Residential Facilities as the New Scenario of Long-Term Psychiatric Care
Giovanni de Girolamo; Mariano Bassi
Curr Opin Psychiatry 17(4):275-281, 2004. © 2004
Lippincott Williams & Wilkins
Posted 08/23/2004
Introduction
In the last few decades, in parallel with the closing of many mental
hospitals around the world, large numbers of severely mentally ill
patients have been relocated to a variety of nonhospital residential
settings, called residential facilities. These include different types of
accommodation such as 'group homes', 'intermediate facilities', 'wards in
the community', 'boarding-and-care homes', 'supervised hostels' or
'sheltered apartments'. To date, no internationally agreed and precise
taxonomy has been developed to classify residential facilities and
identify their distinct functions for specific groups of patients with
severe mental disorders. Different facility names (as indicated above)
often correspond to identical settings, while sometimes facilities having
similar names exhibit very different characteristics and pursue
nonconvergent objectives. Despite the magnitude of this development,
research in this area has so far been quite sparse. The aim of this
contribution is to provide a nonsystematic review of the literature
dealing with residential facilities for the mentally ill published since
2000. We aim to draw some general conclusions about residential, long-term
care and to highlight needed areas of research.
Methods
Studies included in this review have been identified through Medline,
using the key words 'residential facilities' or 'residences', and limiting
the search to English language articles published from 2000 onwards. We
also inspected the reference lists of published articles. We excluded all
articles dealing with residential facilities for children and adolescents,
substance abusers and the elderly. Although we are aware that many
residential facilities for the elderly may host aged mentally ill,
generally also showing cognitive impairment, this topic needs a separate,
specific analysis. We also excluded a few papers in which the term
'residential facility' (or 'intermediate facility') referred (arguably in
an inappropriate fashion) to very large institutions, which should be
considered variants of traditional asylums, with up to 100-400 beds.[1-3]
Studies which focused on residential facilities with more than 60 beds
have consequently been excluded from this review.
The paper is organized under the traditional headings used for quality
evaluation in the health field, that is structure (input) data (e.g.
service provision, number of personnel, etc.), process data (e.g. how
these facilities operate, rules, etc.) and outcome data (e.g. longitudinal
and quality of life (QOL) studies, qualitative studies, etc.). Data on
residents' characteristics have been grouped in the input section.
Structure Data
How many residential facilities are currently available in different
countries, and how many residential facilities are needed? Unfortunately
it is difficult to answer these questions; the only study which has
directly evaluated the provision of residential facilities on a nationwide
scale is the PROGRES (PROGetto strutture RESidenziali, Residential
Project) study, recently carried out in Italy where all mental hospitals
have been closed. [4**] The aim of the first phase of this
survey was to obtain data on regional provision of residential facilities,
staffing arrangements, demographic and clinical characteristics of
residents and discharge rates. In addition, the study aimed to clarify
relationships between the availability of residential places and the
provision of other mental health resources. The authors identified 1370
residential facilities in the whole country, with a total of 17 138 beds;
three-quarters of these facilities had 24 h staff cover. Overall, in the
whole country, there were 2.9 residential beds for every 10 000
inhabitants, with a large variability between regions. The EPSILON study
has recently gathered data about the provision of residential beds in five
European catchment areas (Amsterdam, Copenhagen, London, Santander and
Verona).[5*] For service assessment, the study group used the
European Service Mapping Schedule. The rate of nonhospital residential
beds varied dramatically, with a 41-fold difference between the area with
the highest provision (Copenhagen with 14.6 residential beds per 10 000
inhabitants) and the area with the lowest (Santander, Spain, with 0.35
beds), both with 24 h cover. London and Verona showed intermediate values
(3.3 and 3.6, respectively). It is difficult to establish, however, to
what extent these figures can be generalized to other areas of the same
countries and therefore how they reflect the national average. Indeed,
another report, focusing on the German state of Saxony-Anhalt and carried
out with the same instrument (European Service Mapping Schedule), has
found a much higher rate of residential beds, that is 2.4 places per 10
000 in medium stay residential facilities and an additional 24.0 places in
indefinite stay residential facilities, with 24 h cover.[6] In
the past, in the UK 'Mental Health Residential Care Study' carried out in
eight districts surrounding London, the authors found a rate of 9.46 beds
per 10 000.[7**] In another UK survey, however, of 35
districts, the rate was 4.29, closer to the 2.98 Italian rate.[8]
In conclusion, although it may prove to be difficult to establish
precise standards of residential facility provision, since 'housing needs
assessments crucially depend on the range and quality of other local
services and cannot be separated from the functioning and dynamics of the
total service system ',[9**] efforts are needed to identify
acceptable ranges of residential facility places in all countries with a
developed system of mental health care. Provision of residential
facilities largely depends on two key variables: (1) the extent of
informal family support, which can substitute and replace the formal
support granted by residential facilities; and (2) the availability of
comprehensive community resources, including assertive community treatment
in each country. In the PROGRES study, the availability of residential
places was indeed negatively related to the number of community mental
health centres and day centres, and was positively related to the number
of beds in private inpatient units in each region.
Of course, additional efforts will be necessary to clarify the need for
residential facilities in those developing countries which are trying,
with much difficulty, to overcome the traditional asylum system;
quantitative standards will have to be adapted to the specific, local
contexts and needs of such countries.
The Size of the Residential Facilities
In contrast to the Italian data, showing that residential facilities
have on average small dimensions (mean size 12.5 beds, with only 5.7% of
facilities having more than 20 beds), recent North American data show
substantial variability in the size of long-term care settings. In a
survey of 68 residential facilities providing acute care and managed by
the US Veterans Administrations, Timko et al.[10*] found
that they had a mean size of 42.9 beds, with an average stay of 14.4
weeks. The proportion of such facilities on the total number of
psychiatric residential facilities run by the Veterans Administrations is
not specified, nor is the number or characteristics of residential
facilities providing long-term care. There have been no other recent
studies providing additional information on this very important issue.
Size represents a critical variable for any taxonomy of these settings,
probably the single most important variable. Small residences help create
a homely environment which is in huge contrast to the large institutional
environments of the past, warehousing hundreds of patients. It is clearly
economically unfeasible, however, in an era of reduced costs devoted to
health care, to envisage a system based on a large number of very small
(e.g. three to four beds) facilities, with intensive support.
Staffing in the Residential Facilities
In the Italian PROGRES national study, the 1370 residential facilities
employed 18 666 professionals, of whom 60% (n=11 240) worked full
time. Around 40% of staff had no specific professional qualification for
working with psychiatric patients with severe mental disorders. The
overall ratio of patients to full-time staff was 1.42 to 1 (range
0.82-22.3). In the Veterans Administrations study, the direct care
staff-patient ratio was 0.24,[10*] but these facilities were
providing acute care and therefore this ratio may not apply to long-term
care. Large percentages of poorly qualified staff were also found in the
UK 'Mental Health Residential Care Study'[7**] and in a large
survey done in the US.[11]
Staffing is another area needing clarification both in quantitative
terms (e.g. how many staff are needed in different typologies of
facilities) and in qualitative terms (e.g. staff qualification and
training, tasks and roles of different professionals, turnover rate,
etc.). Effectiveness trials have shown that a larger number of staff is
not automatically associated with better outcomes (e.g. PRISM Psychosis
Study).[12**] Indeed, within community-oriented models of care,
the quality of staff (and what they do) is more important than the
quantity, provided that a 'minimum' quantity is ensured. Unfortunately, in
residential care (as well as in other settings) we do not know what the
minimum is; in other words, what is the threshold below which there will
certainly be a deterioration in the quality of care and in selected
outcome indicators?
The Physical Environment
In the years covered by this review (2000-2004) no studies have
assessed the physical environment of residential facilities and its
relationship with the satisfaction of residents (and staff). This is
surprising, because one of the strongest (and well founded) criticisms of
old-fashioned institutions referred to their dehumanizing, alienating
physical environment. It would be important to identify the key variables
which facilitate (or are strictly needed for) the creation of a home-like,
pleasant physical environment for long-term residents. In particular,
several studies have highlighted that most residents attribute great
importance to privacy (virtually nonexistent in the former mental
hospitals), and this has precise implications in terms of architectural
features (e.g. availability of single rooms, private bathrooms, etc.).[13,14]
Residents' Characteristics
In the years covered by this review, a few studies have investigated
sociodemographic, clinical and treatment characteristics of residents. In
the Italian PROGRES study,[4**] the authors found 15 943
residents in the 1370 residential facilities, that is 11.6 residents per
facility. The majority of residents (58.5%) had never been admitted to a
mental hospital or a forensic mental hospital, although in this group all
had been admitted to a general hospital psychiatric ward. Two-thirds of
the residents had a diagnosis of schizophrenia, with mental retardation
being the primary problem in around 10% of residents. Most residents
(82.7%) had no current problems of alcohol or substance abuse. This low
rate of dual diagnosis, however, may be due to intake screening that
excluded residents with either alcohol or drug problems in more than half
(59.1%) of the residences. While patients with substance abuse can be
treated in a variety of residential facilities, Italian data seem to point
to a shortage of settings treating patients with a dual diagnosis, which
may also apply to other countries.
By contrast, in the Veterans Administrations survey of 68 residential
facilities providing acute care (officially designed for a population of
psychiatric patients), Timko et al.[10*] found that only
20% of patients admitted every month had just a psychiatric diagnosis: the
largest proportion (52%) had a dual diagnosis and the remaining (28%) only
a substance abuse diagnosis.
In a German study, 244 patients with schizophrenia in residential care
were studied. Eighty-nine of these patients were living in residential
facilities of varying size and degree of cover. This study found, as
predicted, that patients in residential facilities with intensive cover
exhibited the highest numbers of areas of need.[15] Another
survey examined 251 patients with schizophrenia aged 40-97 years.
Ninety-nine patients were living in residential facilities in the San
Diego county and the rest were living independently. Auslander et al.[16]
showed that assisted living was associated with heightened characteristics
of the disorder (e.g. earlier onset, longer duration, increased negative
symptoms and cognitive impairment), lower probability of having ever been
married and a poorer subjective well-being. Residential facilities host a
selected population within the overall population cared for by mental
health services, made up of patients with the most severe and disabling
disorders (mostly psychotic): targets, programmes, and activities run in
residential facilities should be clearly based on this assumption and be
tied to the specific needs and demands of the residents.
Process Data
An important area of investigation is the process of care, which can help
identify the characteristics which residential facilities should have in
order to maximize the likelihood of positive outcomes and improve the QOL
of residents (as well as that of staff and relatives). Very few studies on
the process of care have recently been conducted in residential settings.
Holmqvist[17*] assessed staff feelings toward patients and
treatment outcome after 5 years at 23 residential facilities in Sweden.
These residential facilities housed 111 patients (mean age 29.3 years), of
whom 52% had a diagnosis of schizophrenia. Outcome was measured with
Kernberg's Structural Interview, while staff's feelings were evaluated
with a specific feeling checklist administered twice a year. At the end of
the survey, a total of 4568 checklists were assessed. In the whole group,
there were no correlations between the general staff feelings and outcome.
Interesting results were found, however, when data for psychotic and
borderline patients were analysed separately. For psychotic patients, the
absence of negative feelings, rather than the presence of positive
feelings, was associated with a positive outcome. By contrast, for
borderline patients, a positive outcome was associated with negative
feelings at the beginning of treatment, followed by strong positive
feelings later on.
In another study carried out in nine small residential facilities in
Sweden, 33 residents (mean age 41 years) and 50 staff members filled in
the Community Oriented Program Environmental scales,[18,19]
designed by Moos to assess community-based residential settings. According
to the results of this study, the social environment of residential
facilities should include high levels of social interaction, a supportive
profile with organization, programme clarity, and a low level of staff
control, anger and aggression. Both studies highlight the importance of a
key process variable, that is staff characteristics. In this area, the
expressed emotion construct and its application to the study of
staff-patient relationships may prove particularly useful to chart the
emotional climate between clients and professional caregivers in a
reliable and analytical way.[20*]
Development of Assessment Instruments
An important area of improvement for the quality of residential care is
represented by the development of specific assessment instruments tailored
to the specific features and needs of long-term residents. The Resident
Assessment Instrument-Mental Health is a comprehensive, multidisciplinary
mental health assessment system for use with adults in various types of
facilities, including long-term residential facilities. It evaluates
psychiatric, social, environmental and medical issues at entry in a
residential programme, emphasizing patient functioning. The instrument
includes 166 items covering 28 different areas.[21] The
inter-rater reliability and convergent validity of the instrument have
been assessed in a sample of 261 patients, of whom 28% resided in
residential facilities[22]; almost all domain areas obtained
average kappa values in excess of the 0.40 cut-off established for
acceptable reliability.
Do We Know How to Effectively Run Residential Facilities?
In general, the few studies published in the years 2000-2004 and
focusing on the process of care point to a very important issue: how to
effectively run residential facilities. This includes the functional
characteristics of such settings (also in terms of rules and procedures)
associated with positive outcomes, and the staff's prevailing feelings and
attitudes and how they should be managed in order to maximize residents'
outcomes. If we want that these settings do not become simply custodial
institutions, we need evidence-based guidelines on the best staff
management strategies (e.g. the ratio of individual patient-centred work
to group-based interventions, optimal use of staff's time in terms of
meetings, educational activities, etc). So far, all these strategies have
been almost entirely based on subjective views of facility managers or of
'local' charismatic figures, whose dicta were rarely disputed.
Interestingly, while in the past there have been a number of studies
exploring the relationships between residential facilities and the local
neighbourhood,[23,24] in recent years no studies have
investigated this area, which is important in order to foster residents'
integration and avoid the creation of self-segregating institutions.
The only recent study which has assessed certain aspects of residents'
pharmacological treatment has analysed the association between medication
adherence and a number of environmental and clinical variables. This took
place in a small, convenient sample of 74 patients with schizophrenia
living in four residential facilities in New York City.[25] The
authors found that lack of direct medication supervision, negative
medication attitude and lower GAF score were associated with increased
medication nonadherence in the recent past. They recommend adequate
supervision in these settings in order to ensure medication compliance.
Outcome Data
Under this heading we include not only a few longitudinal studies, but
also different investigations exploring discharge rates and QOL of
residents. Longitudinal Studies
The most important longitudinal study providing data about patients
resettled in residential facilities is the Team for the Assessment of
Psychiatric Services (TAPS) project, carried out in the greater London
area and assessing the 5-year outcome of a representative cohort of 523
patients discharged from two mental hospitals to a variety of community
residences (specific information about number of residents living in
various types of residential facilities is not given).[26**]
Although there was no change in the patients' clinical state or in their
problems of social behaviour, they gained domestic, community living
skills and more freedom than in the previous hospital setting, they
acquired friends, and they wanted to remain in their current state. In the
framework of the same project, a specific analysis has recently focused on
a subgroup of 61 long-stay psychiatric inpatients, initially regarded as
unsuitable for community placement and followed up for 5 years.[27*]
Substantial improvements occurred in clinical and social functioning which
enabled 29 patients (40% of the study group) to be resettled in various
residential facilities, gaining better access to community amenities and
living more independently.
Other follow-up studies have consistently shown good community tenure
in most patients resettled in residential facilities, although clinical
improvements were often of limited magnitude.[28-33]
Violence risks of severely mentally ill patients may represent a
significant problem for community resettlement. A prospective study has
analysed assaultive behaviour, in the course of 6 years, directed against
staff by 554 male and 472 female residents of several residential
facilities, originally discharged to these facilities from Massachusetts
state hospitals in the early 1990s.[34] Observed rates of
assault were found to decline by 61%; men and women had similar rates of
aggression. Such a result is consistent with figures obtained in the
recent TAPS study,[26**] and seem to show that violence and
aggressiveness may settle down in most residents as they become more and
more acquainted with their place of residence and feel comfortable in
their living environment.
Qualitative Studies
While there has been much qualitative research carried out in
traditional mental hospitals (e.g. Goffman's pioneering work), qualitative
studies conducted in residential facilities have been very sparse.[35,36]
Such work, however, may represent (if carried out with appropriate,
rigorous methodology) an important tool to thoroughly assess residents'
daily life, their needs, expectations, concerns and habits.
Residents' Turnover: Rehabilitation Centres or 'Homes for Life'?
Current data on residents' turnover show that discharge to independent
living represents an infrequent event. In the Italian PROGRES study,[4**]
during the course of an entire year (1999), more than a third of
residential facilities (37.7%) did not discharge any patients and 31.5%
discharged only one or two patients.[4**] Also in the 5-year
TAPS follow-up study, very low rates of turnover were shown for patients
discharged to community residences.[24] In general, even when
optimal treatment is provided to all long-term patients, a substantial
proportion of nonresponders will remain and for many patients residential
facilities will probably be 'homes for life'.[37*]
The issue of discharge from residential facilities to independent
living is closely related to the model of residential care adopted. In the
past, a 'continuum' dimensional model has been proposed as the most
appropriate for planning and managing residential facilities in the
context of a wider system of mental health care.[38,39] This
model posits that there are different residential settings with various
levels of support and restrictiveness: the most intensive treatment is
offered in the most restrictive setting. The patient can move along the
continuum, from more restrictive to more open environments, and patients'
needs have to be matched to the most appropriate setting based on their
level of functioning. Carling[40**] has summarized the main
criticisms to this model (referred to by him as the 'sheltered housing
model'): (1) it often confuses housing and treatment needs, and this may
lead to unnecessary dislocations through successive moves, because
improvements in functioning often require a move to another setting; (2)
alternative housing is often not available at precisely the time when the
person's needs change; (3) acquiring skills for independent living in an
artificial environment such as a residential facility may not ensure that
those skills will be generalized and saved in another setting.
So far, no countries have shown that it is feasible to set up, on a
nationwide scale, a system of residential care based on a continuum model.
An alternative to the dimensional sheltered housing model may be
represented by a categorical 'supported housing' model. Within this model
there are, on the one hand, high-cover residential facilities and, on the
other hand, residential facilities with limited cover, and a flexible
system of on-site support can allow a temporary increase in the quantity
of required help in less intensive settings when patients face a crisis.
While in the continuum model the system provides fixed levels of
supervision and patients are expected to move around as they get better
(or worse), in the supported housing model, aside from residential
facilities with 24 h support, the remaining facilities are organized
according to flexible levels of supervision around 'ordinary' housing
options, and staff are expected to move around according to the
fluctuating needs of patients. For both models, a problem faced by the
high-cover residential facilities may be the difficulty in providing
individually centred, individually sensitive care. If mismatches occur
between levels of dependency and levels of supervision (more often in the
direction of too much supervision), there is the risk of decreasing
functioning by overproviding, especially if the staff are undertrained.
An important implication of the supported housing model is that
discharge to independent living should not necessarily be considered a
(feasible) target. A substantial number of patients may remain
indefinitely within the residential network, while other objectives (e.g.
clinical stabilization, ensured compliance, QOL improvements, etc.) become
the objective of the intervention. Longitudinal studies, using large,
representative samples of residents, are needed in order to clarify the
feasibility of this model on a large scale.
Quality of Life of Residents
The issue of residents' QOL is important for two reasons: first, as
just noted, for many residents these settings represent 'homes for life';
second, several critics of deinstitutionalization have argued that the
institutional change has sometimes been less substantial than advocated by
many, or even only 'cosmetic', and that residential facilities might
represent 'small asylums'. In the years 2000-2004 five studies have
assessed residents' QOL, and they have consistently shown that
'subjective' QOL among patients living in residential facilities was
generally better than subjective QOL of patients living in traditional
hospital settings, and residents are generally satisfied with their
residential status.[41-45] These studies, however, have also
shown that subjective and 'objective' QOL (that is, evaluated by external
raters) are weakly correlated, and substantial improvements in living
conditions may not be rapidly reflected in parallel improvements in
subjective satisfaction.
Conclusion
This nonsystematic review has several limitations. First, it covers a
limited period, and therefore many important contributions to the field,
which were published earlier, have not been included. Second, important
databases which may contain information relevant to the field (e.g.
Psychinfo) have not been considered. Despite these limitations, a review
of the most recent literature has helped identify at least some of the
most relevant problems in the field of residential care, which we will
briefly summarize now.
- Probably the main point of controversy is to clearly define the
role of residential facilities, that is whether they should be
conceptualized as intensive treatment programmes, or merely as
ordinary homes or living settings for people who participate fully
in treatment and psychosocial programmes provided by local mental
health services. These contrasting objectives may actually lead to
different characteristics of their functioning and to diverse
typologies of care processes, although the scientific literature
usually refers to residential facilities as a unitary concept.
- Related to this point, there is the need to develop a clear
taxonomy of residential facilities, based on specific operational
criteria. This taxonomy should spell out acceptable ranges of
available residential facilities, staffing levels, optimal size,
satisfactory environmental features and activities needed to fill
residents' weekly time, and in particular weekends, evenings, and so
on.
- Precise patients' inclusion criteria should be developed; all
patients that are candidates for residential facility admission
should receive careful, multidimensional assessments, highlighting
not only clinical characteristics but also impairments in social and
vocational roles. Management plans and related organizational
frameworks should match residents' typologies and their various
needs and requests. Patients' rehabilitation plans should be
carefully monitored with appropriate instruments. Avoiding an
indistinct case mix (i.e. aged patients mixed up with young,
treatment-resistant patients) in residential facilities is a
prerequisite for the development of tailored treatment plans and for
transforming residential facilities into effective rehabilitation
settings for those patients with realistic prospects of
rehabilitation. This strategy also implies the selection of staff
with specific characteristics, and a reasonable staff turnover
should be foreseen to prevent burnout.
- Specific facilities, management plans and trained staff should
be available for the residential treatment of specific patient
populations, in particular patients at high risk of violence, with
dual diagnoses and with severe personality disorders (and all these
conditions are often associated).
- Finally, outcome research should refrain from generic questions
(e.g. 'Does residential care work?') and should address specific
questions, such as 'What kind of residential care appears to be most
effective for what kinds of residents by what type of outcomes and
in what kind of social and service context?' (Shepherd, personal
communication).
|
Addressing these important points in research and clinical practice
will enable the whole field of residential care to progress so that it can
respond to the complexities of modern mental health care.
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Papers of particular interest, published within the annual period of
review, have been highlighted as:
*of special interest
**of outstanding interest
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Acknowledgements
Special thanks are due to the following colleagues who provided
invaluable help in the preparation of Services Research and Outcome
section: Giorgio Bignami, Len Bowers, Danilo Di Diodoro, Graham Dunn, Sue
Estroff, Ian Falloon, Angelo Fioritti, Francesco Grossi, Matt Muijen,
Angelo Picardi, Diana Rose, Giovanni Santone, Geoff Shepherd, Graham
Thornicroft, Richard Warner.
Reprint Address
Correspondence to Giovanni de Girolamo M.D., Department of Mental
Health Viale Pepoli 5, 40123 Bologna, Italy Tel: +39-0516584204; fax:
+39-0516584244; e-mail: gdg@iss.it
Abbreviation Notes
QOL = quality of life; TAPS = Team for the Assessment of Psychiatric
Services

Giovanni de Girolamo and Mariano Bassi, Department of Mental
Health, Viale Pepoli 5, 40123 Bologna, Italy

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