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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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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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Соседние файлы в папке Библиотека им академика М.И. Перельмана
