The purpose of this chapter is twofold. First, we
will briefly review three generally accepted approaches to
neuropsychological assessment. Second, we will present our
transactional assessment approach. This discussion will include
evaluation methods for selected functional areas of the central
nervous system. The conceptual framework underlying each battery
and research with each approach will also be presented.
Approaches to Child Clinical Neuropsychological Assessment
Halstead-Reitan-Indiana Assessment Procedures
The Halstead-Reitan neuropsychological procedures
are the most commonly used batteries available in this country
(Nussbaum & Bigler, 1997), and
the most well researched neuropsychological battery available.
Halstead originally developed a series of tests to measure frontal
lobe dysfunction in adults, and Reitan later added new tests and
recommended the battery for various types of brain damage in
children (Reitan & Wolfson, 2004). The Halstead-Reitan
batteries contain measures necessary for understanding the
brain-behavior relationship in children and adolescents.
Conceptual Model for the Halstead-Reitan Methods
Reitan and Wolfson (1985) indicate that attempts to develop a set of
assessment measures resulted in a conceptual model of brain
function that is incorporated in the Halstead-Reitan Battery. The
battery consists of six categories representing the behavioral
correlates of brain function: (1) input measures; (2) tests of
concentration, attention, and memory functions; (3) tests of verbal
language abilities; (4) tests of visual-spatial, sequential, and
manipulatory functions; (5) tests of abstraction, reasoning,
concept formation, and logical analysis, and (6) output measures
(Reitan & Wolfson, 1985, p.
4).
Reitan and Wolfson (1985) further argue that a neuropsychological
battery must have three components: (1) items that measure the full
range of psychological functions of the brain; (2) strategies that
allow for interpretation of individual brain functions, and (3)
valid procedures demonstrated through empirical and clinical
evaluation and applications. The neuropsychological batteries for
children and adolescents were developed with these components in
mind.
Halstead-Reitan Neuropsychological Batteries for Children
Reitan designed two batteries for children, the
Halstead-Reitan Neuropsychological Battery for Older Children
(HRNB-OC; 9–14 years) and the Reitan-Indiana Test Battery (RINTB;
5–8 years); see Table 8.1. Adolescents 15 years and older are
evaluated using the Halstead-Reitan Battery for Adults. Reitan and
Wolfson (2004a, 2004b) developed a screening battery for both
the HRNB-OC and the RINTB. See Reitan and Wolfson (1992a, 1992b,
2004a, 2004b) for an in-depth description of the
HRNB-OC, the RINTB, and the two screening batteries. Table
8.2 lists the
various subtests and the abilities associated with each of these
measures.
Table
8.1
Subtests of the Halstead-Reitan
neuropsychological test batteries
Functional Skills
|
Halstead-Reitan battery (9–14 Years)
|
Reitan-Indiana battery (5–9 Years)
|
---|---|---|
Motor functions
|
Finger tapping
|
Finger tapping
|
Grip strength
|
Grip strength
|
|
Tactual performance test (total time)
|
Tactual performance (total time)
|
|
Marching test
|
||
Visual-spatiala
|
Trails Part A
|
Matching figures
|
Matching V's
|
||
Matching pictures
|
||
Star drawing
|
||
Concentric squares
|
||
Target
|
||
Sensory-perceptual
|
Tactile perception
|
Tactile perception
|
Tactile form recognition
|
Tactile form Recognition
|
|
Tactile localization
|
Tactile localization
|
|
Fingertip writing
|
Fingertip writing
|
|
Alertness and
concentrationb
|
Speech sound perception
|
Progressive figures
|
Immediate memory
|
TPT-memory
|
TPT-memory
|
TPT-localization
|
TPT-localization
|
|
Reasoning
|
Category test
|
Category test
|
Trails Part B
|
Color form
|
Table
8.2
Abilities assessed by the HRNB and HINB in
children and adolescents
Function
|
Subtest
|
Requirements
|
R/L Differentiation
|
Abilities
|
Localization
|
---|---|---|---|---|---|
Motor
|
Finger tapping
|
HINB and NRNB: Children tap mounted key
5–10 second trials with dominant and nondominant hand
|
Dominant hand expected 10% faster
|
Motor speed and coordination
|
Frontal lobe
|
Motor
|
Grip strength
|
HINB and HRNB: Squeeze on dynamometer,
alternate hands, 3 trials dominant/non-dominant
|
Dominant hand expected to be stronger
|
Sensitive to R/L weaknesses in motor
cortex
|
Frontal lobe
|
Motor
|
Tactual performance test (TPT)
|
HINB & HRNB: (a) Place 6 blocks onto
board while blind-folded with dominant/nondominant
|
Expect 1/3 improvement over trials
|
Motor and sensory functions, kinesthetic
functions
|
Frontal lobe
|
Memory
|
(b) Draw location of blocks from
memory
|
No
|
Spatial memory
|
Global
|
|
Visual
|
Trails Aa
|
HRNB: Child connects circles sequentially
as quickly as possible
|
No
|
Motor speed Visual-perception and symbol
recognition
|
|
Sensory
|
Tactile perception test
|
HRNB and HINB: Back of hand and face are
touched either separately or together with eyes closed
|
Errors on RH-implicates left hemisphere and
LH errors implicate right hemisphere
|
Sensory stimulation
|
Contralateral parietal lobe
|
Auditory perception test
|
Examiner stands behind child and lightly
rubs fingers together. Child indicates where sound is (unilateral
or bilateral presentations)
|
Yes
|
Auditory stimulation
|
Temporal lobe
|
|
Visual perception
|
Examiner produces a finger movement at eye
level, above and below eye level
|
Yes
|
Visual fields peripheral, unilateral, and
bilateral
|
Visual pathwayVisual fields
|
|
Tactile form recognition TRF
|
Child extends hand through opening in
board, and a cross, square, or triangle is placed in hand
|
Yes
|
Tactile form recognition
(stereognosis)
|
Parietal lobe
|
|
TRF
|
Child points to same shape on front of
board
|
||||
Sensory
|
Fingertip writing (FTW)
|
HRNB: Numbers are traced on palm while
child watches. Then, 3–are traced on fingertips with eyes
closed.
|
Yes
|
Tactile perception, attention can be a
factor in performance
|
Peripheral nervous system parietal
lobe
|
HINH: X's and O's are traced.
|
|||||
Finger localization test
|
Examiner lightly touches each of child's
fingers with eyes closed. Child indicates which finger was
touched.
|
Yes.Errors on RH implicates left hemisphere
and RH errors implicates right hemisphere.
|
Tactile perception discrimination and
attention to tactile stimulation
|
Unilateral errors implicatecontralateral
parietal lobe-can also occur with bilateral errors
|
|
Alertness and Concentration
|
Speecha sounds perception
test
|
60 nonsense words presented on tape
recorder. Child underlines correct sound from 4 alternatives
|
No
|
AttentionAuditory discrimination
cross-modal matching
|
Global anterior left-hemisphere deficits
(Teeter, 1986)
|
Rhythma
|
Thirty pairs of rhythms are presented on
tape recorder. Child writes S or D if pair is same or
different.
|
No
|
Attention, auditory perception, and
concentration
|
Global
|
|
Abstract reasoning logical analysis
|
Category test
|
80 items HINB, 168 items HRNB: Visual
stimulus is projected on screen, and child selects one of four
stimuli that corresponds to the original. If correct, bell rings.
Incorrect: A buzzer sounds
|
No
|
Abstract concept formation, mental
efficiency and flexibility, learning skills
|
GlobalSensitive to right frontal lobe
dysfunction in older children (Rourke et al., 1983)
|
Trails Ba
|
Series of circles alternating between
letters (A–G) and numbers (1–8). Child connects circles alternating
numbers-letters-numbers, etc.
|
No
|
Simultaneous processing, flexibility in
planning
|
Global
|
|
Language
|
Aphasia screening test
|
HRNB items: Naming, drawing, reading, math,
and spelling
|
Yes
|
Receptive language and expressive language,
dyspraxia, word naming
|
Language items relate to left hemisphere.
Constructional items related to right hemisphere reading,
calculation, articulation, right/left discrimination
|
The
following items are in HINB for younger children only:
|
|||||
Visual-spatial
|
Matching pictures that are identical, then
in same category
|
No
|
Perception generalization reasoning
|
Global
|
|
Matching V's and figures, concentric
square, and star
|
Matching group of figures, or group of V's
of differing widths; copying complex concentric square and
star
|
No
|
Visual-perception and motor abilities
|
Association areas
|
|
Target test
|
Consists of large cardboard poster with
nine printed dots. Examiner taps out a series of dots and after
3-second delay child reproduces series on protocol
|
No
|
Visual and spatial memory abilities
|
Association areas
|
|
Motor
|
Marching test
|
Child follows a sequence of circles
connected by lines up a page touching each circle as quickly as
possible, using right, left, and both hands
|
Yes
|
Gross motor function and coordination
|
Global
|
Alertness and concentration
|
Progressive figures
|
8 large shapes with small shapes inside.
Child moves from the small shape inside to a large figure with same
shape
|
No
|
Visual perception, motor speed,
concentration, and cognitive flexibility
|
Global
|
Reason
|
Color form test
|
Geometric shapes of different colors on
board. Child touches one figure then another, moving from
shape-color-shape-color, etc.
|
No
|
Simultaneous processing and flexibility in
planning
|
Global
|
One of the major shortcomings of the CHRNB has
been inadequate norms, and insufficient reliability and validity
information (Davis, Johnson, & D’Amato, 2005; Strauss, Sherman, & Spreen,
2006). Over the years Reitan
developed and expanded his approach for analyzing the CHRNB (9–14
years) and the RINB (5–8 years). Interpretation typically focuses
on a Multiple Inferential Approach, including an investigation of
Level of Performance, Pathognomonic Signs, Patterns of Performance,
and Right-Left Comparisons. Reitan (1986a, 1987)
also developed the Neuropsychological Deficit Scale (NDS), a
scoring and interpretation model for these batteries, which
incorporates multiple factors. The Functional Organization
Approach, proposed by Fletcher and Taylor (1984), is less inferential and places
neuropsychological measures within a developmental and contextual
framework. Each of these approaches will be briefly described and
critiqued.
Multiple Levels of Inference
Reitan (1969) and Selz and Reitan (1979b) developed an interpretive system using
four levels of inference: Level of Performance, Pathognomonic-Sign,
Differential/Pattern of Scores, and Right-Left Differences.
Level of Performance
Interpretive guidelines for the batteries have
discussed the importance of determining the Level of Performance by
comparing the child's scores to those of a normative group. In an
attempt to expand available norms, Findeis and Wright
(1995) developed metanorms from 20
published articles from 1965 to 1990. Tombaugh (2003) also expanded norms for the Trail Making
Tests A and B for the 18–89-year-old group, but not for the younger
ages.
Standard score comparisons are typically employed
in this method, where two standard deviations below the mean are
often used as the benchmark for consideration as significantly
below normal, and 1.5 standard deviations below the mean suggests
mild impairment. While a normative approach may be essential for
children in the five- to 15-year range, there are reasons to use
caution with a Level of Performance analysis in isolation (Nussbaum
& Bunner, in press). First, normal or abnormal levels of
performance do not unequivocally confirm or disconfirm abnormal
brain function (B. P. Rourke, 1981). Recovery of function may affect a child's
level of performance such that a brain-injured child may reach
normal performance. Other children may be falsely identified as
neuropsychologically impaired as a result of other factors,
including motivation, psychopathology or significant language
deprivation (Teeter, 1986). Barron
(2003) also suggests that there
other factors that affect performance on these tests including a
lack of motivation, inattention and low frustration tolerance. To
be most reliable and valid, the Level of Performance approach
should be used in conjunction with other interpretive
factors.
Pathognomonic Sign Approach
One of the most common methods of analyzing
neuropsychological data has been the deficit or pathognomonic sign
approach. This approach was developed from research findings
showing that certain items on neuropsychological batteries,
particularly those items from the Aphasia Screening Test, occurred
almost exclusively in brain-damaged individuals and not in normal
individuals (Wheeler & Reitan, 1962).
The pathognomonic approach has been moderated by
other findings demonstrating that false negatives can be common
when this approach is used in isolation (Boll, 1974). Analyzing these signs is also particularly
complicated in children because of wide developmental variations in
acquiring some skills in typically developing children (Teeter,
1986). To be considered
pathognomonic, it must be proved that the child at one time had
acquired the skill prior to injury or insult. Although this is
usually easier to establish in older children and adults, the
pathognomonic sign approach is rarely advocated in isolation.
Pattern of Performance Approach
The differential score or Pattern of Performance
approach involves developing an overall gestalt of the various
performance patterns of the individual. In this method, the
examiner builds a profile of individual strengths and weaknesses on
test scores and begins to make inferences about the
neuropsychological status of specific and global brain function
based on these patterns. For example, a pattern of clear
right-handed weaknesses on sensory and motor measures (e.g.,
elevated time for the right hand Tactual Performance Test (TPT)
score and low tapping speed with the right hand), in conjunction
with poor performance on the Speech Sounds Perception test and
borderline Verbal Intelligence (IQ) scores (compared to normal
Performance IQ), might suggest a pattern of left-hemisphere
weaknesses. Reitan (1971) also reports that children and adults
show similar patterns of performance on some tests: low scores on
Part B of Trails compared to good scores on Part A has been found
in individuals with left-hemisphere weaknesses, and poor
performance on the Speech Sounds Perception Test is often found in
individuals with left-hemisphere impairment.
Rourke, Bakker, Fisk, and Strang (1983) indicate that this method of
interpretation is problematic for young, severely involved
children. However, the Pattern of Performance approach has been
broadly adopted by some neuropsychologists in their quest to
identify meaningful subtypes of learning disabilities (Nussbaum
& Bigler, 1986; B. Rourke,
1989).
Right-Left Differences
Reitan (1986a,
1987) suggests that Right-Left
Differences can be a useful adjunct to understanding a child's
neuropsychological performance. Table 8.3 reports right-left
sensory and motor signs based on the Halstead-Reitan batteries for
children. Reitan (1987) states
that right-left indices can be a useful method for comparing the
status of the two cerebral hemispheres, because even young children
(5–8 years) have developed consistent hand preferences for simple
motor tasks. Reitan (1987) further
argues that right-left differences rely on “basic neuroanatomical
structure and organization rather than higher-level
neuropsychological functions that have been developed through
educational and environmental influences and experiences” (p. 6).
Table
8.3
Right–left sensory and motor signs on the
Halstead-Reitan neuropsychological test battery
Motor and sensory items
|
Left-Hemisphere signsa
|
Right-Hemisphere signs
|
---|---|---|
Finger-tapping
|
Lower right hand tapping
|
Lower left hand tapping
|
Tactual performance test
|
Lower right hand scores
|
Lower left hand scores
|
Grip strength
|
Lower right hand scores
|
Lower left hand scores
|
Finger localization
|
Higher errors–right hand
|
Higher errors–left hand
|
Fingertip writing
|
Higher errors–right hand
|
Higher errors–left hand
|
Tactile perception
|
Higher errors–right hand
|
Higher errors–left hand
|
The extent to which right-left differences
differentiate between brain-damaged and normal children is also of
interest. Reitan (1987) found that
this method of analysis had less overlap between a normal control
group and children with brain damage when compared to the Level of
Performance or the Aphasia Screening Test. Reitan also argues that
it is important to identify children who lag behind in the basic
biological organization of the brain (e.g., sensory and motor
functions), which can be related to learning problems that may
require remediation. Sensory and motor pathways are “essentially
equivalent among younger children, older children and adults”
(Reitan, 1987, p. 40). While the
right-left approach can differentiate brain-damaged from normal
children, it is not recommended in isolation or as a substitute for
a comprehensive neuropsychological evaluation.
Neuropsychological Deficit Scale Approach
The Neurological Deficit Scale (NDS) incorporates
a method for determining the child's Level of Performance,
Right-Left Differences, Dysphasia and Related Deficits, and cutoff
scores for differentiating brain-damaged from normal youngsters for
each battery. The NDS also provides a total score for measuring the
overall adequacy of neuropsychological functioning in children. Raw
scores are weighted as Perfectly Normal (score = 0), Normal (score
= I), Mildly Impaired (score = 2), or Significantly Impaired
(score = 3) on the basis of normative comparisons. When using the
NDS approach, the examiner takes the following steps: (1) converts
raw scores on each test to corresponding weights (0, 1,2, or 3)
based on normative tables provided by Reitan (1986a, 1987);
(2) calculates right-left difference scores by dividing the score
of the nondominant hand by that of the dominant hand, subtracting
from 1.00, and converting to weighted scores; (3) makes clinical
judgments following Reitan's (1984) guidelines for scoring the Aphasia
Screening Test and assigns NDS scores; (4) totals weighted scores
across each factor, Level of Performance, Right-Left Differences,
and Aphasia Test, and (5) totals the weighted scores on 45
variables for older children and 52 variables for younger children
to obtain a Total NDS Score. Reitan provides cutoff scores for
brain-damaged versus normal children on the Total NDS score and for
each of the factor scores.
Separate tables are available to analyze the
neuropsychological test results of older children (Reitan,
1986a) and younger children
(Reitan, 1987). Although the NDS
approach seems to be an extension of an earlier standardized
scoring procedure (“Rules for Neurological Diagnosis;” Selz and
Reitan (1979a)), the normative group used to develop the weighted
scores reported in the tables is not clearly described in recent
test manuals available for the child batteries.
Several other methodologies use and interpret the
Halstead-Reitan battery including the normative analysis, the
biobehavioral, and the pragmatic approach. These approaches are
briefly described.
Normative Analysis of the Halstead-Reitan Neuropsychological Tests
The normative analysis differs from the “level of
performance” approach (+2 Standard Deviations above the mean) by
analyzing scores on a continuum rather than cut-offs scores; brain
damage is either present or absent. Clinicians use the metanorms to
determine a child’s performance within a normative framework
(Findeis & Wright, 1995)
rather than as dichotomous criteria for determining brain damage
versus no brain damage (Nussbaum & Bigler, 1997; Nussbaum & Bunner, 2008).
Biobehavioral Approach
The Biobehavioral Approach employs a broader,
more comprehensive method for interpreting test data and was first
proposed by Taylor and Fletcher (1990). This model assumes that
neuropsychological functioning occurs with a context, with
behavioral as well as neurocognitive, biological and genetic
variables interacting and affecting how a disability is manifested
(Nussbaum & Bunner, 2008). First, neuropsychological assessment
includes information from four major sources: (1) presenting
problems; (2) cognitive and psychosocial characteristics; (3)
environmental, sociocultural and historical variables (e.g., family
and school history), and (4) biological and genetic vulnerabilities
(i.e., family history).
Second, the biobehavioral approach assesses other
child and environmental factors that impact the child’s basic
neurocognitive functions in order to determine the intensity of the
disability. These factors may also diminish the disability. Third,
it is likely that an uneven profile of performance is associated
with disabilities and it is critical to understand the variability
to fully appreciate the nature of the disability. Fourth, the
clinician must determine the impact of the environment on the
neurocognitive functioning of the child. Fifth, neurocognitive
deficits influence and ultimately limit the behavioral competencies
of the child. These deficits are moderated by family and
environmental factors. Finally, neurocognitive deficits must be
interpreted within a developmental framework, and are considered
correlational and not causal.
Pragmatic Approach
The Pragmatic Approach offers a more flexible
model (Barron, 2003). Barron
suggests a more fluid, non-battery approach for neuropsychological
assessment. He advocates a tailored assessment of the child’s
strengths and weaknesses that can yield information for targeted
interventions. Barron suggests other tests to assess a full
spectrum of the child’s assets and deficits.
Research Findings with CHRNB and HINB
While there have been relatively few studies on
the CHRNB and HINB over the past decade, two studies are
noteworthy. First, Vanderslcie-Barr, Lynch, and McGaffrey
(2008) found that the screening
batteries for the older and younger child produced a high
percentage of correct classifications for determining normal or
impaired function using archival data from a neuropsychological
clinic. The authors found that the screening battery,
neuropsychological deficit scale score (SBNDS) for older children
had an 85 percent accuracy rate (cut-off scores 16/17), while a
cut-off of 22/23 was 100 percent accurate for younger
children.
Bello, Allen, and Mayfield (2008) investigated the sensitivity of the
Children’s Category Test level 2 (CCT-2) to determine brain
dysfunction in children with attention–deficit hyperactivity
disorder (ADHD) and children with structural brain damage. Although
the Category test was found to be psychometrically sound, it did
not differentiate children with brain damage from those with ADHD.
The CCT-2 was not particularly sensitive to brain damage; further,
both groups performed within the normal range. The authors conclude
“we would recommend against the use of the CCT-2, including its
factor and subtest scores, for clinical and research applications
that aim to draw conclusions regarding the impact of brain injury
on abstraction and problem solving abilities” (Bello et al.,
2008, p. 338). They recommend using
the longer version of the Category test within a comprehensive,
larger battery.
Historically, studies utilizing the HRNB-OC and
HINB have focused on the ability of these batteries either to
distinguish between children with brain damage and those with
learning disabilities, or to elucidate the profiles achieved by
differing disorders (e.g., conduct disorder, psychiatric
disorders). The longer Category test is the best discriminator for
children with learning disabilities. Results of studies attempting
to distinguish children with learning disabilities from those with
brain damage and typically developing children suggest that
children with LD have normal motor development with consistent
weaknesses on the Category test (Shurtleff et al., 1988). Moreover, a relationship between reading
and/or math difficulty and the Category test has been found
(Shurtleff et al., 1988; Strom,
Gray, Dean, & Fischer, 1987).
Intelligence scores show moderate correlations
with the HRNB-OC (Shurtleff et al., 1988). In a review of studies that attempted to
differentiate learning-disabled from brain-damaged children using
the HRNB-OC, Hynd (1992) suggested
that differential performance on intelligence tests may account for
much of the ability of the HRNB-OC to discriminate between the two
groups. On the other hand, Strom et al. (1987) found that the HRNB-OC provided unique
data that were not redundant with data from the WISC-R. Because the
issue of the overlap between the WISC-R and the HRNB-OC has not
been resolved, it is important that the clinician recognize the
overlap between the two measures and take intelligence into
consideration when interpreting results.
In addition to the caution as to the influence of
intelligence on performance on this battery, children with
psychiatric disorders have also performed poorly on the HRNB-OC
(Tramontana, Hooper, & Nardillo, 1988). The HRNB-OC's ability to distinguish
children with psychiatric disorders from children with brain damage
is not clear from existing research. This finding is consistent
with the adult Reitan Battery, which also is not diagnostically
specific for brain damage versus psychiatric disorder (Hynd &
Semrud-Clikeman, 1992). The length
and expense of the battery for general use with clients is another
concern. The average amount of time to administer the battery
ranges from six to 12 hours. Reitan (1986b) suggested that although reducing the
length of the battery or developing a screening protocol would have
value, the information necessary to answer referral questions makes
the development of a screening protocol problematic. Alth-ough
Reitan demonstrated a remarkable hit rate for his ability to
determine brain damage (Selz & Reitan, 1979a, 1979b),
there has not been sufficient documentation of the battery's
ability to localize dysfunction or predict recovery from brain
injury (Hynd, 1992). Furthermore,
the HRNB-OC does not have adequate norms, and lacks detailed
information on the validity and reliability of the battery.
Finally, the HRNB-OC requires intensive training
for administration and interpretation of results, which also can be
problematic for its use in general clinical or school environments.
It may be more appropriate for general clinicians to use other
measures to screen for possible neuropsychological involvement and
to refer clients to a trained neuropsychologist for a full
evaluation if areas of concern are identified. “In terms of future
directions for the HRNB-OC and the RINB, if the HRNB-OC is to
remain relevant and employed as a battery, then it should be
updated with broader and more indepth measures, particularly in
areas such as memory and attention” (Nussbaum & Bunner, 2008,
p. 264).
Luria Theory of Neuropsychological Assessment for Children
Few would question the importance of the
contributions made by the Russian neuropsychologist A. R. Luria,
although some have been skeptical about the manner in which his
clinical procedures have been standardized into a battery for
assessing brain functions (Lezak, 1983). Luria originally described assessment
procedures that varied from patient to patient depending on the
specific brain area of concern. Attempts to standardize these
procedures have been met with enthusiasm by some neuropsychologists
and criticism by others. While the Luria-Nebraska
Neuropsychological Battery for Children-Revised (LNNB-CR) was an
attempt to standardize Luria’s approaches, the battery is rarely
used in clinical practice. Newer cognitive and neurocognitive
assessment procedures represent innovative applications of Luria’s
conceptual model.
Luria’s Conceptual Model
Luria (1980)
described brain activity in terms of functional that incorporated
elements of localization and equipotential theories. Localization
theorists argued that specific brain regions were responsible for
discrete brain functions with visual functions in the occipital
lobe, auditory functions in the temporal lobe, and so on (Kolb
& Whishaw, 2003).
Equipotential theorists pointed out that complex human behaviors
are controlled by functional CNS regions in such a way that when
one portion is damaged, another adjacent or analogous region can
assume its function (Kolb & Whishaw, 2003).
Luria's theory was different from other
hypotheses at the time because he made four major assumptions:
- 1.
Only specific parts of the brain (not all) are involved in forming a behavior.
- 2.
No equipotentiality of brain tissue is hypothesized. Rather, brain tissue is conceptualized as being specialized for function, both psychologically and physiologically.
- 3.
Behavior is conceived as a function of systems of brain areas working in concert rather than unitary and specific areas producing set behaviors. Therefore, a given behavior will be impaired when any part of the functional system responsible for the behavior is impaired.
- 4.
Luria proposed that alternative functional systems exist—that is, a given behavior can be produced by more than one functional system. Therefore, the clinician will at times see no deficits when such deficits are expected given the locus of damage and at other times see deficits when no known damage is present. If the nature of the task is changed, then the locus of information processing will be changed and another input or output modality utilized. Thus, damage to areas controlling lower skills can be compensated for by areas controlling higher skills.
Research supports aspects of each of these
theories in various degrees because functions appear localized to
some extent; however, a particular behavior may be impaired because
of damage to a number of different brain areas. Kolb and Whishaw
(2003) suggest that the important
questions center on how damage to a particular site can affect
specific behaviors or performance. Luria's functional systems
approach conceptualizes brain function as follows. Luria
(1980) discussed three functional
units as: (1) the arousal unit; (2) the sensory receptive and
integrative unit, and (3) the planning, organizational unit (see
Table 8.4).
The nature of each functional unit is briefly described.
Table
8.4
Selected research with the Halstead-Reitan
neuropsychological batteries
Reference
|
Population
|
Age
|
Major findings
|
---|---|---|---|
Batchelor and Dean (1993)
|
Learning
|
9–14 years
|
1. Two distinct clusters across ages.
|
Group 1 = diffuse deficits.
|
|||
Group 2 = spatial memory deficits.
|
|||
2. Diffuse deficits may not change with
age.
|
|||
3. Specific deficits deem to change with
age.
|
|||
Berman and Siegal (1976)
|
CD, normal
|
1. CD > normals on every HRNB
task.
|
|
2. CD lowest on verbal mediation, concept
formation, and perceptual.
|
|||
Boyd, Tramontana, and Hopper (1986)
|
Psychiatric
|
9–16 years
|
1. DE = WISC-R + Aphasia test.
|
79% rate for prediction. LNNB-C
status.
|
|||
2. DE valid as screening device.
|
|||
Coutts et al. (1987)
|
LD, non-LD
|
11–12 years
|
1. LD > non-LD on Category test.
|
2. Minimal practice effect after 3 weeks
for LD.
|
|||
3. Category test may be useful for
measuring treatment efficacy.
|
|||
Gamble, Mishra, and Obrzut (1988)
|
Referred-learning
|
6–8 years
|
1. Category test loaded on psychomotor
Speed Factor.
|
2. TPT loaded on Memory Factor.
|
|||
3. Use Reitan-Indiana with caution with
young LD children.
|
|||
Newby and Matthews (1986)
|
Clinic-referred
|
6–14 years
|
1. Specific neuropsychological function not
predicted by PIC.
|
Nussbaum et al. (1988)
|
Referred-learning
|
7–12 years
|
1. Anterior deficits related to Social
Withdrawal
|
Aggression, Hyperactivity, and Externalized
scales on CBCL.
|
|||
2. Posterior deficits high on ANX.
|
|||
Reitan and Boll (1973)
|
Normal, MBD, BD
|
5–8 years
|
1. BD > MBD > normals.
|
2. 84%overall accuracy rate
classification.
|
|||
3. 96% BD, 89% MBD, 64% normals.
|
|||
Selz and Reitan (1979a)
|
Normal, LD, BD
|
9–14 years
|
1. LD normal on motor tasks.
|
2. LD similar to BD on cognitive and
attentional tasks.
|
|||
3. 80% accuracy, error-impaired groups as
less impaired.
|
|||
Selz and Reitan (1979b)
|
Normal, LD, BD
|
9–14 years
|
1. Classification rules.
|
2. BD < LD > normals
performance.
|
|||
3. 73% accuracy rate for
classification.
|
|||
Shurtleff, et al. (1988)
|
Learning
|
10–12 years
|
1. Low to moderate correlations of HRNB and
WISC-R.
|
2. Speech Sounds related to Reading
decoding and spelling.
|
|||
3. Category related to math.
|
|||
Strang & Rourke (1983)
|
LD
|
9–14 years
|
1. Low math/normal reading/spelling group
scores low on Category, bilateral tactile-motor, and
visual-perceptual-organization.
|
2. Low math related to low reasoning and
sensory-motor.
|
|||
Strom et al. (1987)
|
LD
|
11 years
|
1. 28% variance in reading accounted for by
HRNB.
|
2. 15% variance in math accounted for by
HRNB.
|
|||
3. Unique contributions of HRNB not
measured by WISC-R.
|
|||
Teeter (1985)
|
Normal
|
5—8 years
|
1. RINB accurate for discriminating high,
average, and low readers.
|
2. RINB more predictive than McCarthy
Scales for spelling, reading, and math.
|
|||
3. Predictive variable stable over two
years.
|
|||
Tramontana et al. (1980)
|
Psychiatric
|
9—15 years
|
1. 60% mild impairment on HRNB using Selz
and Reitan rules.
|
2. 25% moderate impairment.
|
|||
3. Impairment > chronic
psychiatric.
|
|||
Tramontana and Hooper (1987)
|
CD, depression
|
1. No distinct neuropsychological features
for INT and EXT disorders.
|
|
Tramontana and sherrets (1985)
|
Psychiatric
|
1. 50% abnormal HRNB or LNNB-C
|
|
2. Impairment > young boys with chronic
psychiatric history.
|
|||
Tramontana, Hooper, and Nardillo
(1988)
|
Psychiatric
|
8—16 years
|
1. Impairment > with more severe
behavior problems.
|
2. Mostly in young children with INT
disorders.
|
|||
3. EXT disorders no distinct
neuropsychological features.
|
Functional Unit I
In Luria's theory (1980) the arousal system is
the first unit and comprises the reticular activating system (RAS),
the midbrain, the medulla, the thalamus, and the hypothalamus.
Visual, auditory, and tactile stimulation comes through this unit
to higher cortical regions. The structures work together in concert
in Unit I to regulate energy level and to maintain cortical tone.
This unit raises or lowers cortical arousal depending on internal
needs. When cortical tone is too low, the brain loses its ability
to discriminate between stimuli. Another function of this unit is
to filter out irrelevant stimuli. The RAS prevents the cortex from
being flooded by unimportant stimuli that could interfere with
cortical functioning. If the RAS filters out too much stimulation,
sensory deprivation and hallucinations may be present as the cortex
attempts to generate its own activity to keep itself aroused.
Severe injury to Unit I can result in marked deterioration of
wakefulness, with loss of consciousness and possible death. Less
severe injury can result in disorganization of memory,
distractibility, attentional problems and insomnia. If Units II and
III are functional, then in later development or in adulthood these
units can assume the functions of Unit I and monitor hyperactive
and/or impulsive behavior. Methylphenidate has also been found to
activate Unit I and thereby decrease behaviors of impulsivity and
poor attention.
Functional Unit II
Unit II is considered the sensory system and
consists of the parietal, temporal, and occipital lobes; its major
function is sensory reception and integration. Therefore, the areas
of Unit II correspond to their sensory modality (temporal for
auditory, parietal for sensory tactile, and occipital for vision).
Unit II has been hypothesized to be guided by three functional
laws: (1) hierarchical structures of cortical zones do not remain
the same during ontogenesis; (2) hierarchical zones decrease in
their specificity of function with development, and (3) progressive
lateralization of function within hierarchical zones in-creases
with development (Luria, 1980).
This hierarchy is further divided into three zones: primary,
secondary, and tertiary. The primary zones are responsible for
sorting and recording sensory information. The secondary zones
organize the sensory information and code it for later retrieval.
The tertiary zones combine data from various sources in order to
lay the basis for organized behavior.
Primary Zones
The primary zones generally consist of sense
receptors with point-to-point relationships to the peripheral sense
organs. These zones are predetermined by genetics and are the most
hardwired of the areas. The primary auditory zone is in the
temporal lobe and involves auditory perception. The primary tactile
zone is in the sensory strip of the parietal lobe and involves
tactile perception. Finally, the primary visual zone is in the
occipital lobe and involves visual perception.
Secondary Zones
The secondary zones are generally involved in
input of data and integration of information. These zones process
information sequentially and have a link, with more than one
stimulus being received by the brain at a time. For the auditory
secondary zone, the locus is in the secondary regions of the
temporal lobe and involves the analysis and synthesis of sounds and
the sequential analysis of phonemes, pitch, tone, and rhythm. The
secondary tactile zone is in the parietal lobes next to the sensory
strip and is involved in two-point discrimination, movement
detection, and recognition of complex tactile stimuli (i.e.,
identifying shapes by touch). The secondary visual zone surrounds
the primary visual center of the occipital lobe and is involved in
visual discrimination of letters, shapes, and figures.
There is specialization in the secondary zones,
with the left hemisphere predominantly responsible for analyzing
verbal material and language while the right hemisphere is
important for the analysis of nonverbal material such as music,
environmental sounds, and prosody of language. Both hemispheres
play a role in reading, with the right hemisphere important for
recognizing unfamiliar shapes. Once words and letters have been
learned, recognition of these shapes becomes a process of the left
hemisphere. Both hemispheres are involved in comprehension, with
the left hemisphere more involved with semantic and syntactic
analysis and the right hemisphere with processing the emotional
quality and tone of the passage. Lateralization of function is also
found for writing, with the right hemisphere activated primarily
when the task is a novel visual-motor task and the left hemisphere
activated primarily once a task is learned.
Intelligence tests are hypothesized to measure
Unit II functions. Given that Unit II is the center for the
analysis, coding, and storage of information, damage to this region
results in difficulty in learning basic reading, writing, and
mathematics skills.
Tertiary Zones
Tertiary zones allow for cross-modal integration
of information from all sensory areas. Information is processed
simultaneously and involves integration of various modalities. For
example, the reading process is an integration of auditory and
visual material; language is an integration of grammatical skills,
analysis of auditory information, and comprehension of auditory
material, and mathematics involves the integration of visual
material with knowledge of number and quantity. These zones are the
primary region that intelligence tests are thought to directly
measure. Damage to this association area can result in a lowered IQ
score, poor reading, writing, and mathematics ability, and language
comprehension.
Functional Unit III
Unit III is responsible for output and planning.
It is located in the frontal lobes which are further demarcated
into three hierarchical zones. The primary zone, in the motor strip
of the frontal lobe, is concerned with simple motor output. The
secondary zone, in the primary premotor regions, is involved in
sequencing motor activity and speech production. The tertiary zone
located in the orbitofrontal region of the frontal lobe (the
prefrontal region) is the last region to myelinate and develop.
Development continues until the third decade of life. The tertiary
zone of Unit III is primarily involved with planning, organization,
and evaluation of behavior, functions similar to the executive
functions. Damage to this area has been linked to problems in
delaying gratification, controlling impulses, learning from past
mistakes in behavior, and focusing attention. In many cases damage
to this zone can be difficult to distinguish from psychiatric and
behavior problems. When dysfunction occurs in Unit I, later
development of Unit III can compensate or modulate levels of
arousal. Moreover, Unit III can activate other parts of the brain
and has rich connections to all regions of the brain.
Developmental Considerations
Luria’s conceptual framework is based on the
theory that certain skills are acquired at different rates
depending on the neurodevelopmental stage of the child (Golden,
1981). Further, specific problem
solving strategies, behaviors, and skills are dependent on
biochemical as well as physiological maturation, including
myelination and the growth of cells, dendritic networks, and
interconnecting neuronal pathways. Although physiological
development is related to psychological maturation, this
relationship can be altered by adverse environmental events. Table
8.5 outlines
the five major developmental stages described by Golden
(1981).
Table
8.5
Major systems and behavioral correlates of
Luria's functional Units
Functional system
|
Brain units
|
Behavioral correlates
|
---|---|---|
Unit 1: Arousal System
|
Reticular activating system pons and
medulla through thalamus to cortex
|
Modulate cortical arousal
|
Filters incoming stimuli
|
||
Attention and concentration
|
||
Unit 2: Sensory System
|
Primary temporal lobes
|
Auditory perception
|
Secondary temporal lobes
|
Analysis and synthesis acoustic sounds and
sequential analysis
|
|
Phoneme, pitch, tone, and rhythm
|
||
Primary parietal lobes
|
Tactile perception
|
|
Secondary parietal lobes
|
Two-point discrimination
|
|
Movement detection
|
||
Recognition of complex tactile stimuli
(e.g., shapes)
|
||
Primary occipital lobes
|
Visual perception
|
|
Secondary occipital lobes
|
Visual discrimination (letters, shapes,
etc.)
|
|
Cross-modal integration
|
||
Tertiary parital occipital/temporal
region
|
Simultaneous processing
|
|
“Intelligence” (e.g., reading, writing,
math, language, syntax, grammar, stereognosis, spatial rotation,
angle discrimination)
|
||
Unit 3: Output/Planning
|
Primary frontal lobes
|
Simple motor output
|
Secondary frontal lobes
|
Sequencing motor activity
|
|
Speech production
|
||
Tertiary frontal lobes
|
Decision making and evaluation
|
|
Impulse control
|
||
Delay of gratification
|
||
Focused attention
|
Injury during any one of these stages is thought
to produce various deficits depending upon the site and severity of
injury. Golden (1981) suggests
that damage to the developing brain during Stage 1 is likely to
produce deficits in arousal and that, when severe damage ensues,
death or mental retardation may result. Damage after 12 months of
age is less likely to produce attentional deficits, although
physiological hyperactivity is associated with damage prior to 12
months. Paralysis, deafness, blindness, or tactile deficits may
result from unilateral injury to the primary sensory areas during
Stage 2 development. In some instances, sensory or motor functions
may be transferred to the opposite hemisphere if damage occurs
during this stage. Although damage after this developmental stage
is likely to produce more serious deficits, there are still
compensatory factors that play a role in recovery of function.
Golden cautions, however, that bilateral damage is more serious,
producing deafness, blindness, and/or paralysis, where compensation
is less likely. During Stage 3 development, the two hemispheres
begin to show differentiation of function in terms of verbal and
nonverbal abilities (Golden, 1981). Unilateral damage is likely to result in
loss of language functions if injury is sustained in the left
hemisphere once verbal skills are present, at about the age of two
years. Damage prior to age two may result in transfer of language
to the right hemisphere, whereas damage after age two begins to
mimic recovery of functions similar to what is seen in adults
(Golden, 1981). However, Golden
(1981) suggests that plasticity
(i.e., transfer of function) is less likely when injuries are
diffuse in nature, or in cases of mild injury. Thus, small injuries
early in development can have more deleterious effects than larger
injuries later in life. Recovery of function will be explored in
more detail in later chapters.
Golden (1981)
suggests that learning during the first five years of life is
primarily unimodal in nature, with little cross-modal, integrative
processing. Early reading during this stage is characterized by
rote strategies involving memorization of individual letters,
words, or letter sounds. The visual symbol is meaningful only in
its relationship to spoken language. Cross-modal learning is
possible during Stage 4 when tertiary association regions of the
sensory cortices are developing. Injury to these association
regions can result in significant learning impairments, such as
mental or cognitive deficits or learning disabilities. The type of
deficit depends on the location and severity of the injury, and
even small insults can affect the integration of one or more
sensory modalities (Golden, 1981).
Golden (1981) suggests that
injuries to tertiary regions are not always evident until Stage 4
development. Injury in one stage may not produce observable
deficits until a later stage because the brain regions subserving
specific psychological and behavioral functions are not mature. For
example, a child sustaining injury to tertiary regions at the age
of two may appear normal at age three, but may show serious
learning deficits at age 10 (Golden, 1981). Golden further indicates that predicting
future deficits is complicated by these neurodevelopmental factors,
and that neuropsychologists must consider these issues when injury
is sustained early in life. Finally, according to Golden
(1981), Stage 5 involves the
development of the prefrontal regions of the brain, which begins
during adolescence. According to this neurodevelopmental theory,
deficits resulting from injury to frontal regions may not begin to
emerge until 12–15 years of age or later. Others have argued that
frontal lobe development may occur at earlier stages than suggested
by Golden (1981). For example,
Becker, Isaac, and Hynd (1987) and
Passler, Isaac, and Hynd (1985)
describe a progression of frontal lobe development beginning at age
six. In these studies it was found that some tasks thought to be
mediated by the frontal lobes begin at six years of age (e.g.,
flexibility during verbal conflict tasks), continue to emerge at
age eight (e.g., inhibition of motor responses), and still are
incomplete at age 12 (e.g., verbal proactive inhibition).
Neurodevelopmental stages are of primary importance in child
neuropsychology, and further research is needed to more clearly map
these stages of brain development. Although the question of frontal
lobe development will be of continued interest to researchers and
clinicians in the next decade, the relationship between brain
development and psychological and behavioral function has a strong
empirical base.
Although the Luria-Nebraska Children’s Battery
Revised (LNCB-R) was designed to assess brain functioning based on
Luria’s model, the test has not been adequately researched.
Attempts to standardize and validate the LNCB-R have been slow and
“the lack of current research findings present a major concern”
(Leark, 2003, p. 155). “Several
contemporary neuropsychological assessment tools are available to
assess skills similar to those tapped by the Luria-Nebraska domains
and were designed solely for children” (Hale & Fiorello,
2004, p. 137). There are several
newer batteries that were developed using Luria’s
conceptualizations of brain functions. The NEPSY and the Cognitive
Assessment System (CAS) will be briefly reviewed next.
NEPSY: A Developmental Neuropsychological Assessment
The NEPSY, first developed in 1998 (Korkman,
Kirk, & Kemp, 1998), has been
revised (Korkman, Kirk, & Kemp, 2007). The NEPSY-II assesses complex cognitive
functions as well as subcomponents across functional domains. The
instrument is designed to assess neuropsychological development in
preschool and school-aged children (ages 3–16 years) including
children with Attention-deficit Hyperactivity Disorder, Autism and
Asperger’s disorder, emotional disturbance, deaf and hearing
impaired, language disorders, intellectual disabilities, math and
reading disabilities, and traumatic brain injury. Clinicians may
use the NEPSY-II for the following: to assess the neurocognitive
development of children; to create a tailored assessment to answer
specific referral questions, and to diagnose various disorders and
to develop intervention plans (Korkman et al., 2007).
Six major domains are measured including:
Attention and Executive Functioning, Language, Memory and Learning,
Sensorimotor, Social Perception, and Visuospatial. See Korkman et
al. (2007) for an in-depth
description of the subtests for each domain.
Attention and Executive Functioning
The Attention and Executive Function Scale
measures inhibition of learned and automatic responses, monitoring
and self-regulation, vigilance, selective and sustained attention,
nonverbal problem solving, planning and organizing complex
responses, and figural fluency.
Language
The Language Scale measures major phonological
processing, repetition of nonsense words, identification of body
parts, verbal semantic fluency, rhythmic oral sequences, and the
comprehension of oral instructions.
Memory and Learning
The Memory and Learning Scale measures immediate
memory for sentences; narrative memory and free recall, cued recall
and recognition recall; recall with interference, and immediate and
delayed memory for designs, faces and lists.
Sensorimotor
The Sensorimotor domain measures hand movements,
repetitive finger movements, and use of a pencil with speed and
precision.
Social Perception
The Social Perception domain measures facial
affect recognition, comprehension of others’ perspectives, and
intentions and beliefs.
Visuospatial
The Visuospatial domain measures line
orientation, copying geometric figures, three-dimensional designs,
mental rotation of objects, whole-part relations, and schematic map
reading.
Research Findings with NEPSY
Korkman (1999)
provides a nice review of validity studies with the NESPY.
Specifically the NEPY appears to have validity for differentiating
subtypes of learning difficulties, discriminating ADHD from other
learning disabilities, and identifying deficits in infants with
prenatal alcohol exposure. Further, Korkman reports that children
with brain damage had deficits on the NEPSY, but did not have
lateralizing effects. This is consistent with findings that
children show functional reorganization of the brain with early
brain damage, and that children tend to have more diffuse rather
than focal brain dysfunction.
The NEPSY can also be used to identify
neurodevelopmental deficits in a number of clinical populations.
Mikkola et al. (2005) found that
extremely low birth weight (ELBW) infants had decreased performance
on measures of the NEPSY (i.e., Attention, Language, Sensorimotor,
Visuospatial, and Verbal Memory) compared to controls. Shum,
Neulinger, O’Callaghan, and Mohay, (2008) also reported poor
performance on verbal memory and attention on the NESPY and low
scores on the Trail Making B test. These problems were associated
with parent and teacher ratings of attentional difficulties. Young
children at risk for ADHD were also found to have deficits on NEPSY
measures of executive tasks [e.g., Attention, Fluency (Perner,
Kain, & Barchfeld, 2002)
CAS: Cognitive Assessment System
The Cognitive Assessment System (CAS) was
designed to assess the cognitive functioning of children 5–18 years
of age (Naglieri & Das, 1997).
The CAS was developed to identify specific cognitive problems
underlying learning and attentional difficulties. The authors
indicate that the CAS has utility for assessing cognitive and
neuropsychological functions from multiple dimensions or domains,
differential diagnosis for learning and attentional difficulties,
and intervention planning. The CAS is theory-driven, based on
neuropsychological and cognitive theories—Luria’s model and the
PASS model. The PASS theory suggests that four basic functions
underlie cognitive functions including planning, attention,
successive and simultaneous processes.The CAS has strong
psychometric properties (Naglieri & Das, 1997; Strauss et al. 2006).
Planning
The Planning scale measures mental processes for
determining, selecting, applying, and evaluating problems.
Performance on this scale is dependent on retrieval of knowledge
and impulse control, and is reflective of prefrontal lobe
functions.
Attention
The Attention scale measures selective focus on
stimuli, while inhibiting other responses. Selective attention,
focused cognitive activity, resistance to distractions, orienting
to tasks, and vigilance reflect reticular activating system
functions.
Simultaneous
The Simultaneous scale measures the ability to
perceive and integrate parts into a whole or group. The
parietooccipital regions are primarily involved with this mental
process.
Successive
The Successive scale measures the ability to
integrate stimuli in a sequential, serial order.
Research Findings with CAS
The CAS appears to have been well conceived and
researched. While initial factor analyses support the four-factor
solution of the PASS model (Naglieri & Das, 1999), others have not found the same results
(see Strauss et al., 2006 for a
review).Research has shown that the CAS has utility for measuring
cognitive processing deficits in clinical groups including children
with reading difficulties (Joseph, McCachran, & Naglieri,
2003), children with written
expressive disorders (Johnson, Bardos, & Tayebi, 2003), children with ADHD (Naglieri & Das,
2005), and children with moderate
to severe TBI (Gutentag, Naglieri, & Yeates, 1998).The following results have been reported:
(1) Children with ADHD had lower scores on the Planning scale of
the CAS compared to children without ADHD; (2) the Planning scale
best discriminates children with and without written expressive
disorders, and (3) children with TBI show low scores on the
Planning and Attentions scales.
The CAS is correlated with achievement measures,
other intelligence and neuropsychological tests, including the
NEPSY (Naglieri, DeLauder, Goldstein, & Schwebach,
2005; Naglieri & Bornstein,
2003). Specifically, low scores on
the Successive Processing scale is related to poor reading scores,
while low Planning scores are related to decreased performance on
calculation, dictation and writing scores on the WJ-R (Naglieri
& Bornstein, 2003)
Neuropsychological Protocol: Austin Neurological Clinic
Nussbaum et al. (1988) describe a neuropsychological protocol
that reflects neurobehavioral functioning along an
anterior/posterior (AP) axis or gradient. This framework is
formulated on the anatomical divisions of the cortex along the
frontotemporal and parietooccipital axis. Frontal (A) regions have
been associated with motor, attentional, sequential processing,
reasoning, and abstract thinking abilities, while parietotemporal
(P) regions have been associated with tactile, visual perceptual,
word recognition, and spelling functions (Nussbaum et al.,
1988). On the basis of theoretical
and research findings with children and adults, Nussbaum et al.
(1988) have included test items
from the Halstead-Reitan battery (i.e., finger tapping, tactual
performance test, sensory perceptual exams); the Benton Visual
Retention Test (BVRT); the Kaufman Assessment Battery for Children
(K-ABC) (i.e., Number Recall, Word Order, Gestalt Closure, and
Spatial Memory); the Wechsler Scales for Children-Revised (WISC-R)
(i.e., Similarities, Digit Span), and the Wide Range Achievement
test (WRAT). See Table 8.6 for a detailed description of Anterior and
Posterior measures. While Nussbaum et al. (1988) recognize that this conceptualization is
somewhat artificial, they provide this model for heuristic purposes
and discuss the importance of developing models to investigate
functional asymmetries in children with various learning and
personality disorders. Initial findings with the A/P model suggest that children with
weaknesses on anterior measures are likely to exhibit psychological
and behavioral problems. These findings may be important for
clinicians when developing behavioral management interventions.
Table
8.6
Austin neurological clinic: a paradigm of
anterior/posterior measures
Neuropsychological measures
|
Anterior function assessed
|
---|---|
Finger oscillation, dominant and
non-dominant hands
|
Fine motor coordination
|
Similarities-WISC-R
|
Verbal abstract reasoning, cognitive
flexibility
|
Digit span-WISC-R
|
Sequential processing, attention, cognitive
flexibility
|
Number recall-K-ABC
|
Sequential processing, attention
|
Word order-K-ABC
|
Sequential processing, attention
|
Tactual performance test (TPT)-both
handsa
|
Motor coordination
|
Posterior
function assessed
|
|
Sensory perceptual exam
|
|
Tactile
|
Tactile perception
|
Visual
|
Visual perception
|
Finger recognition
|
Tactile gnosis
|
Sensory integration
|
|
Fingertip Number writing
|
Tactile graphesthesia, Sensory
integration
|
TPT-both handsa
|
Tactile perception, Spatial abilities,
Sensory integration
|
TPT memory
|
Memory for tactile information
|
TPT localization
|
Spatial memory
|
Testalt closure-K-ABC
|
Simultaneous visual processing,
Figure-ground discrimination
|
Spatial memory-K-ABC
|
Visuospatial memory
|
Wide range achievement test
|
|
Reading
|
Reading recognition skills
|
Spelling
|
Spelling skills
|
Boston Process Approach
The Boston Hypothesis Testing Approach utilizes
an initial cadre of tests to sample specific behaviors, including
memory, language, visual-motor skills, and attention. From these
measures, additional tests may be added to further evaluate areas
of possible deficit.
The Boston Process Approach is not a published
approach and can vary depending on the clinician. It is also called
the Boston Hypothesis Testing Approach. The approach suggests that
basic areas of functioning are screened and from this screening
hypotheses are developed and additional measures are added (Lezak,
1983; 1995). The Boston Process Approach has its
foundation in the belief that both the qualitative nature of
behaviors and the quantitative scores are important in order to
understand the client's deficits and to develop the treatment
programs (Kaplan, 1988).
The Boston Process Approach emphasizes the
utilization of information about the client's age, handedness, and
previously developed skills, which is gathered through the
interview process. Such information not only informs the conduct of
the evaluative process, but also puts into focus how these skills
are affected or spared from brain damage. In addition, these skills
are assessed to determine which strategies the client may employ to
compensate for his or her impairments. Emphasis is also placed on
“testing the limits”-that is, asking the client to answer questions
above the ceiling level. Because patients with brain damage are
often able to do difficult tasks past their ceiling level (Milberg
& Blumstein, 1981), it is
important to determine these limits through testing to verify if
the failure lies in the client's inability, retrieval problems, or
less efficient strategies due to brain damage. This modification is
important not just for verbal tasks, but also for timed performance
tasks. On these timed tasks it is important to determine whether
the problem is one of power (mastery) or speed.
A process approach allows flexibility in
assessment with an eye to how this assessment informs the treatment
plan. Kaplan (1988) suggests that
the process approach is helpful to provide insights into
brain-behavior relationships. Both standardized and experimental
measures are utilized. Therefore, the goal of the process approach
is to evaluate the current behavioral functioning in light of
intuited brain-behavior relationships.
Instruments utilized in the Boston Process
Approach are described in the following section; they include tests
of reasoning, verbal language and memory, and perception. See Table
8.7.
Table
8.7
Neuropsychological test procedures:
modified boston battery
History
|
Neuropsychological screening
examination
|
Wechsler intelligence scale for
children—3rd edition
|
Symbol digit modalities test (optional if
digit symbol not used)
|
Wisconsin card sorting test
|
WRAML
|
Rey auditory verbal learning test
|
Neuropsychological screening test
|
Boston naming test
|
Rey-Osterreith complex figure
|
Finger tapping test
|
Hooper visual organization test
|
Wide range achievement Test-revised
(optional)
|
Tests of Reasoning
Stroop Color Word Test
The Stroop consists of 100 words (random color
names) printed in three different colors. In separate trials, the
child will be asked to read the color word (maybe printed in a
different color) and then call out the color (maybe a different
color word). The time taken to read the color words is usually
recorded. Young ADHD children had trouble inhibiting habitual
responding on this task (Boucugnani & Jones, 1989).
Wisconsin Card Sorting Test
The Wisconsin Card Sorting Test (WCST) was
developed as a measure of frontal lobe dysfunction. The child must
match 128 cards to four key cards on the dimensions of color, form,
or number. The criteria for correct responses change unexpectedly,
and the child must alter the response pattern. Several scores can
be derived from the test, including the total number of errors and
the number of perserverative errors. Heaton, Chelune, Talley, Kay,
and Curtiss (1993) provide a
revised and expanded manual for the WCST, with extensive norms for
children and adolescents. The WCST measures reasoning, concept
formation, and flexibility, and has been shown to be sensitive to
frontal lobe activity in children (Chelune, Fergusson, Koon, &
Dickey, 1986).
WRAML
The Wide Range Assessment of Memory and Learning
(WRAML) contains a Screening Index for memory and new learning
ability. This screening index includes the ability to scan pictures
and then recall items that have been changed. In addition, the
child is shown four pictures of increasing complexity and, after a
10-second delay, is asked to reproduce the figure. The screening
index also includes a measure of verbal learning. This subtest
requires the child to learn a list of simple words within four
trials. This test yields a learning curve over trials. The child
then goes on to an additional test with delayed recall of this list
following the intervening task. Finally, the child is read two
stories and is asked to recite the stories back to the examiner.
The child is asked to recall these stories after an intervening
task. An optional story recognition format presents the details
from a story in a multiple-choice manner. Children who are unable
to recall story details spontaneously may be able to elicit this
information from memory when prompts are provided.
Rey-Osterreith Complex Figure Test
The Rey-Osterreith Complex Figure Test was
standardized by Osterreith in 1944. This task requires the child to
copy a complex figure using six different colors: red, orange,
yellow, blue, green, and purple. Every 45 seconds, the child is
asked to switch colors. If the child completes the figure before
using all colors, the examiner notes the final color utilized and
the time needed. After 20 minutes, the child is asked to draw the
figure from memory.
Tests of Verbal Language and Memory
Boston Naming Test
The Boston Naming Test (BNT), developed by
Kaplan, Goodglass, and Weintraub (1978), requires the child to name increasingly
difficult black and white pictures. If the child misperceives or
fails to recognize a picture, he or she is given a cue as to a
category (i.e., if a banana is called a “cane,” the examiner might
say, “No, it's something to eat”). Phonemic cues are also provided
by giving the child the beginning sound of the target word. This
cue is given after an incorrect response or no response. Norms for
children are being developed for this test, but remain incomplete
at this time. The BNT has successfully differentiated children with
reading problems from those without (Wolf & Goodglass,
1986) Results from children with
language disorders found their performance to be similar to that of
children with learning disabilities (Rubin & Liberman, 1983).
McBurnette et al. (1991) also
found that males with conduct disorders show significantly
discrepant scores on this measure, suggesting that these children
have verbal expressive disabilities. A total error score can be
derived for this instrument.
Controlled Oral Word Association Test
The Controlled Oral Association Test (COWA)
requires the child to say as many words beginning with the letter
“F” as he/she can think of within one minute; then words beginning
with “A,” the “S.” These letters were selected by how frequently
they appear in the English language. This test is sensitive to
brain dysfunction in adults, particularly in the left frontal
region, followed by the right frontal area (Lezak, 1994).
California Verbal Learning Test
The California Verbal Learning Test-Children's
Version (CVLT-C) was developed to assess memory-related strategies
and processes for verbal material for children five to 16 years of
age (D. C. Delis, Kramer, Kaplan, & Ober, 1994). The test was developed as an adjunct to
intellectual and neuropsychological evaluations for children with
learning, attentional, intellectual, psychiatric, and other
neurological disorders. The test measures memory and verbal
learning skills using a hypothetical shopping list in an effort to
use everyday, meaningful stimuli. Learning strategies, learning
rate, interference (proactive and retroactive conditions), memory
enhancement using cuing, and short and longer delay retention are
variables of interest in the CVLT-C.
The CVLT-C comprises the following subtests: List
A, Immediate Free-Recall; List B, Immediate Free-Recall; List A,
Short-Delay Free-Recall; List A, Short-Delay Cued-Recall; List A,
Long-Delay Free-Recall; List A, Long-Delay Cued-Recall, and List A,
Long-Delay Recognition. The Test Manual presents normative data; a
description of the standardization group; administration, scoring,
and interpretation guidelines, and reliability and validity studies
with the CVLT-C. Nine-hundred-twenty children were selected from a
representative sample across gender, racial, and age categories
using U.S. Bureau of Census data.
Initial research suggests that the CVLT-C has
adequate reliability and validity (D. C. Delis et al.,
1994). The CVLT-C could be used to
investigate memory and verbal learning abilities of children with
various disorders, including Down syndrome and fetal alcohol
syndrome (FAS) (Mattson, Riley, Delis, Stern, & Jones, 1996),
ADHD (Loge, Staton, & Beatty, 1990), developmental verbal
learning disability without ADHD (Shear, Tallal, & Delis,
1992), and dyslexia (Knee,
Mittenburg, Bums, DeSantes, & Keenan, 1990). Developmental differences appear on the
use of semantic clustering (Levin et al., 1991) and on beginning (primacy) and ending
(recency) portions of the lists. Learning curves (average number of
words learned across five trials) also were found to differ across
ages, with older children displaying steeper curves than younger
children (D. C. Delis et al., 1994). Finally factor analysis yielded six major
factors that appear consistent with the theoretical principles of
the CVLT-C. The factor structure is also similar to the solution
found on the Adult CVLT.
At present, the CVLT-C appears psychometrically
sound and measure skills not readily measurable with other
neuropsychological tests.
Neurosensory Center Comprehensive Examination for Aphasia
The Spreen-Benton Aphasia Tests or the
Neurosensory Center Comprehensive Examination for Aphasia (NCCEA)
comprises 20 subtests measuring language functions, and four
subtests measuring visual and tactile skills (Spreen & Benton,
1969). Spreen and Benton
(1977) describe the revised NCCEA
tests in detail and list the following tests for the language
domain: Visual Naming, Description of Use, Tactile Naming (right
hand), Tactile Naming (left hand), Sentence Repetition, Repetition
of Digits, Reversal of Digits, Word Fluency, Sentence Construction,
Identification by Name, Identification by Sentence (Token Test),
Oral Reading (Names), Oral Reading (Sentences), Reading Names for
Meaning, Reading Sentences for Meaning, Visual-Graphic Naming,
Writing Names, Writing to Dictation, Writing from Copy, and
Articulation. The NCCEA items cover a range of language functions
and were selected to be sensitive to aphasic symptoms, but not to
mild intellectual impairment.
Tests of Perception
Hooper Visual Organization Test
The Hooper Visual Organization Test is comprised
of 20 cut-up pictures that the subject is asked to write or name.
The test has been shown to be related to frontal lobe functioning
in children (Kirk & Kelly, 1986). A total accuracy score can be
derived.
Benton Visual Perceptual Tests
The Benton Visual Retention Test, the Benton
Facial Recognition Test, the Benton Judgment of Line Orientation
Test, and the Benton Visual Form Recognition Test can be used as
part of a larger, more comprehensive battery for children between
the ages of six and 14 years. Hynd (1992) suggests that the Facial Recognition and
the Line Orientation tests may be most useful clinically.
Judgment of Line Orientation
The Judgment of Line Test requires the child to
estimate the relationship between line segments by matching a
sample to an array of 11 lines in a semicircular array of 180". The
test includes 30 items, with five practice items to teach the test.
There are two forms, H and V, which present identical items in
different order.
Test of Facial Recognition
This test requires the child to match faces with
three different conditions: identical view orientation, matching
front view with three-quarter views, and front view with lighting
differences. The first six items require a match of only one pose
with six selections. The final 16 items require the child to match
three selections to the sample. This test is sensitive to language
comprehension difficulties as well as to visual-spatial processing
problems.
Cancellation Tasks
The Cancellation Task requires the child to
select a target visually and repetitively, as quickly as possible.
One task that may be used (D2 task) requires the child to cross out
all the Ds with two marks above them. There are 15 lines of Ds, and
the child is asked to cross out the Ds in each line for 20 seconds
and then to switch to the next line. Lower scores may indicate
problems in visual scanning, inhibition problems, and
inattention.
Clients with difficulties in sequencing and
inattention do poorly on this task compared to those individuals
without these problems (Spreen & Strauss, 1991; Sohlberg & Mateer, 1989). The Symbol Search task from the WISC-III
and the Visual Matching and Cross-Out Tasks from the
Woodcock-Johnson are additional tasks that require quick visual
scanning and attention to task, and which may be utilized if this
area is of concern. There are several more measures which may be
utilized to more fully evaluate various aspects of functioning. The
astute clinician will seek out these measures in order to determine
their appropriateness for various children or adolescents.
Summary and Conclusions
In summary, the Boston Process Approach begins
with a sampling of behaviors and then fine tunes the evaluation
depending on the initial findings. The strength of the Boston
Process Approach is also its weakness; namely, the ability to
determine the client's areas of strength and deficit through
qualitative data. Qualitative information has improved the
prediction of brain damage found on radiological evidence to more
than 90 percent (Milberg et al., 1986). Heaton, Grant, Anthony, and Lehman
(1981) also found that qualitative
data gathered by clinicians using the Reitan battery also showed
significant improvement over quantitative scales.
The weakness of the Boston Process Approach lies
within the examiner. To avail him- or herself of this approach, the
clinician not only must have a wide array of measures in his or her
knowledge base, but also sufficient experience in which to apply
behavioral observations to brain-behavior relationships. It is also
imperative that the clinician have a good database of a “normal”
child's performance at various ages.
Although there is a beginning database for the
use of the Boston Process Approach with adults (Lezak,
1994; Milberg et al.,
1986), data on its efficacy with
children are limited. The astute clinician will recognize that best
practice will always dictate careful observation of how the child
solves the tasks presented to him or her. Although the Boston
Approach may be intuitively appealing, further research is needed
to determine the benefit of this approach with children.
Delis-Kaplan Executive Function System (D-KEFS)
D. Delis, Kaplan, and Kramer (2001) designed the Delis-Kaplan Executive
Function System (D-KEFS) for individuals between the ages of eight
to 89 years. The D-KEFS is comprised of nine individually
administered tests, and the “battery offers one of the first
psychometrically sound, nationally normed set of tests designed
exclusively for the assessment of verbal and nonverbal executive
functions in children, adolescents and adults” (Shunk, Davis, &
Dean, 2006, p. 275). While the
D-FEFS contains new tests, other tests have been modified. The
battery has an empirical basis and reflects the principles and
procedures from the extensive body of literature on executive
functions (EF).
The test is organized into four domains: Concept
Formation, Flexibility, Fluency and Productivity, and Planning. The
D-KEFS contains improved versions of older tests previously
described, including the following (Shunk et al., 2006): (1) D-KEFS Trail Making Test measures
visual scanning and motor speed; (2) D-KEFS Word Context measures
abstract thinking and deductive reasoning; (3) D-KEFS Sorting Tests
measures verbal and nonverbal concept formation; (4) D-KEFS Twenty
Questions measures object naming and recognition, visual attention
and perception; (5) D-KEFS Tower Test measures planning and problem
solving, learning, inhibition of impulsivity, and maintenance of
instructional sets; (6) D-KEFS Color-Word Interference test is a
version of the Stroop test, and measures inhibition and attention;
(7) D-KEFS Verbal Fluency Test measures verbal fluency; (8) D-KEFS
Design Fluency Test measures verbal fluency in the spatial domain,
and(9) D-KEFS Proverb Test measures verbal abstraction.
The technical adequacy of the D-FEFS is an
improvement over earlier EF measures particularly with newer,
expanded norms and modified measures (Shunk et al., 2006). Initial research with the D-FEFS shows
promise with special populations including ADHD (Wodka et al.,
2008), and individuals with autism
and Asperger’s disorders. However, additional reliability and
validity research for children is needed (Barron, 2003).
A Transactional Approach to Neuropsychological Assessment
Neuropsychological assessment from a
transactional model encompasses evaluation of a child's functioning
in many areas of his or her life. Given the basic premise of our
model that the child's bio-behavioral status acts and is acted on
by the environment, it is important that this assessment evaluate
home, school, and community functioning as well as
neuropsychological performance. The assessment is generally based
on the referral question, but must also address additional issues
that may be raised during the evaluation process.
This approach avoids many of the shortcomings
inherent in other methods of interpretation. The functional
approach emphasizes the major behavioral characteristics of each
disorder, analyzes how behavioral and cognitive variables correlate
with one another, analyzes how these behaviors affect development
and change over time, and investigates the neurological substrates
of behavioral and cognitive characteristics of a disorder. Further
emphasis is placed on determining how non-neurological factors
(e.g., family and education) interact with and moderate biological
factors (i.e., neurochemical imbalances or structural
damage).
In concordance with the functional organizational
approach, the transactional neuropsychological approach includes
the following: (1) a description of the neuropsychological
correlates of the disorder; (2) identification of behavioral
characteristics of various childhood disorders; (3) considers
moderator variables such as family, school, and community
interactions, and (4) determines how the existing
neuropsychological constraints interact with the child's coping
ability and developmental changes that occur at various ages.
The transactional model further provides a
systematic study of the interaction of the child's behavior with
his or her neurobiology, not only as a means of assessment but for
measuring treatment efficacy (Bergquist & Malec, 2002). This
approach is ecologically valid and recognizes the interplay of the
child's acts and predispositions to his or her environment and the
resulting neuropsychological findings. Thus medical interventions
such as psychopharmacology will be measured in juxtaposition with
psychosocial interventions and vice versa.
In keeping with these assumptions, a
neuropsychological assessment based on the transactional approach
includes several domains for examination. The initial approach
would be a comprehensive developmental interview with the parents.
Such an interview would detail information about the child's birth,
temperament, developmental milestones, and social, medical, family,
and school history. Medical history needs to include information
about the existence of seizure disorder, head injury, illnesses,
and any medications the child is currently taking. Not only is it
important to gather this information, it is also crucial to gather
as much information from parents about their perceptions of the
child's strengths and weaknesses, as well as questions they may
have about their child's neuropsychological functioning.
The evaluation also needs to contain reports from
the child's teacher, which should include behavior rating scales by
at least two teachers who know the child well. We find it
instructional to use the main teacher plus a teacher of a subject
that is less structured than formal academics, such as art or gym.
These less structured classes can provide a window into the child's
ability to handle situations that may be less predictable. Art,
music, and gym classes also frequently provide additional
information about the child's social skills. If a special education
teacher is providing any services to the child, it is very
important that this teacher also complete a behavior rating
scale.
The next part of the evaluation involves direct
observation of the child. If the child is to be observed in his or
her classroom, this should be done before the assessment begins.
Although it is always good practice to observe the child in the
classroom setting, clinicians in private practice or in clinics
generally are unable to do so. If this is the case, then a phone
interview (with the parents' permission, of course) with the
teacher is strongly suggested to ascertain areas of concern in that
setting, consistency of behavior across settings (particularly
important with regard to assessing behavioral problems such as
ADHD, conduct disorders, and social skills deficits), and
interventions that have been attempted and that have failed or
succeeded. Observation of the child also takes place during the
assessment process. How the child separates from his or her
parents, how he or she relates to the examiner and copes with a
novel situation, and his or her language skills, affect, and
problem-solving strategies during the session are all important
areas of observation.
Finally, the transactional assessment process
includes information about the presenting problem and selection of
measures for that concern as well as any additional areas that
emerge during the assessment. Incorporating these data and
evolution of an evaluation strategy are integral to the
transactional approach to neuropsychological assessment. The
domains to be assessed will vary depending on the referral question
and on the child's age and developmental level. Screening of areas
not believed to be involved is desirable, but not always possible.
For example, a child who is suspected of having ADHD but who is
performing adequately in school does not need a full achievement
battery; if there are recent standardized test scores or group
achievement tests, then further evaluation is not required. The
examiner can then concentrate on measures of distractibility,
attention, impulse control, and activity level. In contrast, a
child referred to assess for a possible learning disability may not
need a full assessment of attention or emotional functioning,
particularly when there is no evidence that these are problem
areas. The assessment should be tailored to the child and not the
child to an assessment protocol. Therefore, we recommend this
approach over a battery approach.
Table 8.8 contains the various domains that are often
evaluated in a neuropsychological assessment, along with some
suggested measures. It is hoped that these suggestions will assist
the clinician in using these measures either to determine the
existence of a problem that requires a full neuropsychological
evaluation or to gain needed information for the development of an
intervention program.
Table
8.8
Domains for neuropsychological assessment
and suggested measures
Gross motor
|
Fine motor
|
Visual perceptual
|
---|---|---|
Marching (HINB)
|
Grooved pegboard
|
Matching figures, V's, concentric squares,
and stars (HINB)
|
Motor scale (MSCA)
|
Purdue pegboard
|
K-ABC subtests
|
Motor scale (LNNB-CR)
|
Finger tapping
|
Rey-Osterreith complex figure
|
Grip strength test
|
Tactual performance test
|
Judgment of line Test
|
Bender-gestalt test
|
Facial recognition
|
|
Trails A
|
Bender-Gestalt test
|
|
Rhythm (LNNB-CR)
|
Beery visual-motor integration test
|
|
Hooper visual organization test
|
||
Sensory-motor
|
Verbal fluency
|
Expressive language
|
Tactile, visual, auditory (HRNB,
HINB)
|
Controlled oral word association-FAS
|
Clinical evaluation of language
fundamentals (CELF-R)
|
Tactile form recognition
|
Verbal fluency (MSCA)
|
Vocabulary subtest (SB: FE &
WISC-III)
|
Fingertip writing (HRNB, HINB)
|
Boston naming test
|
|
Aphasia screening test (HRNB)
|
||
Receptive language
|
Memory
|
Abstraction reasoning
|
CELF-R
|
Benton visual-retention
|
Category test (HRNB, HINB)
|
Token test
|
Tactual performance test
|
Wisconsin card sort (WCST)
|
Peabody picture Vocabulary-Revised
|
Wide range assessment of Memory and
learning (WRAML)
|
Concept formation test (WJ-R)
|
Picture vocabulary (WJ-R)
|
Children's auditory verbal Learning Test
(CAVLT)
|
Trails B (HRNB)
|
Rey auditory verbal learning test
|
Color form test (HINB)
|
|
sentence memory (SB:FE)
|
Ravens progressive matrices
|
|
Learning
|
Executive functions
|
Attention
|
CAVLT
|
Wisconsin card sort
|
Continuous performance test
|
WRAML
|
Category test
|
Cancellation tests (WJ-R; D2)
|
Rey-auditory verbal learning test
|
Matching familiar figures (HINB)
|
Stroop test
|
Auditory-verbal learning (WJ-R)
|
Verbal fluency tasks
|
Seashore rhythm test (HRNB)
|
Speech-sounds perception test (HRNB)
|
||
Progressive figures test (HINB)
|
||
Serial 7's
|
Several of these measures were described earlier
in Chapter
4. The interested reader is also referred to the
test manuals of standardized tests for more details (e.g.,
Woodcock-Johnson Psychoeducational Battery-Revised: Cognitive;
Clinical Evaluation of Language Fundamentals; Token Test;
Differential Ability Test). Many of these measures take little time
to administer and can be used as screening devices to confirm a
diagnosis or area of concern. Many of the measures listed in Table
8.8 are
routinely used by the generally trained clinical or school
psychologist. The interpretation of these measures from a
functional neuropsychological perspective is what differs between
the evaluations. In the transactional approach it is important to
assess the varying domains and determine how the results affect the
child's ability to relate to his or her environment and to adapt to
the resulting environmental reaction. The transactional model
interprets the results of these measures and develops an
appropriate intervention program.
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