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12 The APA Publishing Textbook of Mood Disorders, Second Edition
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Conclusion: Past and Future
We have traced the evolution of diagnostic concepts for a set of medical disorders characterized by anguished mood and several other pervasive symptoms, starting from ancient medical descriptions of melancholia and mania and philosophical mod els of temperament, the medieval “vice” of spiritual exhaustion, and the psychoso­matic notion of a hypochondriacal melancholia and “nervous disorders” presenting in ways that resemble modern depression. We have also observed that developments in the theory of mind, disease, and bodily function have contributed very little to our understanding of these disorders—indeed when explaining them to patients, we still tend to fall back on the vaguely humoral rubric of “chemical imbalance.” Through serendipity—and a pharmaceutical industry poised to capitalize on serendipitous findings—we have some empirical validation of the (imperfect and imprecise) diag nostic schema that emerged; however, we still do not have a good working theory of the nature of mood disorders. As Lewis (1938) noted, “No doubt increasing knowl edge will bring an improved, eventually even a stable classification based on aetiol­ogy, and pointing, it may be hoped, to treatment: Whether it comes by way of genetics, psychology, or somatic pathology, it will be welcome so long as it is useful and valid” (p. 878). The ultimate goal of efforts to identify causes of mood disorders would there­fore be to no longer classify mania and depression as mood disorders, but rather as specific deficits in mental functioning that affect individual patients in more complex ways than can be encapsulated by a simple diagnostic label.
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Transcultural Psychiatric Research Review 31(2):101–124, 1994
CHAPTER 2
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Classifications
of Mood Disorders
Darrel A. Regier, M.D., M.P.H.
Developmental History of Mood Disorder Classification
The focus in this chapter is on classifications of mood disorders by the World Health Organization (WHO) and the American Psychiatric Association (APA). The discus sion will cover a period of approximately 70 years, from 1948 to 2020. During this time period, there was a gradual evolution of etiological concepts about mental dis orders that affected the organizational structure of mood disorders within the overall classification of mental disorders.
In the sixth edition of the International Classification of Diseases (ICD-6) (World Health Organization 1948) and in DSM-I (American Psychiatric Association 1952), both published in the post–World War II era, mental disorders were most promi­nently considered to be “reactions” either to internal psychodynamic conflicts or to external exposures to environmental stresses, such as combat, interpersonal conflict,
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Disclaimers:
The opinions and assertions expressed herein are those of the author and do not reflect the official policy or position of the Uniformed Services University of the Health Sciences or the Department of Defense.
The contents of this publication are the sole responsibility of the author and do not necessarily reflect the views, opinions, or policies of The Henry M. Jackson Foundation for the Advance­ment of Military Medicine, Inc. Mention of trade names, commercial products, or organizations does not imply endorsement by the U.S. Government.
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or the breakdown of social supports. The mood disorder diagnoses in DSM-I in­cluded manic-depressive reactions, cyclothymic personality (in the personality disor­der section), involutional psychotic reaction, psychotic depressive reaction, and depressive reaction.
As more biologically focused psychopharmacological treatments emerged in the late 1950s and early 1960s, a shift to a more biopsychosocial understanding of mental disorder etiology began (Engel 1980). By the time of DSM-II in 1968, the term reaction was dropped from almost all of these disorders and more elaborative descriptions were added, including manic-depressive illness, circular type; manic-depressive ill­ness, depressed type; other major affective illness; involutional melancholia; psycho­sis with childbirth; psychotic depressive reaction; and depressive neurosis (American Psychiatric Association 1968). In this DSM edition, however, the conceptual approach to psychoses and neuroses remained essentially the same. Also in DSM-II, cyclothymic personality remained in the personality disorder section with an added parenthetical descriptor (affective personality). The psychoses were split between organic brain syn­dromes and “functional psychoses.” The former included disorders in which clear eti­ological factors, such as Alzheimer’s disease, strokes, infections, nutritional deficien­cies, or substance exposure, were involved. The functional psychoses—those not at­tributed to physical conditions—included manic-depressive illness (manic, depressed, and circular types) and involutional melancholia (affective psychosis). Anxiety was considered to be the chief characteristic of all of the neuroses that could be expressed directly, or controlled unconsciously and automatically (by psychological defense mechanisms). In the case of depressive neurosis, there was no gross distortion or fal sification of external reality (e.g., delusions or hallucinations); this diagnosis was con­sidered to be “an excessive reaction of depression due to an internal conflict or to an identifiable event such as the loss of a love object or cherished possession” (American Psychiatric Association 1968, p. 40).
Although DSM-I and DSM-II were developed jointly by APA and WHO’s Division of Mental Health, there was a clear break in that collaboration with DSM-III (Ameri can Psychiatric Association 1980). The psychoanalytic (psychodynamic) and the so­cial psychiatry (stress exposure) mental disorder etiological theories had lost some of their valence in both U.S. and European psychiatry. WHO had commissioned an in ternational review of the “Classification of Mental Disorders” by Erwin Stengel. This included a review of the existing ICD and the American DSM, as well as Canadian, French, German, Dutch, Danish, Soviet, Japanese, Spanish, and Norwegian classifica tions. In addition, there were classifications named after the U.S. War Department and leading psychiatrists, including Klaus Conrad, Erik Essen-Möller, Carl Gustav Jung, Juan José López Ibor, Gabriel Langfeldt, Henrik Sjögren, Henricus Cornelius Rümke, Adolf Meyer, and Kurt Schneider. In fact, it appeared that every major de­partment or “school” of psychiatry needed to have its own classification and follow­ers. To bypass theoretical debates about the variations in mental disorder etiological concepts represented in these various classification schemes, Stengel (1959) recom­mended that “many of the difficulties created by lack of knowledge regarding pathol­ogy and etiology may be overcome by the use of ‘operational definitions’” (p. 601), and then outlined the basic principles on which a generally acceptable international classification might be constructed. He noted that “this approach should lead to a greater measure of agreement regarding the value of specific treatments for mental
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disorders and greatly facilitate a broad epidemiological approach to psychiatric re­search” (Stengel 1959, p. 601).
As a result of the international collaboration of the U.S. National Institute of Men­tal Health (NIMH), APA, and WHO on DSM and ICD revisions from 1948 to 1968, there was also a focus on the statistical application of classifications to mental hospital admission diagnostic prevalence rates. Two U.S. mental health statisticians, Morton Kramer at NIMH and Joseph Zubin at Columbia University in New York, noted that there were marked differences in the reported admission rates of individuals with schizophrenia versus manic-depressive illness in London and New York City, with higher rates of schizophrenia diagnoses in New York and higher rates of manic­depressive disorder in London. To test whether there were true differences in risk fac­tors for these disorders or simply differences in diagnostic criteria, the U.S./U.K. study of mental disorders was initiated with NIMH support (Cooper et al. 1972). By using a common glossary of diagnostic criteria incorporated into a structured diag nostic interview, the researchers demonstrated that the true prevalence rates were almost identical. Their findings led to adoption of a glossary of diagnostic terms that was added to DSM-II, ICD-8, and ICD-9 (American Psychiatric Association 1968; World Health Organization 1968, 1977).
In the United States, a more fundamental change was taking place in the late 1960s and early 1970s at Washington University in St. Louis, Missouri, where Eli Robins and Samuel Guze were leading a more biologically focused department of psychiatry that did not agree with either the psychodynamic or the social psychiatry theories about the etiology of mental disorders. With the assistance of one of their chief residents, John Feighner, they systematically studied the symptom profiles of patients admitted to their inpatient units and established diagnostic criteria for 16 different disorders (Feighner et al. 1972). Because this descriptive approach and underlying theory of a biological etiology was similar to that of Emil Kraepelin’s classification approach in the late nineteenth and early twentieth centuries, it was referred to as a neo-Kraepelin­ian classification. Robins and Guze also recommended a series of criteria-validating steps, which included the development of laboratory studies to follow the natural clin ical course of the illness, examine family genetic aggregation and risks, and assess whether there would be strict boundaries that would separate these disorders (Robins and Guze 1970). In contrast, the predominant psychodynamic formulation was that all “functional disorders” were on a continuum, and all were caused by different levels of psychodynamic conflicts (Menninger et al. 1963).
At NIMH in the early 1970s, there was also a growing emphasis on psychophar­macology. NIMH staff had to deal with conflicts between the psychoanalysts, who thought that these medications were interfering with their treatments, and the more biologically oriented psychiatrists, who viewed medications—such as the neuroleptic thorazine, mood stabilizer lithium, antidepressant imipramine, and anxiolytic benzo­diazepine—as treating different specific illnesses. NIMH decided to conduct a collab­orative depression study to test the “validity” of specific mood disorders that would include a biological laboratory study component and a longitudinal clinical course component, as recommended by Robins and Guze (1970). To devise a common diag­nostic approach for the multiple sites used in this collaborative study, NIMH asked Robert Spitzer, who had trained under Joseph Zubin at Columbia University and then developed his own structured psychiatric interview (Spitzer et al. 1970), to work
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with Robins to incorporate the Feighner criteria into his interview for the NIMH study. The resultant Research Diagnostic Criteria (RDC) (Spitzer et al. 1978) and the Schedule for Affective Disorders and Schizophrenia (SADS) (Endicott and Spitzer
1987) were developed and used for this study, which was conceptualized as the lon­gitudinal “Framingham Study” of these mental disorders. To separate the mood dis­orders from all other mental disorders, the SADS interview covered the full range of mental disorders, and also included a lifetime version (SADS-L) that was used in a Yale epidemiological study (Weissman and Myers 1978) and an early primary mental health care study of the NIMH primary care research program (Regier et al. 1985).
When WHO was ready to develop ICD-9, with a publication date of 1977, the APA
also planned to issue the third edition of DSM (American Psychiatric Association
1980). Robert Spitzer applied to be the chair of the APA task force that would develop DSM-III, with the clear intent of using his experience with the RDC as a prototype for the entire mental disorder classification (Decker 2013). The intent was to use explicit descriptive diagnostic criteria for all disorders, with an announcement that the classi fication would be agnostic about any psychodynamic, social psychiatry, or biological etiology. By closely following the guidance that had been given to WHO by Stengel in 1960, Spitzer did indeed make the diagnostic criteria amenable to a new generation of epidemiological studies initiated by the NIMH Epidemiologic Catchment Area (ECA) project—using the Diagnostic Interview Schedule (DIS) that incorporated the DSM-III criteria (Regier et al. 1993; Robins and Regier 1991; Robins et al. 1981). This approach also made it possible to describe diagnostic groups for clinical treatment studies, in cluding psychopharmacological and psychotherapy clinical trials. In the United States, clinical trials started to be conducted using the RDC-based SADS interview, which was then modified after publication of DSM-III by Robert Spitzer to become the Structured Clinical Interview for DSM (SCID) (Kay et al. 1991).
The DSM-III classification introduced bipolar disorder as a replacement term for manic-depressive illness and included circular, manic, mixed, and depressed sub types. Of particular importance was the introduction of explicit criteria (A–E), with a required duration of at least 1 week (or hospitalization) during which at least three of seven symptomatic B criteria needed to be present, or four of seven if the mood was only irritable. DSM-III also introduced the concept of a hypomanic episode that was similar to but not as severe as a full manic episode. In addition to providing explicit criteria for a manic episode, similar A–E criteria were specified for a major depressive episode. The B criteria included a duration of at least 2 weeks and at least four of eight symptomatic criteria. There was also a specifier “with melancholia” that required at least three of six symptoms relating to diurnal sleep and depressed mood cycles, as well as significant anorexia, excessive guilt, and a qualitatively different type of de­pressed mood that is distinct from a grief reaction. As a precursor of a bipolar II diag­nosis, there was an “atypical bipolar disorder” residual category that included features of a past major depressive episode with a current hypomanic episode that did not reach manic episode criteria.
Very significantly, cyclothymic disorder, requiring at least a 2-year duration of nu­merous periods of depression and hypomania, was moved from personality disor­ders into mood disorders; the hypomanic and depressive periods could not be of sufficient severity and duration to meet the criteria for a manic episode or a major de­pressive episode. The hypomanic periods needed to include at least 3 of 12 symp-
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toms, and the depressive periods also required 3 of 12 different symptoms, with an absence of psychotic features of delusions, hallucinations, incoherence, or loosening of associations. Also with a 2-year duration criterion, dysthymic disorder (replacing depressive neurosis) was introduced, requiring at least 3 of 13 symptoms and an ab­sence of psychotic features. With regard to the relationship of these disorders to the 1977 ICD-9 statistical coding conventions, both bipolar disorder and major depressive disorder were classified in the ICD-9 psychotic disorders section (296 [affective psy choses]), whereas dysthymic disorder (300.4 [neurotic depression]) and cyclothymic disorder (301.13 [affective personality disorder]) were classified in the neurotic disor ders section of ICD-9.
The APA was encouraged to evaluate and update DSM-III just a few years after the 1980 publication, and changes to the mood disorders classification appeared in DSM III-R (American Psychiatric Association 1987; Tischler 1987). The major depressive episode was modified to require five of nine symptoms, the melancholic subtype re quired five of nine slightly different symptoms, and a seasonal pattern subtype was introduced in which either manic or depressive symptoms regularly appeared in a particular 60-day period of the year.
Following publication of DSM-III in 1980, the “operational criteria” approach em­bodied in this edition rapidly became adopted for research purposes on an interna­tional level (Spitzer et al. 1983). This was facilitated by support for WHO from the U.S Alcohol, Drug Abuse, and Mental Health Administration (ADAMHA), which in cluded NIMH, the National Institute on Alcohol Abuse and Alcoholism (NIAAA), and the National Institute on Drug Abuse (NIDA). The administrator of ADAMHA, Gerald Klerman, initiated a contract with the WHO Division of Mental Health (under Norman Sartorius) to review international classifications of mental disorders, which led to a 1982 Copenhagen conference where these reviews were reported (Sartorius 1983–2001)—with the result that there was broad international agreement to use DSM-III as the model for the tenth revision of ICD, set for 1992 (Jablensky et al. 1983). A cooperative agreement established between the ADAMHA institutes and WHO supported the development of three standardized interviews of mental disorders as a means of obtaining international agreement on the diagnostic criteria that would be in­corporated into ICD-10. These interviews included the Composite International Diag­nostic Interview (CIDI) (Robins et al. 1988), an epidemiological interview developed as an international version of the DIS used in the ECA project; the Schedules for Clin ical Assessment in Neuropsychiatry (SCAN) (Wing et al. 1990), based on the Present State Examination (PSE; Wing et al. 1967) used in the U.S./U.K. project (Cooper et al.
1972); and the International Personality Disorders Examination (IPDE) (Loranger et al.
1991), based on the U.S. Personality Disorder Examination of Loranger (1988). Once all ICD-10 disorders were required to have explicit criteria that could be measured using these instruments, it was possible to obtain international agreement on criteria for this 1992 ICD edition that closely matched DSM-IV, which was published in 1994 (American Psychiatric Association 1994). A legal agreement between the APA and WHO permitted this close approximation without violation of the APA copyright on DSM-III, DSM-III-R, and DSM-IV.
The 1994 DSM-IV section on mood disorders reflected the changes in criteria rec­ommended in the 1987 DSM-III-R, which included these disorders: major depressive disorder, dysthymic disorder, depressive disorder not otherwise specified (NOS), bi-
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polar I disorder, bipolar II disorder, cyclothymic disorder, and bipolar disorder NOS. Added to the section in DSM-IV were two conditions—mood disorder due to a gen eral medical condition and substance-induced mood disorder—that had previously been contained in the organic mental disorders section of DSM-III and DSM-III-R; these conditions were considered to be direct physiological consequences of a general medical condition or exposure to a drug of abuse, a medication, another somatic treat­ment for depression, or a toxin exposure. In addition to the specific depressive and bipolar NOS conditions, there was also a mood disorder NOS, to be used when it was difficult to choose between these two conditions.
Rather than listing separate subtypes for each mood disorder, DSM-IV expanded its use of specifiers (which were already being used to characterize the current or most recent mood episode) to include specifiers for clinical severity (mild, moderate, and severe with and without psychotic features) and for remission status (partial or full), as well as specifiers for the following characteristics: with catatonic features, with melancholic features, with atypical features, and with postpartum onset. There were also specifiers describing the course of recurrent mood episodes—with seasonal pattern, with rapid cycling, and with or without full interepisodic recovery. In terms of the mood disorder diagnostic coding conventions, DSM-IV continued to use the In ternational Classification of Diseases, Ninth Revision, Clinical Modification (ICD-9-CM) numeric coding rules ( major depressive disorder or bipolar disorder) and not episode coding (e.g., depres sive or manic episodes) (World Health Organization 1978).
In contrast to DSM-IV, ICD-10 introduced a new alphanumeric coding system for mood disorders (F30–F39) with separate codes for manic episode (F30), bipolar affec tive disorder (F31), depressive episode (F32), recurrent depressive disorder (F33), per­sistent mood (affective) disorders (F34), other mood disorders (F38), and unspecified mood disorders (F39) (World Health Organization 1992b). The WHO Division of Mental Health also decided to issue three different versions of ICD-10 to meet the needs of primary care providers, mental health clinicians, and mental health research investigators. The ICD-10 Diagnostic and Management Guidelines for Mental Disorders in Primary Care contained only 26 disorders, of which bipolar disorder and depression were the two mood disorders (Ustün et al. 1995; World Health Organization 1996). For each disorder, one page contained sections on presenting complaints, diagnostic features, and differential diagnosis, and the facing page contained management guidelines including counseling, medication, and specialist referral recommenda tions. The ICD-10 Classification of Mental and Behavioural Disorders: Clinical Descriptions and Diagnostic Guidelines included descriptions of the symptoms and course of illness that were associated with the episode or disorder, but no explicit thresholds of the number of symptoms required for the diagnosis (World Health Organization 1992a). The ICD-10 Classification of Mental and Behavioural Disorders: Diagnostic Criteria for Re- search had a similar format to DSM-IV, in which there are explicit thresholds for the duration and number of eligible symptoms that must be present to qualify for a diag­nosis (World Health Organization 1993). However, the explicit diagnostic criteria for a manic or depressive episode are presented somewhat differently. For example, there are thresholds of two out of three symptoms for mild depressive episodes, and at least four from an additional list of seven symptoms for moderate episodes. Severe epi­sodes require 8 out of the 10 possible symptom criteria, and there is a separate diag-
296.xx–300.xx), which permitted only disorder coding (e.g.,
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nosis of severe depressive episode that includes mood-congruent psychotic symptoms or depressive stupor. Melancholic criteria are identified as a “somatic syn drome” that requires four of eight symptoms, which include appetite disturbance, diurnal sleep variation, weight loss, psychomotor retardation, and loss of libido, among others.
Differences between DSM-IV and ICD-10 were evaluated in an Australian Na­tional Mental Health Survey that used the CIDI survey instrument containing both DSM-IV and ICD-10 diagnostic criteria (Andrews et al. 2001). Although 37% of re spondents met ICD-10 criteria for at least one mental disorder diagnosis in the previ­ous 12 months, only 32% received a DSM-IV diagnosis. In addition, among the mood, anxiety, and substance use disorders, only 68% of respondents who met criteria for either classification met criteria for both—leaving 32% who met criteria in only one of the systems. In general, the DSM-IV criteria were somewhat more restrictive and led to lower prevalence rates (Slade and Andrews 2001). This finding was of concern to research investigators, who called for closer coordination for the revisions of DSM and ICD, both of which were initially expected to be released in 2010.
Current DSM-5 and ICD-11 Classification
Plans for revising the 1994 DSM-IV and 1992 ICD-10 classifications of mental disor­ders began in 1999 with discussions between the medical director of the APA and the director of NIMH. Talks rapidly expanded to include a collaborative effort involving the National Institutes of Health institutes on alcohol and drug abuse (i.e, NIAAA and NIDA) as well as the WHO Division of Mental Health and the World Psychiatric Association. A series of consultations with representatives of all six organizations was undertaken in 2000–2002 and resulted in a monograph titled A Research Agenda for DSM-V (Kupfer et al. 2002). Included within this remarkable volume is a review of the limitations of categorical mental disorder diagnoses as reflected in the following paragraph:
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In the more than 30 years since the introduction of the Feighner criteria by Robins and Guze, which eventually led to DSM-III, the goal of validating these syndromes and dis covering common etiologies has remained elusive. Despite many proposed candidates, not one laboratory marker has been found to be specific in identifying any of the DSM­defined syndromes. Epidemiologic and clinical studies have shown extremely high rates of comorbidities among the disorders; undermining the hypothesis that the syn­dromes represent distinct etiologies. Furthermore, epidemiologic studies have shown a high degree of short-term diagnostic instability for many disorders. With regard to treatment, lack of treatment specificity is the rule rather than the exception. All these limitations in the current diagnostic paradigm suggest that research exclusively fo cused on refining the DSM-defined syndromes may never be successful in uncovering their underlying etiologies. For that to happen, an as yet unknown paradigm shift may need to occur. (Kupfer et al. 2002, pp. xviii–xix)
In the first chapter, on basic nomenclature issues for DSM-5, Rounsaville et al. (2002) addressed several critical issues, including the following: 1) defining mental dis- order, 2) considerations in validating diagnostic criteria, 3) rationales for changing ex­isting categories or criteria, 4) determining whether a dimensional approach should be
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