Copyright 1997 by The Cerontological Society of America The Cerontologist Vol. 37, No. 4, 483-489 This study is based on data for individuals with a history of stroke taken from the NIAsponsored Longitudinal Study of Aging (LSOA), 1984-1990. It provides information on the factors predicting survival and changes in disability and activity limitations in this cohort with stroke or cerebrovascular accident over the period of two years, 1984 to 1986. The results indicate that individuals who were less than 80 years old had higher chances of survival and were likely to show reduced activity limitations and disabilities. It was also observed that the individuals who were in excellent health were more likely to survive despite a history of stroke. Individuals with severe activity limitations had a very low incidence of survival over the two-year period. Further, the results of this study support the contention that the increased use of health care resources in the form of visits to physicians, hospitals, and nursing homes results in improved survival and lower disability and activity limitations among the elderly. Key Words: Longitudinal Study of Aging, Health-related quality of life, Geriatric care Factors Predicting Survival, Changes in Activity Limitations, and Disability in a Geriatric Post-Stroke Population Manoj S. Dighe, BPharm, PhD,1 Rajender R. Aparasu, BPharm, PhD,2 and Harvey M. Rappaport, PhD1 Arthritis, high blood pressure, diabetes, ischemic heart disease, cancer, and stroke or cerebrovascular accident are the most common chronic conditions seen in the geriatric population (Verbrugge, Lepkowski, & Imanaka, 1989). Older people often have several chronic conditions simultaneously (comorbidity). Stroke is one of the most prevalent chronic conditions and is the main reason for hospitalization in people aged 65 years and above (National Center for Health Statistics, 1992a, 1992b). Stroke mortality has declined steadily since the 1920s, and the United States now has one of the lowest stroke mortality rates in the world (Bonita, Stewart, & Beaglehole, 1990). Each year approximately 500,000 Americans suffer a new or recurrent stroke. Of this number, 350,000 will survive (American Heart Association, 1992). Although the incidence of stroke is decreasing, its prevalence in the population appears to be increasing because of enhanced stroke survival and a growing elderly population (American Heart Association, 1992). Nonetheless, stroke is the third leading cause of death (Sacco, 1995). Since the 1950s, completed strokes and severe strokes have decreased, whereas milder strokes with 'Address correspondence to Manoj S. Dighe, BPharm, PhD, School of Pharmacy, Division of Pharmacy Administration, Northeast Louisiana University, Monroe, LA 71209. 'South Dakota State University, School of Pharmacy, Division of Pharmacy Administration, Brook ings, SD. Vol. 37, No. 4,1997 minimal and moderate deficits have increased (Wolf et al., 1992). Improvements in post-stroke survival have been reported among several populations in the United States. Improvement in survival at 28 to 30 days after a stroke has been observed in hospitalbased studies in Minnesota (1970-1985) and in community-based stroke registries in Rochester, Minnesota (1945-1984) (Broderick, Phillips, Whisnant, O'Fallon, & Bergstralh, 1989; McGovern et al., 1992). May, Casper, Croft, and Giles (1994), using a nationally representative sample of Medicare beneficiaries, showed a modest improvement in post-stroke survival from 1985 to 1989. It was further reported in this study that the trends for improvement in patients with hemorrhagic stroke were greater than for persons with ischemic stroke. Improvement was also greater among persons without known prior hospitalization for stroke and during periods of follow-up shorter than 2 years. In studies using Medicare data sets, the absence of information on cause of death prevents the identification of the actual cause of death among stroke patients. However, according to published studies, stroke is the underlying cause of death in approximately 80 to 90% of deaths that occur within one month of a stroke (Bamford, Dennis, Sandercock, Burn, & Warlow, 1990; Dennis et al., 1993; Howard et al., 1989; Von Arbin, Britton, & Faire, 1992), in 70 to 80% of the deaths that occur 3 to 6 months after a stroke (Dennis et al., 1993; Howard et al., 1989; Von Arbin et al., 1992), and in approximately 50% of the 483 deaths that occur within several years of a stroke (Von Arbin et al., 1992; Health Care Financing Administration, 1989). With improved survival rates after stroke, as well as the increasing number of elderly people and individuals with treatment disability post-stroke, identifying those whose quality of life can be enhanced through appropriate means becomes increasingly important (Kelly-Hayes & Paige, 1995). Systematic assessment of impairment and disability after stroke is valuable for describing the impact of the event, monitoring the recovery process, evaluating response to specific interventions, and determining long-term benefit. Although many are available, the use of assessment measures varies, and no single measure or group of measures is widely accepted (Kelly-Hayes & Paige, 1995). Exact estimates of disability following stroke are difficult to obtain because patients selected for study may be population-based or referral-based (acute hospitals or rehabilitation facilities), outcome measures may be inconsistent, and assessments may have been taken at different times during the recovery period (Duncan, 1994). A literature review of the studies evaluating quality of life in individuals who have had a stroke or a cerebrovascular event identifies several factors associated with improvement or decline in quality of life. In the Framingham cohort, Gresham, Phillips, and Wolf (1979) compared stroke survivors with age-matched controls and found that 90% of the stroke survivors demonstrated one or more disabilities, compared with 58% of the matched controls. In another study, using the Sickness Impact Profile, Schuling, Greidanus, and Meyboom-de Jong, (1993) found that stroke affected household management, leisure activities, and mobility. Christie (1982) reported an "imperfect correlation" between residual physical impairment and disability. In a review of 33 articles, Jongbloed (1986) identified older age and history of prior stroke as prognosticators of poor recovery. A broader perspective is therefore needed to understand the nature of stroke-related disablement in the population. Johnson and Wolinsky (1994) utilized the Nagi "functional limitations" model (1969) to examine the differences in perceived health status across gender and race. The results of this study, based on crosssectional data used from the Longitudinal Study of Aging (1984-90), confirmed the construct validity of separate dimensions of disability and functional limitation. They further recommended developing exploratory models to track the longitudinal course of recovery or decline in health and its relationship to the use of health services. Such research would allow estimates of the stability of varying dimensions of health status over time. They would also allow for estimates of lagged and time-limited effects of certain diseases on changes in disability or functional limitations. Stroke is one such chronic disease in which the longitudinal evaluation of the functional limitations and disabilities can provide important information for future medical and nursing needs in these populations. Given the high probability of patient disability after a nonfatal stroke, studies are needed to address the impact of improved survival on the quality of life of stroke survivors (May et al., 1994). Studies in the past on the assessment of changes in functional status, activity limitations, and quality of life were based on small samples which were not nationally representative. Therefore, using a data set such as the Longitudinal Study of Aging (LSOA), which includes individuals over the age of 65 years representing all the regions of this country, can provide significant insights into the longitudinal trends in mortality and activity limitations and disability. The purpose of this study was therefore to identify factors predicting survival and changes in disability and activity limitations in a large nationally representative data set. Methods The LSOA, a data set provided by the National Center for Health Statistics and National Institute on Aging for individuals over the age of 65 years, was used for this study. The details of these data are provided by Fitti and Kovar (1987). The first objective of this study was to identify the factors predicting survival over a two-year period in individuals who had a stroke before the first interview of the LSOA in 1984. The second objective of this study was based on the recommendations of Johnson and Wolinsky to assess any changes in disability and functional limitations in those individuals who survived until the second interview of the LSOA. Individuals w h o reported having a stroke or cerebrovascular accident before the first interview were selected for the purpose of this study. This extraction criterion resulted in data for 372 individuals. These 372 cases represented those stroke victims who were not lost to follow-up or nonselection for reinterview in 1986 and were, therefore, used in the subsequent statistical analysis. The first objective of this study aimed at assessing the survival estimates in these stroke victims. For the first objective, the measure of survival was obtained from the National Death Index (NDI). The NDI provided the exact dates of death of these LSOA participants. Based on the presence or absence of the date of death, the survival function, "yes" or " n o " were defined. The factors predicting survival included: • • • • Demographic factor Comorbid conditions factor Health status factor, and Health care utilization factor The variables under each of these factors, except the health care utilization factor, were obtained in 1984 at the time of the first interview. Health care utilization in the form of visits to the physician, hospital, or nursing home varied by the individuals' survival time. Out of these 372 cases, 278 survived until the second interview in 1986. Therefore, for cases alive in 1986, the health care utilization was for both 1984 and 1986, while the health care utilization for those who died before 1986 was only for 1984. 484 The Gerontologist The Nagi "functional limitations" model was used to test the second objective of this study using the data for 278 stroke victims. The model for the purpose of this study was modified in a number of important ways. These include using different terminology in some instances, deleting the impaired physiology construct, and adding the constructs of demographic and health care utilization information. The modified model is shown in Figure 1. In this model, pathology or disease refers to the disease condition for which information was obtained from the data. The disease or comorbid conditions included hypertension, coronary heart disease, angina, myocardial infarction, other heart conditions, diabetes, arthritis, and cancer. Demographic information refers to individual age, sex, race, marital status, geographic location, poverty status, and veteran status. Health care utilization information refers to physician visits and admissions to hospitals or nursing homes during 1984 and 1986. Information on the use of community services such as use of a health aid, use of a senior center, and the use of a visiting nurse service were also obtained. The measures of activity limitations, defined as activities of daily living (ADLs), include difficulties in bathing, dressing, eating, getting in and out of bed or a chair, walking, getting outside, and toileting. Other measures of activity limitations, defined as instrumental activities of daily living (lADLs), include difficulties in meal preparation, shopping, managing money, using the telephone, doing heavy housework, and doing light housework. These were measured on a dichotomous scale in which a value of "one" reflected a "yes" answer to having difficulty in that activity and a value of "zero" indicated a "no" response for that activity. The measure of disability included inabilities to walk a quarter of a mile or walk up ten steps, being on one's feet for 2 hours (stand), sitting for 2 hours (sit), stooping, crouching, kneeling (stoop), lifting 25 pounds, lifting 10 pounds, and inabilities to reach over head, reach out, and grasp objects with one's fingers. The scores on each of these items were summed up to give the index of disability or functional limitations (FLs). In addition, the measures of disability and activity limitations were summed up to provide an index of health-related quality of life. The data on disability assessment and activity limitations were collected not only for individuals with a history of stroke but for a general population of elderly people, representative of the national population. Thus, information on depression and social and psychological functioning in these individuals is not available. The operational definition of quality of life is therefore restricted only to physical functioning, labeled as health-related quality of life (physical function) or HRQOLP. Pathology or Disease or Comorbid Conditions Factor Disability (Functional Limitations or FLs) Health Care Utilization Factor \j / / / Activity Limitations (ADL, & IADL) ^Health-related Quality of Life (Physical Limitations) HRQOLp = (FLs + ADL + IADL) Figure 1. Modified Nagi "functional limitations" model. across the different variables are shown in Table 1. The table provides information for all the stroke victims in 1984 and those who survived over the twoyear period, 1984-86. As shown in the table, a majority of the victims were female, White, widowed, and living in the southern part of the United States. Very few individuals were veterans, although equal proportions of individuals were below and above the National Health Interview Survey poverty threshold. Arthritis and hypertension were the two major comorbid conditions present in these victims. About 50% of the individuals indicated an activity limitation status in 1984, while 32% indicated poor health status. With regard to health care utilization, Table 1 provides information on the physician, hospital, and nursing home services utilization by all the 372 cases in 1984. It is observed that very few individuals utilized nursing home care in the 12 months before their interview in 1984. Table 2 provides information on the health care utilization for 1984 as well as for 1986 by the 278 stroke victims who survived until 1986. A similar pattern was seen across physician visits, hospitalization, and nursing home care, with no significant differences in the extent of services utilized in either 1984 or 1986. The summary statistics for the disability, activity limitations, and HRQOLP indices are shown in Table 3. Each index indicates a statistically significant reduction in the number of limitations over the two-year period. We chose not to use the weights necessary to make the estimates from the sample representative of the United States population of people aged 70 and older. The aim of this study was to examine the association between stroke and survival and recovery over a two-year period (Fitti & Kovar, 1987). Data Analysis and Results All the data were analyzed using PC SAS version 6.04 (1989). The characteristics of the individuals Vol. 37, No. 4, 1997 Demographic Factor 485 Outcome Prediction In the first analysis for the first objective, a logistic regression model was built to predict the incidence of survival over the study period. Out of the 372 individuals, 278 (74.73%) survived until 1986. The limited or discrete time intervals for which the survival Table 2. Summary Table of the Health Care Utilization Characteristics of the 278 Stroke Victims who Survived Until 1986 Table 1. Summary Table of the Characteristics of the Stroke Victims, LSOA 1984-1986 1984 372 (100%) Demographic Factor Sex Male Female Age Race Black White Other Region Northeast North central South West Veteran status Marital status Married Widowed Other Povery status Below poverty threshold Above poverty threshold Comorbid Conditions Factor Coronary heart condition Angina Other heart condition Cancer Arthritis Diabetes Myocardial infarction Hypertension 137 (36.82%) 235 (63.17) 77.67 yrs 101 (36.33%) 177 (63.67) 81.43 yrs 44 (11.83) 315 (84.68) 13 (03.50) 33 (11.87) 237 (85.25) 8 (02.88) 80 87 135 70 37 59 65 102 52 30 (21.22) (23.38) (36.70) (18.71) (10.79) 163 (43.82) 184 (49.46) 25 (06.72) 124 (44.60) 137 (49.28) 11 (03.96) 115 (30.91) 257 (69.09) 82 (29.50) 196 (70.50) 43 56 67 61 245 75 17 290 Health Status Factor Activity limitation status in 1984 Unable to perform major activity 99 Limited in kind/amount 103 of major activity 67 Limited in other activities Not limited 103 Health status in 1984 20 Excellent Very good 36 Good 83 Fair 112 Poor 121 Health Care Utilization Factor3 Physician visits in 1984 0 visits 1-2 visits 2-5 visits Hospitalization in 1984 0 times 1-4 times Nursing home care in 1984 0 times At least once Use of a health aid Use of a senior center Use visiting nurse service (21.50) (23.39) (36.29) (18.82) (09.95) (11.56) (15.05) (18.01) (16.40) (65.86) (20.16) (04.57) (77.96) 28 40 45 39 186 48 9 189 (26.61) 59 (21.22) (27.69) (18.01) (27.69) 75 (26.99) 59 (21.22) 85 (30.58) (05.38) (09.68) (22.31) (30.11) (32.53) 14 29 64 89 82 (93.55) (06.45) (10.75) (18.55) (14.25) 26 (09.35) 49 (17.63) 28 (10.07) "Health care utilization in the last 12 months before the interview. Data for victims who survived till 1986 are shown in Table 2 with the appropriate distribution in 1984 and 1986 for physician visits, hospitalizations, and nursing home care. 155 (55.76) 123 (44.24) 177 (63.67) 101 (3633) 213 (76.62) 65 (23.38) 0 times 266 (95.68) 12 (04.31) 268 (96.40) 10 (03.60) * Indicates that there was no significant difference in the health care utilization between 1984 and 1986. Table 3. Summary Statistics of the Four Indices Used To Measure Disability, Activity Limitations, and Health-Related Quality of Life (Physical Limitations) HRQOL, in the 278 Stroke Victims, LSOA, 1984-86 Activities of daily living (ADLs), (0-7)a Instrumental activities of daily living (lADLs), (0-6)' Functional limitations (FLMs), (0-10)a Health-related quality of life (physical limitations), (HRQOU), (0-23)1 (05.04) (10.43) (23.02) (32.01) (29.50) 189 (50.81) 183 (49.19) 174 (62.59) 104 (37.41) At least once In 1986 0 times 1-5 times (10.07) (14.39) (16.19) (14.03) (66.91) (17.27) (03.24) (67.99) 10 (02.69) 259 (69.62) 103 (27.69) 348 24 40 69 53 Physician Visits* In 1984 < 6 visits > 6 visits In 1986 < 2 visits > 2 visits Hospitalization* In 1984 0 times 1-4 times In 1986 0 times 1-5 times Nursing Home Care* In 1984 1986 278 (100%) Mean for 1984 Mean for 1986 1.863 1.640 0.223 1.795 1.496 0.299 4.651 3.309 1.342 8.309 6.478 1.831' Mean Difference a The measurement for each item of all the indices was done on a nominal scale of " 1 " if there was a limitation, and " 0 " if there was no limitation. These scores were summed up to provide the score for each index. *p < .05. data are available prevent the use of life-table analysis or a proportional hazards model, which require multiple survival data observations for each individual (Hosmer & Lemeshow, 1994). These results of survival, however, are not based on stroke as a cause of death. As shown in Table 4, individuals who were less than 80 years of age had a higher incidence of survival following a stroke, in comparison to those over 80 years of age. Individuals who had the highest activity limitations in performing major activities were less likely to survive over the two-year period than those who were not limited in any activities. These results strongly support the literature on 486 The Gerontologist Table 4. Summary Table of the Logistic Regression-Based Survival Analysis in the Cohort of Stroke Victims Who Survived Over the Two-year Period, LSOA 1984-86 Coefficient Relative Odds of Survival 95% Confidence Interval P-value 1.414 4.11 (2.00-8.45) 0.0001 0.931 2.54 (1.04-6.21) 0.0413 -1.284 0.28 (0.09-0.81) 0.0197 2.278 9.76 (1.64-57.98) 0.0122 Age (< 80 years) Health status in 1984 Fair Activity limitations in 1984 Severely restricted in major activities Physician visits in 1986 2-5 visits Table 5. Summary Regression Table for the Four Models Developed to Identify the Variables Under Each Factor Significantly Affecting Activity Limitations and Disability in the Cohort of Stroke Victims, LSOA 1984-86 Factors Demographic Age < 80 years Health status Health status in 1984 Excellent Comorbid conditions Other heart condition Health care utilization Physician visits in 1984 Physician visits in 1986 Hospitalization in 1984 Hospitalization in 1986 Baseline disability ADU IADU FLMM HRQOLPM Adjusted R2 Regression Model I (ADU Regression Model II (IADU) Regression Model III (FLMJ Regression Model IV (HRQOU) -0.679 -0.744 -1.351 -2.857 1.650 1.227 1.873 5.063 1.912 0.884 -0.170 1.583 -0.472 1.003 .725 0.820 -0.728 3.167 -0.612 1.744 6.483 -1.483 3.475 0.445 0.256 0.351 0.395 0.473 0.589 0.441 0.554 All variables are significant at p < .05. stroke-related limitations and survival (Duncan, 1994). The results further indicate that those individuals who had at least a fair health status had a higher incidence of survival than those who were in a poor health status. Individuals who had a greater number of visits to the physician over the last 12 months had higher odds of survival than those who did not use any physician services. None of the comorbid conditions present in these individuals significantly affected survival. In the second analysis, ordinary least squares or multiple linear regression models were developed to predict variations in functional status. Four regression models were built using the ADL, IADL, FLs and HRQOLp indices. The results for these four regression models, shown in Table 5, indicate that individuals less than 80 years of age showed significant improvements on all the four indices of activity limitations and disability. Similar results were observed for individuals with a reported excellent Vol. 37, No. 4,1997 health status at the time of the first interview in 1984. Among the comorbid conditions/ individuals with heart conditions other than coronary heart disease, angina, and myocardial infarction showed improvements on IADL and HRQOLP indices. Further, results of this study, shown in Table 5, strongly stress the importance of health care utilization in reducing long-term disability and activity limitations. The results indicate that lower physician services utilization in 1984 but higher physician services utilization in 1986 resulted in decreased limitations in the activities measured under the IADL and FLs indices over the two-year period. Increased visits to a physician in 1986 also significantly reduced the limitations in the activities measured under the ADL and HRQOLp indices. Hospital services utilization showed similar results with no use in 1984 and higher use in 1986 significantly reducing the limitations on all the indices but ADL. However, higher hospital services utiliza- 487 tion in 1986 did reduce the limitations in the activities measured under ADL. As very few individuals utilized nursing home services in either 1984 or 1986, the data for nursing home care were not included in the regression models. All the four regression models explained a significantly high proportion of variance based on the variables included under each factor. Discussion The results of this study are consistent with what is observed in the literature surveyed. A majority of the individuals had arthritis and/or hypertension. In addition, some had diabetes as a comorbid condition. However, the presence of any of these conditions did not result in mortality or decline in functional status. As is seen from the results of this study, stroke at a lower age in this cohort of individuals may not result in mortality. In addition, it was observed that individuals who had stroke at a lower age were likely to survive longer and also to show improvement in physical functional status. This may be due to the greater use of health care services in the form of physician visits, hospitalizations, and nursing home care. The results of this study are limited by the absence of the exact year of occurrence of stroke. Therefore, only the prevalence and not the incidence of stroke for these individuals can be ascertained. Also not ascertained was whether the reason for death could have been due to a condition other than stroke. However, a mortality rate of about 25% over the two-year period in these individuals is fairly low, considering that their average age in 1986 was 81.43 years. They probably had had a mild stroke, or sufficient time had elapsed since they had had a stroke or a cerebrovascular accident. Furthermore, there was no information on any of the clinical manifestations associated with stroke within this LSOA data set. This greatly limited the methodological analysis of this study in the absence of severity of illness information. There also was no information on the costs associated with the health care services utilized by these individuals in reducing their disability or functional status. This prevents the assessment of cost per unit of reduced disability or functional status in this cohort. The measurement of functional status or disability on the measures of ADL, IADL, or functional limitations is done on a scale of 0 to 1. This creates a "ceiling effect" on the indices, which further reduces the variability in the assessment of disability or functional status in these individuals. Despite these limitations, this study has important geriatric health policy implications. The study supports the use of the LSOA and other such national data bases to identify the factors associated with survival and changes in disability or functional status. The majority of the information available in such national data bases is nonclinical, which differentiates them from the studies done using randomized trials or hospital-based studies. Studies done using data from the Manitoba Lon- gitudinal Study of Aging (MLSA) and Colorado Medicare Study (CMS) identified longitudinal patterns of health care utilization by communitydwelling elderly (Mossey & Shapiro, 1985; Nelda & Wai, 1983). Stump, Johnson, and Wolinsky (1995) reported higher utilization of health services in elderly persons with greater functional limitations. Their results are supported in this study, which showed reduced disabilities and improved activities as a result of greater health care utilization in the form of physician and hospital visits. These results are consonant with prior analyses of both physician and hospital resource consumption among the LSOA respondents (Wolinsky, Culler, Callahan, & Johnson, 1994; Stump et al., 1995), and provide further evidence to support the claim of Roos, Shapiro, and Tate (1989) of the "small group, high usage" phenomenon. Health care utilization may have been the most important reason for reducing the disability or activity limitations in these stroke victims. It is also possible that this health care utilization activity may apply to any of the comorbid conditions present in these individuals, especially to the heart conditions, which may be responsible for improvement or decline in some individuals. However, this is in contrast to support in the literature in which Ahlsio, Britton, Murray, and Theorell (1984) reported no effect of any heart condition on health care utilization and subsequent improvement in disability or functional status. The results of this study are based on the measures of central tendency. Individual changes on all the measures of disability or functional limitations may vary across this cohort of stroke victims. It is also difficult to identify the exact items that showed improvements in the four indices used in this study. While controlling for all other factors, those who had lower scores on these summated indices had fewer limitations and utilized a higher number of health care services. The modified Nagi "functional limitations" model was a good fit to these data based on the variance explained by each of the four models. However, a majority of the variance associated with the functional status or disability was explained by the health care utilization factor. The index of health-related quality of life (physical disability), HRQOLp, was a valid measure to assess the global physical limitations in these individuals. The results on assessment of HRQOLP showed similar findings. Future surveys in the form of LSOA should utilize health status assessment instruments that will provide information on psychological and social activities of the participants in addition to their physical limitations. Although the data are for the individuals who were stroke victims before 1984, they are the only data which provide information on a nationally representative sample of community-dwelling individuals over the age of 70 years. Additionally, these are the only nationally representative data in which individuals can be tracked for a period of seven years. Although no major technological improvements in 488 The Gerontologist the treatment of stroke patients have occurred, improvements in routine care (such as use of aspirin to prevent recurrent stroke, attention to acute control of blood pressure, emphasis on physical rehabilitation, and admissions to nursing homes, where stroke patients may receive better care than at home) have occurred (Langhorne, Williams, Gilchrist, & Howie, 1993). The lack of routine care at the time these data were collected may have been the reason for higher utilization of physician services and hospitalizations. It is also possible that the visits may have been to avoid any further deterioration in health due to stroke or to treat other comorbid conditions. It is important to identify if physician services and hospitalbased care can be substitutes rather than complements, as shown by the results of this study. 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