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PEDIATRICS (ISSN 0031 4005). Copyright © 1985 by the American Academy of Pediatrics.

Development,

Design,

and Sample

Composition

Dolores A. Bryla, MPH

From the Biometry Branch, Epidemiology and Biometry Research Program, National Institute of Child Health and Human Development, National Institutes of Health, Bethesda, Maryland

Following its introduction in 1947 for treatment of erythroblastosis fetalis and in 1949 for hyper-bilirubinemia, exchange transfusion became ac-cepted as the most effective means of preventing increasing serum bilirubin concentrations in the newborn infant from reaching a hazardous level.2 At that time, there was general agreement that the risk of bilirubin encephalopathy increased when serum bilirubin concentrations exceeded 20 mg/dL of serum and that this risk became greater with increasing concentrations. The safety of exchange transfusion was assessed by Boggs and Westphal’4 in 1960 and found acceptable for that time.

In 1958, Cremer et al22 reported a distinct low-ering of serum bilirubin levels in infants exposed to direct sunlight. This observation was followed by development oflight sources for exposure of infants to treat or prevent hyperbilirubinemia (photother-apy).

Although phototherapy had been used and re-ported in Europe and South America, it was not until 1968 that the first study appeared in the pediatric literature of the United States. Other studies36’41’ followed and suggested a potential role for phototherapy in the management of hyperbili-rubinemia of the newborn infant. However, these studies suffered from lack of a sufficient number of patients to accommodate appropriate statistical ad-justment procedures for the many known

confound-ing variables. Also, these studies had inadequate numbers of control infants and phototherapy-treated infants who were followed long enough to perform evaluations of the impact of the mode of therapy on such parameters as hearing, sight, speech, IQ, and behavioral performance.31’74

DEVELOPMENT OF THE STUDY

In May 1972, the National Research Council of the National Academy of Sciences established a Committee on Phototherapy in the Newborn. This Committee focused its attention on the evaluation of phototherapy as a therapeutic modality for hy-perbilirubinemia in newborn infants.9 It was the consensus of the Committee, at that time, that there was insufficient information available to de-termine the efficacy and safety of phototherapy in the treatment of hyperbilirubinemia of the new-born. Therefore, this Committee recommende&#{176} that a collaborative study be undertaken to generate a data set with an appropriate experimental design on which to base definitive conclusions.

In response to the Committee’s recommendation, the Scientific Director of the National Institute of Child Health and Human Development (NICHD) appointed an ad hoc advisory committee on pho-totherapy composed of pediatricians and others engaged in research in the field. This committee was charged to advise the Institute on the need for additional research and to consider experimental protocols designed to meet these needs.

In response to this advisory committee’s recom-mendation, the Scientific Director of NICHD un-dertook the development of a study to address two of the most important questions: (1) Is photother-apy effective in preventing brain injury from hy-perbilirubinemia, when employed to lower serum bilirubin levels?, and (2) Is phototherapy as effec-tive as exchange transfusion at predetermined se-rum bilirubin levels for preventing brain damage from neonatal hyperbilirubinemia? A protocol was designed cooperatively by the advisory committee and NICHD staff.

DESIGN OF THE STUDY

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I. Entry to Study

In each hospital, parental consent was obtained for inclusion in the study of newborns eligible for participation (either as phototherapy-treated pa-tients or control patients).

Infants were eligible if: (1) birth weight was less than 2,000 g; or (2) birth weight was between 2,000 to 2,499 g and serum bilirubin levels reached 10 mg/dL within the first 96 hours after birth; or (3) birth weight was 2,500 g or greater and the serum bilirubin levels reached 13 mg/dL in the first 96 hours after birth. (Prior to October 1974, the level of bilirubin for accession in the greater than 2,500 g weight range was 15 mg/dL.)

Infants with the following conditions were ex-cluded from the study: (1) infants with Rh hemo-lytic disease, who had received an intrauterine transfusion or had a capillary hemoglobin less than

12 g/dL in the first 24 hours after birth, or whose serum bilirubin concentration exceeded 10 mg/dL in the first 24 hours of life, and (2) infants with conditions or anomalies (such as severe congenital CNS or heart malformations) whose care, in the opinion of the investigator, would be compromised by strict adherence to the protocol.

II. Methods of Entry of Infants to Treatment or Control Groups

The Biometry Branch, NICHD, fulfilled the role of Data Coordinating Center for the study. Infants were randomly assigned to phototherapy or to con-ventional therapy by the use of a table of random numbers. Sealed manila envelopes with an assign-ment card within were distributed to each partici-pating center. After parental consent was obtained, an envelope was to be opened by the principal investigator for each infant to determine the in-fant’s assignment. Each also contained an assigned individual identification code.

III. Initial Data Required for All Infants

Bilirubin levels (direct and indirect) were ob-tained at 24 ± 12 hours for all infants weighing less than 2,000 g, and at the time of entry into the study for all other infants. Blood type, and Rh, were determined and Coombs test was performed at or before entry to study. Serum albumin levels were determined at time of bilirubin determination. Hematocrit and reticulocyte count were performed at time of bilirubin determination. Bilirubin bind-ing capacity was checked at the same time as bili-rubin determination. Screening for glucose-6-phos-phate dehydrogenase (G-6-PD) was performed at or before entry to study.

Each laboratory used the Jendrassik and Grof

method44 for bilirubin determination. The agree-ment between laboratories was checked monthly by use of Versatol Bilirubin (General Diagnostics, Morris Plains, NJ) standards (5 and 20 mg/dL) and an unknown standard supplied by NICHD.

IV. Subsequent Laboratory Data Required

Direct and total bilirubin determinations were performed every 24 hours for the six days following entry, or more often if indicated. Serum albumin and hematocrit levels and serum for bilirubin bind-ing studies were obtained daily at 24-hour intervals. Reticulocyte count was obtained at 48 ± 12 hours after entry into the study.

V. Procedure for Phototherapy-Treated Infants

Phototherapy was administered continuously. The lights were not off more than 30 minutes per four-hour period for feeding, bathing, phelebotomy, or parent visiting. Time of initiation of photother-apy was as follows: For infants weighing less than 2,000 g (group A), therapy began at 24 ± 12 hours after birth. For treated infants with birth weight between 2,000 and 2,499 g (group B) phototherapy began as soon as possible after the bilirubin level reached 10 mg/dL in the first 96 hours of life. For infants weighing more than 2,500 g (group C), pho-totherapy began at the time the bilirubin level reached 13 mg/dL in the first 96 hours.

Duration of phototherapy was 96 hours for all infants except those in groups B and C in which phototherapy could be discontinued earlier if the morning bilirubin level reached 5 mg/dL (group B) and 8 mg/dL (group C).

Laboratory tests continued for 48 hours after termination of phototherapy. Phototherapy units (Air Shields, Hatboro, PA) were used with West-inghouse daylight fluorescent bulbs. Distance from the top of the light unit to the pad of the bassinet or incubator was maintained at a distance between 35 and 55 cm (14 and 22 in). The bulbs were changed after 2,000 hours of use. A Beckman light monitoring badge was attached to the infant’s thorax so as to remain between the infant and the phototherapy unit, and it was thus exposed to the light source at all times. The badge was checked with a Beckman Photodosimeter initially and at 24-hour intervals during phototherapy, and optical density was recorded. Further discussion of the badges is presented by Scheidt et a! (p 437).

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VI. Procedure for Control Infants

The infants who did not receive treatment were kept at sufficient distance from treated infants so that they received minima! additional light expo-sure from the phototherapy units. These infants were monitored for light exposure using the Beck-man badge system in the same way as the photo-therapy-treated infants were monitored. The badge was placed on the rim of the incubator or on the mattress. Other measures to lower bi!irubin levels, such as administering ph#{233}nobarbital or agar, were not used.

VII. Other Infant Care

All infants received standard care practices in the nursery. The infants who received phototherapy were scheduled to receive 25 mL/kg of body weight more of fluid intake than control infants. Daily weight, axi!!ary temperature, and fluid and calorie intake were recorded, as well as volume of blood withdrawn. Blood transfusions were given if clini-cally indicated; for any blood products given, the type and volume transfused were recorded.

VIII. Criteria for Exchange Transfusion

Exchange transfusion was used in both the con-trol and phototherapy groups when the serum bi!i-rubin level exceeded the values shown in Table 1. The standard-risk group is represented by those infants who had an uncomplicated course other than hyperbilirubinemia. An infant was considered in the high-risk group when one or more of the following findings was present: (1) perinatal as-phyxia (Apgar score less than 3 at five minutes); (2) respiratory distress (Pa02 less than 40 mm Hg for more than two hours); (3) acidosis (pH 7.15 or below for more than one hour); (4) persistent hy-pothermia (recta! temperature at 4 cm <35#{176}Cfor more than four hours); (5) !ow serum protein (<4 g/dL) or albumin (<2.5 g/100 mL) measured at least two times; (6) hemolysis; (7) signs of clinical or CNS deterioration, including sepsis; and (8) birth weight !ess than 1,000 g.

Any infant in either group could have an ex-change transfusion at any time if in the judgment of the physician, it was indicated, without regard to the above criteria. (Note: In the final analysis, infants who received an exchange transfusion met either standard or high-risk criteria.)

IX. Examination of Infants

Each infant in the study received a physical examination within the first 24 hours of life, with relevant prenatal, delivery, and postnatal informa-tion collected. Physical examination was repeated

TABLE 1. Serum Bilirubin Level (Milligrams per Dec-iliter) as Criterion for Exchange Transfusion

Birth Weight (g)

<1,250 1,250- 1,500- 2,000- 2,500 1,499 1,999 2,499

Standard risk 13 15 17 18 20

High risk 10 13 15 17 18

at 144 hours from entry to the study. The latter examination also reported data on the infant’s course in the hospital, including feeding behavior, stooling, vomiting, crying, activity, and alertness. Autopsy information on infants who died was ob-tained whenever possible. Follow-up examinations were performed on survivors at 1 and 6 years of age.

X. Data Analysis

The Biometry Branch, in conjunction with the Computer Science Section, NICHD, coordinated the editing and coding of the data collected at each center. Analysis of the data was performed in co-operation with the principal investigators.

XI. Supplementary Studies

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gener-ally, but not always used. However, eye shields were always used. (6) Most hospitals reported no short-term adverse effects. If adverse effects were re-ported, then rash and bronze baby syndrome were the most frequent.

It was in this practice context that this trial of phototherapy was initiated.

STUDY IMPLEMENTATION

The National Institute of Child Health and Hu-man Development Randomized, Controlled Trial of Phototherapy for Neonatal Hyperbilirubinemia was initiated in April 1974. The six centers awarded contracts to conduct the study were: Albert Em-stein College of Medicine, University of Cincinnati, Schneider Childrens Hospital, Long Island Jewish-Hillside Medical Center, Medical College of Vir-ginia, Los Angeles County/University of Southern California Medical Center, and State University of New York/Downstate Medical Center. The study was funded through individual competitive awards. Patient intake was completed in 1976.

Prior to the awarding of contracts, staff of the Biometry Branch, NICHD, determined the desired sample size based on the prevalence of certain abnormalities in the nonexposed group at 1 year of age. For conditions evaluated at the 1-year exami-nation that could be measured as “normal” or normal,” the power of the study to detect increases in the percent abnormal with different sample sizes was assessed.

A sample size of 900 in each group was deter-mined to be large enough so that a relative risk of 2.2 for hearing defects between the exposed and nonexposed group could be detected 80% of the time (f3 < 0.2) while incorrectly concluding a

differ-ence between the two groups no more than 5% of the time by a two-tailed test (a = 0.05). In actuality,

the sample size obtained was smaller than originally projected, 672 infants in the phototherapy group and 667 infants in the control group. Based on this sample size, a relative risk of 2.5 can be detected

for hearing defects with the same significance at 0.05 and power of 0.8. The relative risks for a number of defects is shown in Table 2.

Basic descriptive epidemiologic data of the study are presented in Tables 3 to 7. The distribution of infants by birth weight, treatment, and institution is presented in Table 3. Within each institution, the distribution of phototherapy-treated infants and control infants is evenly distributed by birth weight category as expected based on the random-ization procedure. The varying proportions of study infants by birth weight in the six different institu-tions are also shown in Table 3. Overall, 69% of study infants had birth weight less than 2,000 g. However, in one institution (Medical College of Virginia) 93% of the study infants had birth weight less than 2,000 g, and in another institution (Uni-versity of Southern California) only 49% of the study infants had birth weight less than 2,000 g. These varying proportions reflect the different birth populations at the six institutions according to varying racial, ethnic, demographic, and other factors that predispose for low-birth-weight deliv-eries.

Characteristics of the entire sample including race, sex, gestational age based on the last men-strual period, and age at entry are presented in

TABLE 2. Relative Risks Detectable with Tests of Sig-nificance at 0.05 and Power of 0.8 with Total Sample Sizes (Treatment Plus Control Groups) of 1,200 or 1,800 Patients

Defect Prevalence of Relative Risk

Abnormality Detectable in Control

Patients

-1,200 1,800 Patients Patients

Hearing loss 0.01

0.02

3.4 2.8

2.5 2.2

Dyskinesia

Suspect 0.01 3.4 2.8

Definite <0.001 15.7 11.0

Mental retardation 0.03 0.10

2.1 1.9

1.5 1.4

TABLE 3. Distribution of Study Inf (P) and Control (C) Groups

ants by Instit ution, Birth Weight, and Phototherapy

Birth Weight (g)

<2,000 2,000-2,499 2,500 Total

P C P C P C P C

University of Southern California University of Cincinnati

Einstein (NY)

Long Island Jewish Hospital SUNY, Downstate

Medical College of Virginia

78 77

89 93

53 51

41 42

52 50

149 147

20 20 64 60

29 23 28 36

5 6 20 16

4 7 7 6

9 10 13 13

3 5 8 5

162 157

146 152

78 73

52 55

74 73

160 157

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TABLE 7. Distribution of Study Infants by Age at En-try (Hours), Birth Weight, and Phototherapy (P) and Control (C) Groups

Black

Mexican-American

Nonblack

Total

Tables 4 to 7. The race of the infant was taken to be that of the mother. In Table 4, a breakdown of study infants by race and ethnicity is shown for the three birth weight categories. Approximately 50% ofthe very low-birth-weight infants (<2,000 g) were black. There were relatively more Mexican-Amen-cans (38%) among infants who did not have low-birth-weight (2,500 g), although in the entire study, Mexican-American births represented only 19% of the infants. Randomization was not per-formed within different racial and ethnic groups. However, as shown in Table 4, a balanced assign-ment was achieved.

The distribution of study infants by sex and birth weight category is provided in Table 5. The percent of male births increases with increasing birth weight (ie, 49%, 53%, and 57%). This trend does not reflect any substantially increased risk for the male sex in requiring treatment for hyperbilirubi-nemia. The randomization procedure did not take into account the infant’s sex, and there was some imbalance in the assignment to phototherapy or control groups among the very low-birth-weight infants (<2,000 g).

A detailed breakdown of study infants by gesta-tional age in weeks and birth weight categories is shown in Table 6. Overall, 15% of study infants were of 30 or fewer weeks of gestation, and all these infants had birth weight less than 2,000 g. Of the term infants (37 weeks or more of gestation) in the study, 63% had birth weight greater than 2,500 g, 13% had birth weight between 2,000 and 2,499 g, and 24% had birth weight less than 2,000 g. This latter figure (24%) indicates that a considerable number of the study infants were small for gesta-tional age. This will be the subject of further anal-yses by Hodgman et a! (p 413).

The distribution of study infants by age at entry in hours after birth and by birth weight category is shown in Table 7 for both phototherapy-treated

infants and control infants. The median age at entry was slightly less than 24 hours for infants weighing less than 2,000 g. For infants weighing between 2,000 and 2,499 g, the median age at entry

TABLE 4. Distribution of Study Infants by Race, Birth Weight, and Phototherapy (P) and Control (C) Groups

Birth Weight (g)

<2,000 2,000- 2,500 Total 2,499

P C PC P C P C

232 224 23 18 35 36 290 278

54 58 15 17 57 49 126 124

176 178 32 36 48 51 256 265

462 460 70 71 140 136 672 667

TABLE 5. Weight, and

Distribution of Study Infants by Sex, Birth Phototherapy (P) and Control (C) Groups

Birth Weight (g)

<2,000 2,000- 2,500 Total

2,499

P C P C P C P C

Male Female

217 236 37 38 81 76 335 350

245 224 33 33 59 60 337 317

Total 462 460 70 71 140 136 672 667

TABLE 6. Distribution of Study Infants by Gestational Age (Weeks), Birth Weight, and Phototherapy (P) and Control (C) Groups

Birth Weight (g)

2,500 Total

<2, 000

C

2,000-2,499

P C P C P C

27 28 29 30 31 32 33 34 35 36 37 38 39 40 41 42 11 15 21 45 44 66 59 60 53 41 15 14 3 10 4 1 10 9 39 49 45 61 58 43 54 38 22 23 4 5 1 2 3 1 5 11 9 13 22 21 11 3 12 14 6 4 1 1 1 1 2 6 10 25 22 46 23 5 1 1 5 11 18 28 45 18 9 11 15 21 45 44 67 62 66 64 69 36 51 31 57 27 6 10 9 39 49 45 63 59 55 69 64 36 55 36 51 19 9

Total 462 460 70 71 140 136 672 667

Birth W eight (g)

<2,000 2,000-2,499

>2,500 Total

P C P C P C P C

1-12 13-24 25-36 37-48 49-60 61-72 73-84 85-96 18 223 216 5 . . . . . . 24 243 186 5 1 1

. .. 2

2 9 8 10 13 18 24 15 16 12 7 5

1 . . .

2 .. .

14 9 17 14 25 21 33 33 28 36 20 23 19 225 232 30 38 57 44 27 24 245 204 29 40 48 48 28

Total 462 460 70 71 140 136 672 667

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median age at entry overall was only slightly greater than 24 hours, or 1.2 days of age.

The results of bilirubin binding studies; the effect of hemolytic diseases, exchange transfusions, and metabolism; the results in the babies who were small for gestational age; and the efficacy of pho-totherapy are provided in detail in the articles that follow. Results obtained from the initial intake information and evaluation are summarized in this supplement (the immediate postnatal period).

The study was designed to obtain extensive fol-low-up data through the first 6 years of life. The evaluation at age 1 year included an eye examina-tion, hearing test, testing with Bayley Infant De-velopment Scales, a physical examination assessing growth and development, and a neurologic exami-nation. In addition, annual physical examinations including assessment of growth and development were performed. At 6 years of age, the infants

received thorough physical and neurologic exami-nations. Hearing, intelligence, and speech were also tested. Analysis of data from these follow-up ex-aminations will be reported in subsequent publica-tions.

ACKNOWLEDGMENT

The NICHD scientific staff who participated in the initiation and design of this study included: Drs Charles U. Lowe (former Scientific Director, NICHD), Duane F. Alexander, Samuel W. Greenhouse, and Daniel G. Seigel. Drs Joseph D. Schulman and James B. Sidbury served as project officers, and Drs Emanuel Landau and Frank E. Lundin, Jr, of the Center for Devices and Radiological Health, Food and Drug Administration, provided scien-tific support as well as financial support from that agency.

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used in the clinical trial of phototherapy demon- considered reliable. Problems such as these must strated potential for efficiently obtaining light ex- be resolved before the photodosimeter system could posure data integrated over time for a large number reach widespread clinical usefulness.

of infants. However, because of variation in per-formance of the badge and probable deterioration

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