Pain Coping Skills Training for African Americans With Osteoarthritis
Phase: NA
Conditions: Osteoarthritis
Sponsor: University of North Carolina, Chapel Hill

 
Study Title: Pain Coping Skills Training for African Americans With 
Osteoarthritis 
 
 
 
NCT number:  NCT02560922 
Document Date:  June 6, 2017 
 

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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PCORI RESEARCH PLAN TEMPLATE 
 
RESEARCH STRATEGY 
 
A.  BACKGROUND  
A.1.0  Osteoarthritis (OA) is a Highly Prevalent and Disabling Health Problem.  OA is one of the most 
common chronic diseases in the U.S.; about 27 million adults have symptomatic OA 1,2.  Because of the 
forecasted growth in the U.S. older adult population, the prevalence of OA is expected to double over the next 
several decades 3. OA is also the most frequently reported cause of disability in the U.S.4, commonly affecting 
walking, stair-climbing, and other daily tasks. Among older adults, the risk of disability attributable to knee OA 
is as great as that due to cardiovascular disease and greater than any other medical condition 5.  In addition to 
pain and disability, OA has detrimental effects on other important patient-centered outcomes such as 
depression, anxiety, sleep, fatigue, physical activity, weight gain, and quality of life 6-9.  OA is a large and 
rapidly increasing public health problem that takes a substantial personal toll on many adults.   
A.2.0  African Americans Bear a Disproportionate Burden of OA Across Many Patient-Centered 
Outcomes.  A number of studies show that African Americans not only experience a greater prevalence of OA 
than Caucasians, but also more severe pain, functional limitations, and other adverse outcomes 10-14.  Among 
adults in the National Health Interview Survey with arthritis (most commonly OA), African Americans were 
more likely than Caucasians to report having activity limitations attributable to arthritis (44% vs. 34%) and 
severe joint pain (34% vs. 23%);15 they were also 1.5 times as likely to be limited in their social participation16.  
In a community-based study in Johnston County, North Carolina, African Americans with knee OA had 
significantly worse scores than Caucasians on the Western Ontario and McMasters Universities Osteoarthritis 
Index (WOMAC), a measure of pain, stiffness and function (32.8 vs. 24.3, respectively, p<0.001) 17.  Among 
about 900 Veterans with knee or hip OA, African Americans had significantly worse WOMAC scores than 
Caucasians (61 vs. 55, p<0.001) 18.   In our clinical trial of Veterans with knee or hip OA 19, African Americans 
also had worse WOMAC scores (52.3 vs. 44.5, p<0.001) and more arthritis-related activity limitation (6.1 vs. 
4.8 on scale of 0-10, p<0.001) compared to Caucasians.  In both the Johnston County and Veteran samples, 
racial disparities in WOMAC scores reflect clinically relevant differences 20. These studies signal an obvious 
need to address the disproportionate burden of OA among African Americans.  In fact, the Institute of 
Medicine has identified interventions to reduce disparities in OA and other musculoskeletal diseases 
among its top 25 (highest tier) priority topics for comparative effectiveness research 21. 
 
B. SIGNIFICANCE  
B.1.0  Overview of the Project’s Potential to Impact Health Care and Outcomes. This project has great 
potential to impact health care and outcomes by improving pain and other patient-centered outcomes for the 
large number of African American patients who have OA.  Despite many years of research highlighting the 
disproportionate burden of pain-related conditions (including OA) among African Americans, very little has 
been done to address these disparities 22.  A recent review noted that one key barrier to moving this 
research forward has been limited engagement by minority patient groups; as a result, pain 
management theories, concepts, and interventions have gone largely un-tested in minority patient 
groups including African Americans (RQ-1) 23.  Pain Coping Skills Training (CST), a cognitive-behavioral 
intervention with shown efficacy to improve OA-related pain and other patient-centered outcomes, has strong 
potential to benefit African Americans with OA (see Section B.2.0).  However, stakeholder input and a stronger 
evidence base for the effectiveness of pain CST among African Americans is needed, particularly in the 
context of real-world settings (RQ-1).  Pain management interventions like CST are highly under-utilized 24,25 , 
and primary care providers typically do not have the time or training to work with patients on key evidence-
based pain coping skills. Therefore, incorporation of pain CST programs into health care and other settings 
that reach large numbers of African Americans with OA would have a substantial impact on care, satisfaction, 
and other patient-centered outcomes.  Accordingly, this project will develop and test a pain CST program that 

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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could be readily implemented in diverse clinical and other settings. In the following sections we describe 
research that further supports the potential of this project to improve health care and outcomes.   
B.2.0 Pain Coping Skills Training is a Highly Promising Strategy to Address Racial Disparities in OA 
B.2.1  There are Racial Differences in Pain Coping and Perceived Pain Control.  Studies show that when 
compared with Caucasians, African Americans with OA (and other chronic pain conditions) report greater 
levels of pain catastrophizing (i.e., the tendency to focus on and magnify pain sensations and to feel helpless 
in the face of pain 26-29), lower perceived ability to cope with and control pain 30,31, and greater maladaptive 
coping strategies (i.e., emotion-focused or external coping strategies) 30,32-34. This is very important because 
these coping-related characteristics have been associated with worse pain, function, and depressive 
symptoms 35-38.  Of particular relevance, these coping patterns can be modified through pain CST 39-43. 
B.2.2  Coping and Psychological Variables are Contribute to Racial Disparities in Pain and Function.  We have 
conducted analyses of three separate cohorts, showing that coping patterns and related psychological 
variables are important contributors to racial differences in pain and function.  Most recently, we 
assessed the role of pain catastrophizing as a potential mediator of racial differences in pain among 300 
patients with hip and knee OA enrolled in a clinical trial19.  WOMAC pain subscale scores were worse among 
African Americans than Caucasians in this sample (11.0 vs. 9.4 on a scale of 0-20).  In a simple regression 
model of WOMAC pain scores, the estimate for race was -1.6 (CI= -2.5, -0.8, p=<0.001).  When scores on the 
Pain Catastrophizing Scale were added to this model (with no other covariates), the regression coefficient for 
race became non-significant (-0.7, CI= -1.5, 0.1, p>0.05); greater Pain Catastrophizing scores were associated 
with worse WOMAC pain scores in this same model (regression coefficient = 2.1, CI= 1.7, 2.4), p<0.001). 
These results indicate that Pain Catastrophizing – a primary target of the proposed intervention - 
mediated the association of race with WOMAC pain scores in this patient group, with no other 
covariates included in the model.   
Second, we previously found that in a 
separate cohort of African American (N=221) 
and Caucasian (N=270) Veterans with knee and 
/ or hip OA, racial differences in baseline pain 
and function scores were no longer significant 
when controlling for participant characteristics 
including emotion-focused coping (Table 1) 34. 
This is relevant to the proposed study because 
emotion-focused coping has been associated 
with worse pain-related outcomes and is 
addressed by the pain CST program.  Third, we 
examined associations of race and other 
variables with WOMAC scores (pain and 
physical function) among n=1,368 participants 
with knee OA (32% African American) in the 
community-based Johnston County Osteoarthritis Project 17.  Radiographic severity and demographic factors 
did not explain racial differences in pain and function.  However, depressive symptoms were an important 
mediator of this association. These results provide further support for the potential impact of CST among 
African Americans with OA, since studies show that CST positively influences psychological health, including 
depression 39,44,45.  
B.2.3  Preliminary Data Indicate Pain CST Programs May Particularly Benefit African Americans with OA.  
Although prior clinical trials support the efficacy of CST programs for improving pain and other 
outcomes among patients with OA 39,41,44,46-50, these studies have involved primarily non-minority 
samples and have not obtained patient perspectives on cultural appropriateness.  Importantly, results 
of our recent pilot study (Drs. Allen, Keefe, and Campbell) indicate CST may be particularly beneficial 
for African Americans with OA and may reduce disparities in pain, coping strategies and other 
outcomes.  The first step in this pilot work involved focus groups of African American Veterans with OA, where 
Table 1.  Results of Multivariable Linear Regression Model 
of AIMS2 Pain and Function Scores  
 
AIMS2 Pain * 
AIMS2 Function*  
 
B (p-value) 
B (p-value) 
African American  
0.03 (0.874) 
0.09 (0.419) 
Emotion-Focused Coping†  
0.15 (<0.001) 
0.18 (<0.001) 
Arthritis Self-Efficacy  
-0.30 
(<0.001) 
-0.17 (<0.001)   
AIMS2 Affect Subscale 
0.29 (0.028) 
0.23 (<0.001) 
Age 
-0.01 (0.080) 
--  
Perceived Inadequate 
Income 
0.19 (0.342) 
0.15 (0.245) 
Fair or Poor Health 
0.64 (<0.001) 
0.91 (<0.001) 
* AIMS-2 = Arthritis Impact Measurement Scales-2; higher 
scores = worse pain and function. † Higher scores = more 
emotion-focused coping. 

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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we obtained input on a pain CST program based on prior work by Dr. Keefe and colleagues; this included 
exploration of issues related to cultural relevance (e.g., concordance of intervention content with values, norms, 
and beliefs). Feedback from the focus groups was incorporated into the pain CST program.  Next we evaluated 
the telephone-based CST intervention among n=30 patients at the Durham VA Medical Center (VAMC) with 
clinically documented OA (mean age = 58 years; 9 females; 14 Caucasians, 13 African Americans, 3 other 
racial / ethnic minorities). Outcomes were assessed at baseline and 12-week follow-up and included AIMS-2 
subscales (pain, affect, mood, and physical function) and the Coping Skills Questionnaire 51.   
As shown in Appendix Table 1, African American participants improved in all Arthritis Impact Measurement 
Scales-2 (AIMS-2) subscales, with statistically significant changes from baseline (p<0.05) for the Total, Pain, 
Walking and Bending, and Mood subscales.  Also importantly, African Americans exhibited greater 
improvements than Caucasians in all AIMS-2 subscales.  In addition, African Americans (but not 
Caucasians) had a significant (p<0.05) decrease (improvement) in pain catastrophizing scores.  This result is 
particularly relevant, given the strong and consistent association between high pain catastrophizing and 
greater pain severity 35-37.  The following quote from an African American patient in this pilot study illustrates 
the value of the CST program from the patient perspective, ““Before the program I really didn’t have the right 
tools in order to get rid of the pain. Now…I actually do have tools in order to be able to make the pain 
decrease ...”  In summary, results of this pilot study suggest that the proposed CST program, with 
cultural tailoring, may be particularly beneficial for African Americans OA and may be a key strategy 
for reducing racial disparities. However, work is still needed to: 1.) Engage the full range of Stakeholders in 
the process of evaluating this CST program and its dissemination potential, with particular attention to cultural 
relevance. 2.) Conduct a larger clinical trial of pain CST among African Americans with OA to examine 
effectiveness in real-world settings. 3.) Create practical tools (“deliverables”) to facilitate dissemination and 
implementation of this program in community and clinical settings that reach African Americans with OA.  
B.3.0  Overview of the Patient-Centeredness of the Study 
The proposed project is highly patient-centered because OA is a leading cause of pain and disability 4,52, 
outcomes that are consistently endorsed by patients as being of high importance (RQ-6) 53-55.  OA-related pain 
also has a detrimental impact on other key patient-centered outcomes such as depression, anxiety, 
employment, relationships, sleep, fatigue, employment, and quality of life 6-9.  In addition, arthritis is a key 
barrier to engaging in other healthy behaviors, such as physical activity, and it is strongly associated with 
obesity 56-58.   Therefore interventions that help patients manage OA-related pain also have tremendous 
potential for affecting other health outcomes of importance to patients 59. This is particularly important for 
African Americans with OA, since they bear a disproportionately high burden of symptoms.  
This project addresses the key PCORI question, “What can I do to improve the outcomes that are 
most important to me?”  Specifically, information generated from this project will enable African Americans 
with OA to know whether participating in a pain CST program will improve key patient-centered outcomes (RQ-
3). Participation in these types of programs requires a time investment by patients, and sometimes friends or 
family members who take over responsibilities to enable patients to participate. Therefore it is important to 
provide solid information on likely benefits, so patients can choose whether to invest their time in a pain CST 
program. We have applied patient-centered principles to all aspects and stages of the study conduct, 
summarized in Table 2 below, with details on these approaches provided the remainder of the proposal. 
B.4.0 Other Preliminary Studies 
In addition to our work described in Section B.2, we have completed other studies that demonstrate our 
commitment to this research area and our experience that will allow successful completion of the project: 
B.4.1  Pain CST Studies by Study Team Members / Culturally Enhanced Protocols.  Drs. Keefe, Somers, and 
Campbell have conducted extensive work on pain CST interventions.  Dr. Keefe is the developer of the CST 
intervention upon which the proposed intervention is based. He has led an active program of research  
 involving trials of this intervention and is an international expert in the area of pain coping and outcomes 
39,41,44,46,48,49,59,60 .  Dr. Campbell has worked closely with Dr. Keefe in studies of OA patients and has adapted 
the CST intervention for African Americans with cancer 61.  Dr. Campbell received a Minority Supplement to 
enhance the cultural sensitivity of basic elements of the CST protocol for this patient group and has been the  

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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principal investigator of 2 studies (DOD and 
NIH-funded) evaluating the efficacy of 
culturally enhanced protocols in African 
American men with prostate cancer and 
their intimate partners. Dr. Campbell’s 
adaptations to CST protocols were 
designed to increase the cultural 
congruence of CST, such that intervention 
elements were not in conflict with norms 
common to many African American 
communities. Norms identified in Dr. 
Campbell’s work included the stigma 
attached to seeking psychological services 
and the importance of productivity and not 
appearing lazy in the eyes of family, friends, 
and community. To address the issue of 
stigma, CST was presented as an 
educational intervention rather than a form 
of treatment or therapy. Concerns related to 
productivity were addressed in two ways. 
First, communication strategies were taught 
in the intervention to provide participants 
with strategies for explaining CST to family 
and friends and requesting any support 
needed to fully participate in CST (e.g., a 
break from some household duties, time off 
from church committee work). Second, 
strategies involving rest or relaxation were 
taught with an emphasis on how rest and 
relaxation can ultimately improve stamina or performance in the long-term. These adaptations will be 
integrated into the proposed pain CST intervention for African Americans with OA and reviewed by the 
Stakeholder Panel. 
B.4.2  Clinical Trials of Behavioral Interventions for Patients with OA.  In addition to a completed clinical trial of 
telephone-based OA self-management 62,63, Dr. Allen and colleagues have recently conducted two clinical trials 
(one at Duke, one at the Durham VAMC) of Patient and Provider Interventions for Managing OA in Primary 
Care,19 a clinical trial comparing group vs. individual approaches to delivering physical therapy for knee OA in 
the VA healthcare system,64 and a clinical trial of decision aids for patients with hip and knee osteoarthritis 65.  
Dr. Allen is also currently leading a clinical trial of physical therapy vs. internet-based exercise training for 
patients with knee OA, funded by the Patient-Centered Outcomes Research Institute.  These studies 
demonstrate our team’s experience in all aspects of conducting clinical trials among patients with OA, including 
recruitment, retention, intervention delivery and outcome assessment.  Although these prior trials have not 
exclusively enrolled African American patients, they have involved a substantial number of participants from 
this minority group. For example, in our trials of Patient and Provider Interventions for Managing OA in Primary 
Care, about 40% of 537 participants (N=212) from the Duke-based study and 50% of the 300 patients in the 
VA-based study are African American. This demonstrates our experience with reaching out to African 
Americans with OA in the context of clinical trial participation.  We also note that in both of these trials, 
rates of enrollment were similar to or better among African American patients compared to Caucasian patients. 
In the Duke study, 53.6% of invited African American patients and 56.5% of invited Caucasian patients agreed 
to participate. In the VA study, 56.4% of invited African American patients agreed to participate, compared to 
40% of invited Caucasians patients.   
Table 2.  Patient-Centered Approaches to Study Conduct 
Study 
Aspect  
Patient-Centered Approach(es) 
Participant 
Recruitment 
• Recruitment materials reviewed by Patient 
Stakeholders for understandability and cultural 
relevance 
• Enhanced consent process with increased 
attention to patient rights in research 
• All initial study activities (consent, assessments) 
done at one appointment to minimize participant 
burden 
Pain CST 
Intervention 
• Telephone-based delivery to facilitate access and 
flexible scheduling for patients 
• Availability of evening and weekend sessions 
• Incorporation of enhancements to address issues 
of cultural relevance 
• Comprehensive approach that integrates 
comorbid health conditions and other behaviors 
important for OA management 
Measures 
 
• Primary outcome (pain) is the central symptom for 
patients with OA 
• Inclusion of a global quality of life measure, as 
recommended by Patient Stakeholders, to capture 
the impact of OA on many aspects of patients’ 
lives 
Dissemination 
Potential 
• Outreach to community-based organizations that 
serve many older African Americans; taking the 
intervention results and deliverables to “familiar 
ground.” 
• Use of patient testimonials to help patients see 
the impact of pain CST on “people like me” 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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C.  STUDY DESIGN & APPROACH 
C.1.0  Overview and Adherence to PCORI Methodology Standards 
All study methods have been developed with reference to the PCORI Methodology Standards. Throughout 
the remainder of the proposal, we reference sections of the Methodology Standards (in bold print, using 
PCORI Appendix A labels) that are addressed by elements of the research plan. Sections C-G serve as a 
protocol for this planned effectiveness clinical trial (RQ-2).  
C.2.0  Incorporation of Stakeholder Perspectives into CST Program (Specific Aim 1) 
  
The first Specific Aim of this project is to: " Engage African American patients with OA, their support 
partners, health care providers, clinic administrators, and public health representatives in a process of 
evaluating and refining a pain CST program for culturally appropriate content and dissemination potential.”   
There is a growing body of literature supporting the efficacy of health interventions that have been tailored to 
specific racial, ethnic, and cultural groups 61,66-69.  A recent review indicates that mental health interventions are 
more effective when adapted to meet the needs and expectations of minority populations 70.  There are also 
specific reasons we believe it is particularly important to consider issues of cultural relevance of a pain CST 
intervention among African Americans with OA.  First, most studies of pain CST among patients with OA have 
involved predominantly Caucasian samples.  Therefore the extent to which the CST intervention matches the 
cultural characteristics, values, and pain experiences of African Americans is not well understood.  As 
described above, Dr. Campbell’s work has identified issues related to the stigma of psychological services and 
the importance of productivity among African American men with prostate cancer; these areas, as well as 
others identified by our Patient Stakeholders and their supportive partners, will be further explored and 
incorporated into the intervention.  Second, African Americans often experience a greater number and 
different types of stressful events (i.e., socioeconomic, environmental, occupational, racism-related) than 
Caucasians, and these stressors can be important contributors to the pain experience 71.  One focus of the 
CST intervention is applying pain coping skills in the context of stressful events.  Because of racial differences 
in the types and volume of stressors patients may experience, African Americans may experience barriers to 
incorporating pain coping skills in stressful situations. We will explore the areas of compound stressors and 
capacity to deal with race-related stressors with our Patient Stakeholders.  Third, one core cultural value of 
many African Americans is religion or spiritualism, and African Americans tend to employ more religious coping 
strategies than Caucasians 71,72.  While the coping skills involved in the CST intervention are not implicitly 
religious, these aspects can be incorporated when religion or spirituality is a core value for participants.  For 
example, prayer can be incorporated into relaxation exercises, and coping self-statements can be based on 
Scripture or other texts. For some participants, pain may interfere with church attendance and result in the loss 
of a meaningful activity.  Activity pacing may allow for a return to church by staying for shorter periods.   
We have already taken initial steps to evaluate issues of cultural relevance of pain CST, including our pilot 
study among African American Veterans with OA described above.  However, there is still a need for broader 
Patient Stakeholder input, particularly since our pilot study involved primarily male Veterans.  As described 
below (Section G), we have been meeting with Patient Stakeholders during the course of this proposal 
development; we have presented the CST program (and other aspects of the study) to these stakeholders and 
have incorporated their input into the proposal.  For example, one theme we heard from several patients was 
the important role of family or friends in the pain and pain management experience.  Based on this input, we 
have added a module to the pain CST program that will teach patients effective skills for communicating with 
others about their pain and soliciting support (similar to Dr. Campbell’s work described above) and have invited 
supportive others to participate on the Stakeholder Panel.  At the beginning of the study period, we will 
continue to work with Stakeholder Panel members to finalize the pain CST program.  (In addition, Section G 
describes details of our Stakeholder Engagement plan relevant to Specific Aim #1.)   
 
 
 
 

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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Following incorporation of Stakeholder Panel input into the pain CST program, we will present this version 
to a separate group of approximately eight African American patients with OA. We will identify potential 
stakeholders for this group in several ways, including referrals from providers, advertisements in clinics, and an 
email to UNC employees.  The CST counselor or other qualified study team member will present each session 
to these patients via telephone, so they can experience the program in the same delivery format that will be 
used among study participants.  Feedback from these patients will then be incorporated into the CST program 
prior to beginning the clinical trial.  Table 3 provides a summary of the ways in which the CST program has 
been culturally enhanced to date (based on our Veteran pilot study and informed by Dr. Campbell’s work), as 
well as examples of other areas where additional enhancements could be applied, based on our initial work 
with the Stakeholder Panel and pilot testers.   
Table 3.  Examples of Cultural Enhancements to Pain CST Program 
Enhancements Based on Previous Work 
Traditional CST Program Approach / 
Patient Concern 
Culturally Enhanced CST Program Approach 
Described as “treatment” or “therapy”  
Described as an educational intervention to deal with the stigma of 
psychological services 
Some aspects of CST perceived as not 
promoting productivity 
Added a module on communication strategies to help patients talk with 
family and friends about CST skills and their need for support in 
managing pain 
Relaxation skills emphasize their ability to improve long-term productivity  
Literacy level too high for some patients 
Simplified and lowered the reading level of patient handouts 
Examples of Potential Additional Enhancements (Based on Stakeholder Input) 
Pain coping skills difficult to apply in 
context of compound / extreme life 
stressors 
Provide additional and specific guidance on applying these skills in the 
types of situations noted by patients 
Time constraints for home practice (may be 
a challenge for women with multiple 
caregiving roles) 
Allocate intervention time to helping patients develop specific plans for 
integrating their home practice and prioritize home practice assignments 
once multiple skills have been learned   
Concern about whether program conflicts 
with religious values 
Add specific content in intervention scripts and handouts on how coping 
skills can be aligned with patients’ religious beliefs, traditions and values 
C.3.0  Clinical Trial Design (Specific Aims 2 and 3) 
The clinical trial will address Specific Aims 2 and 3:  
Specific Aim 2: Examine the effectiveness of an 11-session, culturally enhanced, telephone-based pain CST 
program among African Americans with hip or knee OA. 
Specific Aim 3: Examine whether individual patient characteristics (particularly baseline pain catastrophizing 
score, comorbidity and duration of OA symptoms) are associated with differential improvement in the pain CST 
program.   

 
 
 
 
PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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Figure 1 shows the design and measurement points for the clinical trial. This will be a randomized 
controlled trial, with equal allocation of participants to pain CST 
and Wait List Control (WL) groups.  The WL group mirrors a 
“usual care” condition, since this study involves patients who 
are under treatment for hip or knee OA at the University of 
North Carolina (UNC) Health Care System and the Durham 
VAMC (RQ-5); all participants will continue other usual care for 
knee OA during the study period.  (A description of participants 
and recruitment methods is provided in Section E, and detail 
on the enrollment sites is provided in Section F.)  
Randomization will be stratified according to enrollment site 
and gender, to ensure that the groups are balanced in these 
respects. The two points for follow-up assessments will be at 
approximately 12 weeks and 36 weeks.  The 12-week time 
point will follow intervention completion. To allow for the brief 
lag time between the baseline visit and randomization / first 
intervention call, as well as the potential for missed calls and 
scheduling conflicts, we will schedule follow up assessments 
between 14 and 16 weeks after the baseline visit.  The 36-
week time point, about six months after intervention completion, 
will allow us to evaluate whether any intervention effects are 
sustained once CST group participants are no longer in a 
period of active intervention.  Participants in the WL group will 
be invited to take part in the CST program following all study 
assessments.  
Because chronic pain conditions often impact family 
members and friends who can help to support coping strategies, we considered studying a partner-based pain 
CST program 42.  However, we were concerned that this strategy would exclude African American patients who 
do not have a close supportive partner to participate in the pain CST program with them.  This concern was 
highlighted by work with our patient stakeholders, some of whom are not married and do not have a consistent 
support partner in the context of managing their pain and its daily impact. Therefore we have adopted what we 
believe is a patient-centered approach to this issue.  Specifically, we will include intervention modules that help 
patients to engage and communicate with their support partners when available (or to seek additional support 
for their pain coping, when appropriate).  We believe this strategy will provide the advantages of involving 
support partners while not introducing restrictions that would exclude patients from the study. 
C.4.0  Overview of the Pain CST Intervention (RQ-5) 
Rationale and Theoretical Basis for Pain CST.  There are a number of theories that link pain experiences with 
psychological and behavioral processes, including the gait control theory 73 and its expansion the neuromatrix 
theory 74.  These theories highlight that pain is a complex experience that influences and can be influenced by 
brain processes related to sensation, cognition, emotion, and behavior.  A core concept of these theories is 
that noxious pain impulses are influenced by a gating mechanism within the spinal cord.  The gate can be 
opened by physical factors (e.g., injury), psychological factors (e.g. depression), and behavioral factors 
(focusing on the pain). The gate can also be closed by physical factors (e.g., analgesic use), emotional factors 
(e.g., positive mood), and behavioral factors (e.g., distraction from the pain).  An important implication is 
that systematic training in skills for altering thoughts, feelings, and behaviors related to pain can 
reduce pain and minimize its detrimental impact on psychological and physical functioning 75.     
General Components of the CST Program.  This CST program will be based on a model developed by Dr. 
Keefe and colleagues.  There basic components of the intervention are 75: 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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1.  Education in Rationale for CST.  Patients are provided with a brief rationale for the CST intervention, 
including components of gate control theory, which helps them to understand how their thoughts, feeling, and 
behaviors can influence pain and how learning coping skills can enhance their ability to control pain.   
2.  Counselor-Guided Training in Coping Skills. A counselor provides instruction in cognitive and behavioral 
pain coping strategies and also leads patients in guided behavior rehearsals of these skills. The following are 
main categories of cognitive and behavioral coping strategies, along with cultural enhancements we anticipate 
may be important, based on our pilot work: 
Cognitive Restructuring. Cognitive restructuring is a process by which patients are taught to 
recognize the relationships between thoughts, feelings and behavior 76.  Patients are taught to identify overly 
negative, maladaptive thoughts regarding pain and to replace those with alternative, more realistic and helpful 
coping thoughts that enhance pain coping efforts and pain control.  This component of the intervention was 
adapted from a self-instructional training intervention by Turk et al. 77. This skill is one for which cultural 
tailoring may involve more detailed or systematic incorporation of spiritual or other cultural values into thoughts 
about pain and pain management.   
Attention Diversion Methods. Patients are trained in three attention diversion methods to enhance 
pain control: relaxation, imagery, and distraction. Relaxation training is based on a protocol described by 
Surwit et al. 78, involving concentration of muscle tension and then using this as a cue to relax.  Imagery is 
taught as an adjunct to relaxation 79. Patients practice using pleasant imagery and changing from one image to 
another. Distraction techniques help patients focus on physical or auditory stimuli 79. This skill is one for which 
cultural tailoring may involve addressing norms about the acceptability of relaxation.  
Changing Activity Patterns.  Patients are taught how to change activity patterns to control pain via 
strategies for activity-rest cycling 80 and pleasant activity scheduling 81.  In activity-rest cycling, patients identify 
activities in which they may overexert themselves, learn to break up those activities into periods of activity and 
rest (i.e., 20 minutes of housework followed by 10 minutes of rest), and gradually increase their activity level 
and decrease resting periods.  With respect to pleasant activity scheduling, patients identify activities they 
enjoy and make weekly plans for engaging in these activities. This skill is one for which cultural tailoring may 
involve greater attention to life challenges or demands that present challenges to planning and controlling 
activity patterns.  
Communication with Supportive Others about Pain and Coping.  One enhancement we have 
made to the CST program, based on Patient Stakeholder input, is the importance of others in dealing with 
chronic pain.  Therefore we have added a module that provides guidance in speaking and listening strategies 
and expressive vs. decision-making conversations, all applied to communicating with supportive others about 
pain.   
3.  Home Practice and Maintenance Planning.  Patients are asked to engage in home-based practice of the 
coping skills to enhance their ability to apply these skills effectively in pain-related situations.  The counselor 
addresses participants’ home practice, including successes and barriers, during intervention sessions.   
4. Consideration of Other Lifestyle Factors Important for OA Management.  The CST counselor will work 
with participants to place pain CST in the broader context of OA management.  Physical activity and weight 
management are particularly important lifestyle strategies for managing OA 85,86.  Although pain CST will be the 
focus of this intervention, we will also support participants’ engagement in these other lifestyle approaches, 
using low literacy materials and intervention scripts we developed in other studies 19.  These materials take a 
behavioral, goal-setting approach to weight management and physical activity.  Sessions 8 and 9 of the 
program will address physical activity and weight management, respectively (See Appendix).  This order was 
selected strategically, since each of the pain coping skills will have been introduced by that time point, and the 
counselor will be able to work with participants to integrate those skills in their efforts to change physical 
activity and dietary patterns.  For example, activity-rest cycling is important for helping patients to improve 
overall physical activity without pain exacerbation.  Cognitive restructuring is also important for helping patients 
to address unhelpful thoughts that link pain to these other behaviors.  For example, some individuals respond 
to pain with unhealthy eating patterns; uncovering and addressing unhelpful pain-related thoughts is a key to 

 
 
 
 
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changing these patterns.  The CST counselor may also address participants’ comorbid illnesses in the context 
of engaging in weight management and physical activity, as well as the use of pain coping skills.   
 C.5.0  Schedule and Specific Content of the Pain CST Program 
The CST intervention will involve 11 weekly sessions, conducted via telephone to enhance accessibility 
and reach. In particular, the telephone-based delivery of this program makes it one that could be delivered to 
patients across a wide geographic area with small central oversight.   Based on our pilot work, we anticipate 
each of the sessions will take approximately 30-45 minutes, and this was very acceptable to participants. The 
content of the CST interventions will be based on the Coping Skills Training Manual (Osteoarthritis Version), 
developed by Dr. Keefe and colleagues, which provides detailed session-by-session information, instructions 
for counselors, and patient handouts 39,41,44,49.  As part of our VA-based pilot study described above, we 
adapted the counselor instructions and patient manual (See Appendix) into a lower literacy format.  As noted 
above, we will also utilize low literacy materials from our recent OA studies to incorporate sessions on physical 
activity and weight management.  As described in Specific Aim #1, further adaptations will be made to 
incorporate other issues of cultural relevance based on Stakeholder input. The patient manual, as well as an 
audio-recording of relaxation instructions, will be provided to participants.  Each session includes: teaching and 
/ or review of specific coping skills, counselor-led practice of coping skills, review of practice and use of skills 
during the prior week, and developing individual plans and goals for home practice of skills for the next week.  
Participants are asked to document weekly goals.   
C.6.0 Training and Supervision of CST Counselor  
We will follow procedures established by Dr. Keefe and colleagues regarding training and supervision of 
the CST counselor. The CST counselor will have prior experience in delivering behavioral interventions, 
particularly among African Americans.  Prior to beginning this trial, the counselor will receive training in the 
pain CST intervention, including role-play sessions, with Dr. Somers.  The counselor will also receive additional 
training in issues of cultural sensitivity regarding the CST program from Dr. Campbell.   We will use four 
strategies to ensure the CST counselor consistently follows the appropriate treatment protocol: 1) the 
counselor will follow a detailed treatment outline and scripts, 2) supervision sessions (with Dr. Somers) will be 
conducted with the counselor, approximately weekly (with a likely reduction in frequency as the program 
progress), 3) audio-recorded CST sessions will be reviewed during supervision meetings, and the counselor’s 
adherence to the protocol will be rated using a scale developed and utilized by Dr. Keefe and Colleagues. 
Satisfactory adherence will be defined as 90% or more of the maximum possible score on the adherence rating 
scale, and ratings will be derived from a randomly selected 15% (approximately) of all sessions, or more as 
deemed necessary.   Dr. Campbell will also listen to recorded CST sessions, including approximately the first 
10 sessions and 5% thereafter.  Dr. Campbell will particularly focus her review on issues related to cultural 
relevance.  Based on the project’s sample size and projected rate of participant enrollment, the CST counselor 
will have sufficient time to conduct all sessions. However, in case back-up is needed to deliver some pain CST 
(due to counselor vacation, unexpected leave, etc.), we will also train another counselor who is currently on our 
VA study team (and who delivered the pilot study intervention), so we can avoid unexpected lapses in 
intervention delivery.  
C.7.0  Patient-Centered Outcomes (PC-3, IR-4) 
C.7.1 Overview (PC-2).  All study assessments will be conducted by trained research assistants, blinded to 
participants’ randomization assignment. We will use scripts to ensure that measures are delivered in a 
consistent and valid manner. The CST counselor will not be involved in outcome assessments.  Primary and 
secondary outcomes will be assessed at baseline (in-person), approximately 12-weeks (in-person) and 36 
weeks (telephone). Participant characteristics will be assessed at baseline. Participants will be paid $50 for 
completion of in-person assessments and $25 for the 36-week telephone-based assessment. We have 
selected our pain-related outcomes on the basis of input from our Stakeholders (RQ-6) and the Initiative on 
Methods, Measurement, and Pain Assessment in Clinical Trials (IMMPACT) 87, which recommends 
measurement of four chronic pain domains:  pain intensity (WOMAC pain subscale), physical functioning 
(WOMAC function scale), emotional functioning (Patient Health Questionnaire-8), and participant global 
impression of change. Other secondary patient-centered outcomes focus on self-efficacy, pain coping, quality 

 
 
 
 
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of life pain interference and pain medication use.  
C.7.2 Primary Outcome: WOMAC Pain Subscale. We have chosen pain as the primary outcome because it is 
typically the chief complaint among patients with OA and affects other patient-centered outcomes (e.g., 
function, psychological health) (RQ-6). The WOMAC pain subscale is one of the most commonly used 
measures of pain among patients with lower extremity OA. It includes 5 items rated on a Likert scale of 0 (no 
symptoms) to 4 (extreme symptoms).  The reliability and validity of the WOMAC total score and subscales 
have been confirmed 88.  Construct validity has been confirmed by a significant association with the Lequesne 
Algofunctional Index for Knees 88. The WOMAC has been widely used in trials of behavioral interventions for 
patients with hip and knee OA, confirming its sensitivity to change in these types of interventions.  
C.7.3  Secondary Outcomes. 
WOMAC Total Score and Function Subscale. In addition to the pain subscale, the WOMAC includes 
stiffness (2 items) and function (17 items) subscales.  The WOMAC total score and function subscale are also 
common patient-centered outcomes for patients with lower extremity OA.  We will assess the function subscale 
separately because of its importance as an outcome among patients with OA.  
Depressive Symptoms – Patient Health Questionnaire-8 (PHQ-8).  We have chosen to assess depressive 
symptoms because of their close association with pain 89.  These symptoms will be assessed using the PHQ-8, 
a reliable and valid measure 90.  The PHQ-8 is an eight-item survey that consists of items corresponding to 
depression criteria listed in the Diagnostic and Statistics Manual Fourth Edition (DSM-IV).  Each of the eight 
questions is scored as 0 (not at all) to 3 (nearly every day), so that total scores range from 0 to 24.   
Patient Global Impression of Change. We will use this scale to evaluate participants’ perspectives on overall 
changes in their joint pain during the study period 91.  This measure asks participants to describe their change 
in pain on a 7-point rating scale with the following options: “very much improved,” “much improved,” “minimally 
improved,” “no change,” “minimally worse,” “much worse,” and “very much worse.”  This scale has been widely 
used in clinical trials of chronic pain and is recommended by IMMPACT 87. 
Coping Strategies Questionnaire (CSQ).  The CSQ is the most commonly used measure of coping among 
individuals with chronic pain, and its measurement properties have been confirmed in patients with a variety of 
pain-related conditions 51,92.  This scale includes 48 items that assess 6 cognitive domains (Catastrophizing, 
Diverting Attention, Ignoring Sensations, Coping Self-Statements, Reinterpreting Pain Sensations, Praying-
Hoping) and 1 behavioral domain (Increasing Behavioral Activities). Each domain includes 6 items, and 
participants rate the frequency of their use of specific coping strategies on a 7-point Likert scale from 0 (“Never 
do that”) to 6 (“Always do that”). The scale also includes two items that assess participants' perceived coping 
effectiveness, i.e. their subjective ability to control or decrease their pain, using a similar 7-point Likert scale. 
Arthritis Self-Efficacy Scale.  We will assess arthritis self-efficacy because of its close association with other 
OA-related outcomes (i.e., pain and function) and its patient-centeredness. The Arthritis Self-Efficacy Scale 
has shown acceptable construct validity (by its significant associations with pain, disability, and depression), 
internal reliability (alpha = 0.76-0.89), and test-retest reliability (Pearson r = 0.71-0.85). Higher scores on this 
scale have been significantly associated with improved health outcomes and protection against poor functional 
outcomes 93,94.  This scale includes 8 items asking respondents how certain they are that they can perform 
specific activities or tasks.  Items are scored on a Likert Scale (1=very uncertain to 10=very certain).   
Health-Related Quality of Life (HRQoL). We are including a measure of HRQoL based on feedback from our 
Patient Stakeholders, who stressed that OA affects many aspects of life and recommended that we broadly 
assess quality of life in this study (RQ-6). We will use the Short-Form-12 (SF-12), a validated measure that 
covers domains of general health, physical health, work and activity limitations, and emotional health 95. 
PROMIS Pain Interference Instrument (Short Form) 96.  The PROMIS Pain Interference (Short Form 6a) 
instrument measures the self-reported consequences of pain across aspects of life including social, cognitive, 
emotional, physical and recreational activities; this instrument refers to the past seven days.  This validated 
scale has five response options, with scores ranging from one to five. 
Pain Medication Use. Pain medications are a common treatment for patients with OA, and some patients 
seek to reduce their use; therefore we have included this as a secondary outcome.  We will assess pain 
medication use using methods we have used successfully in previous studies.  We will ask participants to bring 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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to their study visits (or bring to the telephone) all medications (prescription and non-prescription) they are 
currently taking for their arthritis symptoms.  For each medication, the study team will record the mediation 
name, medication class, frequency of taking the medication. 
Arthritis Self-Efficacy for Pain Communication Scale – Patient Version 97.  This 7-item instrument 
assesses patient’s level of confidence in communicating their pain to their partner and receiving understanding 
and a helpful response from their partner. Items are rated on a scale from 10 (“very uncertain”) to 100 (“very 
certain”). 
Starting the Conversation: Diet (STC) 98.  The STC is an 8-item food frequency instrument that evaluates 
dietary assessment and intervention in a clinical setting. Response options for the survey are organized into 3 
columns; one column indicating the most healthful dietary practices (scored 0), the 2nd column indicating less 
healthful practices (scored 1), and the 3rd column indicating the least healthful practices (scored 2). 
Brief Fear of Movement Scale. The Brief Fear of Movement Scale is a six item scale for assessing fear of 
movement in OA.  The scale specifically assesses activity avoidance due to pain-related fear of movement. All 
items are measured on a 4-point scale from “strongly agree” to “strongly disagree.” 
Pain Catastrophizing Scale (PCS). The PCS is a widely used measure of catastrophic thinking related to 
pain99. This 13-item instrument asks participants to reflect on past painful experiences and to indicate the 
degree to which they experienced each of the thoughts or feelings when experiencing pain. The PCS includes 
3 subscales – rumination, magnification, and helplessness. 
Pain Medication Use.  We will use a single-item measure that asks participants whether their overall pain 
medication use for OA has increased, decreased, or stayed about the same since the beginning of the study. 
Although this is a simple approach for measuring pain medication use, it is patient-centered, as it assesses 
patients’ perceptions of how much they need to rely on medications to manage their OA-related pain.  
Time Missed From Work.  A single-item measure that asks participants about time missed from work will be 
used. This question asks participants how many works hours they have missed in the past month due to their 
osteoarthritis pain, other symptoms, and related healthcare visits. 
C.7.4  Participant Characteristics (RQ-4, IR-1).  For Specific Aim#3, we will focus on evaluating potential 
differential effects of pain CST program, with particular interest in differences according to baseline pain 
catastrophizing (CSQ subscale), comorbidity (Self-Administered Comorbidity Questionnaire),100 and self-
reported duration of OA symptoms.  We are interested in potential differences according to baseline pain 
catastrophizing because this domain of coping has a particularly strong, negative impact on pain-related 
outcomes.  Therefore we are interested in understanding whether patients with higher catastrophizing scores 
at baseline, who may have the most room for benefit, experience greater improvement following the pain CST 
intervention. If pain catastrophizing predicts differential response, brief screening measures could be used in 
clinical settings to identify patients who may benefit most.   We are interested in potential differences according 
to participants’ comorbid health conditions, since these are highly common among individuals with OA and 
may be associated with implementation of coping strategies, as described in Section C above.   We are 
interested in potential differences according on the duration of participants’ OA symptoms so that we can 
understand whether patients may benefit differentially based on how long they have been dealing with 
symptoms.  It is possible that patients could benefit most when early in the disease course, before unhelpful 
coping patterns may develop, but this is not known.  Understanding this association will help to guide whether 
this type of program should be implemented systematically, early in the disease course.  
We will also assess the following patient characteristics to describe the study sample:  age, race/ethnicity, 
gender, marital status, household financial state, work status, education level, religiosity (Duke University 
Religion Index) 101, body mass index (BMI; calculated from measured height and weight), physical activity (Yale 
Physical Activity Survey)102, joint involvement (i.e., report of all joints affected by arthritis), tobacco and alcohol 
use, and general self-rated health. Participants’ baseline BMI and physical activity assessments will also be 
used by the CST counselor in delivering sessions 8 and 9; this will provide a foundation participants’ current 
status regarding these two important lifestyle behaviors related to OA.  
C.7.5  Participant Feedback on CST Interventions. As a part of 12-week follow-up assessments for the CST 
group, we will obtain participants’ feedback on the intervention. This will include questions related to specific 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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content (e.g., perceived usefulness and suggestions related to each coping skill) and process (e.g. number and 
duration of sessions; See Appendix for full list of questions).  This information will be used to by the study team, 
in conjunction with the Stakeholder Panel, to refine the program prior to dissemination of deliverables.    
C.8.0 Analytic Methods 
C.8.1  Data Analyses 
General.  Our statistical approach is guided by the PCORI Methods Report. The primary and secondary 
analyses will be conducted on an intent-to-treat basis; patients will be analyzed in the arm to which they were 
randomized, regardless of intervention adherence, using all data up to the 36 week follow-up or last available 
measurement prior to exclusion or dropout 103. Additional supporting analyses focusing on alternative, more 
restrictive analytic cohorts (e.g., as treated) will be considered as exploratory analyses to provide additional 
information about the impact of magnitude of exposure to the intervention (IR-5). 
Descriptive statistics. Descriptive statistics, including graphical displays, will be used to summarize all study 
variables overall and by intervention arm.  We will construct individual and mean trajectory plots of the 
longitudinal outcome variables to understand their general trends over the study period.  In addition, we will 
explore the variability and correlation structure of outcome variables.  All statistical analyses will be performed 
using the SAS (Cary, NC) software package / R (www.r-project.org). 
Missing Data (MD-2, MD-3, MD-5).  Because the main predictors of interest - intervention arm and patient 
characteristics - are collected at baseline, we do not anticipate much missing data in these variables.  Our 
plans for preventing and dealing with missing data follow the guidelines set forth by the National Research 
Council’s Panel on Handling Missing Data in Clinical Trials. Our goal is to achieve less than 20% attrition, 
which is very reasonable based on our prior and ongoing OA studies that include large proportions of African 
Americans 19,62,64; we will use the same strategies of reminder calls, reminder letters and flexible scheduling to 
minimize attrition. There may be missing values in the outcome measures due to dropout, death, a missed 
interim assessment, or item non-response. Given a thorough understanding of the missing data mechanism, it 
is possible to use all of the available information in analysis, rather than using only subjects with completely 
observed information.  Our main analysis technique for the primary outcomes, general linear mixed models via 
maximum likelihood estimation, implicitly accommodates missingness when missingness is due either to 
treatment, to prior outcome, or to other baseline covariates included in the model, defined as missing at 
random 104. Therefore, inferences will be valid even if we have differential dropout by intervention arm.  
However as a first sensitivity analysis, we will construct a general, multivariate imputation model using all 
observed pain measurements, treatment arm, and any covariates predictive of missingness (IR-5).105 The 
primary model, specified below, will then be fit to the multiply imputed data and the estimates and standard 
errors will be combined using appropriate combining rules.106. Multivariate imputation will be conducted via the 
SAS procedure PROC MI or the SAS macro IVEware (http://www.isr.umich.edu/src/smp/ive/).  If the probability 
of dropout is related to the actual missing response (which is unobserved because it is missing) or to other 
unobserved quantities, the missing data due to dropout is considered missing not at random (MNAR) or 
nonignorable 107. We propose as a second sensitivity analysis to explore MNAR methods, including pattern-
mixture models and the toolkit of methods as presented in O’Kelly and Ratitch (IR-5) 108.   
Primary Research Question: Among African Americans with OA, does a pain CST program result in 
improved pain and other patient-centered outcomes at 12-week and 36-week follow-up (Aim #2) (IR-3) 
We will use a linear mixed model (LMM) that will account for the correlation between a participant’s repeated 
outcome measurements over time. Because of the small number of time points (3), we will apply an 
unstructured covariance matrix to take into account the within-patient correlation between repeated measures. 
The fixed-effect portion of the model will have the form: Yit = β0 + β112week+ β236week+ β3CST*12week  + 
β4CST*36week7,  where Yit is the WOMAC pain score for subject i at t=0, 12, 36 weeks. We will estimate the 
parameters in the model using the SAS procedure MIXED (Cary, NC), and will test to see if there is a 
difference in mean WOMAC pain scores between the CST and WL groups at specified time points (i.e., β3=0 
and/or β4=0).  Time is coded in this model to fit a constrained longitudinal data model (cLDA) in which baseline 
WOMAC pain is modeled as a dependent variable in conjunction with the constraint of a common baseline 
mean across the treatment arms 109. In this way, the cLDA model is comparable to an ANCOVA model; the two 

 
 
 
 
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models are equivalent when there is no missing data.  However, unlike an ANCOVA, subjects who are missing 
follow-up measurements are included in the model because baseline is part of the response vector.  For 
improvement in precision, the model will also be adjusted for stratification variables of enrollment site and 
gender 110.  Similar procedures will be used for all continuous secondary outcomes.  The secondary outcomes 
for pain medication use as defined in Section C.7.3 are either dichotomous or count type variables.  We will fit 
a generalized logit model 104 using the SAS procedure NLMIXED for these outcomes. 
Secondary Research Question: Are individual patient characteristics (baseline pain catastrophizing 
score, duration of OA symptoms and comorbidity) associated with differential improvement in the pain 
CST program (Aim #3) (IR-3), HT-1-4, RQ-4).  Patients may vary in their response to the CST program; this 
variation is known as heterogeneity of treatment effects (HTE). We have selected three a priori patient 
characteristics (noted above) and will conduct a separate descriptive HTE for each, as defined in the PCORI 
Methods Report.  We will construct individual and mean trajectory plots of the longitudinal outcome variables 
according to each characteristic and treatment arm to understand their general trends over the study period.  
Our general steps in this secondary analysis will be to add the patient characteristic main effect, as well as the 
interaction variables, to the linear mixed model defined above for primary analysis.  We will examine the 
parameter estimates and 95% CI’s for the 3-way interactions, treatment*time*patient characteristic, to 
determine whether there is evidence of HTE. New state-of-the art modeling methods have taken the 
exploration of HTE to the next level, making it possible to explore and identify multidimensional subgroups 
exhibiting heterogeneous treatment effects.  We will explore whether the a priori defined patient characteristics 
define multidimensional subgroups that exhibit HTE. We will utilize two different analytic strategies for doing 
so: multivariable logistic regression (LR) 111,112  and recursive partitioning (RP) 113,114 .  Our general steps in this 
secondary analysis will be: construction of outcome variables; identification of multidimensional subgroups via 
LR and RP; and, finally, examination of treatment effects within the multidimensional subgroups.  
Logistic Regression Methods: We will construct a summary of each participant’s repeated measures profile 
to characterize the participant’s change over time.  Empirical Bayes estimates from linear mixed-effects models 
with random intercepts and slopes will be used to generate individual-level estimates of mean improvement 115. 
Multivariable logistic regression provides individual-level predicted probabilities of the binary outcome (i.e., 
improvement in pain)112. To generate these predictions, we will enter all a priori defined patient factors and 
interactions into a model to explain variation in study outcomes (beginning with the primary study outcome, 
WOMAC pain score) and apply backward selection with a type-I error rate of 0.01 to reach a final reduced 
model.  We will then stratify the sample into quintiles on the basis of the predicted values.  Then, we will 
estimate the constructed outcomes with a treatment main effect, the quintile indicators and an interaction term 
between treatment effect and each of the quintile indicators.  The coefficients of these interaction terms will 
indicate whether improvements in outcomes differ between subgroups defined by quintiles.  
Recursive Partitioning Methods: Our second approach will be the empirically driven iterative nonparametric 
process known as recursive partitioning. RP methods identify several subgroups that vary in their predictors 
and outcomes improvement, which have a clearer clinical intuition (e.g., participants with longer duration of OA 
symptoms, high comorbidity burden and high pain catastrophizing) compared to logistic regression113,114,116.  
We will conduct RP analysis using the r package “rpart” where all potential predictors will be included in the 
model statement. We will use the cross product prediction error to determine the optimal number of branches, 
and “prune” the tree back to the optimal number.  The final product is a very clinically intuitive “tree” with 
“branches” 116, with a predicted mean or proportion summarized at each terminal node. Treatment group can 
be included as part of the RP analysis to identify both predictors and moderators of treatment response; 
alternatively, treatment effect within each terminal node can be calculated to observe the clinical magnitude of 
effects across constructed subgroups. 
C.8.2. Additional Exploratory Analyses. We may also conduct exploratory analyses of associations among 
other measures collected as part of this study. This may include associations among variables at baseline, 
potential roles of baseline variables as moderators or mediators of treatment effects, or association of baseline 
variables with intervention uptake and outcomes.  
 

 
 
 
 
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C.8.3  Sample size. The sample size estimate of n=124 per arm is based on the primary research question. 
This involves testing the CST*36week interaction in our model, as this will be the most conservative test due to 
higher attrition at the 36 week time point vs. 12 weeks. Sample size calculations use methods appropriate for 
ANCOVA type analyses 117, which are equivalent in terms of efficiency to our linear model in randomized trials 
109.  This method is based on performing a two-sample t-test sample size calculation for the between group 
difference, multiplied by a factor 1-(rho)^2, where rho represents the Pearson correlation between baseline and 
follow-up time point outcome measures.  This sample size is then adjusted to compensate for potential missing 
observations due to attrition. Based on previous data, we assume a correlation of 0.6 between baseline and 
follow-up WOMAC pain scores, and an SD of 3.9. With 80% power, alpha=0.05, SD=3.9, rho=0.60, and a 
conservative 20% attrition rate by 36 weeks 62, we need to enroll 124 patients per group to detect a 1.3 point 
difference in mean WOMAC pain scores at 36 weeks between CST group and the WL control group.  Based 
on a mean baseline WOMAC pain score of 9.2, this corresponds to approximately a 14% improvement or 0.33 
(medium) effect size difference in WOMAC pain, which is a clinically relevant improvement 20.  Similarly, for the 
remaining secondary outcomes we will be powered to detect a 0.33 effect size difference for CST arm 
compared to the WL control group. We will have greater than 80% to detect a 1.3 point difference in pain 
scores between CST and WL at 12 weeks. We did not conduct a power analysis for the HTE analysis for Aim 
#3 because we are proposing a descriptive HTE and have followed the PCORI Methods Report on this issue.  
C.9.0  Data Management and Quality Control.  Study tracking data will be entered into a database we have 
developed at UNC as part of another clinical trial, which can be easily adapted for the proposed project. 
Screening and outcome measures will also be integrated into this database.  Because we have used similar 
screening and outcome assessments in previous work, this will also facilitate programming of these tools.  This 
database provides customized reports that have important functions for monitoring a clinical trial.  These 
reports can provide immediate updates on the numbers of participants enrolled, excluded, withdrew, etc,. This 
will allow the study team to evaluate whether goals are being met and whether there are any differential rates 
of recruitment, drop-out, etc, according to patient demographic characteristics.  These reports also facilitate 
easy checking of screening and outcomes data so the team can monitor for unexpected amounts of missing 
data (MD-1).  The project coordinator will generate weekly reports, based on a CONSORT diagram, that 
describe all of these metrics related to study flow, as well as participant refusal, ineligibility and withdrawal 
reasons (MD-4).  We will follow CONSORT guidelines for reporting study results (IR-6).  
 
D. PROJECT MILESTONES AND TIMELINE 
Table 4 provides a timeline for all major activities and milestones.  Aim 1 of the project involves engaging 
stakeholders (African American patients with OA, supportive partners, health care providers, clinic 
administrators, and public health representatives) in a process of evaluating and refining the pain CST program 
for cultural relevance and dissemination potential.  We will complete this Aim in the first six months of the 
project.  The draft materials for the CST program (including patient manual, intervention scripts, and audio 
instructions for progressive relaxation) are already prepared.  These will be disseminated to the Stakeholder 
Panel and other team members prior to the first monthly meeting.  At the beginning of the project, we will 
conduct an iterative process of incorporating stakeholder recommendations into the pain CST program (see 
Table 3 above). We will then engage approximately eight additional patients (and supportive partners when 
available) to provide additional feedback on the enhanced version of the pain CST program.  We aim to have a 
final version of the CST program, informed by Stakeholders, by the end of Month 4.  We will also disseminate 
other study-related materials to all stakeholders and study team members at the beginning of the project 
period.  This will include the protocol and summary, outcome assessments, recruitment plan, timeline and 
milestone summary, plans and specific goals for dissemination and implementation activities.   
Table 4.  Study Activities, Milestones and Timeline 
Activity / Milestone 
Study Month  
IRB Approval 
Pre-funding period 
Registration with Clinicaltrials.gov 
Month 1 
Complete Specific Aim #1 (Pilot Testing and Incorporation of Stakeholder Input on Pain CST 
Month 4 

 
 
 
 
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Also during the first six months of the study, we will be engaged in other start-up activities related to Aims 2 
and 3, the randomized clinical trial.  These activities will include finalizing all databases (for screening, outcome 
assessment, and study tracking), training research assistants, and training the CST counselor.   During the first 
six months the research assistants will also devote time to reviewing medical records from UNC and the 
Durham VAMC to identify potential study participants.  This will provide a large pool of potentially eligible 
patients, to whom we will be ready to send recruitment letters, as soon as the clinical trial phase of the project 
begins. 
The recruitment period for the clinical trial will be completed over a 17-month period (months 7-23).  This 
will require enrollment of about 4 participants per week.  Based on our experience with other OA-related 
clinical trials and the resources requested for this project, this is a very reasonable goal.  Specifically, this will 
allow enough time for the research assistants to enroll the required number of new participants per week, while 
also completing 12-week and 36-week assessments. We will complete intervention delivery for participants in 
the CST group, as well as all 12-week follow-up assessments, by the end of month 26.  36-week follow-up 
assessments will be complete by month 32.  All participants in the Waiting List Control group will complete their 
intervention (which begins after 36-week follow-up assessment) by month 36, the end of the project period.  
 We will routinely conduct data monitoring and data cleaning throughout the study period, so that analyses 
can be conducted efficiently and quickly.  We will begin conducting analyses of baseline data as soon as those 
data are complete at month 23. Analyses of 12-week follow-up date will begin around month 27, and final 
analyses will be completed by Month 34.  The last four months will also be our most intensive period regarding 
dissemination activities, described below. 
 
E.  PATIENT POPULATION 
E.1.0 Patient Characteristics 
This study will involve n=248 African Americans (based on self-reported race) with symptomatic hip or knee 
OA (RQ-3).  The hip and knee are two of the most common joint sites for symptomatic OA and are main 
contributors to disability 5.  In addition, racial differences in pain and other outcomes have been reported 
Program) 
Finalize Questionnaires and Protocol for Clinical Trial (Specific Aims #2 and #3) 
Month 5 
Submit Progress Report 1 and Engagement Update 1 
Month 6 
Complete All Start-Up Activities for Clinical Trial 
Month 6 
Submit Protocol Paper to Journal (Provide submitted & accepted versions to PCORI) 
Month 7 
Start of Recruitment (Target Total: N=248) 
Month 7 
     Completion of 25% of Recruitment 
Month 11 
     Completion of 50% of Recruitment 
Month 15 
     Completion of 75% of Recruitment 
Month 19 
     Completion of Recruitment 
Month 23 
Submit Progress Report 2 and Engagement Update 2 
Month 12 
Submit Progress Report 3 and Engagement Update 3 
Month 18 
Submit Progress Report 4 and Engagement Update 4 
Month 24 
Begin Submitting Abstracts and Manuscripts from Study Baseline Data  (Provide submitted & 
accepted versions to PCORI) 
Month 24 
Complete 12-Week Follow-Up Assessments 
Month 26 
Begin Analyses of 12-Week Follow-Up Data 
Month 27 
Submit Progress Report 5 and Engagement Update 5 
Month 30 
Complete 36-Week Follow-Up Assessments 
Month 32 
Generate “Deliverables” Begin Dissemination of Results (See Dissemination and 
Implementation Section) 
Month 33 
Complete Final Study Analyses 
Month 34 
Complete Analytic Data Sets and Code Book 
Month 34 
Submit Main Study Outcome Paper (Provide submitted and accepted versions to PCORI) 
Month 35 
Submit Final Report 
Month 36 

 
 
 
 
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specifically among patients with OA in the hip and knee.  Eligibility criteria were selected in order to include a 
representative sample of African American patients with OA, excluding only on the basis of criteria that would 
confound study outcomes or make it infeasible for patients to participate in the CST program. Participants must 
meet the following two criteria for at least one hip or knee:        
• Diagnosis of Hip or Knee OA.  This will be identified from UNC Health Care and Durham VAMC electronic 
medical records or based on participant self-report, with further evaluation at screening  AND 
• Current Joint Symptoms.  We will use the Centers for Disease Control and Prevention’s definition for 
persistent joint symptoms 118.  Participants must answer, "yes" to two questions: "In the past 12 months, have 
you had pain, aching, stiffness, or swelling in or around your (joint(s) with OA)?" and "Were these symptoms 
present on most days for the past month?"   
Patients meeting any of the following criteria will be excluded: Diagnosis of gout (in knee or hip), 
rheumatoid arthritis, fibromyalgia, other systemic rheumatic disease; Dementia or other memory loss condition; 
Active diagnosis of psychosis, serious personality disorder, or current uncontrolled substance abuse; Total hip 
/ knee replacement surgery, other knee / hip surgery, ACL tear, or other significant knee/hip injury in the past 6 
months; Scheduled for or on a waiting list for joint replacement surgery; Severely impaired hearing or speech 
(patients must be able to participate in telephone sessions); Unable to speak English; Participating in another 
OA intervention study or coping skills training study; Unwilling to be randomized either study arm; Lower 
extremity paralysis; Other health problem that would prohibit participation in the study (at the discretion of the 
Principal Investigator). 
 
We plan to enroll equal numbers of participants (n=124) from UNC Health Care and the Durham VAMC.   
We recently completed at data pull of patients with diagnoses of OA within the UNC Health Care System.  This 
resulted in over 10,000 patients; based on this overall number we are confident there will be an ample number 
of African American patients who are eligible to participate (PC-2).  At the Durham VAMC, we base our 
estimate of potentially eligible patients on a data pull of African American patients with ICD-9 codes for hip and 
/ or knee OA (which we have found to be more consistently used than in the Duke healthcare system) and no 
ICD-9 codes for study exclusion criteria.  During FY 2011, there were approximately 1,970 African American 
patients at the Durham VAMC who met these criteria, and the patient population has increased in volume since 
then.  Applying the estimated 29% enrollment rate based on our prior research 62, this would result in n=570 
patients at the Durham VAMC, which also far exceeds our enrollment goal of n=124 (PC-2).  
 
Participants will be withdrawn from the study if they develop any new health problems or other events that 
would either a) make participation in the study intervention or measures unsafe or b) confound study 
outcomes. These largely mirror study exclusion criteria. In particular, participants will be asked if they have had 
a total joint replacement (knee or hip) surgery, other significant knee or hip surgery, or ACL tear prior to their 
12-week and 36-week assessments. 
E.2.0 Recruitment Process (PC-2) 
We will include three methods of recruitment, which we have successfully utilized in prior studies. First, we 
will use a variety of methods to advertise the study to potential participants.  These may include: posting flyers 
and brochures in UNC clinics; advertisements on a UNC website and other websites appropriate for reaching 
our target patient group; advertisements in newsletters, magazines and other appropriate print media; email 
blasts to UNC employees; advertisement on the UNC closed circuit television. Flyers and brochures may also 
be distributed by health care providers.  Second, providers will be able to refer patients to the study team 
directly, with patients’ permission.  Third, we will use UNC and Durham VAMC medical records to identify 
patients with diagnoses of hip or knee OA and no exclusionary diagnoses, and we will mail and/or email 
invitation letters to these patients. (We will initially identify African American patients based on documented 
race in the medical record, but we will ultimately base enrollment on self-reported race assessed during 
telephone screening.)  For self-referred or provider-referred patients we will also check for exclusionary 
diagnoses in UNC or Durham VAMC medical records.  All potential participants will undergo a brief telephone 
screening questionnaire to check for eligibility criteria. If patients meet screening criteria and are interested in 
participating, they will be asked to meet a study team member at their clinic to complete consent and baseline 
assessments. 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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We will implement an enhanced informed consent process that includes education about the research 
process and participant bill of rights. Participants will be mailed the “You’ve Got the Power!” booklet prior to 
their enrollment visit; this was developed and is distributed by the National Medical Association as part of 
Project IMPACT – Increase Minority Participation and Awareness of Clinical Trials.  In addition, we will show all 
potential participants the nine-minute “What You Should Know About Clinical Trials” video produced by this 
same organization, at the beginning at the baseline visit.  This video includes basic information about clinical 
trials and perspectives from African Americans who have participated.  All study personnel will be trained in 
issues related to cultural relevance, including potential distrust of medical institutions and research among 
African Americans 119.  
During the baseline assessment, UNC participants will be asked for the name of their main UNC physician 
so that we may send their doctor a message (through EPIC or by mail) making them aware of their patients’ 
participation in the study.   
Following baseline assessments, participants will be given their randomization assignment via telephone 
by the project coordinator (since the research assistants conducting baseline study assessments will be 
blinded to participants’ study group).  Randomization will be based on a computer generated sequence 
maintained by the project statistician. We will mail participants in the CST group their patient manual and 
relaxation audio-recording prior to the first CST program telephone session. The audio recording may also be 
sent via email or posted on a website for participants to access.  Participants randomized to the WL group will 
be informed they will begin the CST program after their follow-up assessments are complete. 
 
F.  RESEARCH TEAM AND ENVIRONMENT 
As described in the preliminary studies section above, our study team has extensive experience in areas of 
high relevance to the proposed project, including: development and testing of pain CST programs (Drs. Keefe, 
Somers, and Campbell), clinical trials among patients with OA, including large proportions of African 
Americans (Drs. Allen, Oddone, Keefe, Somers, and Campbell), cultural enhancements to pain CST 
interventions and minority health research (Dr. Campbell), and health services interventions (Drs. Allen and 
Oddone).  Drs. Allen and Campbell also have experience with Stakeholder Panels as investigators on other 
PCORI-funded research. The study Stakeholder Panel, described below, is also highly qualified to ensure 
relevance of the study and facilitate dissemination in multiple spheres. All participating institutions have robust 
research environments that include support for study-related activities including:  interview / enrollment space, 
computer / IT support and infrastructure, budget and logistical support, regulatory support, and resources for 
investigators’ professional development.   
 As noted above, the study will take place in two different primary care settings – UNC Health Care and the 
Durham VAMC - to enhance generalizability and provide an opportunity to evaluate feasibility of 
implementation in these differing environments (PC-2).  UNC Healthcare is a large not-for-profit integrated 
health care system associated with the UNC School of Medicine; it includes many community-based clinics 
across central NC and serves a diverse patient population. Over 780,000 are treated at UNC ambulatory care 
clinics annually. At UNC we will focus enrollment on clinics that serve a high proportion of African American 
patients, including the Ambulatory Care Center.  The VA healthcare system is the largest integrated in the U.S. 
and serves a patient group that has poorer physical and psychological health and lower socioeconomic status 
than the general population. The VA also serves a large proportion of men, providing an important opportunity 
to evaluate this pain CST program in a study sample that includes a larger proportion of men than are typically 
involved in OA studies. The Durham VAMC serves over 47,000 veterans, about 68% of whom are age 55 or 
older and therefore in the prime age category for the development of OA.  About 1/3 of patients are African 
American.  At the Durham VAMC we will include patients who are currently enrolled in Ambulatory Care.  
Recruitment and outcome assessment activities will take place at both study sites, for patient convenience.  
The database with study outcome, tracking, and intervention-related data will be housed at UNC; for patients 
enrolled from the Durham VAMC, we will request permission to house data at UNC as part of the consent 
process.  All pre-consent data for the Durham VAMC will be housed in a database that resides at the VA.  Dr. 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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Somers at Duke will oversee the CST counselor.  This will require that she listen to audio tapes of CST phone 
calls; these will remain on a UNC server.  
 
G.  ENGAGEMENT PLAN 
Key Stakeholders for this project are African American patients with OA, their supportive partners, health 
care providers, and public health and health service leaders (PC-1).  The Appendix includes a list of 
Stakeholder Panel Members.  We describe here our engagement of these Stakeholders to date and plans for 
continued engagement throughout the study period (PC-1).  
G.1.0 Planning the Study 
Pilot Studies of Pain CST Intervention.  As described above, our team has completed a pilot study of a pain 
CST intervention among African American Veterans with OA. This included both focus groups and individual 
interviews, where patients provided us with feedback on the program.  Participants expressed a high degree of 
satisfaction with and appreciation for the program, which corroborated the improvements in pain-related 
outcomes described above.  This very positive response by patients in the pilot study was the primary 
motivator for the study team to proceed with a larger study to build the evidence base for this program 
among African Americans with OA.  The following are example comments from pilot study participants: 
“The program has given me so many tools in order to actually deal with the arthritis pain…. It’s a lot of tools 
that they have given me, you know, the pleasant thoughts and the mini relaxation and then the relaxation that 
you know you do the whole full body one. There’s so many things that you can do that I have done and I’m 
beginning to do to deal with the pain, so the program has been a tremendous help.” 
“You know it makes my day, because if I get into a situation where something difficult because I’m having 
the pain then I can apply those skills.” 
“Well, before the study…I was kind of locked in to the idea that eventually I was going to have to have the 
knee replacement.  But once the study came in to play, I realized that I can cope with this and up until there 
really was an alternative.”  “And I think that the program probably, I’m sixty-two years old, would have probably 
put me at a place that I may never get the operation now, never.” 
“Before the program I really didn’t have the right tools in order to get rid of the pain. Now, more times than 
not, I actually do have tools in order to be able to make the pain decrease without having to use medication 
and it actually works out for a lot more than just the pain. It actually helps with stress, and I would think that in 
certain situations the stress helps to actually cause a lot of the pain.” 
In qualitative interviews following the pilot intervention, participants noted that one unexpected result of the 
program was that they were able to decrease their reliance on pain medications.  Based on this we have 
added assessments of pain medication use to this study. One example comment was:  
“The program has helped tremendously because it helps to be able to cope with pain, it helps cope with a lot of 
other stuff and for some reason, for me, it allowed me to get to a point where I didn’t have to take quite as 
much meds to control the pain because it allowed me to use my mind to do what I needed to get done as 
opposed to medication, which was a crutch for me because I hate taking medicine. I’d much rather be able to 
do it with my mind than to do it with meds.”   
Pilot study participants also appreciated the flexibility and convenience of the telephone-based delivery.  
They liked the “opportunity to be able relax in the comfort of my house,” and “not having to take off work to go 
driving.”  Therefore the telephone-based delivery has been retained for this larger study.  
Additional Stakeholder Engagement in Planning the Study.  We have been meeting with Patient 
Stakeholders from our enrollment sites, as well as supportive partners (when available), who have reviewed 
aspects of the project including the research questions, outcomes, recruitment plans, intervention content, and 
dissemination plans.  Examples of specific ways in which Patient Stakeholders influenced the study plan 
include the addition of a Communication module to the pain CST program (described above) and addition of a 
global health-related quality of life measure as a patient-centered outcome.  We have also obtained input on 
the study design and methods from clinical and public health stakeholders.  These individuals will be 
particularly instrumental in downstream implementation processes and have already helped the study team to 
focus on these issues and potential barriers.  

 
 
 
 
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G.2.0  Conducting the Study.   
Throughout the study, we will hold monthly meetings (or email updates as appropriate) with the 
Stakeholder Panel.  Some stakeholders may participate via telephone because of their geographic location.  
These meetings will include updates on study progress, requests for input from the Panel on any current study 
issues or questions, and an opportunity for general discussion and questions from the Panel. We have 
developed progress report templates in our prior and ongoing clinical trials, which will be used to provide study 
update and monitoring information to the Panel.  These include summaries of key events and activities, a flow 
chart (e.g., CONSORT diagram) describing study enrollment, and description of participant characteristics that 
will allow Panel members to evaluate whether we are adequately enrolling a diverse sample (e.g., gender, age, 
religiosity, education, income). If stakeholders cannot make a meeting, Dr. Allen will communicate with them 
via email and / or phone to provide an update and get their input on any issues discussed.  
  The start-up period will be a particularly important and active time for the Stakeholder Panel, as we will be 
asking for their input on various study materials and logistics prior to enrolling patients. We will use processes 
for this engagement that we have found to be successful in our current PCORI-funded project. Specifically, we 
will disseminate materials for review prior to a monthly meeting / call.  Panel members will be asked to review 
the materials and provide feedback to Dr. Allen and the study team before and / or during the meeting.  We 
have found that disseminating these materials ahead of time facilitates meaningful and fruitful group discussion 
during the meeting.  Examples of materials / processes we will ask the Stakeholder Panel to review during the 
start-up period are: Final measurement battery, CST program scripts, CST program handouts, Recruitment 
materials, and Recruitment processes. 
We will also meet individually with our Patient Stakeholders during the start-up period, so that we may 
spend focused time in obtaining their input on recruitment materials (introductory letter, telephone screening 
script) and consent language.  Dr. Allen will have individual conversations with all Stakeholder Panel members 
throughout the study, to discuss whether they perceive they are meaningfully involved in the project and that 
their contributions are valued and incorporated. We plan for these discussions to occur after 6-months, 12-
months, and annually thereafter.  However, if discussions indicate a need for more frequent check-ins or other 
actions, we will modify this plan accordingly.  
G.3.0  Disseminating the Study Results 
A detailed description of our dissemination plans is described in the Dissemination and Implementation 
Potential section.  Here we provide a summary of Stakeholder Panel involvement in these activities: 
• The study team will create Patient Testimonial Videos; these will be brief interviews with patients who 
participated in the CST program, describing their experiences and perceived benefits. These will be used in 
multiple dissemination activities, including posting on websites and use in live presentations.  
• Patient Stakeholders will provide recommendations for venues for presenting study results in the community 
(e.g., senior centers, other organizations in which they are active – particularly those that serve a high 
proportion of older African Americans, and local media or print resources).   
• Patient Stakeholders will review dissemination materials, particularly those geared toward lay distribution. 
• Public Health Leaders (e.g., Arthritis Foundation, Centers for Disease Control and Prevention) will facilitate 
broad dissemination of study findings and deliverables through their organizations’ newsletters, other 
publications, and websites.  
• Clinician Stakeholder Panel Members will help to organize presentation of study results to other health care 
providers (e.g., during Grand Rounds and Clinic / Service Team meetings).   
• All Stakeholder Panel members will be invited to co-author manuscripts. 
G.4.0  PCORI Engagement Principles 
Reciprocal Relationships 
Stakeholder Panel members bring valued perspective to the study team and have expertise and 
experience in areas that differ from other team members. The over-arching principle of our study team is 
that all members’ contributions are of equal value.  When the team is considering questions related to the 
study, all members will have opportunity to voice their opinions.  Since participation on a research team may 
will be new for some Patient Stakeholders, we will make special effort to ensure these individuals are able to 

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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share their opinion in a manner that is comfortable to them.  As noted above, Dr. Allen will have individual in-
person meetings with Patient Stakeholders, providing them with another opportunity to share opinions they 
may be less comfortable expressing in a larger study team meeting.  We recognize that there may be 
situations when team members have differing opinions regarding study-related decisions.  If these situations 
arise, Dr. Allen as Principal Investigator will be responsible for resolution, with a commitment to equal value 
among team member perspectives, an aim of identifying a solution that is acceptable to all team members, and 
preservation of both patient-centeredness and scientific integrity.  At the beginning of the study period, Dr. 
Allen will circulate a document to study team members, describing study team roles, expectation of equal value 
among study team member perspectives, and a framework for resolving disparate opinions if they occur.  All 
team members will be asked to sign this document indicating a commitment to these principles.  
Co-Learning 
At the beginning of the study period, we will provide basic research training to Stakeholder Panel members, 
particularly those who have not previously been part of a study team.  We plan to use three primary resources 
for this training, which will be provided in person by Dr. Allen. The first is a module developed by UNC Chapel 
Hill for training patient partners, which focuses on guiding principles, privacy and participant rights.  The 
second is another module developed locally (Duke University Medical Center and Durham VA Medical Center) 
that provides an overview of clinical trial research methods. Both of these modules consist of sets of power 
point slides, in easy-to-read terms, which will be given to Stakeholder Panel members as handouts following 
in-person training.  The third resource is a lengthier document, “Understanding Clinical Trial Design: A Tutorial 
for Research Advocates,” developed by the Research Advocacy Network.  Because sections of this document 
are above “lay language,” we will summarize key points from this document into a slide set that will 
complement the other two resources described above.  We also recognize that best practices and resources 
for Stakeholder training are emerging, and we will incorporate new materials into this training as they become 
available. 
We will also provide training to all study team members regarding meaningful Stakeholder Engagement.  
All members will become familiar with PCORI’s Engagement Rubric, to provide a basic understanding of 
expectations and roles of Stakeholders.  Study team members will also watch the PCORI webinar on 
“Promising Practices of Meaningful Engagement in the Conduct of Research” and the archived Institute of 
Medicine video, “Partnering with Patients to Drive Shared Decisions, Better Value and Care Improvement.”  
We realize that best practices for Stakeholder Engagement are emerging, and we will also utilize any other 
locally and nationally available training resources that become available by the study period.   
Partnership 
Stakeholder Panel members will be paid $100 for participation in each monthly meeting.  This will help to 
compensate Panel members for their time and effort.  (Employees of the Centers for Disease Control and 
Prevention and the Department of Veterans Affairs cannot be compensated financially for these activities, but 
these Stakeholders have confirmed they are able to participate based on their normal work responsibilities, per 
Letters of Support).  Panel members have agreed that monthly meetings are a reasonable time commitment, 
as noted in their Letters of Support.  In the process of planning monthly meetings, we will poll Panel members 
for their times of availability. As we have done in the past, we will also meet individually, in person, with Patient 
Stakeholders to foster those relationships and allow concentrated time to receive their feedback on aspects of 
the study; we will meet at locations convenient to and selected by Patient Stakeholders.   
Trust, Transparency, and Honesty 
All study team members will be asked to sign document committing themselves to equal value among 
study team member perspectives and a framework for resolving differing opinions. This document will also 
describe roles of the study team members and general principles of mutual respect.  We will foster 
transparency through regular (monthly) reporting of study progress and opportunities for all team members to 
ask questions and provide input on study processes.  At the completion of the study, we will prepare an 
overview of findings; this will be mailed to all study participants (after review by Patient Stakeholders).  

 
 
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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PRINCIPAL INVESTIGATOR (LAST, FIRST, MIDDLE): ALLEN, KELLI DOMINICK 
 
 
PCORI Research Plan Template                                                                                                                                               
 
 
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PCORI Research Plan Template                                                                                                                                               
 
 
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