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Autism spectrum disorders: clinical and research


frontiers
E B Caronna, J M Milunsky and H Tager-Flusberg

Arch. Dis. Child. 2008;93;518-523; originally published online 27 Feb 2008;


doi:10.1136/adc.2006.115337

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Review

Autism spectrum disorders: clinical and research


frontiers
E B Caronna,1 J M Milunsky,2 H Tager-Flusberg3
1
Department of Pediatrics, ABSTRACT applications. This review highlights some recent
Division of Developmental and Autism spectrum disorders (ASD) are common neurode- advances in autism research that are likely to
Behavioral Pediatrics, Boston
velopmental disorders that occur along a broad continuum influence clinical care, including diagnosis, evalua-
University School of Medicine,
Boston Medical Center, Boston, of severity with impairments in social interactions, tion and treatment in the future.
MA, USA; 2 Departments of communication and behaviour. This review highlights
Pediatrics & Genetics and recent advances in autism research that shed light on the
Genomics, Center for Human CLINICAL CHARACTERISTICS
causes of the disorder and that have implications for
Genetics, Boston University All individuals affected by ASD share a common
School of Medicine, Boston, clinical practice. It focuses on (1) the rising prevalence of
triad of impairment in social interactions, impaired
MA, USA; 3 Department of ASD with attention given to recent epidemiological
Anatomy and Neurobiology &
and atypical verbal and non-verbal communica-
studies, (2) important genetic discoveries that may affect
Pediatrics, Boston University tion, and repetitive and usual behaviour or play.7 8
clinical evaluation of children with ASD, (3) active areas of
School of Medicine, Boston, Symptoms range from severe and unmistakable to
MA, USA research in cognitive neuroscience that seek to explain subtle signs of social-communicative dysfunction.
the underlying mechanisms of a complex disorder and (4) Significant impairments in the social aspects of
Correspondence to: important studies on clinical populations with implications communication and social reciprocity distinguish
Dr Elizabeth B Caronna, Division for screening and early identification of infants and
of Developmental and Behavioral ASD from other developmental disorders. Autism
Pediatrics, Boston Medical toddlers with ASD. in its most severe form was first described by Leo
Center, 88 East Newton St,
Vose Hall 4, Boston, MA 02118,
Kanner in 1943. His patients displayed severe
USA; Elizabeth.Caronna@bmc. language impairment, social isolation, insistence
Over the last decade, interest in autism spectrum
org on sameness, and motor stereotypies.9 Hans
disorders (ASD) has exploded in both research and
Asperger described what is now his eponymous
Accepted 12 February 2008 public spheres. Prominent parent-led advocacy disorder in 1944, but his publication was not
Published Online First groups have successfully influenced public aware- translated and disseminated in the English lan-
27 February 2008 ness of and interest in autism while advancing guage literature until the early 1990s.10 Asperger’s
public and private funding in autism research. patients resembled Kanner’s, although they had
What was once thought of as a rare, severe disorder stronger cognitive and language abilities. DSM-IV
caused by psychodynamic interactions is now TR uses the umbrella term of pervasive develop-
recognised to be a common neurodevelopmental mental disorders (PDDs), encompassing five dis-
disorder which occurs along a broad continuum of orders: autistic disorder, Asperger’s disorder,
severity. Neuropathological abnormalities have pervasive developmental disorder-not otherwise
been identified that can be traced back to events specified (PDD-NOS), Rett’s disorder and child-
during fetal development,1 and atypical behaviour hood disintegrative disorder. The term autism
and development are evident well before diagnosis spectrum disorders does not appear in DSM or
during the toddler or early childhood years.2 ICD but is now widely accepted in both research
Autism is not thought to be a single disorder but and lay literature. Usually the term refers to the
rather many different disorders described by a DSM diagnoses of autistic disorder, Asperger’s
broad behavioural phenotype that has a final disorder and PDD-NOS. In clinical practice, how-
common pathway of atypical neurodevelopment.3 ever, the labels of ASD, autism and PDD are often
Despite the intense research focus on ASD in used interchangeably. In this review we will follow
recent years, the underlying aetiologies remain the same convention.
obscure in most cases. The increasing prevalence of The concept of the autism spectrum is useful
the disorders, in addition to the belief that early clinically because of the dramatic variation in
identification and treatment can improve out- symptomology both within and between each
comes for many affected children, imparts a sense diagnostic category, ranging from relatively mild
of urgency to the field, making it a fertile ground to very severe symptoms in each of the three areas
for research across many disciplines. This urgency of impairment. Autistic disorder is the most severe
also affects clinicians, who are asked to recognise form of the disorder; many affected individuals are
the earliest signs of autism and to follow increasing non-verbal or have significant cognitive impair-
numbers of children with ASD in their practices.4–6 ment, and many have severe motor stereotypies
With a rich and growing body of research in ASD, and disruptive behaviours. Studies have shown
many of the basic science discoveries have shed wide variation in rates of mental retardation, with
light on the underlying neurobehavioral mechan- older studies, using earlier diagnostic criteria,
isms (including neural circuitry and neurotrans- showing most individuals with ASD as having
mitters that differ in individuals with ASD), IQs of less than 70. Broader variation has been
linking them to genetic aetiologies and clinical shown in more recent studies. Several have
presentation. Most research findings, however, are demonstrated that fewer than half of affected
currently years away from having direct clinical individuals had significant cognitive impairment

518 Arch Dis Child 2008;93:518–523. doi:10.1136/adc.2006.115337


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Review

when cases of PDD-NOS and Asperger’s disorder were date, large epidemiological studies have not supported a causal
included.11–13 With the broadening of the concept of the autism link between autism and some of the most well publicised
spectrum and the increasing prevalence of ASD, more indivi- controversies about the aetiologies of ASD, such as the MMR
duals with milder symptoms of autism and less cognitive vaccine or thimerosal.22–24 Debates in this area of study continue
impairment have been identified. ‘‘High functioning’’ indivi- to rage and are a source of much distrust between the lay and
duals meet DSM criteria for autistic disorder; however, they do research communities. Recent studies focusing on different
not have significant cognitive impairment, at least when types of environmental factors (for example, paternal age)
assessed on measures that do not have significant language expand our conception beyond traditional toxins to broader
demands, and they may function with minimal supports or elements of the prenatal environment that may influence the
show giftedness in one or more areas.14 Asperger’s disorder is expression of susceptibility genes.25 The technical challenges of
often referred to as ‘‘a mild form of autism’’, which under- performing epidemiological studies on environmental influences
estimates the negative impact of the disorder on many affected of neurodevelopment are legion, but large scale studies
individuals. Those with Asperger’s disorder have, by definition, investigating the role of the environment in the aetiology of
average or above average cognitive abilities and acquire language ASD are in development in the USA, through the Centers for
by the preschool years; they may have advanced language and Disease Control and Prevention (CDC) and the National
interests that are atypical in subject and/or intensity of focus. Institutes of Health, and in Denmark through a collaborative
PDD-NOS is a diagnosis of exclusion, referring to a significant program with the CDC. Because of the tremendous hetero-
level of impairment on functioning with subthreshold sympto- geneity of the disorders included in the autism spectrum, it is
mology or atypical presentation. likely that research will ultimately uncover a variety of
environmental factors interacting with a number of genes in
EPIDEMIOLOGY different ways that contribute in part to the increase in
Recent epidemiological studies from the United States and prevalence rather than a single environmental culprit.
Great Britain point to dramatically increased rates of ASD. In While epidemiological studies contend with a vast number of
the 1970s and 1980s, reported prevalence was around 5/ potential environmental influences that may be causal in ASD,
10 000.15 16 Since the mid-1990s, rates of ASD have risen laboratory researchers attempt to identify the basis of ASD in
steadily. Large epidemiological studies in 2003 demonstrated a controlled settings. In recent years there has been a surge in
prevalence of 1/166–1/250 in a large US metropolitan area.17 A research in the areas of genetics and cognitive neuroscience.
more recent study from 14 different US states showed Investigators search for causal links between genes, their
variability based on geography, race and source of diagnostic molecular functions and the neural pathways that appear to
information, with an overall prevalence of 1/152.11 Another be disrupted in ASD, manifesting as its distinctive behavioural
recent study from the UK, which included direct assessment of phenotype.
many of the individuals in the sample, reported a higher rate of
about 1 in 100.18 In these studies, the more extensive the clinical
information available (for example, direct assessment of GENETICS
subjects as opposed to educational and/or medical record Despite uncertainty regarding specific aetiology in most affected
abstraction), the higher the prevalence of autism identified. individuals, the genetic underpinnings of autism are indispu-
Thus, even these high rates may be underestimates of the true table. Studies of monozygotic and dizygotic twins show that
prevalence of ASD in the 21st century. It is clear that much of autism is highly heritable.26 Family studies demonstrate that
the dramatic increase in prevalence is due to broadening of elements of a broader autism phenotype are common, so that
diagnostic criteria over time with the adoption of the concept of first and second degree relatives of affected individuals may
the autism ‘‘spectrum’’ and the new category of Asperger’s display elements of the required triad of symptoms (such as
disorder in the early 1990s, which includes individuals with language delay or social phobia) without meeting full criteria for
relatively subtle symptoms who would have been given one of the ASD.27–29 Conversely, a lot of cases are sporadic. There
different developmental or psychiatric diagnoses in the past.19 are thought to be many genes associated with autism, and it is
In addition, some studies suggest that diagnostic substitution likely that most affected individuals carry several genes that
from mental retardation or learning disabilities to autism in predispose them to the disorder. What gene–gene, gene–
educational administrative datasets contributes to the environment or epigenetic interactions cause one child to
increase.20 It is possible that increasing prevalence reflects, in develop the disorder and another to be spared is not fully
part, a true increase in the incidence of autism. Such an increase understood. Published studies regarding routine clinical genetic
could not be easily explained by genetic causes alone, which testing recommended for individuals with ASD that reflect
should not change over such a short timeframe. To explain this recent advances in the field are now emerging in the United
rapid increase, Baron-Cohen has theorised that individuals with States,30 31 although consensus guidelines in the USA and the
high functioning autism and Asperger’s disorder may demon- UK have been limited to endorsements of high resolution
strate the characteristics of an ‘‘extreme male brain’’, with an chromosome analysis and Fragile X testing.32–34 Currently, the
over-developed systemising approach to the world. According to clinical practice of genetic testing for ASD beyond karyotype
Baron-Cohen, these individuals (like many typical men) tend to and Fragile X in both the USA and the UK is not consistent and
gravitate towards rules-based vocations and avocations. He is influenced by available resources and cost. Some authors have
proposes that this leads to assortative mating of similarly advocated a tiered approach to genetics evaluation for idiopathic
inclined systemisers, which could explain high rates of autistic ASD, with high resolution chromosome analysis and Fragile X
traits and ASD among individuals in highly technical and testing in all cases; if results are unrevealing, further evaluation
systemised fields, such as computers or engineering, and their is recommended.35 It is important for physicians who request
children.21 genetic testing to be familiar with the interpretation of results
Many hypotheses of environmental aetiologies of autism are or to have access to clinical geneticists who can help
fuelled by the increasing prevalence and awareness of ASD. To interpretation.

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The diagnosis of ASD is an increasingly common indication at the level of a single nucleotide). Increased sensitivity in
for clinical genetic evaluation, depending on clinical setting and detection of these copy number changes is demonstrated using
resources. Genetic evaluations can be especially useful in cases these techniques in comparison to the earlier targeted arrays.
of ‘‘syndromic’’ ASD, that is, cases in which there are Whole genome microarray analysis not only identifies micro-
dysmorphisms, neurocutaneous findings, significant cognitive deletions/microduplications and subtelomeric deletions/dupli-
impairment, abnormal neurological examination or seizures. In cations known to be associated with ASD, but also identifies
clinical practice, many individuals with ‘‘idiopathic’’ autism, such alterations in genomic areas containing genes not
who lack the comorbidities listed above, are less likely to be previously implicated in the aetiology of ASD. This new,
referred for more complete genetic evaluation. Newer, long- powerful approach can be clinically useful for genetic counsel-
itudinal studies of infant siblings of children with ASD indicate ling, especially in evaluation of ‘‘syndromic’’ autism, and it may
that recurrence risks in families (at least in this specific uncover additional genes responsible for the ASD phenotype.
subpopulation) may be even higher than reported in older twin Specific focus on the chromosome 15q11–q13 region is
studies, with up to 20% of baby siblings meeting the criteria for warranted as the maternally inherited duplication has been
ASD at age 2 or 3 in one published study.36 If these higher rates described in approximately 1% of individuals with ASD.44
are replicated, having more than one affected family member, Individuals with this duplication have the behavioural pheno-
even in ‘‘idiopathic’’ autism, may also be a strong indication for type of ASD in addition to an increased incidence of seizure
clinical genetic evaluation. disorder, hypotonia, and moderate to severe mental retardation
Although currently ASD is diagnosed on the basis of with associated absent or delayed speech. The MECP2 gene,
behavioural phenotype, the importance of genetic evaluation which causes most cases of Rett syndrome, is likely the
may be realised with the diagnosis of a specific chromosomal aetiological factor in a small number of cases of ASD.
disorder, single gene disorder or genetic syndrome associated Sequencing and deletion/duplication analysis of the MECP2
with ASD. A genetic diagnosis may result in better anticipatory gene is often requested in those females with atypical Rett
guidance, more precise genetic counselling with more accurate phenotype. Several additional X-linked genes (ie, ARX, STK9,
evaluation of recurrence risks, and the possibility of future Neuroligin-3 and 4) as well as autosomal genes (for example,
prenatal diagnosis, if desired. A recent study in a knockout PTEN for those with pronounced macrocephaly) are also
mouse model of Fragile X showing an improvement in clinical clinically available and may be indicated in those ASD patients
symptoms with reduction in the expression of a glutamate with a previous unrevealing evaluation.
receptor (mGluR5) points to a future in which pharmacological In addition to the specific genes noted above, genome-wide
treatment may target the products of gene expression in linkage and association studies have implicated multiple loci
neurodevelopmental disorders, including ASD.37 As more associated with an ASD phenotype.45 Whole genome micro-
informative genetic testing becomes widely available, more arrays and candidate gene testing will likely identify a host of
extensive testing will likely become the standard of care at the new genes associated with the ASD phenotype. Clinical testing
time of an ASD diagnosis and will take on a larger role in for these genes is anticipated in the future, adding to the ever-
evaluation. Indeed, failure to diagnosis Fragile X in a timely expanding list of specific genetic testing for ASD. It is hoped
manner, for example before the birth of a second affected child, that as genetic understanding of ASD continues to advance, the
may be considered negligence (‘‘loss of chance doctrine’’) with underlying mechanisms of the disorder will be uncovered,
associated liability. leading to earlier diagnosis and more effective treatments.
Clinical genetic evaluation attempts to identify a known
disorder by a complete dysmorphology assessment and Wood’s COGNITIVE NEUROSCIENCE
lamp exam. Metabolic testing may be appropriate if symptoms In the same way that numerous genes and areas of the genome
associated with an inborn error of metabolism are present (for have been implicated in autism, differences in diverse areas of
example, clinical decompensation with illness or regression of the brain have been found to be associated with autism.
motor or cognitive skills), but such testing is not routinely Neuroanatomical studies have demonstrated differences in the
recommended. Neuroimaging may also be helpful when there volumes of different regions, including the cortical lobes,46 47
are abnormal findings on neurological exam or a history white matter,48 49 corpus callosum50 and amygdala,51 and
suspicious for seizures. Targeted genetic testing may be variations in neurotransmitters, including serotonin52 and
available if a specific diagnosis is suspected because of physical GABA.53 Recent studies suggest that these neurobiological
or behavioural characteristics (for example, Angelman syn- differences need to be considered within a developmental
drome, neurofibromatosis type 1, Smith-Lemli-Opitz syndrome, perspective.54–56 Research using functional brain imaging meth-
Smith-Magenis syndrome, Sotos syndrome, tuberous sclerosis). ods is currently of particular interest because of its ability to
Even in children without obvious dysmorphisms, visible elucidate underlying mechanisms of impairments in social
cytogenetic abnormalities may be present in up to 5% of communication and cognition that are characteristic of ASD.
individuals with ASD, so high resolution chromosome analysis Despite the wide variation in ASD phenotypes, specific brain
is now a standard recommendation.38 Fragile X DNA analysis regions and neural circuits have been repeatedly implicated in
should be part of the evaluation of all individuals with ASD, functional imaging studies.
whether or not they have cognitive impairment and/or the Atypical eye gaze has long been recognised as a clinical
physical stigmata of Fragile X, as reported rates approximate hallmark of ASD. It is unclear, however, whether it is a primary
3%.39 cause or a result of the social impairments or anxiety in
Recent publications have established the utility of identifying autism.57 58 Sophisticated eye tracking technology has been
cryptic chromosomal deletions/duplications by whole genome utilised alone and in conjunction with functional imaging
microarray analysis in both clinical and research ASD popula- techniques to investigate what brain areas are activated in
tions.40–43 Single nucleotide polymorphism (SNP) microarray individuals with autism, their siblings and other unaffected
analysis is a whole genome approach to identifying cryptic individuals when different social stimuli are presented.59 60 Most
chromosomal copy number changes (deletions or duplications subjects in these studies are high functioning because of the

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need for subjects to cooperate by lying still in an enclosed MRI prospective study of affected children very early in development
machine. The generalisability of the results of the studies to that is not feasible in studies of the general population. Most of
more cognitively impaired individuals is not clear. Different these studies compare groups of siblings of children with autism
investigators have used a variety of paradigms involving the to groups of siblings of typically developing children.
presentation of photos of faces with different emotions and Assessments focus on development and behavioural markers
with a variety of physical distortions. Several investigators have from the age of 6 months to at least 36 months, when the
shown that individuals with autism spend less time looking at diagnosis of an ASD is stable. This research promises to uncover
eyes and more time looking at mouths or other objects that are the earliest signs and symptoms of autism, with important
presented.61 62 Other studies have demonstrated hypoactivation implications for the development of screening tools, diagnosis
of the fusiform gyrus and superior temporal sulcus, brain and treatment.
regions implicated in face and gaze processing in unaffected In these studies, a number of developmental and behavioural
individuals; however, the degree of activation is directly related markers have been found to be associated with later diagnosis of
to the time spent looking at the eyes.59 Interestingly, unaffected autism. These findings expand upon those of earlier retro-
siblings of individuals with ASD may show an intermediate spective studies. In general, most infant sibling studies find few
level of activation of these circuits, between that of those with significant differences before the age of 12 months in language
autism and that of unaffected individuals.60 This may have or cognition, although several identify subtle differences in
implications for the clinical evaluation of unaffected siblings, social engagement.71 72 Consistent findings in a variety of studies
who can show subtle atypical behaviours without achieving the include the core deficits of ASD, with some intriguing
threshold for a diagnosis of ASD. Differences in emotional behavioural differences between siblings later diagnosed with
processing have also been suggested, with variation in size and autism and those who do not meet the criteria for diagnosis. In
activation of the amygdala when affected individuals are general, siblings at 12 months who are later diagnosed with
presented with pictures of faces demonstrating different types ASD show delays in receptive and expressive language (includ-
and degrees of emotion.59 60 63 ing babbling), gestures, initiation of and response to joint
A characteristic of the social cognition of people with autism attention, pointing, showing, imitation, response to name,
is impairment in theory of mind (ToM) or the ability to visual attention to objects, social responsiveness and tempera-
understand others’ intentions or mental states.64 Differences in mental characteristics.2
the processing of faces or eye gaze are likely associated with Results from these studies push the lower age limits of
difficulties in social perception or the ability to ‘‘read’’ others’ diagnosis, presenting new challenges for clinical diagnosis in
emotions by looking at their faces. Recent study in the neural very young children for whom the nature of appropriate and
circuitry of what is called the mirror neuron system (MNS) has effective treatment is not clear. Once thought to be difficult to
implications for the development of ToM in autism, and diagnose before the age of 4 or 5 years, the diagnosis of autism
presents an intriguing hypothesis for a neuronal basis of the core at age 2 has been shown to be stable over time and is a goal for
deficits of ASD.65 66 Mirror neurons were first described in 199667 age of diagnosis in order to maximise the potential for early
when primate researchers noted that the same motor neurons treatment. Unfortunately, there continues to be a significant lag
fired in macaque monkeys whether they carried out a specific between the time that parents report concern about their child’s
action or observed another monkey or human do the same development and when the child is actually diagnosed with an
action. During imitative learning, the same neurons were ASD. A recent epidemiological report from the United States
activated. Even more remarkably, the same neurons activated showed the mean age of diagnosis to be between the age of 4
when the monkey saw another start to do the action, although and 5 years.11 This may be due, in part, to inclusion of children
the action itself was shielded. This implies that the neurons with milder symptoms of ASD and Asperger’s disorder who are
fired based on the monkey’s understanding of the goal of an more difficult to diagnose before school age because of relatively
action or of the intention to do an action. This has been subtle symptoms. Because of the efficacy of early intensive
hypothesised to be the neural basis for understanding more treatment for many children and continued late identification
complex intentions, or the mental states, of others.68 Functional of ASD overall, the development of sensitive and specific
imaging studies have shown analogous results in humans,69 and screening tools in the first years of life is critical. Tools under
differences have been shown in activation of the human MNS development target children as young as 12 months.73 Results
in autistic and unaffected individuals.65 Whether differences in from studies of infant siblings should shape the development of
facial and gaze processing, in conjunction with differences in screening instruments and inform the diagnosis of autism in the
mirror neurons, can explain core deficits in social mirroring, youngest children. For example, in one recent study, three-
social learning and difficulties in understanding others’ mental quarters of 12-month-old children who failed to respond to their
states or intentions has not yet been clearly demonstrated; names had developmental delays at 24 months, many of whom
however, this is an area of active study. met criteria for ASD.74 In the absence of genetic or other
biomarkers of autism, diagnosis will continue to rely on
CLINICAL STUDIES: INFANT SIBLINGS AND HEAD behavioural observations and clinical judgment including
CIRCUMFERENCE research findings such as this which can be easily translated
A new and exciting area of study in recent years involves to the clinical setting to inform clinical assessment.
prospective, longitudinal studies of infant siblings of children One potential low-tech and accessible biological marker for
with ASD, which are currently in process in several centres autism is head circumference or trajectories in head growth
around the world.2 Other studies investigating early indicators during the first 2 years of life. Numerous studies have shown
of ASD have relied on retrospective parental report or home differences in head circumference in children with ASD
videotapes in the first year of life, presenting methodological compared to unaffected individuals.75 Initial studies focused on
limitations.70 Because of the increased risk of having another macrocephaly in a subset of young children with ASD between
child diagnosed with autism in families with one affected child, the ages of 2 and 5 years, followed by return to average head
cohorts of infant siblings offer the potential for in-depth, circumference by adolescence or adulthood.76 These children had

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