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Dave Hartley
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Trends in the Prescribing of Psychotropic Medications to Preschoolers


  Julie Magno Zito, PhD; Daniel J. Safer, MD; Susan dosReis, PhD; James
F. Gardner, ScM; Myde Boles, PhD; Frances Lynch, PhD


Context  Recent reports on the use of psychotropic medications for
preschool-aged children with behavioral and emotional disorders warrant
further examination of trends in the type and extent of drug therapy
and sociodemographic correlates.

Objectives  To determine the prevalence of psychotropic medication use
in preschool-aged youths and to show utilization trends across a 5-year
span.

Design  Ambulatory care prescription records from 2 state Medicaid
programs and a salaried group-model health maintenance organization
(HMO) were used to perform a population-based analysis of three 1-year
cross-sectional data sets (for the years 1991, 1993, and 1995).

Setting and Participants  From 1991 to 1995, the number of enrollees
aged 2 through 4 years in a Midwestern state Medicaid (MWM) program
ranged from 146,369 to 158,060; in a mid-Atlantic state Medicaid (MAM)
program, from 34,842 to 54,237; and in an HMO setting in the Northwest,
from 19,107 to 19,322.

Main Outcome Measures  Total, age-specific, and gender-specific
utilization prevalences per 1000 enrollees for 3 major psychotropic
drug classes (stimulants, antidepressants, and neuroleptics) and 2
leading psychotherapeutic medications (methylphenidate and clonidine);
rates of increased use of these drugs from 1991 to 1995, compared
across the 3 sites.

Results  The 1995 rank order of total prevalence in preschoolers (per
1000) in the MWM program was: stimulants (12.3), 90% of which
represents methylphenidate (11.1); antidepressants (3.2); clonidine
(2.3); and neuroleptics (0.9). A similar rank order was observed for
the MAM program, while the HMO had nearly 3 times more clonidine than
antidepressant use (1.9 vs 0.7). Sizable increases in prevalence were
noted between 1991 and 1995 across the 3 sites for clonidine,
stimulants, and antidepressants, while neuroleptic use increased only
slightly. Methylphenidate prevalence in 2 through 4-year-olds increased
at each site: MWM, 3-fold; MAM, 1.7-fold; and HMO, 3.1-fold. Decreases
occurred in the relative proportions of previously dominant
psychotherapeutic agents in the stimulant and antidepressant classes,
while increases occurred for newer, less established agents.

Conclusions  In all 3 data sources, psychotropic medications prescribed
for preschoolers increased dramatically between 1991 and 1995. The
predominance of medications with off-label (unlabeled) indications
calls for prospective community-based, multidimensional outcome studies.

JAMA. 2000;283:1025-1030



The prevalence of psychotropic medication treatment for children and
adolescents with emotional and behavioral disorders has significantly
increased in the United States during the last few decades,
particularly in the last 15 years. Specifically, the 5 through
14-year-old age group has experienced a great increase in stimulant
treatment for attention-deficit/hyperactivity disorder (ADHD), and the
15 through 19-year-old age group has had sizable increases in the use
of antidepressant medications.1, 2

Approved and unapproved indications for psychotropic medications in
young children are not extensive. These include: short-term use of
analgesics and sedatives/hypnotics for pain relief; hydroxyzine for
situational anxiety associated with medical, presurgical, and dental
procedures; tricyclic antidepressants for nocturnal enuresis
(6-year-olds and older); and amphetamines for ADHD in those 3 years old
and older.3 Accordingly, the prevalence of psychotropic medication
treatment for children younger than 5 years old has not received much
professional attention until recently.4-6

Concern about this age group relates to off-label (unlabeled) use, ie,
for treatment indications with little or no proven efficacy and lacking
product package insert labeling information approved by the US Food and
Drug Administration (FDA).7 One psychiatric newsletter, citing
FDA-compiled marketing data, reported that 3000 prescriptions for
fluoxetine hydrochloride were written for children aged younger than 1
year in 1994.8 In a 1998 professional meeting report,5 pediatric
researchers noted that 57% of 223 Michigan Medicaid enrollees aged
younger than 4 years with a diagnosis of ADHD received at least 1
psychotropic medication to treat this condition during a 15-month
period in 1995-1996. Of the treatments, methylphenidate and clonidine
were prescribed most often.

Although the use of psychotropic medication in preschool-aged children
compared with older youths is relatively small, the reports cited argue
for additional assessment to more systematically estimate its use.
Consequently, 3 large, computerized data sources were used to estimate
total, age-specific, and gender-specific psychotropic medication
prevalence for 2 through 4-year-olds; to compare prevalence in the
youngest age group with that in older children and adolescents; and to
show utilization trends in the 5-year span from 1991-1995.




METHODS



Data Sources

Three large data sets were assembled from 2 types of health care
systems. The first 2 are outpatient data sets from 2 geographically
distinct Medicaid populations, 1 in a Midwestern state and 1 in a
mid-Atlantic state. The third set of data comes from a group-model
health maintenance organization (HMO) serving a predominantly employed
population in the northwest region of the United States. The total
enrollments for those younger than age 20 years in 1991 and 1995,
respectively, are as follows: Midwestern Medicaid (MWM), 669,164 and
687,722; mid-Atlantic Medicaid (MAM), 165,502 and 248,466; and
group-model HMO (HMO), 131,038 and 131,860. These populations included
both continuous and noncontinuous enrollees for each study year. The
Medicaid youth populations were almost entirely eligible under Aid to
Families with Dependent Children, and a small proportion qualified
because of disability status (Supplemental Security Income) or foster
care status. Nonwhites were overrepresented in the Medicaid populations
and were underrepresented among HMO enrollees according to general
statistical profiles of the settings.9

Study Measures

Psychotropic medication prevalence was defined for each study year as
the frequency of persons with 1 or more HMO pharmacy records or
Medicaid prescription claims for a psychotropic medication class,
subclass, or specific medication per 1000 enrolled youths. Time trends
were assessed across the 5-year span with data from 3 cross-sectional
annual analyses (1991, 1993, and 1995).

For age-specific prevalence, children were grouped into 4 age strata
(aged 2-4, 5-9, 10-14, and 15-19 years) according to US census
categories. Data analyses focused on children aged 2 through 4 years.
We were unable to investigate psychotropic medication use in infants 1
year old or younger in the 2 Medicaid populations because year of birth
is recorded in a 2-digit field. Thus, "95" could refer to someone born
in 1895 or 1995. We were unable, therefore, to distinguish those 1 year
old and younger from 100- and 101-year-olds. We do present data on
methylphenidate use in infants 1 year old or younger from the HMO
program, as 4-digit years of birth were available. From 1991-1995, the
number of enrollees aged 2 through 4 years ranged from 146,369 to
158,060 in the MWM program; from 34,842 to 54,237 in the MAM program,
and from 19,107 to 19,322 in the HMO.

A separate analysis was performed to examine medication use among
preschool-aged children by year of age. Gender-specific prevalence
provided separate prevalence rates for boys and for girls.

Psychotropic Medications

Three psychotropic medication classes were examined: stimulants
(methylphenidate, other stimulants), antidepressants (selective
serotonin reuptake inhibitors [SSRIs], tricyclic antidepressants
[TCAs], and other antidepressants), and neuroleptics. Selection was
based on the frequent use of stimulants and antidepressants and the
public health significance of the use of neuroleptics in the very
young. In addition, 2 specific medications (methylphenidate and
clonidine) were examined because their use alone or as a combined
treatment has increased substantially since the early 1990s. All the
drugs were identified using a data dictionary encompassing the national
drug codes for each of the 3 study years. The study was given an exempt
classification by the institutional review board–expedited review.




RESULTS



Total Psychotropic Medication Prevalence

The rank order of psychotropic medication prevalence in 1995 for the
MWM program shows that, per 1000 enrollees, stimulants (12.3) were the
leading treatment among those 2 through 4 years old, followed by
antidepressants (3.2), clonidine (2.3), and neuroleptics (0.9) (Table
1). Within classes, methylphenidate prevalence (11.1 per 1000
enrollees) represented 90% of the stimulant treatment, while TCA
prevalence (2.4 per 1000 enrollees) led the antidepressant class. A
similar ranking of medication prevalence in 1995 was observed for the
MAM program, while preschool-aged children in the HMO had nearly 3
times more clonidine use than antidepressant use (Table 1).

Pronounced differences in psychotropic prevalence across the 3 sites
are apparent from Table 1. Stimulant and antidepressant use in 1995 was
considerably less among preschoolers in the MAM program and HMO than
among those in the MWM program. Enrollees in the MWM program and in the
HMO led in the use of clonidine, whereas its use in the MAM program was
one-half to two-thirds that of the other sites. Neuroleptic use per
1000 enrollees in either Medicaid program (0.9 in the MWM program, and
0.5 in the MAM program) was more common than in the HMO (0.2).

Time Trends in Psychotropic Medication Prevalence Across a 5-Year Span

The rate of psychotropic medication prescribed for preschoolers in the
MWM program increased substantially from 1991-1995. The increase was
greatest for clonidine (28.2-fold), stimulants (3.0-fold), and
antidepressants (2.2-fold). By contrast, neuroleptic use did not
increase substantially during this time. Comparisons of psychotropic
medication between sites showed that trends were similar in all 3
sites, with minor deviations for neuroleptics and antidepressants in
the population enrolled in the HMO (Table 1). Specifically, the
methylphenidate prevalence increase by site was: MWM, 3-fold; MAM,
1.7-fold; and HMO, 3.1-fold. Increases were more dramatic when the base
prevalence was low. For example, methylphenidate use in the HMO was the
lowest of the 3 sites, but its rise from 1.3 per 1000 enrollees in 1991
to 4.0 per 1000 in 1995 represented the largest methylphenidate
increase (3.1-fold) across the 3 sites (Table 1).

Age-Specific Methylphenidate Medication Prevalence

Methylphenidate use according to age group in children and adolescents
in the MWM program was most prominent for those aged 5 through 14 years
(Figure 1). By comparison, children 2 through 4 years old were treated
at approximately one tenth the rate of their 5 through 14-year-old
counterparts. The time trend analysis revealed that those in all 4 age
groups experienced increases in the use of methylphenidate during the
5-year period. The largest methylphenidate increase (311%) was among 15
through 19-year-olds, whereas the 2 through 4-year-olds, like the 5-
through 14-year-olds, had a smaller but still substantial increase
(169% to 176%). The increase in prevalence within the preschool-aged
group was greater for older children in the MWM program (from 6.9 to
20.8 per 1000 4-year-olds vs 1.1 to 3.5 per 1000 2-year-olds). The
age-specific trends by year of age for those in the MAM program and HMO
were consistent with those in the MWM program (Figure 1). There was no
methylphenidate use in infants 1 year old or younger in the HMO
population.

Gender-Specific Methylphenidate Medication Prevalence

There was a greater proportional increase in preschool-aged girls
receiving methylphenidate from 1991 through 1995; in the HMO, the
male-to-female ratio decreased from 7:1 to 4:1 during this time. A
similar but less dramatic trend was evident in the MAM program (4:1 in
1991 to 3:1 in 1995). By contrast, the gender ratio for methylphenidate
treatment in the MWM program was stable over these years (3:1 in 1991
and in 1995).

Changes in Drug Utilization and Off-Label Use

Changes in the use of older agents with a well-established efficacy
profile were observed. For example, despite a general increase in total
stimulant use, methylphenidate use in the MAM program decreased
proportionally by 7% from 1991 to 1995, while the use of other
stimulant medications rose from 15% to 27% of total stimulant use among
preschoolers. In all 3 sites, TCAs were the mainstay of the
antidepressant category in 1991, and their prevalence remained
relatively stable through 1995. By contrast, the use of SSRI
antidepressants increased dramatically at the Medicaid sites, although
by 1995 these drugs comprised only a small proportion of
antidepressants used in the HMO (Figure 2). Thus, antidepressant use
increased, particularly through off-label use, in the preschool-aged
group.




COMMENT



Several prominent trends characterized the use of psychotropic
medications in preschoolers during the early to mid 1990s. Overall,
there were large increases for all study medications (except the
neuroleptics) and considerable variation according to gender, age,
geographic region, and health care system. These findings are
remarkable in light of the limited knowledge base that underlies
psychotropic medication use in very young children.10 Controlled
clinical studies to evaluate the efficacy and safety of psychotropic
medications for preschoolers are rare.3 Efficacy data are essentially
lacking for clonidine and the SSRIs and methylphenidate's adverse
effects for preschool children are more pronounced than for older
youths.11 Consequently, the vast majority of psychotropic medications
prescribed for preschoolers are being used off-label.7 Specific study
findings are discussed below according to 3 major outcomes: prevalence
findings for specific medications; age- and gender-specific data; and
geographic and health care system variations.

Prevalence Findings

Stimulant treatment in preschoolers increased approximately 3-fold
during the early 1990s. The prominence of stimulant and clonidine use
is consistent with Michigan Medicaid use patterns for children younger
than 4 years with an ADHD diagnosis.5 The data show greater US
methylphenidate prevalence for children younger than age 5 years than
was reported in a prevalence study in Western Australia (0.26% to 0.64%
vs approximately 0.1%).12 Hypothesized reasons for the overall
increased stimulant use include: (1) a larger pool of eligible youths
because of expanded diagnostic criteria for ADHD since 198013; (2) more
girls being treated for ADHD as evidenced by the narrowing of the
gender ratio even among preschoolers; (3) greater acceptance of
biological treatments for a behavioral disorder; and (4) the expanded
role of school and preschool health personnel in identifying medical
needs.14

Methylphenidate accounted for the vast majority of stimulant use (eg,
90% of the 1995 stimulant use in the MWM program). There was a modest
but consistent decrease in the proportion of methylphenidate use
relative to other stimulants across the 3 time periods. Generalizing
from the efficacy and adverse effect experience of stimulants in older
youths to preschoolers is often not valid,11 at least partly because of
preschoolers' developmental immaturity.

Clonidine had the most dramatic increases, although its use in 1995 was
only 15% to 35% of the prevalence rate of stimulants. Clonidine use is
particularly notable because its increased prescribing is occurring
without the benefit of rigorous data to support it as a safe and
effective treatment for attentional disorders. Cardiovascular adverse
effects including bradycardia, atrioventricular block, and syncope with
exercise have been reported in children treated with clonidine in
combination with other medications for the treatment of ADHD and its
comorbidities.15, 16 Problems with abrupt withdrawal producing
noradrenergic overdrive have been reported. Its use to combat the
insomnia associated either with ADHD itself or secondary to the
stimulant treatment of ADHD is new and largely uncharted,17, 18 and its
increased use for ADHD since 1991 helps explain the increased clonidine
poisonings in children taking either their own medications or that of
siblings.19, 20

The combined use of clonidine and methylphenidate has been associated
with questions of safety16, 21 and has been debated.22 Unfortunately,
the present data do not distinguish single vs concomitant medication
use, information vital to understanding how these agents are being used
in children. Such an analysis is better undertaken in a continuously
enrolled cohort so that censored data do not create artifactual
findings. We are currently conducting a continuously enrolled
retrospective cohort study.

Antidepressants were the second most commonly prescribed psychotropic
class of drugs for preschoolers, and their use increased substantially
from 1991-1995. Tricyclic antidepressants still represent the bulk of
early childhood antidepressant use, although the growth in use of SSRIs
was strong in those enrolled in both Medicaid programs but very modest
in those in the HMO. The proportional decrease in use of TCAs was
largely explained by the recent increase in use of SSRIs, a trend we
have previously shown for older youths2 and one that has been
documented in adults.23 The use of TCAs for enuresis is common among 5
through 13-year-olds,24 but its use in the preschool group is puzzling.
It is also likely that some use of imipramine and desipramine was
related to the treatment of ADHD in preschoolers.25

Neuroleptic use was infrequent and relatively stable across the study
period. The neuroleptic prevalence rate in this preschool data showed
rates one-tenth to one-half the annual prevalence among 5 through
19-year-olds in Rome from 1986 through 1991.26 Both the neuroleptic and
antidepressant findings bring new information on population-based
prevalence and provide some benchmarks to chart the use of these agents
in ambulatory settings. Additional clinical interpretation, however,
awaits prospective outcome studies.

Age- and Gender-Specific Prevalence Findings

Preschoolers' use of methylphenidate showed increases similar to those
of 5 through 14-year-olds, suggesting that the expanded use of this
medication for attentional disorders in US youths extends even to the
very young. It is notable that the largest gains in use occurred among
high school–aged students (15 through 19-year-olds), a trend that has
been documented from county school survey data.13

Geographic and Health Care System Variations

Disparities in psychotropic medication prevalence data between the 2
state Medicaid program populations are provocative and suggest numerous
hypotheses. These include differences between the states in (1)
policies for eligibility or access to continuing care; (2) the
proportion of individuals with emotional or mental disorders that may
be related to the proportion of youths receiving Supplemental Security
Income and foster care in each state; (3) preschool health assessment
and referral programs; (4) physician specialty training, particularly
among psychiatrists and primary care providers, with resultant referral
or practice differences; (5) the cultural values that underlie
families' decisions to accept or reject medication for behavioral or
mental disorders; and (6) racial/ethnic population differences that may
affect cultural orientations and beliefs. Also notable is the finding
that the HMO prevalence rates, collectively, were substantially lower
than those of the Medicaid programs. In this instance, geography and
clinical population factors confound the prevalence findings related to
HMO vs Medicaid systems. The presence of less severely disabled youths
in the HMO population is likely to explain a large part of the
differences, but geographic and patient cultural factors need to be
considered as well. Also, the rapid expansion of Supplemental Security
Income benefits since 1990 resulted in more youths with ADHD being
eligible for Medicaid coverage than in previous years.27

Limitations

The study is limited in several ways. First, the findings may be
generalizable to comparable Medicaid programs and to group-model HMO
enrollees, but the extent to which they may apply to other treatment
settings is unknown. Second, the cross-sectional nature of the data
from the 3 study years do not permit a follow-up of the natural course
of treatment. Until a continuously enrolled cohort is assembled,
descriptive data on the natural course of treatment and prescription
changes over time cannot be adequately assessed. However,
noncontinuously enrolled individuals make up the bulk of the Medicaid
membership. Thus, capturing these annual data snapshots of both
noncontinuous and continuous enrollees is useful for clinical
description. Third, no diagnostic codes were linked to the medications
in this analysis, thus limiting information about why certain
medications were selected. Fourth, computerized data sources use a
limited number of variables to describe the clinical patterns in the
usual practice settings. However, they have the advantage of describing
the usual practice setting without the artificiality and the
interference that prospective studies impose on physicians' decisions
about medication and patients' decisions about treatment. Compared with
data from specialty clinic samples, data from community treatment
settings provide a far more accurate assessment of medication
practices, therapy variations, and treatment. Adding outcome
assessments would allow the effectiveness of the treatments to be
evaluated.

Clinical Research Recommendations

Because children's responses to medications are not necessarily similar
to those of adults, systematic and careful outcome research
specifically needs to be done for them.7 Two types of studies would
help provide more systematic information on psychotropic drug therapy
in children. First, epidemiologic (naturalistic) studies could describe
youth treatment in major medical settings (eg, traditional preferred
provider organizations, Medicaid, salaried medical group-model HMOs,
and other managed care organizations) to document types of treatments,
diagnosis, severity, and time in treatment and to evaluate clinical
outcomes. Outcome measures could include symptom control; social, day
care, and preschool functioning; parent satisfaction; reasons for
initiation and discontinuation; and adverse drug events.28 Second,
randomized, double-blind, controlled clinical trials are needed for
off-label indications to evaluate dosages, efficacy, and safety of
single and multiple agents shown to be commonly used or widely
recommended. For disorders that occur very infrequently or questionable
combinations of drug therapy with unknown risks, a case registry
approach may be useful.

Future studies using large databases for clinical descriptive
information should require that the year of birth be stored as a
4-digit number to avoid misclassification of elders as youths. Finally,
youths in Medicaid programs should be subdivided by type of eligibility
(eg, low income [formerly Aid to Families with Dependent Children, now
called Temporary Assistance for Needy Families], Supplemental Security
Income, or foster care) so that the total treatment prevalence, which
includes children with known disabilities and major social stressors,
will not be unfairly compared with that of less impaired youths in
non-Medicaid populations.27

Unresolved questions involve the long-term safety of psychotropic
medications, particularly in light of earlier ages of initiation and
longer durations of treatment. While it is reassuring that anecdotal
reports have rarely documented these problems, the possibility of
adverse effects on the developing brain cannot be ruled out.29 Active
surveillance mechanisms for ascertaining subtle changes that the
developing personality may undergo as a result of a psychotropic drug's
impact on brain neurotransmitters should be developed.




Author/Article Information


Author Affiliations: School of Pharmacy (Drs Zito, dosReis, and Mr
Gardner) and School of Medicine (Dr Zito), University of Maryland, and
School of Medicine, Johns Hopkins University (Dr Safer), Baltimore, Md;
and Center for Health Research, Kaiser Permanente, Portland, Ore (Drs
Boles and Lynch).

Corresponding Author and Reprints: Julie Mango Zito, PhD, University of
Maryland, 100 Greene St, Room 5-13, Baltimore, MD 21201 (e-mail:
[EMAIL PROTECTED]).
Funding/Support: This study was supported by funding from the National
Institute of Mental Health, Services Branch (grant R01 MH55259), and
the George and Leila Mathers Charitable Foundation, Mount Kisco, NY.

Previous Presentation: Presented at the American Psychiatric
Association Meeting, Washington, DC, May 19, 1999.

Acknowledgment: Richard E. Johnson, PhD, and Linda Phelps, MA, provided
assistance at several stages in the design or analysis of this study.
Medicaid administrators and research analysts gave crucial support to
bring this study to fruition.





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MEDLINE

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