(Stroke. 1999;30:2347-2354.)
© 1999 American Heart Association, Inc.
Original Contributions |
From the Department of Neurology, Veterans Administration Medical Center, San Diego, Calif, and Department of Neurosciences, University of California at San Diego School of Medicine (P.L., C.J., J.Z.); Department of Biostatistics and Research Epidemiology, Henry Ford Health Science Center, Detroit, Mich (M.L.); National Institute of Neurological Disorders and Stroke, Bethesda, Md (J.M.); and Departments of Emergency Medicine and Neurology, University of Cincinnati Medical Center (Ohio) (R.K., T.B.).
Correspondence to Patrick D. Lyden, MD, Stroke Center (8466), 3rd Floor, OPC, Suite 3, 200 W Arbor Dr, San Diego, CA 92103-8466.
| Abstract |
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MethodsWe performed an exploratory factor analysis of NIHSS data from Part 1 (n=291) of the NINDS tPA Stroke Trial to derive a hypothesized underlying factor structure. We then performed a confirmatory factor analysis of this structure using NIHSS data from Part 2 of the same trial (n=333). We then tested whether this final factor structure could be found in tPA- and placebo-treated patients serially over time after stroke treatment. Using 3-month outcome data, we tested for an association between the NIHSS and other measures of stroke outcome.
ResultsThe exploratory analysis suggested that there were 2 factors underlying the NIHSS, representing left and right brain function, confirming the content validity of the scale. An alternative structure composed of 4 factors could be derived, with a better goodness of fit: the first 2 factors could represent left brain cortical and motor function, respectively, and the second 2 factors could represent right brain cortical and motor function, respectively. The same factor structures were then found in tPA and placebo patient groups studied serially over time, confirming the exploratory analysis. All 3-month clinical outcomes were associated with each other at subsequent time points, confirming predictive validity.
ConclusionsThis is the first study of the validity of a stroke scale in patients treated with effective stroke therapy. The NIHSS appeared to be valid in patients with acute stroke and for finding treatment-related differences. The scale was valid when used serially over time after stroke, up to 3 months, and showed good agreement with other measures of outcome.
Key Words: cerebrovascular disorders clinimetrics factor analysis, statistical neuropsychological tests
| Introduction |
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Another approach to validity is to explore the internal structures or dimensions underlying a scale.2 3 4 5 22 23 This sort of data demonstrates the construct validity of a scale: a valid scale should measure 1 or a small number of underlying constructs. We sought to study the underlying structure of the NIHSS using factor analysis, a widely accepted method for deriving the internal structure of a scale.5 22 24 25 26 27 28 29 30 Such factors should reflect biological phenomena that make sense to the investigator, such as right or left hemispheric function. Scale items that do not contribute to such factors can be eliminated, thus simplifying the scale and improving its internal reliability.22 We also desired to determine whether the scale structure identified at baseline was independent of therapy and time, that is, we questioned whether the same dimensions could be identified at later time points and in patients who received tissue plasminogen activator (tPA) compared with placebo. This property of a scale is critical; if the structure underlying the scale differs between 2 treatment groups, then the scale is invalid for treatment studies because scale scores would not be comparable between treatment groups. Essentially, 1 group would be tested with 1 version of the scale, and the other group would be tested with a different version. The National Institute of Neurological Disorders and Stroke (NINDS) tPA Stroke Trial afforded an appropriate opportunity for studying this clinimetric property, since the 2 treatment groups differed significantly.31
| Subjects and Methods |
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To explore the structure underlying the NIHSS, a factor analysis was conducted.24 The NINDS tPA Stroke Trial was conducted in 2 parts using nearly identical methods: We elected to use baseline (pretreatment) NIHSS scores from part 1 (291 patients randomly divided between treatment and placebo) for an exploratory factor analysis. On the basis of the findings of the exploratory analysis, we planned a confirmatory factor analysis using the baseline part 2 data (333 patients randomly divided between treatment and placebo).
The purpose of factor analysis is to describe and explain a large set of independent variables in terms of a few underlying new variables, called factors. If a variable correlates well with the factor, it is said to "load" on that factor. By studying the factor loadings, which is interpreted as a correlation coefficient, one can determine how well the factors explain the data. A group of items in an outcome scale may represent any number of underlying factors, from a single factor to the total number of items. In the latter case, each item represents a unique factor, which is an undesirable property for outcome scales. In general, an ideal scale represents a small number of underlying factors.
To gain an initial estimate of how many factors may underlie the NIHSS,
we examined the Scree plot (Figure 1
).
Once the initial number of factors was selected, a factor
analysis was conducted, and we examined the factor loadings on
each respective factor. We assessed the goodness of fit of the factor
structure using Bentler's Comparative Fit Index
(CFI).32 33 CFI ranges from 0 to 1 and is viewed as the
percentage of variation of the observed measure (the scale items)
explained by a given structure (such as
R2 in a regression model); values
>0.90 indicate excellent goodness of fit.32 Several
factor structures were examined in this way until we obtained the best
solution, defined as the structure that had reasonable goodness of fit
(CFI >0.90) and made clinical sense.
|
A confirmatory factor analysis on a new data set (baseline scores in part 2) was conducted to validate the factor structure identified in the previous, exploratory analyses. CFI was calculated on the basis of the new data; the structure was considered valid if it had reasonable goodness of fit and was consistent with that seen in the previous analyses. Data collected after placebo or tPA treatment were used to determine whether the factor structure identified from baseline data were independent of time and tPA therapy. The data (placebo or tPA) could be used to identify a new factor structure if, in fact, the factor structure depends on time and/or treatment. Patients from parts 1 and 2 were analyzed together for this aspect of the study to allow for greater power. In this part of the analysis only, patients who died, missed 1 of the follow-up NIHSS examinations, or had a scale item recorded as unknown were excluded from the specific analysis involving the missing datum. The factor structure would be considered independent of time or therapy if the CFI goodness of fit at each time point was >0.90 using the same factor structure derived from baseline data.32 33
In addition, the exploratory and confirmatory analyses were conducted, including 15 NIHSS items and 2 extra items regarding distal motor function in the left arm or the right arm. These distal motor items were attached to the scale at the time the trial was begun but were never validated, in response to the criticism that the NIHSS did not measure distal limb strength.7 31
To assess predictive validity, the associations between the NIHSS at each time point and late outcome at 3 months, as measured by Barthel Index, Glasgow Outcome Scale, and Rankin Scale, were calculated with Spearman rank correlation coefficients. We expected significant correlation between the NIHSS at several time intervals and the 3-month clinical outcomes.
| Results |
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The initial exploratory analysis of the part 1 baseline
scores was unstructured and yielded the Scree plot in Figure 1
.
From the plot, it is clear that 2 factors account for the majority of
the variance in the data. The first 2 factors explained 88% and the
first 4 factors explained 100% of the variance in the data; the
4-factor solution was considered further. The ataxia item loaded weakly
(loadings
0.40) on all factors in the exploratory phase, and
therefore this item was excluded; it did not correlate with any factors
underlying the scale. The consciousness item (item 1A) loaded on all 4
factors with equal loads
0.4. Similarly, item 4, facial palsy,
exhibited loading values of <0.40, suggesting that it contributed
little to the scale and could be excluded from the analysis.
The final exploratory 4-factor solution using the remaining 12 items
produced the best goodness of fit (CFI=0.96). Table 2
lists each factor and the loading of
each variable on each factor. The final column in Table 2
,
R2 (also called communality),
represents the percentage of variance in the variable that
is explained by all the factors. Additional variance could be
attributed to other sources, such as interindividual variation or
examiner-to-examiner error. From Table 2
, it is apparent that
the first factor relates to language function, since the aphasia and
level-of-consciousness items load most heavily. The second factor is
difficult to interpret because it includes the gaze, neglect, visual
field, and sensory items. We suspect that a large right hemisphere
cortical lesion would impair these items and thus underlie this factor.
Factors 3 and 4 clearly represent right and left brain motor
functions, respectively.
|
We used the baseline data from part 2 for the confirmatory
analysis, excluding the level-of-consciousness, face palsy, and
ataxia items. The results of the confirmatory analysis on the
remaining 12 items (Table 3
) again showed
excellent goodness of fit (CFI=0.93). The factor structure is identical
to that of the exploratory analysis: factor 1 appears to
represent left cortical function, and factor 2
represents right cortical function. Factors 3 and 4 again seem
to represent left and right brain motor function,
respectively.
|
To determine whether the scale is valid within treatment groups,
we repeated the analyses in tPA- and placebo-treated patients
using data obtained 2 and 24 hours, 7 to 10 days, and 3 months after
stroke. The resulting goodness-of-fit statistics are shown in Table 4
. The factor structures (ie, loadings)
were identical to that at baseline (data not shown). The
consistency of the structure and the goodness-of-fit
statistics over time and treatment (Table 4
) suggest that the
scale remains valid, regardless of time from stroke onset or treatment
given.
|
To assess the predictive validity of the NIHSS using alternative
scales, we compared the NIHSS over time with the 3-month outcome using
the Barthel Index, Rankin Scale, and Glasgow Outcome Scale. The
correlations between the scale and the other clinical outcomes were
significant (P<0.001; Table 5
) but modest in magnitude at baseline
and 2 hours after stroke. The correlation between the NIHSS at baseline
and the measures at 90 days demonstrates predictive validity. The
absolute values of the correlation coefficients were greater for the
later measurements, suggesting that after 2 hours from stroke, the
NIHSS values may have greater predictive validity with respect to the
3-month outcome.
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| Discussion |
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Factor analysis depends heavily on the specific data set used;
the factor structure we obtained may not necessarily be found in
another set of patients.22 To obtain some assurance that
the exploratory results are generalizable, a second, confirmatory
analysis was required. As shown in Table 3
, that
analysis confirmed the exploratory study: the NIHSS contained 4
factors corresponding to the 2 cerebral hemispheres, with loadings
essentially identical to the exploratory analysis (Table 3
). In interpreting these results, it is important to recall
that the 2 parts of the NINDS trial were conducted in sequence by
investigators who were blinded to the results of part 1 during part 2;
the protocol was essentially unchanged during the 2
parts.31 The confirmatory analysis is somewhat
limited, however, by the fact that the 2 study populations were quite
homogeneous. In a future study, using a different study
population, it is very likely, but not certain, that the internal
structure of the scale would be the same as we determined here.
Further confirmation of the robustness of these findings comes
from the analyses conducted on the data collected serially
after stroke treatment (Table 4
). On repeated administrations,
when different examiners were used for patients seen up to 3 months
after stroke, the same factors were found. These repeated confirmations
suggest that the 4-factor solution is likely to be found in future
study populations.
Our data provide a unique opportunity to explore the response of
the scale to treatment effects, since the treated group differed
significantly from the placebo group. This is an important property of
the scale, for if the factor analysis showed that the scale
behaved differently in placebo- versus tPA-treated groups, the scale
could not be used to measure outcome in further treatment trials. In
such an event, the NIHSS would become essentially 2 different scales, 1
for placebo- and 1 for tPA-treated patients, an untenable state. From
our study, it is clear that the NIHSS clearly reports deficits in
placebo- and tPA-treated patients in a like manner (Table 4
).
The 4-factor solutions in the 2 treatment groups were similar in the
exploratory and confirmatory analyses. The
consistency of these repeated analyses suggests
that the internal scale structure is the same in patients who receive
tPA or placebo. Furthermore, our prior report clearly showed that the
scale reported true differences between the groups.31
Taken together, these findings confirm the utility of the scale as an
outcome measure, its most important function in large clinical trials
of putative therapies. However, this assertion will be stronger when a
factor analysis yields similar results in another trial of a
different, also efficacious, compound.
The ataxia item did not correlate with any factor in the
structures we examined. The variance in this question exceeded the
variance attributable to the factors, suggesting that this item is
either a unique factor or unreliable in its administration. We favor
the latter explanation because this item has been shown to have very
low reproducibility in some studies13 18 21 34 but was
reliable in the Trial of ORG 10172 in Acute Stroke Treatment (TOAST)
certification study.14 In a series of videotaped patients,
multiple examiners could not clearly grade degrees of
ataxia.13 Using rating scale analysis of the
predecessor of the NIHSS, the University of Cincinnati Stroke Rating
Scale, a study of rehabilitation inpatients showed results similar to
ours34 : ataxia was found to be an unreliable item that
contributed little to the scale; reliability measures improved when
this item was deleted. The ataxia item was included in earlier versions
of the scale to increase the sensitivity for detecting brain stem
deficits, but only a small number of brain stem strokes occurred in our
study group. If our sample is highly representative of
the distribution of lesions typically entered into multicenter acute
therapeutic trials, then it is likely that future stroke trials will
likewise contain few brain stem strokes. Deleting ataxia from the scale
will not affect validity and may increase reliability of the NIHSS when
used acutely (data not shown). Similarly, the items relating to level
of consciousness and facial palsy also exhibited smaller loadings in
the acute phase, as well as poor reliability in our prior study, and
were deleted in the confirmatory analyses. The facial item
exhibited poor reliability in a study of the Unified Stroke
Scale.2 The sensory and dysarthria items showed moderate
loadings, but low communalities, throughout our analyses,
consistent with their known poor reliability.21 It
would be appropriate to collapse these items into responses with fewer
choices or to eliminate them in a future version of the scale. Our data
suggest further, however, that the elimination of the dysarthria item
would not change the predictive validity of the NIHSS, given its
loadings of 0.49 (Tables 2
and 3
). Finally, our data
showed that the unvalidated item 12 (distal motor function) should be
deleted from the scale because it contributes little to the measurement
of the structures underlying the scale. This is true, despite the
common assertion that distal limb function should be measured in
addition to proximal limb function.
It may seem inconsistent that the questions concerning level of consciousness (items 1b and 1c) load on the left hemisphere factor, but this result likely reflects the role that language plays in clinical assessment of these items. Although these questions are intended to measure level of consciousness, in fact they depend heavily on the presence of intact comprehension. Similarly, the visual field question (item 3) loads heavily on the right hemisphere factor, although there were an equal number of patients with left- and right-sided visual field deficits (data not shown). Patients with left cerebral stroke, because of aphasia, may be more difficult to evaluate, and visual field testing may not be reliable. Right brain stroke patients may exhibit neglect and could therefore appear to exhibit a visual field deficit. Both phenomena might work to enhance the correlation of the visual field item with the right hemisphere factor, although other explanations of this phenomenon might be explored.
Factor analysis has been used previously to study the inherent properties of other scales. Wade and Hewer35 reported finding 2 factors underlying the Barthel Index administered 6 months after stroke, but >67% of the variance in the data was explained by the first factor. This study suggested that the Barthel Index measured only 1 underlying construct, functional independence. A similar analysis of the Fugl-Meyer recovery scale and 3 measures of functional independence was performed on data obtained in the first week after stroke.36 Again, although 3 factors could reasonably be extracted from the data, the first factor explained >80% of the variance. In this study the recovery scale and all 3 functional independence measures correlated very highly with each other.36 Factor analysis has been used to derive the structure underlying global outcome and ADL scales.27 29 30 In a study of 1328 patients with presumed transient ischemic attack, factor analysis determined the correlation of various symptoms with vascular territories and neurologists' presumptive localization.26 A caregiver burden scale was factor analyzed to derive key dimensions.28
We identified 2 underlying constructs of the NIHSS when used in the first 24 hours after stroke. These 2 constructs seem to reflect the function of the 2 cerebral hemispheres, confirming the construct validity of the scale. Most importantly, the internal scale structure appears to remain consistent in treated and placebo groups and when administered serially over time. These findings support the validity of the scale for use in future treatment trials as an outcome measure. Some NIHSS items were found to exhibit poor concordance with the 2 constructs and with other items in the scale; when combined with our prior investigations of the scale's clinimetric properties, these results suggest that it may be possible to simplify the NIHSS. A proposal for a simplified scale will be the subject of a future publication.
| Acknowledgments |
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| Footnotes |
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| Appendix 1 |
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Other participants are as follows: Coordinating Center: Henry Ford Health Sciences Center: Principal Investigator: B.C. Tilley; Co-investigators: K.M.A. Welch, S.C. Fagan, M. Lu, S. Patel, E. Masha, J. Verter; Study Coordinators: J. Boura, J. Main, L. Gordon; Programmers: N. Maddy, T. Chociemski; CT Reading Centers: Part AHenry Ford Health Sciences Center, J. Windham, H. Soltanian Zadeh; Part BUniversity of Virginia Medical Center, W. Alves, M.F. Keller, J.R. Wenzel; Central Laboratory: Henry Ford Hospital, N. Raman, L. Cantwell; Drug Distribution Center: A. Warren, K. Smith, E. Bailey. NINDS, Project Officer: J.R. Marler. Data and Safety Monitoring Committee: J.D. Easton, J.F. Hallenbeck, G. Lan, J.D. Marsh, M.D. Walker. Genentech, Inc, Participants: J. Froelich, MD, J. Breed, F. Wang-Chow.
Received September 28, 1998; revision received July 27, 1999; accepted July 27, 1999.
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O. O. Zaidat, J. I. Suarez, C. Santillan, J. L. Sunshine, R. W. Tarr, V. H. Paras, W. R. Selman, D. M.D. Landis, and D. D. Tong Response to Intra-Arterial and Combined Intravenous and Intra-Arterial Thrombolytic Therapy in Patients With Distal Internal Carotid Artery Occlusion * Editorial Comment Stroke, July 1, 2002; 33(7): 1821 - 1827. [Abstract] [Full Text] [PDF] |
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B. C. Meyer, T. M. Hemmen, C. M. Jackson, and P. D. Lyden Modified National Institutes of Health Stroke Scale for Use in Stroke Clinical Trials: Prospective Reliability and Validity Stroke, May 1, 2002; 33(5): 1261 - 1266. [Abstract] [Full Text] [PDF] |
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J. N. Fink, M. H. Selim, S. Kumar, B. Silver, I. Linfante, L. R. Caplan, and G. Schlaug Is the Association of National Institutes of Health Stroke Scale Scores and Acute Magnetic Resonance Imaging Stroke Volume Equal for Patients With Right- and Left-Hemisphere Ischemic Stroke? Stroke, April 1, 2002; 33(4): 954 - 958. [Abstract] [Full Text] [PDF] |
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P. D. Lyden, M. Lu, S. R. Levine, T. G. Brott, J. Broderick, and R. Cote A Modified National Institutes of Health Stroke Scale for Use in Stroke Clinical Trials : Preliminary Reliability and Validity Editorial Comment : The NIH Stroke Scale: Is Simpler Better? Stroke, June 1, 2001; 32(6): 1310 - 1317. [Abstract] [Full Text] [PDF] |
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J. P. Broderick, M. Lu, R. Kothari, S. R. Levine, P. D. Lyden, E. C. Haley, T. G. Brott, J. Grotta, B. C. Tilley, J. R. Marler, et al. Finding the Most Powerful Measures of the Effectiveness of Tissue Plasminogen Activator in the NINDS tPA Stroke Trial Stroke, October 1, 2000; 31(10): 2335 - 2341. [Abstract] [Full Text] [PDF] |
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Building a "brain attack" team to administer thrombolytic therapy for acute ischemic stroke Can. Med. Assoc. J., May 1, 2000; 162(11): 1589 - 1593. |
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