing will be defined as airflow or 
inductance channels increasing and decreasing at least 50% from the maximum, in a cyclic 
waxing and waning or "sinusoidal" manner for a consecutive period of >10 min.  
Procedure for PSG ECG Signal Extraction: ECG monitoring data from the PSG 
Baseline and Follow Up Exams will be processed and analyzed by the Case 
Electrophysiology Core (Director: K Loparo, Nord Professor of Engineering). Data will be 
exported as European Data Format (EDF) ECG files into customized Matlab programs that 

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will allow application of time and spectral-based algorithms for extracting quantitative ECG 
measures. Data will be closely inspected and edited using graphical tools.  Artifact cleaning 
will be performed and those periods of NSR in the ECG recording will be identified and 
scored to perform HRV analyses based upon automated algorithms developed by the 
Case Engineering group. Random sampling for manual scoring will be performed to 
confirm agreement and accuracy of artifact scoring and identification of NSR periods 
performed by automated tools.  A dataset of ECG marker output will be generated and 
merged with the rest of the study data for statistical analyses. HRV analyses (time and 
frequency domain) will be performed with ECG signal processing tools developed by Dr. 
Loparo, which are efficient, robust and account for artifact. We will use algorithms and 
automated methods of feature extraction that have been validated in both synthetic and 
published data89, 90, account for varying signal to noise ratio and non-stationary data and 
have artifact rejection capability. We selected ECG measures as informed by existing 
literature, AF pathophysiology and reliable extraction; however, other markers will be 
analyzed for which we have developed algorithms (i.e. non-linear indices such as 
conditional entropy). Relevant PSG ECG Variables: *ECG measures will be based upon 
NSR periods identified by automated analyses with manual over-reading of random 
segments. HRV, considered to measure sympathovagal modulation of heart rate, will be 
quantified using standard time domain methods [time intervals between normal beats 
(SDNN), the root mean square differences between adjacent normal beats (r-MSSD), 
the % of pairs of adjacent beats differing by >50 ms (pNN50)], and with frequency 
spectral based measures which mathematically deconstruct heart beat patterns into 
underlying rhythmic components using Fast Fourier transforms: low (0.04-0.15 Hz) and 
high (0.15-0.4 Hz) frequency bands ratio (LF/HF). Standardized approaches will be 
used 91 with close editing for artifact and ectopy. ECG recordings with >20% ventricular 
ectopic beats will be excluded from analyses 92. Graphical analysis will include 5-min 
averaged heart rate (HR) patterns, hourly power spectral analysis, hourly Poincaré plots 
and beat-by-beat HR tachograms. As there is no consensus whether respiratory 
variation reflected in the ECG signal offers useful physiologic information vs. 
introduction of artifact, we will perform sensitivity analyses with unadjusted and 
“adjusted” respiration time series analyses 93. To assess ECG measures independent of 
respiratory artifact, a 5 min ECG period will be selected and restricted to normal 
breathing during wakefulness at the beginning, and also at the end of the PSG. ECG 
markers will be analyzed as continuous outcomes, averaging information from 5 min 
intervals of NSR periods deriving an aggregate summary of electrophysiological variability. 
To take into account sleep state, 5-min ECG windows during sleep vs. wake will be 
selected for analyses. ECG analyses will be performed on concatenated epochs (30 sec 
windows): 1) Epochs with apneas/hypopneas vs. those without, 2) REM vs. NREM epochs 
and 3) Epochs with EEG arousals vs. those without. 
 
3) 7-21 Day CONTINUOUS ECG MONITORING.   
Procedure: A 3-lead (2 channel), wireless, lightweight (3.2 ounce) ECG monitoring device 
(Heartrak External Cardiac Ambulatory Telemetry ®) will be used to collect the ECG data 
over a 7-21 day period in those with PAF after the baseline and follow-up DCRU/CRU 
visits. The device is: 3x7”, bandwidth: 0.05-30 Hz, sampling rate=205 Hz, stores 30 days of 

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data, 30 feet transmission mode and memory hold of 10 years with a <1% data 
transmission failure and data loss in field testing. 7-21 day was chosen given the variability 
of PAF and because ECG monitoring >48 hours is reasonable to capture AF paroxysms 94.  
ECG Sensor Application. This will be performed by a trained technician. Participants will be 
asked to remove clothing from the waist up to attach the sensors to the chest. Staff will 
ensure privacy by covering the participant with a sheet or gown. The staff will shave 
necessary areas on the chest prior to sensor application to ensure that the sensors stick 
closely to the skin and will provide the participant with the ECG monitor/holster/clip, leads, 
communicator and charger, electrodes and a handbook with simple pictorial/written 
educational instructions. 
At-home ECG Monitoring Logistics. The ECG monitor box may be clipped to a belt or 
pocket, and the communicator may be placed in a pocket (much like a cell phone). The 
participant will be instructed to engage in usual activities and instructed to remove the 
monitor before bathing and reapply the sensors after bathing. An ECG technician will be 
available by phone 24-7 to address issues with device malfunction, lead placement and 
replacement of equipment. Research staff will contact the participants every 3-4 days to 
assess for symptoms and help troubleshoot any mechanical or logistical issues. ECG 
quality grade data will be collected: (excellent: >90% of ECG data without artifact, good: 
70-90% without artifact, fair: 50-70% without artifact, poor <50% artifact free). 
Relevant ECG Variables: AF paroxysm frequency will be scored by a certified ECG 
technician and categorized by sleep vs. wake states based upon self-report from the 
ECG log. This will allow for assessment of AF burden temporal patterns via 7-21 day 
ECG monitoring relative to SDB. These ECG data will also be analyzed by Dr. Loparo’s 
group, including Anupam Basuray and Kanna Posina, if there is insufficient NSR data 
from the PSG ECG to perform HRV analyses.  
 
4) ACTIVITY MONITORING. Procedure: An accelerometer (GT3X+, Actigraph Co., Ft 
Walton Bch, Fl) will be used for 7-21 days, coincident with the time of continuous ECG 
monitoring, to provide objective measurement of the duration and intensity of physical 
activity and sleep.  Subjects will be instructed to secure the accelerometer on their wrist 
with an elastic band, wearing it through each day, other than while in the water. 
 
5) FASTING VENIPUNCTURE (52cc). Procedure: Phlebotomy will be performed the 
morning of the baseline and follow-up visits using standard techniques by trained research 
staff following written procedures (e.g., pre-labeled bar coded tubes, minimizing trauma, etc.). 
An intravenous catheter will be placed by the nurse in the morning to perform the blood draw 
and to facilitate performing the morning ECHO study with agitated saline. The sample will be 
divided into tubes for the varied analyses (20 mL clot for serum, 20 mL EDTA, 4.5 mL special 
anticoagulant tube, 5 mL citrate, 2.5 PAXgene). Clots will be centrifuged and the serum 
removed within 1 hr of venipuncture.  Assays will be stored in dedicated, alarmed freezers at -
80°C in the DCRU/CRU Core Lab until shipped to the UVM Biochemistry Lab. Extra aliquots 
designated for future studies will be prepared and stored at -80 °C.  
Relevant Biomarker Variables: Assays were selected based upon literature or our own 
preliminary data. We will investigate the following biological pathways: systemic 
inflammation [C-reactive protein (hs-CRP), interleukin-6 (IL-6), and soluble IL-6 receptor 

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(sIL-6R)], oxidative stress (endothelin-1 and oxidized LDL). hs-CRP will be measured using 
the BNII nephelometry utilizing a particle enhanced immunoassay with intra-assay and 
inter-assay CVs of 2.1%-5.7%. Circulating IL-6 and sIL-6R will be measured by ultra-
sensitive ELISA (R&D Systems with inter-assay CVs 6.3%-15%). Endothelin-1 will be 
measured by an ELISA test (R&D Systems with inter-assay CV of 6.5% and intra-assay CV 
of 4.6%). Oxidized LDL will be measured by competitive ELISA (Mercodia Oxidized LDL 
Competitive ELISA) with intra-assay and inter-assay CV's < 10%. Samples will be run in 
batch and in duplicate; if they do not agree within pre-specified levels, they are re-run. 
Because additional aliquots will be saved, other assays will be possible as emerging 
science identifies their value. 
 
6) DNA collection. Blood will be collected to extract RNA, which will be stored to test future 
hypotheses regarding genetic determinants of treatment response. 
 
7) OVERNIGHT URINE. Procedure: An overnight urine will be obtained and 3 -1.0 ml, 1 
– 9.0 ml plain urine and 1 – 9.0 ml acetic acid aliquots will be stored at -80 °C.  
Relevant Biomarker Variable. The proposed measurement for urinary isoprostane 8-epi-
prostaglandin F2a, a stable nonenzymatic oxidation product of arachidonic acid 95, 96 
(expressed as ng/mmol urinary creatinine), is an inexpensive ELISA validated against gas 
chromatography-mass spectroscopy 97 and used in the Framingham Heart Study 98, with 
unpublished data showing its elevation in SDB.  
 
8) ANTHROPOMETRY. Height (inches, cm) is measured with the subject in stocking feet, 
using a wall-mounted stadiometer; weight (pounds, kg) with a calibrated digital scale. Neck 
circumference (cm) is determined with a non-stretchable measuring tape (nearest 0.5 cm) 
while the subject is seated with the head in the Frankfort horizontal plane, measuring below 
the thyroid prominence, perpendicular to the horizontal axis of the neck.  Waist circumference 
(cm) is measured at the smallest area between the lower ribs and iliac crest. Hip 
circumference (cm) 
is measured at the widest area around the buttocks. The wrist, abdominal, thigh, calf, and 
mid upper arm circumferences will also be measured using a non-stretchable measuring 
tape.  Skinfolds are measured with calibrated metal calipers from 7 sites (chest, calf, thigh, 
calf, subscapular, midaxillary, suprailiac, abdominal), using a rotational order, obtaining 
additional measures if variation >10%. 
 
9) RESTING BLOOD PRESSURE (BP). BP will be measured after the participant has 
been sitting quietly for at least 5 minutes following standardized guidelines using a 
calibrated sphygmomanometer. Cuff size will be determined by measuring the 
circumference of the upper arm, measured at the midpoint and identifying the appropriate 
bladder size from a standard chart.  Measurements will be repeated three times and 
recorded. 
 
10) QUESTIONNAIRES (Appendix B). The following will be collected: a) The Berlin 
Sleep Questionnaire, a simple 10-item questionnaire that categorizes sleep apnea risk 
99, b) Epworth Sleepiness Scale 100, a simple 8-item questionnaire to assess sleepiness, 

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c) The Sleep Habits and Medical Condition Questionnaire 101, which includes 
comorbidities, medication use (including anti-arrhythmic medications), caffeine use, 
smoking, alcohol use, etc., d) The Medical Outcomes Survey-SF 36 (MOS-SF) 102, a 
standardized tool for assessing general health status, physical and social functioning, 
and fatigue, e) Patient Health Questionnaire-9 (PHQ-9),which assesses depression 
symptoms. It has ten questions where the answers will be added to indicate severity of 
depression. The Research Assistant will score depression questionnaires and if the score 
is indicative of depression (10 or greater) the Research Assistant will then contact a study 
physician who will determine appropriate referrals and responses and contact the 
participant to advise him to seek medical/psychiatric consultation. If there was any 
indication that a participant was in imminent danger to himself or others, the participant 
would be advised to go to the nearest emergency room for evaluation by a psychiatrist. 
If signs of depression, anxiety or other psychological disorders were evident without 
evidence for immediate risk, the participant would be advised to contact a psychologist 
for further evaluation.  f) Daily ECG/Activity Log, which will be completed during 7-21 
day ECG monitoring including data on sleep/wake times including naps, periods of 
vigorous activity, caffeine use, alcohol use, smoking, monitor removal time and 
symptoms (e.g. palpitations, dyspnea, chest pain) g) Atrial Fibrillation Effect on Quality-
of-life, a 20-item questionnaire that assesses the impact of atrial fibrillation on quality of 
life. 
 
11) 6 Minute Walk Test. Baseline oxygen saturation and heart rate will be recorded. If 
oxygen saturation >90%, then proceed with protocol. The patient will walk for 6 minutes 
down the hall at usual pace. Early termination criteria to stop the test if O2 sat drops to 
≤80% for 6 consecutive seconds and/or signs and symptoms of dyspnea, chest 
discomfort, palpitations or any other concerning symptoms. If the test is terminated 
before 6 minutes is complete, the distance the patient walked should be documented as 
the 6-minute walk distance for that test. Heart rate should be recorded concurrently with 
O2 saturation throughout the entire test.  Heart rate and oxygen saturation should be 
recorded before the start of the study, at the end of the six minute walk and for each 
minute during the post 3-minute recovery period. Using the BORG Scale record rate the 
symptoms of breathlessness and leg fatigue. Any medications taken prior to the 6 
minute walk will be recorded along with dose and time.  
 
 12) Arterial Applanation Tonometry: Arterial Applanation Tonometry is a noninvasive 
technique that provides the basis for high fidelity analysis of central and peripheral pulse 
pressures. Waveforms of radial artery recordings will be calibrated with 
sphygmomanometric brachial artery mean and diastolic pressure measurements. Radial 
measurements will be performed on the same arm using the SphygmoCor device after 
sphygmomanometric pressure is obtained with use of an applanation tonometry probe 
containing a solid state high fidelity Millar transducer over the radial artery with a 
minimum of two consecutive measurements to obtain pulse wave analysis results. For 
pulse wave velocity, lead II ECG (LL, LA, RA) will be performed along with cardotid and 
femoral applanation tomometry. Orientation and pressure applied to the transducer will 
be adjusted to optimize applanation of the artery between the transducer and the 

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underlying tissue. The pulse wave velocity and pulse wave analysis will be assessed 
and provide measures of arterial stiffness and indices of subclinical atherosclerosis, and 
correlated with changes in oxidative stress markers. Waveforms will be processed using 
the SphygmoCor software (model EM3, version CvMS 9.0, Atcor Medical Pty, West 
Ryde, Australia).) The applanation tonometry measurements will be obtained the 
morning of the baseline and 3-month follow-up visits using a standardized protocol. 
 
13) MultiSense™ Monitoring: The MultiSense™ Monitor is a self-contained, reusable, 
rechargeable, battery-powered, flexible band-aid-like strip, measuring 10.2x3.0 cm 
(4x1.2 inches), that is capable of detecting and recording a number of correlated 
physiological parameters. The monitor is taped to the participant’s chest using a FDA 
approved, disposable, double-backed adhesive tape. The device provides a continuous 
detection and recording, up to 10 days, of high quality ECG signals. The device also 
provides pulse synchronous measures of blood oxygen saturation and concomitant 
indices of physical activity and body position (eg. Upright, or lying on back, stomach, 
right side, or left side). The double-backed adhesive tape insures motionless, 
waterproof contact between the skin, the electrodes and other sensors of the 
MultiSense™ Monitor. At the end of the monitoring period, the accompanying software 
enables a PC to download the recorded data, display, and analyze the data. 
 
The software mentioned above includes an industry-proven arrhythmia-recognition 
package provided by a 3rd party (Monebo Technologies). It has been thoroughly tested 
using standard (MIT-BIH/AHA/NST) arrhythmia databases, and has earned FDA 501(k) 
approval. The software allows automated ECG analysis and interpretation by providing 
callable functions for ECG signal processing, QRS detection and measurement, QRS 
feature extraction, classification or normal and ventricular ectopic beats, heart rate 
measurement, measurement of PR and QT intervals, and rhythm interpretation. 
 
14) Magnetic Resonance Imaging (MRI): An MRI is an electronic picture of your brain 
created using a strong magnet instead of x-ray energy.  The MR scan time will be 60 
minutes.  The MR scanner makes loud knocking noises.  The participant will be 
provided with earplugs to dull the sounds.  A dental impression may be taken of their 
teeth in order to fashion a bite plate for use during the scan.  After the impression is 
taken, the plate will be fashioned to a device fixed to the table in order to assist in 
keeping their head from moving during the scan session.   
 
The MRI scan will be performed for research purposes and it is not a complete 
diagnostic imaging examination.  It should not be considered a substitute for a standard 
clinical MRI evaluation.  Because the research MRI cannot exclude abnormalities, no 
report from the scan will be generated.  However, if during the process of reviewing the 
research MRI an unexpected abnormality is seen, it will be reported to the participant 
and their physician.   
 
 
15) Cognitive Battery and Questionnaires (Only for participants with MRI) 

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A complete comprehensive evaluation of memory and thinking skills will be performed on 
those that participate in the Magnetic Resonance Imaging sub-study. The cognitive battery 
includes the Mini Mental State Examination (MMSE), an 11-question measure that tests 
five areas of cognitive function: orientation, registration, attention and calculation, recall, 
and language., the Rey Auditory Verbal Learning Test (RAVLT), evaluates verbal learning 
and memory, the Brief Visuospatial Memory Test (BVMT-R), assesses visual memory, the 
Symbol Digit Modalities Test (SDMT), evaluates cerebral dysfunction, Trails Making Test A 
and B, a test of visual attention and task switching, Delis-Kaplan Executive Function 
System (DKEFS) which measures a variety or verbal and nonverbal executive functions, 
and the Ruff 2 & 7 Selective Attention Test which measures sustained attention and 
selective attention. 
 
There will be two questionnaires that the participant will be asked to complete. The Beck 
Depression Inventory, a 21 question multiple choice questionnaires used for measuring the 
severity of depression and the Edinburgh Handedness Inventory which is a measurement 
scale to assess the dominance of a person’s right or left handedness in everyday activities. 
 
 
9. ANALYTIC PLAN 
 
EXPOSURES: Primary: 1) SDB defined by AHI, i.e. number of apneas + hypopneas/hour of sleep. 
Secondary: 1) Hypoxia: % sleep time with SaO2 < 90%, 2) Obstructive Sleep Apnea [obstructive 
apneas and hypopneas/hour of sleep, obstructive apnea hypopnea index (OAHI)], 3) Central Sleep 
Apnea [central apneas/hour of sleep, Central Apnea Index (CAI)], 4) Periodic Breathing and 5) EEG 
arousals [per hour of sleep, Arousal Index (AI)].   
OUTCOME:  1) PAF (SA1) and 2) AF burden defined as frequency of AF paroxysms overall and 
based on self-reported sleep vs. wake (SA2 and 3) 
COVARIATES: Age, race, body mass index (BMI, kg/m2), waist circumference (cm), anti-
arrhythmic/beta blocker/calcium channel blocker/ACE inhibitor/angiotensin receptor blocker 
medications, pacemaker, defibrillator, heart failure (NYHA class), BP, diabetes mellitus, left atrial 
volume, LVEF, caffeine use, alcohol use and smoking (current versus never smoker or pack years) 
and activity level. When assessing hypoxia as the relevant exposure, pulmonary disorders will be 
included as potential confounders.  
Table 2.  Mediator (SA1) or Outcome (SA3) 
Domain 
Primary 
Secondary 
Rationale 
Echocardiographic 
Measures 
Left Atrial  
Volume (ml/m2) 
 
LA Pressure, LA Systolic Strain, RA area, RA Pressure, 
LAA Peak Anterograde Flow Velocity (cm/s), Right Atrial 
Pressure (mmHg), LVEF, LVMI, LVH (concentric 
LVMI>0.41, eccentric <0.41). 
Left Atrial Volume predicts risk of AF and 
PAF 103-106. Secondary measures also 
associated with AF. 
Autonomic 
Function 
(Heart Rate 
Variability) 
SDNN (ms) (Time 
Domain HRV 
Measure) 
Time Domain (r-MSSD (ms), pNN50), Frequency Domain 
[LF (Hz), HF (Hz), LF/HF)], Graphical Parameters (HR 
patterns, power spectral analysis, Poincaré plots and 
beat-by-beat HR tachograms) and Novel non-linear 
measures (e.g. Conditional Entropy 107). 
Reduced SDNN and LF/HF have been 
identified as AF triggers 40. 
Systemic 
hs-CRP (mg/L) 
 IL-6 (pg/ml), sIL-6R (ng/mL) 
hs-CRP and IL-6 associated with SDB and 
AF47-49. s-IL6R varies with overnight 

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Inflammation 
hypoxia46 
Oxidative Stress  
Endothelin-1 
(pg/ml) 
Urinary isoprostane 8-epi-prostaglandin F2a 
(ng/mmolCr), Oxidized LDL (U/L) 
Endothelin-1 implicated in AF 57-59. 
Isoprostane 60-62 and oxidized LDL sensitive
to SDB 76. 
ANALYTIC METHOD BY AIM. 
SA1. Quantify the extent that SDB and its subtypes are associated with PAF. This aim will be 
addressed by fitting conditional logistic regression models that condition on the matched pair. We 
will separately analyze each SDB variable (primary variable: AHI) to obtain an estimate and 95% CI 
of the odds ratio of PAF for a 1-unit increase in the SDB exposure. Non-linear effects between SDB 
and the log odds of PAF will be assessed using restricted cubic splines. Knots for the spline will be 
based on the SDB threshold at which PAF risk increases. Unadjusted and hierarchical adjusted 
models will be performed using the covariates listed above. 
The secondary exposure variables (e.g. hypoxia, OAHI, CAI, AI) will be considered in separate 
models. 
Exploratory Aim 1a. Cardiac structure, autonomic and biochemical variables (Table 2) will 
explain a proportion of the SDB and PAF relationship.  This aim will be addressed by applying 
Pearl’s mediation formula 108 to the conditional logistical regression model. This approach will allow 
a causally sound definition of the mediation effect of a given intermediate variable in the relationship 
between SDB (defined by AHI) and PAF. The approach involves a model for each mediator (e.g. a 
general linear model for a continuous mediator) and possibly a random effect to account for 
clustering due to matching and can be thought of as a generalized structural equations model. This 
approach will allow us to simultaneously assess multiple mediators and will also allow us to 
consider AHI as a continuous variable. Each model will be fit using likelihood methods and model fit 
will be checked using appropriate information criteria. After fitting the overall model, we will obtain, 
for each mediator, an estimate of the indirect effect (e.g. the portion of the overall effect of SDB on 
PAF mediated through the intermediate variable). A bootstrap resampling technique will be used to 
obtain a 95% CI for each indirect effect. If the CI does not contain zero, this will indicate statistically 
significant mediation.  
Exploratory Aim 1b. Explore age interactions in the SDB-PAF relationship. Each conditional 
logistic regression model will include an interaction between age and SDB to investigate if age is a 
modifier of the effect of SDB on PAF, i.e. whether the odds ratio of PAF for a 1-unit increase in SDB 
varies by age. 
SA2. Examine patterns of PAF burden via 1-week continuous ECG monitoring relative to 
SDB. We will model the relationship between mean frequency AF paroxysm variation and SDB 
(e.g. AHI considered as a continuous variable). A linear regression model will be used to assess 
possible quadratic and threshold effects of SDB on variation. These models may also include 
sleep state by SDB interaction terms (along with the state indicator) to examine if the effect of 
SDB on variation differs by sleep state. Maximum likelihood (based on a normal distribution for 
variation if appropriate) will be used to fit models, and the Akaike Information Criterion (AIC) will 
be used to select the best fitting model. Estimates of the effect of SDB on variation (and 
corresponding 95% CI) will be obtained based on the selected model. 
SA3. Examine the effects of SDB (AHI>15) treatment for 3 months on AF paroxysm 
frequency and also measures of autonomic function, cardiac morphology, biochemical 
measures in those with SDB and PAF.  For this subgroup of SDB (AHI>15) and PAF, we will 
perform paired t-tests to compare pre- and post- treatment mean outcomes (Primary outcome: 
AF paroxysm frequency from 1-week ECG monitoring) and also ECHO and biochemical 
measures. For any outcome for which a departure in normality is found (based on the Shapiro-
Wilk test) but a transformation of the outcome cannot be found to adequately address the issue, 

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we will use the Wilcoxon signed rank sum test to detect a difference in the distribution of the 
pre- and post- responses. This assessment is not intended to be confirmatory, but rather to 
provide estimates of variability and effect sizes to inform future studies/randomized trials. Linear 
regression models will then be developed to model PAF burden at the 3 month visit by 
conditioning on baseline PAF burden, baseline SDB, and time from baseline to 3 month visit. 
Additional adjusted models will carefully consider the covariates list above. 
POWER BY AIM. 
SA1. A sample size of 300 will be able to detect an odds ratio of 1.50 with 80% power (and 1.60 
with 90% power), assuming a 2-sided alpha level of 0.05, a correlation in AHI between cases 
and controls of zero and a probability of PAF of 0.20 when AHI is set at its mean value. Note 
that the odds ratio is interpreted as the odds ratio for PAF for a 1 standard deviation increase in 
AHI. Alternatively assuming that the probability that AHI>15 for patients without PAF is 30% 64, a 
sample size of 150 matched pairs will be able to detect an odds ratio of PAF of 2.13 with 90% 
power assuming a 2-sided alpha-level of 0.05. Note that this calculation assumes that the 
correlation for SDB between subjects with and without PAF is 0.20, as suggested by Dupont 
(1988)109 when the correlation is unknown. Our prior cross-sectional work demonstrating SDB-
AF odds ratio point estimates of 2-4 1, 2 supports sufficient power to address this aim.  
Exploratory Sub-Aim 1a. To calculate the power to detect mediation, a difference in 
coefficients approach will be used 110  which involves the fitting of two logistic regression models 
that model the association between SDB (AHI>15) and the log odds of PAF (one with and the 
other without the potential mediator in the model) to estimate the proportion of exposure effect 
that is mediated. Assuming a correlation between the adjusted and unadjusted effect estimates 
of 0.9 and that the probability of PAF in SDB and no SDB is 0.07 and 0.01 respectively (based 
upon prior data 2), a sample size of 150/group will be able to detect mediation proportions of 0.5 
with 84% power assuming a 2-sided 0.05 alpha-level test.  Although power may be reduced 
depending on the observed imbalance in sample sizes for the SDB and no SDB groups, power 
will be increased due to matching (not taken into account here to be conservative). 
SA2. Using a two-sample t-test (2-sided 0.05 alpha-level) to test for a difference in mean 
variation between the SDB (AHI>15) and no SDB groups, a sample size of 150 (75 with SDB 
and 75 without SDB) will detect mean differences within 0.46 standard deviations with 80% 
power and 0.53 standard deviations with 90% power.  
SA3. For a log-normally distributed outcome, assuming a correlation between pre- and post-PAF 
burden of 0.8 and a coefficient of variation of 1.5 (based upon prior data 111), a sample size of 75 
will detect a mean ratio between post and pre PAF burden of 0.83 with 83.1% power based on a 
paired t-test and a two-sided significance level of 0.05. 
 

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10.  DATA ANALYSIS   
 
EXPOSURES: Primary: 1) SDB defined by AHI, i.e. number of apneas + hypopneas/hour 
of sleep. Secondary: 1) Hypoxia: % sleep time with SaO2 < 90%, 2) Obstructive Sleep 
Apnea [obstructive apneas and hypopneas/hour of sleep, obstructive apnea hypopnea 
index (OAHI)], 3) Central Sleep Apnea [central apneas/hour of sleep, Central Apnea Index 
(CAI)], 4) Periodic Breathing and 5) EEG arousals [per hour of sleep, Arousal Index (AI)].   
OUTCOME:  1) PAF (SA1) and 2) AF burden defined as frequency of AF paroxysms 
overall and based on self-reported sleep vs. wake (SA2 and 3) 
COVARIATES: Age, race, body mass index (BMI, kg/m2), waist circumference (cm), anti-
arrhythmic/beta blocker/calcium channel blocker/ACE inhibitor/angiotensin receptor blocker 
medications, pacemaker, defibrillator, heart failure (NYHA class), BP, diabetes mellitus, left 
atrial volume, LVEF, caffeine use, alcohol use and smoking (current versus never smoker 
or pack years) and activity level. When assessing hypoxia as the relevant exposure, 
pulmonary disorders will be included as potential confounders.  
 
Table 2.  Mediator (SA1) or Outcome (SA3) 
Domain 
Primary 
Secondary 
Rationale 
Echocardiographi
c Measures 
Left Atrial 
Volume (ml/m2) 
 
LA Pressure, LA Systolic Strain, RA area, RA 
Pressure, LAA Peak Anterograde Flow Velocity 
(cm/s), Right Atrial Pressure (mmHg), LVEF, LVMI, 
LVH (concentric LVMI>0.41, eccentric <0.41). 
Left Atrial Volume predicts risk of AF and PAF 103-106
Secondary measures also associated with AF. 
Autonomic 
Function 
(Heart 
Rate 
Variability) 
SDNN (ms) 
(Time Domain 
HRV Measure) 
Time Domain (r-MSSD (ms), pNN50), Frequency 
Domain [LF (Hz), HF (Hz), LF/HF)], Graphical 
Parameters (HR patterns, power spectral analysis, 
Poincaré plots and beat-by-beat HR tachograms) and 
Novel non-linear measures (e.g. Conditional Entropy 107). 
Reduced SDNN and LF/HF have been identified as 
AF triggers 40. 
Systemic 
Inflammation 
hs-CRP (mg/L) 
 IL-6 (pg/ml), sIL-6R (ng/mL) 
hs-CRP and IL-6 associated with SDB and AF47-49. 
s-IL6R varies with overnight hypoxia46 
Oxidative Stress  
Endothelin-1 
(pg/ml)  
Urinary isoprostane 8-epi-prostaglandin F2a 
(ng/mmolCr), Oxidized LDL (U/L) 
Endothelin-1 implicated in AF 57-59. Isoprostane 60-62 
and oxidized LDL sensitive to SDB 76. 
 
ANALYTIC METHOD BY AIM. 
 
SA 1. Quantify the extent that SDB and its subtypes are associated with PAF. This 
aim will be addressed by fitting conditional logistic regression models that condition on the 
matched pair. We will separately analyze each SDB variable (primary variable: AHI) to 
obtain an estimate and 95% CI of the odds ratio of PAF for a 1-unit increase in the SDB 
exposure. Non-linear effects between SDB and the log odds of PAF will be assessed using 
restricted cubic splines. Knots for the spline will be based on the SDB threshold at which 
PAF risk increases. Unadjusted and hierarchical adjusted models will be performed using 
the covariates listed above. 
The secondary exposure variables (e.g. hypoxia, OAHI, CAI, AI) will be considered in 
separate models. 

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Exploratory Aim 1a. Cardiac structure, autonomic and biochemical variables (Table 
2) will explain a proportion of the SDB and PAF relationship.  This aim will be 
addressed by applying Pearl’s mediation formula 108 to the conditional logistical regression 
model. This approach will allow a causally sound definition of the mediation effect of a 
given intermediate variable in the relationship between SDB (defined by AHI) and PAF. The 
approach involves a model for each mediator (e.g. a general linear model for a continuous 
mediator) and possibly a random effect to account for clustering due to matching and can 
be thought of as a generalized structural equations model. This approach will allow us to 
simultaneously assess multiple mediators and will also allow us to consider AHI as a 
continuous variable. Each model will be fit using likelihood methods and model fit will be 
checked using appropriate information criteria. After fitting the overall model, we will obtain, 
for each mediator, an estimate of the indirect effect (e.g. the portion of the overall effect of 
SDB on PAF mediated through the intermediate variable). A bootstrap resampling 
technique will be used to obtain a 95% CI for each indirect effect. If the CI does not contain 
zero, this will indicate statistically significant mediation.  
 
Exploratory Aim 1b. Explore age interactions in the SDB-PAF relationship. Each 
conditional logistic regression model will include an interaction between age and SDB to 
investigate if age is a modifier of the effect of SDB on PAF, i.e. whether the odds ratio of 
PAF for a 1-unit increase in SDB varies by age. 
 
SA2. Examine patterns of PAF burden via 7-21 day continuous ECG monitoring 
relative to SDB. We will model the relationship between mean frequency AF paroxysm 
variation and SDB (e.g. AHI considered as a continuous variable). A linear regression 
model will be used to assess possible quadratic and threshold effects of SDB on 
variation. These models may also include sleep state by SDB interaction terms (along 
with the state indicator) to examine if the effect of SDB on variation differs by sleep 
state. Maximum likelihood (based on a normal distribution for variation if appropriate) 
will be used to fit models, and the Akaike Information Criterion (AIC) will be used to 
select the best fitting model. Estimates of the effect of SDB on variation (and 
corresponding 95% CI) will be obtained based on the selected model. 
 
SA3. Examine the effects of SDB (AHI>15) treatment for 3 months on AF 
paroxysm frequency and also measures of autonomic function, cardiac 
morphology, biochemical measures in those with SDB and PAF.  For this subgroup 
of SDB (AHI>15) and PAF, we will perform paired t-tests to compare pre- and post- 
treatment mean outcomes (Primary outcome: AF paroxysm frequency from 1-week 
ECG monitoring) and also ECHO and biochemical measures. For any outcome for 
which a departure in normality is found (based on the Shapiro-Wilk test) but a 
transformation of the outcome cannot be found to adequately address the issue, we will 
use the Wilcoxon signed rank sum test to detect a difference in the distribution of the 
pre- and post- responses. This assessment is not intended to be confirmatory, but 
rather to provide estimates of variability and effect sizes to inform future 
studies/randomized trials. Linear regression models will then be developed to model 
PAF burden at the 3 month visit by conditioning on baseline PAF burden, baseline SDB, 

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and time from baseline to 3 month visit. Additional adjusted models will carefully 
consider the covariates list above. 
POWER BY AIM. 
 
SA 1. A sample size of 300 will be able to detect an odds ratio of 1.50 with 80% power 
(and 1.60 with 90% power), assuming a 2-sided alpha level of 0.05, a correlation in AHI 
between cases and controls of zero and a probability of PAF of 0.20 when AHI is set at 
its mean value. Note that the odds ratio is interpreted as the odds ratio for PAF for a 1 
standard deviation increase in AHI. Alternatively assuming that the probability that 
AHI>15 for patients without PAF is 30% 64, a sample size of 150 matched pairs will be 
able to detect an odds ratio of PAF of 2.13 with 90% power assuming a 2-sided alpha-
level of 0.05. Note that this calculation assumes that the correlation for SDB between 
subjects with and without PAF is 0.20, as suggested by Dupont (1988)109 when the 
correlation is unknown. Our prior cross-sectional work demonstrating SDB-AF odds 
ratio point estimates of 2-4 1, 2 supports sufficient power to address this aim.  
 
Exploratory Sub-Aim 1a. To calculate the power to detect mediation, a difference in 
coefficients approach will be used 110  which involves the fitting of two logistic regression 
models that model the association between SDB (AHI>15) and the log odds of PAF 
(one with and the other without the potential mediator in the model) to estimate the 
proportion of exposure effect that is mediated. Assuming a correlation between the 
adjusted and unadjusted effect estimates of 0.9 and that the probability of PAF in SDB 
and no SDB is 0.07 and 0.01 respectively (based upon prior data 2), a sample size of 
150/group will be able to detect mediation proportions of 0.5 with 84% power assuming 
a 2-sided 0.05 alpha-level test.  Although power may be reduced depending on the 
observed imbalance in sample sizes for the SDB and no SDB groups, power will be 
increased due to matching (not taken into account here to be conservative). 
 
SA2. Using a two-sample t-test (2-sided 0.05 alpha-level) to test for a difference in 
mean variation between the SDB (AHI>15) and no SDB groups, a sample size of 150 
(75 with SDB and 75 without SDB) will detect mean differences within 0.46 standard 
deviations with 80% power and 0.53 standard deviations with 90% power.  
 
SA3. For a log-normally distributed outcome, assuming a correlation between pre- and 
post-PAF burden of 0.8 and a coefficient of variation of 1.5 (based upon prior data 111), a 
sample size of 75 will detect a mean ratio between post and pre PAF burden of 0.83 with 
83.1% power based on a paired t-test and a two-sided significance level of 0.05. 
 
 
 
 
 
 

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11.  POTENTIAL RISKS  
There are no serious risks to study participation. The study procedures do not place 
subjects at greater risk of harm or discomfort than those encountered in routine medical 
care.  Intravenous catheter placement and venous sampling is associated with temporary 
pain at the time of needle insertion, may result in bruising at the needle insertion site and 
occasional fainting. Blood pressure measurements may cause some discomfort associated 
with cuff inflation. Sleep monitoring may disturb sleep. The anthropometry uses a 
measuring tape and metal calipers, and the pinch from the measuring tape and calipers 
may cause some mild discomfort related to tugging on your skin. This disappears almost 
immediately after the measurement is made. The attachment of the sensors during sleep 
monitoring, the MultiSense™ sensor and ECG monitoring may cause skin irritation. 
However, the latter is usually minor and temporary. The participant may feel some pressure 
at the site of the probe that is used to perform echocardiography. If you require an 
echocardiogram with a contrast dye, you will receive an intravenous (IV) administered 
contrast dye that contains microscopic bubbles during your echocardiogram. This type of 
contrast dye may, in rare cases, cause severe and potentially life-threatening allergic 
reactions, including a drop in blood pressure, difficulty breathing, fainting, and internal 
organ failure. This agent may also cause temporary minor back pain, a headache, and/or 
itchy skin all of which usually goes away within 30 minutes. You will be closely monitored 
for about 30 minutes after your echocardiogram is complete by a doctor.  There are no 
significant risks associated with 6-minute walk testing. 
 
Accidental breaching of confidentiality is a recognized risk to all studies that collect 
patient-level data; however, as described below there are multiple levels of safety 
measures that are taken to avoid this. 
 
CPAP is the most commonly prescribed treatment for SDB.  The use of CPAP can be 
associated with a number of minor side effects, including nasal congestion, runny nose, dry 
nose or mouth, eye irritation from mask leaks, skin irritation from the mask, or discomfort 
from the mask or air pressure.  PAP therapy may rarely cause nose bleeds and can cause 
worsening of a sinus condition or abdominal bloating.  The potential for skin and eye irritation is 
minimized by proper mask fit and use of a humidifier and application of appropriate pressure 
levels. 
 
 
The risks of the 7T MRI sub-study are the same as the risks of a routine MRI of the 
brain.  MRI has no known long term risks. There are no known biological risks 
associated with MR imaging.  An MRI may cause possible anxiety for people due to the 
confined space of the testing area resulting in feelings of claustrophobia and the loud 
banging made by the machine.  Protective headphones that minimize the noise inside 
the MRI and allow the technologists to talk to you directly to the participant will be used.. 
 Some people feel discomfort associated with lying still within the MR scanner.  The use 
of a bite block may assist in keeping still. There may be local pain and bruising during 
the placement of the IV. Patients with severe kidney disease are at risk for developing a 
serious systemic fibrosing disease, NSF. Anyone with severe kidney disease will not be 

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placed in this study.  
 
If a bite bar is used, there is a possibility of some discomfort from this device including 
fatigue of the jaw muscles or muscle tiredness of the neck. In addition, a small 
percentage of people have a very sensitive gag reflex, which may prevent the use of a 
bite bar. 
 
Since the MRI is a powerful magnet, participants cannot be scanned if they have certain 
metal devices in their body such as a cochlear (ear) implant, brain aneurysm clip, 
implanted stimulator device, or cardiac pacemaker.  If any devices or implants or if they 
have a history of metal in their eye or body, the MR technologist will be notified. There is 
also a risk of injury if metal is brought into the imaging room, which may be pulled into 
the magnet.  No magnetic objects (pocket knives, key chains, necklaces, earrings) from 
clothes and body will be allowed in the scanner area to prevent any injuries.  A Safety 
zone is established around the MR scanner to prevent objects containing iron from 
coming into contact with the scanner.   
 
Repeated evaluations of mood and mental status may be slightly frustrating or produce 
fatigue and boredom. Rest breaks will be provided during cognitive testing, and the 
study staff members are trained to offer assistance and to discontinue testing if 
necessary. 
 
Protection Against Risks.   
 
A. RECRUITMENT AND INFORMED CONSENT 
 
Trained research personnel who have completed necessary certification for human 
subject research will screen Electrophysiology (EP) Clinic referrals for cases (those with 
PAF), Cardiology/Internal Medicine clinics for controls (those without AF) and 
supplementary recruitment from the Echocardiography Database for controls (those 
without AF). Participants will be screened when presenting for a routine EP clinic visit 
(or Cardiology/Internal Medicine visit for controls), after the caring physician has 
ascertained that the patient may be interested in learning more about the study and 
meeting study staff. When meeting with the research staff (at the clinic visit or another 
scheduled time), full written informed consent will be obtained. Alternatively, the charts 
of potentially eligible cases with PAF will be marked to inform the EP physician of 
eligibility. The physician will be asked to briefly discuss the study with the patient and 
assess interest. Patients who express interest will be contacted by study staff to further 
review the study protocol and if interested, a face to face meeting will be arranged to 
fully review the protocol and obtain informed consent. Consent forms will explain in a lay 
persons' terminology the nature of all procedures. It will be stressed that participation is 
voluntary. The research assistant and PI will be available to answer questions. The 
investigator will also be available to answer questions about the study then or at other 
times. Participants are also informed that at any time that can request that any stored 
blood be discarded and not used for research purposes. All activities will be compliant 
with local IRB and HIPPA guidelines, such as obtaining physician permission to initiate 

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contact, destroying all pre-screening forms, and obtaining verbal permission, as 
appropriate for phone interviews. At the beginning of the study, and then periodically, 
any IRB, HIPAA or privacy requirements that may be in effect at that time also will be 
checked to assure that plans are compliant with current rules. 
Although the clinics will be the primary source of recruitment, controls we will also 
assess eligibility of individuals from the UHCMC/CCF Echocardiography Database 
(>10000 ECHOs/year). Dr. Hoit will identify patients who meet matching criteria (left 
ventricular function, age, sex, race) based upon the cases who have been enrolled in 
the study. Referring physicians will be notified through emails or phone calls when 
eligible patients are identified. A letter signed by Dr. Hoit, the PI and the physician who 
referred the patient for the ECHO will then be sent to these patients describing the 
research study and providing study contact information. A time will be arranged for the 
patient to meet the research staff in a face to face meeting fully review the protocol and 
obtain informed consent. 
 
B. PROTECTION AGAINST RISKS 
 
All participant information will be kept strictly confidential and used for research 
purposes only. Records will be identified by a subject ID number rather than the 
subjects' name, and all will be secured in locked files in secured rooms. Computers are 
located in restricted access research suites; computer information is protected by use of 
passwords and a firewall. Computer files do not permit linking individual data with 
medical or other data collected for research purposes. The list of names and 
identification numbers will be stored separately from other data in locked files to which 
project staff only will have access. Informed consents explicitly state that information on 
non-paternity is never revealed. All presentations and publications will only utilize 
aggregate data. 
 
Data transmission between the Electrophysiology Core and Echocardiography Laboratory 
and the Administrative Center-CC will be accomplished through a secure, password 
protected website using a Virtual Private Network (VPN), an established method for secure 
transfer. Implementation of this method will prevent unauthorized viewing of participant 
information during data transmission. The Administrative Center-CC and Cores will not 
receive any information allowing participant identification. Participant data received by the 
Administrative Center-CC will be identified only by the participant ID. 
 
Risks will be minimized by using hypoallergenic materials, appropriate fitting of nasal CPAP 
masks and use of a humidifier with the PAP devices. If nasal symptoms are experienced, a 
study physician will contact the participant and determine if an over-the-counter or 
prescription decongestant is needed.  Visits will be scheduled during a time when the 
individual is stable and free of acute illnesses.  Staff will be trained and certified to perform 
phlebotomy and other research procedures.   
 
Abnormal findings requiring urgent evaluation may also be identified at the time of the 
DCRU/CRU visits. All such findings will be labeled as adverse events (AEs) or serious 
adverse events (SAEs) as appropriate.  A blood pressure finding of systolic greater than 

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180 or diastolic greater than 120 will result in evaluation of the patient in the DCRU/CRU 
to assess for evidence of end organ dysfunction. Such a finding will lead to immediate 
transfer to the emergency room for acute blood pressure treatment. Asymptomatic 
hypertension without evidence of end organ dysfunction will result in contact being 
made with the patient’s primary care physician to notify them of the finding or if the 
patient does not have a primary care physician, referral to a clinic to provide 
antihypertensive treatment. Similarly, participants with an increased heart rate (i.e. 
>120bpm) will undergo medical evaluation by a physician (PI or physician designate) in 
the CRU. If the participant is deemed unstable, then the participant will be sent to the 
emergency department.   
 
It is also possible the concerning arrhythmias or concerning symptoms may arise during 
the 7-21 day continuous ECG monitoring. Cardiology Diagnostic Services has certified 
ECG technicians who are monitoring the heart rhythms in real-time and also are the 
contact source for the participants to call 24-7 if there are symptoms during the monitoring. 
If the technician identified a serious arrhythmia (e.g. high degree atrioventricular block, 
ventricular tachycardia, atrial fibrillation with rapid rate (>120bpm))or concerning 
symptoms, then the PI will be contacted directly and the patient will sent to the emergency 
room for evaluation.  
 
Intravenous catheter and blood sample collection may cause a small bruise that is 
temporarily uncomfortable, but will disappear in several days. A topical anesthetic will be 
used to minimize discomfort when necessary. To minimize the possibility of fainting, the 
intravenous catheter and blood sample collection will take place while the participant is 
sitting. 
 
A medical release will be given to the participants to sign to authorize release of their 
health information to their physician if there is any urgent health information that requires 
immediate attention. Letters outlining results of the sleep study will be sent to the 
participant and with the permission of the participant will also be sent to the primary care or 
caring physician to arrange for appropriate treatment and follow-up of sleep disordered 
breathing.  
 
Data Safeguarding Plan: Data security is addressed at many levels. The database 
administrator will be responsible for providing and documenting appropriate user access 
to the study database, preventing such data security problems as: unauthorized internal 
access to data, external access to data, and malicious intent to destroy data and 
systems. Data audit software and systems will be used that document data modification, 
user access associated with modification, data associated with modification, and values 
prior to modification. 
The database administrator will also be responsible for optimizing database 
performance, reliability and back-up of data. Data transmission amongst the 
Administrative Center-CCI and the Cores and University of Vermont will be 
accomplished through a secure, password protected website using a Virtual Private 
Network (VPN), an established method for secure data transfer, and use of encryption. 

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Study investigators and staff will be provided with user accounts and passwords. All 
presentations and publications will only utilize aggregate data. All UHCMC and CCI staff 
will be trained and certified in the ethical conduct of research. 
 
De-identified study data will be hosted on a server in a private network only accessible 
through VPN. The computer server will be hardened according to the data security 
guideline and check-list by the UHCMC Data Security division, with the study database 
environment reviewed by the UHCMC Data Security team before implementation. 
Additional security measurements such as 128-bit encryption for SSL, auditing trail, and 
data encryption at rest will be implemented as appropriate.  
 
SOURCES OF MATERIALS  
The research data will be collected strictly for research and include polysomnography, 
echocardiography, electrocardiography (from polysomnography and 7-21 day ECG 
monitoring), anthropometry, blood pressure and blood or urine assayed for markers of 
inflammation and oxidative stress. Questionnaires addressing medical conditions, 
medications, sleep habits and symptoms will be administered. Participants will be asked 
to provide permission to obtain health records for medical encounters in order to 
adjudicate adverse events if needed. Other data that will be reviewed to ascertain 
eligibility will be from the echocardiography database and medical records. In addition, 
for those placed on CPAP, CPAP compliance and residual apnea hypopnea index using 
CPAP will be ascertained using data electronically stored on the CPAP units 
participants will be using. 
 
Linkages to subjects and access to research data: All research data will be collected on 
standardized research forms with de-identified ID numbers, but without personal identifiers. 
Any data collected from medical records will be entered onto case report forms with only 
visit ID numbers, excluding personal identifiers.  Only study personnel will have access to 
research data which is kept in either locked cabinets or password computers in locked 
buildings.  All personal data will be stored separately from de-identified research data. The 
primary data files are stored in locked cabinets in secured rooms in this research facility.  
Bloods will be stored using de-identified bar codes at the Core Laboratory at Case until 
shipped to University of Vermont. All data transmitted to the Administrative Center-CCI will 
include no personal identification data. Data received at Administrative Center-CCI will be 
stored in a dedicated MySQL system in a server within a private network. Access to such 
data will be through VPN and a dually-authenticated client computer. Access to the query, 
exploration and exchange interface of the customized Physio-MIMI system will be permitted 
only to authorized team members using the resident secure, Role-Based Access Control 
mechanism. 
 
 

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12. POTENTIAL BENEFITS TO THE SUBJECTS AND OTHERS AND IMPORTANCE 
OF THE KNOWLEDGE TO BE GAINED 
 
There are a number of potential benefits to participants.  All participants that undergo 
sleep apnea screening will be provided information on the results of their sleep studies 
which may be useful in further health management. Participants started on CPAP may 
further experience direct benefit related to the direct treatment of underlying sleep 
apnea. 
At completion of the study, participants will receive summary results of their sleep 
patterns from polysomnography, CPAP usage data plus review of their symptoms in the 
context of normative data (e.g., Epworth sleepiness score) as well as blood pressure 
findings. If approved by the subject, these results will also be sent to the subject’s 
physician. Participants will also receive a monetary compensation of $75 for each 
overnight visit to the DCRU/CRU for their time. To receive payment the participant must 
agree to complete a W-9 form which requires them to provide an address and social 
security number to the accounting department.  This payment may be considered 
taxable income by the IRS.  The participant will be issued a 1099-Misc form only if 
payment exceeds $600 from all studies in which they are participating, in a fiscal 
year. Parking costs will be covered and participant will receive dinner and breakfast 
during the DCRU/CRU stay. We also believe that the gains in understanding of the 
relationship between SDB and an important outcome, atrial fibrillation, will outweigh any 
potential risk to the participants. Since the risks of participation for individual subjects 
are extremely low, and the benefits to society are potentially large, the risk-benefit ratio 
is more than acceptable. Participants who choose not to participate in this study may 
seek evaluation and treatment for possible SDB from their physician. 
 
SDB is very common, and may have serious adverse health consequences such as 
increased risk of clinically significant arrhythmias such as AF and associated increase in 
morbidity and mortality. The proposed study will further explore linkages between SDB 
and PAF, as well as help to elucidate the pathophysiology of these associations. Given 
that SDB is treatable, improved understanding of these interrelationships of SDB and 
AF could have very significant clinical impact. 
 
Research Injury Language: 
 
If injury occurs as a result of your involvement in this research, medical treatment is 
available from University Hospitals and the Cleveland Clinic or another medical facility 
but you/your medical insurance will be responsible for the cost of this treatment.  There 
are no plans for payment of medical expenses or other payments, including lost wages, 
for any research related injury.   
 

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13. SAFETY MONITORING 
 
Data and Safety Monitoring Plan 
 
Database Design, Data Management and Data sharing: The Center will integrate the 
collected PSG, ECHO and ECG (from PSG and 7-21 day ECG monitoring) raw signal 
data in a customized instance of Physio-MIMI system developed by Dr. Zhang (PI) as 
an NCRR-funded Multi-CTSA-site project for federated access to PSG data in sleep 
labs. Our approach will allow the reuse of several Physio-MIMI components: (1) its built-
in user-friendly query interface called VISAGE with a web-based case-control 
exploration engine; (2) its Sleep Domain Ontology (SDO) for semantic interoperability 
and data quality control; and (3) its flexible interface with a relational database system. 
To achieve this, we will (1) design a study-specific data model for storying the rich study 
data in MySQL tables; (2) extending the data dictionary to account for additional terms 
not covered in SDO; (3) interfaces for data collection, data conversion and data 
exchange. Data sharing will be facilitated by Physio-MIMI's extensible Role-Based 
Access Control mechanism, which allows for fine-controlled access to data: based on 
specified source tables, specified data fields, and counts limit. Curated data and 
application tools will be made available for long-term data sharing and dissemination. 
 
Adverse Event Reporting.  Reporting of adverse events will follow standard reporting 
guidelines. Each event will be classified according to its severity, whether it was expected or 
unexpected, and its likelihood of relatedness to the study. 
 
Immediate and Urgent Medical Referrals are medical conditions that require timely 
identification and possible treatment. Once identified either at the DCRU/CRU, the PI 
will be contacted within 24 hours (for Urgent Referrals) or before discharge from the 
DCRU/CRU (for Immediate Alerts). If confirmed as meeting Referral criteria, the 
Immediate/Urgent Referral form is completed which indicates which follow-up activities 
occurred, including whether the participant and or his/her physician was contacted, 
whether contact was by telephone and/or letter, and what recommendations were 
made.  
 
A Safety Monitor will be assigned to the study (UHCMC, Kristie Ross MD and at CCF, 
Harneet Walia MD), who will review adverse events and data targeted by the research 
coordinator to assist with adverse event adjudication and also to ensure that no 
physiological (e.g., blood pressure) findings warrant immediate intervention. If so, the 
participant/family will be contacted and advised of the findings and offered assistance with 
appropriate referrals. Adverse events (classified by severity and unexpected/expected) will 
be defined and reported to the IRB, NIH, and the Safety Monitor  in accordance with the 
rules regulating each severity class (expected vs. unexpected, serious vs. other; related vs. 
unrelated).  
 
On a weekly basis, the P.I. will review all data collected, including logs of phone calls 
between the coordinator and participant, ECG data and biochemical levels from blood tests. 

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If any serious adverse events occur, these will be reported to the IRB and NIH. All data 
from clinical assessment, physiological measurements, and biochemical measurements will 
be transferred to a computerized database in a dedicated instance of Physio-MIMI. Data 
completeness and accuracy are monitored by: 1) technician review of data at the time of 
the study; 2) review of raw and processed data by the coordinator prior to data entry; 3) 
data entry with form-configured screens and on-screen logic/range checks; 4) double data 
entry; 5) review of outliers and additional logic checks with statistical software. Discrepant 
entries will be verified by reviewing the raw data. Manuals will detail the protocol and all 
procedures, including recruitment, data collection, data transfer, specimen collection, and 
data management.  
The P.I. will assure that research staff (research coordinator, research assistant, 
polysomnologist, sleep technologist and CRU nurses) undergo rigorous training, undergo 
re-training and re-certification periodically (at least every 6 months or more frequently if 
excessive variation is seen). Sleep studies are scored and processed by certified 
polysomnologists blinded to the identity of the participant using standardized procedures.  
 
Confidentiality will be maintained during the trial including monitoring, preparation of interim 
results, review, and response to monitoring recommendations. The P.I. will be responsible 
for the close review and evaluation of the progress of this clinical trial, including periodic 
assessments of data quality, participant recruitment, accrual and retention, participant risk 
versus benefit, validity and integrity of the data, and other factors that can affect study 
outcome.  The P.I. will protect the confidentiality of the study data and the results of 
monitoring. 
 
Data and Safety Monitoring Board 
 
The DSMB will consist of three independent scientists: a statistician (Dr. Lester 
Kirchner, Geisinger Health System, Danville PA), electrophysiologist/cariologist (Dr. Joseph 
Marine, John Hopkins University School of Medicine), cardiovascular epidemiologist (Dr. 
Susan Heckbert, University of Washington, Seattle WA) and sleep specialist (Dr. Ulysses 
Magalang, Ohio State University Medical Center) and Executive Chair (Dr. Sean Caples, 
Mayo Clinic, Rochester MN) , all of whom are external to the PI’s institution and will 
convene via biannual conference calls (and more often if warranted by safety 
considerations) to ensure the establishment of a plan for data and safety monitoring for the 
continuous positive airway pressure intervention, conduct ongoing monitoring and ensure 
that monitoring is timely and effective. Monitoring will also consider factors external to the 
study when interpreting the data, such as scientific or therapeutic developments that may 
have an impact on the safety of the participants or the ethics of the study.  A Medical 
Monitor will also be assigned (UHCMC - Dr. Kristie Ross, and CCF – Dr. Harneet Walia, 
Sleep Medicine specialists) to assess and categorize adverse events as they arise.  
A DSMB will be established to ensure the safety of all participants involved in the 
study and to ensure the validity and integrity of the data. The P.I. will ensure that the 
research team responds to recommendations that emanate from monitoring activities. The 
members of the DSMB will not be associated with the research aspects of the trial, and will 
be entirely independent of the investigators involved in the study. The DSMB will also 

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protect the confidentiality of the trial data and the results of monitoring.  The DSMB will 
evaluate the progress of this study, including periodic assessments of data quality and 
timeliness, participant recruitment; accrual and retention, participant risk versus benefit and 
monitor adverse events.  
 
The three independent scientists will be voting members and will be appointed for a 2 
year renewable term by the PI in consultation with the other study investigators and NHLBI 
staff.  The statistician (Dr. Kirchner) will serve as the Board’s Executive Secretary and will 
have primary responsibility for preparing a written summary of the Board’s discussions and 
recommendations.  Prior to the first meeting, the Executive Chair will document that the 
members do not have any conflicts of interest.  The PI will be responsible for coordinating 
activities of the DSMB including: arranging DSMB meetings and communications and 
identifying and reviewing materials to be presented to the DSMB. The primary responsibility 
of the DSMB will be to monitor the progress of the study and recommend modifying the trial 
or terminating the trial as appropriate.  Concerns that might dictate modification or 
termination of the study include participant safety, outcome data, data quality, integrity, 
intervention efficacy, and recruitment performance. 
 
The DSMB Executive Chair and PI as well as the study staff will prepare the interim 
reports issued to the DSMB.  Those reports prepared by the PI and the study staff will 
include reports of adverse incidents, reports of trial participant recruitment and follow-up, 
and reports from related studies. The purpose of the first meeting will be to evaluate the 
protocol and establish guidelines for monitoring the study.  Subsequent meetings in the first 
year and following years will be for the purpose of data and safety monitoring. If any Board 
member feels it is necessary to meet on a face-to-face basis in the subsequent years, a 
meeting at the study site will be convened.  All reports to be discussed at the meeting will 
be mailed to all Board members and NHLBI Program Scientist at least one week prior to 
the meeting.  The format of the meetings will be such that they consist of an open session 
and a closed session.  Trial investigators, trial staff, staff of the institution and NHLBI staff 
may attend the open session.   
 
The PI and study staff will be responsible for identifying, reviewing, and reporting 
adverse events and unanticipated problems to the IRB and NHLBI. The PI will report the 
following within one week of occurrence:  1. Unanticipated problems or unexpected serious 
adverse events that may be related to the study protocol, 2. IRB-approved protocol or 
consent form revisions that indicate a change in risk for participants, 3. A summary of 
recommendations made by the DSMB or other monitoring entity and (if applicable) the 
action plan for response and 4. Notice of any actions taken by the IRB or regulatory bodies 
regarding the research and any responses to those actions. All personal identifiers must be 
removed from any documents sent to NHLBI. In the annual progress reports, the PI will 
address the adherence to the DSM plan, provide a summary of any DSM issues that have 
occurred during the previous year and describe any changes in the human subjects 
research or to the DSM plan that affect risk. Modifications to the human subjects research 
or DSM plan will be submitted to the NHLBI Medical Officer prior to implementation of the 
change in study practice. 
 
 
 

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Page RL, Wilkinson WE, Clair WK, McCarthy EA, Pritchett EL. Asymptomatic 
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Mehra R, Stone KL, Blackwell T, Ancoli Israel S, Dam TT, Stefanick ML, et al. 
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Seccia TM, Belloni AS, Kreutz R, Paul M, Nussdorfer GG, Pessina AC, et al. Cardiac 
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Vaziri SM, Larson MG, Benjamin EJ, Levy D. Echocardiographic predictors of 
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Tsang TS, Barnes ME, Miyasaka Y, Cha SS, Bailey KR, Verzosa GC, et al. Obesity as a 
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Benjamin EJ, Levy D, Vaziri SM, D'Agostino RB, Belanger AJ, Wolf PA. Independent risk 
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