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Special Topic Section: Borderline Personality Disorder

Editors: J.F. Clarkin, M.I. Posner

Overview

Psychopathology 2005;38:56–63 Received: February 13, 2003


DOI: 10.1159/000084812 Accepted: May 26, 2003
Published online: March 31, 2005

Defining the Mechanisms of Borderline


Personality Disorder
John F. Clarkin Michael Posner
Weill Cornell Medical Center, New York, N.Y., USA

Key Words Introduction


Personality disorder W Borderline personality disorder W
Temperament W Psychotherapy of borderline personality Borderline personality disorder (BPD) constitutes one
disorder of the most important sources of long-term impairment in
both treated and untreated populations [1]. Approximate-
ly 11% of psychiatric outpatients and 19% of inpatients
Abstract meet criteria for BPD [2], the majority of whom are wom-
Understanding the biological connections to mental pro- en. A population prevalence of 0.3% for diagnosed defi-
cesses was one of the original goals of psychoanalysis, nite or probable BPD was found in a nonclinical popula-
and the development of cognitive and affective neurosci- tion using a conservative diagnostic interview [3], and a
ence and its methods might contribute to actualizing this similar figure (0.7%) was found subsequently in a Norwe-
goal. Personality disorders provide an opportunity to gian population-based study using a somewhat less con-
examine the complex mental structures of individuals servative interview [4]. Suicidal [5, 6] and self-injurious
experiencing extreme difficulties in interacting with their behavior are particularly prevalent with BPD patients.
social environment. We provide initial information on a BPD is substantially comorbid with other personality dis-
collaboration exploring an approach to one of the most orders [7, 8] and with Axis I disorders [9]. BPD negatively
serious personality disorders, borderline personality dis- affects the treatment efficacy for a number of Axis I disor-
order, based upon the study of normal attention, individ- ders [10] and is less responsive to pharmacotherapy [11].
ual differences in temperament, self definition and at- This prevalent, chronic, and debilitating syndrome is
tachment organization, with the potential to illuminate associated with high rates of medical and psychiatric utili-
the psychology and psychobiology of the disorder and to zation of services [12].
contribute to psychotherapeutic intervention. This devel- Personality disorders represent an opportunity to ex-
oping model of borderline personality disorder can re- amine the complex mental structures of people experienc-
late the symptoms to more enduring temperamental ing extreme difficulties in interacting with their social
aspects of the patients. The goal is to understand the environment. Because of its behavioral complexity and
development of neural networks that underlie the abnor- lack of clear organic markers, BPD poses one of the great-
malities of adults, and eventually work out the interac- est challenges to understanding the psychobiology of its
tion between temperament, genes, and experience that development. BPD is a defined mental health problem
produce the disorder, and potentially inform interven- that has been identified and studied by psychoanalytic
tion. [13] as well as behaviorally oriented therapists [14]. Un-
Copyright © 2005 S. Karger AG, Basel

© 2005 S. Karger AG, Basel Dr. John F. Clarkin


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derstanding the biological connections to mental pro- themselves and environmental and developmental in-
cesses was one of the original goals of psychoanalysis, and puts. We consider briefly the two major domains of tem-
the rapid development of cognitive and affective neuro- perament and personality processes with respect to the
science built on brain imaging methods might help actual- development of BPD.
ize this goal [15, 16a, b]. A unique aspect of our work is Symptomatology and phenomenology of the disorder
the collaboration of a team of researchers with different are a first attempt to isolate individuals with a common
areas of expertise. With funding from the Borderline Per- condition. In order to understand the nature of BPD,
sonality Disorder Research Foundation, we assembled a there are many reasons why research must go beyond the
team of neurocognitive scientists (M. P., David Silber- symptom level. Symptoms change over time, and have
sweig), a leading psychoanalyst (Otto Kernberg), experts been found to be unstable [30]. This is not surprising,
on attachment style (Kenneth Levy), and psychotherapy because the criteria set is composed of behaviors, symp-
researchers (J. C.). toms, traits, and attitudes. Symptoms do not reveal mech-
This Special Section provides some initial information anisms of action. Even the motivational level of human
on a collaboration exploring an approach to BPD based behavior is not approached in the symptom/criteria set.
upon the study of normal attention [17, 18], individual In addition, the criteria set does not include many aspects
differences in temperament and personality [19, 20] and of human functioning that are crucial to an understanding
brain imaging [21, 22], with the potential to illuminate the of personality disorder.
psychobiology of the disorder and contribute to interven-
tion strategies. In the first section of this overview, we Temperament and Personality Organization
present a discussion of the symptoms of the disorder and The constructs emerging from the field of tempera-
the centrality of temperamental aspects of negative affect ment research may have considerable utility in articulat-
and poor self-control. We discuss the relationship of these ing the causes and emergence of personality disorders,
variables to the conception of self and others, and the particularly BPD. Within academic psychology and par-
nature of attachment to others in the environment. We ticularly within developmental laboratories, extensive re-
then provide an outline of our research plan and summa- search on temperament and its relationship to biological
rize the findings we have obtained so far from borderline systems has matured into a rich and powerful corpus.
patients and appropriate controls prior to their undergo- Derived principally from the study of children, the con-
ing a year of therapy. This summary places the papers in temporary framework for temperament provides an im-
the Special Section in their context. portant organizing scheme for the investigation of the
development of personality disorders. In one view, tem-
perament refers to individual differences in motor and
BPD Symptomatology emotional reactivity and self-regulation [31]. Tempera-
ment arises from genetic endowment [32], but tempera-
BPD is diagnosed if the individual has any 5 or more of mental systems are clearly influenced by the environment
a set of 9 criteria in DSM-IV, Axis II [23], including items and follow a developmental course [33, 34]. The interac-
relating to identity diffusion, impulsivity, and affect dys- tion of temperament and environment appears to be cen-
regulation. That BPD symptomatology is characterized tral to the development of self-control, emotional control,
by several major dimensions of psychopathology has long empathy, and social behavior [31], and one of its out-
been established. The empirical clusters or primary di- comes is adult personality and personality pathology. For
mensions of BPD have been discussed by researchers [24] example, research work using the children’s version of
and clinicians since the seminal multivariate work by these temperament scales has found that empathy and the
Grinker [25]. A burgeoning literature has suggested that development of conscience are related to strong, effortful
impulsivity and negative affectivity/emotional dysregula- control mechanisms [35, 36].
tion are the two core personality traits that characterize Our research on BPD has been guided by a model of
much of the phenotypic variation seen in BPD [26–29]. temperament as it relates to negative affect, evolving self-
Theoretical literature has only recently begun to ad- control, the internal sense of self and others, and related
dress the manner in which these dimensions are linked to impact on social behavior. Each of these aspects deserves
major underlying personality or temperamental pro- individual consideration.
cesses. It is not clear how these processes yield BPD
through unspecified interactions among the processes

Defining the Mechanisms of Borderline Psychopathology 2005;38:56–63 57


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Negative Affect and Defective Self-Regulation information processing and reactions to the environment.
Negative affect, especially hostility and aggression, and Influenced by temperamental disposition and environ-
a paucity of positive affect is an essential aspect in under- mental events (sometimes traumatic), a secondary level of
standing the individual with BPD [37, 38]. Negative intrapsychic organization takes place that determines the
affect invades the information processing of the individu- clinical syndrome of identity diffusion [13] reflected in
al [39] and the organization of the individual’s interper- the DSM-IV diagnostic criteria for BPD. Identity diffu-
sonal and personal experience. sion is characterized by a lack of integration of the con-
A second central feature of borderline pathology is cept of self and significant others. These poorly integrated
poor self-regulation. This relative inability to self-regulate conceptions of self and others are derived from an exces-
is manifested in impulsive behaviors, including impulsive sive dissociation between positive and negative affective
self-destructive behaviors, and difficulties in modulating investment of self and other representations, leading to
affective experience. Impulsivity and/or impulsive ag- chronic deficiency in the assessment of self and self-moti-
gression are considered to be underlying dimensions in vations. The clinical characteristics of BPD show chronic,
BPD [28, 40, 41]. severe pathology of object relations and immaturity in
Impulsivity best predicts the persistence of borderline judgments of emotional relationships, difficulties in the
psychopathology across time [41]. Impulsivity combined commitment to work or to a profession, difficulties in the
with other factors has been related to suicidal behavior in commitment to intimate relations and disturbances in
BPD patients. For example, impulsive actions, comorbid sexual and love life. Imaging results have proved an ana-
antisocial personality disorder and depression are related tomical connection between mechanisms of self-regula-
to a history of suicidal behavior in BPD patients [42] and tion and self-referential processes in the midfrontal cortex
other mixed personality disorder groups [43]. [53].
There is evidence of the link between impulsivity and
underlying biological systems. Both impulsive aggression Attachment
and affective instability show a stronger familial relation- Recently, clinical researchers and theorists have under-
ship than the diagnosis of BPD itself [44]. In twins, impul- stood fundamental aspects of BPD such as unstable,
sivity and affective instability are heritable [45, 46]. Bio- intense interpersonal relationships, feelings of emptiness,
logical, neuroendocrine and imaging studies provide evi- bursts of rage, chronic fears of abandonment and intoler-
dence for the involvement of serotonergic activity in ance for aloneness, as stemming from impairments in the
impulsive aggression [26, 47, 48]. underlying attachment organization [54–56].
Affect dysregulation or emotional instability has been The dependent and vulnerable infant’s experience of
described as involving unpredictable responses to stimuli, the relationship with the caregiver has been hypothesized
increased baseline lability, unusual intensity of responses to lead to the development of representations of self and
and unusual responses [49], all characteristics of a poorly others [57–59]. This experience between infant and care-
constrained biobehavioral regulatory system [50]. Pa- giver is potentially influenced by many factors, including
tients with affective disorders have dysregulation of posi- the temperament of the child and the nature of the care-
tive affectivity [51, 52] whereas BPD patients have dys- giver’s attention and nurturing. Samples of borderline
regulation of negative affect [49]. patients show high incidence of early abuse [60], pro-
The evolution of self-regulation in the developing longed separations from caregivers during childhood [61]
child – the antidote to aggression, impulsivity, and affect and neglect [62]. These experiences would make the
dysregulation – is a central issue in understanding both development of insecure internal working models of at-
the development of normal personality and its organiza- tachments in borderline patients quite plausible.
tion and personality pathology [31]. Studies suggest that Representations of self and others and strategies for
effortful control has a developmental course in which processing attachment-related thoughts and feelings can
some children by age 3 are capable of efficiently making predispose the individual to psychopathologies such as
choices in conflict situations, especially those involving that found in BPD. An expectation of caregiver rejection
the suppression of dominant response modes. or undependability could lead to a conceptualization of
self as bad and unlovable, and conceptualization of others
Identity Diffusion as rejecting. Infants who develop internal working models
There is a general recognition that the developing indi- of insecure attachments to others may minimize or max-
vidual evolves a sense of self that, in turn, influences imize attachment needs [63]. Borderline patients are

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characterized by insecure attachments, but this can take dispositions meet with an environment involving early
the form of dismissive or preoccupied states of mind [55]. separations as well as physical and/or sexual abuse, paren-
Patients rated as preoccupied on the Adult Attachment tal neglect can lead to identity diffusion and impulsive,
Interview (AAI) were less likely to show significant change self-destructive behavior. We note that other neurobehav-
after one year of psychotherapy and had a higher drop-out ioral systems could also interact with the basic high nega-
rate than patients rated as dismissing. In addition, border- tive affect/low control (constraint) to potentiate the ex-
line patients with relatively higher reflective functioning pression of a BPD-prone temperament.
(an ability to evoke feelings, beliefs, intentions and other It is possible that attentional training accomplished at
psychological states in their account of relationship expe- the time of development of the executive system might
riences) as measured from the AAI [64] narratives fare help a broad range of children to overcome the deficits
better in treatment than those with low reflective func- involved in development with this inadequate self-regula-
tioning. tion. Although the chances that this will be effective in
overcoming the dramatic deficits of BPD do not seem
A Working Model of Borderline Personality Disorder very great, it is important that our understanding of the
Our working model of BPD, therefore, posits a dy- nature of the disorder and its development leads to a con-
namic interaction of temperament, especially a prepon- sideration of that possibility.
derance of negative affect over positive affect, low effort-
ful control, and an absence of a coherent sense of self and
others, in the context of a non-secure, anxious attachment Research Plan and Subsequent Findings
style [65a]. Our working model has many similarities to
those of others [65b, 66]. What is unique about our work Temperament
is the measurement of temperament, related investigation Our research plan flows from the hypothesized concep-
of neurocognitive mechanisms of attention, orienting, tualization of the nature of BPD, enunciated above. Since
and conflict resolution, and measurement of identity dif- the symptoms of BPD include dysregulation of negative
fusion and attachment style. These concepts are becoming emotions particularly in interpersonal relations, we hy-
increasingly connected to particular brain circuits and pothesized that borderline patients would be high in nega-
thus allow us to predict changes in brain imaging studies tive affect and low in effortful control as measured by
that might occur with various forms of therapy. common temperament and personality scales. The Adult
In this process of developing a model, we are attempt- Temperament Questionnaire (ATQ) [32] was utilized be-
ing to use these key concepts in active challenges to the cause it has scales for negative affect and effortful control,
BPD patient in order to understand how they function in and because it was based upon measures that had been
the immediate present. An information processing system widely used for young children. A temperament high in
that is actively influenced by negative affect, faulty and negative emotionality, including anger, and low in effort-
ineffective conflict resolution, and expectations of attach- ful control would appear to provide the basis for poor
ment to others in an anxious, ambivalent way specifies interpersonal relations, thus producing another of the cen-
the BPD experience, but also makes the issue of treatment tral difficulties in BPD.
foci and treatment development more specific and attain- The data we have reported [67a] suggest that patients
able. This suggests that interventions focused on the infor- with BPD are higher than normal persons in their self-
mation-processing system, especially in the social inter- described negative affect and lower in their self-described
personal sphere, will have the most impact on the patient, ability to control emotions and behavior (effortful con-
and is a necessary target of change if symptom improve- trol). As expected, the patients showed quite high levels of
ment is to be maintained across time. negative affect, well above the average, and were also
We think that adverse environmental events, such as somewhat lower than normal on effortful control. Their
sexual abuse, physical abuse and neglect, should be seen scores in these temperamental dimensions did not differ
in the context of the basic information processing of the depending on their medication status.
individual. It is plausible that these traumatic events add We screened over 1,000 university students who were
further stress to an already vulnerable individual. We do administered the ATQ. Of primary interest were the fac-
not assume that a temperamental disposition of negative tors of negative affect and of effortful control. We selected
affect and poor effortful control will, of necessity, result in two groups of controls. The temperamentally matched
BPD. Rather, it is assumed that if these temperamental control group was selected to show a similar temperamen-

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tal profile to the borderline patients, i.e., high negative aspects of attention: alerting, orienting and conflict reso-
affect and low effortful control. We also selected average lution. The network scores have proven reliable and show
controls whose scores on negative affect and effortful con- considerable independence across subjects. The ANT is
trol were close to the middle scale score of 4 on both of described in the paper by Fertuck et al. [68b].
these variables. All control subjects were screened for per- We found that patients differed from the average and
sonality disorders and did not meet criteria for BPD. temperamentally matched controls in the conflict net-
While the majority of temperamentally matched controls work, but not in any other attentional network, nor in
did not have a personality disorder, in our efforts to overall reaction time or error rate [67]. In subsequent
recruit them for experimental and brain imaging sessions analyses, patients differed from average controls but not
we noted the difficulty in working with some members of from temperamentally matched controls. The direction of
this population due to frequent changes of address and the differences is for temperamentally matched control
phone number, unreliability in keeping appointments, subjects to have a larger conflict score than the average
and/or their heightened anxiety and paranoia regarding controls; however, they did not show significant differ-
experimental procedures. Our general perception was that ences from either the average controls nor from the
these were rather difficult people whose behavior seemed patients. We evaluated whether the difference between
to show evidence of dysregulation, even though they were patients and controls could be explained by differences in
functioning in an academic setting and did not meet crite- age, medication, or temperament, and we concluded that
rion for BPD. As described in the paper by Hoermann et the difference between patients and average controls
al. [67b], we examined the clusters of borderline patients could not be explained by age or medication.
formed by a consideration of varying degrees of effortful As described by Fertuck et al. in this Special Section,
control. Once the patients were empirically grouped by we have found that when borderline patients are exam-
the effortful-control construct, we examined hypothesized ined not in contrast to controls but as compared to each
differences between the groups in terms of symptoms, other, borderline patients differ not only on the ANT task
interpersonal behavior, and self-conception or identity but also in selected neurocognitive tasks that assess execu-
diffusion. These findings may have implications for tive control.
which treatment an individual should receive, and/or how These results indicate two important findings about
the treatment must be delivered to result in clinical the BPD patients. First, there is a particular abnormality
response. in the functioning of the attentional network specifically
involved in control of conflict. The other two components
Attention Network Task of the attentional system (alerting and orienting) do not
The next step was to examine whether consistent pat- seem to be impaired in these patients relative to controls.
terns of performance on psychological tests would Second, the abnormality is present in BPD patients but
emerge both from the diagnosed population and from the not in the temperamental controls. Although the tempera-
temperamentally matched group, while a different pat- mental controls also show elevated conflict scores, they do
tern would emerge from the average controls. Experi- not differ significantly from average controls. We con-
mental procedures known to tap effortful control were clude that temperament may play a role in the disorder,
used. It would also be important to study the interaction possibly in predisposing individuals to develop BPD, but
of attentional control and negative emotionality in a task some other factors must be involved, such as the forma-
designed to assess the ability to control responses in the tion of identity diffusion and severe environmental stres-
face of negative input. If patients differed from both con- sors.
trol groups, we would expect the functions on which they
differed to provide a basis for hypotheses about the Conceptualization of Interpersonal Relations
pathophysiology of the disorder. If the patients and the In yet another attempt to understand the heterogeneity
temperamentally matched controls showed a similar pat- of BPD pathology, especially as it relates to interpersonal
tern but those two groups differed from average controls, behavior and interpersonal connectedness, Levy et al.
we would posit that borderline personality disorder arises [68c] describe the BPD patients in terms of their attach-
from socialization of a particular type of temperamental ment styles. In the developmental literature, there is evi-
pattern. dence that the infant learns effortful control through the
Subjects were given the Attention Network Test (ANT) attachment and attention of a caregiver who models
[68a] to provide an evaluation of the efficiency in three soothing and self-control in high-affect-laden situations.

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We have, therefore, provided a measure of the borderline that the patient learns skills, or it can be seen as a primary
patients’ internal working model of attachments. This vehicle for change in interpersonal behavior by the pa-
attachment style may relate to effortful control, and to the tient. All treatments are aware of the interaction between
nature of the interaction between patient and therapist in patient and therapist, but different therapy orientations
treatment. put varying degrees of emphasis on the role of the interac-
tion and thus varying degrees of training of therapists. We
Treatment think future studies of therapy process between patient
Psychotherapy is the recommended primary technique and therapist will reveal differences between borderline
for treating BPD patients [69] and is the most widely patients and between therapy types in terms of that pro-
practiced approach to their treatment. A recent meta- cess, whether it is used for therapeutic leverage, and to
analysis [70] suggests that psychotherapy is an effective what extent the therapy process changes over time. The
treatment and may be associated with up to a sevenfold current issue and its data provide some interesting hy-
faster rate of recovery in comparison with the natural his- potheses that could be examined in process studies.
tory of the personality disorders. While these findings are Neurocognitive Impediments to Treatment. Neurocog-
encouraging, few controlled studies have actually exam- nitive processes, both those involving affect and those
ined the efficacy of particular treatments for BPD pa- without affect (conflict resolution on the ANT) can be
tients. seen as targets for intervention or as deficits to which the
In contrast to the extensive use of psychotherapy, only treatment must be adapted for the patient to improve.
two treatments – psychodynamic treatment and dialec- Emotion Processing. The borderline patient is charac-
tical-behavioral therapy (DBT) – have shown acute effica- terized by labile moods, expression of negative affect (es-
cy for treating BPD [71, 72]. The Linehan [72] study pecially aggression), and experiences affect storms either
examined outpatient psychotherapy for BPD patients, in isolation or in interaction with others. The information
but only for the subgroup that exhibited suicidal behavior. presented here in terms of assessment of negative affect
Compared to the treatment usually given in the commu- and poor effortful control are questionnaire methods of
nity, DBT led to a reduction in the number and severity of assessing affect dysregulation. Treatment would have as
suicide attempts and a decrease in the length of inpatient one of its goals the enhancement of emotional regulation,
admissions. with more modulation and control of anger and other neg-
Among several other common and promising treat- ative affects.
ment approaches to BPD is the object relations approach Sense of Self and Others. The patients’ sense of self and
based on Kernberg’s clinical theorizing [37]. Kernberg et others is central to their interaction with others in the
al. [73] call this treatment Transference-Focused Psycho- environment and central to their interaction with the
therapy (TFP) because it relies principally on the tech- therapist in the treatment itself. The treatment situation is
niques of clarification, confrontation and interpretation an opportunity to examine in detail the interaction of the
within the evolving transference relationship between the patient with others that is so central to the deficits in
patient and the therapist. Although Kernberg’s techniques social and work relations which brought the patient to
are widely practiced in treating BPD, there has been little treatment initially. If the sense of self and others is infused
research concerning the effectiveness and efficacy of these with hostility, defective and out of congruence with how
techniques. others perceive the patient, the therapy relationship is an
Treatment planning, either for clinical research or clin- opportunity for corrective perception.
ical practice, cannot be done solely on the basis of the In the treatment study currently being conducted by
DSM-IV criteria that constitute the diagnosis. It is becom- our research group, borderline patients are randomly
ing clear that these criteria and diagnostic membership assigned to one of three treatment groups in a double-
change with time. The characteristics of these patients blind design. One group receives a manualized psychoan-
such as temperament, effortful control, attachment style, alytically oriented treatment [73]. A second group re-
and neurocognitive functioning, will either affect the ceives a cognitive behavioral treatment [14] and a third
treatment or be targets for treatment. The following are group receives the pharmacological and counseling treat-
specific ways these variables might influence treatment. ments common in the community. Changes that might
Process of Interaction between Patient and Therapist. take place in self-reported temperamental dimensions of
The interaction between the patient and therapist can be negative affect and effortful control will be examined fol-
seen as a secondary element which must be managed so lowing therapy. Since these assays involve reports of

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recent experiences, it is possible that these will be in- fluenced by the initial severity but also by the strength of
fluenced by the therapies. The brain scans to be carried effortful control as reported by the patients prior to enter-
out after the therapy will show if the stronger activation of ing therapy.
the amygdala found in patients compared to average con- In summary, we are developing a model of BPD that
trols prior to therapy will be reduced with therapy. can relate the symptoms to more enduring temperamental
It will also be important to see if executive attention is aspects of the patients. We hope to understand the devel-
influenced by the therapeutic interventions. If amygdala opment of the neural networks that underlie the abnor-
activation is reduced in patients, it will also seem likely malities found in adults and eventually work out the inter-
that control systems related to emotion would be affected. action between temperament, genes and experience that
However, since the ANT does not involve any emotional produce the disorder. This special section provides our
system, it will be interesting to see if therapy generalizes to latest findings on effortful control in borderlines, corre-
this form of cognitive control. lates of the attention network difficulties in these patients,
A preliminary analysis after 4 months of therapy was and further information on the attachment style patterns
made in all patients who had reached this point, but with- in borderlines. We are hopeful that as the model is refined
out breaking the code describing which therapy was with further data collection, it will indicate important
involved. It was apparent that there was significant symp- areas of borderline patient heterogeneity and direct future
tom improvement. The degree of improvement was in- treatment development.

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