BASIC (09-01)

DI 34232.007 Mental Listings from 04/13/97 to 09/19/00

112.00 MENTAL DISORDERS

A. Introduction

The structure of the mental disorders listings for children under age 18 parallels the structure for the mental disorders listings for adults but is modified to reflect the presentation of mental disorders in children. The listings for mental disorders in children are arranged in 11 diagnostic categories: Organic mental disorders (112.02); schizophrenic, delusional (paranoid), schizoaffective, and other psychotic disorders (112.03); mood disorders (112.04); mental retardation (112.05); anxiety disorders (112.06); somatoform, eating, and tic disorders (112.07); personality disorders (112.08); psychoactive substance dependence disorders (112.09); autistic disorder and other per­vasive developmental disorders (112.10); attention deficit hyperactivity disorder (112.11); and developmental and emotional disorders of newborn and younger infants (112.12).

There are significant differences between the listings for adults and the listings for chil­dren. There are disorders found in children that have no real analogy in adults; hence, the differences in the diagnostic categories for children. The presentation of mental dis­orders in children, particularly the very young child, may be subtle and of a character different from the signs and symptoms found in adults. For example, findings such as separation anxiety, failure to mold or bond with the parents, or withdrawal may serve as findings comparable to findings that mark mental disorders in adults. The activities appropriate to children, such as learning, growing, playing, maturing, and school adjust­ment, are also different from the activities appropriate to the adult and vary widely in the different childhood stages.

Each listing begins with an introductory statement that describes the disorder or disor­ders addressed by the listing. This is followed (except in listings 112.05 and 112.12) by medical findings (paragraph A criteria), which, if satisfied, lead to an assessment of impair­ment-related functional limitations (paragraph B criteria). An individual will be found to have a listed impair­ment when the criteria of both paragraphs A and B of the listed impairment are satisfied.

The purpose of the criteria in paragraph A is to substantiate medically the presence of a particular mental disorder. Specific symptoms and signs under any of the listings 112.02 through 112.12 cannot be considered in isolation from the description of the mental dis­order contained at the beginning of each listing category. Impairments should be ana­lyzed or reviewed under the mental category(ies) indicated by the medical findings.

Paragraph A of the listings is a composite of medical findings which are used to substan­tiate the existence of a disorder and may or may not be appropriate for children at specific developmental stages. However, a range of medical findings is included in the listings so that no age group is excluded. For example, in listing 112.02A7, emotional lability and crying would be inappropriate criteria to apply to older infants and toddlers, age 1 to attainment of age 3; whereas in 112.02A1, developmental arrest, delay, or regression are appropriate criteria for older infants and toddlers. Whenever the adjudicator decides that the requirements of paragraph A of a particular mental listing are satisfied, then that listing should be applied regardless of the age of the child to be evaluated.

The purpose of the paragraph B criteria is to describe impairment-related functional lim­itations which are applicable to children. Standardized tests of social or cognitive func­tion and adaptive behavior are frequently available and appropriate for the evaluation of children and, thus, such tests are included in the paragraph B functional parameters. The functional restrictions in paragraph B must be the result of the mental disorder which is manifested by the medical findings in paragraph A.

We have not include separate C criteria for listings 112.03 and 112.06, as are found in the adult listings, because for the most part we do not believe that categories like residual schizophrenia or agoraphobia are commonly found in children. How­ever, in unusual cases where these disorders are found in children and are comparable to the severity and duration found in adults, the adult 12.03C, and 12.06C criteria may be used for evaluation of the cases.

The structure of the listings for Mental Retardation (112.05) and Developmental and Emotional Disorders of Newborn and Younger Infants (112.12) is different from that of the other mental disorders. Listing 112.05 (Mental Retardation) contains six sets of cri­teria, any one of which, if satisfied, will result in a finding that the child"s impairment meets the listing. Listing 112.12 (Developmental and Emotional Disor­ders of Newborn and Younger Infants) contains five criteria, any one of which, if satis­fied, will result in a finding that the infant's impairment meets the listing.

It must be remembered that these listings are only examples of common mental disorders that are severe enough to find a child disabled. When a child has a medically determin­able impairment that is not listed, an impairment that does not meet the requirements of a listing, or a combination of impairments no one of which meets the requirements of a listing, we will make a determination whether the child"s impairment(s) is medically or functionally equivalent in severity to the criteria of a listing. (See §§ 404.1526, 416.926, and 416.926a.)

B. Need for Medical Evidence

The existence of a medically determinable impairment of the required duration must be established by medical evidence consisting of symptoms, signs, and laboratory findings (including psychological or developmental test findings). Symptoms and signs generally cluster together to constitute recognizable mental disorders described in paragraph A of the list­ings. These findings may be intermittent or continuous depending on the nature of the disorder.

C. Assessment of Severity

In childhood cases, as with adults, severity is measured according to the functional limitations imposed by the medically determinable mental impairment. However, the range of functions used to assess impairment severity for chil­dren varies at different stages of maturation. The functional areas that we consider are: Motor function; cognitive/communicative function; social function; personal function; and concentration, persistence, or pace. In most functional areas, there are two alternative methods of documenting the required level of severity; 1) use of standardized tests alone, where appropriate test instruments are available, and 2) use of other medical findings. (See 112.00D for an explanation of these documentation requirements.) The use of stan­dardized tests is the preferred method of documentation if such tests are available.

Newborn and younger infants (birth to attainment of age 1) have not developed sufficient personality differentiation to permit formulation of appropriate diagnoses. We have, therefore, assigned listing 112.12 for Developmental and Emotional Disorders of Newborn and Younger Infants for the evaluation of mental disorders of such children. Severity of these disorders is based on measures of development in motor, cognitive/com­municative, and social functions. When older infants and toddlers (age 1 to attainment of age 3) do not clearly satisfy the paragraph A criteria of any listing because of insuffi­cient developmental differentiation, they must be evaluated under the rules for equiva­lency. The principles for assessing the severity of impairment in such children, described in the following paragraphs, must be employed.

In defining the severity of functional limitations, two different sets of paragraph B crite­ria corresponding to two separate age groupings have been established, in addition to listing 112.12, which is for children who have not attained age 1. These age groups are: older infants and toddlers (age 1 to attainment of age 3) and children (age 3 to attainment of age 18). However, the discussion below in 112.00C1, 2, 3, and 4, on the age-appropriate areas of function, is broken down into four age groupings: older infants and toddlers (age 1 to attainment of age 3), preschool children (age 3 to attainment of age 6), primary school children (age 6 to attainment of age 12), and adolescents (age 12 to attainment of age 18). This was done to provide specific guidance on the age group variances in disease manifestations and methods of evaluation.

Where “marked” is used as a standard for measuring the degree of limitation it means more than moderate but less than extreme. A marked limitation may arise when several activities or functions are impaired, or even when only one is impaired, as long as the degree of limitation is such as to interfere seriously with the ability to function (based upon age-appropriate expectations) independently, appropriately, effectively, and on a sustained basis. When standardized tests are used as the measure of functional param­eters, a valid score that is two standard deviations below the norm for the test will be considered a marked restriction.

  1. Older infants and toddlers (age 1 to attainment of age 3). In this age group, impairment severity is assessed in three areas: (a) Motor development, (b) cognitive/ communicative function, and (c) social function.

    1. Motor development. Much of what we can discern about mental function in these children frequently comes from observation of the degree of development of fine and gross motor function. Developmental delay, as measured by a good developmental milestone history confirmed by medical examination, is critical. This information will ordinarily be available in the existing medical evidence from the claimant"s treating sources and other medical sources, supplemented by information from nonmedical sources, such as parents, who have observed the child and can provide pertinent historical information. It may also be avail­able from standardized testing. If the delay is such that the older infant or toddler has not achieved motor development generally acquired by children no more than one-half the child"s chronological age, the criteria are satisfied.

    2. Cognitive/communicative function. Cognitive/communicative function is measured using one of several standardized infant scales. Appropriate tests for the measure of such function are discussed in 112.00D. Care should be taken to avoid reliance on screening devices, which are not generally considered to be sufficiently reliable instruments, although such devices may provide some relevant data; however, there will be cases in which the results of such tests show such severe abnormalities that further testing will be unnecessary.

      For older infants and toddlers, alternative criteria covering disruption in com­munication as measured by their capacity to use simple verbal and nonverbal structures to communicate basic needs are provided.

    3. Social function. Social function in older infants and toddlers is measured in terms of the development of relatedness to people (e.g., bonding and stranger anxiety) and attachment to animate or inanimate objects. Criteria are provided that use standard social maturity scales or alternative criteria that describe marked impairment in socialization.

  2. Preschool children (age 3 to attainment of age 6). For the age groups including preschool children through adolescence, the functional areas used to measure sever­ity are: (a) Cognitive/communicative function, (b) social function, (c) personal function, and (d) deficiencies of concentration, persistence, or pace resulting in frequent failure to complete tasks in a timely manner. After 36 months, motor function is no longer felt to be a primary determinant of mental function, although, of course, any motor abnormalities should be documented and evaluated.

    1. Cognitive/communicative function. In the preschool years and beyond, cog­nitive function can be measured by standardized tests of intelligence, although the appropriate instrument may vary with age. A primary criterion for limited cognitive function is a valid verbal, performance, or full scale IQ of 70 or less. The listings also provide alternative criteria, consisting of tests of language development or bizarre speech patterns.

    2. Social function. Social functioning refers to a child"s capacity to form and maintain relationships with parents, other adults, and peers. Social functioning includes the ability to get along with others (e.g., family members, neighborhood friends, classmates, teachers). Impaired social functioning may be caused by inappropriate externalized actions (e.g., running away, physical aggression -- but not self-injurious actions, which are evaluated in the personal area of func­tioning), or inappropriate internalized actions (e.g., social isolation, avoidance of interpersonal activities, mutism). Its severity must be documented in terms of intensity, frequency, and duration, and shown to be beyond what might be reasonably expected for age. Strength in social functioning may be documented by such things as the child"s ability to respond to and initiate social interaction with others, to sustain relationships, and to participate in group activities. Coop­erative behaviors, consideration for others, awareness of others" feelings, and social maturity, appropriate to a child"s age, also need to be considered. Social functioning in play and school may involve interactions with adults, including responding appropriately to persons in authority (e.g., teachers, coaches) or cooperative behaviors involving other children. Social functioning is observed not only at home but also in preschool programs.

    3. Personal function. Personal functioning in preschool children pertains to self-care; i.e., personal needs, health, and safety (feeding, dressing, toileting, bath­ing; maintaining personal hygiene, proper nutrition, sleep, health habits; adher­ing to medication or therapy regimens; following safety precautions). Development of self-care skills is measured in terms of the child"s increasing ability to help himself/herself and to cooperate with others in taking care of these needs. Impaired ability in this area is manifested by failure to develop such skills, failure to use them, or self-injurious actions. This function may be docu­mented by a standardized test of adaptive behavior or by a careful description of the full range of self-care activities. These activities are often observed not only at home but also in preschool programs.

    4. Concentration, persistence, and pace. This function may be measured through observations of the child in the course of standardized testing and in the course of play.

  3. Primary school children (age 6 to attainment of age 12). The measures of func­tion here are similar to those for preschool-age children except that the test instru­ments may change and the capacity to function in the school setting is supplemental information. Standardized measures of academic achievement, e.g., Wide Range Achievement Test-Revised, Peabody Individual Achievement Test, etc., may be helpful in assessing cognitive impairment. Problems in social functioning, especially in the area of peer relationships, are often observed firsthand by teachers and school nurses. As described in 112.00D, Documentation, school records are an excellent source of information concerning function and standardized testing and should always be sought for school-age children.

    As it applies to primary school children, the intent of the functional criterion described in paragraph B2d, i.e., deficiencies of concentration, persistence, or pace resulting in failure to complete tasks in a timely manner, is to identify the child who cannot adequately function in primary school because of a mental impairment. Although grades and the need for special education placement are relevant factors which must be considered in reaching a decision under paragraph B2d, they are not conclusive. There is too much variability from school district to school district in the expected level of grading and in the criteria for special education placement to justify reliance solely on these factors.

  4. Adolescents (age 12 to attainment of age 18). Functional criteria parallel to those for primary school children (cognitive/communicative; social; personal; and concentra­tion, persistence, or pace) are the measures of severity for this age group. Testing instruments appropriate to adolescents should be used where indicated. Comparable findings of disruption of social function must consider the capacity to form appro­priate, stable, and lasting relationships. If information is available about cooperative working relationships in school or at part-time or full-time work, or about the ability to work as a member of a group, it should be considered when assessing the child"s social functioning. Markedly impoverished social contact, isolation, withdrawal, and inappropriate or bizarre behavior under the stress of socializing with others also con­stitute comparable findings. (Note that self-injurious actions are evaluated in the personal area of functioning.)

    1. Personal functioning in adolescents pertains to self-care. It is measured in the same terms as for younger children, the focus, however, being on the adolescent"s ability to take care of his or her own personal needs, health, and safety without assistance. Impaired ability in this area is manifested by failure to take care of these needs or by self-injurious actions. This function may be documented by a standardized test of adaptive behavior or by careful descriptions of the full range of self-care activities.

    2. In adolescents, the intent of the functional criterion described in paragraph B2d is the same as in primary school children. However, other evidence of this functional impairment may also be available, such as from evidence of the child"s performance in work or work-like settings.

D. Documentation

The presence of a mental disorder in a child must be documented on the basis of reports from acceptable sources of medical evidence. See §§ 404.1513 and 416.913. Descriptions of functional limitations may be avail­able from these sources, either in the form of standardized test results or in other medical findings supplied by the sources, or both. (Medical findings consist of symp­toms, signs, and laboratory findings.) Whenever possible, a medical source"s findings should reflect the medical source"s consideration of information from parents or other concerned individuals who are aware of the child"s activities of daily living, social functioning, and ability to adapt to different settings and expectations, as well as the medical source"s findings and observations on examination, consistent with standard clinical practice. As necessary, information from nonmedical sources, such as par­ents, should also be used to supplement the record of the child"s functioning to estab­lish the consistency of the medical evidence and longitudinality of impairment severity.

For some newborn and younger infants, it may be very difficult to document the pres­ence or severity of a mental disorder. Therefore, with the exception of some genetic diseases and catastrophic congenital anomalies, it may be necessary to defer making a disability decision until the child attains 3 months of age in order to obtain ade­quate observation of behavior or affect. See, also, 110.00 of this part. This period could be extended in cases of premature infants depending on the degree of prema­turity and the adequacy of documentation of their developmental and emotional status.

For infants and toddlers, programs of early intervention involving occupational, physical, and speech therapists, nurses, social workers, and special educators, are a rich source of data. They can provide the developmental milestone evaluations and records on the fine and gross motor functioning of these children. This information is valuable and can complement the medical examination by a physician or psychol­ogist. A report of an interdisciplinary team that contains the evaluation and signa­ture of an acceptable medical source is considered acceptable medical evidence rather than supplemental data.

In children with mental disorders, particularly those requiring special placement, school records are a rich source of data, and the required reevaluations at specified time periods can provide the longitudinal data needed to trace impairment progres­sion over time.

In some cases where the treating sources lack expertise in dealing with mental dis­orders of children, it may be necessary to obtain evidence from a psychiatrist, psy­chologist, or pediatrician with experience and skill in the diagnosis and treatment of mental disorders as they appear in children. In these cases, however, every rea­sonable effort must be made to obtain the records of the treating sources, since these records will help establish a longitudinal picture that cannot be established through a single purchased examination.

A reference to standardized psychological testing indicates the use of a psychological test that has appropriate characteristics of validity, reliability, and norms, administered individually by a psychologist, psychiatrist, pediatrician, or other physician specialist qualified by training and experience to perform such an evaluation. Psychological tests are best considered as sets of tasks or questions designed to elicit particular behaviors when presented in a standardized manner.

The salient characteristics of a good test are: (1) Validity, i.e., the test measures what it is supposed to measure, as determined by appropriate methods; 2) reliability, i.e., the consistency of results obtained over time with the same test and the same individual; 3) appropriate normative data, i.e., individual test scores must be comparable to test data from other individuals or groups of a similar nature, representative of that population. In considering the validity of a test result, any discrepancies between formal test results and the child"s customary behavior and daily activities should be duly noted and resolved.

Tests meeting the above requirements are acceptable for the determination of the conditions contained in these listings. The psychologist, psychiatrist, pediatrician, or other physician specialist administering the test must have a sound technical and professional understanding of the test and be able to evaluate the research documentation related to the intended application of the test.

Identical IQ scores obtained from different tests do not always reflect a similar degree of intellectual functioning. The IQ scores in listing 112.05 reflect values from tests of general intelligence that have a mean of 100 and a standard deviation of 15, e.g., the Wechsler series and the Revised Stanford-Binet scales. Thus IQs below 60 reflect a level of intellectual functioning below 99.5 percent of the general population, and IQs of 70 and below are characteristic of approximately the lowest 2 percent of the general population. IQs obtained from standardized tests that deviate from a mean of 100 and standard deviation of 15 require conversion to the corresponding percentile rank in the general population so that the actual degree of impairment reflected by the IQ scores can be determined. In cases where more than one IQ is customarily derived from the test administered, e.g., where verbal, performance, and full scale IQs are provided, as on the Wechsler series, the lowest of these is used in conjunction with listing 112.05.

IQ test results must also be sufficiently current for accurate assessment under 112.05. Generally, the results of IQ tests tend to stabilize by the age of 16. Therefore, IQ test results obtained at age 16 or older should be viewed as a valid indication of the child"s current status, provided they are compatible with the child"s current behavior. IQ test results obtained between ages 7 and 16 should be considered current for 4 years when the tested IQ is less than 40, and for 2 years when the IQ is 40 or above. IQ test results obtained before age 7 are current for 2 years if the tested IQ is less than 40 and 1 year if at 40 or above.

Standardized intelligence test results are essential to the adjudication of all cases of mental retardation that are not covered under the provisions of listings 112.05A, 112.05B, and 112.05F. Listings 112.05A, 112.05B, and 112.05F may be the bases for adjudicating cases where the results of standardized intelligence tests are unavail­able, e.g., where the child"s young age or condition precludes formal standardized testing.

In conjunction with clinical examinations, sources may report the results of screen­ing tests, i.e., tests used for gross determination of level of functioning. These tests do not have high validity and reliability and generally are not considered appropriate primary evidence for disability determinations. These screening instruments may be useful in uncovering potentially serious impairments, but generally must be supplemented by the use of formal, standardized psychological testing for the purposes of a disability determination, unless the determination is to be made on the basis of findings other than psychological test data; however, there will be some cases in which the results of screening tests show such obvious abnormalities that further testing will clearly be unnec­essary.

Where reference is made to developmental milestones, this is defined as the attain­ment of particular mental or motor skills at an age-appropriate level, i.e., the skills achieved by an infant or toddler sequentially and within a given time period in the motor and manipulative areas, in general understanding and social behavior, in self-feeding, dressing, and toilet training, and in language. This is sometimes expressed as a developmental quotient (DQ), the relation between developmental age and chro­nological age as determined by specific standardized measurements and observa­tions. Such tests include, but are not limited to, the Cattell Infant Intelligence Scale, the Bayley Scales of Infant Development, and the Revised Stanford-Binet. Formal tests of the attainment of developmental milestones are generally used in the clinical setting for determination of the developmental status of infants and toddlers.

Formal psychological tests of cognitive functioning are generally in use for preschool children, for primary school children, and for adolescents except for those instances noted below.

Exceptions to formal standardized psychological testing may be considered when a psychologist, psychiatrist, pediatrician, or other physician specialist who is qualified by training and experience to perform such an evaluation is not readily available. In such instances, appropriate medical, historical, social, and other information must be reviewed in arriving at a determination.

Exceptions may also be considered in the case of ethnic/cultural minorities where the native language or culture is not principally English-speaking. In such instances, psychological tests that are culture-free, such as the Leiter International Performance Scale or the Scale of Multi-Culture Pluralistic Assessment (SOMPA) may be substituted for the standardized tests described above. Any required tests must be administered in the child's principal language. When this is not possible, appropriate medical, historical, social, and other information must be reviewed in arriving at a determination. Furthermore, in evaluating mental impairments in children from a different culture, the best indicator of severity is often the level of adaptive functioning and how the child performs activities of daily living and social functioning.

Neuropsychological testing refers to the administration of standardized tests that are reliable and valid with respect to assessing impairment in brain functioning. It is intended that the psychologist or psychiatrist using these tests will be able to evaluate the following functions: Attention/concentration, problem-solving, language, memory, motor, visual-motor and visual-perceptual, laterality, and general intelligence (if not previously obtained).

E. Effect of Hospitalization or Residential Placement

As with adults, children with mental disorders may be placed in a variety of structured settings outside the home as part of their treatment. Such settings include, but are not limited to, psychiatric hospi­tals, developmental disabilities facilities, residential treatment centers and schools, community-based group homes, and workshop facilities. The reduced mental demands of such structured settings may attenuate overt symptomatology and superficially make the child"s level of adaptive functioning appear better than it is. Therefore, the capacity of the child to function outside highly structured settings must be considered in evaluat­ing impairment severity. This is done by determining the degree to which the child can function (based upon age-appropriate expectations) independently, appropriately, effec­tively, and on a sustained basis outside the highly structured setting. On the other hand, there may be a variety of causes for placement of a child in a struc­tured setting which may or may not be directly related to impairment severity and func­tional ability. Placement in a structured setting in and of itself does not equate with a finding of disability. The severity of the impairment must be compared with the require­ments of the appropriate listing.

F. Effects of Medication

Attention must be given to the effect of medication on the child"s signs, symptoms, and ability to function. While psychoactive medications may control certain primary manifestations of a mental disorder, e.g., hallucinations, impaired attention, restlessness, or hyperactivity, such treatment may not affect the functional limitations imposed by the mental disorder. In cases where overt symptomatology is attenuated by the use of such psychoactive medications, particular attention must be focused on the functional limitations that may persist. These functional limitations must be considered in assessing impairment severity.

Psychotropic medicines used in the treatment of some mental illnesses may cause drows­iness, blunted affect, or other side effects involving other body systems. Such side effects must be considered in evaluating overall impairment severity.

112.01 Category of Impairments, Mental

112.02 Organic Mental Disorders: Abnormalities in perception, cognition, affect, or behav­ior associated with dysfunction of the brain. The history and physical examination or labora­tory tests, including psychological or neuropsychological tests, demonstrate or support the presence of an organic factor judged to be etiologically related to the abnormal mental state and associated deficit or loss of specific cognitive abilities, or affective changes, or loss of pre­viously acquired functional abilities.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented persistence of at least one of the following:

    1. Developmental arrest, delay or regression; or

    2. Disorientation to time and place; or

    3. Memory impairment, either short-term (inability to learn new information), intermediate, or long-term (inability to remember information that was known sometime in the past); or

    4. Perceptual or thinking disturbance (e.g., hallucinations, delusions, illusions, or para­noid thinking); or

    5. Disturbance in personality (e.g., apathy, hostility); or

    6. Disturbance in mood (e.g., mania, depression); or

    7. Emotional lability (e.g., sudden crying); or

    8. Impairment of impulse control (e.g., disinhibited social behavior, explosive temper outbursts); or

    9. Impairment of cognitive function, as measured by clinically timely standardized psy­chological testing; or

    10. Disturbance of concentration, attention, or judgment;

    AND

  2. Select the appropriate age group to evaluate the severity of the impairment:

    1. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the following:

      1. Gross or fine motor development at a level generally acquired by children no more than one-half the child"s chronological age, documented by:

        1. An appropriate standardized test; or

        2. Other medical findings (see 112.00C); or

      2. Cognitive/communicative function at a level generally acquired by children no more than one-half the child"s chronological age, documented by:

        1. An appropriate standardized test; or

        2. Other medical findings of equivalent cognitive/communicative abnormality, such as the inability to use simple verbal or nonverbal behavior to commu­nicate basic needs or concepts; or

      3. Social function at a level generally acquired by children no more than one-half the child"s chronological age, documented by:

        1. An appropriate standardized test; or

        2. Other medical findings of an equivalent abnormality of social functioning, exemplified by serious inability to achieve age-appropriate autonomy as manifested by excessive clinging or extreme separation anxiety; or

      4. Attainment of development or function generally acquired by children no more than two-thirds of the child"s chronological age in two or more areas covered by a., b., or c., as measured by an appropriate standardized test or other appropri­ate medical findings.

    1. For children (age 3 to attainment of age 18), resulting in at least two of the following:

      1. Marked impairment in age-appropriate cognitive/communicative function, documented by medical findings (including consideration of historical and other information from parents or other individuals who have knowledge of the child, when such information is needed and available) and including, if necessary, the results of appropriate standardized psychological tests, or for children under age 6, by appropriate tests of language and communication; or

      2. Marked impairment in age-appropriate social functioning, documented by history and medical findings (including consideration of information from parents or other individuals who have knowledge of the child, when such infor­mation is needed and available) and including, if necessary, the results of appro­priate standardized tests; or

      3. Marked impairment in age-appropriate personal functioning, documented by history and medical findings (including consideration of information from parents or other individuals who have knowledge of the child, when such infor­mation is needed and available) and including, if necessary, appropriate stan­dardized tests; or

      4. Deficiencies of concentration, persistence, or pace resulting in frequent failure to complete tasks in a timely manner.

112.03 Schizophrenic, Delusional (Paranoid), Schizoaffective, and Other Psychotic Disorders: Onset of psychotic features, characterized by a marked disturbance of thinking, feeling, and behavior, with deterioration from a previous level of functioning or failure to achieve the expected level of social functioning.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented persistence, for at least 6 months, either continuous or inter­mittent, of one or more of the following:

    1. Delusions or hallucinations; or

    2. Catatonic, bizarre, or other grossly disorganized behavior; or

    3. Incoherence, loosening of associations, illogical thinking, or poverty of content of speech; or

    4. Flat, blunt, or inappropriate affect; or

    5. Emotional withdrawal, apathy, or isolation;

    AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.04 Mood Disorders: Characterized by a disturbance of mood (referring to a prolonged emotion that colors the whole psychic life, generally involving either depression or elation), accompanied by a full or partial manic or depressive syndrome.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented persistence, either continuous or intermittent, of one of the fol­lowing:

    1. Major depressive syndrome, characterized by at least five of the following, which must include either depressed or irritable mood or markedly diminished interest or pleasure:

      1. Depressed or irritable mood; or

      2. Markedly diminished interest or pleasure in almost all activities; or

      3. Appetite or weight increase or decrease, or failure to make expected weight gains; or

      4. Sleep disturbance; or

      5. Psychomotor agitation or retardation; or

      6. Fatigue or loss of energy; or

      7. Feelings of worthlessness or guilt; or

      8. Difficulty thinking or concentrating; or

      9. Suicidal thoughts or acts; or

      10. Hallucinations, delusions, or paranoid thinking;

      OR

    2. Manic syndrome, characterized by elevated, expansive, or irritable mood, and at least three of the following:

      1. Increased activity or psychomotor agitation; or

      2. Increased talkativeness or pressure of speech; or

      3. Flight of ideas or subjectively experienced racing thoughts; or

      4. Inflated self-esteem or grandiosity; or

      5. Decreased need for sleep; or

      6. Easy distractibility; or

      7. Involvement in activities that have a high potential of painful consequences which are not recognized; or

      8. Hallucinations, delusions, or paranoid thinking;

      OR

    3. Bipolar or cyclothymic syndrome with a history of episodic periods manifested by the full symptomatic picture of both manic and depressive syndromes (and currently or most recently characterized by the full or partial symptomatic picture of either or both syndromes);

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.05 Mental Retardation: Characterized by significantly subaverage general intellectual functioning with deficits in adaptive functioning.

The required level of severity for this disorder is met when the requirements in A, B, C, D, E, or F are satisfied.

  1. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02;

    OR

  2. Mental incapacity evidenced by dependence upon others for personal needs (grossly in excess of age-appropriate dependence) and inability to follow directions such that the use of standardized measures of intellectual functioning is precluded;

    OR

  3. A valid verbal, performance, or full scale IQ of 59 or less;

    OR

  4. A valid verbal, performance, or full scale IQ of 60 through 70 and a physical or other mental impairment imposing additional and significant limitation of function;

    OR

  5. A valid verbal, performance, or full scale IQ of 60 through 70 and:

    1. For older infants and toddlers (age 1 to attainment of age 3), resulting in attainment of development or function generally acquired by children no more than two-thirds of the child"s chronological age in either paragraphs B1a or B1c of 112.02; or

    2. For children (age 3 to attainment of age 18), resulting in at least one of paragraphs B2b or B2c or B2d of 112.02;

      OR

  6. Select the appropriate age group:

    1. For older infants and toddlers (age 1 to attainment of age 3), resulting in attainment of development or function generally acquired by children no more than two-thirds of the child"s chronological age in paragraph B1b of 112.02, and a physical or other mental impairment imposing additional and significant limitation of function;

      OR

    2. For children (age 3 to attainment of age 18), resulting in the satisfaction of 112.02B2a, and a physical or other mental impairment imposing additional and significant limitation of function.

112.06 Anxiety Disorders: In these disorders, anxiety is either the predominant distur­bance or is experienced if the individual attempts to master symptoms, e.g., confronting the dreaded object or situation in a phobic disorder, attempting to go to school in a separation anxiety disorder, resisting the obsessions or compulsions in an obsessive compulsive disor­der, or confronting strangers or peers in avoidant disorders.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented findings of at least one of the following:

    1. Excessive anxiety manifested when the child is separated, or separation is threat­ened, from a parent or parent surrogate; or

    2. Excessive and persistent avoidance of strangers; or

    3. Persistent unrealistic or excessive anxiety and worry (apprehensive expectation), accompanied by motor tension, autonomic hyperactivity, or vigilance and scanning; or

    4. A persistent irrational fear of a specific object, activity, or situation which results in a compelling desire to avoid the dreaded object, activity, or situation; or

    5. Recurrent severe panic attacks, manifested by a sudden unpredictable onset of intense apprehension, fear, or terror, often with a sense of impending doom, occur­ring on the average of at least once a week; or

    6. Recurrent obsessions or compulsions which are a source of marked distress; or

    7. Recurrent and intrusive recollections of a traumatic experience, including dreams, which are a source of marked distress;

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.07 Somatoform, Eating, and Tic Disorders: Manifested by physical symptoms for which there are no demonstrable organic findings or known physiologic mechanisms; or eating or tic disorders with physical manifestations.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented findings of one of the following:

    1. An unrealistic fear and perception of fatness despite being underweight, and persis­tent refusal to maintain a body weight which is greater than 85 percent of the average weight for height and age, as shown in the most recent edition of the Nelson Textbook of Pediatrics, Richard E. Behrman and Victor C. Vaughan, III, editors, Philadelphia: W. B. Saunders Company; or

    2. Persistent and recurrent involuntary, repetitive, rapid, purposeless motor move­ments affecting multiple muscle groups with multiple vocal tics; or

    3. Persistent nonorganic disturbance of one of the following:

      1. Vision; or

      2. Speech; or

      3. Hearing; or

      4. Use of a limb; or

      5. Movement and its control (e.g., coordination disturbance, psychogenic seizures); or

      6. Sensation (diminished or heightened); or

      7. Digestion or elimination; or

    4. Preoccupation with a belief that one has a serious disease or injury;

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.08 Personality Disorders: Manifested by pervasive, inflexible, and maladaptive per­sonality traits, which are typical of the child"s long-term functioning and not limited to dis­crete episodes of illness.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Deeply ingrained, maladaptive patterns of behavior, associated with one of the following:

    1. Seclusiveness or autistic thinking; or

    2. Pathologically inappropriate suspiciousness or hostility; or

    3. Oddities of thought, perception, speech, and behavior; or

    4. Persistent disturbances of mood or affect; or

    5. Pathological dependence, passivity, or aggressiveness; or

    6. Intense and unstable interpersonal relationships and impulsive and exploitative behavior; or

    7. Pathological perfectionism and inflexibility;

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.09 Psychoactive Substance Dependence Disorders: Manifested by a cluster of cog­nitive, behavioral, and physiologic symptoms that indicate impaired control of psychoactive substance use with continued use of the substance despite adverse consequences.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented findings of at least four of the following:

    1. Substance taken in larger amounts or over a longer period than intended and a great deal of time is spent in recovering from its effects; or

    2. Two or more unsuccessful efforts to cut down or control use; or

    3. Frequent intoxication or withdrawal symptoms interfering with major role obliga­tions; or

    4. Continued use despite persistent or recurring social, psychological, or physical prob­lems; or

    5. Tolerance, as characterized by the requirement for markedly increased amounts of substance in order to achieve intoxication; or

    6. Substance taken to relieve or avoid withdrawal symptoms;

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.10 Autistic Disorder and Other Pervasive Developmental Disorders: Character­ized by qualitative deficits in the development of reciprocal social interaction, in the develop­ment of verbal and nonverbal communication skills, and in imaginative activity. Often, there is a markedly restricted repertoire of activities and interests, which frequently are stereo­typed and repetitive.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented findings of the following:

    1. For autistic disorder, all of the following:

      1. Qualitative deficits in the development of reciprocal social interaction; and

      2. Qualitative deficits in verbal and nonverbal communication and in imaginative activity; and

      3. Markedly restricted repertoire of activities and interests;

        OR

    2. For other pervasive developmental disorders, both of the following:

      1. Qualitative deficits in the development of reciprocal social interaction; and

      2. Qualitative deficits in verbal and nonverbal communication and in imaginative activity;

        AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.11 Attention Deficit Hyperactivity Disorder: Manifested by developmentally inap­propriate degrees of inattention, impulsiveness, and hyperactivity.

The required level of severity for these disorders is met when the requirements in both A and B are satisfied.

  1. Medically documented findings of all three of the following:

    1. Marked inattention; and

    2. Marked impulsiveness; and

    3. Marked hyperactivity;

      AND

  2. For older infants and toddlers (age 1 to attainment of age 3), resulting in at least one of the appropriate age-group criteria in paragraph B1 of 112.02; or, for children (age 3 to attainment of age 18), resulting in at least two of the appropriate age-group criteria in paragraph B2 of 112.02.

112.12 Developmental and Emotional Disorders of Newborn and Younger Infants (Birth to attainment of age 1): Developmental or emotional disorders of infancy are evi­denced by a deficit or lag in the areas of motor, cognitive/communicative, or social functioning. These disorders may be related either to organic or to functional factors or to a combination of these factors.

The required level of severity for these disorders is met when the requirements of A, B, C, D, or E are satisfied.

  1. Cognitive/communicative functioning generally acquired by children no more than one-half the child"s chronological age, as documented by appropriate medical findings (e.g., in infants 0-6 months, markedly diminished variation in the production or imitation of sounds and severe feeding abnormality, such as problems with sucking, swallowing, or chewing) including, if necessary, a standardized test;

    OR

  2. Motor development generally acquired by children no more than one-half the child"s chronological age, documented by appropriate medical findings, including if necessary, a standardized test;

    OR

  3. Apathy, over-excitability, or fearfulness, demonstrated by an absent or grossly excessive response to one of the following:

    1. Visual stimulation; or

    2. Auditory stimulation; or

    3. Tactile stimulation;

    OR

  4. Failure to sustain social interaction on an ongoing, reciprocal basis as evidenced by:

    1. Inability by 6 months to participate in vocal, visual, and motoric exchanges (includ­ing facial expressions); or

    2. Failure by 9 months to communicate basic emotional responses, such as cuddling or exhibiting protest or anger; or

    3. Failure to attend to the caregiver"s voice or face or to explore an inanimate object for a period of time appropriate to the infant"s age;

    OR

  5. Attainment of development or function generally acquired by children no more than two-thirds of the child"s chronological age in two or more areas (i.e., cognitive/communicativ