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Declining Executive Control in Normal Aging Predicts Change

in Functional Status: The Freedom House Study


Donald R. Royall, MD, wz Raymond Palmer, PhD,§ Laura K. Chiodo, MD,w
and Marsha J. Polk, MMEdw

OBJECTIVES: To assess the contribution of executive Key words: aging; disability; assessment; longitudinal;
control function (ECF) to functional status. executive function
DESIGN: Three-year longitudinal cohort study.
SETTING: A comprehensive-care retirement community.
PARTICIPANTS: Five hundred forty-seven noninstitution-
alized septuagenarians.
MEASUREMENTS: The Mini-Mental State Examination
(MMSE) and Executive Interview (EXIT25). Functional
status was assessed using instrumental activities of daily
A ge-related decline in executive control functions
(ECFs) is one plausible explanation for the decline in
functional status that accompanies old age. Executive
living (IADLs). Latent growth curves of MMSE, EXIT25, functions are cognitive processes that orchestrate complex,
and IADL were modeled. The rate of change in IADLs goal-directed activities.1 The latter include functional
(DIADL), adjusted for baseline IADLs and cognition, was activities such as cooking, dressing, and housework.
regressed on the rate of change in each cognitive measure Traditionally, ECF has been associated with the
(adjusted for baseline cognition). Models were also prefrontal cortex, but it is also dependent on the integrity
adjusted for baseline age, level of care, and comorbid of frontal-subcortical systems.2 Thus, frontal lesions are
illnesses. sufficient, but not necessary, for ECF impairment. This
RESULTS: Baseline test scores were within normal ranges, greatly broadens the differential of conditions that affect
but mean EXIT25 scores reached the impaired range by the executive control. ECF impairment has been associated
second follow-up. There was significant variability around with conditions as diverse as major depression, subcortical
the baseline means and slopes for all variables. The rate of vascular disease, adult-onset diabetes mellitus, Alzheimer’s
change in EXIT25 was strongly correlated with DIADL disease (AD), and even normal aging.3
(r 5  0.57, Po.001). This remained significant after The natural history of ECF during normal aging cannot
adjusting for baseline EXIT25 scores, IADLs, age, comor- be easily derived from the existing literature because
bid disease, and level of care. The effect of the EXIT25 on
familiar screening measures such as the Mini-Mental State
DIADL was stronger than those of age, baseline IADLs,
Examination (MMSE)4,5 or its derivatives do not detect it
comorbid disease, or level of care. The rate of change in
well. The American Psychiatric Association added ECF
MMSE scores was not significantly associated with DIADL.
impairment to its definition of dementia in 1994.6 None-
CONCLUSION: ECF is a significant and independent theless, epidemiological studies seldom incorporate ECF
correlate of functional status in normal aging. Traditional measures into their case definitions. Moreover, many
dementia case finding is likely to underestimate cognition- epidemiological studies are cross-sectional in nature. The
related disability. Neither a normal baseline MMSE score conclusions about age-related cognitive decline that can be
nor stable MMSE scores over time preclude functionally validly drawn from cross-sectional models may be severely
significant changes in ECF. J Am Geriatr Soc 52:346–352,
limited.7
2004.
The authors have been studying longitudinal changes in
ECF in residents of continuing-care retirement communities
From the Departments of Psychiatry, wMedicine, zPharmacology, and (CCRCs). CCRCs provide longitudinal access to large,
§
Family Practice, South Texas Veterans’ Health System Audie L. Murphy stable elderly populations receiving care across a wide range
Division GRECC, and the University of Texas Health Science Center,
San Antonio, Texas. of services. The Freedom House Study (FHS) examines the
incidence of ECF impairment within a single CCRC, the Air
This study has been supported by a grant from the Alzheimer’s Research
Foundation. Force Villages (AFV). This FHS report investigates the
Address correspondence to Dr. Donald Royall, Department of Psychiatry,
longitudinal effects of emergent cognitive impairment on
The University of Texas Health Science Center at San Antonio, 7703 Floyd functional status using two measures: the MMSE, a familiar
Curl Drive, San Antonio, TX 78284. E-mail: royall@uthscsa.edu measure of ‘‘global’’ cognitive ability, and the Executive

JAGS 52:346–352, 2004


r 2004 by the American Geriatrics Society 0002-8614/04/$15.00
JAGS MARCH 2004–VOL. 52, NO. 3 DECLINING EXECUTIVE CONTROL PREDICTS CHANGE IN FUNCTIONAL STATUS 347

Interview (EXIT25),8 a measure specifically designed to Depressive symptoms were assessed using the short
assess ECF. Geriatric Depression Scale (GDS).12,13 GDS scores range
from 0 to 15. Higher scores are worse. A cutpoint of 6 to 7
best discriminates clinically depressed from nondepressed
METHODS elderly.
Participants
Five hundred forty-seven elderly retirees were recruited Predictor Variables
from a randomly ordered list of AFV residents aged 70 and The Executive Interview
older living at noninstitutionalized levels of care; these The Executive Interview (EXIT25)8 provides a standard-
included garden apartments and congregate high-rises. ized clinical ECF assessment. Items assess verbal fluency,
Garden apartments were considered the lowest level of design fluency, frontal release signs, motor/impulse control,
care. Each is a standard duplex apartment with a full imitation behavior, and other clinical signs associated with
kitchen/laundry, standard bath, and attached parking frontal system dysfunction. It takes 15 minutes and can be
space. There is no special handicap access. In contrast, administered by nonmedical personnel. Interrater reliability
high-rise residents eat in common. There is handicap access is high (r 5 0.90). It correlates well with other ECF
and handicap-adapted bathroom facilities. Light house- measures including the Wisconsin Card Sorting Task
cleaning and laundry services are provided. Limited out- (r 5  0.54), Trail Making Part B (r 5 0.64), Lezak’s Tinker
patient medical care, including medication supervision, is Toy test (r 5 0.57), and the Test of Sustained Attention
available on site. All AFV residents benefit from on-campus (Time, r 5 0.82; Errors, r 5 0.83). EXIT25 scores range
security and restricted public access. from 0 to 50. High scores indicate impairment. A score of
The FHS subjects represented 57.3% of potentially 10 reflects the 5th percentile for young adults. Scores of 15
eligible participants and did not differ significantly from or higher suggest clinically significant ECF impairment.
nonrecruited residents with regard to age, sex, or baseline
level of care. Informed consent was obtained before their The Mini-Mental State Examination
evaluations. The University of Texas Health Science Center The Mini-Mental State Examination (MMSE)6,14 is a well-
at San Antonio’s institutional review board approved this known and widely used test for screening cognitive
protocol. impairment. Scores range from 0 to 30. A score of 28 is
Participants were evaluated at three separate points the median for normal octogenarians with more than 12
over 3 years (mean interval  standard deviation 5 18.2  years of education.14,15 Scores below 24 reflect cognitive
3.6 months). As functional status declined over time, frail impairment.14 The MMSE has no items that are specifically
subjects were interviewed in their own residences. Collat- addressed to ECF5 and may underestimate cognitive
eral informants were used when available. impairment in frontal system disorders.16 The MMSE was
The attrition rate across the first two waves was 10.2% chosen for this study not only because it is a familiar and
cases/y (4.0% to death, 5.5% to refusal, and 0.4% widely used measure, but also because it has been the
untestable at follow-up), but unforeseen budget restrictions starting point for many other widely used global cognitive
limited Wave 3 data collection to a subset of the surviving measures, including those employed as dementia screening
cohort (n 5 137 (25.0%)). These represented the surviving measures in epidemiological studies.
fraction (71.0%) of 193 FHS subjects who were randomly
selected at baseline to receive a detailed formal neuropsy-
chological test battery. Thus, the attrition was unrelated to
Analysis
clinical condition and should satisfy the ‘‘missing at Data in the third wave were available for approximately
random’’ constraint on the analyses (see below). 30% of the eligible subjects. Rather than discarding
information from the first two waves by limiting the
analysis to cases with complete data, Full Information
Clinical Variables Maximum Likelihood (FIML) methods were used to
Functional status and comorbid medical conditions were address this problem.17,18 FIML uses the entire observed
assessed using the Older Adults Resources Scale (OARS).9 data matrix to estimate parameters with missing data. In
The OARS is a structured clinical interview that provides contrast to list-wise or pair-wise deletion, FIML yields
self-reported information on activities of daily living unbiased parameter estimates and preserves the overall
(ADLs), instrumental activities of daily living (IADLs), power of the analysis.18,19 This analysis was performed
health history, healthcare usage, and current medications. using AMOS software (Small Waters Corp., Chicago, IL).
The OARS IADL scale is scored inversely relative to FIML can accommodate significant data loss, provided
disability, with lower scores indicating higher levels of the data are ‘‘missing at random.’’20 Because the vast
disability. ADL and IADL are often highly skewed. majority of missing data was from Wave 3, and because the
Summing them into a single disability index following the subjects observed at Wave 3 represent the survivors from a
method of a reported study can ameliorate this,10 but this random subset of the original sample, the missing data
did not appreciably affect the results, because ADLs had points should satisfy this constraint. As a test of this
little variance in this sample.11 Moreover, IADL perfor- assumption, the baseline cross-sectional age, education,
mance is more transparent than a combined disability sex, EXIT25, GDS, and MMSE scores were examined for
index. Thus, only IADL data are reported here. The number those with complete data at Wave 3 versus those lost to
of self-reported medical conditions was summed to create a follow-up. Attrition had no significant effects on these
proxy for comorbid disease. variables (by analysis of variance: df (1, 546), all P 5 ns).
348 ROYALL ET AL. MARCH 2004–VOL. 52, NO. 3 JAGS

The survival rates (mean observation time 5 60.9  15.3


months) to the outcomes of death, next transition in level of
Baseline 0.26
care, and nursing home placement were also retrospectively IADL ∆IADL
tested for those with complete data versus those lost to −0.19

follow-up at Wave 3. Attrition did not affect survival to any


−0.35
of these outcomes (by log rank test, all P 5 ns). 0.14
Age
−0.18
−0.16
Latent-Growth-Curve Analysis −0.57
−0.48 0.15 Level of care
0.31
Data were submitted to latent-growth-curve (LGC) model- −0.09
ing. In contrast to multiwave auto-regressive models, which 0.44 Disease
estimate interindividual rates of change across measure- -0.21

ments, LGC models estimate the full trajectory of change


across each individual’s measurement points.21 This is a Base line 0.32
∆EXIT25
well-documented strategy for assessing longitudinal rates of EX IT 25
change in the elderly.22 The first and second factor loadings
on the latent-growth parameter were fixed to 0 and 1,
respectively. The last time-point loading was freely esti- Figure 1. Latent growth curve model. Significant standardized
mated from the data. coefficients are shown. Bold associations stronger than r 5 0.30.
Dashed associations not significant at Po.05. EXIT25 5 execu-
LGC Variables of Interest tive interview; DEXIT25 5 rate of change in EXIT25; IADL 5
To test the hypothesis that the rate of change in cognition is instrumental activities of daily living; DIADL 5 rate of change in
associated with the rate of change in disability, associative IADLs.
models were assembled in which two fully adjusted LGCs
were estimated simultaneously. The latent growth variables model with a model of no change.25 With values ranging
(e.g., rate of change in IADLs (DIADL) and rate of change in between 0 and 1, values below 0.95 would suggest model
the predictor measure) reflect the mean rates of change in misspecification. Values of 0.95 or greater indicate ade-
functional status and cognition, respectively. The variances quate to excellent fit. All three fit statistics should be
about these means are also of interest because they indicate simultaneously considered to assess the adequacy of the
whether there is heterogeneity among the individual growth models to the data.
curves within the sample. Significant variation in the rate of
change in a latent growth variable indicates that there are RESULTS
statistically significant interindividual differences in the
rates of change. Nonsignificant variation would indicate Cross-Sectional Analysis
that all subjects were following the same change trajectory. Baseline EXIT25, MMSE, and GDS scores were within
DIADL was regressed on the rate of change in each their normal ranges (Tables 1 and 2). The EXIT25 and
cognitive measure separately, while adjusting for baseline MMSE were moderately inversely correlated (r 5 –0.36,
IADLs and baseline cognition. This association was further Po.001), but the EXIT25 was more sensitive to the
adjusted for baseline age, level of care, and comorbid cognitive impairments in this sample. One hundred
illnesses. The covariances between the latent variables and seventy-five participants (32.0%) failed the EXIT25 with
covariates were also estimated. a score of 15 or higher. In contrast, only n 5 36 (6.6% of the
Figure 1 depicts the final, fully adjusted model using the sample) failed the MMSE with a score less than 24. One
rate of change in EXIT25 scores (DEXIT25) to predict the hundred forty-nine (85.1%) of those who failed the
rate of change in functional status. (The MMSE was tested EXIT25 passed the MMSE. The mean GDS score was well
separately in an identical model.) To the left are latent below its clinical threshold. Only 12 individuals scored
variables (IADL and EXIT25) representing the mean and higher than 6 out of 15 on the GDS. Four hundred fifty-five
variance of the observed data at baseline. To the right are (83.2%) subjects estimated their health as good or
the latent growth variables (DIADL and DEXIT25). A excellent.
unidirectional arrow represents the association between Baseline EXIT25 and MMSE scores were significantly
DIADL and DEXIT25. This implies that the rate of change correlated with baseline functional status (IADL scores)
in ECF causes the rate of change in functional status, rather (EXIT25IADL: r 5  0.48, Po.001; MMSEIADL: r 5
than vice versa. 0.50, Po.01). Both associations remained significant after
adjusting for age, comorbid illness, and level of care (both
Goodness of Fit Po.01).
The fit of each individual growth model was compared with
a competing model of ‘‘no growth.’’ The validity of Longitudinal Analysis
structural models was assessed using three common test Table 2 shows the descriptive statistics for the EXIT25 and
statistics. A nonsignificant chi-square signifies that the data MMSE. The observed mean values for the EXIT25
are consistent with the model.23 A root mean square error increased (deteriorated). The means for the MMSE and
of approximation (RMSEA) of 0.05 or less indicates a close IADLs showed small decreases (deterioration). Clinically
fit to the data, with models up to 0.10 viewed as acceptable significant ECF impairment (mean EXIT25 415/50) ap-
fit.24 The comparative fit index (CFI) compares the specified peared by the second follow-up. In contrast, clinically
JAGS MARCH 2004–VOL. 52, NO. 3 DECLINING EXECUTIVE CONTROL PREDICTS CHANGE IN FUNCTIONAL STATUS 349

Table 1. Baseline Clinical Features of Cases Table 2. Longitudinal Descriptive Statistics for the Study
Variables
Variable Value
Variable Mean  Standard Deviation Range
Age 77.9  4.9
Female, % 58.3 Executive Interview
Education, years, mean  SD 15.1  2.4 1 12.50  4.64 1–32
At lowest level of care, % 46.3 2 13.70  5.29 1–31
Living alone, % 27.8 3 15.15  6.77 0–32
Doctors’ visits in previous 3.8  4.1 Mini-Mental State
6 months, mean  SD Examination (MMSE)
Reporting, % 1 27.92  2.06 19–30
Glaucoma 18.3 2 27.77  2.28 13–30
Arthritis 61.2 3 27.16  2.79 15–30
Hypertension 41.9 Instrumental activities
Coronary heart disease 22.5 of daily living (IADLs)
Adult-onset diabetes mellitus 5.6 1 13.33  1.60 2–14
Stroke 6.3 2 12.95  2.18 0–14
Thyroid illness 17.7 3 12.70  2.33 3–14
Good or excellent self-rated health 82.3
Geriatric Depression Scale score, 1.6  1.9 Note: Higher scores on EXIT25 indicate impairment; lower scores on MMSE
short version and IADL indicate impairment. Five hundred forty-four cases had complete data
at baseline, versus 468 at Time 2 and 137 at Time 3.
Instrumental activities of daily living 13.3  1.7
score, mean  SD (best 5 14.0)
Needing assistance, %
Telephone use 3.4
trend in MMSE scores, and an approximate log or leveling
Transportation 12.7 trend in IADL ratings over time.
Shopping 10.6 The mean baseline and rate-of-change estimates are
Cooking 7.7 shown at the bottom of the table. The average baseline
Housework 18.8 scores estimated by the models were practically identical to
Medications 4.8 the observed baseline values shown in Table 2. There was
Finances 6.1 also significant variability around these means. Similarly,
Using prostheses 12.0 there was significant rate of change in all three variables and
significant variation around their respective rates of change.
 DEXIT25 averaged 0.89 per year. This can be
From the Older Adults Resources Scale.
SD 5 standard deviation. interpreted as an average increase of 0.89 EXIT25 points
per year of follow-up. The MMSE decreased 0.13 points per
year. IADLs decreased (deteriorated) by 0.50 points per
significant MMSE impairment (mean o24/30) never appea- year.
red during the 3 years of observation. Nonetheless, the Next, LGC models of change in the cognitive measures
sample as a whole suffered a slight decrease (deterioration) were regressed onto the LGC model of change in IADLs.
in mean IADL scores over the course of the study. Both models show acceptable to excellent fit (EXIT25:
Tables 3 and 4 present adjusted LGC models of w2 5 22.3, df 5 14, P 5.07, CFI 5 0.999, RMSEA 5 0.03;
DEXIT25, the rate of change in MMSE scores (DMMSE), MMSE: w2 5 11.9, df 5 14, P 5.62, CFI 5 0.999, RMSEA
and DIADL. The first row of Table 3 presents the fit o0.01). DEXIT25 scores were significantly associated with
estimates, and the second row presents the corresponding DIADL (b 5  0.36, standard error (SE) 5 0.16, Po.001).
parameter estimates for three separate longitudinal growth This association remained significant after adjusting for
curve models. Each model demonstrated acceptable to age, baseline comorbid disease, level of care, baseline
excellent fit to the data and was significantly different from disability, and baseline EXIT25 (b 5  0.37, SE 5 0.18,
a corresponding model of ‘‘no change.’’ Model loadings Po.001). The relative effects of DEXIT25 and its covariates
suggested a linear trend in EXIT25 scores, an accelerated on the rate of change in functional status can be estimated

Table 3. Latent Growth Curve Models of the Rate of Change in Executive Interview (EXIT25), Mini-Mental State
Examination (MMSE), and Instrumental Activities of Daily Living (IADL)
EXIT25 MMSE IADL

Model Fit Chi-Square (Degrees of Freedom) P-value [Comparative Fit Index] Root Mean Square Error of Approximation

Change models 3.2 (1) .07 [.999] .046 3.7 (1) .06 [.999] .060 2.7 (1) .10 [.999] .056
No change models 85 (4) .00 [.969] .192 33 (4) .00 [.995] .116 114 (4) .00 [.978] .222
350 ROYALL ET AL. MARCH 2004–VOL. 52, NO. 3 JAGS

Table 4. Parameter Estimates for Latent Growth Curve Models of the Rate of Change in Executive Interview (DEXIT25),
Mini-Mental State Examination (DMMSE), and Instrumental Activities of Daily Living (DIADL)
DEXIT25 DMMSE DIADL
Parameter Estimate of
Change Models Mean  Standard Error Variance (Standard Error)

Baseline score 12.48  0.20w 12.03 (1.23)w 27.94  0.09w 2.51 (0.24)w 13.33  0.07w 1.94 (0.36)w
Annual rate of change 0.89  0.16w 2.91 (0.83)w  0.13  0.07 0.17 (0.08)  0.50  0.08)w 0.97 (0.23)w

Po.05.
w
Po.001.

by examining their standardized coefficients in Figure 1. provisional until they can be replicated in future lon-
The effect of DEXIT25 on DIADL was stronger than that of gitudinal samples.
age and more important than that of comorbid disease, Second, the MMSE is known to exhibit ceiling effects in
baseline physical function, or level of care. In contrast, cross-sectional studies, and the IADL and MMSE exhibited
DMMSE was significantly associated with DIADL only in skewed distributions in this data set. Log and square root
an unadjusted model (b 5 2.33, SE 5 1.05, Po.05). transformations of these variables were tried, but this had
To test the assumption of causality, DIADL was no appreciable effects on the results and would be much
regressed on baseline EXIT25 (b 5  0.04, SE 5 0.006, more difficult to interpret than the untransformed models
P 5.001) and DEXIT25 on baseline IADL (b 5  0.24, reported here. In addition, it is not known that DMMSE
SE 5 0.15, P 5.09) in separate post hoc models. The fact suffers from ceiling effects. Several studies (reviewed below)
that the former model is significant, whereas the latter is find significant group effects on DMMSE in longitudinal
not, is consistent with the hypothesized direction of studies of community-dwelling older adults. The rates of
causality (that DEXIT25 causes observed changes in 3-year change in MMSE scores in this sample ranged
disability). from  23 to 17 points.
Third, the IADL variable is a convenient but meager
substitute for the direct measurement of functional status.
The clinical significance associated with the mean rate of
DISCUSSION change in IADL ratings observed (  0.5 points/y) is not
A high prevalence of ECF impairment has previously been clear. It would roughly translate into the loss of one self-
reported in affluent, well-educated, noninstitutionalized reported IADL every 2 years. Although self-reported
elderly retirees with normal MMSE scores.26 Moreover, in clinical symptoms might be considered suspect when
the AFV, the EXIT25 is a significant independent correlate obtained from executively impaired subjects, the EXIT25
level of care.27 The current analysis goes beyond previous has also been shown to be a significant cross-sectional
work to demonstrate that the deterioration in ECF during correlate of objective and performance-based functional
normal aging is also independently associated with lon- measures.26–28
gitudinal declines in functional status. In this study, the Nevertheless, it is important to distinguish between
effect of EXIT25 on DIADL was the strongest of the fixed and random effects when interpreting LGC models.
variables modeled. Traditional regression examines only the fixed effects on
There are several potential limitations to the results. group means. Nonetheless, there is significant variability
First, there was considerable loss of data in the third about the mean baseline IADL in this sample and DIADL
observation. This was due to administrative reasons, not (Table 3). These random effects represent interindividual
simple attrition, and satisfies the ‘‘missing at random’’ differences within the FHS sample with regard to baseline
constraint for valid FIML applications. As a check to these IADL performance and individual DIADLs. Table 2
findings, DEXIT25 and DMMSE were also modeled as demonstrates a broad range of observed IADL scores at
predictors of change in functional status under a variety of baseline, despite the high mean performance. The strong
alternative conditions, including as a simple change score significant associations between EXIT25, IADL, DEXIT25,
(IADL at T3  IADL at T1) and cross-lag regression (IADL and DIADL in an adjusted random effects model suggests
at T14IADL at T24IADL at T3). Each of these models that the associations between these variables should be
was performed with FIML and case-wise deletion (data not valid across a broad range of individual functional
shown). Under all four conditions, the DEXIT25 was a capacities and rates of change in these capacities.
significant independent predictor of change in functional The rate of change in ECF observed in this study is
status; DMMSE was not. Although these results are likely to have substantial clinical implications. For example,
qualitatively similar to those presented in this paper, the ECF as measured with the EXIT25 is strongly associated
current model takes full advantage of the information with forensic capacities, such as the ability to execute an
available in the data set. This allowed for the modeling of advance directive29 or give informed consent for medical
changes in cognition and disability as LGCs. The resulting care.30,31 These abilities may also suffer as a consequence of
model provides a better goodness of fit and explains more the decline in ECF observed.
variance in DIADL than any of the four models described Similarly, the EXIT25 has previously been shown to dis-
above. Nonetheless, the findings should be considered tinguish each level of care in comparable CCRCs.8,26,27,32
JAGS MARCH 2004–VOL. 52, NO. 3 DECLINING EXECUTIVE CONTROL PREDICTS CHANGE IN FUNCTIONAL STATUS 351

The average separation between levels of care is about 7.0 decline. Thus, ECF represents a relatively unexplored
EXIT25 points. By the third observation, mean EXIT25 domain for investigation into and intervention on the
scores had increased by almost 3.0 points and were already functional declines associated with normal aging.
in the impaired range. The linear deterioration in ECF
observed suggests that these subjects will eventually ACKNOWLEDGMENTS
succumb to increases in their levels of care. The authors wish to acknowledge the important coopera-
Nevertheless, the significant variability about the tion and support they received from the Air Force Villages.
DEXIT25 parameter in Table 3 suggests that there is
heterogeneity across the individual DEXIT25. Subsets of
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