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Paediatric and Perinatal Epidemiology 1992,6,339-351
The California Cerebral Palsy Project
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Judith K. Grether*, Susan K. Cumminst and Karin
8.Nelson$
*California Birth Defects Monitoring Program and tEnvironmenta1
Epidemiology and Toxicology Branch, California Department of
Health Smices, Emeryoille, California, and $National Institute of
Neurological Disorders and Stroke, Neuroepidemiology Branch,
Bethesda, Mayland, USA
Summary. The California Cerebral Palsy Project (CACP) is a population-based study of 192 children with moderate or severe congenital
cerebral palsy who were born between 1983 and 1985 in four San Francisco Bay area counties and who were alive and residing in California at
age 3 years. Initial ascertainment of cases was based on records of two
agencies known to enrol virtually all CACP-eligible children. Final case
status was established by standardised clinical examination in 67% of
cases and extensive record review in 33%.The 192 cases gave a prevalence at age 3 of 1.23/10oOsurvivors. Twins were 10%of the cases with a
prevalence of 6.711000. Overall, 53% of the cases had birthweight
3 2,500 g and 28% had birthweight < 15oog. There was no association
between birthweight and severity of functional impairment and no
consistent association between birthweight and the presence of associated disabilities. The CACP prevalence is lower than that reported in
other studies and is believed to be due to the more stringent case
inclusion criteria employed for this research data base.
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Introduction
The California Cerebral Palsy Project (CACP) is a population-based study of
children with moderate or severe congenital cerebral palsy (CP) who were born
between 1983 and 1985 in four San Francisco Bay area counties. This report
describes the methods used to ascertain and diagnose cases and reports the
Address for correspondence: Dr J.K.Grether, California Birth Defects Monitoring Program,
5900 Hours Street, Suite A, Emeryvllle, California 94608, USA.
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1.K. Grether et al.
prevalence of CP as observed at 3 years of age. It also reports the dominant CP
subtypes in relation to birthweight and the presence of associated disabilities.
Methods
Dejinitions
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Cerebral palsy was defrned as a chronic disability of central nervous system origin
characterised by aberrant control of movement or posture, appearing early in life
and not the result of a progressive disease. Excluded were transient motor
disabilities, motor disabilities due to meningomyelocele or other spinal cord
lesions, isolated hypotonia, and motor abnormalities due solely to mental
deficiency.
To be defined as a case, a child must have met all of the following criteria: born
between 1983 and 1985; maternal residence as verified on the child's birth certificate in one of four San Francisco Bay area counties (Contra Costa, San Francisco,
San Mateo, Santa Clara); child alive and residing in California at age 3 years;
moderate or severe congenital CP at age 3 years as determined by a standardised
examination or record review conducted by a single CACP physician. The criterion age of 3 years was chosen as the earliest age at which reliable ascertainment
was feasible in these moderately and severely affected children.
Excluded were children whose CP was acquired through infection, trauma, or
other known adverse event after the first 28 days of life or through documented
severe head trauma in the first month of life.
Assessment of severity of CP was based on functional ability of the most
affected limb. CP was classified as severe if that limb had no function, and as
moderate if some function was preserved although assistive devices were usually
required. Mild CP, with abnormalities oftone and reflexes but no functional
impairment, was excluded because it could not be reliably ascertained.
CP was categorised as spastic hemiplegia (armand leg of one side of the body
affected), spastic diplegia (legs more affected than arms), spastic quadriplegia
(involvement of all four limbs, arm involvement at least as severe as legs),
dyskinesia (abnormal involuntary movements), ataxia (lack of balance and uncoordinated movement) or mixed (spastic CP with ataxia and/or dyskinesia). The
descriptive data used to assign CP subtype are compatible with the Standard
Recording of Central Motor Deficit reported by Evans et al.'
Information on associated disabilities was obtained through parental interview and classified as follows: vision disability ('some difficulty' or 'blind),
hearing disability ('some difficulty' or 'deaf'), speech disability ('difficult to understand, 'non-verbal communication only' or 'no communication'), chronic seizure
disorder (parental report of physician diagnosis) and mental retardation (parental
report of diagnosis by physician or other professional). In addition, an informal
California Cerebral Palsy Project
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341
impression of intellectual functioning was recorded by the CACP physician as
part of the clinical examination. No other validation of associated disabilities was
conducted.
Case ascertainment procedures
Children with definite or possible motor disabilities were identified through
review of service records of two state-funded agencies: the California Children
ServiceslDepartment of Health Services (CCS) and Regional Centers for the
Developmentally Disabled/Department of Developmental Services (DDS). Both
programmes provide services to children with CP without regard to financial or
citizenship status in accordance with statewide guidelines.
Community surveys conducted by the California Birth Defects Monitoring
Program prior to establishment of the CACP had demonstrated that, in the four
study counties, virtually all children with moderate or severe congenital CP were
CCS clients, many having dual enroIment with DDS. A very small minority of
children with severe disabilities were exclusively DDS clients. Regulatory restrictions on access to confidential data prohibited inclusion of these few DDS
clients in the data base. However, as explained below, limited non-confidential
information was obtained for these children.
Within CCS, the $year birth cohort was tracked until all members were at
least 4% years old. Using very broad criteria applied to computerised service
records, 1110 possible cases were selected for manual chart review, including
children who had moved to other counties within the state and children who were
not currently enrolled with CCS (Figure 1).
Chart review was conducted by CACP field staff to determine presumptive
eligibility. Records in which the diagnosis of CP was ambiguous underwent a
second review by a CACP physician. Children with ambiguous aetiological information were retained as presumptive cases, pending review of medical records by
the CACP physician. All presumptive cases were then linked to vital statistics
records to venfy birthdate, residence and survival to age 3 (Figure 1).
To establish the final diagnosis of CP, all CCS children who remained as
presumptive cases were invited to undergo a standardised neurological and
motor assessment. For children who could not be examined, the final diagnosis
was established through extensive review of CCS records, other medical records
and, in many cases, personal discussion with therapists or physicians familiar
with the child. Physical examinations and record review were performed by a
CACP physician (S.K.C.) who was blinded to the previous medical history of the
children and who had received special training for this project. Prior to the
examination, a brief interview was conducted with a parent or guardian, usually
on the telephone, by a CACP field staff member. The interview was used to obtain
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1.K. Grether et al.
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CCS records of 1110 children
initially reviewed
I
I
-Excluded
-
-
18 children died or moved
before age 3 years
369 children had M inellgibie
birthdate or birth residence
71 children had another condition
that was not CP
51 children had CP acquired after
28 days of age or from head trauma
after birth
339 had no evidence of CP
I
262 children with possible
CP matched to their birth
certiflcate
i
-Excluded
-Excluded
-
14 children had mild CP
192 children with
moderate or severe
Figure 1. Case ascertainment process at CCS: CACP 1983-1985.
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Culifarniu Cerebral Palsy Project
343
information on medical and surgical treatment which might affect examination
findingsand on associated disabilities.
Intensive procedures were used to locate parents or guardians and solicit
consent for participation in the examination. Bilingual translators .were used as
needed. Examinations were conducted in CCS clinic facilities or the child’s home
or school. Identical procedures were followed for all children residing in California during the study period, whether their residence was inside or outside the
study area.
Within DDS, clients with possible CP (n=322) were selected from computerised client records which contained non-confidential diagnostic data. Staff at
the local DDS Regional Centers then reviewed confidential records to determine
birth residence and dual enrolment with CCS. For the few presumptive cases who
were exclusively DDS clients, DDS staff attempted to obtain parental consent for
CACP staff to review confidential DDS records. This effort was generally unsuccessful because of inability to locate parents of institutionalised children. DDS
medical staff then reviewed the complete DDS record on each presumptive case
and completed a non-confidential data form querying residency, birthdate, survival and residency in California at age 3, type of motor condition, whether
acquired or congenital, and severity. Because identdymg data were not available
to link these children with vital records, they were not included in the CACP data
base.
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Evaluation of cuse ascertainment procedures
To evaluate CCS and DDS as adequate sources for initial identification of cases,
telephone interviews were conducted with 22 private physical and occupational
therapists and with selected public school special education programmes to
enquire about children with moderate or severe CP who were born between 1983
and 1985in the study area and who had never been enrolled with CCS and DDS.
No such children were identifed.
To check the selection of possible cases from the computerised CCS files, all
open and closed charts between January 1983 and March 1990 were manually
reviewed at two of the four local CCS programmes; all therapy records for the
same period were reviewed at a third local CCS programme; all referral diagnoses
were reviewed at the remaininglocal CCS programme. Two additional cases were
found through these procedures and were added to the data base.
To evaluate the exclusion of possible cases through the manual review of
records, a second review was conducted by a different reviewer on a 40% sample
(n = 100) of the subset of CCS clients who had been excluded because there was no
evidence of motor problems at age 3, they had mild CP, developmental delay and
hypotonia, or an apparently progressive condition with no specific diagnosis.
Inter-rater agreement was 100%.
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J.K. Grether et al.
To evaluate the assignment of final case status based on physical examination
or physician review of records, a sample of cases underwent an informal review
by a second CACP physician (K.B.N.). This review indicated that primary diagnoses were reliably established but that the assessment of secondary CP subtypes
and degree of severity across subtypes may not be robust.
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Statistical methods
A chi-square test of association with sigruhcance level of 0.05 was used. A risk
ratio (RR) measure with 95%confidence levels was used to obtain a point estimate
of the relative risk of CP among subgroups of survivors to age 3.
.
I
Results
The final CACP case series includes 192 children with moderate or severe CP as
established by physical examination in 129 cases (67%)and record review in 63
cases (33%).Examined cases averaged 4.9 years of age at the time of examination,
with a range from 2.6 to 7 years. Of the 63 cases whose final diagnosis was
established through record review, 19 had refused consent or had repeatedly
failed to keep appoinbnents for examinations. Nine had died after their third
birthday, and three were known to have moved out of the state. The remaining32
cases could not be located and examined within the time frame of the study.
The examined cases and record review cases were similar with respect to sex,
maternal race, birth type (single or twin) and severity of CP. Examined cases were
more often of very low birthweight (<l500g) and had diplegia or mixed CP,
compared with record review cases (Table 1).Four children who were exclusively
DDS clients and one CCS client were not included because their birth residence
could not be verified but they met other case criteria.
Prevalence
The 192 verified cases gave a prevalence at age 3 of 1.23/1000 suTvivors, 1.36/1000
for males and 1.10/1000 for females (RR=1.2 (0.9,1.6)). Inclusion of the five
unverified cases gave a prevalence of 1.27/1000survivors. There were no sigruficant differences in prevalence among the four study counties or the three birth
years.
Among children identified as singletons on the birth certificate, the prevalence
was 1.1/1000; among twins, 6.7/1000 (RR = 5.9 (3.7’9.4)). Twins represented 10%
of the cases. There were no cases among 64 triplet survivors.
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Description of cases
The distribution of singleton and twin cases by dominant subtype is presented in
Table 2. For 14cases, there were two spastic subtypes for which dominance of one
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California Cerebral Palsy Project
345
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Table 1. Comparison of examined and record review cases, by birthweight and CP
subtype: CACP 1983-1985
Examined
n
Birthweight (grams)
4500
1500-2499
z=2500
Total
n
Total
%
46
11
10
42
17
16
67
54
37
101
28
19
53
129
100
63
100
192
100
24
53
29
6
17
19
41
22
5
13
16
11
26
8
2
25
17
41
13
3
40
19
21
33
29
7
10
129
100
63
100
192
100
CP subtype
Hemiplegia
Diplegia
Quadriplegia
Dyskinesialataxia
Mixed
Total
%
Record review
43
27
59
33
21
64
55
14
P value
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<0.05
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co.001
subtype was distinguished by the examining physician; these cases have been
grouped with the dominant subtype. For an additional six cases with both
diplegia and hemiplegia, the dominant subtype could not be established; these
cases have been grouped with the diplegia category because their birthweight
distribution was similar to that for cases with isolated diplegia and dissimilar to
that for cases with isolated hemiplegia.
Diplegia was the most common subtype, occurring in 33%of the cases (Table
2). Subtypes which included dyskinesia and/or ataxia were least common, occurring in 7% (dyskinesiaiataxia) and 10% (mixed) of the total cases. Twins were
Table 2. Singleton and twin cases, by CP subtype: CACP 1983-1985
Singleton
n
CP subtype
Hemiplegia
Diplegia
Quadriplegia
Dyskinesialataxia
Mixed
Total
%
Twin
n
%
P value
Total
37
55
49
14
17
22
32
28
8
10
3
9
6
0
2
15
45
30
0
10
40
64
55
14
19
21
33
29
7
10
172
100
20
100
192
100
NS
346
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J.K. Grether et al.
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somewhat over-represented among diplegics and under-represented among
hemiplegics but overall differences between twins and singletons in subtype
distribution were not statistically significant.
Isolated right-sided hemiplegia occurred in 24 cases and was more than twice
as frequent as isolated left hemiplegia (n = lo), a pattern consistent with previous
reports.25 A predominance of right hemiplegia was not found for hemiplegia
which occurred in combination with diplegia. Among the unverified cases (not
included in the tables), two had quadriplegia, two had mixed CP, and for one the
subtype was unknown.
Severity was moderate in 54% of the verified cases and severe in 46%. Quadriplegia and mixed CP together comprised 73% of the severely impaired children
and 9% of the moderately impaired. All nine children who died after age 3 had
had spastic quadriplegia.
Birthweight distribution by dominant subtype is presented in Table 3. Overall, a majority of the cases (53%) had birthweight 2 2500 g, while 19% were born
weighing 15W2499 g, and 28% were of very low birthweight, < 1500g. Among
the subgroup of diplegics, 28% had birthweight 32500 g and nearly half (48%)
had birthweight < 1500g. Of all children with very low birthweight, more than
half (57%)had diplegia.
For total cases and within the hemiplegia and diplegia subgroups, children
with moderate CP and children with severe CP had similar birthweight distributions. Among children with quadriplegia, all the moderately affected children
and half (52%)of the severely affected children had birthweight 32500 g.
Associated disabilities
-
Among examined children, 20% were reported to have no associated disabilities,
24% to have one, and 56% to have two or more. All examined children with
dyskinesidataxia, 87%with mixed CP,and 78% with quadriplegia were reported
Table 3. Three birthweight categories by CP subtype: CACP 1983-1985
<1mg
CP subtype
n
Hemiplegia
Diplegia
Quadriplegia
Dyskinesidataxia
Mixed
31
12
1
4
Total
54
6
1500-2499 g
Total
&!5oog
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R
n
%
15
18
23
20
7
21
7
15
11
0
4
28
37
19
48
22
21
n
27
18
32
13
11
%
68
28
58
93
58
101 53
n
%
40 100
64 loo
55 100
14 100
19 100
192
100
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California Cerebral Palsy Project
347
to have two or more associated disabilities, in contrast with 36% of children with
hemiplegia and 40% with diplegia.
Examined children with severe CP more often had two or more associated
disabilities compared with those with moderate CP (P < 0.01), although almost
half (44%)of moderately affected children were reported to have two or more
associated disabilities and 27% of severely affected children had one or none
(Table 4).
Two or more associated disabilitieswere somewhat more fequent in children
with birthweight < 1000g or 3 2500 g compared with children with birthweight
1000-1499 g or 1500-2499 g (Table 4). The differences were not statistically significant, nor was this birthweight pattern consistent for all specific disabilities 6r
within CP subtypes (data not shown). Small cell frequencies prohibited rigorous
analysis.
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Discussion
The CACP is the largest population-based study of CP in North America in more
than 2 decades of major changes in perinatal health care. The project was
designed by the California Birth Defects Monitoring Program explicitly to address
questions of aetiology, including the possible reIationship between congenital
structural anomalies and CP. To facilitatethese research objectives, very stringent
inclusion criteria were used which are not comparable to case inclusion criteria in
other CP studies.
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Table 4. Associated disabilities among examined children by severity of CP and by
birthweight: CACP 1983-1985
~
~
~~~
Associated disabilities
Total
22
0-1
n
n
%
n
%
Severity of CP
Moderate
Severe
35
13
56
27
27
35
44
73
62
100
48
loo
Birthweight
<lo00 g
1000-1499 g
1500-2499g
22500 g
3 3 3
14
52
10
45
21
40
6
13
12
31
67
48
55
60
9
27
22
52
loo
loo
100
Total
4 8 4 4
62
56
110
loo
P value
%
100
<0.01
NS
348
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1.K. Grether et al.
The CACP prevalence estimate of 1.23/1000 survivors at age 3 is lower than
that reported in other studies which average approximately 2.0/1000.G*5 The
CACP diagnostic criteria excluded children with mild involvement, those with
hypotonia only, and those with acquired CP. Also excluded were children who
died or moved out of state before age 3. These exclusions are the probable
explanation for the relatively low prevalence obtained. Because of these differences, the prevalence figures cannot be compared directly with other prevalence
figures, many of which were developed for service planning purposes. The CACP
data do not provide a basis for judging changes in CP prevalence in the United
States or differences between the US and elsewhere. Children with CP who died
before the age of 3, and are thus excluded from the project, are likely to have been
severely affected children whose motor disability contributed to their death;16 all
nine children who died uffer age 3 had had quadriplegia and had been severely
impaired.
Major strengths of the CACP for research purposes are that it is populationbased and incorporates a high level of consistency in the diagnostic information.
Using standardised criteria and procedures, all diagnoses of CP, subtype and
severity were established by one trained observer who examined two-thirds of the
cases and conducted extensive record review for the remainder. Such validation
of reported diagnoses through use of a standardised protocol has received ‘surprisingly little attention’ in previous population studies of CP.I7 Further, the
CACP data are translatable into the Standard Recording of Central Motor Deficit1
protocol, making collaborative investigations feasible. A major limitation of the
CACP is that it covered only a 3-year period, and there are no comparable data
permitting time trend estimates.
Although in important respects the CACP data are not comparable to those
reported elsewhere, there is clear similarity bhtween the CACP and other population-based series with respect to epidemiological characteristics of the cases. In
the CACP, as elsewhere, males were at slightly higher risk for CP, with the RR of
1.2 reported here at the low end of the reported range.a10J4J5,18 The six-fold
higher risk for CP for twins compared with singletons in the CACP is the highest
reported to date but an elevation in risk for multiple births has also been reported
study of CP in twins in this series is under
in other s t u d i e ~ . ~ J ~ JA5 detailed
J~
way.
The predominance of low birthweight among children with diplegia and of
normal birthweight among children with other CP subtypes is a familiar pattern.9,1sz The distribution of birthweight among children with diplegia in the
CACP can best be described as bi-modal, with a small mode above 25oOg. A
similar but even more dramatic bi-modal pattern for diplegia is reported by
Pharoah et uLzo Spastic diplegia associated with low birthweight may have different causal patterns than spastic diplegia associated with normal birthweight;=
..
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California Cerebral Palsy Project
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349
even the underlying anatomy, as revealed by neuroimaging, may be different in
premature and term children with d i ~ l e g i a . * ~
Although this and other studies have demonstrated that low birthweight is an
important risk factor for CP,s14Jp-23 there is no evidence in the CACP data for an
overall association between birthweight and the severity of CP. Nor is there
consistent evidence for an association between birthweight and the presence of
associated disabilities. These findings are inconsistent with other reports of an
increased frequency of associated disabilities and increased severity of motor
problems in children with term compared with preterm diplegia.= The CACP
findings must be interpreted with caution given the imprecise nature of the
-4
measure of assodated disabilities.
The finding that associated disabilities were common in children with
dyskinesidataxia or mixed CP is consistent with the previously reported high
incidence of associated disabilities in the current generation of children with
extrapyramidal CP.=
The aetiology of CP is imperfectly understood. The CACP has constructed a
population-based series of children with congenital CP using service agency
records as the foundation for initial ascertainment of cases, with verification of
case status through standardised examination of accessible children. This project
will provide a resource for case-control studies of aetiology. The expense and
cumbersome nature of prospective studies limit the use of a prospective study
design for the investigation of CP. While the particular organisation of service
agencies in California may offer some special advantages, the approach used in
this project may be one of the few study designs currently feasible for broad-based
investigations of CP and other low prevalence but important disorders.
Acknowledgements
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This study was supported in part by the California Birth Defects Monitoring
Program, California Department of Health Services, in part by co-operative agreement with the Center for Environmental Health and Injury Control, Centers for
Disease Control, and in part by funds from the Comprehensive Environmental
Response, Compensation and Liability Act trust fund through an interagency
agreement with the Agency for Toxic Substances and Disease Registry, US Public
Health Service.
The authors would like to express sincere appreciation to the children who
participated in this study and to their families, to the many therapists and
physicians who contributed valuable information, and to the staff and leadership
of California Children Services, the Regional Centers for the Developmentally
Disabled, and the Department of Developmental Services.
The authors are also deeply indebted to Virginia Heffeman and Kathy Haas,
350
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J.K. Grether et al.
the fieldwork assistants whose hard work and loving spirits contributed so much
to this project, and to Denise Connors for her invaluable secretarial support.
References
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