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Curr Psychiatry Rep (2011) 13:84–92

DOI 10.1007/s11920-011-0181-7

Assessment of Behavioral Disorders


in Preschool-Aged Children
Wanjiku F. M. Njoroge & Kristin P. Bernhart

Published online: 28 January 2011


# Springer Science+Business Media, LLC 2011

Abstract The preschool-aged clinical practice of child and the tenets of the evaluation of young children, which
adolescent psychiatrists is increasing as the awareness of includes multiple informants, multiple appointments, and
very young children with social/emotional and/or behav- varied assessments with consideration that young children
ioral problems continues to grow. As the referrals grow, so may look very different in diverse contexts and have
do the ways in which we assess these disturbances of different relationships with the adults in their lives such that
behavior and regulation. This review attempts to highlight they may appear extremely different over the course of the
the most often used measures and to investigate developing evaluation [1, 2, 3••]. The American Academy of Child and
tools and their current status. Adolescent Psychiatry’s introduction of practice parameters
for the purpose of the diagnostic assessment of young
Keywords Early childhood . Preschoolers . Mental health . children is multifold and complex, as we are assessing the
Assessment . Measures . Observational methods child and the family system and how it functions [1].
Wakschlag and Danis [4] highlight the importance of
integrating information gathered from various assessment
Introduction tools with clinical judgment in generating an appropriate
guideline for care.
This article highlights the most recent information regard- The scope of child and adolescent psychiatry practice is
ing the assessment of preschool-aged children. Although broadening such that psychiatric practices are assessing
many of the means of assessment are unchanged, some younger patients. Data gathered by the US Department of
exciting new developmental tools will help clinicians in Health and Human Services indicate that one in five
their evaluation and treatment of very young children. This children has a diagnosable mental disorder [5]. As
comprehensive review begins with the methodologies most underscored by the growing literature, 10% of preschoolers
often used in the psychiatric assessment of young children are diagnosed with mental health issues that impair their
and then addresses the newest evidence-based tools. The functioning [6–8]. Developmental screening is often used in
discussion of the assessment of preschoolers requires a pediatric practices more routinely; however, early identifi-
thorough understanding of child development and what is cation of pediatric psychiatric issues is still an ongoing
normative for this age range. It is also critical to understand challenge, and many young children with disturbances are
still missed [9, 10]. In many cases, the referrals to a child
W. F. M. Njoroge (*) : K. P. Bernhart psychiatrist are for a more rigorous, developmentally
Department of Psychiatry and Behavioral Sciences, sensitive assessment [11]. The literature highlights that
Division of Child and Adolescent Psychiatry, preschoolers are most often referred for disruptive and
University of Washington, Seattle Children’s Hospital,
attentional behaviors [12].
M/S W3636,
P.O. Box 5371, Seattle, WA 98105, USA The importance of early detection and identification
e-mail: njoroge@u.washington.edu using developmentally appropriate and validated instruments/
K. P. Bernhart measures has been highlighted in the literature with the
e-mail: kristin.bernhart@seattlechildrens.org increasing knowledge that severe emotional and behavioral
Curr Psychiatry Rep (2011) 13:84–92 85

disturbances occurring in the first 5 years of life continue and therefore is based on phenomenological criteria. Most
unmitigated or worsen during the school-age years and of these measures have sound psychometric properties,
adolescence [13–15]. It should be noted that the risk of specifically internal consistency, test–retest reliability, and
worsening psychopathology in the preschool population can validity (relative to other measures, most often the CBCL
cause significant family disruptions and place increased [21]). One difficulty inherent in developing psychometri-
stressors on family relations and quality of life, and can affect cally sound measures in young children is related to the
the self-esteem and self-efficacy of the preschooler [16]. heterogeneity of presentation in the preschool population,
The assessment of the preschooler consists of multiple particularly in light of the rapid changes that occur during
parts and is fairly complicated secondary to the lack of this period, thereby changing the behavioral disturbances
direct information gathered from the preschooler and the and ruling out transient perturbations and comorbidity
reliance on the parent/caregiver or teachers as primary [16, 25, 26].
informants. The domains of interest in the assessment
include social/emotional, behavioral, cultural, parent–child Reliability
interaction, and the ways in which the preschooler’s
behaviors are impacting those various domains. This construct is often determined first as a foundational
tool for validity and essentially states that the measure
performs the same way irrespective of administrator and
Coding/Classification Systems across diverse settings. The most important aspects of this
construct are test–retest and interrater reliability, such that
There are two ways to formulate or conceptualize pathol- diverse administrators are trained to administer and code
ogy in preschoolers found throughout the literature (ie, the measure reliably.
dimensional or categorical). The measures included in this
review use both classification systems. Test–Retest Reliability
Due to the lack of developmentally validated instruments
to guide clinicians and researchers in the valid and reliable This construct states that the administration of the measure
diagnosis of preschoolers, two different paths were taken. is stable over time and is often noted by how different
One used a modification of the DSM-IV-TR [17], recogniz- responders report the same diagnosis over time, with the
ing the lack of developmental sensitivity in many diagnoses key being agreement in their assignation of diagnoses
[18]. The second system was an attempt to use the structure [26, 27].
of the DSM-IV-TR, layering on knowledge of infant/young
child development within a larger context including infant/ Interrater Reliability
toddler state and relationship with family, in the effort to
simplify diagnosis in young children [10, 19, 20]. Both This construct states that different interviewers agree and
systems, however, use a categorical approach to determine rate the symptoms the same. Due to the difficulty of similar
diagnoses. assignation, this construct requires a fair amount of training
Rating scales often used in the assessment of young to ensure consistency, with correlation scores of greater
children come in a variety of forms, including checklists than 0.70 to 0.80 deemed acceptable. This measures
and questionnaires such as the Child Behavior Checklist stability over several weeks to months.
(CBCL) [21] and the Preschool Feelings Checklist (Luby et
al., unpublished checklist), which base the symptomatology Validity
on DSM criteria using a dimensional approach. For a more
thorough discussion, see articles by Egger and Angold [16] Establishing validity is an essential step before a tool can be
and McClellan and Werry [22]. The biopsychosocial used broadly. However, the scale must be reliable before
formulation allows clinicians and researchers to expand on validity is determined. There are multiple types of validity,
the wealth of information important to the child’s function- including content (face), construct, and criterion (predic-
ing; however, diagnostic classification is important in tive) validity, but the construct generally is determined if
developing treatment goals [23, 24]. the tool accurately measures what it was designed to
examine. This construct usually takes years to manifest, as
the criteria against which the tool must be measured are
Brief Primer on Psychometric Properties stringent; therefore, this construct may not be seen in the
newer tools discussed in this article. As with all childhood
The effectiveness of the tools and measures is based on the disorders, this construct is particularly fraught with prob-
current nosology used to describe pathology in preschoolers lems secondary to the uncertainty surrounding the validity
86 Curr Psychiatry Rep (2011) 13:84–92

of the diagnostic criteria themselves (against which validity When systematically gathering data on preschoolers,
is measured) [22, 27]. parent/teacher report measures, structured interviews, and
careful observations are required. The different methodol-
Face Validity ogies are discussed, and examples are given for each and
included in Table 1.
The type of validity most often measured in child
psychiatric research is face validity, as it records items Parent/Caregiver Report
taken from diagnostic criteria and determines if they
accurately describe the illness. The parent/caregiver report of symptoms has a longstanding
history as a well-validated tool. These measures are typically
Construct Validity rating scales that cover broad constructs of behaviors and are
symptom or problem focused, typically easy to complete and
This measures the scale’s ability to have meaning within a score, and standardized [22, 27]. Other benefits of question-
particular construct. This domain is often examined by naires or checklists are that they do not require administra-
comparing newer tools with well-established measures with tion or interpretation by skilled personnel; however, the
strong psychometric properties. limitations are intrinsic in the nature of the tool in that the
reporter may overreport or underreport the level of pathology
Predictive Validity [18, 27]. Other limitations include the inability to use the
tools for diagnostic purposes, as they lack information on
This domain measures the ability of the scale to predict severity, frequency, and context [23]. Secondary to the
some future outcome. nature of the ease and rapidity of questionnaires, they have
The key element in determining the usefulness of a tool been identified as the one of the most widely used types of
depends on the psychometric properties of the diagnostic measure in assessments [30].
classification system and the methodology used [22]. Specific measures are described below and include the
following:

Measurements Screening Tools

In this section of the review, we discuss important factors in Early Childhood Screening Assessment (ECSA) The ESCA
choosing appropriate measures by providing enough infor- is a screening tool based on parent or caregiver report
mation regarding the constructs or domains examined, the designed to identify children 1 to 5 years of age with
time constraints and cost of administration and scoring the emotional or behavioral problems requiring further evalu-
measure, the skill level needed for administration, and the ation [31]. It was developed for ease of use in primary care
availability of the tool in the public domain. The assessment clinics. It has the added function of screening for maternal
of children with autism spectrum disorders is outside the distress and depression and is a means to identify
scope of this review, but several well-validated and reliable symptoms of particular concern to the parent. This measure
measures are currently in use [28, 29]. Although we derived the items from the DSM-IV, DC:0–3R, and
recognize the complexity inherent in attempting to codify Research Diagnostic Criteria and included validated depres-
the breadth of preschool psychopathology, the tools currently sion screening questions from the US Preventative Health
in use—both the older, more well-established tools with Task Force [31].
proven psychometric properties and some new, promising It is a 40-question checklist with 36 questions focused
tools in development with early testing showing strong on child behavior and emotion, while 4 questions screen for
psychometric properties in small, limited studies—are parental distress and include the Patient Health
presented. We have highlighted the measures currently in Questionnaire-2 for maternal depression. It is considered
use or in development that assess or establish diagnoses in fast to score and does not require software to score. It is
preschool children 3 to 5 years of age, recognizing the available in published form in the Infant Mental Health
complexity in diagnosis, as developmental growth is rapid in Journal and by request to the author.
this phase. We included measures that can be used Preliminary psychometric testing evidenced good valid-
throughout the entire preschool period and excluded meas- ity and reliability for identifying preschoolers in need of
ures that address only 1 or 2 years of the preschool period. further assessment for emotional and behavioral problems.
We did not include measures that assess functional impair-
ment, an important part of the assessment of psychopathol- Ages & Stages Questionnaire–Social Emotional Version
ogy in preschoolers. (ASQ-SE) The ASQ-SE is a screening tool based on parent
Table 1 Summary of selected instruments to assess behavioral disorders in preschool-aged children

Measure Target population Parameters Administration Availability

Parent reports
ECSA 1.5–5 y (emotional and behavioral problems needing 40 questions (36 about child, 4 about Fast scoring Publicly available and by
further evaluation) parent) No technology needed request to author
No training needed
ASQ-SE 6 mo–5 y (social, emotional, and behavioral difficulties or 8 sets of questions (19–33 questions in 10–15 min to complete Commercially available
delays) each) at various age intervals Paper or CD-ROM format
Requires training to administer
Curr Psychiatry Rep (2011) 13:84–92

CBCL 1.5–5 y (internalizing or externalizing behaviors; social, 99 questions 15–20 min to complete Commercially available
emotional, and behavioral problems)
PFC 3–5.6 y (children with depression seen in primary care 16 questions 2–4 min to complete Available by request to
setting) Easy to score author
No training needed
DBRS-PV 3 to 4 y (disruptive behaviors and attention-deficit/ 26 questions Brief Commercially available
hyperactivity disorder)
No training needed
Structured interviews
PAPA 2 to 5 y (behavior and mood problems and normative 1,500 questions 60–100 min to administer Available by request to
behavior) Paper or database format author
Requires trained individual to
administer and score
DIPA 0–6 y (behavior and mood symptoms) 517 questions 45-90 minutes to administer New instrument
and score
No training needed
K-DBDS 3 to 5 y (disruptive behavior and conduct disorder) 370 questions (47 main stem questions) Requires clinical training to Available by request to
administer author
Observational measures
DB-DOS Age preschool (disruptive behavior) 3 components (2 with interviewer and 50 min to administer Available by request to
child, 1 with parent and child) Requires observation or taping and author
viewing to score
Requires clinically trained observer
Clinical problem- 12–60 mo (observe problem solving) 8 tasks between parent and child 45–60 min to administer Available
solving procedure Requires skilled examiner to
administer and training to score

ASQ-SE—Ages and Stages Questionnaire–Social Emotional Version; CBCL—Child Behavior Checklist; DB-DOS—Disruptive Behavior-Diagnostic Observation Schedule; DBRS-PV—Disruptive
Behavior Rating Scale-Parent Version; DIPA—Diagnostic Infant Preschool Assessment; ECSA—Early Childhood Screening Assessment; K-DBDS—Kiddie-Disruptive Behavior Disorder Schedule;
PAPA—Preschool Age Psychiatric Assessment; PFC—Preschool Feelings Checklist
87
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or caregiver report designed to identify children 6 months primary care setting based on literature suggesting that
to 5 years of age who have social, emotional, or behavioral clinical depression is present and identifiable in young
difficulties or delays [32]. Specifically, it looks at self- children and that many children with depressive symptoms
regulation, compliance, communication, adaptive function- go undetected.
ing, autonomy, affect, and interaction with others. It is a 16-question checklist that takes 2 to 4 min to
It is made up of a set of eight developmentally appropriate complete. It is easy to score and does not require additional
questionnaires that may be administered at 6, 12, 18, 24, 30, training. It is available upon request to the author or on the
36, 48, and 60 months. Each set has 19 to 33 questions and Journal of the American Academy of Child and Adolescent
takes about 10 to 15 min to complete. It is commercially Psychiatry website.
available, may be completed on paper or with a CD-ROM, Preliminary psychometric testing evidenced good sensi-
and requires training to score (http://www.brookespublishing. tivity and specificity for major depression.
com/store/books/squires-asqse/index.htm).
Psychometric testing evidenced good validity, test–retest Disruptive Behavior Rating Scale-Parent Version
reliability and sensitivity in identifying young children with (DBRS-PV) The DBRS-PV was included due to its strong
emotional and behavioral problems as well as developmen- preliminary data for use in the downward extension of the
tal delays; clinical validity is still pending. assessment of oppositional defiant disorder and attention-
deficit/hyperactivity disorder symptoms in 3- and 4-year-
olds [35]. This is a brief rating scale consisting of 26 items
Comprehensive Assessment Tools that is used to assess inattention, hyperactive-impulsive,
and oppositional domains.
CBCL The CBCL is one of the most widely used
comprehensive screening and assessment tools based on
parent or caregiver report [21]. It is designed to identify Structured Interviews
children 1.5 to 5 years of age with internalizing and/or
externalizing social/emotional or behavioral problems. Diagnostic interviews have been identified as the second
Specifically, it looks at the following areas: emotional most widely used measures in assessments despite varia-
reactivity, anxiety/depression, somatic complaints, being tions in adherence to a script (highly structured [Preschool
withdrawn, attention problems, aggressive behavior, and Age Psychiatric Assessment (PAPA)] [36] vs semistruc-
sleep problems. It sums the symptoms for an internalizing, tured). The incorporation of these tools has been shown to
externalizing, or total problems score. It also includes DSM- increase the reliability of the assessment. They typically
based scales for affective symptoms, anxiety, attention and take longer to administer and require more highly trained
hyperactivity symptoms, pervasive developmental symp- interviewers who can adhere to the structure or adapt the
toms, and oppositional symptoms (http://www.aseba.org/ questions appropriately based on clinical judgment [7, 27].
preschool.html) [33]. Specific measures are described below:
It includes 99 questions and is reported to take 15 to
20 min to complete. It provides scores and cutoffs to Preschool Age Psychiatric Assessment
indicate a normative, subclinical, and clinical range. It
includes open-ended questions to elicit additional concerns. The PAPA is a structured interview administered by a PAPA-
It has been evaluated in cross-cultural settings and requires trained individual and given to the parent or caregiver of a
some training to score and interpret results. It is not child 2 to 5 years of age [37]. It was developed to evaluate
publicly available. younger children based on literature showing that mental
Psychometric testing has shown good test–retest reli- health and behavioral difficulties can be identified in
ability and validity and is used against newer measures to preschool-aged children. It also draws from the DSM-IV,
determine convergent validity. ICD-10, and DC:0–3R systems [10, 17, 19, 38]. Of note, this
tool was intended as one component of a comprehensive
assessment and does not include direct evaluation or
Narrow Symptom-Based Tools observation of the child.
The tool investigates multiple symptom and behavior
Preschool Feelings Checklist The Personal Feelings domains in children, including attention-deficit/hyperactivity
Checklist is a screening tool based on parent/caregiver disorder, oppositional defiant disorder, conduct disorder,
report designed to identify symptoms of depression in separation and other anxieties, post-traumatic stress disorder,
preschool children 3 to 5.6 years old [34]. It was developed depression, mania, tics, and stereotypies. It also includes
to identify symptoms of depression in young children in the assessment of family functioning, parental psychopathology,
Curr Psychiatry Rep (2011) 13:84–92 89

life events, normative behavior, and preschool-specific depression disorders (major depressive disorder). However,
domains such as functioning at daycare in play and with this is reflective of the literature regarding older children
siblings and peers, eating habits, sleep habits, toileting, and and internalizing disorders.
attachment difficulties. It evaluates dysfunction and the
impact on a child’s activities, participation in daily life, and Kiddie-Disruptive Behavior Disorder Schedule
relationships by including observation of frequency as well as
the context and with whom behaviors occur most often. The Kiddie-Disruptive Behavior Disorder Schedule is a
The PAPA was originally developed as a research tool to semistructured interview measurement administered to
better elucidate preschool behavior and as such contains parents/caregivers [41]. It assesses DSM-IV oppositional
1,591 questions, takes about 60 to 100 min to administer, defiant disorder, conduct disorder, and attention-deficit/
and is administered by trained individuals. Currently, it is hyperactivity disorder symptoms. Its administration allows
offered in paper and electronic format (ePAPA administered the interviewer to use clinical judgment based on the
on tablet personal computer); however, there is an addi- response of the caregiver to determine criteria consistency
tional time requirement if using the paper form to input the and to probe a topic further.
scores into the database. The electronic form includes
access to a database. Observational Measures
The empirically established psychometric properties
include test–retest reliability compared with the most One of the key tenets of evaluation of a preschooler
frequently used measures in child and adolescent psychiatry includes direct observation of the child—alone as well as
[39••] and represent an important step in the development interacting with parents in structured and nonstructured
of validity. settings—and understanding the importance of observation
of the child’s behaviors and how they change in different
Diagnostic Infant Preschool Assessment contexts and with different relationships. The power of the
observation is a lessening of the subjectivity inherent in
The Diagnostic Infant Preschool Assessment (DIPA) is a parent/teacher report measures that allows for skilled
structured diagnostic interview administered to caregivers clinical judgment. Difficulty in assessing behaviors that
of children 9 months to 6 years of age [40]. The DIPA was may vary across settings with different caregivers has
created to target even younger children and to provide a complicated the reliable diagnosis of the preschooler,
shorter version to adapt to clinical settings. It frames exemplifying the importance of observation in all young
behavior as problem behavior or problematic level of a child assessments. One new tool that attempts to help
behavior. It relies on a parent’s judgment of whether the inform clinical diagnosis of disruptive behaviors with a
child’s behavior is more problematic than that of other developmentally rigorous observational tool is described
children of the same age. No interview or observation of the below. Although this structured tool only focuses on
child is involved. disruptive behaviors, we highlight it as an exciting
It evaluates 13 disorders (similar to the PAPA) and multiple development in the standardization of tools for observa-
symptom domains, including attention-deficit/hyperactivity tional use in preschoolers.
disorder, oppositional defiant disorder, conduct disorder,
anxiety disorders (separation anxiety, generalized anxiety Disruptive Behavior-Diagnostic Observation Schedule
disorder, obsessive-compulsive disorder, agoraphobia, reac-
tive attachment, and post-traumatic stress disorder), as well as The Disruptive Behavior-Diagnostic Observation Schedule is
major depression and sleep disorders. It should be noted that a structured, standardized, clinic-based observational tool
this tool has taken into account the recommendations of the developed to assess preschool disruptive behavior [42, 43]. It
Research Diagnostic Criteria: Preschool Age for diagnosing has three components, two involving the examiner and the
preschoolers. child and one observing the parent and child. It is designed
It is a diagnostic tool consisting of 517 questions that has to elicit disruptive behavior by providing an “engaged
been reported to be easy to administer and score manually, examiner” component, a “busy examiner” component, and
taking 45 to 90 min. typical tasks (including direction and rules). It is based on
In a recent study [40], early psychometric properties the DSM diagnostic categories and developmental theories
compared with the CBCL showed acceptable criterion designed to elucidate problem from normative behavior in
validity and adequate test–retest reliability for some areas of behavioral control, emotion modulation, and social
disorders. However, secondary to small numbers, the same orientation. There is no explicit parental evaluation compo-
psychometrics were not found for anxiety (generalized nent, but the developers used an additional parent scoring
anxiety disorder and obsessive-compulsive disorder) and tool, Parenting Clinical Observations Schedule, to evaluate
90 Curr Psychiatry Rep (2011) 13:84–92

parental factors. It was originally designed as a research tool Although we have focused on standardized, structured
with intent to transfer to clinical use. measurements in this article, we want to highlight the core
It takes about 50 min to administer and requires an tenets of assessment of that should be included in any
examiner and parent to be observed or taped and scored. comprehensive assessment on preschoolers. Main princi-
The administrator or scorer needs to be clinically trained ples of infant mental health include understanding child
with knowledge of normative development. It was designed behavior using a developmental perspective, understanding
to add a structured observational assessment to a parent the variability of behaviors across settings and with
interview evaluation. different caregivers, and understanding the intersection of
Preliminary psychometric testing evidenced good reliabil- culture with beliefs and parenting practices, all while
ity (both test–retest and inter-rater). recognizing the rapid growth and development occurring
in the preschooler from 36 to 60 months of age. This
Clinical Problem-Solving Procedure includes language, cognitive abilities, and motoric abilities,
as well as social/emotional/cultural growth [46].
The clinical problem-solving procedure is based on the There is a clarion call regarding the importance of
interaction between mother and child, based on a selection further development of standardized measures examining
of tasks that the toddler cannot complete alone [44]. The psychopathology in preschoolers due to the extant literature
assessment consists of eight different tasks that increase in citing the continuation and worsening of symptoms
difficulty up to the last task, which is beyond the skills of throughout childhood [14]. Although the preschool period
the child working independently. It assesses the parent– is highlighted by rapid developmental changes, there is a
child interaction with respect to a demanding task. The critical period for developmentally appropriate standardized
observation also includes free play, cleanup, and separation/ assessment in light of the evidence describing the contin-
reunion episodes. uation and worsening of problematic behaviors. This article
The procedure takes 45 to 60 min to complete and must underscores important measures to consider in the treatment
be administered by a skilled examiner, as the examiner of preschoolers while echoing the call for further research
must select the tasks based on his or her assessment of the to aid clinical judgment and develop evidence-based
child’s skills and the ability to interpret the interactions. The methodologies.
tool has been used in populations of 12 to 60 months in
clinical and research settings. Scales have been developed
to reliably code each of the segments for research purposes,
Disclosure Dr. Njoroge has served on a board for A Home Within.
and training is required to score the scales (seven child Dr. Bernhart reported no potential conflicts of interest relevant to this
scales, five caregiver scales) on a seven-point system. article.

Conclusions
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