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ARTICLE
DSM-V Changes for Autism
Spectrum Disorder (ASD): Implications for Diagnosis, Management, and Care Coordination for Children With ASDs Sandra L. Lobar, PhD, APRN, PPCNP-BC
ABSTRACT practice nurse, and lack of understanding of ASD changes in
The purpose of this article is to highlight issues about the DSM-V may diminish the ability of advanced practice diagnosis and management of autism spectrum disorders nurses to screen for ASDs and make the appropriate referrals. (ASDs) in all settings, along with care coordination for all chil- J Pediatr Health Care. (2016) 30, 359-365. dren with ASDs. The article outlines differences between the American Psychiatric Association’s Diagnostic and Statistical KEY WORDS Manual of Mental Disorders, 4th edition, revised (DSM-IV-TR) Asperger syndrome, autism spectrum disorder, Diagnostic and the newer version (DSM-V) for ASDs. These changes may and Statistical Manual of Mental Disorders, DSM, nurse prac- limit the eligibility of some children for services in school, titioner, Individualized Education Plan leading to poorer social/academic outcomes, lower rates of employment, and decreased assistance in eventual indepen- dent living. Primary care providers identified a lack of knowl- The Centers for Disease Control and Prevention edge regarding ASDs before the DSM-V was published, (CDC) continues to report alarming increases in the describing difficulty in making ASD diagnoses, recognizing numbers of children across the United States who early symptoms of developmental concern, and managing are diagnosed with autism spectrum disorder (ASD). care. Care coordination is part of the role of the advanced It was estimated that 1 in 68 children were diagnosed with an ASD in 2010 (Baio, 2014), a 30% increase Sandra L. Lobar, Associate Professor, College of Nursing and Health Sciences, Florida International University, Miami, FL. from 2008, when the incidence was 1 in 88, and a 60% increase from 2006, when the incidence was reported Conflicts of interest: None to report. to be 1 in 110 children. Some authors have suggested Correspondence: Sandra L. Lobar, PhD, APRN, PPCNP-BC, that the ‘‘autism epidemic’’ has less to do with a true Nicole Wertheim College of Nursing and Health Sciences, Florida rise in prevalence than with greater awareness, clarifi- International University, 11200 SW 8th Street ACH 3, Room 232, Miami, FL 33199; e-mail: [email protected]. cation and/or expansion of the idea of what constitutes an ASD, overidentification of the disorder, and/or 0891-5245/$36.00 use of the ASD label to establish service eligibility Copyright Q 2016 by the National Association of Pediatric (McPartland, Reichow, & Volkmar, 2012). Nurse Practitioners. Published by Elsevier Inc. All rights As a result of the increased incidence and concerns reserved. about overdiagnosis, in May 2013, new guidelines for Published online October 23, 2015. identification of ASDs were introduced in the fifth http://dx.doi.org/10.1016/j.pedhc.2015.09.005 edition of the Diagnostic and Statistical Manual of
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Mental Disorders (DSM-V) by the American Psychiatric the complications brought about by the numerous Association (APA). However, rather than increasing comorbid conditions described for children considered specificity for diagnosis and limiting overdiagnosis, to have ASDs, which occur at varying times and at these guidelines may only serve to decrease eligibility different developmental levels for children (Levy, for services for some children who may previously Mandell, & Schultz, 2009). This problem continues have been considered to be on the autism spectrum even after the introduction of the DSM-V, because the and are still in need of services (Volkmar & newer criteria mandate that symptoms be present McPartland, 2014). from early childhood, even if the child does not have Will, Barnfather, and Lesley (2013) stated that a clear symptoms until social demands exceed his or primary care provider will encounter at least 11 children her ability to respond to situations. Unfortunately, it is with ASD for every 1,000 children they see in their prac- often difficult to identify or describe social inadequacy tice. A lack of understanding of the nuance of behaviors in early childhood, and although the criteria changes in associated with an ASD and use of the new DSM-V the DSM-V encourage earlier diagnosis, these criteria criteria may lead to the failure of advanced practice may lack the specificity for higher functioning children nurses in primary care to fully identify children in (especially if they have comorbid disease) to be diag- need of intervention. The 126 nurse practitioners who nosed even as they grow older. were providers of primary care to pediatric patients The DSM includes core symptom domains and diag- younger than 18 years in the study by Will et al. nostic features. A change from the DSM-IV-TR to the (2013) described a significant lack of competency and DSM-V was a reduction in the core symptom domains. barriers to providing care to children with ASDs. The The core symptom domains for ASD were reduced from purpose of this article is to highlight issues related to the previous three to two: (1) impaired social communi- the new DSM V criteria that relate to the diagnosis and cation and social interaction and (2) restricted, repeti- management of ASDs in all settings and to discuss tive behaviors, interests, or activities (APA, 2013). care coordination for all children with ASDs, but espe- Autistic disorder, Asperger syndrome, and pervasive cially for children previously considered to be higher developmental delay were consolidated into a single functioning or having Asperger disorder (syndrome). ASD classification as well. This change oversimplifies the core symptom identification, making it more diffi- A COMPARISON OF THE DSM-IV-TR AND DSM-V cult to determine just what behaviors may constitute CRITERIA FOR DIAGNOSING ASDS an ASD and confusing providers. The description of Prior to 2013, clinicians used the DSM-IV-TR as a primer the criteria does take the variability of functional impair- for the diagnosis of ASDs. In that version of the manual, ment into consideration by warning of the effects of several disorders were seen as part of a group of perva- context such as environment and developmental stage. sive developmental disorders (PDDs) that later became Behaviors indicative of these core symptoms may known as the autism spectrum of disorders. These dis- be present but may be difficult to discern in certain orders included autistic disorder, Asperger disorder, contexts, or the individual characteristics may be less and general PDD. A number of criteria for ASD and spe- obvious in certain environments or during certain cific categories have been altered for the DSM-V criteria developmental stages. Thus manifestations of the disor- (Volkmar & McPartland, 2014). der are exceptionally varied. A major change from the DSM-IV-TR to the DSM-V The diagnostic features related to an ASD in the was that the overarching umbrella term of PDD was DSM-V have four major criteria: (a) continuous impair- changed for the DSM-V criteria. What was previously ment in interaction and communication that are recip- characterized in the DSM-IV-TR as an ‘‘umbrella’’ of rocal and social in nature; (b) patterns of activities, PDDs with subcategories (APA, 2000) is now a broader interests, and behaviors that are restricted and repeti- concept of a ‘‘spectrum’’ of disorders. This change adds tive; (c) symptoms that are persistent from early child- to the notion that ASDs are not discrete disorders under hood; and (d) symptoms that interfere with everyday one umbrella term but are on a spectrum of similar functioning. These criteria also include a requirement disorders with varying presentations and severity of that characteristics of the individual’s symptoms behavior. Concern about limitations in identifying impede functioning, especially in social and occupa- the subcategories reliably was of concern to many diag- tional areas. In addition, social communication deficits nosticians, thus prompting this change (Volkmar & should not be related to the individual’s level of devel- McPartland, 2014). With this change from categorical opment. There should be an assessment of whether description of discrete disorders to the spectrum, diag- impairments to functioning exceed any problems nosticians were expected to view ASD as a continuum expected based on developmental level (APA, 2013). of mild to more severe symptoms (APA, 2013). Children with characteristics associated with an ASD Many clinicians found that identifying persons with lack the ability to interact with others in positive ways, autism or ASD was difficult given the many variations according to the DSM-V. At home, children with charac- in symptoms and behaviors, especially considering teristics of an ASD may not do well with a lack of order
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or routine. These children often have problems with gest that higher functioning individuals would not meet planning, organization, and coping, which cause diffi- the DSM-V criteria for an ASD. culty in academic situations (APA, 2013). Focus on the idea of functionality or the ability of the HIGH-FUNCTIONING CHILDREN WITH ASD individual to function according to his or her own (FORMERLY KNOWN AS ASPERGER DISORDER) perception is a part of the DSM-V (APA, 2013). Age Although the ASD definition in the DSM-V does include and environmental context affect the child’s perception disorders previously referred to as autism, high- of the situation and the presentation of characteristics of functioning autism, pervasive developmental delay, ASDs. Learning for younger children who are not in pervasive developmental delay not otherwise speci- school usually takes place through social interaction fied, and Asperger disorder, these diagnoses are much with peers in the playground or with parents at home. less clear in the DSM-V (APA, 2013). In the current If the environmental context is not conducive to social DSM-V criteria for ASD diagnosis, the diagnostic criteria interaction and enhancement of social communication, tends toward what was once referred to as ‘‘classic this may have an impact on behaviors and, in turn, the autistic disease,’’ in which children may have obvious appropriate diagnosis. motor signs of an ASD, lower cognition, and/or poor The authors of the DSM-V have created the new diag- to nonverbal responses. The DSM-V criteria, therefore, nosis of social (pragmatic) communication disorder. may raise the ‘‘diagnosis threshold’’ or proverbial diag- This addition may confuse diagnosticians and prevent nostic ‘‘bar’’ for higher functioning, less cognitively accurate diagnosis of children with a potential ASD. impaired children, especially children with the constel- The diagnostic domains in social communication disor- lation of behaviors and symptoms formerly classified as der may overlap with ASD under the determination Asperger syndrome (McPartland et al., 2012). Concerns of impaired verbal communication. It is unclear how have been raised that as a result of these new guidelines severity is determined in these criteria because there many children who once were diagnosed with an ASD is no way to show the effects of even what is considered may no longer be considered to have an ASD or that mild problems with social communication. Children they may fail to be diagnosed at all (Gibbs et al., 2012). with impaired social communication could receive a Asperger disorder was characterized in the DSM- diagnosis of social (pragmatic) communication disor- IV-TR as impairment in social interaction (severe and der instead of a diagnosis of ASD (APA, 2013; Young sustained) causing problems in areas of functioning in & Rodi, 2013). social and occupational domains. Differences in autism disorder and Asperger disorder in the DSM-IV-TR DIAGNOSTIC SENSITIVITY OF THE DSM-V FOR reflected the emphasis on the social aspects of commu- ASD nication such as reciprocal social interaction (APA, The DSM-V criteria have been tested in a number 2000) rather than an emphasis on the severity of of clinical settings with mixed results. Huerta et al. other diagnostic symptoms such as repetitive behaviors (2012) assessed previously collected data for symptoms and/or restrictive interests. of PPD under the newer DSM-V criteria for ASDs. They Social communication has been described as a major found that 91% of children with a previous diagnosis of area of concern for children with Asperger disorder, PDD would retain their diagnosis under the newer defined as a ‘‘higher functioning’’ type of ASD. Asperger DSM-V. However, other diagnosticians have found disorder includes persons with early or age-appropriate that the DSM-V has not been sensitive for symptoms development of speech; however, the reciprocal social of Asperger disorder, and other exploratory studies interaction in body movement and use of speech is have demonstrated lower sensitivities for a diagnosis where persons with Asperger disorder have the most of ASD using the DSM-V criteria to identify children difficulty and fit for the previous DSM-IV-TR criteria (Gibbs, Aldridge, Chandler, Witzlsperger, & Smith, for a diagnosis of an ASD (Lobar, Fritts, Arbide, & 2012; McPartland et al., 2012). Russel, 2008). Pertinent characteristics of Asperger It is not the wording or the inclusion/exclusion syndrome include perceptual, emotional, conceptual, criteria that are of concern in making these diagnoses. and memorization issues (Jordan, 2005). Asperger What is of concern is that the diagnosis of an ASD is syndrome was initially described to include verbal pre- only made when all three criteria are met in the cocity and motor clumsiness and was indicated by a social-communication domain and at least two criteria positive family history (McPartland et al., 2012). are met from the behaviors domain (McPartland et al., Many versions of the defining characteristics of 2012; Young & Rodi, 2013). In a study of diagnosis Asperger syndrome have existed since the original and changes in the DSM criteria, Young and Rodi definition of the syndrome was proposed by Asperger found that 57% of 210 children already diagnosed in 1944. Now it is included in the DSM-V, on the with an ASD under the DSM-IV-TR would not qualify spectrum of ASD, but with limited description (APA, for diagnosis under the DSM-V. Thus these authors sug- 2013; Volkmar & McPartland, 2014). The diagnosis of
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Asperger syndrome previously caused problems in the psychologists, psychiatrists, neurologists, and other completion of research studies that were performed to health care practitioners) used a variety of measures clarify diagnosis and determine the efficacy of and observations to ascertain which of the supposedly interventions. Persons with Asperger syndrome and ‘‘discrete’’ disorders under the ASD umbrella that a pervasive developmental delay (also considered child’s complex symptoms might indicate. Parents ‘‘higher functioning’’) have many of the same must be involved in evaluation and coordination of ser- problems that grossly affect all areas of daily living, vices based on these diagnoses (Florida Department of especially in the school setting (Teitelbaum et al., 2004). Education, Division of Public Schools, Bureau of Exceptional Education and Student Services (BEESS), BARRIERS TO DIAGNOSIS AND MANAGEMENT 2012; Feinberg & Ladew, 2011). AFTER IMPLEMENTATION OF THE DSM-V Lobar, Fritts, Arbide, and Russell (2008) discussed diffi- DIAGNOSTIC ASSESSMENTS BEYOND THE DSM culties in diagnosing Asperger disorder and the conse- Volkmar and McPartland (2014) noted that assessment quences of being marginalized in the academic setting includes much more than just the DSM criteria. because the indicators are not recognized by many pri- Screening assessments and instruments have been mary care providers. These authors highlighted the used in addition to the DSM criteria with varied effects descriptors and indicators that characterize children because of the nature of the instruments. Some of these with Asperger syndrome. Behaviorally, children with instruments and assessments rate the deviation from the Asperger disorder (or syndrome) tend to be clumsy norm, whereas others rate the severity of symptoms or dyspraxic, hyperactive, impulsive, and lacking in within the diagnostic category. All of these issues may judgment. Symptomatically, they may have pedantic complicate the purpose of the diagnosis and the inter- or oddly toned speech that begins in the preschool ventions used to help children and their families with years. They demonstrate difficulty with sharing in services. preschool, reciprocal speech, maintenance of peer Most symptom checklists are completed by parents. relationships, poor use of personal/social space, and Many parents will not be able to identify reciprocal unusual sensations and attentional states, all of which and social symptoms accurately at younger ages affect their behavior and success in all settings (school when developmental levels may be the cause for and social). Often shunned or bullied, their self- many such behaviors. For example, 2- to 3-year-olds esteem is damaged, and they underachieve in school. displaying anger, temper tantrums, and obstinate Excessive exposure to hypersensitivities such as sound behaviors may not be seen by parents as having prob- that may be innocuous to the neurotypical child can lems in interaction. Children who point to objects rather trigger overarousal, severe agitation, and panic (APA, than ask for them at ages 3 to 5 years may just be replay- 2000; Lobar et al., 2008). ing a parent’s question as to what they desire instead of exhibiting lack of speech. DIAGNOSIS AND MANAGEMENT OF ASD IN THE Diagnostic and screening tools such as the Modified MEDICAL HOME BY PRIMARY CARE Checklist for Autism in Toddlers may still be used to PROVIDERS determine the possibility of the disorders; however, it Liptak, Stuart, and Auringer (2006) studied a national is recommended that multiple instruments specific sample of 80 children diagnosed with ASD across the to the symptoms and context of the behaviors be United States. Surveys from the Medical Expenditure used. Interviews with caregivers, questionnaires about Panel and National (Hospital) Ambulatory Medical behaviors, and observations by primary care providers Care were used to compare children diagnosed with in different contexts will increase the reliability of diag- ASD (according to the DSM-IV-TR) with the general noses over time (APA, 2013). Problems with intellectual population in pediatric settings. Children with ASD abilities may obscure the diagnosis because there are were found to have more medications prescribed and other diagnoses more appropriate to this category, more outpatient visits, and they spent more time with such as intellectual disability. the physician provider than did other children. The data suggested that children with an ASD incur a signif- CARE COORDINATION AND EDUCATIONAL icant financial burden as well, with annual expenses MANAGEMENT AND SERVICES FOR for children with ASD reported at an average of HIGH-FUNCTIONING CHILDREN WITH ASD $6,132 compared with ‘‘other children’’ with an average Hyman and Johnson (2012) noted that children with expenditure of $860. ASDs and their families would receive more continuity As part of the umbrella of disorders classified under of care, increased screening, and developmental the previous criteria, the DSM-IV-TR, children with surveillance, as well as better management of care Asperger disorder and pervasive developmental delay (including needed services), in the medical home (a qualified for services under the Individuals with Dis- primary pediatric setting). The medical home concept abilities Education Act. Diagnosticians (ranging from was developed by the Maternal Child Health Bureau
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in collaboration with the American Academy of Pediat- intervention and facilitation of IEP goals. No studies rics (AAP) to promote family centered, continuous were found in a review of literature related to primary and comprehensive, compassionate and culturally care providers, diagnosis of ASDs, care coordination, effected care (National Center for Medical Home and school communication; however, a majority of Implementation, American Academy of Pediatrics, the services needed by school-aged children are coor- n.d.). Additionally, the medical home has been identi- dinated by the school if the child is in a public educa- fied as a possible partnership between families and pro- tional institution (Center for Parent Information and viders that supports access to and use of needed Resources, 2007; Feinberg & Ladew, 2011; Florida services and community support necessitated by Department of Education, Division of Public the child’s care needs (Sadof & Nazarian, 2007). Unfor- Schools, BEESS, 2012). tunately, this is not currently the case. Diagnosis and The AAP has defined care coordination as management of ASDs in the medical home would happening when a plan of care is implemented by a require an understanding of the changes in diagnostic variety of service providers in an organized way criteria, in-depth knowledge of developmental differ- (AAP, 2005). The providers responsible for care coor- ences found in children with ASDs, and the ability of dination have a role in education, communication, the provider to help the family coordinate care with and resource provision for children and families specialty services (Johnson, Myers, & The Council on (AAP, 2005). Benefits of care coordination should Children with Disabilities, 2007). include reduced school absenteeism, limited visits to Providers in primary medical home care include emergency departments, access to resources, and pediatricians, nurse practitioners, and/or physician increasing skills in self-management and transitions assistants with varied training, and it is not known for families and their children (McAllister, Presler, & how this may affect the actual diagnosis of ASDs and Cooley, 2007). level of severity (Hyman & Johnson, 2012). The health Care coordination must include communication with care provider in the medical home comes into contact the school. Some students, especially those with an with parents more often than other providers of ASD, may not be part of the general education but specialty care and should be the first to hear parental may require special education programs because of concerns. Lobar (2014) found that parents of children learning disabilities or exceptional abilities. Children diagnosed with an ASD had many concerns about with symptoms of ASD (including those who are service access and the appropriateness of services, considered ‘‘higher functioning’’) usually require assis- especially in the school setting. tive educational services and an IEP. The IEP is a Carbone, Behl, Azor, and Murphy (2009) used focus tangible plan that outlines the special education and groups to compare parents’ and physicians’ percep- services needed by these children individually and, tions of the medical home for children suspected of by law, is provided free of charge (Feinberg & Ladew, having an ASD and those already diagnosed. They 2011). found that participants, both parents and pediatricians, An IEP must be developed after determination of described the medical home as ‘‘lacking’’ in meeting the eligibility based on procedures such as aptitude and needs of children with ASDs. Parents stated that they achievement tests, parent input, and teacher recom- did not feel that pediatricians responded to their con- mendation that confirm a learning disability. Specific cerns about child development in a timely fashion learning disabilities include inadequate performance and that care did not meet the goals of the medical in oral expression, listening comprehension, written home (i.e., care that is family-centered, comprehensive, expression, basic reading or reading fluency skills, and coordinated). Pediatricians talked about a lack of reading comprehension, mathematics calculation, and time, training, and resources to implement the goals problem solving (Center for Parent Information and of the medical home. Resources, 2007). Learning disabilities often stem Specialty services are often provided in the school from diagnoses such as ASDs or other developmental while children are in regular or special education clas- disabilities. ses when they have a diagnostic label as having an The IEP is developed, reviewed, and revised in ASD. Bellando and Lopez (2009) suggested that school a meeting with the IEP team composed of the parent, nurses are very important to the process of school regular teacher, special education teacher, a school intervention for children with ASDs in that they might representative, and/or other professionals such as a assist in early identification and interventions for psychologist, speech therapist, or occupational health issues. These authors also suggested that the therapist, according to the child’s needs. The state- school nurse is responsible for the individual health ment must include present levels of achievement, record, noting any health concerns and interventions how the disabilities affect learning, specific measur- for children in school and the Individualized Educa- able goals, progress toward goals, periodic tional Plan (IEP). These authors also noted that the reports, participation with nondisabled children, school nurse should be a member of a team effort for and accommodations for assessments (Center for
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Parent Information and Resources, 2007). Besides disorders. They found that lower cognitive ability being a legal requirement, the IEP should be an and communication skills were associated with the effective tool when developed and used correctly types of placement in special education and main- to meet the special needs of children with disabil- streaming and that most of the children in this study ities. However, as with any other intervention, effi- stayed the same placement in which they began in cacy depends on inherent inaccuracies that may be school in the first grade. Students did receive special caused by inadequate assessment, unrealistic goals, services in school with emphasis placed on their cogni- and other causes such as limited use or misuse of tive ability rather than any social problem that may the IEP. Periodic reports and revision of the IEP interfere with schooling, academic success, and transi- should help assess and address any weaknesses. tions to middle school, high school, and beyond.
THE NURSE PRACTITIONER, SCHOOL, AND CONCLUSION
CHILDREN WITH ASDS Changes in the DSM-V have altered the landscape of diagnosis and intervention for children who may have Falkmer, Anderson, Falkmer, and Horlin (2013) noted qualified as having an ASD under the previous DSM- that diagnosing an ASD is time consuming, requiring a IV-TR criteria. Children previously diagnosed with multidisciplinary approach to assessing all informa- Asperger syndrome or pervasive developmental delay tion such as development and behavioral history. may not meet criteria for services in school under The primary care setting in the medical home is ill the DSM-V, impacting both children and their parents equipped for such an approach. One way to alleviate this problem is to use the school setting as an initial in managing their symptoms. Additionally, the push point of evaluation, referral, and/or care coordination. to diagnose these children in a medical Children previously School psychologists can be helpful in this setting as home setting has met part of the team of professionals to evaluate the child diagnosed with with certain problems not only for whether they have an ASD but what the child’s educational needs may be. School nurse practi- related to continuity of Asperger services and care coor- syndrome or tioners have been identified as key personnel in the dination. The school school setting to facilitate care coordination in diag- pervasive nosis, referral, and management of needs. Setting pri- system has a major orities for an individual health plan and/or role in determining developmental the types of interven- delay may not meet participating in the development of goals for the IEP tions that are imple- would help the school nurse practitioner intervene criteria for services mented for children with students and families to promote better care coor- dination because they are involved in the school and with a potential diag- in school under the nosis of ASD. Health DSM-V, impacting have knowledge of the child’s needs (Bellando & care professionals in Lopez, 2009). both children and Mossman Steiner, Goldsmith, Snow, and Chawarska communication with (2012) noted the difficulties of completing a structured the school system may their parents in be in the best position managing their assessment with children who have ASDs. They stated to assess children and that the most significant factor in influencing the out- symptoms. to offer their services comes of an ASD screening is where the diagnostic pro- in care coordination, cess takes place. According to this group, if a child is thus leading to better academic outcomes, employment assessed in an environment that accommodates his or opportunities, and eventually greater independent her attentional and learning style and motivational fac- tors, even a child with the most challenging behavioral living. traits can complete a standard assessment. The DSM-5 Many thanks to the master’s students who helped explicitly states ‘‘symptoms may not be fully manifest with a review of the literature. until social demand exceeds capacity’’ for the child with an ASD (APA, 2013; Coury et al., 2014, p. 29). The goal of both the DSM-5 and the academic team is REFERENCES to determine the severity of the child’s needs in order American Academy of Pediatrics. (2005). Care coordination in the to identify the interventions most likely to optimize so- medical home: Integrating health and related systems of care cial competence and minimize hypersensitivities. for children with special health care needs. Pediatrics, 116(5), White, Scahill, Klin, Koenig, & Volkmar (2007) stud- 1238-1244. American Psychiatric Association. (2000). Pervasive developmental ied child characteristics associated with educational disorders. In: Diagnostic and statistical manual of mental disor- placement and service use for children identified ders (4th ed. rev., pp. 69-84). Arlington, VA: American Psychi- as high-functioning and on the autistic spectrum of atric Association.
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