Abstract
Objective: This study aims to evaluate the psychometric properties of an automated version of the Patient Health Questionnaire-9 (PHQ-9) to further facilitate its use in primary care. We automated the PHQ-9 using a computer telephony modality (interactive voice response system) called telephone-linked communication (TLC). Subjects and Methods: Eighty subjects were divided into four depression categories: none, mild, moderate, and severe. The automated questionnaire, TLC-PHQ-9, was administered to all subjects five times over a 3-month period, at intervals of 0 (T1), 1, 3, 4, and 4 (T5) weeks, respectively. The Inventory of Depressive Symptomatology (IDS) was administered (paper-and-pencil) at T1 and T5. We examined (1) reliability, (2) validity, (3) sensitivity and specificity, and (4) sensitivity to change. Results: (1) Test–retest reliability showed substantial agreement between T1 and T2, with a weighted kappa of 0.76 (95% confidence interval [CI] 0.67–0.85). Cronbach's coefficient alpha values ranged from 0.913 to 0.918 for each TLC-PHQ-9 assessment. (2) The weighted kappa of 0.78 (95% CI 0.70–0.87) for T1 and 0.73 (95% CI 0.63–0.83) for T5 showed strong agreement between TLC-PHQ-9 and IDS in all depression categories. (3) TLC-PHQ-9 demonstrated good sensitivity (82.4%) and very good specificity (90.7%) for moderate-plus depression and poorer sensitivity (54.2%) but very good specificity (97.8%) for severe-plus depression. (4) The weighted kappa of 0.53 (95% CI 0.35–0.70) indicated moderate agreement between TLC-PHQ-9 and IDS. Conclusions: An automated telephony administration of the PHQ-9 appears to be a valid and reliable tool for monitoring depression symptoms and has strong fidelity across patients.
Key words: : home health monitoring, telehealth, e-health
Introduction
Assessment of depression and its treatment is increasingly being carried out by primary care physicians. Identification of depression at the primary care level typically involves utilization of standardized validated tools. However, many depression assessment questionnaires are long and time-consuming and thus burdensome for both patients and clinicians. The Patient Health Questionnaire-9 (PHQ-9) (see Appendix), a brief depression assessment instrument with severity categories, has shown good reliability and validity1 and has gained recognition and increased use in primary care. The PHQ-9 is succinct and thus feasible for administration in a demanding clinical environment. The instrument has also proven helpful in assessment of depression among patients with chronic diseases and can be utilized by primary care physicians successfully, thus enabling clinicians to better manage patients' depression symptoms.2,3
The aim of this study is to evaluate the psychometric properties of an automated version of the PHQ-9 to further facilitate the use of the questionnaire in primary care. We automated the PHQ-9 using a computer telephony modality (interactive voice response [IVR] system) called telephone-linked communication (TLC). We subsequently evaluated the TLC-PHQ-9 among 80 participants for test–retest reliability, validity (using the Inventory of Depressive Symptomatology [IDS] as the gold standard), sensitivity, specificity, and sensitivity to change. Results demonstrated that TLC-PHQ-9 has good psychometric properties and is an efficient screening and monitoring tool that can be reliably used in primary care.
Depression and its Impact
Depression is the leading cause of disability in the United States4 and the third most important cause of disease burden worldwide.5 In the United States, a national face-to-face household survey showed that 6.7% of adults experienced a major depressive episode in the past year.4 Women demonstrate a higher prevalence of depression (11.7%) than men (5.6%),6 and Hispanics (5.17%) and blacks (4.57%) show lower rates than whites (6.52%).7
Research shows that 51% of those with major depression suffer from lifetime anxiety8 and that depression usually co-occurs with anxiety, stress,9 and posttraumatic stress disorder.10 Furthermore, there is an increased rate of alcohol and drug abuse among depressed individuals.11 Depression sufferers not only have a higher rate of dying12 from risk factors such as cardiovascular disease,13,14 they may also have a shorter life span because depression is the most common precursor to suicidality.15
Moreover, depression not only threatens marital and family stability, it also strains relationships with friends, neighbors, and other acquaintances, potentially leading to disintegration of relationships and sometimes dissolution of family structure.16 It is further documented that patients experience significant impairment in their social roles such as difficulty functioning in the workplace, school, and other social settings.17 This creates an immense economic burden on the individual patient and for the community at large.18 The urgency for identification of depression symptoms at an early stage is compounded by the fact that, if not treated, depression is likely to become chronic as only one episode increases the risk for subsequent events to 50%.19
PHQ-9: A Feasible Tool to Screen and Monitor for Depression
The PHQ-9 is the depression module of the Primary Care Evaluation of Mental Disorders20,21 that was designed to be used in primary care22 and provides scores on each of the nine Diagnostic and Statistical Manual of Mental Disorders, 4th edition (DSM-IV) criteria using a severity scale from “0” (not at all) to “3” (nearly every day). The advantages of the PHQ-9 include self-administration or administration by a clinician, brevity, the efficient follow-up of depression symptom severity over time, and acceptable reliability and validity.20,22
Administration of the PHQ-9 to 6,000 patients across eight primary care and seven obstetrics-gynecology clinics produced a sensitivity of 88% and a specificity of 88% for major depression, using the mental health professional interview as the criterion standard. Cronbach's coefficient alpha (CCA) internal consistency reliability coefficients ranged from 0.86 to 0.89, whereas 2-day test–retest reliability was estimated to be 0.84 with a nearly identical mean total score. PHQ-9 scores were also strongly correlated with the Mental Health Inventory (five-item mental health scale of the Short Form-20).1 The PHQ-9 has been evaluated for test–retest reliability and validity over the telephone in a study of 346 participants, comparing self-administration and telephone administration. The results demonstrated a high correlation coefficient (r=0.82) and weighted kappa (κ >0.58) between telephone administration and self-administration. The telephone administration had a high internal consistency (CCA=0.82), which was comparable to the self-administered PHQ-9 (CCA=0.86).23
Also, an automated telephone-based administration of the PHQ-9 using IVR compared with a paper-and-pencil administration among 51 Veterans showed similar results between the two forms of administration, with the CCA statistic for IVR administration (CCA=0.76) comparable to that for pencil-and-paper administration (CCA=0.82), with an intraclass correlation coefficient for the two modes of 0.65. The study also demonstrated that the automated administration is not as sensitive to high levels of depressive symptom severity.24 The present study is unique in that it explores certain properties of an automated PHQ-9 that have not been previously evaluated.
IVR
An IVR system makes it possible for people to use a telephone to interact with a computer by pressing the keys on the telephone keypad. The genesis of this technology goes back to the 1930s before digital computers became household items. In the 1960s, a tone dialing technology was developed at Bell Laboratories. Over time the technology was refined, and by the 1990s the technology was not only cost-effective but also sufficiently sophisticated to handle multiple calls and complex interactions. Modern advances have enabled IVR systems to collect users' responses through speech using speech recognition software.25
An IVR platform includes hardware (servers, mainframes, and a telephony infrastructure) and software (e.g., a programming language such as Voice Extensible Markup Language and others) on which an IVR application runs. IVR systems can run a gamut of different applications that serve various purposes, including commercial endeavors. In medicine, IVR applications are increasingly playing important functions, including collection and retrieval of clinical data.
TLC-PHQ-9: An IVR-Based Depression Screening Modality
The TLC system has been developed by researchers at Boston University.26–28 TLC carries out automated telephone conversations with patients and can be programmed to screen patients for symptoms and/or deliver education and behavioral counseling for targeted self-care behaviors such as medication-taking, exercise promotion, smoking cessation, management of chronic disease, etc.26–28 Different applications of TLC have demonstrated the technology's ability to control and prevent exacerbations that can lead to morbidity, mortality, and preventable emergency department visits and hospitalizations.26–34
In this study, we developed an algorithm of the PHQ-9 questions that was subsequently programmed into the IVR platform using a recorded human voice. TLC stored the information collected from the study participants in a database, which was accessible by researchers for analysis following study completion.
Subjects and Methods
Study Objectives
The principal objectives of this research were to determine (1) test–retest reliability, (2) validity, (3) sensitivity and specificity, and (4) sensitivity to change of TLC-PHQ-9. The IDS was used as the gold standard.
Study Participants
The study was approved by the Boston University Institutional Review Board. In total, 89 study participants were enrolled at baseline, of whom 80 (89.9%) successfully completed each of the five post-screener assessments. The 80 individuals were divided into four categories of depression symptomatology: no depression and mild, moderate, and severe depression. Those who were eligible to participate were 18 years of age or older and fluent in English; the 20 nondepressed participants were enrolled based on these two criteria, whereas the rest had to have a current diagnosis of major depressive disorder (verified by contacting the patients' responsible clinician). All participants, including the nondepressed group, were screened for depression symptoms using the PHQ-9. Depression group distribution by IDS score at baseline, along with baseline demographics, is shown in Table 1.
Table 1.
TOTAL (N=80) [% (N)] | |
---|---|
Gender | |
Female | 72.5 (58) |
Age (years) [mean (SD)] | 38.4 (14.1) |
Married/living with partner | |
No | 63.8 (51) |
Education | |
Bachelor's degree or higher | 63.8 (51) |
Hispanic | |
No | 88.8 (71) |
Ethnicity | |
White | 71.3 (57) |
First diagnosis of depression | |
No | 68.8 (55) |
Ever taken depression medications | |
No | 52.5 (42) |
IDS depression category (Time 1) | |
None | 24 (30.0) |
Mild | 14 (17.5) |
Moderate | 26 (32.5) |
Severe | 16 (20.0) |
IDS, Inventory of Depressive Symptomatology; SD, standard deviation.
It should be pointed out that the TLC system was programmed to create an alert in case a study participant responded positively to Question 9 (“Have you had thoughts that you would be better off dead, or of hurting yourself in some way?”). Alerts were immediately sent to the study's Principal Investigator via e-mail and text messages. Subsequently, the study's in-house clinician, a psychiatrist, was contacted and made aware of the alert's content, including the name and contact information of the study participant. The study clinician would then contact the participant and make appropriate clinical decisions based on her conversation with the person.
Study Procedures
The TLC-PHQ-9 was administered to all study participants upon enrollment for a total of five times over a 3-month period. The time interval between the five evaluation points was 1, 3, 4, and 4 weeks, respectively.
During the first study visit (baseline [T1]) informed consent was obtained. Subsequently, participants completed the first administration of the TLC-PHQ-9. Moreover, all participants completed a self-administered, paper-and-pencil version of the IDS. The IDS is a 30-item instrument (developed by Rush et al.,35–39 with good psychometric properties) that was used as a gold standard to evaluate the validity of TLC-PHQ-9. The instrument includes all DSM-IV criterion items required to diagnose a major depressive episode and assess symptom severity. The second interaction with the TLC-PHQ-9 occurred 1 week later. The third contact was identical to the second but occurred 3 weeks later. Four weeks later study participants received the TLC-PHQ-9 for the fourth time. At the end of the fourth call, participants were scheduled to return to the study headquarters (in 4 weeks) (T5) for the final administration of the TLC-PHQ-9 and paper-and-pencil administration of the IDS.
The follow-up assessments were useful to detect change in depressive symptomatology. In addition, the first and last data collections provided an evaluation of the validity of TLC-PHQ-9 through comparison with a paper-and-pencil administration of the IDS.35 The first and last data collections were also used to assess the ability of TLC-PHQ-9 to detect final change in the severity of depression (as compared against the IDS for validation purposes).
Statistical Analyses
Analyses were conducted using IBM SPSS Statistics for Windows, release 20.0.040 and SAS version 9.3 for Windows.41 Principal component analysis (PCA) was used to examine the hypothesized internal structure of the PHQ-9 and the IDS at each assessment, whereas the CCA statistic was calculated to provide a measure of the internal consistency of each instrument. The weighted kappa was used to compare change in depression categorization between assessments. Pearson's correlation coefficient was calculated between the PHQ-9 and the IDS at T1 and T5, and a sensitivity and specificity analysis of the PHQ-9 was conducted using the IDS as the gold standard measure.
Weighted kappas were calculated to evaluate (1) test–retest reliability, (2) validity, and (3) sensitivity to change of the automated PHQ-9. Internal validity was assessed using PCA, and internal consistency was assessed using CCA. Sensitivity and specificity of the PHQ-9 as a screening test for depression were calculated using the IDS as the gold standard measure of depression. We performed two separate analyses: (1) using the PHQ-9 as a screener for moderate or higher depression (e.g., dichotomizing the IDS as none/mild versus moderate/severe/very severe) and (2) using the PHQ-9 as a screener for severe depression (e.g., dichotomizing the IDS as none/mild/moderate versus severe/very severe). For the primary analysis, the data were pooled from T1 and T5, and thus this analysis is based on n=160 depression categorizations from n=80 subjects. Separate analyses were also performed for T1 and T5. In this analysis, 95% confidence intervals (CIs) for sensitivity and specificity are given, using CI formulas that use a small-sample adjustment in calculating the standard error. Receiver operating characteristics curve analysis and the area under the curve treat the PHQ-9 screener as a 4-point scale (plotting sensitivity by [1–specificity] for all possible cut-points on the PHQ-9 scale) and describe how well the scale predicts IDS depression. AUC values above 0.80 represent very good prediction, with values above 0.90 representing excellent prediction.
Results
Test–Retest Reliability
The weighted kappa (Table 2), measuring the percentage of agreement beyond chance in these data, was 0.76 with a 95% CI (0.67–0.85), which indicates substantial agreement.42
Table 2.
TLC-PHQ-9 RATING AT TIME 2 | ||||
---|---|---|---|---|
TLC-PHQ-9 RATING AT TIME 1 | NONE | MILD | MODERATE | SEVERE |
None | 24 | 2 | 0 | 0 |
Mild | 3 | 7 | 3 | 0 |
Moderate | 0 | 11 | 19 | 1 |
Severe | 0 | 0 | 2 | 8 |
Data are number of subjects in each group.
PHQ-9, Patient Health Questionnaire-9; TLC, telephone-linked communication.
PHQ-9 internal structural validity and consistency
The PHQ-9 uses a single score based on the sum of the individual items in these instruments to measure severity of depression symptomatology. We examined the internal structure of the PHQ-9 using PCA to confirm the appropriateness of this scoring methodology. We also explored the magnitude of the item loadings for a one-dimensional solution at each administration of the PHQ-9. We expected each of the individual item loadings on the single component of the PCA solutions to be generally high (above 0.4, and preferably above 0.6).43,44 For the PHQ-9 this was the case for each of the six administrations (screener and five assessments) of the instrument. Item loadings for items 1–8 were generally above 0.6, and even the lowest loading item (number 9) was above 0.52 (Table 3). CCA was very high at each assessment. Each administration produced very similar CCA values that ranged from 0.913 to 0.918 (Table 4).
Table 3.
TLC-PHQ-9 ITEM | TIME 1 | TIME 2 | TIME 3 | TIME 4 | TIME 5 |
---|---|---|---|---|---|
PHQ 1 | 0.917 | 0.871 | 0.89 | 0.878 | 0.888 |
PHQ 2 | 0.901 | 0.888 | 0.907 | 0.907 | 0.858 |
PHQ 3 | 0.796 | 0.824 | 0.772 | 0.837 | 0.803 |
PHQ 4 | 0.78 | 0.778 | 0.861 | 0.833 | 0.81 |
PHQ 5 | 0.658 | 0.734 | 0.752 | 0.647 | 0.677 |
PHQ 6 | 0.784 | 0.845 | 0.857 | 0.827 | 0.8 |
PHQ 7 | 0.839 | 0.798 | 0.777 | 0.808 | 0.816 |
PHQ 8 | 0.672 | 0.665 | 0.579 | 0.608 | 0.657 |
PHQ 9 | 0.579 | 0.576 | 0.52 | 0.558 | 0.57 |
Coefficient alpha | 0.915 | 0.918 | 0.918 | 0.915 | 0.913 |
PHQ-9, Patient Health Questionnaire-9; TLC, telephone-linked communication.
Table 4.
IDS RATING AT TIME 1 | ||||
---|---|---|---|---|
TLC-PHQ-9 RATING AT TIME 1 | NONE | MILD | MODERATE | SEVERE |
None | 24 | 2 | 0 | 0 |
Mild | 0 | 7 | 6 | 0 |
Moderate | 0 | 5 | 19 | 7 |
Severe | 0 | 0 | 1 | 9 |
Data are number of subjects in each group.
IDS, Inventory of Depressive Symptomatology; PHQ-9, Patient Health Questionnaire-9; TLC, telephone-linked communication.
Validity
Tables 4 and 5 demonstrate the agreement between the IDS and TLC-PHQ-9 for individuals in all symptom categories for T1 and T5, respectively.
Table 5.
IDS RATING AT TIME 5 | ||||
---|---|---|---|---|
TLC-PHQ-9 RATING AT TIME 5 | NONE | MILD | MODERATE | SEVERE |
None | 27 | 7 | 1 | 0 |
Mild | 0 | 11 | 6 | 0 |
Moderate | 0 | 2 | 16 | 4 |
Severe | 0 | 1 | 1 | 4 |
Data are number of subjects in each group.
IDS, Inventory of Depressive Symptomatology; PHQ-9, Patient Health Questionnaire-9; TLC, telephone-linked communication.
The weighted kappa for T1 (Table 4) was 0.78 (95% CI 0.70–0.87), showing substantial agreement between the TLC-PHQ-9 and the IDS with respect to all symptom categories. The weighted kappa for T5 (Table 5) was 0.73 (95% CI 0.63–0.83), again showing substantial agreement between the PHQ-9 and the IDS with respect to all symptom categories.
Sensitivity and Specificity
As a screener for moderate-plus depression, the PHQ-9 has good sensitivity (82.4%) and very good specificity (90.7%). A sensitivity of 82.4% indicates that, for those with moderate-or-higher depression (IDS), 82.4% will screen positive on the PHQ-9. From the specificity result, 90.7% of those with none/mild depression will screen negative on the PHQ-9. The area under the curve for the PHQ-9 in predicting moderate or higher depression is 0.925, indicating excellent prediction.
As a screener for severe-plus depression, the PHQ-9 has poorer sensitivity (54.2%) but very good specificity (97.8%). This indicates that, among those who truly have severe depression (IDS), only 54.2% will screen positive for severe depression using PHQ-9. However, of those without severe depression, 97.8% will screen as not having severe depression on the PHQ-9. The area under the curve for the PHQ-9 in predicting severe depression is 0.913, again indicating excellent prediction.
Sensitivity to Change
We also explored the capacity of the PHQ-9 to detect change in a patient's depression symptom severity over time. TLC-PHQ-9 was administered five times to the study participants during the 3-month period of their participation. Table 6 shows corresponding change on the TLC-PHQ-9 and IDS from T1 to T5. The weighted kappa of 0.53 (95% CI 0.35–0.70) indicates that there is moderate agreement. The TLC-PHQ-9 was somewhat less likely to show improvement than the IDS. In fact, of the 23 patients showing improvement on the IDS, 8 (35%) showed no change on the TLC-PHQ-9.
Table 6.
CHANGE IN IDS CATEGORY | |||
---|---|---|---|
CHANGE IN TLC-PHQ-9 CATEGORY | IMPROVEMENT | NO CHANGE | WORSENING |
Improvement | 15 | 2 | 0 |
No change | 8 | 36 | 3 |
Worsening | 0 | 5 | 1 |
Data are number of subjects in each group.
IDS, Inventory of Depressive Symptomatology; PHQ-9, Patient Health Questionnaire-9; TLC, telephone-linked communication.
Table 6 also demonstrates a trend toward improvement among the study participants. As noted, the number of individuals with no depression as well as mild depression symptoms improved in both PHQ-9 and IDS scores.
Discussion
This research shows that an automated administration of the PHQ-9 is a valid and reliable tool for monitoring depression symptoms. The internal structural validity of the TLC-PHQ-9 is strongly supported by the high PCA item loadings and excellent CCA values. In addition, the internal structural validity of the IDS is also supported, although a few items had low loadings. The CCA values for the IDS were excellent, however, and demonstrate the advantage of increased reliability that a long instrument can attain as it counterbalanced the few poorly performing items on the scale.
The number of participants in each depression group as categorized by the TLC-PHQ-9 changed across time, with the size of the nondepressed group increasing and the size of the severe depression group decreasing. This observation was mirrored with the IDS (Tables 4–6), thus revealing a strong concordance between the TLC-PHQ-9 and our gold standard, the IDS.
The sensitivity and specificity analysis compared the two depression questionnaires and suggests that the TLC-PHQ-9 performs very well as a screener for moderate or higher depression but only moderately well as a screener for severe depression. Therefore, the system can be used to effectively monitor patients who suffer mild–moderate depression in a primary care environment. However, patients with severe depression symptoms need closer supervision by a responsible clinician, and thus it is not advisable for them to be monitored by an automated system.
With respect to sensitivity to change, although test–retest scores for participants who receive treatment are not expected to fluctuate too widely over time, some improvement in scores is expected. We only observed moderate concordance between the TLC-PHQ-9 and the IDS regarding sensitivity to change. A larger sample is required in order to establish the meaningfulness of the automated version of the TLC-PHQ-9 to detect change.
With regard to acceptability of the system, we believe the system was acceptable to patients. In fact, although the study did not include a formal usability/acceptability protocol, the study participants had the option of leaving a message for the study staff describing their experience using the TLC-PHQ-9. Approximately one-third of the study participants (n=31) chose to leave a message that was recorded by the TLC. We found the messages positive and categorized them as follows: (1) enjoying the “activity” of engagement with TLC; (2) having a private and anonymous listener (TLC) with which to share one's innermost feelings; and (3) reflecting on the responses to the questions posed by TLC and thus learning more about one's symptom status. Finally, automation of the PHQ-9 facilitates self-monitoring and self-report that might enhance help-seeking behavior by patients based on the theories of mere-measurement and/or question-to-behavior effects.45–49
As for primary care clinicians, automated administration of the PHQ-9 might be helpful to those who manage patients with mild–moderate depression symptoms. The fidelity of administration is high, and there will be time saved that could be devoted to other aspects of the clinical visit. Furthermore, an automated telephone-based version of PHQ-9 can be programmed to alert clinicians of changes in their patients' depression symptoms over time.
Appendix
Table A1.
QUESTION | OVER THE LAST 2 WEEKS, HOW OFTEN HAVE YOU BEEN BOTHERED BY ANY OF THE FOLLOWING PROBLEMS? | NOT AT ALL | SEVERAL DAYS | MORE THAN HALF THE DAYS | NEARLY EVERY DAY |
---|---|---|---|---|---|
Q1 | Little interest or pleasure in doing things | 0 | 1 | 2 | 3 |
Q2 | Feeling down, depressed, or hopeless | 0 | 1 | 2 | 3 |
Q3 | Trouble falling or staying asleep, or sleeping too much | 0 | 1 | 2 | 3 |
Q4 | Feeling tired or having little energy | 0 | 1 | 2 | 3 |
Q5 | Poor appetite or overeating | 0 | 1 | 2 | 3 |
Q6 | Feeling bad about yourself—or that you are a failure or have let yourself or your family down | 0 | 1 | 2 | 3 |
Q7 | Trouble concentrating on things, such as reading the newspaper or watching television | 0 | 1 | 2 | 3 |
Q8 | Moving or speaking so slowly that other people could have noticed. Or, the opposite—being so fidgety or restless that you have been moving around a lot more than usual | 0 | 1 | 2 | 3 |
Q9 | Thought that you would be better off dead, or of hurting yourself in some way | 0 | 1 | 2 | 3 |
The Patient Health Questionnaire-9 is scored by adding up all checked boxes. Point scores as assigned as follows: not at all=0; several days=1; more than half the days=2; and nearly every day=3. A total score of 0–4 is defined as no depression, 5–9 as mild depression, 10–19 as moderate depression, and 20–27 as severe depression.
Acknowledgments
This research was funded by the National Institute of Mental Health.
Disclosure Statement
No competing financial interests exist.
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