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Hum Genet (2014) 133:111116

DOI 10.1007/s00439-013-1362-8

ORIGINAL INVESTIGATION

Genetic testing and genetic counseling among medicaid-enrolled


children with autism spectrum disorder in 2001 and 2007
Lindsay Shea Craig J. Newschaffer Ming Xie

Scott M. Myers David S. Mandell

Received: 4 January 2013 / Accepted: 8 September 2013 / Published online: 15 September 2013
Springer-Verlag Berlin Heidelberg 2013

Abstract The rise in the prevalence of autism spectrum counseling. Initial discrepancies in the use of both services
disorder (ASD) has resulted in increased efforts to under- based on race/ethnicity suggest that troubling disparities
stand the causes of this complex set of disorders that observed in other services delivered to children with ASD
emerge early in childhood. Although research in this area is and other mental health disorders persist in genetic testing
underway and yielding useful, but complex information and counseling as well. These results should incentivize
about ASD, guidelines for the use of genetic testing and further investigation of the impact of genetic testing and
counseling among children with ASD conflict. The purpose counseling on children with ASD and their families, and
of this study was to determine the frequency of use of should drive efforts to explore and confront disparities in
genetic testing and counseling before the widespread the delivery of these services, particularly with the
implementation of clinical chromosomal microarray advancing scientific research on this topic.
(CMA) to establish a baseline for the use of both services
and to investigate potential disparities in the use of both
services among children with ASD. We found that about Introduction
two-thirds of children with ASD received genetic testing or
counseling and the use of both services is increasing with Autism spectrum disorder (ASD) comprises a set of neu-
time, even in the pre-CMA era. Being female and having a rodevelopmental disorders that manifest as deficits in
comorbid intellectual disability diagnosis both increased social communication and repetitive behaviors or insis-
the likelihood of receiving genetic testing and genetic tence on sameness in childhood (American Psychiatric
Association 2000). Since the 1980s it has been widely
understood that ASD is highly heritable, (Chakrabarti and
Fombonne 2001; Constantino et al. 2010; Freitag et al.
L. Shea (&)  C. J. Newschaffer 2010; Ozonoff et al. 2011) as evidenced from twin studies
A.J. Drexel Autism Institute, Drexel University, 3020 Market and studies of the broader autism phenotype (International
St., Suite 560, Philadelphia, PA 19104-3734, USA Molecular Genetic Study of Autism Consortium (IMG-
e-mail: ljl42@drexel.edu SAC) 2001; Gupta 2007; Miller 2010). ASD has also long
M. Xie  D. S. Mandell been known to be associated with several rare genetic
Center for Mental Health Policy and Services Research, syndromes, including Angelman Syndrome, Fragile X, Rett
University of Pennsylvania, 3535 Market St., 3rd Floor, Syndrome, Tuberous Sclerosis, and Smith-Lemil-Opitz
Philadelphia, PA 19104, USA Syndrome (Abrahams and Geschwind 2008). At the same
S. M. Myers time, more recent genomic studies underscore the com-
Geisinger Health System, 100 North Academy Avenue, plexity of genetic mechanisms in ASD, suggesting that
Danville, PA 17822, USA perhaps thousands of genetic variants are contributing to
ASD, many of these changes in chromosomal structure
D. S. Mandell
Center for Autism Research, Childrens Hospital of Philadelphia, (copy number variants or CNVs). CNVs can be de novo or
3535 Market St., 3rd Floor, Philadelphia, PA 19104, USA inherited. Incomplete penetrance and variable expressivity

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112 Hum Genet (2014) 133:111116

(e.g., the same CNV may manifest phenotypically as ASD (Freitag et al. 2010; Manning et al. 2010; Miller 2010;
in one family member and as schizophrenia in another) Shen et al. 2010).
further complicate the interpretation. ASD is not always However, others have argued for more limited applica-
caused by a single mutation in a single gene. A two hit tion of genetic testing. El-Fishawy and State (2010) and
hypothesis (Girirajan et al. 2010; Leblond et al. 2012) and a Caronna et al. (2008) call for genetic testing only for
hypothesis of oligogenic heterozygosity (Schaaf et al. individuals suspected as having syndromic ASD,
2011) have been proposed. meaning those with dysmorphisms, neurocutaneous find-
Given the known heritability of ASD and association ings, significant cognitive impairment, abnormal neuro-
with known genetic syndromes, genetic testing has been logical exam or seizures (Caronna et al. 2008; El-Fishawy
used for decades in clinical research assessments of and State 2010). Recommendations from the American
individuals with ASD (Folstein and Rutter 1977). The Academy of Neurology and the Child Neurology Society
ultimate goal of genetic testing is to identify heritable suggest that genetic testing for children with ASD should
predisposition to a disease, which could be important to be completed only if there is a comorbid intellectual dis-
tested individuals or their relatives in reproductive deci- ability or one cannot be ruled out, if there is a family
sion-making or to identify genetic causes that will influ- history of Fragile X syndrome or intellectual disability, or
ence decisions about treatment strategies and the if dysmorphic features are present (Filipek et al. 2000).
frequency and nature of ongoing clinical follow-up Similarly, as noted above, the 2007 AAP guidelines for the
(Mendelsohn and Schaefer 2008). Families of children identification and management of ASD recommend genetic
with ASD may benefit from genetic testing and sub- testing when there is comorbid intellectual disability or
sequent genetic counseling because it can contribute to global developmental delay or when suggested by dys-
disease management, including identifying potential or morphic features, family history, or comorbid medical
existing comorbidities (Schaefer and Mendelsohn 2008a). conditions (Johnson et al. 2007). However, in the second
On the other hand, genetic testing and counseling can be edition of Autism: Caring for Children with Autism
stressful (Muhle et al. 2004) interpretation of genetic Spectrum Disorders: A Resource Toolkit for Clinicians,
testing for a disorder like ASD with complex and heter- released in late 2012, the AAP recommends offering
ogeneous genetic mechanisms will be challenging, and genetic testing, including CMA and Fragile X testing to all
genetic testing results in ASD, even when they clearly patients with ASD (American Academy of Pediatrics
implicate a known genetic cause, at this point do not 2013). The AAP recommends genetic counseling for
inform intervention choices (Muhle et al. 2004; Schaefer families of all children with ASD to help parents under-
and Mendelsohn 2008b). Translation of genetic testing stand recurrence risk. When a specific genetic etiology is
results to an individual may also present unique chal- determined by genetic testing, the recurrence risk may be
lenges since risk is based on group averages, and impli- higher or lower than the risk in idiopathic ASD, and pre-
cations in specific areas, such as recurrence risk, are natal diagnosis may be possible (Johnson et al. 2007).
highly variable depending on genetic testing results. Recent empirical investigations of CMA testing in
Current clinical recommendations for genetic testing of individuals with ASD have focused on diagnostic yield: the
individuals with ASD are somewhat conflicting. Schaefer proportion of tested children who have significant findings
and Mendelsohn (2008b) suggest that genetic testing is an on CMA (Roesser 2011; McGrew et al. 2012). Heteroge-
essential component of appropriate management of the neity in array resolution and coverage affects the compa-
care of individuals with ASD. The American Academy of rability of results across different laboratories and no
Pediatrics (AAP) recommends inclusion of genetic testing uniform standards exist to establish the clinical importance
as part of medical evaluations of children diagnosed with of CNVs (Miller et al. 2010a). CMAs are rapidly evolving
ASD based on risk factors, such as co-occurring intel- and are improving the ability to interpret genetic testing
lectual disability, and other findings (Johnson et al. 2007). findings (Cooper et al. 2011; Kaminsky et al. 2011).
Specific tests, including cytogenetic analysis (karyotype), Emerging data suggest that some specific abnormal find-
chromosomal microarray (CMA), and Fragile X testing, ings may have implications for medical treatment (Saam
have been named as primary components of the genetic et al. 2008; Coulter et al. 2011) and that CMA testing may
testing battery for individuals with ASD in the recom- be cost effective (Regier et al. 2010). A recent study found
mendations from the AAP and other professional orga- that 35 % of all pathogenic CNVs identified in one large
nizations. In the most recent guidelines, including those laboratory identified conditions for which specific clinical
published by the American College of Medical Genetics actions are warranted (Ellison et al. 2012).
in 2010, CMA testing for copy number variants has The purpose of the present study was to examine the
replaced G-banded karyotype as a first-line test in the extent to which Medicaid-enrolled children diagnosed with
initial postnatal evaluation of individuals with ASD ASD receive genetic testing and genetic counseling

123
112 Hum Genet (2014) 133:111116

(e.g., the same CNV may manifest phenotypically as ASD (Freitag et al. 2010; Manning et al. 2010; Miller 2010;
in one family member and as schizophrenia in another) Shen et al. 2010).
further complicate the interpretation. ASD is not always However, others have argued for more limited applica-
caused by a single mutation in a single gene. A two hit tion of genetic testing. El-Fishawy and State (2010) and
hypothesis (Girirajan et al. 2010; Leblond et al. 2012) and a Caronna et al. (2008) call for genetic testing only for
hypothesis of oligogenic heterozygosity (Schaaf et al. individuals suspected as having syndromic ASD,
2011) have been proposed. meaning those with dysmorphisms, neurocutaneous find-
Given the known heritability of ASD and association ings, significant cognitive impairment, abnormal neuro-
with known genetic syndromes, genetic testing has been logical exam or seizures (Caronna et al. 2008; El-Fishawy
used for decades in clinical research assessments of and State 2010). Recommendations from the American
individuals with ASD (Folstein and Rutter 1977). The Academy of Neurology and the Child Neurology Society
ultimate goal of genetic testing is to identify heritable suggest that genetic testing for children with ASD should
predisposition to a disease, which could be important to be completed only if there is a comorbid intellectual dis-
tested individuals or their relatives in reproductive deci- ability or one cannot be ruled out, if there is a family
sion-making or to identify genetic causes that will influ- history of Fragile X syndrome or intellectual disability, or
ence decisions about treatment strategies and the if dysmorphic features are present (Filipek et al. 2000).
frequency and nature of ongoing clinical follow-up Similarly, as noted above, the 2007 AAP guidelines for the
(Mendelsohn and Schaefer 2008). Families of children identification and management of ASD recommend genetic
with ASD may benefit from genetic testing and sub- testing when there is comorbid intellectual disability or
sequent genetic counseling because it can contribute to global developmental delay or when suggested by dys-
disease management, including identifying potential or morphic features, family history, or comorbid medical
existing comorbidities (Schaefer and Mendelsohn 2008a). conditions (Johnson et al. 2007). However, in the second
On the other hand, genetic testing and counseling can be edition of Autism: Caring for Children with Autism
stressful (Muhle et al. 2004) interpretation of genetic Spectrum Disorders: A Resource Toolkit for Clinicians,
testing for a disorder like ASD with complex and heter- released in late 2012, the AAP recommends offering
ogeneous genetic mechanisms will be challenging, and genetic testing, including CMA and Fragile X testing to all
genetic testing results in ASD, even when they clearly patients with ASD (American Academy of Pediatrics
implicate a known genetic cause, at this point do not 2013). The AAP recommends genetic counseling for
inform intervention choices (Muhle et al. 2004; Schaefer families of all children with ASD to help parents under-
and Mendelsohn 2008b). Translation of genetic testing stand recurrence risk. When a specific genetic etiology is
results to an individual may also present unique chal- determined by genetic testing, the recurrence risk may be
lenges since risk is based on group averages, and impli- higher or lower than the risk in idiopathic ASD, and pre-
cations in specific areas, such as recurrence risk, are natal diagnosis may be possible (Johnson et al. 2007).
highly variable depending on genetic testing results. Recent empirical investigations of CMA testing in
Current clinical recommendations for genetic testing of individuals with ASD have focused on diagnostic yield: the
individuals with ASD are somewhat conflicting. Schaefer proportion of tested children who have significant findings
and Mendelsohn (2008b) suggest that genetic testing is an on CMA (Roesser 2011; McGrew et al. 2012). Heteroge-
essential component of appropriate management of the neity in array resolution and coverage affects the compa-
care of individuals with ASD. The American Academy of rability of results across different laboratories and no
Pediatrics (AAP) recommends inclusion of genetic testing uniform standards exist to establish the clinical importance
as part of medical evaluations of children diagnosed with of CNVs (Miller et al. 2010a). CMAs are rapidly evolving
ASD based on risk factors, such as co-occurring intel- and are improving the ability to interpret genetic testing
lectual disability, and other findings (Johnson et al. 2007). findings (Cooper et al. 2011; Kaminsky et al. 2011).
Specific tests, including cytogenetic analysis (karyotype), Emerging data suggest that some specific abnormal find-
chromosomal microarray (CMA), and Fragile X testing, ings may have implications for medical treatment (Saam
have been named as primary components of the genetic et al. 2008; Coulter et al. 2011) and that CMA testing may
testing battery for individuals with ASD in the recom- be cost effective (Regier et al. 2010). A recent study found
mendations from the AAP and other professional orga- that 35 % of all pathogenic CNVs identified in one large
nizations. In the most recent guidelines, including those laboratory identified conditions for which specific clinical
published by the American College of Medical Genetics actions are warranted (Ellison et al. 2012).
in 2010, CMA testing for copy number variants has The purpose of the present study was to examine the
replaced G-banded karyotype as a first-line test in the extent to which Medicaid-enrolled children diagnosed with
initial postnatal evaluation of individuals with ASD ASD receive genetic testing and genetic counseling

123
Hum Genet (2014) 133:111116 113

services relative to other children. Given that recent esti- Variables


mates suggest that approximately 45 % of children diag-
nosed with ASD are enrolled in Medicaid (Mandell et al. The outcome of interest was delivery of a genetic testing or
2010a) genetic testing and genetic counseling practices in genetic counseling service during the study year (either
this system have important policy and practice implica- 2001 or 2007). Genetic testing included 32 CPT and ICD-9
tions. We had two specific aims within this study. First, we codes. A full listing of these codes can be found at: http://
investigated genetic testing and counseling among children www.med.upenn.edu/cmhpsr/resources.html. Genetic coun-
with ASD prior to recommendations for genetic testing via seling consisted of the following CPT codes: 99211-5,
the use of CMA for children with ASD to determine the 96040 and 96150-5 for genetic counseling or a genetic
baseline for genetic testing and counseling practices before counselor. Initially four different outcome variables were
the field-shifting change of CMA. To inform current dis- considered: genetic testing only, genetic testing with
cussions regarding genetic testing and genetic counseling genetic counseling, genetic counseling only, and any
for children with ASD and their families and changes in genetic testing or genetic counseling. Because the genetic
both services over time, we compared children who testing only group was relatively small (n = 543 when
received genetic testing and genetic counseling in 2001 or 2001 and 2007 data were combined), genetic testing only
2007 (the most recent year for which Medicaid claims are and genetic testing with genetic counseling were combined
available for research purposes) with those who did not into genetic testing with or without genetic counseling.
receive either service. Second, we examined whether racial Although parents or guardians of children with ASD may
and ethnic disparities in delivery of services to children receive genetic counseling, only CPT codes associated with
with ASD observed in other areas (Mandell et al. 2002, the child with an ASD were included since billing con-
2009, 2010b) occurred in the delivery of genetic testing vention requires a focus on only the individuals who
and genetic counseling. Racial and ethnic disparities in receive genetic testing or about when genetic counseling
service delivery have been observed for many other ser- information is being communicated. Independent variables
vices (Mandell et al. 2002, 2009, 2010b; Mandell and were sex, race/ethnicity, comorbid intellectual disability
Novak 2005; Mandell et al. 2007, 2009). In addition, racial (ICD-9 codes 317.XX-319.XX), state of residence, and
and ethnic minorities are much less willing than Whites to year (2007 vs. 2001).
participate in biomedical and specifically genetic research
which may further exacerbate racial disparities (Hilton Analysis
et al. 2010). It is unclear if these disparities translate into
clinical genetic testing and counseling services but, if so, it The proportions of children with ASD receiving genetic
would further stress the need for targeted, concerted efforts testing with or without genetic counseling, genetic coun-
to engage traditionally underserved populations. seling only, any genetic testing or genetic counseling, or no
genetic testing or genetic counseling were estimated by
year. Separate unadjusted and adjusted (with all covariates)
Methods logistic regression models were used to estimate the effect
of each independent variable on the relative odds of each
Data source dependent variable compared to the reference group of no
genetic testing or counseling. State was entered into the
Child-level data from Medicaid eligibility and encounter adjusted analyses as a fixed effect.
files were extracted from the 2001 and 2007 Centers for
Medicare and Medicaid Services (CMS) Medicaid Analytic
Extract data files of all Medicaid claims from 49 states and Results
the District of Columbia. Maine was excluded because it
did not submit Medicaid claims to CMS in 2007. As shown in Table 1, most children with ASD received
genetic testing or genetic counseling in both 2001 (62.9 %)
Sample and 2007 (70.8 %). Genetic counseling without genetic
testing was much more commonly delivered to children
The study sample included all children who were 8 years with ASD than genetic testing. Adjusted odds ratio esti-
old or younger and had two outpatient or one inpatient mates suggest between 38 and 68 percent increases in the
Medicaid-reimbursed claim associated with an ASD diag- odds of all genetic testing and counseling outcomes over
nosis [International Classification of Diseases, Ninth this 6 year period. Effects were strongest for genetic testing
Revision (ICD-9) code 299.XX] in 2001 or 2007 with or without counseling than for counseling only. Girls
(n = 77,601). were more likely to receive genetic testing with or without

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114 Hum Genet (2014) 133:111116

Table 1 Number and percent of medicaid-enrolled children with increased markedly over time, even before the issuance of
ASD age B8 receiving genetic testing or counseling in 2001 and 2007 recommendation that CMA testing become standard prac-
(n = 77,601)
tice in the diagnostic workup for children with ASD. The
Testing (with Counseling Any testing increased use of genetic testing among children with ASD
or without only OR counseling who have a comorbid intellectual disability preliminarily
counseling)
suggests adherence to a common component of most
N % N % N % genetic testing and counseling guidelines.
2001 (n = 23,892) 1,239 5.2 13,781 57.7 15,020 62.9
Disparities were revealed, however, in the delivery of
genetic testing and genetic counseling across racial/ethnic
2007 (n = 53,709) 3,826 7.1 34,197 63.7 38,023 70.8
groups. Findings suggest unequal access to and/or delivery
of genetic testing and counseling for children with ASD of
genetic counseling, genetic counseling only or any genetic different races and ethnicities. Specifically, Hispanic chil-
testing or genetic counseling (Table 2), although only dren with ASD were more likely to receive genetic testing
adjusted odds ratio estimates for genetic counseling only and genetic counseling. Racial/ethnic disparities in the
and any genetic testing or counseling had 95 % confidence delivery of other healthcare services have been previously
intervals excluding a null effect. documented in children ASD (Mandell et al. 2009) as well
The odds that Latino children received genetic testing as in children with other disorders (Alegria et al. 2010;
with or without counseling were more than twice that of Aratani and Cooper 2012). These studies also suggest, as
White children. Latino children were also more likely to was observed here, that specifically African-American
receive genetic counseling only or any genetic testing or children are less likely to receive services than their non-
counseling than non-minority children. Odds ratio estimates minority counterparts. The drivers of these disparities are
for other race/ethnicity groups all included the null, but the multifactorial (Mandell et al. 2009). Previous research on
pattern in effect estimates suggested that African-American racial and ethnic differences in attitudes around genetic
children had lower odds of genetic testing or counseling testing has found that individuals from Latino and African-
while Asian children and children of other races/ethnicities American racial and ethnic groups express a preference for
were more likely to receive genetic testing or counseling than both prenatal and adult genetic testing (Singer et al. 2004)
non-minority children. Children with diagnosis codes for which may, in part, explain the increased rate of genetic
comorbid intellectual disability had higher odds of all testing and genetic counseling among Hispanic children
genetic testing and counseling outcomes, with the strongest with ASD. Genetic testing and counseling are services that
effect seen for testing, than children without those codes; can be sought or refused by caregivers of children with
however, confidence intervals all included the null. ASD and further research is needed to understand if or how
cultural or racial differences in the rate of acceptance of
Discussion these services occur or how they affect families with ASD.
Understanding the impact of genetic testing and genetic
Most children with ASD received genetic testing or counseling on families living with ASD is an important, but
counseling in 2001 and 2007, and the use of both services understudied area. The findings here, which indicate that

Table 2 Results of logistic regression predicting genetic testing and/or counseling among medicaid-enrolled children with ASD, age B8 in 2001
and 2007
Genetic testing with or without genetic Genetic counseling only Any genetic testing or genetic
counseling counseling
Unadjusted OR Adjusted OR Unadjusted OR Adjusted OR Unadjusted OR Adjusted OR
(95 % CI) (95 % CI) (95 % CI) (95 % CI) (95 % CI) (95 % CI)

Female (ref = male) 1.04 (0.951.15) 1.06 (0.971.16) 1.04 (0.991.09) 1.05 (1.001.10) 1.04 (0.991.09) 1.05 (1.001.10)
Ethnicity (ref = white)
Black 0.89 (0.551.43) 0.89 (0.561.42) 0.93 (0.621.38) 0.93 (0.631.38) 0.92 (0.621.38) 0.92 (0.621.38)
Asian 1.13 (0.731.75) 1.09 (0.691.71) 0.84 (0.571.24) 0.82 (0.551.22) 0.86 (0.581.28) 0.84 (0.561.26)
Latino 2.21 (1.313.74) 2.10 (1.253.52) 1.58 (1.012.47) 1.52 (0.972.39) 1.64 (1.042.57) 1.58 (1.002.48)
Other 1.16 (0.771.75) 1.16 (0.791.72) 1.20 (0.861.68) 1.21 (0.871.66) 1.19 (0.851.69) 1.20(0.871.67)
Comorbidities
Intellectual disability 1.19 (0.911.56) 1.25 (0.971.62) 0.99 (0.781.27) 1.02 (0.801.31) 1.01 (0.791.29) 1.04 (0.821.32)
2007 (ref = 2001) 1.75 (1.292.36) 1.68 (1.252.25) 1.40 (1.081.82) 1.38 (1.061.79) 1.43 (1.101.86) 1.40 (1.081.82)

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Hum Genet (2014) 133:111116 115

the use of these services was on the rise even prior to recent likely to develop or have ASD or other neurodevelop-
changes in recommendations around the use of genetic mental and psychiatric disorders (Miller 2010). A new
testing in ASD diagnosis and also document racial/ethnic wave of endeavors, including several large scale, federally
disparities in receipt of these services, underscores the need and privately funded projects and corresponding initiatives
to better understand how these commonly used services to develop and use new technology, efforts to correlate
affect clinical care for children with ASD and influence genetic information with detailed phenotypic information,
family reproductive decision-making. Some research has and the broad exploration of these issues across develop-
found that families want to know about the genetics of mental and neurological disorders, are expected to eluci-
ASD because they find it beneficial to understand the cause date the genetic contributions to ASD and other
of their childs ASD (Miller et al. 2010b). The goal of risk neurodevelopmental disorders. Similar work completed in
communication should be to inform families, which is an overlapping samples of individuals such as those with
important reminder of the mission for genetic testing and intellectual disability or schizophrenia may aid progress in
counseling services. Providing thorough and easy-to- identifying the genetic profile of ASD (Freitag et al. 2010).
understand information on recurrence risk to families Continued efforts to monitor developments in the genetics
affected by ASD, particularly diverse families, however, is of ASD and how they are communicated both to profes-
complicated by the lack of complete information on the sionals and to families, particularly those in underserved
genetic causes of ASD (Edwards and Elwyn 2001). Its and underrepresented communities, is crucial to working
also unclear how genetic counseling is currently presented toward optimizing family and clinician engagement in the
to families with a child or children with ASD and the extent identification and care of individuals with ASD. Specific
to which these practices might vary. efforts to address racial and ethnic disparities especially if
While this study is the first to report on the frequency they persist over time are warranted. Along these lines,
of genetic testing and counseling in ASD using a larger researchers should continue to investigate and support the
claims database, there were limitations to this approach. impact of genetic testing and counseling on clinicians and
First, our sample was comprised only of publicly insured families.
children. A significant portion of children with ASD have
Medicaid coverage with or without private insurance
coverage (Semansky et al. 2011), but children with ASD References
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