Antipsychotic Treatment of Behavioral and Psychological Symptoms of Dementia in Geropsychiatric Inpatients William S. Edell, Ph.D. Sandra L. Tunis, Ph.D. Behavioral/psychological symptoms of dementia (BPSD) affect caregiver burden and transition from home to hospital or long-term care. The authors examined change in BPSD for dementia patients (from hospital admission to discharge) who were prescribed haloperidol (n ,)982 סolanzapine (n ,)902סor risperidone (n .)005סOlanzapine was associated with significantly greater overall improvement in BPSD (based on the Psychogeriatric Dependency Rating Scale total score) than risperidone or haloperidol. Olanzapine was significantly superior on measures of active-, verbal-, and passive-aggression and delusions/hallucinations to risperidone or haloperidol, and, on manipulative behavior and noisiness, to risperidone. Results support the effectiveness of olanzapine in improving several BPSD in hospitalized dementia patients. (Am J Geriatr Psychiatry 2001; 9:289–297) B ehavioral disturbances such as agitation, physical aggression, and noisy vocalizations, and symptoms such as delusions and hallucinations, are commonly noted in elderly individuals with dementia. It is estimated that such behavioral and psychological symptoms of dementia (BPSDs) are observed in at least 50% of those with Alzheimer’s Disease (AD),1 and in up to 70%–80% of those with any type of dementia during the course of their illness.2–5 The deleterious impact of BPSD on the individual’s functioning and on caregiver burden is well documented.4,6–9 Indeed, it is the behavioral disturbances, rather than cognitive decline, that often precipitates the transition from home care to hospital and to long-term institutional-care settings such as nursing homes.10–13 First-generation antipsychotic medications, such as the neuroleptic haloperidol, have traditionally been the most common pharmacologic intervention for BPSD in nursing homes and long-stay institutions.14–19 Efficacy with such agents has varied from 25% to 75%,20 as compared with an average response rate to placebo of about 37%.21 These agents have been temporally associated with the frequent occurrence of adverse events (e.g., orthostatic hypotension, cardiac toxicity, anticholinergic effects, and daytime sedation associated with lowpotency drugs; extrapyramidal symptoms such as parkinsonism, akathisia, and tardive dyskinesia with high-potency drugs).22 Second-generation, or atypical, antipsychotic agents, such as olanzapine and risperidone, have been Received July 6, 2000; revised September 25, 2000; accepted October 30, 2000. From Mental Health Outcomes, Lewisville, Texas, and Eli Lilly and Company, Lilly Corporate Center, Indianapolis, Indiana. Address correspondence to Dr. Edell, Mental Health Outcomes, 1500 Waters Ridge Drive, Lewisville, TX 75057. e-mail: William_edell@horc.com Copyright ᭧ 2001 American Association for Geriatric Psychiatry Am J Geriatr Psychiatry 9:3, Summer 2001 289 Antipsychotic Treatment in Dementia found to possess efficacy at least equal to haloperidol, with more favorable adverse-event profiles in patient populations including elderly individuals with dementia.23–26 Encouraging data have been published on the efficacy and relative safety of the second-generation atypical antipsychotic agents in the treatment of BPSD.23,25,27–30 Data on the comparative effectiveness of these agents are needed to assist in optimizing treatment for dementia patients with disruptive and costly BPSD.22,31 The purpose of this study is to compare the shortterm effectiveness of three antipsychotic monotherapy regimens (haloperidol, olanzapine, and risperidone) for the treatment of BPSD in elderly inpatients with a primary DSM-IV hospital discharge diagnosis of Dementia Disorder. METHODS Data Source Data were retrospectively obtained (October 1, 1996 to September 30, 1998) from the CQIםSM Outcomes Measurement System developed by Mental Health Outcomes in Lewisville, Texas. This system tracks patients admitted to psychiatric inpatient units in acute-care medical/surgical facilities. A total of 2,747 patients had a principal DSM-IV32 discharge diagnosis of Dementia Disorder (ICD-9-CM codes 290.0–290.3; 290.40– 290.43; 294.1; 294.8), representing 23.3% of the larger national population of 11,801 inpatients, ages 55 and older, treated across 73 geropsychiatric programs. Participating programs invite the first 17 patients admitted per month (about 200 patients/year) to complete standardized questionnaires at time of admission (within 72 hours), discharge (within 48 hours), and follow-up (3 months post-discharge). Staff at each site receives extensive training on the administration, scoring, and interpretation of all instruments. Forms are entered into the database with high-speed scanners. Weekly data-integrity reports are provided to maintain high levels of compliance in form completion and accuracy. Assessments Demographic information, recent medical resource utilization, and “baseline” functioning were captured on 290 an admissions questionnaire. This was completed by an informant (typically a family member), with assistance from staff as necessary, at time of program admission. To examine treatment group comparability, several measures of illness severity (at hospital admission) with demonstrated validity in the elderly dementia population were examined. The Global Assessment of Functioning (GAF) Scale is based on a modification of the Global Assessment Scale33 for Axis V of the DSM-IV multiaxial assessment. It provides a clinician’s estimate of overall level of functioning based on psychological, social, and occupational status. The Scale of Instrumental and Physical Activities of Daily Living,34 used in the Older Americans Resources and Services Program (OARS) Multidisciplinary Functional Assessment Questionnaire (MFAQ) developed at Duke University, measures an individual’s ability (as rated by an informant) to carry out a variety of physical ADLs (e.g., eat, dress, walk) and instrumental ADLs (e.g., use telephone, prepare meals, take medications). The Mini-Mental State Exam (MMSE)35 is a widely used, 11-item, clinician-administered measure of general cognitive functioning with demonstrated reliability and validity across diverse populations.36 The collateral-source version of the Geriatric Depression Scale (GDS-C),37 a 30-item, “Yes/No” questionnaire, is designed specifically for rating depression in the past week in elderly subjects. Medication utilization was documented by a medication usage questionnaire. This questionnaire captures information on the specific psychotropic agents, as well as the types of non-psychotropic agents, used by the patient at admission to the program and at discharge. Hospital length of stay was obtained directly from the medical record. The tool used to define BPSD was the behavioral section of the Psychogeriatric Dependency Rating Scale (PGDRS).38,39 The items were developed around the concept of dependency, defined as “nursing time demanded by the patient.” The PGDRS has demonstrated both interrater reliability and validity.38 A total of 16 behavioral/symptom items are rated according to frequency of occurrence. The 3-point scale for each behavior or symptom includes the following anchors: Never (i.e., not occurring on any of the past five shifts), Occasionally (i.e., occurring on one or two of the past five shifts), and Frequently (i.e., occurring on three or more of the past five shifts). Specific problems measured include disruptive behavior, manipulative behavior, wandering, socially ob- Am J Geriatr Psychiatry 9:3, Summer 2001 Edell and Tunis jectionable behavior, demanding interaction, communication difficulties, noisiness, active aggression, passive aggression, verbal aggression, restlessness, destructiveness (self), destructiveness (property), elated affect, delusions/hallucinations, and incoherent speech content. Definitions of each item are provided on the form to facilitate consistency of meaning across raters. Clinical and nursing staff familiar with the patient completed the PGDRS shortly after admission to and shortly before discharge from the program. Identification of Antipsychotic Medication Groups In order to compare outcomes (admission-to- discharge changes in BPSD) with respect to specific antipsychotic medication therapy, patients were identified for whom only one antipsychotic medication (i.e., haloperidol, olanzapine, or risperidone) was prescribed at discharge. A total of 998 patients (representing 36.6% of the total Dementia Disorder cohort) were identified as receiving antipsychotic “monotherapy” (i.e., taking only one of the three antipsychotic agents at discharge). Of this 998, 289, or 29.0%, were treated with haloperidol; 209, or 20.9%, were treated with olanzapine; and 500, or 50.1%, were treated with risperidone. Patients on FDA-indicated cognitive enhancers were excluded, but those on other forms of psychotropic medications (e.g., antidepressants; anxiolytics; mood stabilizers) were not excluded from these antipsychotic monotherapy groups. Also, patients may have been taking other, non-psychotropic medications. Data Analyses Change in PGDRS scores by antipsychotic treatment group. These analyses examined the relationship of each “monotherapy” antipsychotic medication group to change in the frequency of occurrence of each of the 16 specific BPSD measured from time of admission to time of discharge. They allowed for a full range of outcomes (i.e., improvement, decline, or no change) in each behavior by medication group. Analysis of variance (ANOVA) methods were used to compare medication groups on change in each maladaptive behavior or symptom rating. Kruskal-Wallis tests were also performed in case the response variable violated the assumptions necessary for the appropriate use of ANOVA. Tukey pairwise multiple comparisons Am J Geriatr Psychiatry 9:3, Summer 2001 were conducted only when the overall ANOVA and Kruskal-Wallis tests were statistically significant at the 0.05 level or better. Comparability of medication groups. To examine “baseline” comparability of the three treatment groups, we compared the haloperidol-, olanzapine-, and risperidone-treated patients on demographics, level of functioning, previous resource utilization, severity of illness, and dementia subtype assessed at admission. We also compared the percentage of patients in each of the three antipsychotic treatment groups who were taking anticholinergic, anxiolytic, antidepressant, and moodstabilizer medications at time of discharge. Medications prescribed on a prn basis were recorded only if taken regularly (i.e., most of the days in the previous week, including day of discharge). Finally, we compared length of current hospital stay across medication groups. For continuous variables, one-way analyses of variance (ANOVAs) were performed to determine whether the mean values at admission differed across the three groups. The Tukey multiple comparison procedure was used to determine the nature of any obtained differences. The analyses comparing drug groups on categorical variables consisted of chi-square tests of homogeneity. All statistical tests were two-tailed. When significant baseline differences were identified, analyses of covariance (ANCOVAs) and correlational analyses were conducted to determine the effects the initial differences may have had on the changes in PGDRS items. We then conducted a re-analysis to determine the impact on the original univariate results. Patient Characteristics In the total sample of geropsychiatric patients with Dementia Disorder (N ,)747,2סabout two-thirds (65.7%) were female, with an average age of 81 (range: 56–108). Age distributions were 55–64 years (2%), 65– 74 years (17%), 75–84 years (47%), 85–94 years (29%), and 95 םyears (5%). The most common diagnosis was Dementia, Alzheimer’s type (DAT; 65.4%), followed by Vascular Dementia (VD; 15.8%), Dementia NOS (12.4%), and Dementia due to General Medical Condition (DGMC; 6.4%). Most patients were Caucasian (86.9%), with 10.7% African American, and 1.2% Hispanic. Almost half (49.7%) had come to the hospital from their private residence, whereas 42.4% had come 291 Antipsychotic Treatment in Dementia from a long-term care facility such as a nursing home, residential treatment, or board-and-care facility. Clinical and Functional Status at Hospital Admission At time of admission, indices of illness severity based on informant report, as well as clinician ratings, suggested significant clinical, functional, and behavioral impairment. The mean GAF score was 23, suggesting that patients’ behaviors, on average, were considerably influenced by delusions or hallucinations, serious impairment in communication or judgment, and inability to function in almost all areas. Half (50.4%) met threshold for clinical depression (i.e., scores of at least 21 on the GDS-C37). The mean score on the MMSE35 at admission was 11.6, suggesting, on average, a severe degree of cognitive impairment. Almost three-quarters of the sample (73.3%) met threshold for severe impairment; 18.6% were rated as having moderate impairment, and 8.2% as having mild cognitive impairment. Informants reported that more than half of the patients were completely unable to perform a variety of instrumental activities of daily living (e.g., handle money; prepare meals; take medications), with significant proportions also unable to complete basic physical activities of daily living (e.g., 31% could not take a bath/ shower unassisted; 19% could not dress self). Defined by PGDRS ratings, a wide variety of BPSD were observed in this dementia cohort at time of admission. Across the defined monotherapy groups, substantial proportions of the patients had at least occasional occurrence for 13 of the 16 items, ranging from 35% (manipulative behaviors) to 72% (communication difficulties). RESULTS Change in PGDRS Scores from Admission to Discharge by Medication Group Of note, patients taking olanzapine experienced a significantly greater improvement in overall PGDRS score (mean change ,)0.5סas compared with those taking haloperidol (mean change ;1.3סPϽ0.01) or risperidone (mean change ;8.2סPϽ0.001). An analysis of change in specific PGDRS items from 292 admission to discharge, by medication groups, revealed that olanzapine was associated with significantly greater improvement in active aggression (PϽ0.001), passive aggression (PϽ0.001), verbal aggression (PϽ0.001), delusions/hallucinations (PϽ0.005), manipulative behavior (PϽ0.05), and noisy behavior (PϽ0.02), as compared with risperidone (see Figure 1). Olanzapine also significantly exceeded haloperidol in change in active aggression (PϽ0.05), passive aggression (PϽ0.001), verbal aggression (PϽ0.001), and delusions/hallucinations (PϽ0.01; see Figure 2). There were no statistically significant differences between treatments for other PGDRS items. However, there was a trend for olanzapine to be associated with greater improvement in “demanding interaction,” as compared with both risperidone (PϽ0.08) and haloperidol (PϽ0.07). No significant differences between haloperidol and risperidone were found (see Figure 3). Relationship of medication-prescribing to patient characteristics. There were no significant differences among the three antipsychotic medication groups on the majority of baseline patient characteristics examined. Only one of nine demographic characteristics differentiated groups: a greater proportion of non-white patients were treated with haloperidol (20.0%) or olanzapine (17.3%), as compared with risperidone (9.6%), at discharge (v2[2] ;39.91סPϽ0.001). With regard to overall group comparability, there were no significant differences in global functioning, mental status, activities of daily living, number of comorbid physical illnesses, recent life stressors, or history of suicide attempts. Also, no significant differences in lifetime or past-6-months medical resource utilization were found across medication groups. Regarding illness characteristics, patients taking olanzapine at discharge were more likely to be in the VD group (28.1%) as compared with patients taking haloperidol (11.4%) or risperidone (13.1%; PϽ0.05 for both). Also, they were less likely to be in the DAT group (56.7%), as compared with the risperidone group (69.5%), and less likely to be in the DGMC/NOS group (15.2%), as compared with the haloperidol group (23.9%; PϽ0.05 for both). Dementia patients given olanzapine at discharge had also been rated by informants as somewhat more depressed at admission (mean ,)2.12סcompared with those given haloperidol (mean )2.91סat discharge (PϽ0.005). Medication groups also differed significantly Am J Geriatr Psychiatry 9:3, Summer 2001 Edell and Tunis in overall score on the PGDRS at admission (F[2, 98] ;30.7סPϽ0.01). Specifically, on a scale from 16 (complete absence of all BPSD) to 48 (frequent display of all BPSD), patients taking olanzapine at discharge had a significantly higher overall PGDRS score at admission (mean ;2.72סmedian ,)72סas compared with patients taking risperidone (mean ;2.52סmedian ;42סPϽ0.01). The haloperidol group (mean ;1.62סmedian )62סdid not differ significantly from the other two groups. The three medication groups did not differ significantly with respect to the use of anticholinergic medication at hospital discharge (haloperidol, 12.1%; olanzapine, 7.7%; risperidone, 9.4%; [P .)]032.0 סHowever, medication groups differed significantly in concurrent use of antidepressants (olanzapine, [64.5%] Ͼ risperidone [50.8%] Ͼ haloperidol [40.8%]; PϽ0.05 for each), anxiolytics (haloperidol [40.8%] Ͼ risperidone [29.3%]; PϽ0.05), and mood stabilizers (olanzapine [26.8%] Ͼ haloperidol [14.5%] Ͼ risperidone [9.8%]; PϽ0.05 for each). Medication groups were found to differ in average length of stay, with patients taking olanzapine havFIGURE 1. ing a longer length of stay (18.2 days) as compared with those taking haloperidol (15.8 days) or risperidone (16.4 days; PϽ0.05 for both). Statistical control for initial group differences. When the relationships between initial level of depression and change in each specific PGDRS item were examined, only the relationship between depression and change in self-destructive behavior was significant (r;60.0ס PϽ0.05), accounting for less than 1% of the response variance. As expected, the subsequent multivariate result was consistent with the original (univariate) results displayed in Figure 1, Figure 2, and Figure 3. Similarly, adjusting for differences in admission severity of BPSD entirely replicated the significant differences obtained in the original model. Controlling for dementia subtype in the analysis was particularly important in that patients with VD showed significantly greater improvement from admission to discharge on the overall PGDRS score and on multiple items (i.e., demanding interaction, noisiness, Psychogeriatric Dependency Rating Scale behavior changes in occurrence from admission to discharge (olanzapine vs. risperidone) Disruptive NS Olanzapine Risperidone P<0.05 Manipulative Wandering NS Socially Objectionable NS P<0.08 (Trend) Demanding Interaction Communication Difficulty NS Noisy P<0.02 P<0.001 Active Aggression P<0.001 Passive Aggression Verbal Aggression P<0.001 Restless NS Destructive (self) NS Destructive (property) NS Affect-Elated NS Delusions/Hallucinations P<0.005 Speech Content NS 0 0.1 Am J Geriatr Psychiatry 9:3, Summer 2001 0.2 0.3 0.4 0.5 0.6 Change in Behavior Occurrences (Score) 0.7 0.8 0.9 1 293 Antipsychotic Treatment in Dementia haloperidol and risperidone groups were all replicated, with one exception; patients taking haloperidol showed significantly greater improvement on noisiness than those taking risperidone (PϽ0.05). Use of concurrent antidepressant, anxiolytic, or mood-stabilizer medications was found to have minimal impact on change in PGDRS scores from admission to discharge. Antidepressant use had no significant impact on change scores on any PGDRS item. Concurrent use of anxiolytics was associated with significantly greater improvement in one item (socially objectionable) and lesser improvement on one other (delusions/hallucinations). Use of mood stabilizers was associated with significant improvement on only one behavior (self-destructiveness). Results of the analyses controlling for these effects once again completely replicated the originally reported differences between antipsychotic medication groups. Finally, the correlation between length of stay and change in PGDRS score from admission to discharge was negligible (r ;900.0סNS), suggesting that it had little impact on the findings reported. passive aggression, verbal aggression, and delusions/hallucinations) as compared with patients with DAT or DGMC/NOS. They also exceeded patients with DAT on noisiness, active aggression, restlessness, and destructiveness to self and property. Importantly, the ANCOVA model controlling for dementia subtype both replicated and strengthened the univariate findings. The reported differences between the olanzapine and risperidone groups were all replicated at the same or stronger significance level (e.g., changed from PϽ0.05 to PϽ0.01). Also, the trend for significance on demanding interaction (PϽ0.08) became statistically significant (PϽ0.02). Similarly, all of the significant differences obtained between the haloperidol and olanzapine groups were replicated or strengthened, with one trend (demanding interaction, PϽ0.07) becoming statistically significant (PϽ0.02), and one non-significant item (manipulative) now approaching significance favoring olanzapine (PϽ0.06). Finally, the non-significant differences between the FIGURE 2. Psychogeriatric Dependency Rating Scale behavior changes in occurrence from admission to discharge (olanzapine vs. haloperidol) Disruptive NS Manipulative Olanzapine Haloperidol NS Wandering NS Socially Objectionable NS P<0.07 (Trend) Demanding Interaction Communication Difficulty NS NS Noisy Active Aggression P<0.05 P<0.001 Passive Aggression Verbal Aggression P<0.001 Restless NS Destructive (self) NS Destructive (property) NS Affect-Elated NS P<0.01 Delusions/Hallucinations Speech Content NS 0 294 0.1 0.2 0.3 0.4 0.5 0.6 Change in Behavior Occurrences (Score) 0.7 0.8 0.9 1 Am J Geriatr Psychiatry 9:3, Summer 2001 Edell and Tunis DISCUSSION The comprehensive management of behavioral disturbances and psychotic symptoms of dementia is likely to require an array of treatment modalities, including behavioral interventions, environmental modification, family therapy and support, and medications.9 Pharmacologic interventions that can relatively quickly and effectively reduce such behaviors for the patient, as well their impact on family and caregivers, could potentially reduce the need for expensive inpatient or long-term care treatment. The present study utilized a large national database of geropsychiatric inpatients with DSMIV Dementia Disorder to identify three antipsychotic monotherapy regimens and to examine change in BPSD from admission to discharge associated with haloperidol, olanzapine, or risperidone therapy. All three antipsychotic agents were associated with some degree of improvement. However, olanzapine was associated with significantly greater overall improveFIGURE 3. ment from admission to discharge compared with the other two medications. This result was attributable to differential treatment effects on four distinct behaviors (active-, verbal-, and passive-aggression, and delusions/ hallucinations) as compared with both risperidone and haloperidol, and on two additional behaviors (manipulative behavior, noisiness), as compared with risperidone. Significantly, differential improvement cannot be accounted for by differences in examined baseline patient or illness characteristics or by the use of additional psychotropic medications. Although the patients treated with the antipsychotic monotherapies were comparable in many important ways, it was necessary to control for several potential confounds. These analyses replicated and, in some instances, strengthened the univariate findings. The reported improvements took place, on average, in a relatively brief time period (16– 18 days from admission to discharge). Some of the treatment-responsive symptoms and behaviors (e.g., active aggression, delusions, disruptive vocal behavior) have Psychogeriatric Dependency Rating Scale behavior changes in occurrence from admission to discharge (risperidone vs. haloperidol) Disruptive NS Haloperidol Risperidone NS Manipulative Wandering NS Socially Objectionable Demanding Interaction NS NS Communication Difficulty NS Noisy Active Aggression NS NS Passive Aggression Verbal Aggression NS Restless NS Destructive (self) NS Destructive (property) NS Affect-Elated NS Delusions/Hallucinations NS Speech Content NS 0 0.1 Am J Geriatr Psychiatry 9:3, Summer 2001 0.2 0.3 0.4 0.5 0.6 Change in Behavior Occurrences (Score) 0.7 0.8 0.9 1 295 Antipsychotic Treatment in Dementia been found to be particularly pervasive and persistent, as well as disturbing and burdensome to caregivers.40 Although no medication dosages were available for analysis, the relatively small percentages of patients on anticholinergics suggest that they were being treated with doses at levels low enough not to warrant treatment for extrapyramidal symptoms. Still largely unknown is the relationship between specific BPSD and underlying neuropathologic and neurochemical correlates such as neurotransmitter changes41 associated with dementia.42 Bymaster et al.43 have recently pointed out that olanzapine and the atypical antipsychotic clozapine interact with multiple neuronal receptors, setting these drugs apart from other atypical antipsychotic medications. They suggest that olanzapine and similar agents belong to a new class of antipsychotic agents called multi-acting-receptor-targeted antipsychotics (MARTA) and that agents with a multi-acting binding profile may have efficacy and adverse-event profile advantages over compounds with selectivity for just one or two receptors.44,45 Research to link psychopharmacology, clinical response, and behavioral/functional outcomes will play an important role in understanding the value of antipsychotic treatment for dementia. This study provides evidence supporting the effectiveness of olanzapine in improving several problematic symptoms and behaviors associated with dementia from hospital admission to discharge. It should be noted, however, that the retrospective, naturalistic study design utilized in this investigation has clear limitations. Patients were not randomly assigned to treat- ment conditions, nor were the patients, their families, or the health care providers blind to the medications prescribed. Comparative data on conventional and atypical antipsychotic agents, including dosage, obtained from rigorously controlled, prospective, randomized, double blind studies using structured diagnostic tools and outcome scales relevant to BPSD are clearly needed to replicate and extend the findings reported here.31 Finally, the generalizability of these findings to less intensive treatment settings and to longer-term care facilities, such as nursing homes, has yet to be established. Research to determine longer-term antipsychotic medication effects (e.g., past the point of hospital discharge) as has been undertaken in younger, schizophrenic patient populations,46 is also warranted. This work would represent an important next step in determining the value of antipsychotic medications in the treatment of BPSD. The two authors contributed equally to the research and manuscript. Portions of the work have been presented at the 51st Institute on Psychiatric Services, New Orleans, LA, October 31, 1999, and at the American Society of Consultant Pharmacists Annual Meeting, St. Louis, MO, November 12, 1999. We thank the following individuals for their assistance with project implementation and data analyses: Kristina L. Greenwood, Ph.D.; Chimene W. Kellis, M.S.; and Bryan E. Adams, Ph.D. John S. Kennedy, M.D., and Ralph Swindle, Ph.D., provided valuable scientific input, for which we are grateful. This research was funded by Eli Lilly and Company, Indianapolis, IN. 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