The Relation Between Intellectual Functioning and Adaptive Behavior in The Diagnosis of Intellectual Disability
The Relation Between Intellectual Functioning and Adaptive Behavior in The Diagnosis of Intellectual Disability
The Relation Between Intellectual Functioning and Adaptive Behavior in The Diagnosis of Intellectual Disability
Abstract
Intellectual disability originates during the developmental period and is characterized by significant
limitations both in intellectual functioning and in adaptive behavior as expressed in conceptual,
social, and practical adaptive skills. In this article, we present a brief history of the diagnostic criteria
of intellectual disability for both the DSM-5 and AAIDD. The article also (a) provides an update of
the understanding of adaptive behavior, (b) dispels two thinking errors regarding mistaken temporal or
causal link between intellectual functioning and adaptive behavior, (c) explains that there is a strong
correlational, but no causative, relation between intellectual functioning and adaptive behavior, and
(d) asserts that once a question of determining intellectual disability is raised, both intellectual
functioning and adaptive behavior are assessed and considered jointly and weighed equally in the
diagnosis of intellectual disability. We discuss the problems created by an inaccurate statement that
appears in the DSM-5 regarding a causal link between deficits in intellectual functioning and adaptive
behavior and propose an immediate revision to remove this erroneous and confounding statement.
Key Words: intellectual disability; intellectual functioning; adaptive behavior; diagnosis; DSM-5;
definitions of intellectual disability; mental retardation
Although the term or name has changed over time, behavior showing that adaptive behavior as a whole
the definition of intellectual disability (ID) used over is composed of conceptual, social, and practical
the past 50 years or more has been quite consistent. adaptive skills; the second major advance is the
Specifically, an analysis of the U.S.-based defini- progress made in the formal standardized assessment
tions used since the 1950s shows that the three of adaptive behavior (Tassé et al., 2012).
essential elements of ID—limitations in intellectu- The current definition of intellectual disability
al functioning, limitations in adaptive behavior, promulgated by AAIDD is that ‘‘intellectual
and early age of onset—have not changed substan- disability is characterized by significant limitations
tially (Brown, 2007; Schalock, Luckasson, & both in intellectual functioning and in adaptive
Shogren, 2007). Although the three elements have behavior as expressed in conceptual, social, and
not substantially changed, there have been minor practical adaptive skills. This disability originates
changes in the phrasing of the definition that have before age 18’’ (Schalock et al., 2010, p. 1).
occurred in successive manuals published by the Analogously, the Diagnostic and Statistical Manual of
American Association on Intellectual and Devel- Mental Disorders, 5th edition (DSM-5) defined
opmental Disabilities (AAIDD) and the American intellectual disability (intellectual developmental
Psychiatric Association (APA) as science and disorder) as ‘‘a disorder with onset during the
knowledge in these areas have advanced. developmental period that includes both intellec-
In this article, we focus on two scientific tual and adaptive behavior deficits in conceptual,
advances related to the construct of adaptive social, and practical domains’’, (American Psychi-
behavior and how these advances require the equal atric Association, APA, 2013, p. 33).
consideration of intellectual functioning and adap- For purposes of diagnosis, intellectual func-
tive behavior in the diagnosis of intellectual tioning is currently best conceptualized and cap-
disability. One major advance is the empirical tured by a general factor of intelligence, which is a
validation of the factor structure of adaptive general mental ability best represented by a full-
scale or composite score (APA, 2013; Schalock et diagnostic criteria used to establish intellectual
al., 2010). Intelligence includes reasoning, plan- disability?’’ In addressing this key question, we (a)
ning, solving problems, thinking, comprehending provide an update of the understanding of adaptive
complex ideas, learning quickly, and learning from behavior; (b) dispel two thinking errors regarding
experience (Arvey et al., 1994; Gottfredson, 1997). mistaken temporal or causative relation between
The ‘‘significant limitations in intellectual func- intellectual functioning and adaptive behavior; (c)
tioning’’ criterion for a diagnosis of ID requires a explain that there is a strong correlational, but no
full-scale IQ score that is approximately two causal relation between intellectual functioning and
standard deviations below the mean, considering adaptive behavior; and (d) assert that once a
the standard error of measurement for the specific, question of whether a person has ID is raised, both
individually administered instruments used, and intellectual functioning and adaptive behavior are
the instruments’ psychometric properties. All other assessed, considered jointly, and weighed equally in
sources of measurement error, such as the Flynn the diagnosis of intellectual disability. Throughout
effect and practice effects, should also be consid- the article we emphasize strongly that the constructs
ered when interpreting test results. of intellectual functioning and adaptive behavior and their
For purposes of diagnosis, adaptive behavior is assessment must be weighed equally and considered
the collection of conceptual, social, and practical jointly in the diagnosis of ID.
skills that have been learned and are performed by
people in their everyday lives (Schalock et al., Understanding Adaptive Behavior
2010). Measurement of adaptive behavior uses
When first proposed by AAIDD in their draft
individually administered instruments, as well as
version of the 5th edition of the Terminology &
other sources of relevant clinical information, and
Classification (T&C) manual (Heber, 1959), adap-
focuses on whether the person has significant
tive behavior was introduced as being composed of
limitations in one or more of the three adaptive
three principle elements: learning, social adjust-
skill areas (conceptual, social, or practical). Signif- ment, and maturation. AAIDD quickly subsumed
icant limitations in adaptive behavior are objec- these three elements into the broad construct of
tively established through the use of standardized adaptive behavior in the official version of the 5th
measures normed on the general population, edition of the T&C manual (Heber, 1961). For the
including people with disabilities and people next 40 years, the concept of adaptive behavior
without disabilities. Similar to the assessment of evolved from a single, largely undefined term to a
intellectual functioning, the ‘‘significant limita- measurable construct whose factor structure and
tions in adaptive behavior’’ criterion for a diagnosis measurement are now understood to include con-
of ID is an adaptive behavior score that is ceptual, social, and practical adaptive skills that
approximately two standard deviations below the have been learned and are performed in the
mean in one of the three adaptive skill areas, community by people in their everyday lives
considering the standard error of measurement for (Luckasson et al., 2002; Schalock et al., 2010;
the respective skill area and the instruments’ Thompson, McGrew, & Bruininks, 1999). Tassé and
psychometric properties. Interpretation of adaptive his colleagues (2012) have argued that Heber’s
behavior assessment results should consider respon- (1959) original proposal of the aforementioned three
dent reliability, whether present functioning is skill areas overlap perfectly with the current 3-factor
considered within the context of community model of adaptive behavior comprising conceptual,
environments and compared to same-age peers, as social, and practical skills.
well as all other sources of measurement error. With this accepted and empirically validated
With the better understanding of intellectual conceptualization, adaptive behavior can be con-
functioning and adaptive behavior as reflected in the sidered on an equal footing in terms of weight and
previous diagnostically related operational defini- metrics with intellectual functioning in the under-
tions, the field of ID is now in a better position to standing and diagnosis of ID (Schalock et al.,
address a question that sometimes arises in clinical 2012). Adaptive behavior is also uniquely able to
decisions and recommendations: ‘‘Is there a relation be used effectively to provide a framework for
between deficits in intellectual functioning and person-referenced education and habilitation goals
deficits in adaptive behavior, and if so, how should and individualized support strategies, direct atten-
the relation be expressed, and how does it affect the tion to an essential dimension of human function-
ing, and serve as an independent variable in by Edgar Doll (Doll, 1936, 1953) and later evolved
outcomes evaluation (Luckasson & Schalock, into adaptive behavior as described initially by Heber
2013; Tassé, 2009; Tassé et al., 2012). (1959, 1961) and later by Tassé et al. (2012).
Table 1
Definitions and Diagnostic Criteria of Intellectual Disability
Table 1
Continued
(Table 1 continued)
Table 1
Continued
the full text of the published definitions of mental worthy is the slight variation in conjunctions. For
retardation/intellectual disability, going back to AAIDD, the conjunctions used have been ‘‘asso-
the 1959/1961 definitions for the American ciated with’’ (Heber, 1959, 1961), ‘‘existing
Association for Intellectual and Developmental concurrently with’’ (Grossman, 1973, 1977,
Disabilities (AAIDD, then American Association 1983; Luckasson et al., 1992), and ‘‘both in . . .
on Mental Deficiency) and 1952 for the DSM as expressed in’’ (Luckasson et al., 2002; Schalock
(American Psychiatric Association, 1952). Note- et al., 2010). For the DSM, the conjunctions used
have been ‘‘associated with’’ (APA, 1968), 3. A complete understanding of human func-
‘‘resulting in, or associated with’’ (APA, 1980), tioning requires an understanding of the
‘‘accompanied by’’ (APA, 1987, 1994, 2000), and person’s typical performance, which is the
‘‘that includes both’’ (APA, 2013). Throughout case in the assessment of adaptive behavior,
the past 50þ years of definitions promulgated by not maximum performance, which is the case
both AAIDD and APA, any relation between in the assessment of intellectual functioning
intellectual functioning and adaptive behavior has (Luckasson & Schalock, 2015).
repeatedly and consistently been described as a 4. A variety of factors can be used as a basis for
correlational relation (e.g. ‘‘associated with,’’ ‘‘exist- subgroup classification, including level of
ing concurrently,’’ ‘‘including both’’), and not a causal support needs, adaptive behavior, or intel-
relation. In fact, over the past half-century the only lectual functioning (Schalock & Luckasson,
time there was any mention of one construct 2015). AAIDD has long urged that various
causing or resulting in the other in the diagnostic classification systems be developed to ensure
and classification systems for intellectual disability a meaningful subgrouping of individuals
was in the third edition of the DSM (APA, 1980). according to criteria that are relevant to
This statement was immediately abandoned and the purpose of the classification (Luckasson
changed in the revision of the DSM-III to et al., 1992, 2002; Schalock et al., 2010).
‘‘concurrent deficits or impairments in adaptive DSM-5 followed this established trend in
behavior’’ (see: DSM-III-R; APA, 1987). We proposing that the person’s level of adaptive
recommend an immediate comparative revision behavior or level of support needs be used to
to the DSM-5 to correct this thinking error. determine classification levels for ID (DSM-
5; APA, 2013).
Equal Weight and Joint Consideration 5. A valid diagnosis of ID requires the clinician
to synthesize/integrate assessment of intel-
There are no published studies supporting the lectual functioning and adaptive behavior
notion of a causal link between intelligence and
while following these two standards of
adaptive behavior. Because there have been
clinical judgment (Schalock & Luckasson,
studies (see Tassé et al., 2012) documenting the
2014; Luckasson & Schalock, 2015): (a)
correlational relationship between intellectual
clinical judgment employs research-based
functioning and adaptive behavior, and because
best practices in diagnosis, classification,
the constructs of intellectual functioning and
and planning supports; and (b) clinical
adaptive behavior and their assessment are better
judgment incorporates the multidimension-
understood and comparable in terms of the metrics
ality of human functioning in diagnosis,
used in their assessment, both must be weighed
classification, and planning supports. A
equally and considered jointly in the diagnosis of ID.
recognition of the important role of clinical
The ordering of the presentation of these two
judgment is also emphasized in the DSM-5
criteria in all diagnostic systems is merely
diagnostic criteria.
historical and should not be interpreted as a
6. The definitions of ID, going back more than
sequential ordering or steps in the diagnostic
50 years to the present, confirm that any
process. The following empirical findings and best
relationship between intellectual functioning
clinical practices support this position.
and adaptive behavior has always been corre-
1. The relation between intellectual functioning lational. There is no empirical evidence to
and adaptive behavior has been expressed support inserting a causal interpretation be-
historically and consistently as correlational, tween the two. A recent error in DSM-5 to the
not causative (see Table 1). contrary, suggesting there is a possible causal
2. Demonstrating a causative relationship be- relationship, is unsupported by either science
tween these two criteria for a diagnosis of ID is or clinical practice, and would erroneously add
clinically impossible and irrelevant, and at- a new fourth diagnostic element to the
tempting to do so would mistakenly add a definition of ID that would be impossible to
fourth criterion to the diagnostic process. establish clinically.
AAIDD Terminology & Classification manuals Robert L. Schalock, Hastings College, Department
and DSM. of Psychology.