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Abstract
The Child and Adolescent Functional Assessment Scale ( CAFAS) is a multidimensional measure
of impairment that assesses the extent of interference in day-w-day functioning secondary to
emotional, behavioral, or substance use problems. Respondents were 984 youths, aged 5 to 17, who
were referred for mental health services. They were assessed at intake and at 6 and 12 months
postintake with a battery of measures administered by evaluation staff who were independent of
treatment. Utilization indicators included restrictiveness of care, total cost, number of bed days, and
total number of days of service received. The CAFAS total score at intake was a significant predictor
of service utilization and cost determined at 6 and 12 months postintake. The CAFAS score was also
the best predictor when compared with other measures of psychopathology. Only the CAFAS and
presence of conduct disorder contributed to the prediction of service utilization and cost at 12
months.
Information that assists in predicting service utilization and cost is critical to managing the limited
resources available for treatment of mentally ill youths. Funds received through block grants to the
states for community mental health services are to be used to provide services to children with serious
emotional disturbance (SED). Identifying SED children requires information about their diagnosis
and impairment, because SED youths have been defined as having a psychiatric disorder, and the
disorder has resulted in "functional impairment which substantially interferes with or limits the
child's role or functioning in family, school, or community activities. ''1 Unfortunately, there are few
measures of functioning available that are designed for use with children who are psychiatrically
disturbed. 2 Axis V of the Diagnostic and Statistical Manual of Mental Disorders) which is also
referred to as the Global Assessment of Functioning (GAF) Scale, provides a global score indicating
overall level of functioning. However, in a recent study of hospitalized children and adolescents, 4
GAF scores did not predict length of hospital stay, whereas other variables such as previous
hospitalization and for-profit hospital status did.
This study reports on the use of the Child and Adolescent Functional Assessment Scale (CAFAS) 5
as a predictor of service utilization and cost. The data were collected as part of the Evaluation Study
of the Ft. Bragg Demonstration Project. 6 Respondents were rated on the CAFAS and were admin-
istered a variety of outcome measures at three time points: intake (wave 1), 6 months (wave 2) post-
intake, and 12 months (wave 3) postintake. The relationship between the youth's CAFAS score at
Address correspondenceto Kay Hodges, Ph.D., Departmentof Psychology,Eastern Michigan University,537 Mark
Jefferson, Ypsilanti,Michigan48197.
Mafia M. Wong, Ph.D., is a research fellow at the Institute for Social Researchof the Universityof Michigan at Ann
Arbor.
Method
Respondents
The sample was recruited from youths 5 to 17 years old, who were referred for mental health
services at three army bases (i.e., Ft. Bragg, North Carolina; Ft. Campbell, Kentucky; and Ft. Stewart,
Georgia) from 1991 through 1993. There were 984 respondents at intake, and service utilization
data were available on 979 respondents at 6 months and 590 at 12 months. Attrition, which is detailed
in Breda (1996), 6 was roughly 16% at wave 2 and 27% at wave 3. The reasons for the attrition
included failure to locate the subjects, subject refusal, and incomplete data collection. In addition,
children younger than 8 years old, who represented 24% of the sample, were not administered some
of the measures (e.g., structured diagnostic interview). For youths 8 years and older, the sample size
was 603 at wave 2 and 357 at wave 3.
About two-thirds of the sample were males, with a mean age of 11 years. There were more
preadolescent boys (63%) than adolescent boys (37%), whereas there were about equal numbers of
preadolescent girls (49%) and adolescent girls (51%). The majority of the youths were Caucasian
(79.1%), with 20.5% being African American. In the modal family, at least one parent figure had
some education beyond high school (but was not a college graduate), the household income was
between $20,000 and $30,000, and there were two caregivers in the home. The demographics of the
sample at 6 months and 12 months were very similar to that at intake. See Table 1 for a summary
of the demographic data across all three waves.
Raters
The CAFAS was rated by 28 interviewers who administered all of the questionnaires and
interviews to the respondents. Raters were recruited via advertisements in newspapers in the local
towns (i.e., Fayetteville, NC, Clarksville, KY, and Savannah, GA) and through informal contacts
with the professional community in the area. The job was part-time and without benefits or
guaranteed minimal income. The interviewers were required to provide their own transportation, to
work evening and weekend hours, to go to the homes of families in which a child was psychiatrically
ill, and to complete the data collection within a specified time frame. Seventy-five percent of the
raters/interviewers were female. They were trained by the first author in five separate training
sessions, spanning a three-year period (September 1989 through September 1992). Except for one
rater, all had a college degree or were currently enrolled in undergraduate education. None of the
interviewers had direct experience providing psychiatric services to children and adolescents,
although four raters had master's degrees: two in educational guidance and counseling and two in
social welfare. Ten other raters had master's degrees in fields other than mental health (i.e., theology,
music, business, education, political science). The raters were hired by the Evaluation Study and
were not involved in the treatment or treatment decisions for any of the respondents. The research
protocols were collected, stored, and processed by the research team employees only. Training
entailed a workshop for one day and a half in which the trainees had an opportunity to rate videotaped
clinical interviews, a patient on an adolescent psychiatric unit who volunteered to be interviewed,
and written vignettes. Interrater reliability was evaluated with 20 written protocols that summarized
responses to a structured interview with the child and parent. 7 Through the remainder of the study,
10% of the interviews were reviewed via videotape. Feedback was given as needed to address rater
drift.
Age
5-7 236 24.0 235 24.0 137 23.2
8-10 187 19.0 187 19.1 110 18.6
11-13 219 22.3 218 22.3 142 24.1
14 and above 342 34.8 339 34.6 201 34.1
Gender
Male 622 63.2 621 63.4 382 64.7
Female 362 36.8 358 36.6 208 35.3
Race
Caucasian 778 79.1 773 79.0 473 80.1
African American 202 20.5 202 20.6 111 18.8
Other 14 0.4 4 0.4 6 0.1
Family income
< $I0,000 15 1.5 15 1.5 9 1.5
$10,000-14,999 18 1.8 17 1.7 9 1.5
$15,000-19,999 91 9.2 90 9.2 49 8.3
$20,000-29,999 165 16.8 165 16.9 98 16.6
$30,000-39,999 334 33.9 333 34.0 200 33.9
$40,000-59,999 176 17.9 176 18.0 110 18.6
$60,000 or more 126 12.8 125 13.8 81 13.8
Caregiver's education
Some high school 7 0.7 7 0.7 4 0.7
High school graduate 159 16.2 158 16.1 79 13.4
Some college 548 55.7 544 55.6 331 56.1
College graduate 143 14.5 143 14.6 101 17.1
Some postcollege 45 4.6 45 4.6 24 4.1
Advanced graduate 71 7.2 71 7.3 44 7.5
Measures of Psychopathology
The measures described here were part of a larger battery, which is described elsewhere6 and
included the CAFAS, the Child Assessment Schedule (CAS), and its parallel version for parents
(PCAS), s~~the Child Behavior Checklist (CBCL), H and the Burden of Care Questionnaire (BCQ)? 2
All of these measures are scored in the direction of a higher score reflecting more pathology or
problems.
Child and Adolescent Functional Assessment Scale ( CAFAS). The CAFAS 5 assesses degree of
impairment in functioning in children and adolescents secondary to emotional, behavioral, or
substance use problems. It is essentially a list of behavioral descriptors from which the rater chooses
Child Behavior Checklist (CBCL). The CBCL was designed to obtain ratings of the competencies
and behavioral/emotional problems of children aged 4 to 16 years old, as reported by parents. The
child is rated on 118 problem items using a three-point scale for how true the item was for the child
over the last six months. The T score for the CBCL total problem score was used in the present study.
The psychometric data are provided in the manual for the CBCL."
Child Assessment Schedule ( CAS) and Parent Version--Child Assessment Schedule (PCAS). The
CAS is a structured diagnostic interview that provides information about diagnoses as well as
difficulties across various life areas, such as school, peers, and family. There are parallel versions
for the child and the parent, with the latter referred to as the PCAS. About half of the items on the
interview are diagnostically related, with the remaining items inquiring about the youth's problems/
conflicts in various life spheres. For each question, there is a response criterion, with the scoring
options being true, false, ambiguous, or not applicable. For the analyses in the present study, two
sets of information were used: (1) total number of endorsements for all PCAS and CAS items, with
higher scores reflecting more pathology; and (2) presence/absence of diagnoses based on the PCAS,
generated by computer algorithms that accompany the interview.13 Diagnostic algorithms were based
on the revised third edition of the Diagnostic and Statistical Manual of Mental Disorders (DSM-III-R).3
Data on the reliability and validity of the CAS are summarized in a review article by HodgesJ 4
Burden of Care Questionnaire (BCQ). The BCQ was developed for use in the Evaluation Study
to assess the impact on the family of having a child with serious emotional or behavioral problems. 12
Six areas of caregiver strain were included: disruption of family life and relationships, demands on
time, negative mental and physical health effects for any member, financial strain, disruption of
social/community life for any member, worry and emotional strain, and embarrassment. It is a
42-item self-report instrument with responses scored on five- or three-point scales. The BCQ
generates a total score, which was used in this study.
Cost of Services. The total cost for all services delivered per respondent was calculated. 16For Ft.
Stewart and Ft. Campbell, financial transaction records were obtained from the records of the
CHAMPUS system, which provided information regarding the type of service, the date that the
service was delivered, and the amount and cost of service received. For Ft. Bragg, the management
information system specifically designed for the Demonstration Project offered information about
service type, number of service units received by each recipient, the date of service, and so forth.
However, the management information system did not offer direct information on cost of service
received. Instead, the total cost of different services was determined using guidelines set forth by
the State of North Carolina Department of Human Resources for tracking expenditures by providers
contracting with the state. The average cost per unit of a specific type of service was computed using the
total number of services provided in that category. The cost of services per respondent was then calculated.
Number of Services. Two indicators were provided: number of bed days (i.e., inpatient, RTC, and
other residential care) and total number of days of service. The total number of days of service was
generated by summing the number of days on which any services were delivered. By way of
example, all three of the following scenarios would be counted as one unit of service: one day of
inpatient care, one hour of outpatient therapy, and one day in which three types of nonresidential
services were rendered (e.g., case management, home-based therapy session with the family, and a
school visit).
Procedures
Children and parents were interviewed at the clients' convenience, either in their home or at an
agency. The information garnered was used for research purposes only.
Results
Descriptive Statistics
The CAFAS total scores for the respondents ranged from 0 to 140 (M = 45.65, SD = 26.47). We
first examined whether demographic variables such as age, gender, ethnicity, family income, and
* Simultaneous multiple regression analyses were performedbecause our goal was to examine the usefulness of the
CAFASrelativeto the otherpsychopathologymeasures.No assumptionwas maderegardingthe orderof the variablesentered
into the analyses,which rendered the use of hierarchical regressionless appropriate.Stepwiseregression was not selected
because we were not interestedin findingout what independentvariablesshouldbe selectedor eliminated. However,for the
sake of comparison, hierarchical and stepwise regressions were performed and the results were similar to those of the
simultaneousregressionspresentedin the article.
Wave 2 ( N = 979)
.45 .41 .37 .38
R .45 .41 .37 .38
R2 .21 .17 .14 .14
Wave 3 ( N = 5 9 0 )
.35 .30 .31 .33
R .35 .30 .31 .33
R2 .12 .09 .10 .11
a. CAFAS = Child and Adolescent Functional Assessment Sacle.
Note: All regression coefficients were significant at p < .001.
who were aged 8 or older. The results suggested that even after controlling for the effects of other
instruments, the CAFAS remained a significant predictor of utilization and cost indicators. In fact,
its predictive power was the strongest among all independent measures. When compared with other
psychopathology measures, the CAFAS was the strongest predictor of restrictiveness of care, total
service cost, number of bed days, and total number of days of service at 6 months postintake. The
BCQ and, for restrictiveness of care, the CAS, were also significant predictors of utilization, but
their effects were relatively weaker. At 12 months postintake, the CAFAS was the only significant
predictor of service utilization. No other instruments were found to be significant.
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Table 4
Simultaneous Multiple Regression With Measures of
Psychopathology as the Independent Variables and
Utilization and Cost Indicators as the Dependent Variables
Utilization and Cost Indicators
Wave 2 (N = 603)
Independent Restrictiveness Total Cost of Number of Total Number
Variables at Wave 1 of Care (~) Services (1~) Bed Days (~) of Services ([3)
Wave 3 (N = 357)
and a higher number of bed days than those without the disorder in the first 6 months of the study.
No such relationship was found at the 12th month. On the other hand, when compared with their
counterparts with other disorders, children and adolescents with ADHD were more likely to be in
the less restrictive settings, to incur lower costs, to spend less time in residential care, and to use a
lower number of services in the first 6 months.
The results presented above indicate that the CAFAS predicted service utilization better than any
psychiatric diagnoses alone. Although we can be confident about the predictive power of the CAFAS,
psychiatric diagnosis also provides additional information about service utilization that cannot
otherwise be obtained by the CAFAS. Whereas certain types of diagnosis like conduct disorder seem
to be related to more restrictive service and higher cost, others like ADHD appear to be related to
less restrictive service and lower cost.
Discussion
The CAFAS total score at intake predicted mental health services utilization for all of the
indicators considered, including restrictiveness of care, cost of services, total number of days of
Wave 3 (N = 590)
Note: CAFAS = Child and Adolescent Functional Assessment Scale; PCAS = Child Assessment Schedule,
Parent Version; ADHD = Attention Deficit-Hyperactivity Disorder. All independent variables were entered into
the regression models simultaneously.
*p < .05; **p < .01; ***p < .001.
service, and number of bed days. When only the CAFAS was used as the predictor, it had a highly
significant relationship with all service utilization variables at both 6 and 12 months postintake.
When compared with other instruments yielding summary scores of psychopathology or burden of
care, the CAFAS was clearly the best predictor of service utilization at wave 2. At wave 3, the CAFAS
was the only instrument that significantly predicted service utilization.
Although the CAFAS accounted for the largest part of the variance, information about three
diagnoses also significantly predicted service utilization. Conduct disorder was the only diagnostic
category that significantly predicted all indicators at both wave 2 and wave 3. Conduct-disordered
youths were more likely to cost more and use more services, including residential care. This finding
is consistent with the well-documented poor prognosis for conduct disorder. Conduct-disordered
Acknowledgments
This research was supported, in part, by a grant from the National Institute of Mental Health
(RO1 MH46136-01), on which Dr. Leonard Bickrnan was the principal investigator and the first
author was a coinvestigator. Dr. Lenore Behar was also a coinvestigator on the NIMH grant and
generously provided guidance and support. This research was also supported by the U.S. Army
Health Services Command (DADA 10-89-C-0013) as a subcontract from the North Carolina
Department of Human Resources, Division of Mental Health, Developmental Disabilities, and
Substance Abuse Services. Part of this article was presented at the 9th Annual Research Conference:
A System of Care for Children's Mental Health at the Research and Training Center for Children's
Mental Health in Tampa, Florida in February 1996.
References
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