the relationship of iq to effort test performance

19
This article was downloaded by:[CDL Journals Account] On: 3 July 2008 Access Details: [subscription number 785022369] Publisher: Psychology Press Informa Ltd Registered in England and Wales Registered Number: 1072954 Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK The Clinical Neuropsychologist Publication details, including instructions for authors and subscription information: http://www.informaworld.com/smpp/title~content=t713721659 The Relationship of IQ to Effort Test Performance Andy C. Dean a ; Tara L. Victor b ; Kyle B. Boone a ; Ginger Arnold c a Harbor-UCLA Medical Center, Torrance, CA b California State University—Dominguez Hills, Carson, CA c Kaiser Permanente-Sunset, Los Angeles, CA, USA First Published: July 2008 To cite this Article: Dean, Andy C., Victor, Tara L., Boone, Kyle B. and Arnold, Ginger (2008) 'The Relationship of IQ to Effort Test Performance', The Clinical Neuropsychologist, 22:4, 705 — 722 To link to this article: DOI: 10.1080/13854040701440493 URL: http://dx.doi.org/10.1080/13854040701440493 PLEASE SCROLL DOWN FOR ARTICLE Full terms and conditions of use: http://www.informaworld.com/terms-and-conditions-of-access.pdf This article maybe used for research, teaching and private study purposes. Any substantial or systematic reproduction, re-distribution, re-selling, loan or sub-licensing, systematic supply or distribution in any form to anyone is expressly forbidden. The publisher does not give any warranty express or implied or make any representation that the contents will be complete or accurate or up to date. The accuracy of any instructions, formulae and drug doses should be independently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings, demand or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with or arising out of the use of this material.

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This article was downloaded by:[CDL Journals Account]On: 3 July 2008Access Details: [subscription number 785022369]Publisher: Psychology PressInforma Ltd Registered in England and Wales Registered Number: 1072954Registered office: Mortimer House, 37-41 Mortimer Street, London W1T 3JH, UK

The Clinical NeuropsychologistPublication details, including instructions for authors and subscription information:http://www.informaworld.com/smpp/title~content=t713721659

The Relationship of IQ to Effort Test PerformanceAndy C. Dean a; Tara L. Victor b; Kyle B. Boone a; Ginger Arnold ca Harbor-UCLA Medical Center, Torrance, CAb California State University—Dominguez Hills, Carson, CAc Kaiser Permanente-Sunset, Los Angeles, CA, USA

First Published: July 2008

To cite this Article: Dean, Andy C., Victor, Tara L., Boone, Kyle B. and Arnold,Ginger (2008) 'The Relationship of IQ to Effort Test Performance', The ClinicalNeuropsychologist, 22:4, 705 — 722

To link to this article: DOI: 10.1080/13854040701440493URL: http://dx.doi.org/10.1080/13854040701440493

PLEASE SCROLL DOWN FOR ARTICLE

Full terms and conditions of use: http://www.informaworld.com/terms-and-conditions-of-access.pdf

This article maybe used for research, teaching and private study purposes. Any substantial or systematic reproduction,re-distribution, re-selling, loan or sub-licensing, systematic supply or distribution in any form to anyone is expresslyforbidden.

The publisher does not give any warranty express or implied or make any representation that the contents will becomplete or accurate or up to date. The accuracy of any instructions, formulae and drug doses should beindependently verified with primary sources. The publisher shall not be liable for any loss, actions, claims, proceedings,demand or costs or damages whatsoever or howsoever caused arising directly or indirectly in connection with orarising out of the use of this material.

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THE RELATIONSHIP OF IQ TO EFFORT TESTPERFORMANCE

Andy C. Dean1, Tara L. Victor2, Kyle B. Boone1,and Ginger Arnold3

1Harbor-UCLA Medical Center, Torrance, CA, 2California StateUniversity—Dominguez Hills, Carson, CA, and 3Kaiser Permanente–Sunset,Los Angeles, CA, USA

The relationship between IQ and nine effort indicators was examined in a sample of 189

neuropsychology clinic outpatients who were not in litigation or attempting to obtain

disability. Participants with the lowest IQ (50–59) failed approximately 60% of the effort

tests, while patients with an IQ of 60 to 69 failed 44% of effort indicators, and individuals

with borderline IQ (70 to 79) exhibited a 17% failure rate. All patients with IQ <70 failed

at least one effort test. Cutoffs for the Warrington Recognition Memory Test (Words) and

Finger Tapping maintained the highest specificities in low IQ samples.

Keywords: Effort; IQ; Malingering; Mental retardation; Specificity; Validity.

INTRODUCTION

Incentives abound for the production of suboptimal effort during neuropsycho-logical assessment. Ostensible impairment can lead to the allocation of disabilitymonies or worker’s compensation benefits, and the landmark Atkins vs. Virginia(2002) Supreme Court decision prohibits individuals with mental retardation fromreceiving the death penalty during criminal sentencing. This will likely increase thenumber of requests for forensic neuropsychological assessment in these cases, whichwill require inclusion of tests of effort=motivation to ensure that the results are accu-rate. However, are commonly used effort tests appropriate for use with individuals inthe borderline or extremely low ranges of intellectual functioning? How common iseffort test failure in low IQ groups? Given the stakes involved in some forensic cases(e.g., death penalty sentencing), examination of the relationship between intellectualabilities and effort test performance becomes a critical step in assuring that effort testsare valid across populations.

Address correspondence to: Andy C. Dean, Harbor-UCLA Medical Center, Box 495, Torrance,

CA 90509, USA. E-mail: [email protected]

Accepted for publication May 7, 2007. First published online: July 24, 2007.

# 2007 Psychology Press, an imprint of the Taylor & Francis group, an Informa business

The Clinical Neuropsychologist, 22: 705–722, 2008

http://www.psypress.com/tcn

ISSN: 1385-4046 print=1744-4144 online

DOI: 10.1080/13854040701440493

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REVIEW OF THE LITERATURE

Most existing effort measures have only limited data regarding the relationshipbetween test performance and IQ. Table 1 summarizes the available research relatingIQ to a variety of effort measures, with particular emphasis on samples=subsamplesin the ‘‘mentally retarded,’’ or extremely low (i.e., Full Scale IQ�70), range of func-tioning. Specificity estimates (i.e., the percentage of credible individuals appropri-ately passing the effort test) are reproduced when available or if they could becalculated from article data. Correlations between IQ and effort test performanceare also provided where available. Samples in which participants may have hadincentive to feign cognitive impairment are identified.

Initial examination of the table reveals that only a small subset of effort measureshave been evaluated in more than one study in low IQ populations, and many studieshad small sample sizes. In addition, several of the studies either included patients forwhom an incentive to feign was present (e.g., disability evaluations, evaluations inlegal arenas, etc.), or did not identify whether such external incentives were ruledout. Thus, specificity estimates in these populations may be deflated by inadvertentinclusion of true positives (individuals performing with poor effort) in the samples.

Correlations between IQ and effort test performance have generally been signifi-cant and within the small to moderate range (i.e., r ¼ .25 to .55), although because sev-eral of these analyses were conducted in low IQ samples, restriction of IQ range couldhave suppressed the extent of the correlations. Further, relationships may be underesti-mated on measures with non-normal distributions (e.g., forced-choice tests). On theother hand, it should also be noted that studies that did not exclude individuals withincentives to feign might have erroneously inflated correlations due to similar poor effortdisplayed during both IQ and effort testing. Only two studies investigating populationswithout an identifiable incentive to feign found nonsignificant correlations, both ofwhich involved forced-choice measures: the Test of Memory Malingering (TOMM;Hurley & Deal, 2006) and the Word Memory Test (WMT; Green & Flaro, 2003).

Examination of the table reveals that the vast majority of studies documentedunacceptable specificity rates (i.e., <90%; Baker, Donders, & Thompson, 2000) inlow IQ groups for commonly used cutoffs. For example, the four studies providingspecificity information for the standard Rey 15-item administration in groups withIQ <80 reported false positive identification rates of 31% to 79% (weightedmean ¼ 54%; Goldberg & Miller, 1986; Hurley & Deal, 2006; Marshall & Happe,in press; Spiegel, 2006). While two reports indicated that specificity for the TOMMranged from 90% (Kennedy et al., 2005) to 100% (W. R. Drwal, personal communi-cation, August 29, 2005) in low IQ samples, three other studies found false positiverates of 31% to 50% (Graue et al., in press; Hurley & Deal, 2006; Weinborn, Orr,Woods, Conover, & Feix, 2003). Specificity of the E-score for the Dot Counting Testwas only 21% (Marshall & Happe, in press) to 54% (W. R. Drwal, personal com-munication, August 29, 2005), while specificity for Digit Span cut-offs ranged from15% (Graue et al., in press) to 69% (Axelrod, Fichtenberg, Millis, & Wertheimer,2006). Similarly, specificity for the Victoria Symptom Validity Test (VSVT) was mea-sured at only 40% (Loring, Lee, & Meador, 2005), while a 95% false positive identi-fication rate for the Validity Indicator Profile (VIP) has been reported (Frederick,1997)! In contrast, better specificity rates were found for Vocabulary minus Digit

706 ANDY C. DEAN ET AL.

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Tab

le1

Stu

die

so

fef

fort

mea

sure

per

form

an

cea

nd

IQ,

incl

ud

ing

effo

rtte

stcu

toff

s,sa

mp

lesi

zes,

effo

rt=IQ

corr

ela

tio

ns,

an

def

fort

test

Sp

ecif

icit

ies

inlo

wIQ

sam

ple

s

Mea

sure=

stu

dy

Cu

toff

NIQ

ran

ge

Sa

mp

leco

mp

osi

tio

n

Ince

nti

ve

tofe

ign

?aIQ

corr

elati

on

bS

pec

ific

ity

c

Rey

15

-Ite

m

Go

ldb

erg

&

Mil

ler

(19

86

)

<9

16

40

to6

9P

atie

nts

ina

MR

un

it

of

ap

sych

iatr

ich

osp

ita

l

No

n=a

62

.5%

Sch

retl

en,

Bra

nd

t,

Kra

fft,

&

Va

nG

orp

(19

91)

<9

14

8M

ean¼

87

.1

SD¼

14

.0

(po

ole

d

nu

mb

ers)

Neu

rolo

gic

al(T

BI,

dem

enti

a,

am

nes

tic)

an

dp

sych

iatr

ic

Un

kn

ow

n.5

5(i

ncl

ud

ing

no

rma

lco

ntr

ols

19

3)

73%

Ha

yes,

Ha

le,

&

Go

uv

ier

(19

97)

n=a

37

n=a

MR

pa

tien

tsin

faci

lity

for

crim

ina

lly

insa

ne,

som

ecr

edib

le,

som

em

ali

ng

erin

g(N¼

6)

Yes

n=a

Ma

lin

ger

s

per

form

ed

bet

ter

tha

n

cred

ible

pa

tien

ts

Ha

ys,

Em

mo

ns,

&

Law

son

(19

93)

n=a

30

0U

nk

no

wn

WA

IS-R

an

dS

hip

ley

IQsIn

pa

tien

tsin

a

psy

chia

tric

ho

spit

al

Un

kn

ow

n.6

0n=a

Hu

rley

&D

eal

(20

06)

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39

50

to7

8P

atie

nts

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resi

den

tia

l

faci

lity

for

MR

No

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20

.5%

Ma

rsh

all

&H

ap

pe

(in

pre

ss)

<9

69

51

to7

4

Mea

63

Mil

da

nd

Mo

der

ate

MR

pa

tien

ts

wit

hd

ocu

men

ted

dev

elo

pm

enta

ld

isab

ilit

y

No

n=a

45%

Ma

rsh

all

&H

ap

pe

(in

pre

ss);

wit

h

reco

gn

itio

ntr

ial

�2

06

95

1to

74

Mea

63

Mil

da

nd

Mo

der

ate

MR

pa

tien

tsw

ith

do

cum

ente

d

dev

elo

pm

enta

ld

isab

ilit

y

No

n=a

17%

Sp

eig

el(2

00

6)<

93

9<

70

Cli

nic

al

ou

tpati

ents

,

psy

chia

tric

an

d

neu

rolo

gic

al

No

.53

(in

clu

din

g

IQ>

70

,

24

5)

69%

TO

MM

Ken

ned

yet

al.

(20

05)

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al

2o

r

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enti

on<

45

60

Mea

62

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SD¼

.1

Psy

chia

tric

ho

spit

al

pa

tien

ts,

mix

edM

Ra

nd

psy

chia

tric

Yes

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90%

(Co

nti

nu

ed)

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ed

Mea

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ud

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uto

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nge

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ple

com

po

siti

on

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nti

ve

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ign

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corr

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on

bS

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ific

ity

c

W.

R.

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l

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mu

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on

,

Au

gu

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9,

20

05)

Tri

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19

57

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ents

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y

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luat

ion

,p

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feig

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Yes

n=a

10

0%

Wei

nb

orn

,O

rr,

Wo

od

s,C

on

ove

r,

&F

eix

(20

03)

Tri

al2

or

Ret

enti

on<

45

6n=

aM

R(m

ild

an

dm

od

era

te)

fore

nsi

cp

ati

ents

,ci

vil

ly

com

mit

ted

or

no

t

gu

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by

rea

son

of

insa

nit

y

Po

ssib

lyn=a

3fa

lse

po

siti

ve

fail

ure

s

Hu

rley

&D

eal

(20

06)

Tri

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45

39

50

to78

Pati

ents

ina

resi

den

tial

faci

lity

for

MR

No

-.0

35

9%

Gra

ue

eta

l.

(in

pre

ss)

Tri

al2

or

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on<

45

26

Mea

60

.0

SD¼

5.5

Mil

dM

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ents

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h

do

cum

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dd

evel

op

men

tal

dis

ab

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wer

e

pa

idfo

rst

ud

yp

art

icip

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on

No

n=a

Tri

al2¼

69%

Ret

en.¼

89%

Do

tC

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nti

ng

Ha

yes

eta

l.(1

99

7)n=a

37

n=

aM

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ati

ents

infa

cili

tyfo

r

crim

ina

lly

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ne,

som

ecr

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som

e

(N¼

6)

ma

lin

ger

ing

Po

ssib

lyn=a

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nger

s

per

form

ed

bet

ter

tha

n

cred

ible

pa

tien

ts

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al(p

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na

l

com

mu

nic

ati

on

,

Au

gu

st2

9,

20

05)

esco

re�

17

24

57

to7

0M

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ati

ents

ind

isab

ilit

y

eva

luat

ion

,p

re-s

cree

ned

for

feig

nin

g

Yes

n=a

54%

Hu

rley

&

Dea

l(2

00

6)

To

tal

tim

e

�1

80

seco

nd

s

39

50

to78

Pati

ents

ina

resi

den

tial

faci

lity

for

MR

No

n=a

97%

Ma

rsh

all

&H

ap

pe

(in

pre

ss)

esco

re�

17

69

51

to7

4

Mea

63

Mil

da

nd

Mo

der

ate

MR

pa

tien

tsw

ith

do

cum

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d

dev

elo

pm

enta

ld

isab

ilit

y

No

n=a

21%

708

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WM

T

Gre

en,

All

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&

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ner

(19

96)

n=a

12

4V

IQ,

ran

ge

un

kn

ow

n

Mix

edn

euro

log

ica

la

nd

psy

chia

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ple

,

all

att

emp

tin

g

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fin

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cial

com

pen

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Yes

.26

to.3

1

on

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T

ind

ices

n=a

Ger

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ad

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tati

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;

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Mer

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(20

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;

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s(p

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l

com

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nic

ati

on

,

Ma

y1

8,

20

06)

IR,

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,a

nd

Co

n.

all

>8

2.5%

32

Un

kn

ow

nG

erm

an

MR

ad

ult

s

pre

scre

ened

for

a

‘‘te

sta

ble

’’

lev

elo

fco

gn

itiv

e

com

pet

ence

an

dem

oti

on

al

sta

bil

ity

,so

me

wit

h

beh

avio

rp

rob

lem

s

un

kn

ow

nn=a

97%

Gre

en&

Fla

ro

(20

03)

IR,

DR

,a

nd

Co

n.

all>

82

.5%

13

Mea

nV

IQ¼

64

.0

SD¼

4.5

Ch

ild

ren

,m

ean

ag

e1

1.7

yrs

wit

ha

va

riet

yo

f

neu

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gic

al

an

dp

sych

iatr

icd

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no

ses

No

Co

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sn

ot

sig

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ica

nt

wit

h

WM

TIR

,D

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dC

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ind

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ple

(N¼

13

5)

Mea

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R,

an

d

Co

nsi

sten

cy

sco

res

wer

e

ab

ov

e

cuto

ffs,

spec

ific

ity

un

kn

ow

n

MS

VT

Ric

hm

an

eta

l.(2

00

6)

IRa

nd

DR

>8

5%

7M

ean¼

65

SD¼

5

Ch

ild

ren

of

un

kn

ow

n

ag

ea

nd

dia

gn

osi

s

un

kn

ow

nn=a

Mea

nIR

an

d

DR

wer

e

ab

ov

e

cuto

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spec

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un

kn

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n

Rel

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Sp

an

Bab

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Mea

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16

.6

Cli

nic

al

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tpa

tien

ts,

psy

chia

tric

an

d

neu

rolo

gic

al

No

n=a

Fa

lse

po

siti

ves

mo

reli

kel

y

wit

hlo

w

IQ(e

.g.,

70

s)

Ma

rsh

all

&H

ap

pe

(in

pre

ss)

<6

70

51

to7

4

Mea

63

Mil

da

nd

Mo

der

ate

MR

pa

tien

tsw

ith

do

cum

ente

d

dev

elo

pm

enta

ld

isab

ilit

y

No

n=a

31%

(Co

nti

nue

d)

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Ta

ble

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on

tin

ued

Mea

sure=st

ud

yC

uto

ffN

IQra

ng

eS

am

ple

com

po

siti

on

Ince

nti

ve

tofe

ign

?aIQ

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c

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ue

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l.(i

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)�

62

6M

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60

.0

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Mil

dM

Rp

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ents

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h

do

cum

ente

dd

evel

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dis

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ep

aid

for

stu

dy

pa

rtic

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No

n=a

15%

Dig

itS

pan

AC

SS

Ba

bik

ian

eta

l.(2

00

6)

<5

56

Mea

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.1

SD¼

16

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Cli

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psy

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l

No

n=a

Fa

lse

po

siti

ves

mo

reli

kel

y

wit

hlo

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IQ(e

.g.,

70

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Axel

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,F

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ten

ber

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Mea

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TB

Ip

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ina

no

utp

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ent

reh

ab

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ati

on

pro

gra

m,

wit

hin

itia

l

GC

So

f<

15

or

15

wit

h

po

siti

ve

neu

roim

ag

ing

No

n=a

69%

Gra

ue

eta

l.(i

np

ress

)<

52

6M

ean¼

60

.0

SD¼

5.5

Mil

dM

Rp

ati

ents

wit

h

do

cum

ente

dd

evel

op

men

tal

dis

ab

ilit

yw

ho

wer

ep

aid

for

stu

dy

pa

rtic

ipa

tio

n

No

n=a

19%

Vo

cab

ula

ry-

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Ta

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ecif

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isin

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ecif

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712

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Span (100%; Graue et al., in press), Logical Memory Rarely Missed Items (91%;Marshall & Happe, in press), California Verbal Learning Test – 2 (CVLT-2) recog-nition (89%; Marshall & Happe, in press), dominant finger tapping (78% to 87%;Arnold et al., 2005), and a short form of the Digit Memory Test (85%; Graue etal., in press). While high specificity was reported for a German version of theWMT, only participants who were judged to be ‘‘testable’’ (less than half of availableparticipants) were included (97%; Brockhaus & Merten, 2004; R. Brockhaus, per-sonal communication, May 18, 2006), raising questions regarding the representative-ness of the sample. In summary, existing research suggests that several commonlyused effort cutoffs are likely inappropriate for patients with low IQs; however, thefew studies available require replication due to methodological limitations and=orsmall sample sizes, and no data are available for several effort indicators.

The current study evaluated the relationship between Full Scale IQ and testperformance on nine different effort measures=indices (Digit Span Age CorrectedScaled Score, Reliable Digit Span, Rey 15-item plus recognition, Rey Word Recog-nition Test, Warrington Recognition Memory Test – words, Rey Osterreith EffortEquation, Rey-Osterreith=Rey Auditory Verbal Learning Test discriminant func-tion, Dot Counting Test, Finger Tapping Test), as well as the impact of IQ on efforttest specificity, in a heterogeneous clinic sample without external incentive to feign.

METHOD

Participants

Participants were 189 outpatients who presented to one of two SouthernCalifornian outpatient psychiatry clinics for neuropsychological assessment.1 Poten-tial participants were excluded from the original pool if there was indication of ident-ifiable motive to feign (i.e., applying for disability compensation or in litigation attime of testing). Patients with history or current evidence of dementia, amnestic dis-order, or somatoform disorder were also excluded. Lastly, one participant wasexcluded because her performance on a forced-choice effort measure was grosslyimprobable, raising questions regarding her effort (Warrington Recognition Mem-ory Test—Words ¼ 14 of 50). No other patient given a forced-choice test performedat or below chance levels (after the excluded patient above, the lowest WarringtonRecognition Memory Test score was 32 of 50). Further, none of the participantsretained in the study was determined to be malingering or otherwise noncrediblefrom a clinical standpoint, and any observed low IQ scores were entirely consistentwith behavioral observations and referral questions.

Primary diagnoses of the sample included depressive disorders (N ¼ 49), headinjury (penetrating and closed; N ¼ 22), psychosis=schizoaffective=schizophreniadisorders (N ¼ 20), seizures=epilepsy (N ¼ 13), anxiety=panic=PTSD (N ¼ 10), cog-nitive disorder NOS (N ¼ 8), bipolar disorder (N ¼ 8), stroke (N ¼ 7), HIV (N ¼ 6),substance abuse (N ¼ 6), learning disability (N ¼ 4), multiple sclerosis (N ¼ 3),Klinefelter’s syndrome (N ¼ 3), and a variety of conditions with N�2 (ADHD,

1It is estimated that 40% or less of the current sample was present in the Arnold et al. (2005) study,

while 30% or less was present in the Babikian et al. (2006) study.

IQ AND EFFORT TEST PERFORMANCE 713

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aneurysm, Asperger’s disorder, meningitis, Behcet’s disease, brain tumor, carotidstenosis, cerebral palsy, encephalitis, epidural abscess, heart attack=complications,hydrocephalus, lupus, mental retardation, neurosyphilis, personality disorder, Tourette’sdisorder, Turner syndrome, intermittent explosive disorder, and neurosurgery [nototherwise specified]; N ¼ 30). Mean age was 43.6 (SD ¼ 14.1), and mean educationwas 12.8 years (SD ¼ 2.8), and 53% were female. Approximately 51% of the samplewas Caucasian, while 19% were Hispanic, 16% were African American, 10% wereAsian, 1% were Middle Eastern, and 3% were other. FSIQ ranged from 56 to133, with a mean of 87.9 (SD ¼ 15.1). All patients were fluent in English; a minorityof the sample (22%) was raised bilingual or spoke English as a second language.ESL=bilingualism was equally distributed across the range of IQ. Of those patientswith IQs less than 70, mean educational level was 11.5 years (SD ¼ 2.0), and 53%reported a history of special education and=or learning disability. Diagnoses in thissubset included epilepsy (N ¼ 4), depression (N ¼ 4), head injury (N ¼ 2), mentalretardation (N ¼ 1), schizophrenia (N ¼ 1), neurosyphilis (N ¼ 1), lupus (N ¼ 1),and cognitive disorder NOS (N ¼ 1).

Procedure/measures

Approval to utilize archival neuropsychological data was obtained from bothclinic institutional review boards. FSIQ and effort indicator performance was selec-ted from more comprehensive neuropsychological assessments (typically coveringmultiple domains including language, visuospatial functioning, memory, executivefunctioning, motor function, and personality=mood). FSIQ was measured via theWechsler Adult Intelligence Scale–III (WAIS-III), and all participants completeda minimum of five Verbal subtests and four Performance subtests. Table 2 lists

Table 2 Effort indices used in the current study

Effort indicator Cutoff

WAIS-III Digit Span Age-corrected scaled score (ACSS) �5

Babikian, Boone, Lu, & Arnold (2006)

WAIS-III Reliable Digit Span �6

Babikian et al. (2006)

Rey 15-Item Test plus recognition combination score (REY-15) <20

Boone, Salazar, Lu, Warner-Chacon, & Razani (2002)

Rey Word Recognition Test Men�5

Nitch, Boone, Wen, Arnold, & Alfano (2006) Women�7

Warrington Recognition Memory Test - Words �33

Iverson & Franzen, 1994

Rey-Osterreith Effort Equation (RO) ��47

Lu, Boone, Cozolino, & Mitchell (2003)

Rey-Osterrieth=RAVLT Effort Equation (RO=RAVLT) ��.40

Sherman, Boone, Lu, & Razani (2002)

Dot Counting Test E-score �17

Boone, Lu, Back, King, Lee, et al. (2002)

Finger Tapping Test Men�35

Arnold et al., (2005) Women�28

714 ANDY C. DEAN ET AL.

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the effort measures and the cutoffs used for determination of suboptimal effort.Given the clinical setting of the assessments, not all tests were administered to allparticipants.

RESULTS

Kolmogorov-Smirnov analyses indicated that the following measures deviatedfrom the normal distribution: Digit Span–Age Corrected Scaled Score (ACSS),D(189) ¼ 1.86, p ¼ .00; Reliable Digit Span, D(102) ¼ 1.73, p ¼ .01; Rey-15D(143) ¼ 1.92, p ¼ .00; and the Dot Counting Test D(135) ¼ 1.46, p ¼ .03. Thuscorrelations with these measures were conducted nonparametrically with Spearman’srho. With the exception of the Rey–Osterreith=Rey Auditory Verbal Learning Test(RO=RAVLT) discriminant function (r ¼ �.01; p > .05), all effort measures weresignificantly correlated with FSIQ. Furthermore, of those that were correlated withIQ, all but the Warrington Recognition Memory Test (r ¼ .31; p ¼ .02) and FingerTapping Test (r ¼ .21, p ¼ .01) were significant at the p < .01 level (RO Effort Equa-tion, r ¼ .32; Dot Counting Test, rho ¼ �.36; Rey 15-item, rho ¼ .31; Rey WordRecognition Test, r ¼ .39; Reliable Digit Span, rho ¼ .58; Digit Span ACSS,rho ¼ .63). It should be noted that the Digit Span correlations are spuriously inflatedbecause digit span performance is included in the calculation of FSIQ.

The mean number and range of effort tests failed by each IQ band is displayedin Table 3. As can be seen, test failure was inversely related to FSIQ (i.e., the likeli-hood of effort test failure became more likely as FSIQ declined), with those patientswith FSIQ <70 failing three to four effort indicators on average, those with border-line IQ (70 to 79) failing an average of one effort measure, and those with FSIQ� 80averaging <1 failure. Of particular note, in the extremely low range of IQ (<70),100% of patients failed at least one effort test. Because all patients did not receiveall effort measures (rendering calculation of mean number of failures problematic),Table 3 also presents the average percentage of effort indicators failed by each IQband. This again demonstrates a linear relationship between IQ and effort test per-formance. While those participants with IQ� 80 failed fewer than 10% of adminis-tered tests, individuals with borderline IQ failed 17%, those with IQ 60–69 failed44% of the indicators, and those with IQ 50–59 failed 60% of tests.

The specificity, means, and standard deviations for each effort measure accord-ing to IQ band are presented in Table 4. Although caution should be used in

Table 3 Number of effort indices failed by IQ band: Mean, range, and mean percent

FSIQ band N Mean tests failed Range failed Mean percent tests failed (%)

50–59 3 4.0 1 to 6 60

60–69 12 2.9 1 to 6 44

70–79 48 1.1 0 to 4 17

80–89 44 0.5 0 to 4 8

90–99 39 0.3 0 to 2 7

100–109 27 0.2 0 to 1 4

110–119 11 0.4 0 to 2 6

�120 5 0.2 0 to 1 5

IQ AND EFFORT TEST PERFORMANCE 715

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interpreting specificities with small sample sizes, Table 4 again illustrates that speci-ficity rates become unacceptable at lower levels of IQ for most measures. With somevariability, the tests with best specificity at recommended cut-offs in low IQ groupsappear to be the Warrington Recognition Memory Test and the Finger TappingTest.

Table 5 provides adjusted effort cutoffs for low IQ groups (<70; 70–79; 80–89)which maintain specificity above 90%. Although conclusions for the lowest IQgroup (<70) are tentative due to small sample size, the available data indicate thatmost effort cutoffs need considerable adjustment to maintain acceptable specificityin this IQ range. Unfortunately, small sample sizes precluded separate analysis ofeffort measures with different cut-offs for gender, but it should be noted that theexisting cut-off for women on Finger Tapping (�28) was very similar to the adjustedgenderless cut-off (�29), which would maintain acceptable specificity in the lowestIQ group (<70).

DISCUSSION

In a sample without identifiable incentive to feign deficits, moderate correla-tions were generally found between Full Scale IQ and performance on effort mea-sures. Further evidence of the relationship between IQ and effort test performancewas provided by examining effort test failures according to IQ band. While zero toone effort test was typically failed by those in the low average to superior range ofintellectual functioning, the likelihood of effort test failure increased regularly withdecreasing IQ scores. In the lowest range of IQ (50–59), patients failed an averageof four effort measures, or approximately 60% of the effort tests administered.Patients with an IQ of 60 to 69 averaged three effort test failures or 44% of effort indi-cators, and individuals with borderline IQ (70–79) failed a mean of one indicator andaveraged a 17% failure rate. Of particular concern is the fact that all patients withextremely low IQs (<70) failed at least one effort test. This contrasts with the<10% effort test failure rate in those with low average to superior range of IQ.

Examination of the various effort indicators in low IQ groups revealed that mostmeasures produced unacceptable specificity rates (i.e., <90%) when IQ droppedbelow 80, with the worst specificities found for the lowest IQ group (50–59). In the bor-derline IQ group, all specificities were �80% with the exception of Rey 15-Itemþ re-recognition test, which was associated with a 32% false positive identification rate. Inthe 60–69 IQ range, nearly all specificities were �75% (with the exception of FingerTapping at 100%), with Digit Span tasks showing the highest false positive rates(66%). In the 50–59 range, most specificities were �33%, with the exception of War-rington Recognition Memory Test (100%), Finger Tapping (100%), and RO=RAVLTdiscriminant function (67%), although these conclusions should be viewed as tentativedue to the very small sample size in this group (n ¼ 3). Although preliminary due tosmall N, the most robust effort tests across low IQ groups were the WarringtonRecognition Memory Test and the Finger Tapping Test.

Compared with previous studies in low IQ samples, current data regardingspecificity rates are somewhat higher for the Rey 15-item recognition (i.e., 33% to45%) than those reported previously (17%; Marshall & Happe, in press), while ratesfor the Dot Counting Test (33% to 71%), and Digit Span indices (33%) are grossly

IQ AND EFFORT TEST PERFORMANCE 717

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similar to previous findings: Dot Counting Test ¼ 21% to 54% (W. R. Drwal, per-sonal communication, August, 29, 2005; Marshall & Happe, in press), Digitspan ¼ 15% to 69% (Axelrod et al., 2006; Marshall & Happe, in press; Graue et al.,in press). Finger tapping specificities in the current study (100%) were also similar toprevious findings in low IQ groups (78% to 87%, Arnold et al., 2005), although someoverlap was present in the participant pools between these two investigations.

To address the unacceptable specificities noted above, we created adjustedcutoffs for the effort indices by IQ band (see Table 5). The cut-off for the Rey 15-ItemþRecognition test needed to be lowered by three points to maintain acceptablespecificity (91%) in even the low average range of IQ. In contrast, the existing cutofffor the Warrington Recognition Memory Test was sufficient in all but the lowest IQrange (<70), in which the cutoff needed to be lowered by only one point to retainadequate specificity (100%). In fact, examination of the low average IQ rangerevealed that a few test cut-off scores were overly lenient at this level of IQ. Forinstance, the Warrington Recognition Memory Test maintained adequate specificity(92%) in the low average IQ range with a 7-point increase in the existing cutoff (from<33 to <40), and the RO=RAVLT discriminant function could be increased to apositive value at this IQ level (from ��.40 to < .18) while still maintaining accept-able specificity (92%).

While adjusted cutoffs will help to protect against the possibility of false posi-tive identifications in low IQ samples, the increase in specificity occurs at theexpense of sensitivity (the percentage of noncredible participants correctly identifiedas noncredible); for example, very few noncredible patients are likely to obtain aReliable Digit span <3, the cut-off required for adequate specificity in those withIQ <70. Thus, several of the effort indicators are unlikely to be useful in the dif-ferential between actual versus feigned low IQ due to negligible sensitivity atacceptable specificity levels. For this reason, different effort indices need to beemphasized, and perhaps new ones developed, for a low IQ population. In thisstudy, the Warrington Recognition Memory Test-Words was effective at low IQlevels, and the limited data available on other forced-choice tests in low IQ groupshas frequently been positive with respect to specificity (e.g., Logical MemoryRarely Missed Items Index ¼ 91%, Marshall & Happe, in press; GermanWMT ¼ 97%, Brockhaus & Merten, 2004; CVLT-2 Recognition ¼ 89%, Marshall &Happe, in press; TOMM ¼ 50–100%, W. R. Drwal, personal communication,August 29, 2005; Graue et al., in press; Kennedy et al., 2005; Hurley & Deal, 2006;Weinborn et al., 2003; Digit Memory Test ¼ 85%, Graue et al., in press). In addition,forced choice scores significantly below chance would not be plausible in any IQrange. Research is needed on other commonly administered forced-choice effort indi-cators (e.g., Portland Digit Recognition Test, Computerized Assessment of ResponseBias) to confirm the utility of forced-choice measures in a low IQ population, and todetermine if some forced-choice measures have higher specificity rates than others inthis context.

The Finger Tapping Test also was associated with relatively high specificityat low IQ levels; because the Finger Tapping Test does not rely on cognitive abili-ties, it would appear to be an appropriate effort measure in low IQ patients whohave no gross motoric problems. The effectiveness of the Finger Tapping Test inthis population raises the possibility that other motor tests, such as Grip Strength

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and Grooved Pegboard, may also be particularly appropriate for use as effortindicators in low IQ groups. Given the excellent specificity previously reportedfor Vocabulary minus Digit Span in a mild MR sample (100%, Graue et al., inpress), further examination of the use of this effort test in low IQ groups shouldalso be pursued.

In contrast, the current study suggests that effort tests with a premium onimmediate attention=encoding may be inadvisable for use in low IQ populations.Unacceptably low specificities were found on memory effort tests with single trialexposure (Rey-15, Rey Word Recognition Test) and effort tests of immediate atten-tion span (Digit Span-ACSS, Reliable Digit Span). The Dot Counting test is alsocontraindicated in groups with difficulties in basic calculation and multiplicationabilities. The RO=RAVLT discriminant function was the only measure in the currentstudy that did not significantly correlate with IQ. This is also evidenced by inspectionof means, in which higher mean scores were found on the RO=RAVLT function inborderline and low average IQ groups compared to average and high averagegroups. However, the mean performance did drop in the lowest IQ samples, as illu-strated by the adjustment to the cutoff needed in the IQ <70 group to maintainacceptable specificity. The lack of correlation between IQ and the discriminant func-tion is likely a byproduct of the manner in which it is calculated, i.e., weighted visualmemory performance is subtracted from weighted verbal memory performances. Inaverage and high average IQ groups, participants do well on both visual and verbalmemory measures, resulting in a smaller difference between verbal and nonverbaldomains. Similarly, patients in the extremely low range of IQ typically performpoorly on both the visual and verbal memory measures, again resulting in a smallerrelative difference between verbal and nonverbal scores.

It is recommended that the current data be used cautiously as a guide for devel-oping expectations as to how differing IQ groups perform on effort measures.Patients in the current study had various psychiatric and neurologic diagnosesand, as a result, their effort test performance may not be representative of the effectof lowered IQ in isolation. However, this sample does reflect the typical clinic popu-lation in which neuropsychologists must assess effort. Further limitations of the cur-rent study include the fact that sample sizes were small in the lowest and highest IQbands, raising concerns regarding reliability of the findings, and not all tests wereadministered to all participants due to the hetereogeneity of the clinical setting(i.e., various examiners, differing clinic locations). Finally, it is possible that someindividuals who were not performing with adequate effort were included in the sam-ple despite the fact that participants with obvious incentive to feign cognitive symp-toms were excluded. As a result, the false positive identification rate may have beenartificially raised, although this is not likely to be a major problem given that none ofthe participants retained in the study was determined to be malingering or otherwisenoncredible from a clinical standpoint, and low IQ scores were entirely consistentwith behavioral observations and referral questions.

When interpreting effort test performance in any population, it is important toconsider the cognitive abilities required by the measures (e.g., memory, attention,calculation, language abilities) in conjunction with the overarching clinical context(e.g., external incentives to feign; consistency between test scores and collateral infor-mation, observations of behavior, and performance of ADLs, etc.).

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