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Professional Psychology: Research and Practice In the public domain

1996. Vol. 27, No. 3. 272-277

The Representativeness and Past-Behavior Heuristics


in Clinical Judgment
Howard N. Garb
Highland Drive Veterans Affairs Medical Center, Pittsburgh, and University of Pittsburgh

To clarify how psychologists make judgments, 3 studies were conducted. The results from 2 studies
indicate that the representativeness heuristic (D. Kahneman & A. Tversky, 1973) describes how
diagnoses are made. That is, clinicians seem to make diagnoses by comparing patients to typical
patients (e.g., the typical patient with schizophrenia). In a 3rd study, the representativeness heuristic
did not describe how clinicians make behavioral predictions. Instead, the past-behavior heuristic
was descriptive. The results can help psychologists understand why different problems occur in psy-
chodiagnosis. For example, the results suggest that when race bias and gender bias occur in psycho-
diagnosis, they occur because race or gender are features of a clinician's stereotypes, not because
clinicians are attending to base rates.

Cognitive heuristics are simple rules that describe how people the past-behavior heuristic. This heuristic refers to when people
make judgments. Perhaps the most frequently discussed cogni- make predictions of future behavior by looking at past behavior.
tive heuristic is the representativeness heuristic. The represen- For example, to predict violence, one can consider if a person
tativeness heuristic is said to be descriptive of a person's cogni- has been violent in the past. Although Dawes (1986) and other
tive processes when the person makes a judgment about an ob- investigators have argued that cognitive heuristics probably de-
ject or person by comparing the object or person to another scribe how clinicians make judgments, they did not consider
object or person (Kahneman & Tversky, 1973). For example, whether the past-behavior heuristic can describe how clinicians
when judging the likelihood of a diagnosis, a clinician may com- make predictions.
pare a patient to (a) the typical patient with schizophrenia (the Several investigators have argued that a natural way for clini-
clinician's stereotype) or (b) the prototypical patient with cians to make diagnoses is for them to compare patients to pro-
schizophrenia (the clinician's prototype). The prototypical pa- totypes (e.g., Cantor & Genero, 1986; Cantor, Smith, French,
tient would have all of the features associated with a category, & Mezzich, 1980; Horowitz, Post, French, Wallis, & Siegelman,
whereas the typical patient would have only some of the features 1981; Livesley, 1985). They noted that research in cognitive
(Horowitz, Wright, Lowenstein, & Parad, 1981). Empirical re- psychology has shown that people in everyday settings typically
search in social psychology has shown that the representative- make categorical judgments by comparing people or objects to
ness heuristic is frequently descriptive of how judgments and prototypes (e.g., Rosch, 1978; though see Komatsu, 1992;
decisions are made in everyday life (Tversky & Kahneman, Medin, Goldstone, & Gentner, 1993). They did not argue that
1982). According to Dawes (1986), the representativeness heu- clinicians actually make diagnoses by comparing patients to
ristic is also descriptive of how psychologists make judgments. prototypes. Clinicians may have a natural inclination to com-
However, until the present three studies, there was no empirical pare patients to prototypes, but given that they are supposed to
evidence on whether or not the representativeness heuristic de- attend to the criteria contained in the Diagnostic and Statistical
scribes how clinicians make judgments. Manual of Mental Disorders (4th ed.; DSM-IV; American Psy-
Another cognitive heuristic, named here for the first time, is chiatric Association, 1994), they may attend to the criteria
rather than compare patients to prototypes. If clinicians make
diagnoses by comparing patients to prototypes, one can say the
representativeness heuristic describes their cognitive processes.
HOWARD N. GARB received a double-major PhD in clinical psychology
and research methodology from the University of Illinois at Chicago in If clinicians make diagnoses by attending to the explicit cri-
1983. He is a clinical psychologist on an acute psychiatry unit at the teria contained in DSM-IV, then the representativeness heuris-
Highland Drive Veterans Affairs Medical Center in Pittsburgh and is tic will not be descriptive of how they make diagnoses unless
also a faculty member of the Department of Psychiatry at the University their stereotypes or prototypes coincide with the DSM-IV cri-
of Pittsburgh. teria, which is extremely unlikely to happen all of the time,
I EXPRESS MY APPRECIATION to Brian Powell and Thomas A. Widiger given results from research on clinicians' prototypes (e.g.,
for providing two of the case histories presented to clinicians, to Wil- Blashfield & Haymaker, 1988; Livesley, Reiffer, Sheldon, &
liam M. Grove for his comments on a draft of this article, and to the
West, 1987; McFall, Murburg, Smith, & Jensen, 1991). How-
276 psychologists and psychology interns who participated as clinical
judges. ever, empirical research indicates that many clinicians do not
CORRESPONDENCE CONCERNING THIS ARTICLE should be addressed to attend to diagnostic criteria (Jampala, Sierles, & Taylor, 1988;
Howard N. Garb, Psychology Service 116B, Highland Drive Veterans Lipkowitz & Idupuganti, 1985; Morey & Ochoa, 1989). For
Affairs Medical Center, Pittsburgh, Pennsylvania 15206-1297. example, Morey and Ochoa (1989) had psychologists and psy-
272
CLINICAL JUDGMENT 273

chiatrists make diagnoses and complete symptom checklists for Clinicians then rated their confidence in their similarity ratings.
clients. Clinical diagnoses were compared to criteria-based di- Case history. The case history presented to clinicians was taken
agnoses. In 72% of the cases, there was a discrepancy between from a study by Ford and Widiger (1989). Their case history described
the clinical diagnoses and criteria-based diagnoses. Because a White male who met the Diagnostic and Statistical Manual of Mental
Disorders (3rd ed.; DSM-III; American Psychiatric Association, 1980)
many clinicians do not attend closely to criteria, the represen-
criteria for antisocial personality disorder. The case was modified so that
tativeness heuristic may describe how they make diagnoses. the Diagnostic and Statistical Manual of Mental Disorders (3rd ed.,
The purpose of the current three studies was to describe how rev.; DSM-HI-R; American Psychiatric Association, 1987) criteria for
psychologists make judgments, especially diagnoses. In all of the antisocial personality disorder were satisfied. If one strictly adhered to
studies, psychologists were instructed to rate (a) the likelihood the DSM-HI-R criteria, a diagnosis of antisocial personality disorder
of different diagnoses or the likelihood of particular behaviors would be made but not a diagnosis of histrionic, narcissistic, or border-
and (b) the similarity between patients and typical patients who line personality disorder though the man did have borderline personal-
exemplify different diagnostic categories or the similarity be- ity features.
tween a patient described by a case history and typical patients
who behave a particular way. The evidence in social psychology Results
that supports the descriptive validity of the representativeness
heuristic is that participants make the same responses when told Likelihood and similarity ratings. Likelihood ratings and
to make similarity ratings and when told to make likelihood similarity ratings were highly correlated. With 268 pairs of like-
ratings. As noted by Dawes (1986, p. 438): lihood ratings and similarity ratings (67 clinicians each made
four likelihood ratings and four similarity ratings), the correla-
Where is the "hard evidence" that the thinking problems outlined tion between the two types of ratings was .92. This, by itself, is
in this paper are actually due to representative thinking, as opposed strong evidence in support of the representativeness heuristic.
to some other cognitive problem, or a variety of problems? The Rating scale artifacts can occur if clinicians have different re-
most direct evidence is that subjects making judgments of repre-
sentativeness (e.g., "resemblance") make the same judgments that sponse styles. Because psychologists don't normally rate the
they do when asked for probability estimates (Tversky & Kahne- likelihood of a diagnosis on a 10-point scale, they might have
man, 1983, p. 297). difficulty using the rating scale. To standardize ratings, I calcu-
lated z scores separately for each clinician. For example, for
Clinician 1, the mean and standard deviation were calculated
for the four likelihood ratings, and a z score was calculated for
Study 1: Psychodiagnosis I each of the likelihood ratings. Then, z scores were calculated for
Method the similarity ratings. By calculating z scores, I standardized
means and standard deviations for all of the clinicians. A corre-
Judges. I randomly selected eight medical centers from a list of all lation between the likelihood z scores and similarity z scores
Department of Veterans Affairs (DVA) medical centers with American was then calculated, which yielded a correlation of .96. This
Psychological Association (APA)-certified psychology internship train- correlation is not necessarily more informative than the corre-
ing programs. All of the psychologists and psychology interns at these lation calculated using raw scores, but it does give one another
medical centers were asked to participate in this study. Of 151 clini-
cians, 67 completed questionnaires for a 44% response rate. Fourteen way of looking at the data, and it, too, supports the descriptive
of the clinicians were psychology interns and 53 were psychologists. validity of the representativeness heuristic.
Instructions. Clinicians read a case history and made likelihood, Eighteen of the 67 clinicians made the diagnosis one would
similarity, and confidence ratings. They made likelihood ratings for an- make if one adhered to the DSM-HI-R criteria: They made a
tisocial personality disorder, histrionic personality disorder, narcissistic likelihood rating of 8 or higher for antisocial personality disor-
personality disorder, and borderline personality disorder after reading der but not for any of the other three personality disorders. For
the following instructions: these 18 clinicians, the correlation between likelihood and sim-
ilarity ratings was .93 for raw scores and .97 when the correla-
Ratings are to be made on a scale with values ranging from 0 to 10, tion was calculated using z scores. Thus, even when clinicians
with 0 indicating that the person definitely does not have the disor-
der and a rating of 10 indicating that the person definitely does. A seem to be adhering to DSM-III-R criteria, their cognitive pro-
rating of 5 should indicate that the person has a "50-50" chance of cesses can also be described by the representativeness heuristic.
having the disorder. If you would make a diagnosis on the basis of For the other 49 clinicians, the correlation between likelihood
the case history, then make a rating of 8, 9, or 10. and similarity ratings was .92 for raw scores and .96 when the
correlation was calculated using z scores.
They then rated how much confidence they had in their likelihood rat- The test of a theory is its ability to predict. If one predicted a
ings on a scale ranging from 1 to 7, with 1 indicating "I guessed," 4 likelihood rating of 8-10 when a clinician made a similarity
indicating "The ratings reflect my impressions but I would have liked rating of 8-10, then one would have been accurate 246 of 268
more information," and 7 indicating "I am confident my ratings are times, for an accuracy rate of 92%. If one predicted that each of
highly accurate." Next, clinicians made similarity ratings for each of the the clinicians would make a diagnosis of antisocial personality
four personality disorders listed above. They were told the following:
disorder but no other diagnosis (i.e., if one adhered closely to
Ratings are to be made on a scale with values ranging from 0 to 10, DSM-III-R), one would achieve a 73% rate of accuracy (39
with 0 indicating that the person is not at all similar to the "typical" clinicians did not make a diagnosis of antisocial personality dis-
person with the disorder and a rating of 10 indicating that the per- order, and clinicians made 34 diagnoses of histrionic, narcissis-
son exemplifies the disorder. tic, or borderline personality disorder). The difference in accu-
274 GARB

racy for the two sets of predictions is statistically significant: likelihood ratings. Fifty-nine clinicians completed the question-
using the sign test, z = 6.1, p < .01. naire, for a response rate of 55%. Forty-seven of them were psy-
Confidence ratings. If clinicians make diagnoses by making chologists, and 12 were psychology interns. Twenty-eight of
similarity ratings, then their confidence ratings for diagnostic these 59 clinicians also completed the second questionnaire
likelihood ratings and similarity ratings should be similar. For (i.e., they also made similarity ratings), for a response rate of
example, clinicians who reported that they could only guess at 47%. Twenty of them were psychologists, and eight were interns.
a diagnosis because important information was not made avail- Correlations between likelihood ratings and similarity rat-
able should also report that they could only guess when asked to ings. With 84 pairs of likelihood ratings and similarity ratings
rate how similar the patient is to typical patients who represent (28 clinicians made ratings for three different diagnostic
different diagnostic categories. Likelihood ratings and sim- categories), the correlation between the two types of ratings was
ilarity ratings were exactly the same for 55 of the clinicians, .77. When raw scores were transformed to z scores, the correla-
differed by one for 11 of the clinicians, and differed by two steps tion between likelihood ratings and similarity ratings was .78.
of the rating scale for one clinician. Analysis of likelihood ratings. Twenty-eight of the clinicians
were told that the patient was White. Their mean likelihood
Study 2: Psychodiagnosis II ratings were 3.0, 4.8, and 4.3 for schizophrenia, major depres-
In Study 2, a new case history was presented to a new group of sion, and brief reactive psychosis, respectively. Thirty-one of the
clinicians, using a different experimental procedure. Clinicians clinicians were told that the patient was African American.
made similarity ratings 6 weeks after they made likelihood rat- Their mean likelihood ratings were 3.4, 5.0, and 5.3, for schizo-
ings. In addition to describing the validity of the representative- phrenia, major depression, and brief reactive psychosis, respec-
ness heuristic, an attempt was made to replicate findings on race tively. The difference between the mean likelihood ratings for
bias in the differential diagnosis of schizophrenia and brief re- schizophrenia was not statistically significant, t ( 5 1 ) = .53, p >
active psychosis. Loring and Powell (1988) reported that Afri- .05, nor was the difference between the two mean likelihood
can Americans are more likely than Whites to be assigned a ratings for major depression statistically significant, t(57) =
diagnosis of schizophrenia and less likely to be assigned a diag- .26, p > .05. Unlike the results reported by Loring and Powell
nosis of brief reactive psychosis. In their study, questionnaires (1988), in this study's results, when the patient was described
were sent to a random sample of psychiatrists chosen from as being African American, the mean likelihood rating for brief
membership lists of the American Psychiatric Association and reactive psychosis was larger than when the patient was de-
of two state psychiatric associations. scribed as being White, though the difference between the
means was of only borderline statistical significance, /(57) =
Method 1.60, .05<p<.10.
Judges. Psychologists and psychology interns at five DVA medical
centers were asked to participate. The medical centers were randomly
sampled from a list of DVA medical centers with APA-certined psychol- Study 3: Prediction
ogy internship training programs. Medical centers that had been sam-
pled for Study 1 were excluded from the list. Method
Procedure. Clinicians were to read a case history and then rate the
likelihood of the person's having schizophrenia, the likelihood of major Judges. Psychologists and psychology interns at 18 DVA Medical
depression, and the likelihood of brief reactive psychosis. Approxi- Centers were asked to make (a) predictions and similarity ratings or (b)
mately 6 weeks later, clinicians received a second questionnaire. They base rate estimates. The medical centers were randomly sampled from
reread the exact same case history, but they now made similarity rat- a list of DVA medical centers with APA-certified psychology internship
ings, including for the categories of schizophrenia, major depression, training programs. Medical centers that had been sampled for the pre-
and brief reactive psychosis. Instructions for the likelihood and sim- vious two studies were excluded from the list. At any particular DVA
ilarity rating scales were the same as for the rating scales used in Study medical center, all of the clinicians were assigned the same task (make
1. Clinicians at two of the medical centers were told that the patient predictions and similarity ratings or make base rate estimates).
described by the case history was African American ( when they made Procedure, instructions, and rating scales. One group of clinicians
both likelihood and similarity ratings), whereas clinicians at the other was instructed to read a case history and make a set of behavioral pre-
three medical centers were told that the patient was White (again, when dictions and a set of similarity ratings. Behaviors to be predicted were
they made both likelihood and similarity ratings). as follows: (a) patient will physically harm another person during the
Case history. The case history presented to clinicians was taken next 6 months, (b) patient will abuse alcohol (will meet DSM-III-R
from a study by Loring and Powell (1988). The case was not written so criteria) in next 6 months, and (c) patient will comply with treatment
that the patient clearly met the DSM-III or DSM-III-R criteria for and be cooperative while in the hospital (e.g., will not refuse medicine,
a particular disorder. The case described a 30-year-old man who was will not refuse to meet with psychologist). Predictions were to be made
anxious, could not concentrate, saw a black figure with horns standing on a 10-point scale, with 0 indicating that the behavioral outcome would
over him at night, and felt an urge to kill his wife. Loring and Powell definitely not occur, 10 indicating that the event was certain to occur,
and 5 indicating that the chances were 50-50 that the event would occur.
reported that when the patient was described as being African Ameri-
For the similarity ratings, clinicians were to think of patients who have
can, a diagnosis of schizophrenia was more likely than a diagnosis of
been violent, patients who have abused alcohol, and patients who have
brief reactive psychosis.
complied with treatment (e.g., did not refuse their medicine, did not
refuse to meet with the psychologist). They were to compare the patient
Results described in the case history to typical patients who have been violent,
Response rates. One hundred seven clinicians were sent the typical patients who abuse alcohol, and typical patients who comply
first questionnaire: They were to read the case history and make with inpatient treatment. Ratings were made on a 10-point scale, with
CLINICAL JUDGMENT 275
0 indicating the patient was not at all similar to the typical patient and treatment as an inpatient (mean prediction rating of 5.13). In
10 indicating the opposite. contrast, they believed the patient was similar to other violent
The second group of clinicians made base rate estimates. They were patients (mean similarity rating of 5.98) but less similar to
not given the case history. They were instructed to estimate the percent-
other patients who abuse alcohol or to patients who comply
age of patients who will physically harm another person during the next
6 months, the percentage who will abuse alcohol (will meet the DSM-
with inpatient treatment (mean similarity ratings of 4.86 and
IlI-R criteria for alcohol abuse) in the next 6 months, and the percent- 3.43, respectively).
age who will comply with treatment and be cooperative while in the The correlation between prediction ratings and similarity rat-
hospital (e.g., will not refuse medicine, will not refuse to meet with the ings was relatively low. With 320 pairs of prediction ratings and
psychologist). Ratings were to be made for men in their 40s who are similarity ratings (107 clinicians made predictions and sim-
admitted to psychiatric wards in DVA medical centers. ilarity ratings for three tasks, but a rating for one clinician on
The study was conducted in the summertime. Interns begin their one task was missing: 107 X 3 = 321 and 321 - 1 = 320), the
training in the fall, and one cannot expect them to have a clear idea correlation between the two types of ratings was .416 (r 2 value
about base rates and typical patients until they have been on station for of .1732). When raw scores were transformed to z scores, the
several months. correlation between likelihood ratings and similarity ratings
Case history. The following case history was based on the medical
was .19. For the three tasks (violence, alcohol, compliance with
record for a patient I had been seeing in inpatient treatment. A few
minor changes were made to protect his identity. treatment), correlations between predictions and similarity rat-
ings were .42, .22, and .63 using the raw scores and .04, .06, and
Identifying information: Veteran is 44 years old, White, married, .49 using the z scores, respectively.
unemployed, and 100% service connected [he receives a disability If clinicians were attending to base rates, then one would ex-
pension from the DVA ]. He was received on a 303 commitment [a pect the addition of the base rate estimates to the similarity rat-
20-day commitment] from a community hospital. ings to lead to an increase in the amount of variance explained.
History of present illness: The veteran assaulted his wife and the Mean base rate estimates were 5%, 35%, and 61% for violence,
staff at a community hospital. He was taken to the community hos- alcohol abuse, and compliance with inpatient treatment, re-
pital by the state police and was placed in full restraints. He was spectively. When the similarity ratings and base rate estimates
kept at the community hospital for 5 days and was medicated with were used to predict the prediction ratings, a linear regression
lithium, serentil, cogentin, and ativan. At home, he had not been analysis yielded an r2 value of only. 1743 (r = A17).
taking his medications, and he was abusing alcohol and marijuana
for 4 days. According to his wife, he was paranoid, delusional, hal-
lucinating, and threatening. Discussion
Past medical and psychiatric history: The veteran is service con- The results of the three studies indicate that the representa-
nected for schizophrenia. He has a past history of substance abuse, tiveness heuristic describes how clinicians make diagnoses but
assaultive behavior, and noncompliance to treatment. He also has not how they make predictions. In the studies on diagnosis, cor-
a history of one suicide attempt by cutting his wrists. He was last relations between likelihood ratings and similarity ratings were
hospitalized at our DVA medical center in April 1992. .92 (r 2 = .85) and .77 (r2 = .59). In the prediction study, the
Review of systems: The veteran has no physical complaints. He is correlation between predictions and similarity ratings was only
overweight. .42 (r 2 = .17). The correlation of .77 was obtained when clini-
cians made diagnoses in one sitting and similarity ratings (after
Mental status examination: Speech is slurred. Thinking is disorga- reading the same case history) several weeks later—making the
nized. Flight of ideas. He made paranoid statements accusing his
discrepancy between the results for diagnosis and prediction
wife of cheating. Affect is very flat. Mood is subdued. Denies cur-
rently having hallucinations. Did not verbalize a plan of suicide even more pronounced. It is interesting that the representative-
or homicide. Oriented. Concentration is poor as are insight and ness heuristic was descriptive of how clinicians made diagnoses,
judgment. regardless of whether or not clinicians attended to DSMcriteria
(see Study 1).
Diagnoses: There is a compelling reason why the representativeness heu-
I. Schizoaffective disorder; mixed substance abuse, alcohol and
ristic did a relatively poor job of describing how clinicians made
marijuana.
II. No diagnosis.
predictions. When clinicians use past behavior as the best pre-
dictor of future behavior, similarity ratings will not necessarily
be highly correlated with prediction ratings. A patient may have
Results performed a behavior in the past but be dissimilar to other pa-
tients who have performed the behavior. For example, the pa-
Response rates were good. Of 178 clinicians asked to make tient described by the case history in Study 3 had abused alco-
predictions and similarity ratings, 85 psychologists and 22 psy- hol in the past, but several clinicians commented that he was
chology interns completed questionnaires, for a 60% response not typical of alcohol abusers treated in the DVA system (e.g.,
rate. Of 169 clinicians asked to make base rate estimates, 52 one clinician wrote, "Not similar to alcoholics in our popula-
psychologists and 22 psychology interns completed question- tion—most of our alcoholics are not psychotic"). In fact, for
naires, for a 44% response rate. the prediction of alcohol abuse, the mean prediction rating was
Clinicians believed that the patient was likely to abuse alcohol 7.91, whereas the mean similarity rating was only 4.86, indicat-
and become violent again (mean prediction ratings of 7.91 and ing that clinicians thought he would abuse alcohol even though
6.04, respectively). They were unsure if he would comply with he was not similar to other patients who abuse alcohol.
276 GARB

One limitation of the studies is that the results do not clarify psychologists as well as for psychiatrists and clinical and coun-
if clinicians make diagnoses by attending to stereotypes or pro- seling psychologists (Garb & Schramke, in press).
totypes. For the similarity ratings, clinicians were instructed to To improve diagnosis, clinicians should attend to the DSM
compare patients to stereotypes (e.g., the typical patient with criteria. The DSM-IV contains simplified criteria, and this
schizophrenia). They could have been instructed to compare should make it easier for clinicians to attend to the criteria
the patients to prototypes (e.g., the prototypic patient with (Widiger, Frances, Pincus, Davis, & First, 1991). By using
schizophrenia). Because ratings for stereotypes and ratings for semistructured interviews, clinicians may also be more likely to
prototypes can be highly correlated, one cannot conclude from adhere to criteria (at least they would be constrained to ask
the results of the present studies that clinicians compared pa- about the symptoms and behaviors reflected in the criteria.)
tients to stereotypes rather than prototypes when they rated the Though the focus of the studies was on the representativeness
likelihood of different diagnoses. Also, when clinicians com- heuristic, results were also obtained on race bias (Study 2). Af-
pared the patient to stereotypes, it is not clear if they compared rican Americans and Whites were equally likely to be diagnosed
the patient to a theoretical stereotype or to patients they have as having schizophrenia or major depression, and there was a
worked with in the past who exemplify a category (see Genero nonsignificant trend for African Americans to be more likely to
& Cantor, 1987, for a related discussion on summary proto- be diagnosed as having a brief reactive psychosis. Loring and
types and exemplar prototypes). Still, one may conclude that Powell (1988) reported that African Americans were more
the representativeness heuristic is descriptive of clinicians' cog- likely to be diagnosed as having schizophrenia, and Whites were
nitive processes when they make diagnoses. more likely to be diagnosed as having a brief reactive psychosis.
Another limitation is that each study used only one case his- Their results may have differed from the results reported in this
tory. Stronger conclusions could be reached if clinicians had article because many of their clinicians were in private practice
made ratings for more cases. and did not work with psychotic patients. Though race bias was
One should not conclude that the representativeness heuristic not found in the present group of studies, it remains a signifi-
will never describe how clinicians make predictions. There may cant problem, especially in the differential diagnosis of schizo-
be instances when clinicians do not use past behavior to predict phrenia and bipolar affective disorder (Mukherjee, Shukla,
future behavior; this can occur because a change in the person's Woodle, Rosen, & Olarte, 1983; Pavkov, Lewis, & Lyons, 1989;
condition or environment makes past behavior less valuable as Simon, Fleiss, Gurland, Stiller, & Sharpe, 1973).
a predictor. For example, a neuropsychologist may believe that
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