Health Promotion and Aging "Injury Prevention" Richard W. Sattin, M.D. Chief, Unintentional Injuries Section Division of Injury Epidemiology and Control Center3 for Disease Control, Atlanta Michael C. Nevitt, Ph.D. Adjunct Assistant Professor of Medicine and Epidemiology University of California, San Francisco Patricia F. Wallet, Ph.D. Director, Injury Prevention Research Center University of North Carolina, Chapel Hill Richard H. Seiden, Ph.D., M.P.H. The Glendon Association Los Angeles, California THE FREQWENCY AND IMPACT OF' FALLING IN THE ELDERLY Falls (IO-9 codes E880-E888) are the leading cause of death from injury in per- sons over the age of 65. Approximately two-thirds of reported injury-related deaths of persons 85 years of age and older are due to falls (1). Of the 8200 fatal falls that occurred in the United States in 1985 for persons aged 65 years or older, 59% were those that occurred in the home. This large number of fatal falls listed on death certificates, however, may understate by one-half the num- ber of deaths in which falls are contributing causes (2). Approximately 250,000 hip fractures per year among persons ages 45 and over result from falls, with an annual medical cost exceeding $7 billion (3). There may also be six times as many fractures of other bones as there are hip frac- tures in persons over the age of 65 (4), most of which are attributable to falls (5) . The majority of falls in the elderly result in minor physical injury (6), with only a small percentage of falls causing severe injury, such as a fracture. Es- timates of the proportion of falls causing a fracture range from four to six percent in ambulatory populations, with one percent or less resulting in hip fractures (6,7). Slightly higher rates of hip fractures per fall have been reported among institutionalized populations (8,9,10). Most falls, however, go unreported and are not medically attended. Respondents to the 1984 U.S. Health Interview Survey (HIS) Supplement on Aging were asked about also cause a much younger person to take a spill (slippery surfaces or un- seen obstacles). However, the older person may be influenced by more subtle en- vironmental factors, such as lighting and visual and spatial design. The multifaceted, multifactorial nature of falls has prompted attempt3 to develop a typology of falls (22-25). These typologies focus on the circumstances of falls and provide information about the probable etiologic factors that guide inter- vention efforts (24). In addition, greater specificity about outcome3 would en- hance understanding of risk relationships by allowing researchers to link specific risk factor3 or biologic measurements to specific types of fall. Some examples of these typologies follow: . unexplained falls versus falls with a self-evident etiology (i.e. syncope, seizure, stroke) . falls due to host (intrinsic) factors versus falls due to environmental (ex- trinsic) factor3 o pattern or recurrent falls versus occasional or isolated falls D-2 falls occurring in the sick or older elderly (age 75 and over) versus $hose occurring in the healthy or younger elderly (ages 60-74). Unfortunately, work on classifying falls is still developmental and may be of limited value in understanding and preventing falls for the following reasons: a. It is sometimes difficult or impossible to obtain valid information about the circumstances of a fall. b. Syncopal falls may have an etiology similar to many "unexplained falls" which do not progress to full loss of consciousness but do involve the effects of decreased cerebral perfusion on muscle tone and balance (26,27). c. Most falls probably have a mixed etiology, involving both host and environ- ment as contributing factors. d. Trips and slips involving a definite hazard may also implicate 1) age-related changes in gait (28), and 2) decline in the speed and organization of dynamic postural responses to external displacement (29) I blurring the distinction between environmental and balance falls. e. What constitutes an environmental hazard depends on the individual's func- tional capacity. With functional decline, features of the environment which were once negotiated without difficulty can become major barriers. f. The same individual can fall for different reasons on different occasions. This makes it difficult to classify individuals as one type of faller or another. g. Persons at risk for falls because of abnormalities of gait or balance may SC restrict their activities that they fall infrequently over the near-term. Such "adaptations" to diminished capacities may be dysfunctional over the long-term, accelerating loss of function and leading to multiple falls. Prevention of falls must address a large number of risk factors. At present, we know very little about the interaction between risk factors which will be neces- sary in the development of effective prevention efforts. 3. PROBLEMS ARISING FROM THE UNCERTAIN SIGNIFICANCE OF ANY FALL Because the etiology of falling is complex, the significance of any individual fall is difficult to determine, both for health care professionals and for the person who falls. This may lead to inappropriate actions at several extremes, including: extensive medical work-ups which have little yield; dismissal of the fall as of no consequence; inappropriate reductions in mobility and activities, including use of physical and chemical restraints (30); or extreme fear of fall- ing again. In someJ persons, a fall or series of falls signals serious acute illness, precipitous functional decline and, possibly,.imminent death (7,31,32). For these reasons, any fall must be taken seriously by clinicians. However, most falls in the elderly do not carry this meaning. Falling is an ubiquitous experience throughout life, usually resulting in no or only very minor injury. Though the circumstances of falls appear, on average, to change with age (12,33), the most frequent fall in the elderly is a consequence of persons with diminished functional capacity attempting to meet the intrinsic and external demands of mo- bility within specific environments. For the relatively fit and functionally able, mobility entails constant exposure to and successful negotiation of a wide range of physical environments. Risk of fall is spread over many diverse situa- tions and environments. As function declines, success in mobility focuses in- creasingly on basic movements, such as transfer, short walks and quiet standing within a familiar environment. These basic movements then become the focus of exposure to fall risk. The behavioral response t0 falling and postural instability affects the trans- D-3 lation of physical decline into reduced mobility (34). A fall or a near fall provides information about activities and circumstances which place a particular person with a given set of capacities at risk as well as information about a mismatch between the external and intrinsic demands of mobility and individual competence (35). This information may motivate a reduction in mobility, in turn resulting in reduced exposure to the risk of falling by decreasing the range of environmental exposures and by decreasing the time at risk while walking, trans- ferring and standing. Indeed, persons who do not adjust their activities to declining capacities may be at especially high risk (12,36). Clearly, however, adjustments in activity and mobility in response to falls are neither universally appropriate nor sufficient to eliminate the risk of fall- ing. 1) Fear and excessive restrictions in activity may reduce exposure to the risk of falling in the short term, but only increase the long-term risk by un- dermining self-confidence and physical conditioning. 2) For the elderly whose functional capacity is severely compromised, maintenance of even a minimum of independent mobility may entail substantial risk- 3) Some risk of falling is probably unavoidable if mobility and independence are to be maintained in the presence of functional decline. The goals of prevention should be realistic and based on our best understanding of the problem. It is realistic to aim for modest reductions in the frequency of falls and perhaps to prevent a recurrence of falling in some individuals. It is not realistic, given our current understanding, to eliminate falls as a fea- ture of aging. Even if every fall does have a set of causes, there will remain a random element in many falls beyond our ability tomodel, predict or anticipate. Equally important, prevention efforts must strike a balance between protection from risk and the maintenance of mobility, function, personal autonomy and an acceptable quality of life. To optimize the latter, it may be necessary to ac- cept a certain level of risk. Prevention should focus on modifying risk factors that reduce that level of risk as much as possible while impinging on inde- pendence and autonomy as little as possible. Prevention efforts would benefit from an increased understanding of behavioral and psychological responses to the onset of instability and falls. The nature of this response may have important implications for the individual's short-term and long-term risk. Fear and excessive activity restrictions may only increase risk in the long run. On the other hand, failure to make some behavioral accom- modation to aging and disease may also increase risk in the near term. Adapta- tions to diminished function, while perhaps inevitable, should be appropriate to the threat and emphasize and strengthen residual capacities. In addition, re- search is needed on what constitutes "risk-taking behavior" in the context of speci$ic functional disabilities. Finally, preventing the adverse consequences of falls, including injury, fear and the "long lie," may be as important a goal as preventing falls. Severe in- jury may precipitate maladaptive behavioral responses as well as lead directly to physical deconditioning and further falls. REVIEW OF HOST AND BEHAVIORAL FACTORS The following risk factors are limited to controlled studies in which comparisons were made between "failers" and "nonfallers." Specific study designs vary con- siderably. Nearly all of the associations between risk factors and falls reported here are univariate and do not control for confounding. 1. GENERAL RISK FACTORS Age and Sex. These variables may contribute to identifying persons at risk, but tell us little about actual causes of falls or where to intervene to reduce risk. D-4 There is substantial variation in risk within age groups. Biologic and function- al variability within age groups may be more important determinants of fall risk than age-dependent variations. History Of Previous Falls and Dizziness. It is not known how the risk of injury is related to the frequency of falling. The ratio of injuries prevented per fall prevented may vary considerably between frequent and infrequent failers. For ex- ample, those who fall frequently may do so in a way that has a low risk of in- jury or learn to protect themselves from injury. Research is needed on how the mechanics of falling affect the risk of injury (5). Certain interventions may be less effective after a person has fallen. For example, extreme fear Of fall- ing may reduce acceptance of exercise programs to improve neuromuscular func- tion. Health Status, Mobility Limitation and Functional Disability. General health variables appear valuable in identifying elderly at increased risk of falling because their association may reflect a common origin in underlying diseases and conditions. However, mobility limitations and functional disability may also have a direct bearing on prevention to the extent that they indicate a mismatch between the external and intrinsic demands of mobility and personal competence increasing the risk associated with routine activities (35). Residual capacities may be enhanced by environmental modifications that reduce the demands placed on the individual. However, it is not known whether environmental and behavioral interventions that improve function also reduce fall risk. Moreover, the relationship between mobility and fall risk is complex and not well understood. Mental Status, Psychological Status, and Psychosocial Factors. Cognitive, psychosocial and psychological risk factors for falls in the elderly are not well understood, but are being evaluated in ongoing prospective studies. Neurological disorders affecting cognitive function are often clinically as- sociated with neuromuscular deficits and falls in the elderly, but it is not known if the association is causal (18,37-39). The causal relationships are potentially complex (40). Confusion, impaired judgement, distraction, agitation, depression and lack of awareness may increase exposure to hazardous situations. Associated gait and balance deficits and psychomotor depression may increase the chance that a fall will result. Depression, in turn, may result from falls, in- jury or physical illness. Antidepressant and sedative medication may increase the risk of falls (41,42). The behavioral aspects of depression that affect fall risk are not well understood. There are no studies of the effect of cognitive or psychological factors on the coping strategies and adaptations of elderly in response to falls and instability. Physic&Activity. Longitudinal studies of physical activity and falls are needed since reduced activity levels may result from previous falls, fear of falling or gait and balance problems. Moreover, increased physical activity could in- crease exposure to environmental hazards. lbrironwmtal Hazards. Environmental hazards include such factors as stairway design and disrepair, inadequate lighting, slippery floors, unsecured mats and rugs, and lack of non-slip surfaces in bathtubs, among others. These factors have been implicated in about one-third to one-half of all falls or falls in- juries in the home (43-45). Most studies that deal with home environmental hazards are difficult to interpret, however, because of differences in case selection criteria, information collected, and presentation of data. Definitions, espe- cially those of environmental hazards, were not provided, making valid com- parisons difficult. Only two investigators who studied the environment used a referrent group of nonfallers for comparison: one of case-control and one of cohort design (31,45). However, these investigators described the environment only for cases and not D-5 for the referrant group, and the environment was not assessed visually. In- stead,persons were interviewed to determine what-the respondents felt were the causes of their falls. Few studies actually defined the environment or an en- vironmental hazard, and none provided a uniform approach to assessing the en- vironment. Despite indication3 that several potential risk factor3 might be interrelated, only one study explored the possibility of such interaction3 in a limited way (45). More analytic studies need to focus on where falls occur in the home and on the prevalence of various home hazards. The risk attributable to each of these home hazards, especially in relation to a person's time at risk to these exposures, is criticalto the design of prevention strategies. Moreover, the definitions of a room, dwelling unit, and home hazard need to be clearly stated, reproducible and valid. The use of analytic techniques that determine risk factor3 for diseases, such as the determination of the interaction of host factor3 and the environment,will be key to the etiology of falls and fall in- juries. Intervention strategies would then be based on sound epidemiologic prin- ciples hnd would take into account acute and chronic health problem3 as well as contributing environmental factors. 2. COMMON INTERMEDIATE PATHWAYS: NEUROMUSCULAR FUNCTION Gait and Balance. Clinical and laboratory assessment of gait and balance is in- creasingly sophisticated and show3 significant promise as a method of assessing fall risk. Important research issue3 remain, however, including 1) identifica- tion of the modifiable causes of gait and balance abnormalities, 2) the relation- ship of clinical assessments of balance and gait to laboratory measurement of the biological mechanism3 of balance and gait, 3) the utility of computerized gait analysis for fall risk assessment and research, 4) the utility of gait and balance measures a3 intermediate outcome measures for risk factor modification studies, and 5) the relationship of falling to the determinant3 of total motor reaction time (46) - In addition, the relationship between balance and gait is not well understood. For example, slowed walking speed may be caused by balance problems, fear of falling, or both, or it may be due to pathology not directly related to balance (47). The effect of musculoskeletal condition3 on gait and balance performance is not well understood. The ability to influence corrective and protective response through training and learning should be investigated (46). Finally, an understanding of how specific gait and balance problems transform environmental features into "fall hazards" would help focus environmental intervention ef- forts. FACTORS AFFECTING NEUROMUSCULAR FUNCTION AND OTHER SPECIFIC RISK FACTORS Muscle Strength. The effect of improvements inmuscle strength on gait or balance, or on 106.Seiden RB. Mellowing with Age: Factors Influencing the Nonwhite Suicide Rate. Int J Aging Human Develop 1981;13(4): 265-284. 107.Messer U. Race Differences in Selected Attitudinal Dimensions of the Elderly. Gerontologist 1968;8(4):245-449. 108.Robina L, West P, Murphy G. The High Rate of Suicide in Older White Men. Sot Psych 1977;12:1- 20. lOP.Wylie FM. Attitudes Toward Aging and the Aged Among Black Americans: Some Historical Perspec- tives. Aging and Human Development 1971;2:66-70. llO.Allen N. Homicides in the Elderly. Unpublished research report, U.C.L.A. Neuropsychiatric In- stitute, 1985. lll.Pedrick-Cornell c, Gellee RJ. Elder Abuse: The State of Current Knowledge. Family Relations 1982;31:457-465. 112.Powell S, Berg RC. When the Elderly Are Abused: Characteristics and Intervention. Ed Gerontol 1987;13:71-83. 113.Wolfgang ME, Ferracuti F. Subculture of Violence--A Psychological Theory. In: Wolfgang ME (ed). Studies in Homicide. New York: Harper and Row, 1967, pp. 271-280. 114.Kastenbaum R, Aisenberq R. The Psychology of Death. New York: Springer, 1972. D-20