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REVIEW ARTICLE

A Review of American Psychiatry Through Its Diagnoses


The History and Development of the Diagnostic and Statistical
Manual of Mental Disorders
Bernard A. Fischer, MD

terminology of the time even though it may be viewed as objection-


Abstract: The history of the Diagnostic and Statistical Manual of Mental Dis- able today. Thus, terms such as asylum and insane are used in their
orders (DSM) reflects the larger history of American psychiatry. As the field historical context and not meant in the stigmatizing way these are
anticipates DSM-5, it is useful to take stock of this history and consider not currently viewed.
only how diagnosis impacts our understanding of mental illness but also how
contemporary thought influences diagnosis. Before the DSM, the field was dis-
jointed. The publication of the first American diagnostic manual, the precursor
BEFORE THE DSM
of the DSM, mirrored society’s interest in organized record keeping and pre-
vention rather than treatment of mental illness. The first and second editions
In 18th-century America, each asylum had its own diagnostic
of DSM brought a common language to diagnosis and were largely the work
taxonomy. These systems suited the needs of the administration more
of outpatient and academic psychiatrists rather than those based in large state
than the asylum physicianVthe position of asylum doctor was part
hospitals. The third edition of the DSM saw the shift in American psychiatry’s
time, and most had a general medical practice outside the institution
leadership from the eminent clinician to the researcher, whereas the fourth edi-
(Zwelling, 1985). During this period, patients were usually divided into
tion reflected the rise of ‘‘evidence-based medicine.’’ DSM-5 will likewise rep-
broad categories such as ‘‘mania’’ (those who had the occasion to be
resent the current status of the fieldVnot only with regard to science but also
violent) versus ‘‘melancholia’’ (those who were nonviolent). As asy-
reflecting the place of American psychiatry in medicine today.
lums grew in size, it eventually became feasible for physicians to earn a
livelihood specializing in mental illness. As these physicians focused a
Key Words: DSM, diagnosis, history of medicine, psychiatry. career on mental illness, they began developing their own terminology.
(J Nerv Ment Dis 2012;200: 1022Y1030) In 1844, psychiatry was firmly established as a medical specialty
in the United States when the Association of Medical Superintendents
of American Institutions for the Insane was founded (the organization
changed its name to American Medico-Psychological Association
V irtually every mental health care worker in the world is familiar
with the Diagnostic and Statistical Manual of Mental Disorders
(DSM). This diagnostic system is how the field communicates, how
[AM-PA] in 1892 and to American Psychiatric Association [APA]
in 1921.) However, despite the formation of a medical specialty, psy-
chiatrists did not have a uniform diagnostic system. Medicine, at that
research is standardized, and even how mental health services are re- time, was advancing at an astronomical pace. Although von Leeu-
imbursed. As we anticipate the release of the fifth edition of the DSM, wenhoek had reported his discovery of microbes in the 1680s, it was
it is useful to reflect on the history behind this manual. By looking at not until 1876 that Koch demonstrated that Bacillus anthracis caused
the development of the DSM and its subsequent editions, one can see anthrax. Suddenly, medicine was defining disease by proven causation
an evolution in the thinking about mental illness. However, the history based on biological knowledge rather than theories based on antiquated
of diagnosis in the United States also reflects the history of American assumptions of the body. Asylum physicians began reporting more
psychiatry. An appreciation of this history will not only allow an ap- definitive, physical causes for the mental illness in their patients. These
preciation of the limits and future directions of diagnosis but also understandably included cancers and brain injuries, but even causes
shed light on American psychiatry’s place in the treatment of mental such as excessive use of tobacco were diagnosed (Zwelling, 1985).
illness now and as the field progresses. This type of reporting led to a plethora of classification schemes all
Two notes on this review: the first is that this is a summary attempting to imply some biological causation of mental illnesses.
spanning decades and, by necessity, cannot completely cover all of the In keeping with this spirit of the times, Emil Kraepelin believed
influences on diagnostic thinking that faced American psychiatry. that all mental illnesses would prove to have a biological basis. Support
Issues such as sex, race, the antipsychiatry movement, and how mental for his conviction came from the discovery by Alois Alzheimer, who,
illness separates from healthy extremes are important but cannot be working in Kraepelin’s laboratory, demonstrated neuropathological
covered in this review in the detail these merit. Interested readers findings in certain cases of dementia (Alzheimer, 1906). However, in
are directed to more comprehensive works by Gerald Grob and Herb the absence of proven pathogenesis, Kraepelin began discriminating
Kutchins and Stuart Kirk for further reading. Second, in discuss- mental illnesses by reference to general patterns exhibited by patients
ing the history of mental illness, it is sometimes necessary to use the (1985). In this way, he separated manic depression from dementia
praecox. Although Kraepelin’s organizational method would eventually
revolutionize diagnoses, his techniques were virtually ignored in
Capital Healthcare Area (VISN 5) Mental Illness Research, Education, and Clinical America at the time. Psychiatrists in the United States went on using
Center (MIRECC), Department of Veterans Affairs, Baltimore, MD; and
Maryland Psychiatric Research Center, University of Maryland School of
multiple classification schemes, usually organized around prototypical
Medicine, Baltimore. case studies, in which diagnosis was determined by the treatment team’s
Send reprint requests to Bernard A. Fischer, MD, Maryland Psychiatric Research majority vote (Barahal, 1965). Although there was little agreement in
Center, University of Maryland School of Medicine, P.O. Box 21247, American psychiatry on taxonomy, it did not matter much; there were
Baltimore, MD 21228. E-mail: bfischer@mprc.umaryland.edu.
Copyright * 2012 by Lippincott Williams & Wilkins
still no effective treatments for most mental illnesses and thus nothing
ISSN: 0022-3018/12/20012Y1022 to be gained in ‘‘accurate’’diagnosis. However, at the start of the 1900s,
DOI: 10.1097/NMD.0b013e318275cf19 a different profession began looking into the classification of mental

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The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012 American Psychiatry and the DSM

illness and it did have something to gain: the US Census Bureau wanted course in psychiatry and were forced into the specialty by the military
precise statistics. (Grob, 1991; Wanke, 1999).
As a spirit of reform began taking hold in America, the federal Military psychiatrists were not only responsible for diagnosis at
government became interested in the diagnosis of individuals in the recruiting station but were also placed in charge of the so-called
institutionsVnot just in their number. This desire for more accurate neuropsychiatric casualties from the front. Considerable excitement
information was in response to the idea that mental illness could was generated at the ability of psychiatrists to treat service members by
be prevented by social policy aimed at establishing ‘‘good mental hy- removing them from the stressful conditions of war for a span of time
giene’’ (Grob, 1991). Accurate statistics were required for compari- (Wanke, 1999). Might this work at home, too? Was there some simi-
sons region to region and between programs so that important patterns larly stressful condition in American society that could be removed to
might be noted. Initially, psychiatrists, represented by the AM-PA, cure mental illness?
brushed off the Census Bureau’s interest in a standardized classifica- These wartime psychiatrists returned to peacetime practice with
tion. Having been asked in 1908 for their input, it was not until 5 years a very different view of the field than the psychiatrists who had trained
later that the Committee on Statistics was finally formed (AM-PA, in the state hospital system. It was painfully obvious to these returning
1917; Grob, 1991). However, once called together, the committee rec- psychiatrists that the current ‘‘official’’ diagnostic scheme was inade-
ognized the disarray of America’s multiple classification systems. With quate for their workVmostly with outpatients and very psychody-
the census of 1920 looming on the horizon, the committee realized that namically oriented. This inadequacy drove the US Armed Forces to
if they did not develop a uniform diagnostic scheme, the Census Bu- develop their own diagnostic systems. The army and navy each devel-
reau would do it without them. Therefore, in 1918, the first American oped a nomenclature independent of the other (Grob, 1991; Raines,
standardized diagnostic system was issued: Statistical Manual for the 1952). The Department of Veterans Affairs then developed a third
Use of Institutions for the Insane (Grob, 1991). system because it would be impractical to use both the army and navy
Although it was a step toward uniformity in classification, systems. Counting a separate scheme used by the American Prison
the manual was not accepted by many prominent psychiatrists of Association (Foxe, 1938) and the latest edition of Statistical Manual for
the time (Orton, 1919; Southard, 1919). Cited among its failures was the Use of Institutions for the Insane, there were at least five ‘‘official’’
that it was too ‘‘narrow’’ in scope, meaning, as the title suggests, that nosologies for mental illness in use in America. The APA decided it
the manual was chiefly concerned with the diagnosis of patients in was time to put an end to the confusion and issue one definitive diag-
asylums. Another criticism was that the same symptoms spanned sev- nostic system for all American psychiatry.
eral diagnoses; thus, the scheme was ‘‘illogical’’ and ‘‘inconsistent.’’ Of The makeup of psychiatrists attempting to classify mental ill-
21 possible diagnoses, 18 were psychoses with some agreed-upon eti- ness after World War II was quite unlike its previous incarnation. The
ology, 1 was ‘‘undiagnosed psychosis’’ (in which the psychosis could number of psychiatrists who practiced outside state hospitals now
not be attributed to a physical cause), and only 2 referred to patients greatly outnumbered their counterparts (Grob, 1991). In addition, the
without psychosis: neuroses and ‘‘not insane’’ (conditions such as ep- psychodynamic emphasis on conflicts between drives and external/in-
ilepsy or alcoholism without a history of psychosis; AM-PA, 1917). ternal stresses now colored almost every aspect of American psychiatry.
The notion of presumed causation for most psychoses, in particular, Using the Veterans’ classification system as a model, the new Com-
bothered the eminent Adolf Meyer. Meyer, a former student of mittee on Nomenclature and Statistics began circulating proposed
Kraepelin and the chair of psychiatry at Johns Hopkins School of manuals to representative psychiatrists across the United States and
Medicine, had been a member of the Committee on Statistics but re- Canada (Raines, 1952). After taking into consideration the replies from
fused to be associated with its product (Grob, 1991). Unlike Kraepelin, 241 of the 520 psychiatrists solicited, a tentative result was submitted
he believed that all mental illnesses were on a continuum, and an to the Council of the APA in November 1950.
individual’s biology coupled with his/her life history determined what Published in 1952, the Diagnostic and Statistical Manual,
‘‘reaction’’ would take placeVand thus the presentation of the illness Mental Disorders (it was not until the second edition that the word
(Meyer, 1950). ‘‘of’’ appeared in the title; APA, 1952) separated mental illness into
Irrespective of Meyer’s and other’s critiques, the main limitation two broad categories: disorders associated with an organic brain dis-
of the nomenclature was that it was designed for collecting numbers turbance and those that were not (see Table 1). Mental illnesses with
(Southard, 1919). There was still no help for the patient, or information no known organic brain disturbance were diagnosed by comparison to
of real clinical utility, that depended on these diagnoses. In fact, al- a general description of the disorder. These ‘‘functional’’ illnesses
though it went through 10 editions until 1942, most clinicians ignored were further divided into psychotic disorders, psychoneurotic disor-
the manual. ders, and personality disorders.
Several of the diagnoses included what we would now consider
WORLD WAR II AND THE FIRST REVOLUTION IN problematic terminology. For example, a patient with low mood and
AMERICAN PSYCHIATRY: THE DSM ‘‘much uneasiness and apprehension’’ had manic-depressive reaction,
Although the 1930s and the early 1940s saw the beginnings depressed type (p. 25). However, if the patient had had any previous
of psychiatry’s expansion outside the walls of large state hospitals, it manic episode, the diagnosis was manic-depressive reaction, manic
was not until World War II that this shift began to noticeably impact typeVeven if the current episode was low mood. On the other hand, a
the profession at large. Physicians working for the military during depressed mood ‘‘precipitated by a current situation I often associated
World War I had recognized a condition they called ‘‘shell shock.’’ with guilt’’ was called ‘‘depressive reaction’’ and was a neurotic af-
There was considerable debate over whether this condition was a re- fective reaction (p. 33). Thus, manic depression, a psychotic affective
sponse of ‘‘normal’’ men to war or whether there was some inherent reaction, was not confined to those patients who had demonstrated a
psychopathological predisposition in some soldiers that could be wee- manic episode and need not involve psychosis at all.
ded out at the recruiting station (Wanke, 1999). The US military was Several points about DSM-I give insight to the field at the time:
also concerned that, during peacetime, from 1910 to 1930, a ‘‘large first, every illness was termed a reactionVowing to Meyer’s influence
majority’’ of enlisted men who were given certificates of discharge in American psychiatry. This was in keeping with the thought that
for disability were released for ‘‘neuropsychiatric conditions’’ (Kubie, functional mental illness was on a continuum. Individual patients
1945). The enormous mobilization as America entered World War II responded differently only because their life histories differed. Indeed,
therefore required an equally enormous mobilization of psychiatrists. even within the same individual, stress may produce, first, a ‘‘depres-
Many physicians who had trained in other specialties were given a brief sive reaction,’’ then, later in life, a ‘‘schizophrenic reaction.’’ Second,

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TABLE 1. DSM: Editions, Notes on Diagnoses, and Historical Context

1024
Fischer
Chair of the APA
Publication Committee on Nomenclature Page
DSM Edition Date and Statistics Count Diagnostic Notes Historical Context
Statistical Manual 1918 Albert M. Barrett 40 Included 22 diagnoses, 19 of which were Authored in conjunction with the US National
for the Use of some form of psychosis. Others were Committee for Mental Hygiene.
Institutions for the involutional melancholia, neuroses, and
Insane (predecessor ‘‘not insane.’’ Diagnosis by comparison

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of the DSM) to general description.
Designed chiefly for reporting statistics from
state hospitals; included instructions for
determining race, economic situation, marital
status, and others. In addition, it included
guidance for reporting types of hospital employees.
DSM 1952 George N. Raines 119 Major divisions were organic versus functional Based on a system devised by the Department
mental disorder. Functional disorders included of Veterans Affairs. Designed to be of use to
psychotic, psychoneurotic, and personality disorders. psychiatrists after World War II: working in
Illnesses were ‘‘reactions.’’ Restrictions on diagnosing outpatient setting, psychodynamically oriented.
comorbidities. Diagnosis by comparison to general
description.
DSM-II 1968 Ernest M. Gruenberg 132 Ten main divisions for diagnosis. Included mental Initially meant to make the DSM compatible
retardation and mental illnesses in children. Removed with the ICDVreflected international concerns in
the term reaction. Removed the prohibition against American Psychiatry.
diagnosing comorbidities. Diagnosis by comparison
to general description.
Movement away from pronounced psychodynamic
ideas (removing ‘‘reaction’’). End of the focus on
statistics (by allowing comorbidities).
DSM-III 1980 Robert L. Spitzer 500 First manual to define a mental disorder. Introduced Initially planned because of a revision to the ICD.
the five-axis system of diagnosis. Introduced Based on the RDC of the St. Louis School of
diagnosis by checklist of features. Relegated Diagnosis; that is, reliability was the most important
neurotic diagnostic term to parenthetical note. aspect of diagnosis. Shift in American psychiatry
The Journal of Nervous and Mental Disease

leadership from ‘‘eminent clinician’’ to researcher.


Purported to be ‘‘atheoretical,’’ removed much of the
psychodynamically charged language.
Remedicalization of the specialty.
DSM-III-R 1987 Robert L. Spitzera 594 Changed axis V to a modified Global Assessment Meant to reexamine the utility of DSM-III using more
Scale. Paranoid disorders renamed delusional clinical input. Further removal of the psychodynamic
disorders; affective disorders renamed mood neurotic diagnostic terms from the manual.
disorders. Included proposed disorders in need
of further study. Neurotic diagnostic terms removed
from the main body of the manual.
DSM-IV 1994 Allen Francesb 911 Included Source Books: extensive literature reviews, Initially planned because of a revision to the ICD.
data reanalysis, and field trials. Organic mental APA faced criticism for the frequency of DSM

Copyright © 2012 Lippincott Williams & Wilkins. Unauthorized reproduction of this article is prohibited.
disorders renamed cognitive disorders. Added revisions/new editions. Reflected the rise of
(e.g., Asperger’s disorder) and removed ‘‘evidence-based medicine’’ in America.
(e.g., cluttering) several disorders.
DSM-IV-TR 2000 Allen Frances** 978 Updated the text in the ‘‘associated features’’ section Little change in diagnostic-related information led to
of diagnoses. critique that revision was motivated by financial
reasons.
a
The title of this position was chair, Work Group to Revise DSM-III.
b
The title of this position was chairperson, Task Force on DSM-IV.
& Volume 200, Number 12, December 2012

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The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012 American Psychiatry and the DSM

implied psychodynamic etiology is ubiquitous in the manual. Many by some psychiatrists as progressVgiven that the word implied an
diagnoses were defined on the basis of which defense mechanisms understanding the field did not yet have (Jackson, 1970). However, it
were used; for example, psychotic disorders used ‘‘retreat from reality’’ was a regressive turn toward ‘‘Neo-Kraepelinism’’ for others who
and ‘‘projection’’ as primary defenses against stress. Lastly, there was a worried that the focus would become the disorder rather than the in-
hierarchy of diagnoses that prohibited certain combinations. For ex- dividual patient (Spitzer and Wilson, 1969). Other changes were the
ample, a psychotic disorder and a psychoneurotic disorder could not fusion of ‘‘personality patterns’’ and ‘‘personality traits’’ into simply
be diagnosed in the same individual at the same time nor could two ‘‘personality disorders,’’ whereas the term sociopathic personality was
psychoneurotic disorders. There were some disorders, such as alco- eliminated and divided into ‘‘alcoholism,’’ ‘‘drug dependence,’’ and
holism, which, when present along with another mental illness, could ‘‘sexual deviation.’’ In addition, the preclusion of certain diagnostic
not be diagnosed, owing to the belief that these were only manifesta- combinations was liftedVleaving the psychiatrist free to diagnose
tions of the primary disorder. This also made gathering and reporting many comorbid conditions.
statistics easier. In examining the DSM-II, one can see how the field was
changing in the 1950s and the 1960s. There was much more concern
THE DSM-II for international opinionVwhich reflected both a desire for commu-
In 1948, the United Nations established the World Health Or- nication between countries and a greater sense of legitimacy in trans-
ganization (WHO). It immediately took responsibility for the Interna- cending international borders. By establishing a separate section for
tional List of Causes of Death, which had been published by one childhood and adolescence, the field began to consider how children
organization or another since 1893 (WHO, 2004). It was renamed the have their own unique expressions of pathology. Although psychody-
International Classification of Diseases, keeping the well-known ab- namic ideas were still incorporated in the manual, removing the term
breviation ICD. The United States was obligated by international treaty reaction was the first step in moving toward an ‘‘atheoretical’’ system.
to report its health data using the codes present in this manual. How- Finally, lifting the prohibition against certain diagnostic combinations
ever, the DSM-I was incompatible with the psychiatric section of the signaled the final end to American psychiatry’s primary focus on sta-
ICD (Spitzer and Wilson, 1969; Wolpert, 1969). When the international tistics. Concern was shifted to clinical practice.
community organized itself to produce the eighth edition of the ICD,
the APA’s Committee on Nomenclature and Statistics was charged with THE SECOND REVOLUTION IN AMERICAN
updating the DSM to make it ICD compatible (Gruenberg, 1969). PSYCHIATRY: DEVELOPING THE DSM-III
Politics had more to do with establishing psychiatric termi- The story of the third edition of the DSM begins, oddly enough,
nology than would be suspected from reading the introduction of the before the publication of the first edition. In 1952, at Washington
DSM-II (APA, 1968). At the WHO’s Revision Conference, repre- University, a group of psychiatric researchers established the St. Louis
sentatives from around the world negotiated the included terminology School of Diagnosis (Singerman, 1981). For the next 20 years, the
for every illness (Gruenberg, 1969). Although significant concessions group developed structured interviews, examined prognosis, and
were given to the representatives from the United States, the APA studied families. They refined certain diagnostic criteria that lead to
had few options when it came to reconciling the ICD-8 with a new exceptional reliability in establishing the presence of mental illnesses.
DSM: a) accept the ICD term, b) use the same code but call it something Their results, published by Feighner et al. in 1972 as Diagnostic Cri-
different, c) ignore the ICD diagnosis, or d) subdivide the ICD diag- teria for Use in Psychiatric Research, became the most widely cited
nosis (Gruenberg, 1969). There was no option for the DSM to include article in American psychiatry’s history (Singerman, 1981; Wilson,
a disorder recognized in America if it was not already included in 1993).
the ICD. To assure compliance with international treaty, the final ver- Although the DSM-I and DSM-II had provided a conceptual
sion of the DSM-II had to be approved by three ‘‘special consulting framework for clinicians, their descriptions of illnesses did little to
psychiatrists,’’ appointed by the president of the APA, who were not ensure an individual would receive the same diagnosis by two psy-
themselves members of the Committee on Nomenclature and Statistics chiatrists. Coupled with the implied psychodynamic and social expla-
(Gruenberg, 1969). nations of disorders, researchers were finding it difficult to accept
Within the United States, there was also political maneuvering DSM diagnoses for studies. Research funding was also reflecting this
with regard to diagnoses in the new DSM. Although most of the United difficulty; NIMH funds had shrunk by 35% between 1965 and the time
States had accepted terminology in DSM-I, a notable exception was the the Feighner criteria were published (Wilson, 1993). Both the Feighner
New York State Department of Mental Hygiene (Gruenberg, 1969). criteria and the subsequent release of a modified version, the Research
Considering how many practicing psychiatrists were in New York City Diagnostic Criteria (RDC), were meant to address this complaint.
alone, some pundits postulated that the real reason for the update of the However, research was not the only area within psychiatry where
DSM was to reconcile New York and the rest of the country. Whatever funding was in jeopardy.
the reason, the second edition of the DSM was published in 1968. Insurers had initially reimbursed psychiatrists just as they did
Whereas the original DSM had only 2 main divisions, organic every other medical specialty, but they soon began cutting mental
and functional illness, the DSM-II had 10 (see Table 1). The order of health coverage to increase profits. Case in point, Aetna began allowing
the groups was very specific. It was designed so that, with any given only 20 outpatient visits and 40 inpatient days per year (Wilson, 1993).
patient, the categories could be examined one after the other until the All third-party payers soon adopted this pattern of restriction of ser-
patient was diagnosed. For the most part, these new categories repre- vices and carve-outs. They justified this discrimination partly because
sented a rearrangement meant to highlight certain previous diagnoses. the reliability of psychiatric diagnosis was less than that of other me-
However, a significant new aspect of these groups was the separation dical illnesses. Insurers were also frustrated by paying for years of ex-
of specific categories that focused on mental deficiency, now called pensive psychotherapy when they had no real idea of what services
mental retardation, and the mental illnesses of children. were rendered or when a patient, if ever, would recover (Wilson, 1993).
DSM-II maintained diagnosis by comparison to prototypical As already described, the United States was bound by treaty to
descriptions and also continued to rely on psychodynamic explana- report health information using the codes present in the ICD. When
tions for many diagnoses. It kept manic depression listed as a psychotic the WHO began working on the ICD’s revision, the APA organized to
disorder that did not require a manic episode for diagnosis. However, again revise the DSM. In 1974, Robert Spitzer was appointed to head
there were some major changes. The most drastic was the elimina- the APA’s Task Force on Nomenclature and Statistics (Wilson, 1993).
tion of the term reaction from all adult disorders. This was heralded Spitzer had trained as an analyst, but he had become intimately involved

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Fischer The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012

with the St. Louis School because of his work on the RDC. He had to purge the field of psychodynamic theory. An example of the depth
also served as one of the three special consultants to the committee that of this concern can be seen in comments made by practicing New York
had designed the DSM-II. Considering his diverse background and ex- psychiatrist Howard Berk that ‘‘psychiatric textbooks and literature on
perience with the DSM, Spitzer seemed a most appropriate choice. a massive scale’’ would need to be cast aside (Bayer and Spitzer, 1985).
However, in examining the members of his task force, one can see Otto Kernberg stated the manual was ‘‘a straitjacket’’ and worried that
where his sympathies were: fully half of the members had some con- ‘‘guns are pointed at us’’ (Bayer and Spitzer, 1985).
nection to Washington University, whereas only one member was a Some analysts’ concern was for the rich history of their profes-
practicing psychoanalyst (Wilson, 1993). That same year, Spitzer and sion. Some analysts’ worry was economic self-interest. After all, with
Fleiss (1974) published an article lamenting the lack of reliability in insurance companies already dubious about therapy, what would hap-
making psychiatric diagnoses and advocating the use of structured pen if psychodynamics and the bread-and-butter diagnosis of neu-
interviews and diagnostic checklists. rosis were completely expunged from American psychiatry’s official
A paper read at the 1975 APA annual meeting, and later pub- nomenclature? This controversy came to a head in 1979 when the
lished in the American Journal, discussed the view of Spitzer’s team BaltimoreYDistrict of Columbia Society for Psychoanalysis pushed
(Spitzer et al., 1975). They argued that one of the main problems with for retention of the term. It is understandable that the issue was of
psychiatric diagnosis was a large amount of variance because of the paramount importance to the BaltimoreYWashington, DC, area given
lack of discrete boundaries between illnesses. As an example, they cited that government employees at the time had ‘‘generous [health plan]
the description of the DSM-II diagnosis of manic-depressive disorder, coverage for psychotherapeutic treatment’’ (Bayer and Spitzer, 1985).
depressed type, and contrasted it with its RDC equivalent of major Whatever the motivations of analysts, the plans of the task force
depressive disorder. Whereas the DSM-II diagnosis relied on a general for a new diagnostic manual were in danger. The BaltimoreYDistrict of
account of the illness, the RDC diagnosis went by fulfilling a specified Columbia Society had recruited support for retaining neurosis from the
number of features seen in the disorder. It was stressed that the inter- APA’s Area Three delegates: Maryland, Washington, Delaware, Penn-
diagnostician reliability of the RDC criteria was considerably superior sylvania, and New Jersey. When word reached Spitzer in early March
to that of the DSM-II. Although the paper concludes by stating that 1979 that the New York delegates would also support Area Three’s
the DSM-III would include these checklists of features along with stand on neurosis, he realized that there was a real danger of DSM-III
the ‘‘narrative definitions’’ seen in the DSM and DSM-II, the hierarchy not being accepted at the annual meetingVwhich was only several
of the APA became concerned. It realized that it was entrusting what weeks away (Bayer and Spitzer, 1985). A negotiation was attempted
should have been a relatively routine assignment to what might be a in which the DSM would state that ‘‘anxiety disorders of childhood
radical group (Wilson, 1993). and adolescence; some affective disorders; somatoform and dissocia-
Shortly after this paper was published, the APA appointed tive disorders; and some psychosexual dysfunctions’’ were neurotic
some of its more politically minded members to a liaison committee disorders (Bayer and Spitzer, 1985). This, however, did not go far
(Wilson, 1993). This committee was charged with reporting on the enough to settle the dispute.
activities of Spitzer’s task forceVespecially those that could be divi- Roger Peele, the representative to the APA from Washington,
sive. From the beginning, the liaison committee saw problems. For one, DC, suggested that the disorders labeled ‘‘neurotic’’ in DSM-II keep
the task force showed no interest in making the DSM-III compatible their proposed DSM-III names but have the flexibility to be coded as
with the forthcoming new edition of the ICD, ostensibly the reason a neurotic disorder if the clinician chose to do so (Bayer and Spitzer,
for the revision of the DSM in the first place. The liaison committee 1985). The exception to this would be the proposed ‘‘chronic depres-
also balked at Spitzer’s notion of requiring ‘‘proof’’ before etiology sive disorder,’’ which would keep the DSM-II name of ‘‘neurotic de-
was included in the diagnosis. Did this necessarily demand the exclu- pression.’’ Spitzer’s team countered with the offer of replacing the
sion of psychodynamic explanations? After all, analysts had been diagnosis chronic depressive disorder with ‘‘dysthymia.’’ An acceptable
working for nearly a century to unravel what was considered, albeit un- compromise was finally reached with the insight of Dr John Talbott,
provable, the root cause of certain disorders. Did the new DSM really who would later go on to become APA president and to chair the
mean to ignore this work? University of Maryland Department of Psychiatry. The ‘‘Talbott Plan,’’
Although Spitzer’s team did mean to exclude psychodynamic as it came to be known, involved using the task force’s term followed
theory from the new DSM, they could not ignore it. Analysts from by the older, neurotic term in parentheses (Bayer and Spitzer, 1985).
across the country objected to its elimination, and the task force was Although there was still some back-and-forth about whether dysthy-
approached with the idea that Spitzer’s version of the DSM-III be mia or neurotic depression would be the parenthetical diagnosis,
used only for research (Wilson, 1993). To avoid this relegation, the task eventually, this plan was accepted at the 1979 APA annual meeting.
force entertained several different compromises. One was the inclusion Published in 1980, the DSM-III was massive compared with its
of a separate axis for a psychodynamic formulation. Another was a predecessors. Whereas DSM-I and DSM-II were 119 and 132 pages,
companion volume that would explain treatment strategies, prognosis, respectively, the DSM-III was almost 500. It considerably expanded
and etiologic theory (Bayer and Spitzer, 1985; Wilson, 1993). Although the section on childhood and adolescent disorders and added eating
neither of these compromises came to fruition, these appeased disorders, attention deficit disorders, and pervasive developmental
Spitzer’s critics long enough for the work on the DSM-III to go on, that disorders. Whereas substance use disorders had their own section, al-
is, until the task force attempted to remove the word neurosis from di- cohol and drug-related intoxication or withdrawal were listed as ‘‘or-
agnostic terminology. ganic mental disorders.’’ ‘‘Schizophrenic disorders’’ were a section
From the point of view of the task force, the term neurosis had unto themselvesVas were paranoid disorders and ‘‘psychotic disorders
no place in a diagnostic manual. It was universally understood that not elsewhere classified’’ (including schizophreniform disorder, brief
neurosis implied intrapsychic conflict that led to symptomatic anxiety reactive psychosis, and schizoaffective disorder). For the first time,
and/or depression. To accept this language would be to give endorse- manic-depressive disorder, now rechristened ‘‘bipolar disorder,’’ was
ment to a particular and, according to Spitzer’s team, unfounded view listed under an affective disorders section rather than as a psychotic
of etiology. Even though most analysts at the time were more interested disorder. It also now required the patient to have had at least one past
in neurotic character (i.e., personality disorders) rather than neurotic manic episode for the diagnosis; if the patient presented with low mood
symptoms, they objected at the removal of this nearly century-old word and had no history of a manic episode, the diagnosis was then major
from the manual. In the opinion of analysts, removing the term neurosis depression. The affective disorders also included cyclothymia and
was not an attempt to make the manual more reliable but an attempt dysthymia in addition to atypical presentations of bipolar and major

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The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012 American Psychiatry and the DSM

depressive disorders. Each illness listed had had a history of clinical or in complete remission.’’ Axis II was expanded to include mental
relevance to the US psychiatrist. Some were adapted from DSM-II di- retardation and pervasive developmental disorders; thus, all develop-
agnoses; some were added after consultation with experts. Finally, mental disorders were now grouped together. This was more in keeping
the manual was field-tested several times during its development using with the idea that axis II pathology should have an early onset and
550 clinicians and 12,667 patients (Spitzer, 1980). should be enduring without periods of ‘‘remission or exacerbation’’
DSM-III included several revolutionary changes. Whereas (p. 410). Axis IV, the rating of psychosocial stressors, now required
DSM-I and DSM-II had used comparisons to prototypical descriptions notation of whether stressors were acute (G6 months’ duration) or
for diagnosis, DSM-III used checklists of features, considerably en- chronic. Axis V, the level of adaptive functioning, was changed from
hancing diagnostic reliability. The manual was also the first to define notations of ‘‘superior’’ or ‘‘grossly impaired’’ to a modified version of
what a mental disorder isVwhich was tremendously important in le- the Global Assessment Scale. This new Global Assessment of Func-
gitimizing the field as a medical specialty (Zimmerman and Spitzer, tioning (GAF) ranged from 1 to 90, with 0 being ‘‘inadequate infor-
2005). In addition, the DSM-III introduced the multiaxial system. This mation.’’ Each block of 10 numbers had a description from ‘‘absent
system was specifically designed to bring the clinician’s attention to or minimal symptoms’’ to ‘‘persistent danger of severely hurting self
different areas. Axis I included ‘‘clinical syndromes’’ and the V codes or others I or persistent inability to maintain minimal personal hy-
(nonillness conditions that might be the focus of clinical attention). giene’’ (p. 12).
Axis II included personality disorders and academic skills disorders. The most striking changes in diagnostic criteria were in psy-
This separation was to make sure that the disorders listed in axis II chotic disorders, affective disorders, anxiety disorders, and substance
were taken into account in forming a complete picture of the patient. use disorders. In schizophrenia, a specification that the illness begins
Axis III contained physical disorders. Axis IV represented the severity before the age of 45 years was removed because it was unsubstantiated.
of psychosocial stressors. These were not specified but were rated as However, clinicians were encouraged to note ‘‘late onset’’ in cases
‘‘none, minimal, mild, moderate, severe, extreme, or catastrophic.’’ occurring after the age of 45 years. Paranoid disorders were renamed
Axis V was the rating of the highest level of adaptive function, not ‘‘delusional disorders’’ because the popular term paranoid was not
a number but ‘‘superior, very good, good, fair, poor, very poor, or in keeping with some of the nonsuspicious delusions seen in these
grossly impaired.’’ patients. Instead, one was to record the subtype: erotomanic, grandiose,
As far as reconciling the DSM-III with ICD-9, it turned out that jealous, persecutory, somatic, or unspecified. The affective disorders
psychiatry was not the only medical specialty that saw problems with were renamed ‘‘mood disorders,’’ and one was to specify a ‘‘seasonal
the ICD-9. In fact, many organized medical specialties were so dissat- pattern’’ if observed. Anxiety disorders could now be diagnosed even
isfied with the way the ICD was constructed that the decision was when co-occurring with more debilitating axis I disorders such as
made to modify it for better use in America (Spitzer, 1980). This clin- schizophrenia. In addition, substance intoxication and withdrawal were
ical modification, or ICD-9-CM, allowed the American ICD mental removed from the organic mental disorders section, and, now, all drug-
health task force to make the ICD-9 more compatible with the new related mental conditions were under one section.
DSM. This was ironic, considering that the original aim of revising Another addition to the DSM-III-R was the section on proposed
the DSM was to make it compatible with the ICD. diagnoses that needed further study. These were three diagnoses that
were supported by some clinical experience and data but in which
A REVISION: THE DSM-III-R concerns were raised about their misuseVespecially in pathologizing
DSM-III, or its quick-reference companion, was translated into women or excusing violence toward them (Spitzer and Williams, 1987).
Chinese, Danish, Dutch, Finnish, French, German, Greek, Italian, The three were ‘‘late luteal phase dysphoric disorder,’’ ‘‘sadistic per-
Japanese, Norwegian, Portuguese, Spanish, and Swedish (Spitzer and sonality disorder,’’ and ‘‘self-defeating personality disorder’’ (formerly
Williams, 1987). It sold several hundred thousand copies and was ‘‘masochistic personality disorder’’).
on the best-seller list of nonfiction books just behind the famous Curiously, the term neurosis appeared nowhere in the main body
Fanny Farmer Cookbook (Wilson and Skodol, 1988). Even some of the manual. It was only mentioned parenthetically in the chapter
analysts began extolling its virtues as ‘‘complementary’’ to a psycho- headings for anxiety disorders and dissociative disorders.
dynamic perspective (Frances and Cooper, 1981). However, in 1983,
only 3 years after the DSM-III was published, work was started on AN EXAMPLE OF DIAGNOSTIC EVOLUTION:
its revision. THE CASE OF HOMOSEXUALITY
Again, Robert Spitzer was chair of the work group to revise In all areas of medicine, diagnoses are changed and refined as
DSM-III, and, again, he chose his team. The point of this revision was new information is learned. There are many examples of an evolution
to reexamine the utility of the DSM-III from the point of view of the in thinking about psychiatric diagnosis. However, a prime example of
clinician. When DSM-III was being constructed, the task force not diagnostic change that also reflects the history of American psychiatry
only relied on the diagnoses researched by Feighner but also took is the case of homosexuality.
suggestions from clinicians who could describe a construct that In the first DSM, homosexuality was listed as an example of
seemed useful (Spitzer, 1991, 2001). Some made the cutVsuch as ‘‘sexual deviation’’ and was categorized as a ‘‘sociopathic personality
borderline personality disorder; some did notVsuch as ‘‘the atypical disturbance.’’ Other examples of sexual deviation put homosexuality
child.’’ Reaction to these ‘‘untested’’ suggested diagnoses, as well as in the same company as pedophilia and rape. It was not much different
clinical experience with the research-established ones, necessitated in DSM-II. When sexual deviations were established as a category
a reexamination of the manual. separate from personality, homosexuality was elevated from an exam-
The team examined many suggestions from clinicians and re- ple of ‘‘deviation’’ to a specific diagnosis with its own code.
searchers. Proposed modifications were compared with empirical data It should be emphasized that pathologizing homosexuality
and expert opinion as well as weighed for usefulness. These were also was not simply meant to reinforce social mores but was based on a real
evaluated for whether these would fit with the expressed atheoretical belief among psychiatrists at this time that homosexuality was symp-
nature of the DSM-III. If these passed muster, the suggestions were tomatic of psychological illness. However, in the 1950s and the 1960s,
considered for adoption. evidence was slowly mounting that happy, well-adjusted lives were
In DSM-III-R, published in 1987, the multiaxial system was not dependent on sexual orientation. Despite this, many psychiatrists
modified (APA, 1897). The severity of axis I disorders could now be still could not believe that gay and lesbian people were not the product
noted as ‘‘mild, moderate, severe, in partial remission/residual state, of some psychopathology. At the close of the 1960s and the early

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Fischer The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012

1970s, a movement in the homosexual community began to address generally use the criteria under which they have trained, Zimmerman
intolerance. The Stonewall Riots of 1969 illustrated how many gay postulated that the multiple editions of DSM would only cause confusion.
men were becoming more visible and vocal about their rights. It was He was also skeptical of the need to coordinate the DSM-IV
in this climate that the APA decided to reexamine the assumed patho- with the ICD-10 as a reason for a new edition. DSM-III and DSM-III-R
logy of homosexuality. had used codes that were compatible with the ICD-9, but the actual
In May 1973, at the APA annual meeting, a formal session was names and criteria of diagnoses sometimes differed. Zimmerman
organized to address the status of homosexuality. Some psychiatrists, questioned whether this state of affairs truly warranted a new DSM
such as Irving Bieber, were adamant that homosexuality was derived when the ICD-10 was published. Could the codes not be similarly
from a pathological family with an overbearing mother and an aloof matched between the current DSM-III-R and the upcoming ICD-10?
or absent father (Stoller et al., 1973). This group cited case reports of After all, if the DSM and the ICD are so different, why publish these
distraught individuals who presented to psychiatrists to be ‘‘cured’’ of at the same timeVand if these are to be made more compatible,
this ‘‘affliction.’’ They argued that psychiatry had done homosexuality why would there even be a need for the DSM (Zimmerman, 1989)?
a favor by removing the condition from the realm of sin and placing it Although the task force never adequately answered these ques-
in the realm of medicine. To counter this, Robert Stoller and others tions, the work on the DSM-IV was begun. The claim to fame of
voiced their belief that sexuality was on a continuum. There was ‘‘no the DSM-IV was to be extensive documentation. Although DSM-III
such thing as homosexuality’’Vonly ‘‘homosexual behavior’’ (Stoller and its revision had relied on data from the RDC and Feighner criteria
et al., 1973, p. 1207). As such, there was no way of drawing a line for some diagnoses, most of the diagnoses included had been the result
where ‘‘illness’’ would begin. In December of this same year, the APA of expert opinion. The DSM-IV task force was to change that by ex-
Board of Trustees compromised and removed homosexuality per se amining as many dataVpublished or unpublishedVas they could ac-
from DSM-II. It was replaced by ‘‘sexual orientation disturbance’’ in cumulate to critically review DSM diagnoses (Frances et al., 1989;
subsequent printings. This diagnosis was to be reserved for those Widiger et al., 1991). About 150 literature reviews were done, and,
‘‘disturbed by, in conflict with, or [who] wish to change their sexual when information was lacking, existing data sets were reanalyzed with
orientation’’ (DSM-III; APA, 1980, p. 380). support from the John D. and Catherine T. MacArthur Foundation
In DSM-III, sexual orientation disturbance was replaced by the (Widiger et al., 1991). There were also field trials consisting of sur-
diagnosis ‘‘ego dystonic homosexuality.’’ This was done, in part, to veys, videotaped field trials for reliability, and 11 focused studies
emphasize that only individuals who were distressed by their orienta- sponsored by the NIMH that examined proposed alternative criteria
tionVnot just inconvenienced by itVshould receive the diagnosis. sets (Widiger et al., 1991).
However, it was also to emphasize that the label pertained only to The resulting DSM manual was supported by the publication of
homosexualsVnot to heterosexuals distressed by being straight. DSM-IV Source Books. These five large volumes included three
When DSM-III-R was published, the diagnosis of ego-dystonic volumes of the literature reviews conducted, a volume of the data re-
homosexuality was not included. This recognized that, at least, in the analysis, and a volume on the field trials conducted. DSM-IV itself
United States, many homosexual people go through a period in which was a hefty 886 pages. Although almost every diagnosis was slightly
their sexual orientation is ego-dystonic. This marked a step toward de- tweaked, there were only a few significant changes compared with
pathologizing homosexuality. However, many psychoanalytic societies DSM-III-R.
maintained a prohibition against training homosexual analysts. It was The organic mental disorders such as dementia and delirium
not until 1991, with the work of Richard Isay, that the American Psy- were renamed ‘‘cognitive disorders’’ because to call these ‘‘organic’’
choanalytic Association began allowing homosexual candidates. implied other disorders, such as depression or schizophrenia, did not
have an organic basis (APA, 1994). Other changes focused on duration:
ON TO THE DSM-IV! such as specifying that a month of positive symptoms were required for
In 1988, only 1 year after the publication of the DSM-III-R, the schizophrenia versus 1 week in DSM-III-R or that a manic episode had
APA appointed a task force to prepare the DSM-IV. The scheduled to last at least 1 week. This timing change was to increase the reliability
publication of a new ICD manual in 1993, and the treaty obligations of diagnoses. Some diagnoses were added (notably, Rett’s disorder,
of the United States to maintain consistency with ICD codes, was cited Asperger’s disorder, bipolar II, acute stress disorder, and narcolepsy);
as the reason for a new DSM (Frances et al., 1989). This synchronicity some were removed or included under other categories (notably, clut-
had also been cited as the reason for releasing DSM-II and DSM-III. tering, identity disorder, transsexualism, idiosyncratic alcohol intoxi-
Spitzer was attached as a ‘‘special advisor’’ to the task force, but cation, and passive-aggressive personality disorder).
the chairmanship went to Allen Frances. Frances was an analyst from The multiaxial system was also modified in DSM-IV. Pervasive
New York who had worked on the personality disorders section of the developmental disorders and academic skills disorders, now called
DSM-III. After its publication, Frances coauthored a very favorable learning disorders, were removed from axis II and were placed on
article about the manual from a psychodynamic perspective (Frances axis I. Now, once again, developmental disorders were divided be-
and Cooper, 1981). When the DSM-III was revised, Frances moved up tween axis I and II. Axis IV was now no longer just a rating of
to membership in the work group properVas well as having input on psychosocial stressors, but the problems themselves could be re-
personality, mood, and anxiety disorders. ported. Axis V was the same GAF, but the scale now extended to
There were mental health professionals who objected to the 100 instead of ending at 90.
planned publication of DSM-IV (Ellis and Mellsop, 1990; Taylor, 1989;
Zimmerman, 1988, 1989). Mark Zimmerman, now an academic psy-
chiatrist but a medical student at the time, was one of the most out- A REVISION OF DSM-IV?
spoken. It would be problematic, he protested, having three different In the mid-1990s, the WHO announced that it would no
DSMs in 12 years. He argued that there had not been enough time for longer update the ICD on a regular 10-year cycle (Cooper, 1995). This
the research that would lead to changes, that resources used to reconcile removed the pressure (or perhaps the excuse) to revise the DSM as
the new diagnoses with the old ones would be siphoned away from frequently as it had been. Consequently, DSM-5 was scheduled for
more worthwhile work, that there was inadequate time to become fluent publication in 2010 (now delayed by several years). There was to be
in one set of criteria before these were changed, and that patients would no modification of diagnostic criteria until then. However, the APA
become frustrated if their diagnosis changed only because the diag- made the decision to update the text associated with each diagnosis on
nostic criteria changed. Citing studies that showed that psychiatrists the basis of research conducted from 1992 to 1998. To avoid confusion

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The Journal of Nervous and Mental Disease & Volume 200, Number 12, December 2012 American Psychiatry and the DSM

with DSM-IV, and to prevent it from being considered a DSM-IV-R, it consideration signs and symptoms. Psychiatrists again found a niche
was called DSM-IV-TR for ‘‘Text Revision’’ (First and Pincus, 2002). with medications such as neuroleptics and tricyclicsVwhich required
‘‘Most of the changes made in the DSM-IV text were in the some expertise to prescribe.
‘associated features’sections, which included subsections on associated What aspect of American psychiatry will be reflected in DSM-5?
laboratory findings; culture, age, and gender features; prevalence; We are in an age where nonpsychiatrist physicians, nurse practitioners,
course; and familial pattern’’ (First and Pincus, 2002, p. 289). There and physician assistants are comfortable prescribing medications such
were also minor corrections in the wording of the criteria related to as serotonin reuptake inhibitors and atypical antipsychotics. Indeed,
pervasive developmental disorders, tic disorders, and paraphilias (APA, the approved indications for these medications are so broad that one
2000). DSM-IV-TR included a change in how complicated dementias could argue whether little diagnostic acumen is even necessary for their
were recorded. For example, instead of diagnosing Alzheimer’s disease use. Another traditional role of psychiatrists, providing therapy, is
with depressionVthere would be two diagnoses: Alzheimer’s disease now frequently done by master’s level clinicians as patients become
and depression caused by a general medical condition. ‘‘clients.’’ So what is the role of the psychiatrist? The APA is unique
The question that arises is whether these modifications deman- in that it is the only medical specialty organization that controls and
ded an issuance of a new DSM, whether these could have been released produces its own diagnostic manual. Perhaps, a new edition of the DSM
as bulletins or just updated in subsequent printings of DSM-IV. Re- is a tangible way for American psychiatry to keep hold of its place in
member, DSM-III was a best seller, and, by the early 1980s, the APA mental health.
had shifted its organization so that most of its funds came from pub-
lications (Wortis, 1984). In addition, the DSM is not only in use do- DISCLOSURES
mestically. A 1991 survey showed that the DSM was more popular The author has received research funding from the NIH, the
internationally than the ICD (Maser et al., 1991). There is also a score Department of Veterans Affairs, and the Brain and Behavior Research
of support books published along with the DSM: the DSM primary care Foundation.
text, DSM desk reference, DSM quick reference, DSM classification The author declares no conflict of interest.
sheets, DSM guide books, DSM handbooks for differential diagnosis,
DSM casebooks, DSM clinical interview books, DSM study guides, and REFERENCES
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