Abstract
The NIA-AA criteria for “preclinical” Alzheimer’s disease (AD) propose a staging method in which AD biomarkers follow an invariable temporal sequence in accordance with the amyloid cascade hypothesis. However, recent findings do not align with the proposed temporal sequence and “subtle cognitive decline,” which has not been definitively operationalized, may occur earlier than suggested in preclinical AD. We aimed to define “subtle cognitive decline” using sensitive and reliable neuropsychological tests, and to examine the number and sequence of biomarker abnormalities in the Alzheimer’s Disease Neuroimaging Initiative (ADNI). 570 cognitively normal ADNI participants were classified based on NIA-AA criteria and separately based on the number of abnormal biomarkers/cognitive markers associated with preclinical AD that each individual possessed. Results revealed that neurodegeneration alone was 2.5 times more common than amyloidosis alone at baseline. For those who demonstrated only one abnormal biomarker at baseline and later progressed to mild cognitive impairment/AD, neurodegeneration alone was most common, followed by amyloidosis alone or subtle cognitive decline alone, which were equally common. Findings suggest that most individuals do not follow the temporal order proposed by NIA-AA criteria. We provide an operational definition of subtle cognitive decline that captures both cognitive and functional decline. Additionally, we offer a new approach for staging preclinical AD based on number of abnormal biomarkers, without regard to their temporal order of occurrence. This method of characterizing preclinical AD is more parsimonious than the NIA-AA staging system and does not presume that all patients follow a singular invariant expression of the disease.
Keywords
INTRODUCTION
The pathogenesis of Alzheimer’s disease (AD) is believed to begin many years prior to
clinical diagnosis, and there is a great need to better detect and characterize the earliest
phases of the disease process. The National Institute on Aging and the Alzheimer’s
Association (NIA-AA) published research criteria for “preclinical” AD [1], an asymptomatic phase in which individuals are classified as
cognitively normal but have biomarkers associated with AD (i.e., evidence of
amyloid-
Previous studies have demonstrated the imprecision of the conventional MCI diagnosis, including its instability over time (e.g., high rates of reversion to cognitive normalcy) [24–26] and a high rate of false positive diagnostic errors [20–22]. Such imprecision in diagnosis will likely become even more pronounced as studies attempt to identify “subtle cognitive decline,” which according to the NIA-AA criteria [1] “may include slightly abnormal performance on sensitive cognitive measures, self-complaint of memory decline, or subtle neurobehavioral changes.” We aimed to operationalize subtle cognitive decline within the same conceptual framework we have previously used to define MCI and to examine associated CSF biomarker abnormalities within the Alzheimer’s Disease Neuroimaging Initiative (ADNI) cohort.
METHODS
Data were obtained from the ADNI database (http://adni.loni.usc.edu). ADNI was launched in 2003 by the National Institute on Aging, National Institute of Biomedical Imaging and Bioengineering, Food and Drug Administration, private pharmaceutical companies, and non-profit organizations. The primary goal of ADNI is to test whether neuroimaging, other biological markers, and clinical and neuropsychological assessment can be combined to measure the progression of MCI and early AD. ADNI is the result of efforts of many co-investigators from a range of academic institutions and private corporations. This study was approved by an ethical standards committee on human experimentation at each institution. Written informed consent was obtained from all participants or authorized representatives participating in the study. For more information, including criteria for eligibility, see http://www.adni-info.org.
Participants
Participants were 570 cognitively normal ADNI participants drawn from the pool of 1,381
non-demented participants who completed a baseline neuropsychological evaluation. We
included non-demented participants who were determined to be “cognitively normal” based on
an actuarial neuropsychological method put forward by Jak and Bondi [22, 27] as applied to
participants’ baseline neuropsychological data. Six neuropsychological scores were
examined; two measures of language: Animal Fluency (total score) and 30-item Boston Naming
Test (total score); two scores from a measure of attention/executive function: Trail
Making Test, Parts A & B (time to completion); and two scores from a measure of
memory: Rey Auditory Verbal Learning Test (AVLT) 30-minute delayed free recall and AVLT
recognition. Non-demented participants were diagnosed with MCI and therefore excluded from
the study sample if any of the following three criteria were met: (1) they had an impaired
score, defined as >1 standard deviation (SD) below the age-corrected normative mean, on
two measures within at least one cognitive domain (i.e., memory, language, or
attention/executive function), (2) they had an impaired score, defined as >1 SD below
the age-corrected normative mean, in each of the three cognitive domains sampled, or (3)
they had a score on the Functional Assessment Questionnaire (FAQ) ≥9 indicating dependence
in three or more daily activities [22, 27]. This actuarial definition of MCI does not rely on
clinical judgment or include subjective cognitive complaints as a criterion for MCI.
Four-hundred-one of the 1,381 individuals (29.0%) met the above MCI criteria and were
removed from further study. Of the 980 participants who were considered cognitively
normal, 570 (58.2%) had undergone lumbar puncture and had at least one year of follow-up
data available (range 12–96 months), and were thus included in our sample; the remaining
410 were excluded. The included 570 participants were younger
(
Materials
The same six neuropsychological scores (described above) used to diagnose MCI were also
used to classify whether participants demonstrated evidence of “subtle cognitive decline.”
CSF measures included concentrations of amyloid-
Procedure
Each neuropsychological score was converted to a standard score using published normative
data. Age-adjusted norms from the Mayo Older Americans Normative Study [28] were applied to Rey AVLT scores. Age-adjusted norms
from the National Alzheimer’s Coordinating Center [29, 30] were applied to the remaining
neuropsychological measures. To operationalize the NIA-AA criterion of subtle cognitive
decline, cognitively normal participants were considered to have
Per cut-offs specified in Shaw et al. [33], the
presence of cerebral amyloid accumulation (Stage 1 of preclinical AD based on the NIA-AA
criteria [1]) was determined by an abnormally low
A
After characterizing the 570 participants with regard to subtle cognitive decline, amyloidosis, and neurodegeneration, we then applied two classification procedures. The first was based on the NIA-AA criteria [1], and the second involved simply a tally of the number of abnormal biomarkers (i.e., amyloidosis, neurodegeneration) or cognitive markers (i.e., subtle cognitive decline) associated with preclinical AD that each individual possessed without regard for the temporal order of occurrence.
Statistical analyses
Differences between groups were examined separately for each classification method using
a series of ANOVAs with
RESULTS
At baseline, 48.9% of the sample (
Forty-four of the 570 participants (7.7%) progressed to dementia at a subsequent follow-up visit (mean time of diagnosis = 31.4 months, SD = 23.1). Of these,43 met the National Institute of Neurological and Communicative Disorders and Stroke and the Alzheimer’s Disease and Related Disorders Association (NINCDS/ADRDA) criteria for AD. The remaining participant was diagnosed with progressive supranuclear palsy and was therefore excluded from the progression analyses. One-hundred-thirty four additional participants (23.5%) progressed to a diagnosis of MCI (mean time of diagnosis = 18.5 months, SD = 21.3) based on the actuarial neuropsychological criteria.
Preclinical AD stages based on the NIA-AA criteria [1]
As shown in Table 1, 24.9%
(
A Genotype (APOE-
Preclinical AD stages based on number of abnormal biomarkers
As shown in Table 2, 24.9%
(
A Genotype (APOE-
DISCUSSION
Using a novel operational definition of “subtle cognitive decline” that examined the
performance of individual neuropsychological test scores and captured both cognitive and
functional decline, we classified cognitively normal participants based on the NIA-AA
criteria [1] and separately based on the number of
abnormal biomarkers or cognitive markers that each individual possessed. Using the NIA-AA
criteria [1], we found that Stage 2 (amyloidosis plus
neurodegeneration) and SNAP (neurodegeneration with normal amyloid levels) were the most
common stages in individuals who showed evidence of preclinical AD. When we used the number
of biomarkers or cognitive markers without regard for their temporal order, we found that
neurodegeneration alone was 2.5 times more common than amyloidosis alone at baseline. For
those who demonstrated only one abnormal marker at baseline and later progressed to MCI/AD
(
A comparison of our findings to other studies [34–36]
aimed at examining the NIA-AA criteria [1] for
preclinical AD are shown in Fig. 4. Our study found relatively high rates of amyloid positivity (48.9%) and
neurodegeneration (63.3%), which is reflected in the higher percentage of participants in
Stage 2 and Stage 3 compared to previous studies. This discrepancy is purely the result of
the way in which we defined “cognitively normal” versus “MCI.” Rather than using the
diagnoses assigned by ADNI, which has been shown to produce a high rate of false positive
diagnostic errors (i.e., roughly one-third of those diagnosed with MCI by ADNI actually
perform normally on more extensive cognitive testing and have normal CSF biomarker levels)
[21, 22], we
used actuarial neuropsychological criteria [22, 27] to determine cognitively normal versus MCI
classifications. Of the 570 deemed cognitively normal by the actuarial criteria and included
in the current study, only 250 were also classified as normal by ADNI while the remaining
320 were diagnosed with MCI by ADNI (based on subjective memory complaints, a Clinical
Dementia Rating Scale score of 0.5, and low performance on a single memory test) [39]. If our analyses are conducted only on the 250
individuals classified as cognitively normal by ADNI, the percentage of participants in each
preclinical AD classification stage based on NIA-AA criteria [1] is comparable to previous studies. In particular, our results are quite similar
to the Toledo et al. [36] study, which also used an
ADNI sample (Stage 0 : 29% versus 32% ; Stage 1 : 13% versus 15% ; Stage 2 : 25% versus 22%
; Stage 3 : 2% versus 3% ; SNAP: 30% versus 23% ; Unclassified: 2% versus 5% in the current
study versus the Toledo et al. [36] study,
respectively). However, the main findings of our study remain the same in this smaller
sample of 250. Specifically, of the 2% (
Although our findings do not abide by the amyloid cascade model [2, 3], they do concur with the
theoretical notions of Braak and colleagues [4], who
have proposed an alternative model to the amyloid cascade hypothesis. They propose that
detectable AD pathologic markers (CSF A
Our novel method of staging preclinical AD is at least as predictive of progression to
MCI/AD as the stages proposed by the NIA-AA criteria [1]. This approach that simply tallies the number of abnormal markers provides a
more parsimonious method of characterizing preclinical AD, since the staging system
described by others [9, 35] results in ambiguous “SNAP” and
“Unclassified” categories. In the current study, the SNAP group was similar to Stages 0 or 1
with regard to APOE-
One might argue that biological markers offer a more specific marker of AD pathophysiology than cognitive decline, which could be due to a number of other non-AD pathologies, and that elevating the notion of subtle cognitive decline to be on par with the highly specific amyloid pathology may ultimately decrease specificity of the AD diagnosis. In the current study, nearly all (43/44) of the participants who progressed to dementia met NINCDS/ADRDA criteria for a diagnosis of AD. Nonetheless, an individual who demonstrates the biomarkers and cognitive markers examined in this study may also show non-AD pathology and could go on to develop a mixed dementia syndrome. Indeed, the notion of “pure” AD pathology is increasingly thought to be far more rare than multiple underlying neuropathologies (e.g., AD, cerebrovascular disease, Lewy bodies, hippocampal sclerosis, TDP-43) [40–42] for the vast majority of late-onset AD. Thus, a combination of biomarkers and sensitive neuropsychological tests that detect these various underlying pathologies is an improvement on any individual biomarker and can substantially improve prediction of dementia risk [17].
A strength of the present study was the use of individual test scores and actuarial neuropsychological criteria to operationalize subtle cognitive decline within the same conceptual framework we have previously used to define MCI [27]. This method of defining subtle cognitive decline may improve diagnostic consistency and reliability compared to the use of “self-complaint of memory decline or subtle neurobehavioral changes,” [1] which has been shown to cloud rather than clarify diagnosis [43], or the use of composite scores [9, 35] in which sensitive and insensitive test performances are averaged together, with the result that the composite score’s sensitivity to subtle cognitive decline is likely reduced. A direction for future research will be to examine individual neuropsychological markers of subtle cognitive decline against different methods of constructing composite scores (e.g., principle components analysis, item response theory) [44] to determine which method most reliably predicts progression. In addition, future studies are needed to explore the impact of using different normative reference methods (e.g., education-based norms) to define subtle cognitive decline.
One limitation of our criteria for subtle cognitive decline is that they may be too strict
to capture all individuals with very early cognitive changes (i.e., those who have declined
cognitively but are still performing in the normal range on neuropsychological testing or
those who show only one impaired score). On the other hand, it is possible that false
positive errors could result from applying our actuarial criteria for subtle cognitive
decline to populations where individuals deviate from the demographic characteristics of
ADNI (e.g., low education or premorbid abilities). Despite this potential risk, our previous
work has demonstrated that using our actuarial criteria for MCI actually substantially
Footnotes
ACKNOWLEDGMENTS
This study was supported by National Institutes of Health grants R01 AG012674 (MWB), K24 AG026431 (MWB), and P50 AG05131 (DRG).
Data collection and sharing for this project was funded by the Alzheimer’s Disease
Neuroimaging Initiative (ADNI) (National Institutes of Health Grant U01 AG024904) and DOD
ADNI (Department of Defense award number W81XWH-12-2-0012). ADNI is funded by the National
Institute on Aging, the National Institute of Biomedical Imaging and Bioengineering, and
through generous contributions from the following: Alzheimer’s Association; Alzheimer’s Drug
Discovery Foundation; BioClinica, Inc.; Biogen Idec Inc.; Bristol-Myers Squibb Company;
Eisai Inc.; Elan Pharmaceuticals, Inc.; Eli Lilly and Company; F. Hoffmann-La Roche Ltd and
its affiliated company Genentech, Inc.; GE Healthcare; Innogenetics, N.V.; IXICO Ltd.;
Janssen Alzheimer Immunotherapy Research & Development, LLC.; Johnson & Johnson
Pharmaceutical Research & Development LLC.; Medpace, Inc.; Merck & Co., Inc.; Meso
Scale Diagnostics, LLC.; NeuroRx Research; Novartis Pharmaceuticals Corporation; Pfizer
Inc.; Piramal Imaging; Servier; Synarc Inc.; and Takeda Pharmaceutical Company. The Canadian
Institutes of Health Research is providing funds to support ADNI clinical sites in Canada.
Private sector contributions are facilitated by the Foundation for the National Institutes
of Health (
). The grantee organization is the Northern California
Institute for Research and Education, and the study is coordinated by the Alzheimer’s
Disease Cooperative Study at the University of California, San Diego. ADNI data are
disseminated by the Laboratory for Neuro Imaging at the University of Southern
California.
