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for future DSM-5 Task Force reviews and set the stage for the new edition of DSM. In 2006, the APA named David J. Kupfer, M.D., as Chair and Darrel A. Regier, M.D., M.P.H., as Vice-Chair of the DSM-5 Task Fo rce. They were char ged with recommending chairs for the 13 diagnostic work groups and additional task force members with a multi- disciplinary range of expertise who would oversee the development of DSM-5. An addi- tional vetting process was init iated by the APA Board of Trus tees to disclose sources of income and thus avoid conflicts of interest by task force and work group members. The full disclosure of all income and research grants from commercial sources, including the phar-
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income and thus avoid conflicts of interest by task force and work group members. The full disclosure of all income and research grants from commercial sources, including the phar- maceutical industry, in the previous 3 years, the imposition of an income cap from all com- mercial sources, and the publication of disclosu res on a Web site set a new standard for the
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Introduction 7 field. Thereafter, the task force of 28 memb ers was approved in 2007, and appointments of more than 130 work group members were approved in 2008. More than 400 additional work group advisors with no voting authority were also approved to participate in the pro- cess. A clear concept of the next evolutionary stage for the classification of mental disorders was central to the efforts of the task force an d the work groups. This vision emerged as the task force and work groups recounted the history of DSM-IV’s classification, its current strengths and limitations, and strategic directio ns for its revision. An intensive 6-year pro- cess involved conducting liter ature reviews and secondary an alyses, publishing research reports in scientific journals, developing dr aft diagnostic criteria, posting preliminary drafts on the DSM-5 Web site for public comme nt, presenting preliminary findings at pro- fessional meetings, performing field tr ials, and revising criteria and text. Proposals for Revisions Proposals for the revision of DSM-5 diagnostic criteria were develo ped by members of the work groups on the basis of ra tionale, scope of change, expected impact on clinical man- agement and public health, strength of the su pporting research evidence, overall clarity, and clinical utility. Proposals encompassed chan ges to diagnostic criteria; the addition of new disorders, subtypes, an d specifiers; and the deleti on of existing disorders. In the proposals for revisions, strengths and weaknesses in the current criteria and no- sology were first identified. Novel scientific findings over the previous two decades were considered, leading to the creation of a resear ch plan to assess potential changes through literature reviews and se condary data analyses. Four princi ples guided the draft revisions:
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1) DSM-5 is primarily intended to be a manual to be used by clinicians, and revisions must be feasible for routine clinical practice; 2) recommendations for revisions should be guided by research evidence; 3) where possible, co ntinuity should be maintained with previous editions of DSM; and 4) no a priori constraints should be placed on the degree of change between DSM-IV and DSM-5. Building on the initial lite rature reviews, work groups identified key issues within their diagnostic areas. Work groups also examined broa der methodological concerns, such as the presence of contra dictory findings within the literature; development of a re- fined definition of mental disorder; cross-cutting issues relevant to all disorders; and the revision of disorders categorized in DSM-IV as “not otherwise specified.” Inclusion of a proposal for revision in Section II was informed by consideration of its advantages and disadvantages for public health and clinical ut ility, the strength of the evidence, and the magnitude of the change. New diagnoses and d isorder subtypes and specifiers were sub- ject to additional stipulations, such as demons tration of reliability (i.e., the degree to which two clinicians could independently arrive at the same diagnosis for a given patient). Dis- orders with low clinical utility and weak valid ity were considered for deletion. Placement of conditions in “Conditions for Further Study” in Section III was contingent on the amount of empirical evidence generated on the diagnosis, diagnostic reliability or valid- ity, presence of clear clinical need, an d potential benefit in advancing research. DSM-5 Field Trials The use of field trials to empirically demonstrat e reliability was a noteworthy improvement in- troduced in DSM-III. The design and implemen tation strategy of the DSM-5 Field Trials rep-
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resent several changes over approaches used for DSM-III and DSM-IV, particularly in obtaining data on the precision of kappa reliabil ity estimates (a statistical measure that assesses level of agreement between raters that corrects for chance agreement due to prevalence rates)
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obtaining data on the precision of kappa reliabil ity estimates (a statistical measure that assesses level of agreement between raters that corrects for chance agreement due to prevalence rates) in the context of clinical settings with high leve ls of diagnostic comorbidity. For DSM-5, field trials were extended by using two distinctive designs: one in large, diverse medical-academic settings, and the other in routine clinical practice s. The former capitalized on the need for large sample sizes to test hypotheses on reliability and clinical utility of a range of diagnoses in a
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8 Introduction variety of patient populations; the latter su pplied valuable information about how proposed revisions performed in everyday clinical settings among a diverse sample of DSM users. It is anticipated that future clinical and basic research studies will focus on the validity of the re- vised categorical diagnostic criteria and the underlying dimensional features of these disor- ders (including those now being explored by th e NIMH Research Domain Criteria initiative). The medical-academic field trials were cond ucted at 11 North American medical-academic sites and assessed the reliability, feasibility, and clinical utility of select revisions, with priority given to those that represented the greatest degree of change from DSM-IV or those potentially having the greatest public health impact. The fu ll clinical patient populations coming to each site were screened for DSM-IV diagnoses or qu alifying symptoms likely to predict several spe- cific DSM-5 disorders of interest. Stratified sample s of four to seven specific disorders, plus a stratum containing a representative sample of all other diagnoses, were id entified for each site. Patients consented to the study and were randomly assigned for a clinical interview by a cli- nician blind to the diagnosis, followed by a se cond interview with a clinician blind to previous diagnoses. Patients first filled out a computer-assisted inventory of cross-cutting symptoms in more than a dozen psychological domains. These inventories were scored by a central server, and results were provided to clinicians before they conducted a typical clinical interview (with no structured protocol). Clinicians were required to score the presence of qualifying criteria on a computer-assisted DSM-5 diagnostic checklist, de termine diagnoses, score the severity of the diagnosis, and submit all data to the central Web-based server. This study design allowed the calculation of the degree to wh ich two independent clinicians could agree on a diagnosis (us-
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calculation of the degree to wh ich two independent clinicians could agree on a diagnosis (us- ing the intraclass kappa statistic) and the agreement of a single patient or two different clini- cians on two separate ratings of cross-cutting symptoms, pers onality traits, disability, and diagnostic severity meas ures (using intraclass correlation coefficients) along with information on the precision of these estimates of reliabilit y. It was also possible to assess the prevalence rates of both DSM-IV and DSM-5 conditions in the respective clinical populations. The routine clinical practice field trials in volved recruitment of individual psychiatrists and other mental health clinicians. A volunteer sample was recruited that included gener- alist and specialty psychiatrists, psychologists, licensed clinical social workers, counselors, marriage and family therapists , and advanced practice psychiatric mental health nurses. The field trials provided exposure of the proposed DSM-5 diagnoses and dimensional mea- sures to a wide range of clinicians to assess their feasibility and clinical utility. Public and Professional Review In 2010, the APA launched a unique Web site to facilitate public and professional input into DSM-5. All draft diagnostic criteria and prop osed changes in organization were posted on www.dsm5.org for a 2-month co mment period. Feedback totaled more than 8,000 submis- sions, which were systematically reviewed by each of the 13 work groups, whose members, where appropriate, integrated questions and comments into discussions of draft revisions and plans for field trial testing. After revisions to the initial draft criteria and proposed chapter organization, a second posting occurred in 2011. Wo rk groups considered feedback from both Web postings and the results of th e DSM-5 Field Trials when drafting proposed
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from both Web postings and the results of th e DSM-5 Field Trials when drafting proposed final criteria, which were posted on the Web si te for a third and final time in 2012. These three iterations of external review produced more than 13 ,000 individually signed com-
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final criteria, which were posted on the Web si te for a third and final time in 2012. These three iterations of external review produced more than 13 ,000 individually signed com- ments on the Web site that were received and reviewed by the work groups, plus thousands of organized petition signers for and against so me proposed revisions, all of which allowed the task force to actively address concerns of DSM users, as well as patients and advocacy groups, and ensure that clinical utility remained a high priority. Expert Review The members of the 13 work groups, representi ng expertise in their respective areas, col- laborated with advisors and reviewers unde r the overall direction of the DSM-5 Task
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Introduction 9 Force to draft the diagnostic criteria and ac companying text. This effort was supported by a team of APA Division of Research staff an d developed through a network of text coor- dinators from each work group. The preparation of the text was coordinated by the text editor, working in close collaboration with th e work groups and under the direction of the task force chairs. The Scientific Review Comm ittee (SRC) was established to provide a sci- entific peer review process that was external to that of the work groups. The SRC chair, vice-chair, and six committee members were charged with reviewing the degree to which the proposed changes from DSM-IV could be supported with scientific evidence. Each proposal for diagnostic revi sion required a memorandum of evidence for change pre- pared by the work group and accompanied by a summary of supportive data organized around validators for the proposed diagnostic criteria (i.e., antecedent validators such as familial aggregation, concurrent validators such as biological markers, and prospective validators such as response to treatment or course of illness). The submissions were re- viewed by the SRC and scored according to the strength of the supportive scientific data. Other justifications for change, such as those arising from clinical experience or need or from a conceptual reframing of diagnostic ca tegories, were generall y seen as outside the purview of the SRC. The reviewers’ scores, wh ich varied substantially across the different proposals, and an accompanying brief commen tary were then returned to the APA Board of Trustees and the work groups for consideration and response. The Clinical and Public Health Committee (CPH C), composed of a chair, vice-chair, and six members, was appointed to consider additi onal clinical utility, public health, and log-
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ical clarification issues for criteria that ha d not yet accumulated the type or level of evi- dence deemed sufficient for change by the SRC. This review process was particularly important for DSM-IV disorders with known deficiencies for whic h proposed remedies had neither been previously considered in the DSM revision process nor been subjected to replicated research studies. These selected d isorders were evaluated by four to five exter- nal reviewers, and the blinded results were reviewed by CPHC members, who in turn made recommendations to the APA Boar d of Trustees and the work groups. Forensic reviews by the members of the APA Council on Psychiatry and Law were con- ducted for disorders frequently appearing in forensic environments and ones with high potential for influencing civil and criminal judgments in courtroom settings. Work groups also added forensic experts as advisors in pertinent areas to complement expertise pro- vided by the Council on Psychiatry and Law. The work groups themselves were charged with the responsib ility to review the entire re- search literature surrounding a diagnostic area, including old, revised, and new diagnostic cri- teria, in an intensive 6-year re view process to assess the pros and cons of making either small iterative changes or major conceptual changes to address the inevitable reification that occurs with diagnostic conceptual approaches that pe rsist over several decades. Such changes in- cluded the merger of previously separate diagno stic areas into more dimensional spectra, such as that which occurred with autism spectrum disorder, substance use disorders, sexual dys- functions, and somatic symptom and related di sorders. Other changes included correcting flaws that had become apparent over time in th e choice of operational criteria for some disor- ders. These types of changes po sed particular challenges to the SRC and CPHC review pro-
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cesses, which were not constructed to evaluate the validity of DSM-IV diagnostic criteria. However, the DSM-5 Task Force, which had re viewed proposed changes and had responsi-
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cesses, which were not constructed to evaluate the validity of DSM-IV diagnostic criteria. However, the DSM-5 Task Force, which had re viewed proposed changes and had responsi- bility for reviewing the text describing each disorder contemporaneously with the work groups during this period, was in a unique positio n to render an informed judgment on the sci- entific merits of such revisions. Furthermore, ma ny of these major changes were subject to field trial testing, although comprehensive testing of all proposed changes could not be accommo- dated by such testing because of time limitations and availa bility of resources. A final recommendation from the task forc e was then provided to the APA Board of Trustees and the APA Assembly’s Committee on DSM-5 to consider some of the clinical utility and feasibility features of the propos ed revisions. The assembly is a deliberative
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10 Introduction body of the APA representing the district branches and wider membership that is com- posed of psychiatrists from throughout the United States who provide geographic, prac- tice size, and interest-based diversity. The Committee on DSM-5 is a committee made up of a diverse group of assembly leaders. Following all of the preceding review steps, an executive “summit committee” session was held to consolidate input from review and assembly committee chairs, task force chairs, a forensic advisor, and a statistical ad visor, for a preliminary review of each disor- der by the assembly and APA Board of Trus tees executive committees. This preceded a preliminary review by the full APA Board of Trustees. The assembly voted, in November 2012, to recommend that the bo ard approve the publication of DSM-5, and the APA Board of Trustees approved its publication in December 2012. The ma ny experts, re viewers, and advisors who contributed to this pr ocess are listed in the Appendix. Organizational Structure The individual disorder definitions that cons titute the operationali zed sets of diagnostic criteria provide the core of DSM-5 for clinic al and research purpos es. These criteria have been subjected to scientific re view, albeit to varying degrees , and many disorders have un- dergone field testing for interrater reliability. In contrast, the classification of disorders (the way in which disorders are grou ped, which provides a high-level organization for the man- ual) has not generally been thought of as scientif ically significant, despite the fact that judg- ments had to be made when disorders were initially divided into chapters for DSM-III. DSM is a medical classification of disorders and as such serves as a historically deter- mined cognitive schema imposed on clinical an d scientific informatio n to increase its com-
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mined cognitive schema imposed on clinical an d scientific informatio n to increase its com- prehensibility and utility. Not surprisingly, as th e foundational science that ultimately led to DSM-III has approached a half-century in ag e, challenges have begun to emerge for cli- nicians and scientists alike that are inherent in the DSM structure rather than in the de- scription of any single disorder. These challenges include high rates of comorbidity within and across DSM chapters, an exce ssive use of and need to rely on “not otherwise specified” (NOS) criteria, and a growing inability to integrate DSM disorders with the results of ge- netic studies and other scientific findings. As the APA and the WHO began to plan their respective revisions of the DSM and the International Classification of Disorders (ICD), both cons idered the possibility of improving clinical utility (e.g., by helping to explain a pparent comorbidity) and facilitating scientific investigation by rethinking the organizational structures of both publications in a linear system designated by alphanume ric codes that sequence chap ters according to some ra- tional and relational structure. It was critical to both th e DSM-5 Task Force and the WHO International Advisory Group on the revision of the ICD-10 Section on Mental and Behav- ioral Disorders that the revisions to the or ganization enhance clinical utility and remain within the bounds of well-replicated scientific information. Although the need for reform seemed apparent, it was import ant to respect the state of the science as well as the chal- lenge that overly rapid change would pose for the clinical and research communities. In that spirit, revision of the organization was approached as a conservative, evolutionary di- agnostic reform that would be guided by emer ging scientific evidence on the relationships
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agnostic reform that would be guided by emer ging scientific evidence on the relationships between disorder groups. By reordering and regrouping the existing disorders, the re- vised structure is meant to stim ulate new clinical perspectives and to encourage research- ers to identify the psychological and physiologi cal cross-cutting factors that are not bound by strict categorical designations.
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ers to identify the psychological and physiologi cal cross-cutting factors that are not bound by strict categorical designations. The use of DSM criteria has the clear virtue of creating a common language for com- munication between clinicians about the diagno sis of disorders. The official criteria and disorders that were determined to have accepted clinical applicability are located in Sec- tion II of the manual. However, it should be noted that these diagnostic criteria and their
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Introduction 11 relationships within the classification are ba sed on current research and may need to be modified as new evidence is gathered by fu ture research both within and across the do- mains of proposed disorders. “Conditions for Further Study,” described in Section III, are those for which we determined that the scient ific evidence is not yet available to support widespread clinical use. These diagnostic crit eria are included to highlight the evolution and direction of scientific advances in these areas to stimulate further research. With any ongoing review proces s, especially one of this co mplexity, different viewpoints emerge, and an effort was made to consider various viewpoints and, when warranted, ac- commodate them. For example, personality diso rders are included in both Sections II and III. Section II represents an update of the te xt associated with the same criteria found in DSM-IV-TR, whereas Section III includes the proposed research model for personality dis- order diagnosis and conceptualization developed by the DSM-5 Personality and Personality Disorders Work Group. As this field evolves, it is hoped that both versions will serve clin- ical practice and research initiatives. Harmonization With ICD-11 The groups tasked with revising the DSM and ICD systems shared the overarching goal of harmonizing the two classifications as much as possible, for the following reasons: • The existence of two major classifications of mental disorders hinders the collection and use of national health statistics, the design of clinical trials aimed at developing new treatments, and the consideration of global ap plicability of the results by international regulatory agencies. • More broadly, the existence of two classificat ions complicates attempts to replicate sci- entific results across national boundaries. • Even when the intention was to identify identical patient populations, DSM-IV and
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• Even when the intention was to identify identical patient populations, DSM-IV and ICD-10 diagnoses did not always agree. Early in the course of the revisions, it be came apparent that a shared organizational structure would help harmonize the classificatio ns. In fact, the use of a shared framework helped to integrate the work of DSM and ICD work groups and to focus on scientific is- sues. The DSM-5 organization and the proposed linear structure of the ICD-11 have been endorsed by the leadership of the NIMH Resear ch Domain Criteria (RDoC) project as con- sistent with the initial overa ll structure of that project. Of course, principled disagreements on th e classification of psychopathology and on specific criteria for certain disorders were expected given the current state of scientific knowledge. However, most of the salient differences betw een the DSM and the ICD classi- fications do not reflect real sc ientific differences, but rather represent historical by-products of independent committee processes. To the surprise of participants in both revi sion processes, large sections of the content fell relatively easily into place, reflecting real strengths in some areas of th e scientific lit- erature, such as epidem iology, analyses of comorbidity, twin studies, and certain other ge- netically informed designs. When disparities emerged, they almost always reflected the need to make a judgment about where to plac e a disorder in the face of incomplete—or, more often, conflicting—d ata. Thus, for example, on the ba sis of patterns of symptoms, co- morbidity, and shared risk factors, attentio n-deficit/hyperactivity disorder (ADHD) was placed with neurodevelopmental disorders, but the same data also supported strong ar-
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placed with neurodevelopmental disorders, but the same data also supported strong ar- guments to place ADHD within disruptive , impulse-control, and conduct disorders. These issues were settled with the preponderance of evidence (most notably validators ap- proved by the DSM-5 Task Force). The work gr oups recognize, however, that future dis- coveries might change the placement as well as the contours of individual disorders and,
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proved by the DSM-5 Task Force). The work gr oups recognize, however, that future dis- coveries might change the placement as well as the contours of individual disorders and, furthermore, that the simple and linear organi zation that best supports clinical practice
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12 Introduction may not fully capture the complexity and hete rogeneity of mental di sorders. The revised organization is coordinated with the mental and behavioral disorders chapter (Chapter V) of ICD-11, which will utilize an expanded numeric–alphanumeric coding system. How- ever, the official coding system in use in the Un ited States at the time of publication of this manual is that of the International Classificatio n of Diseases, Ninth Revi sion, Clinical Modifica- tion (ICD-9-CM)—the U.S. adaptation of ICD-9. International Classificat ion of Diseases, Tenth Revision, Clinical Modification (ICD-10-CM), adapted from IC D-10, is scheduled for imple- mentation in the United States in October 2014. Given the impending release of ICD-11, it was decided that this iteration, and not ICD-10, would be the most relevant on which to focus harmonization. However, given that adoption of the ICD-9-CM coding system will remain at the time of the DSM-5 releas e, it will be necessary to use the ICD-9-CM codes. Further- more, given that DSM-5’s organizational stru cture reflects the an ticipated structure of ICD-11, the eventual ICD-11 co des will follow the sequential order of diagnoses in the DSM-5 chapter structure more closely. At present, both the ICD-9-CM and the ICD-10-CM codes have been indicated for each disorder. These codes will not be in sequential order throughout the manual because they were assigned to complement earlier organizational structures. Dimensional Approach to Diagnosis Structural problems rooted in the basic de sign of the previous DSM classification, con-
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Structural problems rooted in the basic de sign of the previous DSM classification, con- structed of a large number of narrow diagnostic categories, have emerged in both clinical practice and research. Relevant evidence come s from diverse sources, including studies of comorbidity and the substantia l need for not otherwise specified diagnoses, which repre- sent the majority of diagnoses in areas such as eating disorders, personality disorders, and autism spectrum disorder. Stud ies of both genetic and environmental risk factors, whether based on twin designs, familial transmission , or molecular analyses, also raise concerns about the categorical structure of the DSM system. Because the previous DSM approach considered each diagnosis as categorically sepa rate from health and from other diagnoses, it did not capture the widespread sharing of symptoms and risk factors across many dis- orders that is apparent in studies of comorb idity. Earlier editions of DSM focused on ex- cluding false-positive results fr om diagnoses; thus, its categories were overly narrow, as is apparent from the widespread need to use NO S diagnoses. Indeed, the once plausible goal of identifying homogeneous populations for trea tment and research resu lted in narrow di- agnostic categories that did not capture clinical reality, symptom heterogeneity within dis- orders, and significant sharing of symptoms across multiple disorders. The historical aspiration of achieving diagnostic homogene ity by progressive subt yping within disorder categories no longer is sensible; like most common human ills, mental disorders are het- erogeneous at many levels, ranging fr om genetic risk factors to symptoms. Related to recommendations about alteration s in the chapter structure of DSM-5, mem- bers of the diagnostic spectra study group examined whether scientific validators could inform possible new groupings of related diso rders within the existing categorical frame- work. Eleven such indicators were recommended for this purpose: shared neural sub-
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work. Eleven such indicators were recommended for this purpose: shared neural sub- strates, family traits, genetic risk factors, sp ecific environmen tal risk factors, biomarkers, temperamental antecedents, abnormalities of emotional or cognitive processing, symptom similarity, course of illness, high comorbidit y, and shared treatmen t response. These indi- cators served as empirical guidelines to info rm decision making by the work groups and
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similarity, course of illness, high comorbidit y, and shared treatmen t response. These indi- cators served as empirical guidelines to info rm decision making by the work groups and the task force about how to cluster disorders to maximize their validity and clinical utility. A series of papers was developed and published in a prominent international journal (Psychological Medicine, Vol. 39, 2009) as part of both the DSM-5 and the ICD-11 develop- mental processes to document that such valid ators were most useful for suggesting large groupings of disorders rather th an for “validating” individual disorder diagnostic criteria. The regrouping of mental disorders in DSM-5 is intended to enable future research to en-
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Introduction 13 hance understanding of disease origins and pathophysiological commonalities between disorders and provide a base for future replication wherein data can be reanalyzed over time to continually assess validity. Ongoing revisions of DSM-5 will make it a “living doc- ument,” adaptable to future discoveries in neurobiology, genetics, and epidemiology. On the basis of the published findings of this common DSM-5 and ICD-11 analysis, it was demonstrated that clustering of diso rders according to what has been termed internal- izing and externalizing factors represents an empirically supported framework. Within both the internalizing group (representing disorder s with prominent anxiety, depressive, and somatic symptoms) and the externalizing group (representing disorders with prominent impulsive, disruptive conduct, and substance use symptoms), the sh aring of genetic and environmental risk factor s, as shown by twin studies, like ly explains much of the system- atic comorbidities seen in both clinical an d community samples. The adjacent placement of “internalizing disorders,” characterized by de pressed mood, anxiety, and related physio- logical and cognitive symptoms, should aid in developing new diagnostic approaches, in- cluding dimensional approaches, while facilitati ng the identification of biological markers. Similarly, adjacencies of the “externalizing group,” including disord ers exhibiting antiso- cial behaviors, conduct disturbances, addictio ns, and impulse-control disorders, should en- courage advances in identifying diagnoses, markers, and underlying mechanisms. Despite the problem posed by categorical diagnoses, the DSM-5 Task Force recognized that it is premature scientifically to propose alternative definitions fo r most disorders. The organizational structure is meant to serve as a bridge to new diagnostic approaches with- out disrupting current clinical practice or research. With support from DSM-associated
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out disrupting current clinical practice or research. With support from DSM-associated training materials, the National Institutes of Health other funding agencies, and scientific publications, the more dimensional DSM-5 approach and organizational structure can fa- cilitate research across current diagnostic ca tegories by encouraging broad investigations within the proposed chapters and across adja cent chapters. Such a reformulation of re- search goals should also keep DSM-5 central to the development of dimensional approaches to diagnosis that will likely supplement or supersede current categorical approaches in coming years. Developmental and Life span Considerations To improve clinical utility, DSM-5 is organi zed on developmental and lifespan consider- ations. It begins with diagnoses thought to reflect developmental processes that manifest early in life (e.g., neurodevelopmental and schizophrenia spectrum and other psychotic disorders), followed by diagnoses that more commonly manifest in adolescence and young adulthood (e.g., bipolar, depressive, and anxiety disorders), an d ends with diagno- ses relevant to adulthood and later life (e.g., neurocognitive disord ers). A similar approach has been taken, where possible, within each chapter. This organizational structure facili- tates the comprehensive use of lifespan informat ion as a way to assist in diagnostic deci- sion making. The proposed organization of chapters of DSM-5, after the neurodevelopmental disor- ders, is based on groups of internalizing (emoti onal and somatic) disorders, externalizing disorders, neurocognitive disorders, and other disorders. It is hoped that this organization will encourage furthe r study of underlying pathophysiological processes that give rise to diagnostic comorbidity and sy mptom heterogeneity. Furthermore, by arranging disorder clusters to mirror clinical reality, DSM-5 shou ld facilitate identifica tion of potential diag-
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noses by non–mental health specialist s, such as primary care physicians.
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clusters to mirror clinical reality, DSM-5 shou ld facilitate identifica tion of potential diag- noses by non–mental health specialist s, such as primary care physicians. The organizational structure of DSM-5, alon g with ICD harmonization, is designed to provide better and more flexible diagnostic concepts for the next epoch of research and to serve as a useful guide to clinicians in explai ning to patients why they might have received multiple diagnoses or why they might have re ceived additional or altered diagnoses over their lifespan.
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14 Introduction Cultural Issues Mental disorders are defined in relation to cultural, social, and familial norms and values. Culture provides interpretive frameworks that shape the experience and expression of the symptoms, signs, and behaviors that are criter ia for diagnosis. Culture is transmitted, re- vised, and recreated within the family and other social systems and institutions. Diagnostic assessment must therefore consider whether an individual’s experiences, symptoms, and behaviors differ from sociocultural norms and lead to difficult ies in adaptation in the cul- tures of origin and in specific social or familial contexts. Key aspects of culture relevant to di- agnostic classification and assessment have been considered in the development of DSM-5. In Section III, the “Cultural Formulation” contains a detailed discussion of culture and diagnosis in DSM-5, including tools for in-dep th cultural assessment. In the Appendix, the “Glossary of Cultural Concepts of Distress ” provides a description of some common cul- tural syndromes, idioms of distress, and causal explanations relevant to clinical practice. The boundaries between normalit y and pathology vary across cultures for specific types of behaviors. Thresholds of tolerance for spec ific symptoms or behaviors differ across cul- tures, social settings, and fami lies. Hence, the level at which an experience becomes prob- lematic or pathological will differ. The judgment that a given behavior is abnormal and requires clinical attention depends on cultural norms that are internalized by the individual and applied by others around them, including family members and clinicians. Awareness of the significance of culture may correct mistaken interpretations of ps ychopathology, but cul- ture may also contribute to vulnerability and suffering (e.g., by amplif ying fears that main- tain panic disorder or health anxiety). Cultural meanings, habits, and traditions can also
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tain panic disorder or health anxiety). Cultural meanings, habits, and traditions can also contribute to either stigma or support in the social and familial response to mental illness. Culture may provide coping strategies that enhance resilience in response to illness, or sug- gest help seeking and options for accessing heal th care of various types, including alterna- tive and complementary health systems. Culture may influence acceptance or rejection of a diagnosis and adherence to treatments, affecting the course of illness and recovery. Culture also affects the conduct of the cl inical encounter; as a result, cultural differences between the clinician and the patient have implications fo r the accuracy and acceptance of diagnosis as well as for treatment decisions, prognost ic considerations, and clinical outcomes. Historically, the construct of the culture- bound syndrome has been a key interest of cultural psychiatry. In DSM-5, this construct h as been replaced by three concepts that offer greater clinical utility: 1.Cultural syndrome is a cluster or group of co-occurr ing, relatively invariant symptoms found in a specific cultural gr oup, community, or context (e.g., ataque de nervios ). The syndrome may or may not be recognized as an illness within the culture (e.g., it might be labeled in various ways), but such cultural patterns of distress and features of illness may nevertheless be recognizab le by an outside observer. 2.Cultural idiom of distress is a linguistic term, phrase, or way of talking about suffering among individuals of a cultural group (e.g., similar ethnicity and religion) referring to shared concepts of pathology and ways of expressing, communicating, or naming es- sential features of distress (e.g., kufungisisa ). An idiom of distress need not be associated
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with specific symptoms, syndromes, or perceived causes. It may be used to convey a wide range of discomfort, including everyd ay experiences, subclinical conditions, or suffering due to social circumstances rather than mental disorders. For example, most
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wide range of discomfort, including everyd ay experiences, subclinical conditions, or suffering due to social circumstances rather than mental disorders. For example, most cultures have common bodily idioms of dist ress used to express a wide range of suf- fering and concerns. 3.Cultura l explanation or perceived cause is a label , attribution, or feature of an explanatory model that provides a culturally conceived etiology or cause for symptoms, illness, or distress (e.g., maladi moun ). Causal explanations may be salient features of folk classi- fications of disease used by laypersons or healers.
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Introduction 15 These three concepts (for whic h discussion and examples are provided in Section III and the Appendix) suggest cultural ways of understanding and describing illness experi- ences that can be elicited in the clinical encounter. They influence symptomatology, help seeking, clinical presentations, expectations of treatment, illness adaptation, and treat- ment response. The same cultur al term often serves more than one of these functions. Gender Differences Sex and gender differences as they relate to th e causes and expression of medical conditions are established for a number of diseases, including selected mental disorders. Revisions to DSM-5 included review of potential differenc es between men and women in the expression of mental illness. In terms of nomenclature, sex differences are variations attributable to an individual’s reproductive organs an d XX or XY chromosomal complement. Gender differ- ences are variations that result from biological sex as well as an individual’s self-represen- tation that includes the psychological, be havioral, and social consequences of one’s perceived gender. The term gender differences is used in DSM-5 because, more commonly, the differences between men and women are a re sult of both biological sex and individual self-representation. However, some of the di fferences are based on only biological sex. Gender can influence illness in a variety of ways. First, it may exclusively determine whether an individual is at risk for a disord er (e.g., as in premenstrual dysphoric disor- der). Second, gender may moderate the overa ll risk for development of a disorder as shown by marked gender differences in the prevalence and incidence rates for selected mental disorders. Third, gender may influence the likelihood that particular symptoms of a disorder are experienced by an individual . Attention-deficit/hype ractivity disorder is
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a disorder are experienced by an individual . Attention-deficit/hype ractivity disorder is an example of a disorder with differences in presentation that are most commonly expe- rienced by boys or girls. Gender likely has other effects on the experience of a disorder that are indirectly relevant to psychiatric diagnosis. It may be that certain symptoms are more readily endorsed by men or women, and that this contributes to differences in service pro- vision (e.g., women may be more likely to recognize a depr essive, bipolar, or anxiety dis- order and endorse a more comprehen sive list of symptoms than men). Reproductive life cycle events, including estr ogen variations, also contribute to gender differences in risk and expression of illness. Thus, a specifier for postpartum onset of mania or major depressive episode denotes a time frame wherein women may be at increased risk for the onset of an illness episode. In the case of sleep and energy, alterations are often nor- mative postpartum and thus may have lower diagnostic reliability in postpartum women. The manual is configured to include information on gender at multiple levels. If there are gender-specific symptoms, th ey have been added to the di agnostic criteria. A gender- related specifier, such as perinatal onset of a mood episode, provides additional informa- tion on gender and diagnosis. Finally, other issues that are pertinent to diagnosis and gen- der considerations can be found in the se ction “Gender-Related Diagnostic Issues.” Use of Other Specified and Unspecified Disorders To enhance diagnostic specificity, DSM-5 repl aces the previous NOS designation with two options for clinical use: other specified disorder and unspecified disorder. The other specified disorder category is provided to allow the clinician to communicate the specific reason
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disorder category is provided to allow the clinician to communicate the specific reason that the presentation does not meet the criteria for any specific category within a diagnos- tic class. This is done by recording the name of the category, followed by the specific rea- son. For example, for an in dividual with clin ically significant depressive symptoms
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tic class. This is done by recording the name of the category, followed by the specific rea- son. For example, for an in dividual with clin ically significant depressive symptoms lasting 4 weeks but whose symptomatology falls short of the diagnostic threshold for a major depressive episode, the clinician would re cord “other specified depressive disorder, depressive episode with insufficient symptoms.” If the clinician chooses not to specify the
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16 Introduction reason that the criteria are not met for a sp ecific disorder, then “unspecified depressive disorder” would be diagnosed. Note that th e differentiation between other specified and unspecified disorders is based on the clinic ian’s decision, providing maximum flexibility for diagnosis. Clinicians do not have to diff erentiate between other specified and unspec- ified disorders based on some feature of the presentation itself. When the clinician deter- mines that there is evidence to specify the na ture of the clinical presentation, the other specified diagnosis can be given. When the clinician is not able to further specify and de- scribe the clinical presentation, the unspecifie d diagnosis can be given. This is left entirely up to clinical judgment. For a more detailed discussion of how to us e other specified and unspecified designa- tions, see “Use of the Manual” in Section I. The Multiaxial System Despite widespread use and its adoption by certain insurance and governmental agencies, the multiaxial system in DSM-IV was not requ ired to make a mental disorder diagnosis. A nonaxial assessment system was also included that simply listed the appropriate Axis I, II, and III disorders and conditio ns without axial designations. DSM-5 has moved to a nonax- ial documentation of diagnosis (formerly Axes I, II, and III), with separate notations for important psychosocial and contextual factors (formerly Ax is IV) and disability (formerly Axis V). This revision is consistent with the DSM-IV text that states, “The multiaxial dis- tinction among Axis I, Axis II, and Axis III disorders does not imply that there are funda- mental differences in their conceptualizatio n, that mental disorders are unrelated to physical or biological factors or processes, or that general medical conditions are unrelated
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physical or biological factors or processes, or that general medical conditions are unrelated to behavioral or psychosocial factors or processes.” The approa ch of separately noting di- agnosis from psychosocial and contextual fact ors is also consistent with established WHO and ICD guidance to consider the individual’s functional status separately from his or her diagnoses or symptom status. In DSM-5, Axis III has been combined with Axes I and II. Clinicians should continue to list medical cond itions that are import ant to the understand- ing or management of an individual’s mental disorder(s). DSM-IV Axis IV covered psychosocial and en vironmental problems that may affect the diagnosis, treatment, and prognosis of ment al disorders. Although this axis provided helpful information, even if it was not us ed as frequently as intended, the DSM-5 Task Force recommended that DSM-5 should not deve lop its own classification of psychosocial and environmental problems, bu t rather use a selected set of the ICD-9-CM V codes and the new Z codes contained in ICD-10-CM. Th e ICD-10 Z codes were examined to deter- mine which are most relevant to mental disorders and also to identify gaps. DSM-IV Axis V consisted of the Global Assessment of Functionin g (GAF) scale, repre- senting the clinician's judgment of the individu al’s overall level of “functioning on a hy- pothetical continuum of ment al health–illness.” It was recommended that the GAF be dropped from DSM-5 for several reasons, including its conceptual lack of clarity (i.e., in- cluding symptoms, suicide risk, and disabilities in its descriptors) and questionable psy-
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cluding symptoms, suicide risk, and disabilities in its descriptors) and questionable psy- chometrics in routine practice. In order to provide a global measur e of disability, the WHO Disability Assessment Schedule (WHODAS) is included, for further stud y, in Section III of DSM-5 (see the chapter “Assessment Measure s”). The WHODAS is based on the Interna- tional Classification of Functioning, Disability and Health (ICF) for use across all of medicine and health care. The WHODAS (version 2.0), and a modification developed for children/ adolescents and their parents by the Impairment and Disability Study Group were in- cluded in the DSM-5 field trial.
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Introduction 17 Online Enhancements It was challenging to determine what to incl ude in the print version of DSM-5 to be most clinically relevant and useful and at the same time maintain a manageable size. For this reason, the inclusion of clinical rating scales and measures in the pr int edition is limited to those considered most relevant. Additional as sessment measures used in the field trials are available online (www.psychiatry.org/dsm5 ), linked to the relevant disorders. The Cultural Formulation Interview, Cultural Fo rmulation Interview—Informant Version, and supplementary modules to the core Cultural Formulation Interview are also available on- line at www.psychiatry.org/dsm5. DSM-5 is available as an online subscription at PsychiatryOnline.org as well as an e- book. The online component contains modules and assessment tools to enhance the diag- nostic criteria and text. Also available online is a complete set of supportive references as well as additional helpful information. The organizational structure of DSM-5, its use of dimensional measures, and compatibility with ICD codes will allow it to be readily adapt- able to future scientific discoveries and refinements in its c linical utility. DSM-5 will be an- alyzed over time to continually assess its validity and enhance its value to clinicians.
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19Use of the Manual The introduction contains much of the history and developmental process of the DSM-5 revision. This section is designed to prov ide a practical guide to using DSM-5, par- ticularly in clinical practice. The primary purp ose of DSM-5 is to assist trained clinicians in the diagnosis of their patients’ mental diso rders as part of a case formulation assess- ment that leads to a fully informed treatmen t plan for each individual. The symptoms con- tained in the respective diagnostic criter ia sets do not constitute comprehensive definitions of underlying disorders, which encompass cognitive, emotional, behavioral, and physiological processes that are far more co mplex than can be described in these brief summaries. Rather, they are intended to summa rize characteristic syndromes of signs and symptoms that point to an underlying disord er with a characteristic developmental his- tory, biological and environmental risk factors, neuropsychological and physiological cor- relates, and typical clinical course. Approach to Clinical Case Formulation The case formulation for any given patient must involve a careful clinical history and con- cise summary of the social, psychological, and biological factors that may have contrib- uted to developing a given mental disorder. Hence, it is not sufficient to simply check off the symptoms in the diag nostic criteria to make a mental disorder diagnosis. Although a systematic check for the presence of these crit eria as they apply to each patient will assure a more reliable assessment, the relative severity and valence of in dividual criteria and their contribution to a diagnosis require clin ical judgment. The symptoms in our diagnos- tic criteria are part of the relatively limited repertoire of human emotional responses to in- ternal and external stresses that are genera lly maintained in a homeostatic balance without
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ternal and external stresses that are genera lly maintained in a homeostatic balance without a disruption in normal functioning. It requires clinical training to recognize when the com- bination of predisposing, precipitating, perpetuating, and protective factors has resulted in a psychopathological condition in which physical signs and symptoms exceed normal ranges. The ultimate goal of a clinical case formulation is to use the available contextual and diagnostic information in developing a comprehensive treatment plan that is in- formed by the individual’s cultural and social context. However, recommendations for the selection and use of the most appropriate ev idence-based treatment options for each dis- order are beyond the scope of this manual. Although decades of scientific effort have go ne into developing the diagnostic criteria sets for the disorders included in Section II, it is well recognized that this set of categorical diagnoses does not fully describe the full rang e of mental disorders that individuals ex- perience and present to clinicians on a daily basis throughout the world. As noted previ- ously in the introduction, the range of genetic/environmental interactions over the course of human development affecting cognitive, em otional and behavioral function is virtually limitless. As a result, it is impossible to capt ure the full range of psychopathology in the categorical diagnostic categories that we are now using. Hence, it is also necessary to in- clude “other specified/unspecified” disorder options for presentations that do not fit exactly into the diagnostic boundaries of disorders in each chapter. In an emergency de- partment setting, it may be possible to id entify only the most prominent symptom ex- pressions associated with a particular chap ter—for example, delusions, hallucinations,
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20 Use of the Manual mania, depression, anxiety, substance intoxi cation, or neurocognitive symptoms—so that an “unspecified” disorder in that category is identified until a fuller differential diagnosis is possible. Definition of a Mental Disorder Each disorder identified in Section II of the manual (excluding those in the chapters enti- tled “Medication-Induced Movement Disord ers and Other Adverse Effects of Medica- tion” and “Other Conditions That May Be a Fo cus of Clinical Attention”) must meet the definition of a mental disorder. Although no definition can capture all aspects of all dis- orders in the range contained in DSM-5, the following elements are required: A mental disorder is a syndrome characte rized by clinically significant distur- bance in an individual’s cognition, emotion regulation, or behavior that reflects a dysfunction in the psychological, biological, or developmental processes un- derlying mental functioning. Mental disorders are usually associated with signif- icant distress or disability in social, occupational, or other important activities. An expectable or culturally approved response to a common stressor or loss, such as the death of a loved one, is not a mental disorder. Socially deviant be- havior (e.g., political, religious, or sex ual) and conflicts that are primarily be- tween the individual and society are not mental disorders unless the deviance or conflict results from a dysfuncti on in the individual, as described above. The diagnosis of a mental disorder should have clinical utility: it should help clinicians to determine prognosis, treatment plans, and potential treatment outcomes for their pa- tients. However, the diagnosis of a mental disorder is not equivalent to a need for treat- ment. Need for treatment is a complex clinic al decision that takes into consideration
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ment. Need for treatment is a complex clinic al decision that takes into consideration symptom severity, symptom salience (e.g., the pr esence of suicidal ideation), the patient’s distress (mental pain) associated with the sy mptom(s), disability related to the patient’s symptoms, risks and benefits of available trea tments, and other factors (e.g., psychiatric symptoms complicating other illness). Clinicians may thus encounter individuals whose symptoms do not meet full crit eria for a mental disorder bu t who demonstrate a clear need for treatment or care. The fact that some in dividuals do not show all symptoms indicative of a diagnosis should not be used to justify limiting their access to appropriate care. Approaches to validating diagnostic criteria for discrete categorical mental disorders have included the following types of evidence: antecedent validators (similar genetic mark- ers, family traits, temperament, and environmen tal exposure), concurrent validators (simi- lar neural substrates, biomarkers, emotional and cognitive processing, and symptom similarity), and predictive validators (simila r clinical course and treatment response). In DSM-5, we recognize that the current diagnostic criteria for any single disorder will not nec- essarily identify a homogeneous group of patients who can be characterized reliably with all of these validators. Available evidence shows that these va lidators cross existing diagnostic boundaries but tend to congregate more frequently within and across adjacent DSM-5 chap- ter groups. Until incontrovertible etiological or pathophysiological mechanisms are identi- fied to fully validate specific disorders or disorder spectra, the most important standard for the DSM-5 disorder criteria will be their clin ical utility for the assessment of clinical course and treatment response of individuals groupe d by a given set of diagnostic criteria.
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and treatment response of individuals groupe d by a given set of diagnostic criteria. This definition of mental disorder was developed for clinical, public health, and re- search purposes. Additional information is usua lly required beyond that contained in the DSM-5 diagnostic criteria in or der to make legal judgments on such issues as criminal re-
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search purposes. Additional information is usua lly required beyond that contained in the DSM-5 diagnostic criteria in or der to make legal judgments on such issues as criminal re- sponsibility, eligibility for disability compen sation, and competency (see “Cautionary Statement for Forensic Use of DSM-5” elsewhere in this manual).
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Use of the Manual 21 Criterion for Clinical Significance There have been substantial e fforts by the DSM-5 Task Force and the World Health Orga- nization (WHO) to separate the concepts of mental disorder and disability (impairment in social, occupational, or other important areas of functioning). In the WHO system, the In- ternational Classification of Diseases (ICD) c overs all diseases and disorders, while the In- ternational Classification of Functioning, Disability and Health (ICF) provides a separate classification of global disability. The WHO Disability Assessment Schedule (WHODAS) is based on the ICF and has proven useful as a standardized measure of disability for men- tal disorders. However, in the absence of clea r biological markers or clinically useful mea- surements of severity for many mental disord ers, it has not been possible to completely separate normal and pathological symptom expressions contained in diagnostic criteria. This gap in information is particularly problematic in clinical situations in which the pa- tient’s symptom presentation by itself (particu larly in mild forms) is not inherently path- ological and may be encountered in individuals for whom a diagnosis of “mental disorder” would be inappropriat e. Therefore, a generic diagno stic criterion requiring dis- tress or disability has been used to establish disorder thresholds, usually worded “the dis- turbance causes clinically significant distre ss or impairment in social, occupational, or other important areas of functioning.” The text following the revised definition of a mental disorder acknowledges that this criterion may be especially helpful in determining a pa- tient’s need for treatment. Use of informatio n from family members and other third parties (in addition to the individual) regarding the individual’s perf ormance is recommended when necessary. Elements of a Diagnosis
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when necessary. Elements of a Diagnosis Diagnostic Criteria and Descriptors Diagnostic criteria are offered as guidelines for making diagnoses, and their use should be informed by clinical judgment. Text descript ions, including introductory sections of each diagnostic chapter, can help support diagnosis (e.g., providing differential diagnoses; de- scribing the criteria more fully under “Diagnostic Features”). Following the assessment of diagnostic criter ia, clinicians should consider the applica- tion of disorder subtypes and/ or specifiers as appropriate. Severity and course specifiers should be applied to denote the individual’s current presentation, but only when the full criteria are met. When full criteria are no t met, clinicians should consider whether the symptom presentation meets crit eria for an “other specified” or “unspecified” designa- tion. Where applicable, specific criteria for defining disorder severity (e.g., mild, moder- ate, severe, extreme), descriptive features (e.g., with good to fair insight; in a controlled environment), and course (e.g., in partial remi ssion, in full remission, recurrent) are pro- vided with each diagnosis. On the basis of the clinical interview, text descriptions, criteria, and clinician judgment, a final diagnosis is made. The general convention in DSM-5 is to allo w multiple diagnoses to be assigned for those presentations that meet criteria for more than one DSM-5 disorder. Subtypes and Specifiers Subtypes and specifiers (some of which are code d in the fourth, fifth, or sixth digit) are provided for increased specificity. Subtypes define mutually exclusive and jointly exhaus- tive phenomenological subgroupings within a diagnosis and are indicated by the instruc- tion “ Specify whether” in the criteria set. In contrast, specifiers are not intended to be
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mutually exclusive or jointly exhaustive, and as a consequence, more than one specifier may be given. Specifiers are indicated by the instruction “ Specify ” or “Specify if” in the cri- teria set. Specifiers provide an opportunity to define a more homogeneous subgrouping of
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22 Use of the Manual individuals with the disorder who share certai n features (e.g., major depressive disorder, with mixed features) and to conv ey information that is relevant to the management of the individual’s disorder, such as the “with other medical comorbidity” specifier in sleep- wake disorders. Although a fifth digit is sometimes assigned to code a subtype or specifier (e.g., 294.11 [F02.81] major neurocognitive disorder due to Alzheimer’s disease, with be- havioral disturbance) or severity (296.21 [F32. 0] major depressive disorder, single episode, mild), the majority of subtypes and specifie rs included in DSM-5 cannot be coded within the ICD-9-CM and ICD-10-CM systems and are indicated only by including the subtype or specifier after the name of the disorder (e.g., social anxiety disorder [social phobia], per- formance type). Note that in some cases, a specifier or subtype is codable in ICD-10-CM but not in ICD-9-CM. Accordingly, in some c ases the 4th or 5th character codes for the sub- types or specifiers are provided only for the ICD-10-CM coding designations. A DSM-5 diagnosis is usually applied to the individual’s current presentation; previ- ous diagnoses from which the individual has recovered shoul d be clearly noted as such. Specifiers indicating course (e.g., in partial remission, in full remission) may be listed after the diagnosis and are indicated in a numb er of criteria sets. Where available, severity spec- ifiers are provided to guide clinicians in rating the intensity, frequency, duration, symptom count, or other severity indicator of a disorder . Severity specifiers are indicated by the in-
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count, or other severity indicator of a disorder . Severity specifiers are indicated by the in- struction “ Specify current severity” in the criteria se t and include disorder-specific defini- tions. Descriptive features specifiers have also been provided in the criteria set and convey additional information that can inform trea tment planning (e.g., obsessive-compulsive disorder, with poor insight). Not all disorders include course , severity, and/or descriptive features specifiers. Medication-Induced Movement Disorders and Other Conditions That May Be a Fo cus of Clinical Attention In addition to important psychosocial and en vironmental factors (see “The Multiaxial Sys- tem” in the “Introduction” elsewhere in this ma nual), these chapters in Section II also con- tain other conditions that are not mental disorders but may be encountered by mental health clinicians. These conditions may be listed as a reason for clinical visit in addition to, or in place of, the mental disorders listed in Section II. A separate chapter is devoted to medication-induced disorders and other adverse effects of medication that may be as- sessed and treated by clinicians in mental health practice such as akathisia, tardive dyski- nesia, and dystonia. The description of neurol eptic malignant syndrome is expanded from that provided in DSM-IV-TR to highlight the em ergent and potentially life-threatening na- ture of this condition, and a new entry on an tidepressant discontinuation syndrome is pro- vided. An additional chapter discusses other conditions that may be a focus of clinical attention. These include relational problems, problems related to abuse and neglect, prob- lems with adherence to treatment regimens, obesity, antisocial behavior, and malingering. Principal Diagnosis
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Principal Diagnosis When more than one diagnosis for an individual is given in an inpatient setting, the prin- cipal diagnosis is the condition established after study to be chiefly responsible for occa- sioning the admission of the individual. When more than one diagnosis is given for an individual in an outpatient setting, the reason for visit is the condition that is chiefly re- sponsible for the ambulatory care medical servic es received during the visit. In most cases, the principal diagnosis or the reason for visit is also the main focus of attention or treat- ment. It is often difficult (and somewhat ar bitrary) to determine which diagnosis is the
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the principal diagnosis or the reason for visit is also the main focus of attention or treat- ment. It is often difficult (and somewhat ar bitrary) to determine which diagnosis is the principal diagnosis or the reason for visit, especially when, for example, a substance- related diagnosis such as alcohol use disorder is accompanied by a non-substance-related diagnosis such as schizophrenia. For example, it may be unclear which diagnosis should
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Use of the Manual 23 be considered “principal” for an individual hospitalized with both schizophrenia and al- cohol use disorder, because each condition ma y have contributed equally to the need for admission and treatment. The principal diagnosis is indicated by listing it first, and the re- maining disorders are listed in order of focu s of attention and treatment. When the prin- cipal diagnosis or reason for visit is a ment al disorder due to another medical condition (e.g., major neurocognitive disorder due to Alzheimer’s disease, psychotic disorder due to malignant lung neoplasm), ICD coding rules re quire that the etiological medical condition be listed first. In that case, the principal diagnosis or reason for visit would be the mental disorder due to the medical condition, the seco nd listed diagnosis. In most cases, the dis- order listed as the principal diagnosis or the reason for visit is followed by the qualifying phrase “(principal diagnosis)” or “(reason for visit).” Provisional Diagnosis The specifier “provisional” can be used when there is a strong presumption that the full criteria will ultimately be met for a disord er but not enough information is available to make a firm diagnosis. The clinician can indi cate the diagnostic uncertainty by recording “(provisional)” following the diagnosis. For example, this diagnosis might be used when an individual who appears to ha ve a major depressive disorder is unable to give an ade- quate history, and thus it canno t be established that the full cr iteria are met. Another use of the term provisional is for those situations in which differential diagnosis depends exclu- sively on the duration of illness. For example, a diagnosis of schizophreniform disorder re- quires a duration of less than 6 months bu t of at least 1 month and can only be given
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provisionally if assigned before remission has occurred. Coding and Reporting Procedures Each disorder is accompanied by an identify ing diagnostic and statistical code, which is typically used by institutions and agencies for data collection and billing purposes. There are specific recording protocol s for these diagnostic codes (i dentified as coding notes in the text) that were established by WHO, the U.S. Centers fo r Medicare and Medicaid Ser- vices (CMS), and the Centers for Disease Cont rol and Prevention’s National Center for Health Statistics to ensure co nsistent international recordin g of prevalence and mortality rates for identified health conditions. For most clinicians, the codes are used to identify the diagnosis or reason for visit for CMS and private insurance servic e claims. The official coding system in use in the United States as of publication of this ma nual is ICD-9-CM. Of- ficial adoption of ICD-10-CM is scheduled to take place on October 1, 2014, and these codes, which are shown parenthetically in this manual, should not be used until the offi- cial implementation occurs. Both ICD-9-CM and ICD-10-CM codes have been listed 1) pre- ceding the name of the disorder in the classification and 2) accompanying the criteria set for each disorder. For some diagnoses (e.g ., neurocognitive and substance/medication- induced disorders), the appropriate code depe nds on further specification and is listed within the criteria set for the disorder, as coding notes, and, in some cases, further clarified in a section on recording proc edures. The names of some di sorders are followed by alter- native terms enclosed in parentheses, which, in most cases, were the DSM-IV names for the disorders. Looking to the Future:
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the disorders. Looking to the Future: Assessment and Monitoring Tools The various components of DSM-5 are provided to facilitate patient assessment and to aid in developing a comprehensive case formulation. Whereas the diagnostic criteria in Sec- tion II are well-established measures that have undergone extensive review, the assess-
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24 Use of the Manual ment tools, a cultural formul ation interview, and conditions for further study included in Section III are those for which we determined that the scientific evidence is not yet avail- able to support widespread clinical use. These diagnostic aids and criteria are included to highlight the evolution and direction of scientif ic advances in these areas and to stimulate further research. Each of the measures in Section III is provi ded to aid in a compre hensive assessment of individuals that will contribute to a diagnosi s and treatment plan tailored to the individ- ual presentation and clinical context. Where cultural dynamics are particularly important for diagnostic assessment, the cultural formulation interview should be considered as a useful aid to communication with the individual. Cross-cutting symptom and diagnosis- specific severity measures provide quantitative ratings of important clinical areas that are designed to be used at the initial evaluation to establish a baseline for comparison with rat- ings on subsequent encounters to monito r changes and inform treatment planning. The use of such measures will undoubtedly be facilitated by digital applications, and the measures are included in Section III to provide for further evaluation and develop- ment. As with each DSM edition, the diagnostic criteria and the DSM-5 classification of mental disorders reflect the current consensu s on the evolving knowledge in our field.
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25Cautionary Statement for Forensic Use of DSM-5 Although the DSM-5 diagnostic criteria and text are primarily designed to assist clinicians in conducting clinical assessment, case formulation, an d treatment planning, DSM-5 is also used as a reference for the cour ts and attorneys in assessing the forensic con- sequences of mental disorders. As a result, it is important to note that the definition of mental disorder included in DSM-5 was developed to meet the needs of clinicians, public health professionals, and research investigators rather than all of the technical needs of the courts and legal professionals. It is also im portant to note that DSM-5 does not provide treatment guidelines for any given disorder. When used appropriately, diagnoses and di agnostic information can assist legal deci- sion makers in their determinations. For exampl e, when the presence of a mental disorder is the predicate for a su bsequent legal determination (e.g ., involuntary civil commitment), the use of an established system of diagnosi s enhances the value and reliability of the de- termination. By providing a co mpendium based on a review of the pertinent clinical and research literature, DSM-5 may facilitate legal decision makers’ understanding of the rel- evant characteristics of mental disorders. The literature related to di agnoses also serves as a check on ungrounded speculation about ment al disorders and about the functioning of a particular individual. Finally, diagnostic in formation about longitud inal course may im- prove decision making when the legal issue co ncerns an individual’s mental functioning at a past or future point in time. However, the use of DSM-5 should be inform ed by an awareness of the risks and lim- itations of its use in forensic settings. When DSM-5 categories, criteria, and textual descrip-
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tions are employed for forensic purposes, ther e is a risk that diagnostic information will be misused or misunderstood. These dangers aris e because of the imperfect fit between the questions of ultimate concern to the law and the information contained in a clinical diagno- sis. In most situations, the clinical diagnosis of a DSM-5 mental disorder such as intellec- tual disability (intellectual developmental di sorder), schizophrenia , major neurocognitive disorder, gambling disorder, or pedophilic di sorder does not imply that an individual with such a condition meets legal criteria for the presence of a mental disorder or a speci- fied legal standard (e.g., for co mpetence, criminal responsibility , or disability). For the latter, additional information is usually required beyond that contained in the DSM-5 diagnosis, which might include information about the individual’s functional impairments and how these impairments affect the particular abilities in question. It is precisely because impair- ments, abilities, and disabilities vary widely wi thin each diagnostic category that assign- ment of a particular diagnosis does not imply a specific level of im pairment or disability. Use of DSM-5 to assess for th e presence of a mental diso rder by nonclinical, nonmed- ical, or otherwise insufficiently trained indi viduals is not advised. Nonclinical decision makers should also be cautioned that a di agnosis does not carry any necessary implica- tions regarding the etiology or causes of the individual’s mental di sorder or the individ- ual’s degree of control over behaviors that may be associat ed with the disorder. Even when diminished control over one’s behavior is a feature of the disorder, having the diag- nosis in itself does not demons trate that a particular individu al is (or was) unable to con-
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trol his or her behavior at a particular time.
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SECTION II Diagnostic Criteria and Codes Neurodevelopmental Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .31 Schizophrenia Spectrum and Other Psychotic Disorders . . . . . . . . . . . .87 Bipolar and Related Disorders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .123 Depressive Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .155 Anxiety Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .189 Obsessive-Compulsive and Related Disorders. . . . . . . . . . . . . . . . . . . .235 Trauma- and Stressor-Related Disorders . . . . . . . . . . . . . . . . . . . . . . . .265 Dissociative Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .291 Somatic Symptom and Related Disorders . . . . . . . . . . . . . . . . . . . . . . .309 Feeding and Eating Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .329
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Elimination Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .355 Sleep-Wake Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .361 Sexual Dysfunctions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .423 Gender Dysphoria. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .451 Disruptive, Impulse-Control, and Conduct Disorders. . . . . . . . . . . . . . .461 Substance-Related and Addictive Disorders . . . . . . . . . . . . . . . . . . . . .481 Neurocognitive Disorders. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .591 Personality Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .645 Paraphilic Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .685
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Other Mental Disorders . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .707 Medication-Induced Movement Disorders and Other Adverse Effects of Medication. . . . . . . . . . . . . . . . . . . . . . . . . .709 Other Conditions That May Be a Focus of Clinical Attention. . . . . . . . .715
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This section contains the diagnostic criteria approved for routine clinical use along with the ICD-9-CM codes (ICD-10 codes are shown parenthetically). For each mental disorder, the diagnostic criteria are followed by descriptive text to assist in diagnostic decision making. Where needed, specific recording procedures are presented with the diagnostic criteria to provide guidance in selecting the most appropriate code. In some cases, separate recording pro- cedures for ICD-9-CM and ICD-10-CM are provided. Although not considered as official DSM-5 disorders, medication -induced movement disorders and other adverse effects of medication, as well as other conditions that may be a focus of clinical attention (including additi onal ICD-9-CM V codes and forthcoming ICD-10-CM Z codes), are provided to indicate other reasons for a clinical visit such as environmental factors and relational problems. These codes are adapted from ICD-9-CM and ICD-10-CM and we re neither reviewed nor approved as official DSM-5 diagnoses, but can provide additional context for a clinical for- mulation and treatment plan. These three components—the criteria and their descriptive text, the medication-i nduced movement disorders and other ad- verse effects of medication, and the descriptions of other conditions that may be a focus of clinical attention—represent the key elements of the clinical di- agnostic process and thus are presented together.
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31Neurodevelopmental Disorders The neurodevelopmental disorders are a group of co nditions with onset in the developmental period. The diso rders typically manifest early in development, often be- fore the child enters grade school, and are characterized by developmental deficits that produce impairments of person al, social, academic, or occupational functioning. The range of developmental deficits varies from very specific limitations of learning or control of executive functions to glob al impairments of social skills or intelligence. The neurode- velopmental disorders frequent ly co-occur; for example, in dividuals with autism spec- trum disorder often have intellectual disability (intellectual developmental disorder), and many children with attention-deficit/hyperactivity disorder (ADHD) also have a specific learning disorder. For some diso rders, the clinical presentation includes symptoms of ex- cess as well as deficits and delays in achiev ing expected milestones. For example, autism spectrum disorder is diagnose d only when the characteristic deficits of social communi- cation are accompanied by excessively repetitive behaviors, restricted interests, and insis- tence on sameness. Intellectual disability (intel lectual developmental disorder) is characterized by deficits in general mental abilities, such as reasoning, problem solving, planning, abstract thinking, judgment, academic learning, and learning from experience. The deficits result in impair- ments of adaptive functioning, such that the individual fails to meet standards of personal independence and social responsibility in one or more aspects of daily life, including com- munication, social participation, academic or occupational functionin g, and personal inde- pendence at home or in community settings . Global developmental delay, as its name implies, is diagnosed when an individual fa ils to meet expected developmental milestones
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implies, is diagnosed when an individual fa ils to meet expected developmental milestones in several areas of intellectual functioning. The diagnosis is used for individuals who are unable to undergo systematic assessments of intellectual functioning, including children who are too young to participate in standardiz ed testing. Intellectual disability may result from an acquired insult during the developm ental period from, for example, a severe head injury, in which case a neurocognitive disorder also may be diagnosed. The communication disorders include language disorder, speech sound disorder, so- cial (pragmatic) communication disorder, and childhood-onset fluency disorder (stutter- ing). The first three disorders are characterize d by deficits in the development and use of language, speech, and social communication, respectively. Childhood -onset fluency dis- order is characterized by disturbances of the normal fluency an d motor production of speech, including repetitive sounds or syllables, prolongation of consonants or vowel sounds, broken words, blocking, or words pr oduced with an exce ss of physical tension. Like other neurodevelopmental disorders, communication di sorders begin early in life and may produce lifelong functional impairments. Autism spectrum disorder is characterized by persistent deficits in social communica- tion and social interaction across multiple cont exts, including deficits in social reciprocity, nonverbal communicative behavior s used for social interaction, and skills in developing, maintaining, and understandin g relationships. In addition to the social communication deficits, the diagnosis of autism spectrum disorder requires th e presence of restricted, re- petitive patterns of behavior, interests, or activities. Because symptoms change with de- velopment and may be masked by compensator y mechanisms, the diagnostic criteria may
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32 Neurodevelopmental Disorders be met based on historical information, although the current presentation must cause sig- nificant impairment. Within the diagnosis of autism spectrum disorder, individual clinical characteristics are noted through the use of specifiers (with or without accompanying intellectual impair- ment; with or without accompan ying structural language im pairment; associated with a known medical/genetic or environmental/acquired condition; associated with another neurodevelopmental, mental, or behavioral disorder), as well as specifiers that describe the autistic symptoms (age at first concern; wi th or without loss of established skills; sever- ity). These specifiers provide clinicians with an opportunity to individualize the diagnosis and communicate a richer clinical description of the affected individuals. For example, many individuals previously diagnosed with Asperg er’s disorder would now receive a diagnosis of autism spectrum disorder without language or intellectual impairment. ADHD is a neurodevelopmental disorder defined by impairing levels of inattention, dis- organization, and/or hyperactivity-impulsivity. Inattention and disorganization entail inabil- ity to stay on task, seeming not to listen, and lo sing materials, at leve ls that are inconsistent with age or developmental level. Hyperactivity-impulsivity entails overactivity, fidgeting, in- ability to stay seated, intruding into other people’s activities , and inability to wait—symptoms that are excessive for age or developmental level. In childhood, ADHD frequently overlaps with disorders that are often considered to be “externalizing disorders,” such as oppositional defiant disorder and conduct di sorder. ADHD often persists in to adulthood, with resultant impairments of social, academic and occupational functioning. The neurodevelopmental motor disorders in clude developmental coordination disor- der, stereotypic movement disorder, and tic disorders. Developmen tal coordination dis-
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der, stereotypic movement disorder, and tic disorders. Developmen tal coordination dis- order is characterized by deficits in the acquisition and execution of coordinated motor skills and is manifested by clumsiness and slow ness or inaccuracy of performance of mo- tor skills that cause interference with activiti es of daily living. St ereotypic movement dis- order is diagnosed when an individual has repetitive, seemingly driven, and apparently purposeless motor behaviors, such as hand fl apping, body rocking, head banging, self- biting, or hitting. The movements interfere with social, academic, or other activities. If the behaviors cause self-injury, this should be specified as part of the diagnostic description. Tic disorders are characterized by the presen ce of motor or vocal tics, which are sudden, rapid, recurrent, nonrhythmic, sterotyped motor movements or vocalizations. The dura- tion, presumed etiology, and clinical presentation define the specific tic disorder that is di- agnosed: Tourette’s disorder, persistent (chronic) motor or vocal tic disorder, provisional tic disorder, other specified tic disorder, and unspecified tic disorder . Tourette’s disorder is diagnosed when the individual has multiple motor and vocal tics that have been present for at least 1 year and that have a waxing-waning symptom course. Specific learning disorder, as the name implie s, is diagnosed when there are specific defi- cits in an individual’s ability to perceive or process information efficiently and accurately. This neurodevelopmental disorder first manifests during the years of formal schooling and is characterized by persistent and impairing diffi culties with learning foundational academic skills in reading, writing, and/ or math. The individual’s perfor mance of the affected academic
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skills is well below average for age, or acceptable performance levels are achieved only with extraordinary effort. Specific learning disorder may occur in individuals identified as intellec-
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skills is well below average for age, or acceptable performance levels are achieved only with extraordinary effort. Specific learning disorder may occur in individuals identified as intellec- tually gifted and manifest only when the le arning demands or assessment procedures (e.g., timed tests) pose barriers that cannot be overcome by their innate intelligence and c ompensa- tory strategies. For all individuals, specific le arning disorder can produce lifelong impairments in activities dependent on the skills , including occupational performance. The use of specifiers for the neurodevelopme ntal disorder diagnoses enriches the clin- ical description of the individual’s clinical course and current symptomatology. In addi- tion to specifiers that describe the clinical presentation, such as age at onset or severity ratings, the neurodevelopmental disorders ma y include the specifier “associated with a known medical or genetic condition or environmental factor.” This specifier gives clini-
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Intellectual Disability (Intellectual Developmental Disorder) 33 cians an opportunity to document factors that may have played a role in the etiology of the disorder, as well as those that might affect the clinical course. Examples include genetic disorders, such as fragile X syndrome, tuberous sclerosis, and Rett syndrome; medical con- ditions such as epilepsy; and environmental fa ctors, including very low birth weight and fetal alcohol exposure (even in the absence of stigmata of fetal alcohol syndrome). Intellectual Disabilities Intellectual Disability (Intellectual Developmental Disorder) Diagnostic Criteria Intellectual disability (intellectual development al disorder) is a disorder with onset during the developmental period that includes both intellectual and adaptive functioning deficits in conceptual, social, and practical domains. The following three criteria must be met: A. Deficits in intellectual functions, such as reasoning, problem solving, planning, abstract thinking, judgment, academic learning, and learning from experience, confirmed by both clinical assessment and individualized, standardized intelligence testing. B. Deficits in adaptive functioning that result in failure to meet developmental and socio- cultural standards for personal independence and social responsibility. Without ongo- ing support, the adaptive deficits limit functioning in one or more activities of daily life, such as communication, social participation, and independent living, across multiple environments, such as home, school, work, and community. C. Onset of intellectual and adaptive deficits during the developmental period. Note: The diagnostic term intellectual disability is the equivalent term for the ICD-11 diag- nosis of intellectual developmental disorders. Although the term intellectual disability is used throughout this manual, both terms are used in the title to clarify relationships with other classification systems. Moreover, a federal statute in the United States (Public Law
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other classification systems. Moreover, a federal statute in the United States (Public Law 111-256, Rosa’s Law) replaces the term mental retardation with intellectual disability, and research journals use the term intellectual disability. Thus, intellectual disability is the term in common use by medical, educational, and other professions and by the lay public and advocacy groups. Specify current severity (see Table 1): 317 (F70) Mild 318.0 (F71) Moderate 318.1 (F72) Severe 318.2 (F73) Profound Specifiers The various levels of severity are defined on the basis of adaptive functioning, and not IQ scores, because it is adaptive functioning that determines the level of supports required. Moreover, IQ measures ar e less valid in the lower end of the IQ range.
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34 Neurodevelopmental DisordersTABLE 1 Severity levels for intellectual disability (intellectual developmental disorder) Severity level Conceptual domain Social domain Practical domain Mild For preschool children, there may be no obvious conceptual differences. Fo r school-age children and adults, there are difficulties in learning aca- demic skills involving reading, writing, arithmetic, time, or money, with support needed in one or more areas to meet age-related expectations. In adults, abstract thinking, exec- utive function (i.e., planning, strategizing, priority setting, and cognitive flexibility), and short-term memory, as well as functional use of academic skills (e.g., reading, money management), are impaired. There is a somewhat concrete approach to problems and solutions compared with age-mates. Compared with typically developing age- mates, the individual is immature in social interactions. For example, there may be diffi- culty in accurately perceiving peers’ social cues. Communication, conversation, and lan- guage are more concrete or immature than expected for age. There may be difficulties reg- ulating emotion and behavior in age-appropri- ate fashion; these difficulties are noticed by peers in social situations. There is limited understanding of risk in social situations; social judgment is immature for age, and the person is at risk of being manipulated by others (gullibility).The individual may functi on age-appropriately in personal care. Individuals need some support with complex daily living tasks in comparison to peers. In adulthood, supports typicall y involve grocery shop-
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adulthood, supports typicall y involve grocery shop- ping, transportation, home and child-care organiz- ing, nutritious food preparation, and banking and money management. Recreati onal skills resemble those of age-mates, although judgment related to well-being and organization around recreation requires support. In adulthood, competitive employment is often seen in jobs that do not empha- size conceptual skills. Individuals generally need support to make health care decisions and legal decisions, and to learn to perform a skilled vocation competently. Support is typically needed to raise a family.
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Intellectual Disability (Intellectual Developmental Disorder) 35Moderate All through development, the individual’s conceptual skills lag markedly behind those of peers. For preschoolers, lan- guage and pre-academic skills develop slowly. For school-age children, progress in reading, writing, mathematics, and understanding of time and money occurs slowly across the school years and is mark- edly limited compared with that of peers. For adults, aca- demic skill development is typically at an elementary level, and support is required for all use of academic skills in work and personal life. Ongo- ing assistance on a daily basis is needed to complete concep- tual tasks of day-to-day life, and others may take over these responsibilities fully for the individual.The individual shows marked differences from peers in social and communicative behavior across development. Spoken language is typi- cally a primary tool for social communication but is much less complex than that of peers. Capacity for relationships is evident in ties to family and friends, and the individual may have successful friendships across life and sometimes romantic relations in adulthood. However, individuals may not perceive or interpret social cues ac curately. Social judg- ment and decision-making abilities are lim- ited, and caretakers must assist the person with life decisions. Friendships with typically developing peers are often affected by com- munication or social limitations. Significant social and communicative support is needed in work settings for success. The individual can care for personal needs involving eating, dressing, elimination, and hygiene as an
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eating, dressing, elimination, and hygiene as an adult, although an extended period of teaching and time is needed for the individual to become indepen- dent in these areas, and reminders may be needed. Similarly, participation in all household tasks can be achieved by adulthood, although an extended period of teaching is ne eded, and ongoing supports will typically occur for adult-level performance. Independent employment in jobs that require lim- ited conceptual and communication skills can be achieved, but considerable support from co-work- ers, supervisors, and others is needed to manage social expectations, job co mplexities, and ancillary responsibilities such as scheduling, transportation, health benefits, and mone y management. A variety of recreational skills can be developed. These typi- cally require additional supports and learning opportunities over an ex tended period of time. Maladaptive behavior is present in a significant minority and causes social problems.TABLE 1 Severity levels for intellectual disability (intellectual developmental disorder) (continued) Severity level Conceptual domain Social domain Practical domain
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36 Neurodevelopmental DisordersSevere Attainment of conceptual skills is limited. The individual gen- erally has little understanding of written language or of con- cepts involving numbers, quantity, time, and money. Caretakers provide extensive supports for problem solving throughout life. Spoken language is quit e limited in terms of vocabulary and grammar. Speech may be sin- gle words or phrases and may be supple- mented through augmentative means. Speech and communication are focused on the here and now within everyday events. Language is used for social communication more than for explication. Individuals understand simple speech and gestural communication. Relation- ships with family members and familiar others are a source of pleasure and help. The individual requires suppo rt for all activities of daily living, including meals, dressing, bathing, and elimination. The individual requires supervision at all times. The individual cannot make responsible decisions regarding well-being of self or others. In adulthood, participation in tasks at home, recre- ation, and work requires ongoing support and assis- tance. Skill acquisition in all domains involves long- term teaching and ongoing support. Maladaptive behavior, including self-injury, is present in a signif- icant minority.  Profound Conceptual skills generally involve the physical world rather than symbolic pro- cesses. The individual may use objects in goal-directed fashion for self-care, work, and recre- ation. Certain visuospatial skills, such as matching and sorting based on physical char- acteristics, may be acquired. However, co-occ urring motor and sensory impairments may
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However, co-occ urring motor and sensory impairments may prevent functional use of objects. The individual has very limited understanding of symbolic communication in speech or ges- ture. He or she may understand some simple instructions or gestures. The individual expresses his or her own desires and emotions largely through nonverbal, nonsymbolic com- munication. The individu al enjoys relation- ships with well-known family members, caretakers, and familiar others, and initiates and responds to social interactions through gestural and emotional cues. Co-occurring sensory and physical impairments may pre- vent many social activities. The individual is dependent on others for all aspects of daily physical care, health, and safety, although he or she may be able to participat e in some of these activi- ties as well. Individuals without severe physical impairments may assist with some daily work tasks at home, like carrying dishes to the table. Simple actions with objects may be the basi s of participation in some vocational activities with high levels of ongoing sup- port. Recreational activities may involve, for example, enjoyment in listening to music, watching movies, going out for walks, or part icipating in water activi- ties, all with the support of others. Co-occurring physical and sensory impairments are frequent barriers to participation (beyond watching) in home, recreational, and vocational activities. Maladaptive behavior is present in a significant minority.TABLE 1 Severity levels for intellectual disability (intellectual developmental disorder) (continued) Severity level Conceptual domain Social domain Practical domain
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Intellectual Disability (Intellectual Developmental Disorder) 37 Diagnostic Features The essential features of intellectual disab ility (intellectual developmental disorder) are deficits in general mental abilities (Criteri on A) and impairment in everyday adaptive functioning, in comparison to an individual ’s age-, gender-, and socioculturally matched peers (Criterion B). Onset is during the developmental period (Criterion C). The diagnosis of intellectual disability is based on both clinical assessment and standardized testing of intellectual and adaptive functions. Criterion A refers to intellectual function s that involve reasoning, problem solving, planning, abstract thinking, judgment, lear ning from instruction and experience, and practical understanding. Critical componen ts include verbal comprehension, working memory, perceptual reasoning, quantitative reasoning, abstract thought, and cognitive ef- ficacy. Intellectual functioning is typically me asured with individually administered and psychometrically valid, comprehensive, cultur ally appropriate, psychometrically sound tests of intelligence. Individuals with intellec tual disability have scores of approximately two standard deviations or more below the population mean, including a margin for mea- surement error (generally +5 points). On te sts with a standard deviation of 15 and a mean of 100, this involves a score of 65–75 (70 ± 5). Clinical training and judgment are required to interpret test results and assess intellectual performance. Factors that may affect test scores include practice effects and the “Flynn effect’ (i.e., overly high scores due to out- of-date test norms). Invalid scores may result from the use of brief intelligence screening tests or group tests; highly discrepant individual subtest scores may make an overall IQ score invalid. Instrume nts must be normed for the individual’s so-
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ciocultural background and native language. Co-occurring disorders that affect communi- cation, language, and/or motor or sensory fu nction may affect test scores. Individual cognitive profiles based on ne uropsychological testing are mo re useful for understanding intellectual abilities than a single IQ score. Such testing may identify areas of relative strengths and weaknesses, an assessment import ant for academic and vocational planning. IQ test scores are approximat ions of conceptual function ing but may be insufficient to assess reasoning in real-life situations and ma stery of practical task s. For example, a per- son with an IQ score above 70 may have such severe adaptive behavi or problems in social judgment, social understanding, and other area s of adaptive functioning that the person’s actual functioning is comparable to that of in dividuals with a lower IQ score. Thus, clinical judgment is needed in interpre ting the results of IQ tests. Deficits in adaptive functioning (Criterion B) refer to how well a person meets community standards of personal independen ce and social responsibility, in comparison to others of sim- ilar age and sociocultural background. Adaptive functioning involves adaptive reasoning in three domains: conceptual, social, and practical. The conceptual (academic) domain involves competence in memory, language, reading, writing, math reasoning, acquisition of practical knowledge, problem solving, and judgment in novel situations , among others. The social do- main involves awareness of others’ thoughts, feelings, and experiences; empathy; interper- sonal communication skills; friendship abilit ies; and social judgment, among others. The practical domain involves learning and self-management across life settings, including personal care, job responsibilities, money management, recreation, self-management of behavior, and
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care, job responsibilities, money management, recreation, self-management of behavior, and school and work task organization, among others . Intellectual capacity, education, motivation, socialization, personality features, vocational opportunity, cultural experience, and coexisting
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school and work task organization, among others . Intellectual capacity, education, motivation, socialization, personality features, vocational opportunity, cultural experience, and coexisting general medical conditions or mental di sorders influence adaptive functioning. Adaptive functioning is assessed using both clinical evaluation and individualized, culturally appropriate, psychometrically sound measures. Standardized measures are used with knowledgeable informants (e.g., pa rent or other f amily member; teacher; coun- selor; care provider) and the individual to th e extent possible. Additional sources of infor- mation include educational, developmental, medical, and mental health evaluations. Scores from standardized measures and interv iew sources must be interpreted using clin- ical judgment. When standardized testing is di fficult or impossible, because of a variety of
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38 Neurodevelopmental Disorders factors (e.g., sensory impairme nt, severe problem behavior), the individual may be diag- nosed with unspecified intellectual disability. Adaptive functioning may be difficult to assess in a controlled setting (e.g., prisons, dete ntion centers); if poss ible, corrob orative in- formation reflecting functioning outsid e those settings should be obtained. Criterion B is met when at least one domain of adaptive functioning—conceptual, so- cial, or practical—is sufficiently impaired th at ongoing support is needed in order for the person to perform adequately in one or more life settings at school, at work, at home, or in the community. To meet diagnostic criteria for intellectual disability, the deficits in adap- tive functioning must be directly related to the intellectual impairments described in Cri- terion A. Criterion C, onset during the deve lopmental period, refers to recognition that intellectual and adaptive deficits are pr esent during childhood or adolescence. Associated Features Supporting Diagnosis Intellectual disability is a heterogeneous condition with multiple causes. There may be associated difficulties with social judgment; assessment of risk; self-management of behav- ior, emotions, or interpersonal relationships; or motivation in school or work environments. Lack of communication skills may predispose to disruptive and aggressive behaviors. Gull- ibility is often a feature, involving naiveté in social situations and a tendency for being easily led by others. Gullibility and lack of awareness of risk may result in exploitation by others and possible victimization, fraud, unintentional criminal involvement, false confessions, and risk for physical and sexual abuse. These associated features can be important in crim- inal cases, including Atkins-type hearings involving the death penalty. Individuals with a diagnosis of intellectual disability with co-occurring mental disor-
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Individuals with a diagnosis of intellectual disability with co-occurring mental disor- ders are at risk for suicide. They think about suicide, make suicide attempts, and may die from them. Thus, screening for su icidal thoughts is essential in the assessment process. Be- cause of a lack of awareness of risk and dang er, accidental injury rates may be increased. Prevalence Intellectual disability has an overall general population prevalence of approximately 1%, and prevalence rates vary by age. Prevalence for severe intellectual disability is approxi- mately 6 per 1,000. Development and Course Onset of intellectual disability is in the de velopmental period. The age and characteristic features at onset depend on the etiology and severity of brain dysfunction. Delayed motor, language, and social milestones may be identifi able within the first 2 years of life among those with more severe intellectual disability, while mild levels may not be identifiable un- til school age when difficulty with academic learning becomes appare nt. All criteria (in- cluding Criterion C) must be fulfilled by hi story or current presentation. Some children under age 5 years whose presentation will even tually meet criteria for intellectual disabil- ity have deficits that meet criter ia for global developmental delay. When intellectual disability is associated with a genetic syndrome, there may be a char- acteristic physical appearance (as in, e.g., Down syndrome). Some syndromes have a behavioral phenotype, which refers to specific behaviors that are characteristic of particular genetic disorder (e.g., Lesch-Nyhan syndro me). In acquired forms, the onset may be abrupt following an illness such as meningitis or encephalitis or head trauma occurring during the developmental period. When intellectual disability results from a loss of pre-
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during the developmental period. When intellectual disability results from a loss of pre- viously acquired cognitive skills, as in severe traumatic brain injury , the diagnoses of in- tellectual disability and of a neurocognitive disorder may both be assigned. Although intellectual disability is generally nonprogressive, in certain genetic disor-
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tellectual disability and of a neurocognitive disorder may both be assigned. Although intellectual disability is generally nonprogressive, in certain genetic disor- ders (e.g., Rett syndrome) there are periods of worsening, followed by stabilization, and in
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Intellectual Disability (Intellectual Developmental Disorder) 39 others (e.g., San Phillippo synd rome) progressive worsening of intellectual function. After early childhood, the disorder is generally lifelong, although severity levels may change over time. The course may be influenced by underlying medical or genetic conditions and co-occurring conditions (e.g., hearing or visual impairments, epilepsy). Early and ongoing in- terventions may improve adap tive functioning throughout childhood and adulthood. In some cases, these result in significant improve ment of intellectual functioning, such that the diagnosis of intellectual disability is no lo nger appropriate. Thus, it is common practice when assessing infants and young children to de lay diagnosis of intellectual disability un- til after an appropriate course of intervention is provided. For olde r children and adults, the extent of support provided may allow for fu ll participation in all activities of daily liv- ing and improved adaptive function. Diagnost ic assessments must determine whether im- proved adaptive skills are the result of a st able, generalized new skill acquisition (in which case the diagnosis of intellectual disability may no longer be appropriate) or whether the improvement is contingent on the presence of supports and ongoing interventions (in which case the diagnosis of intellectua l disability may still be appropriate). Risk and Prognostic Factors Genetic and physiological. Prenatal etiologies include genetic syndromes (e.g., se- quence variations or copy number variants involving one or more genes; chromosomal disorders), inborn errors of metabolism, brai n malformations, maternal disease (including placental disease), and environmental influences (e.g., alcohol, other drugs, toxins, terato- gens). Perinatal causes include a variety of labor and delivery-related events leading to
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gens). Perinatal causes include a variety of labor and delivery-related events leading to neonatal encephalopathy. Postnatal causes include hypoxic ischemic injury, traumatic brain injury, infections, demyelinating disorder s, seizure disorders (e .g., infantile spasms), severe and chronic social deprivation, and toxic metabolic syndromes and intoxications (e.g., lead, mercury). Culture-Related Diagnostic Issues Intellectual disability occurs in all races and cultures. Cultural sen sitivity and knowledge are needed during assessment, and the individu al’s ethnic, cultural, and linguistic back- ground, available experiences, and adaptive functioning within his or her community and cultural setting must be taken into account. Gender-Related Diagnostic Issues Overall, males are more likely than female s to be diagnosed with both mild (average male:female ratio 1.6:1) and severe (average male:female ratio 1.2:1) forms of intellectual disability. However, gender ratios vary widely in reported studies. Sex-linked genetic fac- tors and male vulnerability to brain insult ma y account for some of the gender differences. Diagnostic Markers A comprehensive evaluation includes an assess ment of intellectual capacity and adaptive functioning; identification of genetic and nongenetic etiolo gies; evaluation for associated medical conditions (e.g., cerebral palsy, seiz ure disorder); and eval uation for co-occurring mental, emotional, and behavior al disorders. Components of the evaluation may include basic pre- and perinatal medical history, three- generational family pedigree, physical exam- ination, genetic evaluation (e.g., karyotype or chromosomal microarray analysis and testing for specific genetic syndromes), and metabo lic screening and neuroimaging assessment. Differential Diagnosis
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Differential Diagnosis The diagnosis of intellectual disability should be made whenever Criteria A, B, and C are met. A diagnosis of intellectual disability should not be assumed because of a particular
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40 Neurodevelopmental Disorders genetic or medical condition. A genetic syndro me linked to intellec tual disability should be noted as a concurrent diagnosi s with the intellectual disability. Major and mild neurocognitive disorders. Intellectual disability is categorized as a neu- rodevelopmental disorder and is distinct from the neurocognitive disorders, which are characterized by a loss of cognitive function ing. Major neurocognitive disorder may co- occur with intellectual disability (e.g., an individual with Down syndrome who develops Alzheimer’s disease, or an individual with intellectual disability who loses further cogni- tive capacity following a head injury). In such cases, the diagnoses of intellectual disability and neurocognitive disorder may both be given. Communication disorders and specific learning disorder. These neurodevelopmental disorders are specific to the communication and learning domains and do not show defi- cits in intellectual an d adaptive behavior. They may co-o ccur with intellectual disability. Both diagnoses are made if full criteria are met for intellectual disability and a communi- cation disorder or specific learning disorder. Autism spectrum disorder. Intellectual disability is common among individuals with autism spectrum disorder. Assessment of intellectual ability may be complicated by so- cial-communication and behavior deficits inherent to auti sm spectrum disorder, which may interfere with understanding and comply ing with test procedures. Appropriate as- sessment of intellectual functioning in autism spectrum disorder is essential, with reas- sessment across the developmental period, becaus e IQ scores in auti sm spectrum disorder may be unstable, particularly in early childhood. Comorbidity Co-occurring mental, neurodevelopmental, me dical, and physical conditions are frequent in intellectual disability, with rates of some conditions (e.g., ment al disorders, cerebral
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in intellectual disability, with rates of some conditions (e.g., ment al disorders, cerebral palsy, and epilepsy) three to fo ur times higher than in the ge neral population. The prognosis and outcome of co-occurring diagnoses may be influenced by the presence of intellectual disability. Assessment procedur es may require modifications because of associated disor- ders, including communication disorders, autism spectrum disorder, and motor, sensory, or other disorders. Knowledgeable informan ts are essential for identifying symptoms such as irritability, mood dysregulation, aggression, eating problems, and sleep problems, and for assessing adaptive functioning in various community settings. The most common co-occurring mental an d neurodevelopmental disorders are atten- tion-deficit/hyperactivity disorder; depressi ve and bipolar disorders; anxiety disorders; autism spectrum disorder; stereotypic movement d isorder (with or without self-injurious behavior); impulse-control disorders; and ma jor neurocognitive disorder. Major depres- sive disorder may occur througho ut the range of severity of intellectual disability. Self- injurious behavior requires pr ompt diagnostic attention and may warrant a separate di- agnosis of stereotypic movement disorder. Individuals with intellectual disability, partic- ularly those with more severe intellectual disability, may also exhibit aggression and disruptive behaviors, including harm of others or property destruction. Relationship to Ot her Classifications ICD-11 (in development at the time of this publication) uses the term intellectual develop- mental disorders to indicate that these are disorders that involve impaired brain functioning early in life. These disorders are described in ICD-11 as a metasyndrome occurring in the developmental period analogous to dementia or neurocognitive disorder in later life.
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developmental period analogous to dementia or neurocognitive disorder in later life. There are four subtypes in ICD-11: mild, moderate, severe, and profound. The American Association on Intellectual and Developmental Disabilities (AAIDD) also uses the term intellectual disability with a similar meaning to the term as used in this
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Global Developmental Delay 41 manual. The AAIDD’s classification is multidimensional rather than categorical and is based on the disability construc t. Rather than listing specifie rs as is done in DSM-5, the AAIDD emphasizes a profile of supports based on severity. Global Developmental Delay 315.8 (F88) This diagnosis is reserved for individuals under the age of 5 years when the clinical severity level cannot be reliably assessed during early childhood. This category is diagnosed when an individual fails to meet expected developmental milestones in several areas of intellec- tual functioning, and applies to individuals who are unable to undergo systematic assess- ments of intellectual functioning, including children who are too young to participate in standardized testing. This category requires reassessment after a period of time. Unspecified Intellectual Disability (Intellectual Developmental Disorder) 319 (F79) This category is rese rved for individuals over the age of 5 years when assessment of the degree of intellectual disabi lity (intellectual developmental disorder) by means of locally available procedures is rendered difficult or impossible because of associated sensory or physical impairments, as in blindness or prel ingual deafness; locomotor disability; or pres- ence of severe problem behaviors or co-occurring mental disorder. This category should only be used in exceptional circumstances and requires reassessment after a period of time. Communication Disorders Disorders of communication include deficits in language, speech, and communication. Speech is the expressive production of sounds and includes an indivi dual’s articulation, fluency, voice, and resonance quality. Language includes the form, fu nction, and use of a conventional system of symbol s (i.e., spoken words, sign language, written words, pic-
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tures) in a rule -governed manner for communication. Communication includes any verbal or nonverbal behavior (whether intentional or unintentional) that influences the behavior, ideas, or attitudes of another individual. Assessments of speech, language and communi- cation abilities must take into account the individual's cultural and language context, particularly for individuals growing up in bilingual environments. The standardized mea- sures of language development and of nonverba l intellectual capacity must be relevant for the cultural and linguistic group (i.e., tests developed and standardized for one group may not provide appropriate norms for a different group). The diagnostic category of commu- nication disorders includes the following: language disorder, speech sound disorder, childhood-onset fluency disord er (stuttering), social (pra gmatic) communication disor- der, and other specified and unspecified communica tion disorders.
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