4 Validating herbal therapeutics
Chapter contents
But do herbs actually work?
Among all the therapies that are called ‘complementary’, phytotherapy is the one that can draw on the most scientific support. This book is constructed largely on the foundation of published literature. It is clear that there is now a sufficient case to construct a rational therapeutic system from the older traditions. However, in spite of this and the presence in medicinal plants of many pharmacologically active constituents, the most persistent doubt expressed by the medical world is whether whole herbs actually work in practice.
The placebo response
The term ‘placebo effect’ itself is not wholly appropriate for this discussion. It derived originally from observations in double blind clinical studies where the treatment was compared with a dummy pill made to look as close as possible to the treatment, with neither the patient nor the practitioner aware of which was which. Early observations were that a significant proportion of subjects in such studies who were taking the dummy nevertheless got better. Initial impressions in the 1940s and 1950s, when such rigorous studies became more common, were that figures varied from trial to trial, but it appeared that about a third of subjects were likely to be ‘placebo responders’. This behaviour was put down, in the psychosomatic model emerging at the same time, as reflecting a particular suggestibility on the part of that proportion of the population. As a result the placebo response has been seen to be a non-serious event, not something to be confused with real medicine and at worst a confounding nuisance in establishing therapeutic efficacy for treatments.
• placebo benefits can occur in any proportion of a treatment group, from zero to almost 100%,1 depending on the condition and circumstances2
• there are no particular ‘placebo responders’ as such3
• placebos have time–effect curves and peaks, cumulative and carryover effects similar to those of active medications2; they can also generate significant levels of interactions with other medications4 as well as adverse effects5,6 (see also the discussion of the ‘nocebo effect’ on p. 109.)
• placebo responses can involve real cures over the long term7 – they are not, as often thought, transient, imaginary events8
• placebo response can lead to long-term benefit even in difficult conditions such as multiple sclerosis,9 ulcerative colitis,10 benign prostatic hyperplasia8 and schizophrenia.11
The shock also applies, however, to conventional medicine and especially surgery, where placebo responses, as evidenced by examining data from non-controlled clinical studies of surgical interventions which were later found to be valueless, are among the highest recorded.2 The simple instruction from a doctor carries enormous ‘placebo’ impact.12 In whole industries, such as those promoting antidepressant drugs, the impact of placebo relative to treatment response has probably been systematically understated.13
The way through this potential difficulty is to reconsider what the placebo response means.
Non-specific supports for self-repair: a different therapeutic strategy?
Indeed, some medical practitioners have got the point. There is a long unspoken tradition of non-specific prescribing, with vitamins, laxatives, aspirin and, unfortunately, antibiotics to keep the patient happy (placebo means ‘I please’), although actual prescription of placebos as such usually breaches ethical and legislative codes.
Many researchers prefer to use the term ‘non-specific effects’ to describe contributions to improvements in clinical studies that are not caused by the treatment in isolation. As well as the placebo effect itself, they include the natural course of the illness (‘getting better anyway’ is something ‘control groups’ of non-treated patients are supposed to quantify in the better organised clinical trials but even here confusion reigns about hidden ‘placebo effects’14), ‘spontaneous remission’ (generally used to describe recovery that cannot otherwise be explained), a trend for improvement (‘regression to the mean’) due to the fact that people tend to get recruited to studies (and come to obtain treatment) when they are at their worst. All these phenomena are aspects of self-repair. A shift in terminology so that the generally prejudicial ‘placebo effect’ becomes ‘non-specific effects’ will be welcome.
The difficulty of enquiry
There are, however, practical problems in pursuing good clinical research in herbal medicine:
1. To produce results carrying sufficient statistical weight is expensive and laborious (each trial has to be costed in research salaries plus logistical expenses). Herbal medicine in the West can boast no teaching hospitals or research institutes, nor funding by government or a wealthy industrial sector. The necessary infrastructure is lacking. Neither can the costs of undertaking research studies easily be justified commercially. The size of the market for any individual product is not comparable to that for any conventional drug. Commercial investment in clinical trials costing many millions of euros or dollars can only be justified if the manufacturer can recover the investment in the market. A crude herbal is free for anyone to copy and must therefore be transformed into something patentable and different from its natural origins. This leads phytomedicine manufacturers, therefore, to produce new extracts from plants that they can commercially protect. For example there are almost no clinical trial data for Ginkgo leaves as such: on the other hand for proprietary extracts of Ginkgo (EGb761 and other patented extracts15) there is a large evidence base.16 The same is largely true for black cohosh, saw palmetto, St John’s wort, horse chestnut and kava. It is difficult for the wider herbal community to claim efficacy for non-standardised products based on these clinical data. The very high and rapidly escalating costs of conducting clinical trials to modern manufacture, ethical standards and regulatory requirements puts off all but the most promising prospects.
2. The indications often claimed for herbal medicines include many without robust outcome measures. Most are destined for the self-medication or over-the-counter (OTC) market so are by definition directed at lesser degrees of morbidity where hard measures are elusive. By contrast most synthetic OTC medicines on the market have ‘switched’ from prescription status and have acquired their efficacy evidence on harder clinical indications in hospital or clinics. With more variable and lower grade symptoms among the patient population, and with a greater likelihood of self-limiting or other spontaneously changing conditions, clear treatment effects are harder to establish. The result is that it is usually necessary to recruit particularly large patient samples and to devise more artificial exclusion criteria to constrain sample variability. All this places extra logistical demands on those wishing to set up effective clinical trials for these products.
3. Herbs are complex medicines, occupying an unusual position in being medicines with many of the characteristics of foods. Being a complex of pharmacologically active chemicals, the whole package will have different properties from that of any single constituent acting alone. The action of the latter will not predict the effect of the former, particularly if the experimental evidence is based on work done on laboratory animals. It is therefore rare to find the satisfactory preclinical evidence often required by ethics committees for the approval of major clinical studies.
4. There are other unintended consequences of clinical research that can limit their benefits to investors in research. Even the best studies have failed to lead to medicine registrations outside central Europe for example, St John’s wort, Ginkgo and hawthorn (Crataegus spp.). In part this is linked to the indications established by such studies. In all three cases the evidence points to uses that are not appropriate for unsupervised self-medication: depression, cardiovascular disease and heart disease respectively. Therefore in countries where the public are more likely to use herbs in self-medication than through a practitioner, there is little incentive for doing such research. Looking ahead there are new reasons for concern. In Europe, where so much of the herbal clinical literature has been generated, there is a new regulatory regime. The 2004 Directive on Traditional Herbal Medicinal Products permits the registration (rather than licensing) as medicines of herbal products on the basis of their traditional use rather than on proven efficacy.17 Such products still have to comply with pharmaceutical good manufacturing practice and safety monitoring, but there is no longer any incentive to prove their efficacy in clinical trials. In fact, as the Directive does not apply ‘where the competent authorities judge that a traditional herbal medicinal product fulfils the criteria for authorisation’, any such data may bar a herbal product from the less expensive registration option and lead to a requirement that it be licensed as a full medicine. There is a concern that the new Directive will lead to a progressive devaluing of herbal medicines and a drying up of clinical research activity.18
5. The application of herbs and their effect on the body are not always the same as usually understood for conventional medicines. As has been suggested above, herbal medicines may be used more to evoke healing responses in the body than to attack symptoms; this generates a different research question. Clinical trial data will help with, but still not answer, the basic question ‘is this remedy going to be good for this patient?’ It is also likely that genuinely important benefits for a minority of the population will be overlooked.
6. There are some instances in herbal research where blinding will be difficult. For example, the impact of bitter remedies, potentially mediated by the effects on digestive functions of stimulation of the bitter taste buds, have played important parts in the claims of traditional herbal medicine: this is almost impossible to blind. There will as always be a role for the good single blind study, especially if other elements are rigorously controlled.
Conventional clinical trials
Moreover it should be recognised that OTC herbal use far outstrips practitioner prescription, probably by a factor of more than 20:1 even in Europe.19 For researching OTC label indications for single medicinal products, in which individual responses to remedies are not the critical issue, the double blind controlled clinical trial is clearly the most applicable method. In addition, as the ‘patient’ is in many cases not being diagnosed professionally and is determining his or her own treatment and prognosis, self-assessment questionnaires are often an appropriate measure of progress. These are not expensive to administer. This is often ‘out-patient’ medicine. Research costs can be saved as close clinical supervision need not be always be necessary throughout the trial.
Unfortunately clinical research on herbs has often also been of indifferent methodological quality. Modern studies, even those otherwise highly rated, can be undermined because they neglect basic precautions against the very variable quality of herbal products. In a surprising proportion of clinical trial papers the herbal product used is not quantified, stabilised or verified.20 Other studies may not relate to the herbal remedy as such but to its chemically-defined ingredients.
Perhaps future hopes for a new injection of investment in clinical research lie with the moves towards sustainable economic development in countries around the world. Renewed interest in the potential of indigenous medical traditions, in some cases linked to emerging economies, has increased research activities in a wider range of plants.21 At best, standards developed for herbal research in Europe can be exported to improve the quality of investigation elsewhere and to new products linked to sustainable ‘free trade’ arrangements. There is still a hunger for beneficial natural medicines. If there is any substance in the promise, new ways will be found to service that demand. This phenomenon has already begun, as evidenced by the clinical data being generated in India and China, of which this book contains many examples.
So the practical applications of the conventional controlled clinical trial to herbal practice are mixed. It would be helpful to develop other techniques to explore how herbs affect human beings. There have fortunately been some considerable efforts in constructing appropriate methodologies of sufficient weight.22 These include looking at different outcome measures, applying rigorous observational studies and monitoring individual case studies.
The measurement of transient clinical effects: the functional assay
Rather than pursue isolated effects from isolated chemical entities it may be better to chart several changes within individuals, using such parameters as are relevant, useful and non-invasive. Emphasis would shift to the simultaneous recording of several parameters of change. It is precisely the interdependence of synchronous events that leads to their exclusion from conventional trials as distracting variables. Acceptance of these variables as important data is a key feature of such work and must therefore profoundly change the nature of the information gathered. Instead of trying to eliminate all variables that might cloud the specific issue in question (‘Is it drug A that reduces inflammation in this organ or other factors?’, for example), the aim of the ‘functional assay’, as it might be called,* is ideally to define all factors which determine the medicinal substance’s influence on the course of disease (‘What, in fact, is drug A likely to do in this individual?’). The task would in some ways resemble homeopathic ‘proving’; in other ways it might take advantage of modern computerised and multilevel diagnostic techniques known as ‘metabolic profiles’.
Observational and single-case studies
Performance and effectiveness of a therapy overall can be measured with various outcome measures, including the whole range of clinical or biochemical measures, patient questionnaires or analysis of records. This information can inform those who are determining health policy or the allocation of resources (a good observational study could demonstrate that herbal medicine was a sufficiently cost-effective strategy in the management of interstitial cystitis, for example, to enable a clinical group to bid for public health funding for treatment of the condition). Of course, only limited evidence of efficacy can be obtained; however, if a herb were to be given to one group of patients with a condition while another group with the same condition was observed as a matching control, then any clear improvement in the first group will suggest follow-up research.
There is another way in which observational studies are a highly appropriate method for herbal medicine. A persistent tradition (see Chapter 1) is that herbal medicines may support self-corrective functions in the body: only by looking globally at the body’s responses could this be confirmed. Following the earlier discussion about self-repair and the supportive role of the practitioner of herbal medicine, as well as the review of the self-organisation found in living complex systems in Chapter 1 and the therapeutic principles that arise (p. 15), then it is apparent that different research methodologies are required. These should:
• have regard to global behaviour of the system rather than particular variables in isolation
• aim to measure quantifiable components of health, rather than of morbidity, mortality or other indicators of disease
In effect observational studies accrue as sequential single accounts or ‘n=1 studies’. The criteria for validity of single case studies have been well reviewed by Reason and Rowan23 and by Aldridge.24 A good design can be very rigorous. It includes providing as many points of view on the event as possible, clarifying operational definitions, and recycling observed data around the researchers (including the patient as co-researcher) for checking and possible refutation. As well as applying qualitative research methodologies it is possible to conduct double blind, placebo-controlled studies in a series of such individual case studies with each patient being his or her control. These could allow for a useful database of reliable case histories to be assembled over the years, as both an educational and research exercise.
In an ideal study design, data about a particular treatment could be drawn from:
• the patient, acting as co-researcher and with a uniquely intimate though slanted view of the internal landscape
• the practitioner, with sufficient competence and clinical experience to provide both an informed and empathic account of the encounter
The account of each participant can be compiled individually and then cross-checked and combined at a case conference so as to produce a final consensus report of the treatment. Each such report can be examined by the coordinating researcher or assistant, applying a form of grounded inquiry similar to that originally proposed by Diesing in the social sciences.25 In other words, themes of disturbance and incapacity are elicited by formal contents analysis of the original material, and are then used to construct the working case story, both steps being subjected to re-evaluation by all co-researchers. As each case is thus graphically characterised, it can be used for comparative purposes with other cases to see whether a pattern occurs and can be sustained.
The story as evidence
However, in clinical medicine there is growing interest in extracting evidence that arises from actual experience of healthcare interventions, the ‘narrative evidence base’. In such an approach each person, patient or research subject is a character living their story, the evidence about each event is obtained by ‘living through’ rather than ‘knowledge about’ these characters, the patient’s own words and account are the data and the message is in that story.26 In the narrative evidence base even the derided anecdote has a role. Such evidence can inform clinical and health policy decisions by illuminating the positive and negative consequences of these decisions and the public’s eventual compliance with, and outcome of, treatment.
Beyond that, the concept of narrative rather than raw data as a unit of measure chimes well with conclusions drawn from observing the behaviour of complex dynamic systems (above and in Chapter 1), especially in the biological and physiological sphere. One can here see life and health as emergent phenomena from systems built on self-similar fractal geometries, where, as described in the field of biosemiotics, organisms extract ‘meaning’ from the available script, the elements that constitute them.27 Only a narrative could describe such a phenomenon.
That most human experience of healthcare is ignored is a rebuke to the modern research focus. There is a Sufi story about Nasrudin, who when asked why, when he had lost his key inside his house, he was looking for it in his garden, replied ‘because there is more light here’. Perhaps in looking for evidence where there is more light, where the instruments work, the modern scientist is looking for one key in the wrong place. Those most involved in everyday clinical work are perhaps more likely to agree that at the end of the encounter, when the clinical decision is made, it is the individual ‘story’ that counts most.28 Human experience is an accretion of billions of stories. Each is meaningful. The challenge is to find rigorous approaches to learn from them.
Using traditional evidence
Clinical insight into the traditional record leads to the realisation that, from the very earliest and most primitive accounts of herb use, humans classified the plant material into relatively consistent pharmaceutical categories. The classification was based on subjective properties of taste or appearance and the immediate impact they made on consumption. These categories, encountered repeatedly in the ethnobotanical records, became the basis of core therapeutic principles in the classic texts of China, India, Graeco-Roman Europe, Islam and almost all other written traditions. The pharmaceutical principles of traditional medicine provide a potentially robust correlation with modern herbal research, provided the latter can be linked to these phytochemical subgroups, as is done in Chapter 2 of this book. In other words, provided both the scientific and the traditional data relate to the same common elements in comparable contexts. By way of example, a recent study compared three independent ethnomedicinal floras.29 Similarities of usage could be interpreted as independent discoveries, and therefore likely to be an indicator of efficacy. Data from the literature were compiled about the ethnomedicinal floras for three groups of cultures (Nepal, New Zealand and the Cape of South Africa), selected to minimise historical cultural exchange. Ethnomedicinal applications were divided in to 13 categories of use. Regression and binomial analyses were performed at the family level to highlight ethnomedicinal ‘hot’ families and general and condition-specific analyses were carried out. Several ‘hot’ families (Anacardiaceae, Asteraceae, Convolvulaceae, Clusiaceae, Cucurbitaceae, Euphorbiaceae, Geraniaceae, Lamiaceae, Malvaceae, Rubiaceae, Sapindaceae, Sapotaceae and Solanaceae) were recovered in common in the general analyses. Several families were also found in common under different categories of use. Although profound differences were found in the three ethnomedicinal floras, common patterns in ethnomedicinal usage were observed in widely disparate areas of the world with substantially different cultural traditions.
Modern ethnopharmacological studies show countless examples where pharmacological activity can be demonstrated in traditional remedies and practices. In effect, the traditional reputation provides the ‘human bioassay data’, the clinical evidence preceding the preclinical studies, rather than the other way around as is usual in modern pharmaceutical research. This phenomenon has been described as ‘reverse pharmacology’.30 These correspondences may lift the findings of laboratory research into a real clinical context.
Preclinical research
Laboratory studies account for the vast majority of published papers on herbal remedies. However, their relevance to human use is clearly often doubtful and the preclinical information provided in the monographs in this book should be viewed from this perspective. They often also include extraction or isolation of ‘active principles’ and exposure to tissues in forms and at doses very different from what could be seen in human consumption. Nevertheless there are fundamental technical questions raised in building a case for herbal therapeutics that could be usefully addressed. The following reviews highlight areas of preclinical research that really could benefit clinical practice.
Pharmacokinetic issues
• In what ways are plant constituents likely to interact in the gut to affect bioavailability and activity?
• What is known of hepatic action on plant constituents?
• Following from both the above, what plant-derived constituents are likely to reach the systemic circulation?
• How do changes in pharmaceutical formulation affect the bioavailability and activity of plant constituents?
With new biochemical monitoring technology, it is feasible that some of these answers can be obtained non-invasively in healthy human subjects (see Chapter 2 and Part Three). However, such topics have been addressed mainly with animal and organ culture experiments.
Animal experiments
There are examples of how sympathetic animal research can successfully investigate traditional concepts. A team of Chinese scientists decided to tackle the challenge of finding a scientific way to characterise a core hypothesis of Traditional Chinese Medicine (TCM). According to established TCM theory, the hot or cold properties of herbs can be explored by the relationship between environmental temperature and one’s perception of it. For example, hot herbs were seen to be able to help the body tolerate a cold environment. The scientists set up a model to study the hot and cold properties of medicinal herbs along these lines, by observing their impact on animal behaviour and function when they were exposed to different environmental temperatures.31
Cell, tissue and organ cultures
• The influence of herbal extracts on epithelial tissue cultures. This represents a point of genuine tissue interaction with herbal remedies and might add much to pharmacokinetic research.
• Observations on the biotransformation of plant constituents using liver cultures.
• Alteration in the migratory behaviour and internal metabolism of macrophages as a result of exposure to herbal extracts.
• The influence of herbal preparations on microbiological cultures.
• Non-specific observations (as in longevity research) on cell migrations, length of interphase, longevity and other pointers to in vitro cell health.
• Observations in vitro of the effects of phytochemicals with proven human bioavailability, for example the alkylamides in Echinacea root.
Human phytopharmacological research
• pharmacokinetic and bioavailability studies
• ex vivo research on isolated cells. In this example the volunteer is given the herb and then cells such as blood cells are removed and studied to ascertain if they possess different features to those from someone who did not take the herb (that is, a control)
• use of non-invasive techniques: EEG, ECG, ultrasound, PET (positron emission tomography) scans, polysomnography
• changes in physiological function: hormone levels, urine output and quality, hepatic biotransformation, immune function, gastric acid output and so on
• performance: memory, cognitive function, intelligence, endurance, recovery.
Natural product drug discovery
On the other hand, the use of natural products as therapeutic agents is still an important part of conventional medicine, albeit one that is in decline. Significant drugs discovered from plants in the past few decades include artemisinin (antimalarial), camptothecin and its semisynthetic derivative irinotecan (anticancer), taxol and its semisynthetic derivatives (anticancer) and lovastatin and its statin analogues (hypolipidaemic).32
Critically assessing research on herbs
Questions that might be asked concerning identity are as follows:
• Is it in fact a herbal product?
• Is it from the right species?
• Is it the right variety or chemotype of that species?
• Is it the right part of the plant?
• Was it harvested from the right region and at the right time?
• Is the information extrapolated from pharmacological studies in animals or test tubes (in vitro)?
• Does the information come from use of a pure phytochemical in vitro, in animals or in humans?
• For animal trials, was the herb or phytochemical administered by injection?
• For all of the above, were the doses or concentrations used well in excess of those that could be realistically achieved from herbal doses or the opposite?
• Does the information come from a clinical trial? If so, how good was the trial?
• Was there a control, such as a placebo group?
• Have there been other clinical trials? How do their designs and results compare?
• Has the scientific evidence been comprehensively reviewed and are the conclusions an objective evaluation of all the available information?
Phytoequivalence defines the transferability of herbal data (clinical or traditional) from one herbal product to another. It is a vital concept because clinicians do not use ‘herbs’ in their clinics, they use herbal products. A clinician might seek to reproduce the known clinical properties of a herb (as informed by either tradition or clinical trials), hereby denoted as ‘the reference study’ with a specific product in his or her practice. Relevant questions to ask include:
• Was the herb extracted under the same conditions as in the reference study?
• Is the proposed dose the same as in the reference study?
• Are the quality markers comparable and relevant, and how were they measured?
• Does the phytochemical profile of the proposed product match that in the reference study?
See also Appendix E on herbal clinical trials and how to read them.
Conclusions and recommendations
1. Observations of actual human use, previously marginalised, should become central. This is accepted when establishing safety but should be acknowledged as the key element in determining benefit as well. Human experience is all that counts in the end. In the case of herbal medicine this experience is already more extensive than in other forms of complementary medicine and it would be unrealistic to ignore it and insist that herbs are only used if proved de novo. Traditional and clinical experience should be rigorously assessed and clearly articulated to make the opening case for efficacy. It can then be refuted or amended by linking that material to research in other areas. Where pharmacological or clinical research supports traditional use, the latter is reinforced. Where modern findings discredit received wisdoms, these should be adjusted or discarded, provided the research is comprehensive and sound. It may also be possible by meta-assessment of the traditional use data to see recurrent patterns of pharmacology or therapeutics that are themselves reinforcing, as touched on previously.33 It has been shown that much current research does not address clinical questions: a more useful role could be in refuting, validating or illuminating the issues and answers suggested by human experience.
2. Herbs need to retain their position as medicines in Europe, Canada and Australia and improve their status elsewhere. The great part of clinical trial research has been in support of herbal products that are prescribed and dispensed as medicines in central Europe. Although there have been some admirable clinical trials in the USA, these have been in publicly funded research programmes that are generally reactive to public use rather than strategically innovative. The major risk to the future funding of herbal research are regulatory regimes that classify herbs as food supplements or as second-class medicinal products with a status dependent only on traditional use. If manufacturers cannot develop a therapeutic use for a herbal product, they will be unlikely to invest in researching one. If the research funding bodies do not consider herbal remedies as serious contributors to health care, they will not set aside precious resources to develop their potential. Unfortunately the political and market trends are set to diminish the medicinal status of herbs and there is thus a real threat to the future of good herbal research.
References
11. Lewander T. Placebo response in schizophrenia. Eur Psychiatry. 1994;9(3):119–120.
13. Brown WA. Placebo as a treatment for depression. Neuropsychopharmacology. 1994;4:265–269.
14. Hrobjartsson A. The uncontrollable placebo effect. Eur J Clin Pharmacol. 1996;50(5):345–348.
19. IMS/PhytoGold. Herbals in Europe. London: IMS Self Medication International; 1998.
24. Aldridge D. Single-case research designs for the clinician. J R Soc Med. 1991;84(5):249–252.
25. Diesing P. Patterns of Discovery in the Social Sciences. London: Routledge and Kegan Paul, 1972.
27. Hoffmeyer J. Signs of Meaning in the Universe. Indiana University Press, 1996.
33. See the EXTRACT database project at <www.plant-medicine.com/>.
34. Rogers CR. On Becoming A Person: A Therapist’s View of Psychotherapy. London: Constable, 1961.
* After Professor Manfred Porkert at the University of Munich.