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Literature Review of Concepts and Theories of Motivation

“Literature Review of Concepts and Theories of Motivation”

2.1 Motivation

Motivation is defined as “a human psychological characteristic that add to a person’s degree of commitment. It is the management process of in suencing employees’ behavior”. (Badu, 2005) Conversely, Bartol and Martin (1998) relate motivation to the force that stimulates behavior, provide direction to behavior, and underlies the tendency to prevail. In other words individuals must be sufficiently stimulated and energetic, must have a clear focus on what is to be achieved, and must be willing to commit their energy for a long period of time to realize their aim in order to achieve goals. However, other than motivation being a force that stimulates behavior, Vroom (1964) emphasized on the ‘voluntary actions’. Supported by Steers et al. (2004), Vroom (1964) defined motivation as “a process governing choice made by persons…among alternative forms of voluntary activity.” Similarly Kreitner and Kinicki (2004) assumed that motivation incorporate those psychological processes that create the arousal, direction and persistence of voluntary actions that are goal oriented. Quite differently from the other definitions, Locke and Latham (2004) identified that motivation influence people’s acquisition of skills and the extent to which they use their ability. According to the authors “the concept of motivation refers to internal factors that impel action and to external factors that can act as inducements to action. The three aspects of action that motivation can affect are direction (choice), intensity (effort), and duration (persistence). Motivation can affect both the acquisition of people’s skills and abilities; and also the extent to which they utilize their skills and abilities” (Locke and Latham, 2004). In a nut shell, different authors have put forward the concept of motivation differently. Nonetheless, these definitions have three common aspects, that is, they are all principally concerned with factors or events that stimulate, channel, and prolong human behavior over time (Steers et al. 2004).

2.2 Intrinsic and Extrinsic motivation

Following Lakhani and Wolf (2005), Lakhani and Von Hippel (2003) and Lemer and Tirole (2004), the current scholarly thinking favors a framework that considers two components of motivation given by intrinsic and extrinsic components. Accordingly, Lawler (1969) intrinsic motivation is the degree to which feelings of esteem, growth, and competence are expected to result from successful task performance. This view bounds intrinsic motivation to an expectancy approach and expectancy theory which clearly indicates that intrinsic and extrinsic motivations summate (Porter &Lawler, 1968). Moreover, as per to Amabile et al. (1993) Individuals are said to be intrinsically motivated when they seek, interest, satisfaction of curiosity, self expression, or personal challenge in the work. On the other hand individuals are said to be extrinsically motivated when they engaged in the work to gain some goal that is part of the work itself. As per to the author this definition of intrinsic and extrinsic motivation is based on the individual perception of the individual perception of task and his or her reasons for engaging in it. Moreover, Amabile et al. further argued that intrinsic motivators arise from an individual’s feelings with regards to the activity and they are necessary to adhere to the work itself. Conversely, extrinsic motivators although they may be dependent on the work, they are not logically an inherent part of the work. Furthermore, in line with the concept of intrinsic and extrinsic motivation, De Charms (1968) suggest that external rewards might undermine intrinsic motivation. He further proposed that individuals seek for personal causation and because of the desire to be the “origin” of his behavior; man keeps struggling against the constraint of external forces. Thus, De Charms hypothesized that when a man perceives his behavior as originating from his own choice, he will value that behavior and its results but when he perceives his behavior as originating from external forces, that behavior and its results, even though identical in other respects to behavior of his own choosing, will be devalued. De Charms (1968) further argued that intrinsic and extrinsic motivation may interact, rather than summate that is the introduction of extrinsic rewards for the behaviors that was intrinsically rewarding may decrease rather than enhance the overall motivation. The author argued that the introduction of an extrinsic reward put the individual in a dependent position relative to the source of the reward. The locus of causality for his behavior changes from self to the external reward and thus the individual’s perception of self-control, free choice, and commitment deteriorate and hence do his motivation. In addition Frey (1997) note that high intrinsic work motivation evolving from work which is interesting involves the trust and loyalty of personal relationships and is participatory. However, under certain circumstances, intrinsic motivation can be diminished, or ”crowded-out” by external interventions like monitoring or pay-for-performance incentive schemes. This was also supported by Frey and Jegen (2001) who reviewed the literature on intrinsic motivations and found that the evidence does suggest that incentives sometimes do ”crowd-out” intrinsic motivations. Besides, Frey (1997) suggests that the important matter is whether the external intervention is in the form of a command or a reward. Commands are most controlling in the sense that they seize self-determination from the agent, while rewards might still allow autonomy of action. The maximization of employee’s motivation to attain the organization’s goals can only be obtained through a complete understanding of motivation theories (Reid 2002). There is a wide variety of theoretical frameworks that have been developed in the attempts to explain the issues related to motivation. Stoner, Edward and Daniel (1995) has described two different views on motivation theory, given by the earliest views and the contemporary approach which can further be subdivided into content and process theories.

2.3 Theories of Motivation

2.3.1 the earliest views of motivation.

One of the earliest views of motivation is Frederick W Taylor et al. (1911) scientific management theory. Taylor (1911) with regards to employee motivation proposed a paternalistic approach to managing workers and argued that workers are “economic men” and in order to motivate them, workers should be paid higher wages. The author also argued that the higher is the wage rate, the higher will be the level motivation and productivity. Furthermore, Taylor points out that many payment methods were ineffective, as they did not reward efficiency and he believed that a differential piece-work incentive system should be replaced with a piece rate incentive system (Wren, 2005). In other words workers should be paid according to the number of units produced in order to motivate them to work. On the other hand in line with building on the concept of motivation Elton Mayo (1953) came up with the Human Relations approach whereby the emphasis is laid on non-economic motivators. According to Elton Mayo (1953), if objectives of organization’s are to be met, it must attempt to understand, respect and consider the emotions, sense of recognition and satisfaction that is the non-monetary needs of workers. He believed that employees are not just concern with money but also they need to have their social needs to be met in order to be motivated to work. He is of view that workers enjoy interactions and managers should treat them as people who have worthwhile opinions. Furthermore, McGregor (1960) postulates Theory X and Theory Y which is based on assumptions about people and work. According to this theory, there are two types of assumption made with regards to employees whereby theory X assumes that employees are lazy and therefore theory X suggests that in order to motivate employees a more autocratic style of management is required. On the other hand theory Y assumes that workers enjoy work, committed to objectives of the organization and will apply self control and self directed in the pursuit of organizational objectives and therefore does not require external control.

2.3.2 Content theories of motivation

Content theories tend to focus on individual needs and attempt to explain the factors within a person that stimulate and stop behavior (Reid, 2002). According to Bassett-Jones and Lloyd (2005), content theory assume a more complex interaction between both internal and external factors, and explored the circumstances in which individuals react to different types of internal and external stimuli. The most well known content theory of motivation is the hierarchy of needs which has been put forward by Abraham Maslow (1943). According to Maslow, people are motivated by five types of needs and in order to motivate people to work more productively there is a need to offer them opportunity to satisfy those needs. He proposed that basic needs are organized in a hierarchy of prepotency and probability of appearance (Wahba and Bridwell, 1973). These needs include physiological needs, safety needs, social needs, self-esteem and self-actualization. Maslow argued that once a lower order need is fulfilled, the next level of needs in the hierarchy comes into play that is once employees satisfy the lower order needs they will next consider the next level of needs. The author further argued that unfulfilled lower needs dominate ones thinking and behavior until they are satisfied (Berl et al. 1984). However this theory has also been criticized to a large extent, for example Wahba and Bridwell (1973) argued that based on the ten factor analytic studies that have attempted to test Malow’s theory; there is no clear evidence that human needs are classified into five different categories, or that these categories are organized in a special hierarchy. The authors contradict Malow’s proposition and points out that, “none of the studies has shown all of Maslow’s five need categories as independent factors”, for example some studies have showed that the self-actualization needs may emerge as an independent category. They also argued that studies have also proved the issue of need deprivation and the domination of behavior to be different from that suggested by Maslow. Moreover results have also proved that either self-actualization or security are the least satisfied needs and social needs are the most satisfied. Therefore it is difficult to determine the general pattern of the degree of satisfaction and these trends are not the same as proposed by Maslow (Wahba and Bridwell, 1973). Conversely, Alderfer (1972) in the attempt to address the short comings of Malow’s theory proposed an alternative to Maslow’s theory which he termed as the ERG theory and postulate a three level hierarchy. Alderfer grouped Maslow’s five categories of needs into three categories given by Existence, Relatedness and Growth. According to the author, people are motivated by these three groups of core needs and he asserted that as one level of need is satisfied another takes over but if a need is not satisfied on a continuous basis, the individual may decide to give such a need a low priority. Nonetheless, while Maslow and Alderfer presented the concept of motivation in a hierarchy, McClelland (1961, 1971), ignored the concept of hierarchy and put forward a theory known as the acquired need theory that emphasize on three types of needs namely, need for affiliation, need for achievement and need for power. McClelland is of view that individual’s experiences are acquired through life experiences that is they are learned. According to this theory individuals possess several needs, and when these needs are activated they serve to motivate behavior and this is to the contrary of Maslow’s proposition of a continuous progression throughout the hierarchy of needs (Steers et al. 2004). Moreover, also put differently Herzberg et al. (1959) sought to understand how work activities and the nature of an employee’s job influence motivation and performance. They proposed a theory that involves what they termed as “motivators” and “hygiene factors”. According to Herzberg the most crucial difference between the motivators and the hygiene factors is that the motivator factors involve psychological growth while the hygiene factors involve physical and psychological pain avoidance. The authors examined motivators and hygiene factors in the workplace and proposed that where job satisfaction was high there would be corresponding high motivation. Herzberg (1959) further argued that work motivation is influenced to a large extent by the degree to which a job is intrinsically challenging and provides opportunities for recognition and reinforcement. However despite that Herberg’s theory has been widely accepted by managers (e.g Latham 2007, Miner 2005, Steers and Porter 1983), this theory has been criticized by many authors. For example Reid (2002) argued that the work of Herzberg is an examination of job satisfaction rather than motivation of employees. Reid also argued that no matter how much emphasis is laid on factors that are intrinsically rewarding, if hygiene factors such as low pay is not addressed, their full effect cannot be felt. Moreover, also Brenner et al. (1971) contradict Herzberg proposition that motivation factors increase job satisfaction and hygiene factors leads to job dissatisfaction and points out that his study and others indicated that the employees received job satisfaction and job dissatisfaction from both the motivating and the hygiene factors. Similarly Locke (1976) assessed Herzberg two factor theory and argued that job satisfaction and dissatisfaction result from different causes.

2.3.3 Emperical studies of content theories

Zakeri et al. (1997) carried out research in the Iranian construction industry to find out level of Maslow’s hierarchy of needs are the most motivating factors and whether these factors are motivating factors or just hygiene factors as proposed by Herzberg. A list of 20 factors was chosen according to Maslow’s classification of needs and the lists were presented to the construction crafts- men and operatives whereby Zakeri et al. (1997) found five most motivating factors in descending order namely; ‘fairness of pay”, “Incentive and financial rewards”, “on-time payment”, “good working facilities” and “safety”. The authors argued that despite Herzberg’s proposition that money is not a satisfier, this survey along with others proved that money is the most motivating factor. In addition Arnolds and Boshoff (2002) conducted research in a number of firms in South Africa to investigate the impact of need satisfaction on self-esteem and of self-esteem on performance intention as suggested by Alderfer (1972). According to the empirical results, self-esteem was found as a significant determinant of employee job performance and results showed that providing frontline employees opportunities to perform challenging work, allow participation and teaching them new things on the job will enhance their self-esteem as well as their performance intentions (Arnolds and Boshoff, 2002). The authors argued that the experiment also showed that the satisfaction of fringe benefits does not have a significant impact on performance intentions via self-esteem as an intervening variable and this support Herzberg’s et al. (1959) theory.

2.3.4 Process theories of motivation

Along with the content theories, there are also different process theories. According to Viorel et al. (2009) the content theories emphasize on specific factors that motivate workers with regards to certain necessities and aspirations, while the process theories emphasize on the processes and the psychological forces that have an impact on motivation. They start from the premise that motivation starts with the desire to do something. The process theories provide more realistic principles with regards to motivation techniques and therefore they are more useful to managers compared to content theories (Viorel et al. 2009). Vroom (1964), in the interest to study motivation developed an alternative to the content theories which is known as the expectancy theory. Vroom suggest that there are three mental components that are considered as instigating and directing behavior and these are referred to as Valence, Instrumentality, and Expectancy. He argued that employees rationally analyze different on-the-job work behaviors and then choose those behaviors which they believe will lead to their most valued work-related rewards and outcomes. Moreover, Porter and Lawler (1968) expanded Vroom’s work to identify the role of individual differences for example employee abilities and skills and the role clarity in relating job effort to actual job performance. Porter and Lawler also explained the relationship between performance and satisfaction and argued that this relationship is mediated by the extent and quality of the rewards that employees receive in return for their job performance. In addition to expectancy theory Adams (1963), developed the equity theory to clarify how employees respond cognitively and behaviorally with regards to unfairness in the workplace. Adams suggested that employees develop beliefs about what constitutes a fair and equitable return for their job performance and contributions therefore employees always compare their efforts and the associated rewards with that of other employees and in case there is a situation whereby there is an element of injustice or unfairness there is an imbalance that is a perception of inequity will result. The author is therefore of view that when perception of inequity occurs the employee will get engaged in activities and do effort in order to reduce the inequity. On the other hand, quite differently Latham and Locke (1979) came up with the goal setting theory. According to Latham (2004), the underlying premise of the goal setting theory is that “one’s conscious goals affect what one achieves”. The author argued that this is because a goal is said to be the objective or aim of an action and having a specific goal result to improved performance. Employees with specific hard goals tend to perform better compared to those with vague goals and that a goal is a standard for assessing an individual’s performance. Moreover, Latham also suggested that “to the extent that the goal is met or exceeded, satisfaction increases; and conversely, to the extent that performance falls short of the goal, one’s satisfaction decreases”. While content theories have tended to focus on needs of people and process theories have focused on factors motivating people, Adair (2006) have brought some new issues in the field of employee motivation and developed a new theory of motivation known as the Fifty-Fifty rule. Unlike the authors of content and process theories, Adair is of view that motivation lies both within an individual as well as external to the individual. According to the author, 50 percent of motivation lies within a person and fifty percent lies outside the person however Adair points out that this theory does not assert for the exactly fifty-fifty proportion in the equation but it only emphasized on the idea that a considerable part of motivation lies within a person while a considerable part lies outside and beyond its control.

2.3.5 Emperical studies of process theories

With regards to Adams Equity theory, Levine (1993) calculated wage residuals for more than 8,000 manufacturing employees. Wage residuals respect employees’ wages relative to employees with similar demographics and human capital in terms of education and training (Ambrose and Kulik, 1999). Levine found that employees with higher wage residuals reported that they were less likely to leave, were more satisted with their pay, were willing to work harder than they had to, and were more committed to the organization. Therefore in line with this argument, the author pointed out that employees with low wage residuals might be expected to experience inequity or unfairness relative to similar others and exhibit negative responses. Moreover Arnolds and Boshoff (2002) conducted research in a number of South African firms whereby they analyzed the application of the expectancy theory put forward by Vroom (1964) and they argued that the satisfaction with pay and fringe benefits does not impact on the performance intentions of frontline employees because these need satisfactions do not have any esteem valence for these employees. In other words, frontline employees do not have a higher regard of themselves if they are getting enough pay to fulfill basic necessities (Arnolds and Boshoff, 2002). Besides based on the Goal Setting theory, Stanseld and Longenecker (2006) performed a study in a traditional manufacturing plant in the Midwestern USA to develop a model of efficient and effective goal setting and feedback practices for manufacturing. According to the authors the study showed that an information system, facilitating goal setting and feedback can play a vital role in improving individual performance levels. Stansfield and Longenecker also found that employee motivation and performance were both improved in the study, which lead to better organizational performance and protability. The authors also argued that goal setting and feedback can create competitive advantage for manufacturers with a minimum investment of time and capital if they implement these practices with proper coordination.

2.3.6 Reinforcement Theory

B.F. Skinner (1953) compared to need and process theories, came up with a different theory known as the reinforcement theory in which he proposed that people’s behavior is dependent upon its consequences. He suggested that if consequences of behavior is positive then such behavior will be repeated and vice-versa. Skinner (1953) argued that behavior can thus be reinforced through different forms of reinforcement or rewards. According to him individuals can be influenced in four different ways given by positive reinforcement (a reward such as praise so that the person repeat the behavior), negative reinforcement (rewarding employees by removing unwanted consequences), extinction (deliberately withheld positive reinforcement to discourage unwanted behavior) and punishment (applying undesirable consequences for unwanted behaviors). Through these theories, it can be said that work motivation has been characterized by dimensions such as interesting job, ability to perform, recognition, adequate pay, and feedback on performance (Dwivedula and Bredillet, 2010). However according to Meyer et al. (2004) it is also very important to consider differences in the psychological states, or mindsets that can accompany motivation. Therefore, Meyer et al. (2004) argued that motivation theories developed in other areas of psychology render a convincing case that motivation is multidimensional.

2.3.7 Adaptation-Level Theory

Bowling et al. (2005) argued that “the adaptation-level theory (Helson, 1948, 1964a, 1964b), offers one potential explanation for the temporal stability of job satisfaction”. Bowling explained that the theory postulates that someone’s evaluation of an outcome is said to be a function of previous experiences outcomes. For example, an employee who has worked for years without a pay raise would be expected to respond positively to even a small pay increase because this change in pay would be different from that individual’s adaptation level, however the positive response would be temporary as the individual’s adaptation level would eventually change as the experience of the pay increase is integrated into the employee’s adaptation level (Bowling et al. 2005).

2.3.8 Self-Regulatory Theory

Moreover quite differently, Higgins (1997, 1998) proposed the regulatory focus theory that draw important differences in the processes through which individuals approach pleasure and avoid pain. Huggins proposed that individuals have two types of motivational systems given by a system that regulates rewards (promotion focus) and one that regulates punishments (prevention focus). According to the author people who operate primarily within the promotion focus are concerned with accomplishments, are sensible towards the existence or absence of rewards, adopt a goal attainment strategy, are more creative and are more willing to take risks. However, people who operate within the prevention focus tend to be more concerned with duties and responsibilities and are more sensitive to the existence or absence of punishments. Moreover the regulatory focus is ascertained both by situational and chronic factors (Higgins, 1997, 1998).

2.3.9 Activation theory

On the other hand Anderson (1976, 1983) came up with the activation theory whereby he argued that the strongest motivating factor is the work itself however over time as the worker get used with the environment and learns the responses required in the repetitive task there may be a fall in the activation level or job stimulation. It is important to highlight that over time all work tends to become repetitive after the job has been practiced and therefore a wide range of dysfunctional and non-task activities must be pursued to offset the fall in the job stimulation level (Milbourn 1984). Moreover according to Milbourn (1984), if dysfunctional activities are addressed, managers can consider enriching jobs through job redesign to reduce monotony at work in order to maintain job stimulation.

2.4 Motivational practices in Organizational environment

According to Islam and Ismail (2008) the theories mentioned continue to offer the foundation for organization and managerial development practices to a large extent. Along with the above theories, during the last decade, based on employees’ motivation many empirical studies have been carried out (Islam and Ismail, 2008). For example, Bent et al. (1999) carried out research in small food manufacturing businesses whereby respondents were asked to complete, using a five-point Likert scale about how they felt motivated and then how satisfied they were with their jobs and the authors found that the degree of positive motivation was high. According to Bent et al. (1999) the employees were either very or moderately motivated with their jobs, however it was important to note that no respondents stated that they were either very motivated or very dissatisfied with their job. The authors also argued that issues which are associated with individual management style include lack of appreciation from management to feel for the work of employees and that there was also poor communication contributing to low job satisfaction and this contrasts with the identification by employees, of the motivating or satisfying qualities of a good management style. Moreover VaitkuvienA„- (2010) conducted research in two Swedish manufacturing companies given by, the company Frilight AB and Enitor Plast AB and reported that the workers were found satisfied with the working conditions, training of staffs and career opportunities. The author argued that the Swedish employees were motivated and that the employees do not avoid responsibilities and follow directions. VaitkuvienA„- (2010) also found that almost all employees are stimulated with the organizing of recreational tours, holidays and events. According to the author more than half of employees in the Sweden manufacturing companies are stimulated through gifts on various occasions (birthdays, holidays), free meals at work, health insurance coverage, work, clothes, equipment, travels for the company employees, days off, recognition and good working conditions and therefore the author pointed out that the employees of the manufacturing companies consider non-financial motivation tools to be more important. Eventually, Dwivedula and Bredillet (2010), in line with the authors Cummings and Blumberg (1987) pointed out that studies from the manufacturing sector emphasize on the importance of providing autonomy, and skill variety to the employees which are otherwise absent. On the other hand Adler (1991) observed and concluded that manufacturing firms rely on job rotation, and voluntary job switching to motivate the employees. Moreover, Galia (2008) supported by Dwivedula and Bredillet (2010) reported that more recently it has been observed that, in a survey of 5000 manufacturing farms by SESSI (Industrial Statistics Department of the French Ministry of Economics, Finance, and Industry), practices such as autonomy at work, incentives to promote creativity have been widely adopted in order to motivate the workers.

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The Russian Concept of Schizophrenia: A Review of the Literature

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Page 1: The Russian Concept of Schizophrenia: A Review of the Literature

The Russian Concept of Schizophrenia:A Review of the Literature

by Helen Lavretsky

The focus of this article is a comprehensive review ofthe Russian-Soviet conceptualization of schizophrenia,which can be understood only in the broader historicaland cultural context of Russian-Soviet psychiatry.Because of multiple barriers and the political abuse ofpsychiatry in the former Soviet Union, internationalpsychiatric literature has lacked unbiased data aboutthe scientific merit and historical logic of the Russian-Soviet concept of schizophrenia. This article representsan attempt to examine phenomenology, nosology, andsome biological theories of schizophrenia developed hithe former U.S.S.R. from historical and scientificpoints of view and to compare them to the Westerntheories. The article also addresses historical and cul-tural antecedents of the abuse of psychiatry. Theauthor suggests that the lack of a democratic traditionin Russia, a totalitarian regime, and oppression and"extermination" of the best psychiatrists during the1930-50 period prepared the ground for the abuse ofpsychiatry and Russian-Soviet concept of schizophre-nia. Perspectives on the potential changes in theRussian concept of schizophrenia in changing histori-cal conditions are discussed.

Key words: Russian-Soviet psychiatry, abuse ofpsychiatry.

Schizophrenia Bulletin, 24(4):537-557,1998.

Despite extensive research on the part of the internationalpsychiatric community, schizophrenia remains an enigmain terms of diagnostic precision, etiology, underlyingpathophysiology, clinical course, and outcome. Disputesover concepts and appropriate models of mental disordersextend back to classical times. Two main approaches fol-low two philosophical schools: the Platonic tradition,which viewed medical disorder as a disease entity, and theAristotelian tradition, which emphasized the natural his-

tory in individual patients (Kerr and McClelland 1991). Athird approach, established by Russian psychiatry,acknowledges the presence of dimensional and categori-cal components within a single framework.

The focus of this article is to explore the key compo-nents of the Russian-Soviet concept of schizophrenia, toreview some historical and political aspects of Russianpsychiatry as applied to the concept formation, and tocompare the concept to the European and American clas-sifications. This article is not intended to be a comprehen-sive overview of Russian-Soviet schizophrenia research.

A concept of an illness is based on the definitions ofthe disease boundaries. The recent introduction ofDSM-FV (American Psychiatric Association 1994) andInternational Classification of Diseases (ICD-IO; WorldHealth Organization 1992) has provoked further questionsabout theoretical models and concepts implicit in thesediagnostic systems. Discussion of "the changing conceptsof schizophrenia" and their effect on the estimation ofoutcome have become especially relevant (Andreasen1994). This discussion brought up the issue of artificialboundaries between different nosologies and how theychange our clinical perception and prognosis. SinceDSM-III (American Psychiatric Association 1980),American psychiatry has followed the narrower defini-tions of schizophrenia based on core symptoms with theworst prognosis (Hegarty et al. 1994). By contrast, theRussian-Soviet model of schizophrenia remains unique,based on broad definitions and a genetic "spectrum con-cept" (Reich 1975).

Because of numerous barriers, including political,cultural, conceptual, scientific, and linguistic, Westernpsychiatric literature is virtually devoid of references toRussian work except for the highly politically chargedpapers published in the 1960s and 1970s (Muchnik 1968;

Reprint requests should be sent to Dr. H. Lavretsky, Department ofPsychiatry, UCLA-NPL 760 Westwood Plaza, Los Angeles, CA 90O24.

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Schizophrenia Bulletin, Vol. 24, No. 4, 1998 H. Lavretsky

Wing 1974; Corson and O'Leary-Corson 1976; Bloch1978; Bloch and Reddaway 1984) and some more recentpublications of the same nature (Miller 1985; Joravsky1989; Kabanov et al. 1991; Kanas 1992; Zharikov et al.1997). Only a few "neutral" publications attempt to exam-ine the roots of the political abuse of psychiatry in the for-mer Soviet Union (Brown 1981, 1994; Calloway 1993;Fulford et al. 1993). Unfortunately, the political misuse ofpsychiatry and the "schizophrenia concept" in the formerUnion of Soviet Socialist Republics (U.S.S.R.) has led toa virtual cessation of interaction between Russian andinternational psychiatry, depriving all of mutual enrich-ment. In the past several years, as a result of the politicalchanges, Russian-Soviet psychiatrists have begun to showsigns of interest in learning from Western psychiatry inthe areas of clinical care and psychiatric research (Kanas1992). Their participation increased in the Tenth WorldCongress of Psychiatry (Madrid, Spain, August 1996) andthe Sixth World Congress of Biological Psychiatry (Nice,France, June 1997).

The time has come to reestablish channels of mean-ingful communication. An improved understanding of theRussian-Soviet concept of schizophrenia and its historicaland political roots, as provided in this article, may helpthe process of scientific exchange between psychiatrists ofthe former Soviet Republics and psychiatrists worldwide.

The History of Russian'SovietPsychiatry: Development of theSchizophrenia Concept

Historical research on mental disorders is difficult to fol-low because of the differences in terminology and con-cepts of mental illness throughout various historicalepochs. It gets even more complicated if translation isneeded to grasp the linguistic and cultural content of theconcepts in the context of a historical period. But a deeperunderstanding of the origins of the Russian concept ofschizophrenia is very much associated with the history ofpsychiatry in Russia and the former Soviet Union. Thehistoriography of Russian and Soviet psychiatry illustratesthe extent to which the social construction of history isinfluenced by extraneous factors (Brown 1994).

Russian Psychiatry in Ancient and Medieval Times.Yudin (1951) indicated that the first description and classi-fication of mental illnesses was mentioned in documentsfrom the 9th and 10th centuries. Mental illness wasexplained by demonic possession. At that time the mentallyill were treated by shamans and witch doctors with herbsand curses. After the arrival of Christianity in Russia inthe 13th century, mental illness was regarded as God's pun-

ishment The mentally ill were taken care of by monks inthe monasteries and were divided into two large groups—"odd" and "mad." The main principles of care applied bythe Russian Orthodox Church were humane treatment andrehabilitative measures such as gardening and other jobs atthe monasteries. The general public sometimes idealizedthe mentally ill as holy—God's creation—and providedsome financial support for the "fools." In the medievalperiod, descriptions of epilepsy, mental retardation, andschizophrenia-like illness, as well as alcoholism and alco-holic psychosis were documented (Fedotov 1983). Variousherbal preparations (pepper, caraway, mustard, mint, nuts),alcoholic tinctures, sedating teas and oils, and honey wereused to treat mental disorders.

The 18th and Early 19th Centuries. At the beginningof the 18th century, the Russian Government attempted tocreate mental hospitals. In 1762, the Senate passed a lawindicating that treatment for the insane should be providedin special asylums, "dolhause." The first asylum underdirection of a physician was created in 1771 in St.Petersburg, and by 1814, Russia had 14 asylums (Anikinand Shereshevsky 1992). In 1775 local governments,"zemstvo," became responsible for the organization andprovision of psychiatric care for the general population byservicing catchment areas. At the same time, the first the-oretical and practical concepts of psychiatry were devel-oped. New concepts and terms, such as hereditary predis-position, and the impact of head trauma, cerebral edema,and hydrocephalus as causes of mental illness were dis-cussed. Various treatments of mental disorders includedbloodletting, medicinal leeches applied to the back of thehead and anal area, use of purgatives and cathartics, emet-ics, mustard plaster applied to feet and head, bromatecamphor, and electrotherapy. Initial principles of occupa-tional therapy, the role of meditation and prayers, and"kind treatment" by the physicians and monks wereapplied to the treatment of psychosis, agitation, andmelancholia (Anikin and Shereshevsky 1992).

In the beginning of the 19th century, new kinds oftreatments, such as light therapy for the "maniacs andmelancholiacs," and fasting and special diets were devel-oped for psychotic and agitated patients. In 1837, the firstall-Russian registry for the mentally ill showed the preva-lence of mental illness to be 0.68 per 1,000. Thatincreased 3.5-fold toward the end of the century (Anikinand Shereshevsky 1992). A great interest in the etiology,pathology, and pathophysiology of mental illness wasalready growing among Russian physicians and became atradition for the national school of psychiatry later on.The models and classifications of mental illness incorpo-rated new findings and ideas.

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The Russian Concept of Schizophrenia Schizophrenia Bulletin, Vol. 24, No. 4, 1998

The Russian psychiatry of the 17th to die early 19thcenturies experienced strong German influence, becauseGerman professors, supported by the Russian tsars, taughtin the Russian universities. However, abundant nationaltalents had always promoted independent development ofRussian psychiatry (Fedotov 1983). In 1841 Verchatskyproposed a descriptive classification that included mania,mania with excitement, periodic mania with agitation,hypochondria, melancholy, epilepsy with mania, epilepsywith dementia, dementia, and amentia (Fedotov 1983). In1843 Diadkovsky classified mental disorders as five levelsof nervous and mental illness (see Fedotov 1983). Hetried to group disorders not on the basis of descriptivephenomenology, but by mental function into disorders ofsensory functions and perception, cognition, volition, andmotor and energetic functioning. This approach remainedpopular among the Russian-Soviet nosologists(Snezhnevsky 1983).

The 19th and 20th Centuries in Psychiatry. The sec-ond half of the 19th century became the most importantperiod for the emergence of Russian psychiatry and theconcept of schizophrenia. Many authors described thesymptomatology of the illness (Kandinsky 1890), but, bytradition, they kept it under the diagnosis of mania ormelancholia. Only at the beginning of the 20th centurydid die term dementia praecox begin to be used in Russia(Kannabikh 1929).

Prior to die middle of die 19Ui century, there wereonly a few isolated physicians in Russia who cared for thementally ill. The emergence of a professional psychiatriccommunity occurred primarily as a result of reforms inmedical education initiated by the tsarist government(Brown 1994). The Russian psychiatric profession wasmore or less a creation of die state, and many of its earlyleaders were intimately involved in the creation of statepolicies widi respect to die mentally ill. This tradition ofpsychiatrists' involvement in politics and governmentcontinued later in die Soviet time. Two main centers ofdie Russian psychiatric community, always competing forthe leadership, were located in St. Petersburg andMoscow diroughout die late 19th and early 20th centuries.I.M. Balinski, the first head of the Department ofPsychiatry at the Military-Medical Academy in St.Petersburg, and S.S. Korsakov, the first head of theDepartment of Psychiatry at die Moscow University, bodiwere called "the fadier of Russian psychiatry" and die"Russian Pinel," depending on what school a particularhistorian belonged to (Kanas 1992).

The Bolshevik Revolution of 1917 changed thepower struggle within the psychiatric profession.Psychiatrists were one of die first professional groups tooffer dieir support to die new regime, and some of diem

acquired positions of power in the new administration(Brown 1994). With die move of die capital to Moscow,die "Moscow school" assumed leadership of die profes-sion along widi strategic control over policymaking andjournal publishing. Of the numerous psychiatric journalspublished before die Revolution, only one survived andbecame an official journal of Russian-Soviet psychiatry,die journal diat had been established by die Moscow psy-chiatric community in 1901 shortly after Korsakov'sdeadi and named in his memory—Zhumal Nevropatologiii Psikhiatrii im. Korsakova (Korsakov Journal ofNeurology and Psychiatry) (Brown 1994). Odier publica-tions, including materials of die regional psychiatric con-ferences or diose sponsored by die local academic institu-tions (some are very respected, like ones published by dieBekhterev Psychoneurologic Institute in St. Petersburg)served as outlets for alternative views of psychiatry.However, they never became "official." The dominantMoscow school of psychiatry also influenced die writingof die history of psychiatry at least as much as die dra-matic governmental transformations experienced byRussia in die 20th century (Ponomareff 1989).

In die early 1930s some heterogeneity of views onschizophrenia stimulated scientific discussions. For exam-ple, P.B. Gannushkin (1857-1933), one of the leaders ofdie Moscow psychiatric school, was best known for hiswork in the field of "borderline" (i.e., on the borderbetween healtii and psychosis) psychiatry studying person-ality disorders and neuroses. His monograph, The ClinicalAspects of Psychopathies, Symptomatics, Dynamics,Systematization (Gannushkin 1931), was one of die bestclinical descriptions of various personality types. Itsdescription of schizoid psychopatiiy is close to die modemdescription of schizoid and schizotypal personality disor-der. He also believed in die continuum between neuroses,personality disorders, and psychoses, like one expressed indie "schizophrenic constitution." V.P. Osipov (1871-1947)devoted his work to die differential diagnosis of schizo-phrenia by studying organic and affective psychoses, hi hisHandbook of Psychiatry (Osipov 1931) he emphasized dienecessity of applying die strictest criteria to die diagnosisof schizophrenia. The Second Ail-Union Congress ofNeurologists and Psychiatrists (1936) drew die attention ofpsychiatrists to die precise delineation of die borders ofschizophrenia and condemned die concept of "mild schiz-ophrenia." However, it required several generations ofpsychiatrists (S. Korsakov, V. Kandinsky, V. Osipov,S. Sukhanov, P. Gannushkin, V. Gilyarovsky, O. Kerbikov,and A. Snezhnevsky) to develop a concept of schizophre-nia close to what it became in the 1960s to the 1980s(Babayan 1985).

Gradually, die political regime tightly controlled allalternative schools of diought and ideological diversity of

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Russian psychiatry. Those who had the courage to dis-agree with the party line were dismissed from positions ofpower or "eliminated." Many brilliant psychiatrists losttheir positions and ability to voice their opinions duringthe 1930s through the 1950s (Popov and Lichko 1991).Some differences in theoretical opinions with respect toschizophrenia still remained in the Leningrad and othernational schools of psychiatry, and even within theMoscow school (Calloway 1993), but they have beenminor and inconsequential for general clinical practiceand psychiatric training.

The most somber event in the history of Russian-Soviet psychiatry took place in October 1951 (Popov andLichko 1991). The so-called "Joint Session" of theAcademy of Medical Sciences of the U.S.S.R. and theBoard of the All-Union Neurologic and PsychiatricAssociation, conducted in the name of Pavlov, consideredthe matter of several leading psychiatrists and neuroscien-tists of the time (e.g., Gurevich, Shmaryan, Golant,Gilyarovsky, Sukhareva) who were accused of practicing"anti-Pavlovian, anti-Marxist, idealistic, reactionary" sci-ence damaging for Soviet psychiatry. These talented psy-chiatrists had to acknowledge publicly their mistakes andwrong beliefs and promise to profess only Pavlov's teach-ing (Popov and Lichko 1991). The liquidation of the sci-entific school of brain pathology and neuropsychiatryestablished by the distinguished psychiatrist A.S.Shmaryan led to the practical cessation of research in neu-ropsychiatry for decades to come (Kostandov 1990). Thisneurobehavioral direction was based on the phenomenol-ogy of neurosurgical lesions and war-related head andneck injuries, and resulted in major neuropsychologicalfindings of higher cortical functions localized in the brain,reported by A.R. Luria. Shmaryan expressed his views onthe relationship between cortex and subcortical structureswith the detailed description of symptomatology andlocalization of lesions in two monographs "BrainPathology and Psychiatry" and "PsychopathologicalSyndromes of Temporal Lobe Epilepsy," that receivedpositive reviews in American Journal of Psychiatry in1941. Most likely, it was these reviews that attracted theofficials' negative reaction. This entire scientific directionwas labeled as "localizationalistic, psychomorphologic,fantastic," and misleading psychiatry and was shut down.

The Joint Session also affected neuroscience (Lange1990). The best neuroscientists of the time, such as acade-micians Orbeli, Beritashvili, Stern, Speransky, andAnokhin, who headed different directions in science at thetime, were labeled as reactionaries, anti-materialist, andanti-Pavlov, and dismissed from their positions. They losttheir laboratories, and some were tortured in prisons(Fanardzhian et al. 1990). The scientists' basic humanrights were violated. The Moscow, Leningrad, Armenian,

Georgian, and Ukrainian schools of neurophysiology andneuroscience were damaged, at least temporarily. TheJoint Session destroyed productive research in psychiatryand neurosciences for years to come. Pseudoscience tookover.

In recent years, several Russian publications havebeen devoted to analysis of the consequences of the JointSession for Soviet psychiatry. Preceding the Joint Sessionwas a period of political manipulation of science thatbegan in the early 1930s (Grekova 1990). Similar to theprocess in Fascist Germany, it was a profoundly deviantand destructive era for Soviet science. Massive arrests ofscientists led to extinction of Russian intellectuals. Manyof them disappeared and died in prisons or labor camps.Students at the universities were encouraged to spy ontheir professors. For the first time in the history of sci-ence, nonprofessional politicians started telling scientistshow to do the "right kind of science," and anything otherthan the right kind was pronounced wrong. Fear and para-noia affected even very sophisticated minds and ruledthe behavior of the accusers and those accused. Out offear, scientists abandoned their beliefs and falsely admit-ted their "wrongdoings" during the Joint Session. It isalso likely that the accusers' fear and less than nobleambitions made them (A. Snezhnevsky, O. Kerbikov, V.Banshchikov, I. Strelchuk) serve in the role of inquisitors(Popov and Lichko 1991). Not surprisingly, many of themwere promoted and took leadership positions shortly afterthe session.

The Joint Session was a precursor of later abuses inpsychiatry in the U.S.S.R. An invisible moral line wascrossed once and for all (Popov and Lichko 1991); any-thing became possible.

The 1940s to the 1990s: The Influence of the MoscowSchool of Psychiatry on Development of the Schizo-phrenia Concept From the late 1940s, control by thepolitical system and the associated Moscow school ofpsychiatry was established and perpetuated throughout thefollowing five decades, determining the direction ofSoviet psychiatry and psychiatric research, education andtraining, as well as the allocation of research funds. It justso happened that the Moscow school, under the leadershipof A. V. Snezhnevsky and colleagues, was primarily inter-ested in and devoted a significant effort toward the devel-opment of the concept and classification of schizophrenia.

The clinical research experience of the MoscowInstitute of Clinical Psychiatry may be unique. For aboutfive decades, mulb'disciplinary research teams combinedtheir efforts in trying to solve the puzzle of schizophreniaand find a cure for the disease. They carefully identified,described, and followed up on thousands of patients(Nadzharov 1983). For the past 50 years, the Moscow

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school has concentrated its clinical and research resourceson the clinico-biological study of schizophrenia. It soughta diagnostic framework that would encompass and cate-gorize the symptoms of the illness. The goal was to pro-duce a model of schizophrenia that could explain both eti-ology and outcome. The emphasis has been twofold:elaborating phenomenologic features in children, adults,and the elderly and trying to create homogeneous sub-groups suitable for the study of their biological intercon-nectedness (Snezhnevsky and Vartanyan 1970). This goalwas often lost in the enormous descriptive effort devotedto the large populations of patients. Despite its complex-ity, the Russian classification of schizophrenia is stillwidely used in Russia and the states of the former SovietUnion (Holland and Schakhmatova-Pavlova 1977).Snezhnevsky, who attempted to identify some general"spectrum" trends among mental illnesses, also developedand popularized the theory of general psychopathology(Snezhnevsky 1983) through his students, followers, theMoscow Central Institute of Postgraduate Training, andthe only central publication, Korsakov' Journal ofNeurology and Psychiatry (Miller 1985).

However, Soviet psychiatry was not monolithic:Other points of view existed. Ponomareff (1986) statedthat psychiatry in Moscow tended to be formal, biomed-ically oriented, and loose in its understanding of schizo-phrenia, whereas psychiatry in Leningrad was more inter-personally oriented, interested in psychotherapy, andtighter in its conceptualization of schizophrenia. TheLeningrad approach led to the view that schizophreniashould be a last resort diagnosis of exclusion. Another dis-tinguishing feature of the Leningrad school of psychiatryis its emphasis on psychosocial factors in relation to etiol-ogy and outcome and, consequently, on psychotherapyand rehabilitation. The Ukrainian school of psychiatry,which did not use the Snezhnevsky classification,describes slow-flow schizophrenia as a variant of para-noid schizophrenia. Alternative schools of thought, likethose in Leningrad and the Ukraine, have been less influ-ential nationwide (Miller 1985).

The situation in Soviet psychiatry has changed in thepast few years, since the demise of the Soviet Union.Recently, Soviet psychiatry has shown a renewed interestin Freudian principles and psychodynamically orientedpsychiatry (Kanas 1992). New publications on psychody-namic theories of schizophrenia (Volkov 1993) haveemerged and new legislation has been enacted in recentyears. The first Russian law on psychiatric care andpatients' rights protection became operational in January1993. In 1994, the Russian Society of Psychiatristsapproved the Ethical Code for Psychiatry. Humanizationof psychiatry has been proclaimed to be a priority forRussian psychiatrists (Dmitrieva 1996). In 1997 Russian

President Boris Yeltsin signed a declaration about devel-opment of psychoanalysis in Russia. As a result of somepositive changes, the Soviet Association of Psychiatristswas conditionally readmitted to the World PsychiatricAssociation in October 1989 (Kanas 1992). The nationalschools of psychiatry are no longer controlled centrallyand should have more freedom to develop their own linesof research. However, this process will take more thanjust a few years and require adherence to a change by theRussian psychiatrists. At this time we can only guess howit will affect the current concept of schizophrenia.

A review of the abstracts presented by psychiatristsfrom Russia and the former Soviet Republics at the 10thWorld Psychiatric Congress in Madrid, Spain (August1996), reveals that the line of research on schizophreniahas not changed very much in recent years. Researchersfrom Moscow still submitted a majority of the abstracts,although psychiatrists from St. Petersburg, Tomsk,Novosibirsk, Kaluga, Kemerovo, and other cities andfrom some former Soviet republics (Ukraine, Kazakhstan,Azerbaijan) were represented. The studies of schizophre-nia presented mainly continued to elaborate phenomenol-ogy and course (Alimkhanov 19%; Ismailov and Ismailov1996; Mazaeva and Abramova 1996; Panteleeva andDikaya 1996; Platonova 1996; Tiganov 1996; Zaltsman19%), although some other topics included neuropsycho-logical, immunologic, neuroimaging (computed tomogra-phy [CT], group therapy, rehabilitation, psychopharma-cology, genetic, and family studies (Alfimova andTrubnikov 19%; Golovina and Mazaeva 19%; Govorin etal. 1996; Loginovich 1996; Nuller 1996; Semke 1996;Vasil'eva et al. 1996a; Zhankov 1996). New topics forRussian psychiatry covered in the abstracts included theeconomics of care, statistics, legal issues, analysis of riskand benefit of care, quality assurance of psychiatric care,and analysis of trends in current Russian psychiatry inrelation to the history of abuses of psychiatry (Dmitrieva19%; Gluzman 1996; Kazakovtsev 19%; Prokudin 1996;Rytik 19%; Savenko 19%; Shevchenko 19%; Solokhina19%; Yastrebov et al. 19%). The Independent PsychiatricAssociation of Russia (Bataev 1996; Prokudin 1996;Savenko 1996) appears to be very active in its attempt tocommunicate to Western psychiatry their views on thepast and current abuses of psychiatry in Russia. Onereport from the Ukraine (Gluzman) outlined general diffi-culties in developing new psychiatric services in the for-mer Soviet republics: (1) current major financial con-straints; (2) lack of legal regulations of psychiatry; (3)lack of scientific information from the West; (4) lack ofresearch programs and an uneven geographic distributionof existing ones; (5) an archaic system of psychiatrictraining; (6) lack of clinical psychologists and socialworkers; and (7) an inefficient centralized system for

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delivery of care concentrated in the large freestandingpsychiatric hospitals.

Review of Soviet Concepts ofPsychopathology and NosologicStrategies

According to the Russian tradition, Snezhnevsky (1960,1983) based his descriptive definition of schizophrenia onthe general theory of psychopathology that emphasizes acontinuum of all psychiatric disorders. According to thistheory, all symptoms are organized into three groups. Byanalogy with the reflex arc they are divided into (1) theaffexor or sensory symptoms, which occur with "senesto-pathic" or unpleasant somatic sensations (e.g., irritation,burning, pressure, metamorphopsy, and derealization); (2)the intrapsychic phenomena, which include disorientation,depersonalization, affective disorders, thought disorders,obsessive-compulsive symptoms, delusions and hallucina-tions, and amnestic syndromes; and (3) the effexor symp-toms, which describe volitional, motoric, attentional,impulse-control, sexual, gender identity, and sleep disor-ders. All symptoms may occur in clusters or be present asa syndrome that carries diagnostic significance. The syn-dromes may be either positive (e.g., productive) or nega-tive depending on their effect on mental functioning. Thisconcept also embodies various levels and sequences ofunfolding positive and negative syndromes in differentpsychiatric nosologies.

The Russian understanding of the negative and posi-tive syndromes dates back to J. Hughlings Jackson(1931), who believed that negative symptoms were clini-cally undetectable but necessary for the development ofpositive syndromes. Negative syndromes in relation togeneral psychopathology, rather than to schizophreniaalone, meant "lack of function" that could lead to func-tional deterioration and "secondary dementia" due to thedisease process. Snezhnevsky (1983) described ten levelsof positive and negative syndromes ranked according totheir severity (see table 1).

According to this hypothesis, the negative syndromesat a given level predispose patients to developing the pos-itive syndromes of the corresponding level. Moreover,certain nosologies can encompass only certain levels ofpsychopathology. For example, schizophrenia may con-tain levels I-V of the positive syndromes and I-VH of thenegative ones, while bipolar disorder is allowed to in-clude levels I and II (rarely III and IV) of the positive andlevels I-III of the negative syndromes. Any extension tothe next level of pathology requires revision of theassigned diagnosis.

Table 1. Relation of the commonpsychopathologlc positive and negativesyndromes and nosologic entitles


—PsychoorganicEpilepsy, seizuresParamnestic

Catatonic, paraphrenia,paranoidParanoia,verbal hallucinosis

Neurotic (obsessive-compulsive, hysteria,depersonalization)Affective (depressive,manic)Emotional hyperestheticdisorders


MarasmusDementiaAmnestic disordersRegression of thepersonalityDecreased level offunctioningDecreased volitionand energyDisharmony of thepersonality (including"schisis")Objective personalitychange

Subjective personalitychangeAsthenia(neurasthenia)

Another example of the hypothesis of a continuum ofmental disorders was a triad of neuroses-personality dis-orders-endogenous psychoses that has been discussedextensively in Soviet psychiatry (Gannushkin 1931;Kerbikov 1971).

The Russian Concept of Schizophrenia

Phenomenology/Nosology.Definition. In Russia, schizophrenia is regarded as

one of the most important psychiatric illnesses, because ofits high prevalence and the magnitude of disability it pro-duces (Holland and Schakhmatova-Pavlova 1977). It isconsidered to be a lifelong genetically determined processthat can be triggered by environmental stress (Zhislin1965; Shchirina and Vartanyan 1968). Schizophrenia isdefined as a progressive endogenous mental illness, char-acterized by the dissociation of mental functions withassociated personality changes (increased introversion,emotional blunting, social withdrawal, apathy) and vari-ous positive symptoms, that leads to the development ofthe deficit syndrome.

Diagnostic criteria. Diagnosis of schizophrenia isbased on the descriptive definitions of the general psy-chopathology presented above. Russian psychiatric clini-cal practice utilizes the ICD-10 coding system. Duringtheir training, psychiatrists are taught on the basis of

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The Russian Concept of Schizophrenia Schiwphnnia Bulletin, Vol. 24, No. 4, 1998

description in the psychiatric textbooks, but there is noconsensus classification like DSM that quantitativelydefines diagnostic categories. It is recognized that theclinical features of schizophrenia, its course, and out-comes are heterogeneous. The detailed description of psy-chopathology of schizophrenia subtypes is the primaryfocus in discussion of schizophrenia in psychiatric manu-als and textbooks.

Types of schizophrenia. The Soviet model ofschizophrenia is based on the idea that schizophrenia spec-trum disorders are distinguished clinically by their longitu-dinal course, a single fundamental characteristic.According to this hypothesis (Nadzharov 1983), there arethree main types of schizophrenia: (1) the continuous type,defined as unremitting, proceeding with either a rapid("malignant") or a slow ("sluggish") progression, but inboth instances having a poor prognosis; (2) the periodic orrecurrent type, characterized by an acute attack followedby full remission with minimal progression, if any; and (3)the mixed, or shift-like, form ("schubweise"—in German"schub" means attack or phase), a mixture of both continu-ous and periodic forms that occurs periodically and ischaracterized by only partial remission and may or maynot contain a mood component

In addition to the three main types of schizophrenia(continuous, periodic, shift-like), there are a number oftransitional forms that occupy intermediate positions. It isstressed that the type may predict other features of psy-chosis, such as genetic transmission, the rate of progres-sion, and outcome (Nadzharov 1983).

There are no entities in the current Russian classifica-tion system comparable to the schizotypal or borderlinepersonality disorders of the DSM-IV. It is believedinstead that personality changes occur due to the diseaseprocess, whether slowly progressive, continuous, or shift-like. Historically, however, similar entities have beendescribed as a part of a "continuum," "schizophrenic con-stitution," "latent schizophrenia," or schizoid psychopathy

(Gannushkin 1931; Nadzharov and Smulevich 1983;Smulevich 1996).

Epidemiology. The prevalence of schizophrenia isreported to be 9.59 per 1,000 for all forms of schizophre-nia (Zharikov 1983; Zharikov and Shumakov 1995) andfor specific types as follows: sluggish type, 2.87 per1,000; paranoid, 1.81; malignant, 0.49; shift-like, 3.32;recurrent, 1.05; and undifferentiated, 0.06. There are nogender differences in the overall incidence and prevalenceof schizophrenia. However, men tend to have the malig-nant and sluggish subtypes, whereas women more fre-quently have the shift-like recurrent subtypes (i.e.,schizoaffective disorder). In comparison, Jablensky(1986) reviewed epidemiologic studies in Europe claim-ing that prevalence of schizophrenia ranged from 2.5 to5.3 per 1,000.

Severity. All three types may be present in differentdegrees of severity: mild (or sluggish for the continuoustype), moderate, and severe (or malignant for the continu-ous type). According to Soviet psychiatrists, significantbiological differences exist between the three types, butthe notion of a continuum or a spectrum disorder isalways present in the description. When compared to theDSM-IV disease entities, the continuous type of severeand moderate progression is identical to the core-symp-tom schizophrenia. There is no schizoaffective disorder inthe Russian nomenclature. The recurrent and the shift-liketypes of schizophrenia represent two extremes of theschizoaffective spectrum disorders. The latter representsan overlap between an episodic form of schizophreniawith acute episodes and partial remissions and a moresevere form of a schizoaffective disorder, akin to schizo-phrenia spectrum disorder and having a worse prognosis.The former is a more benign form of the schizoaffectivespectrum, which overlaps with bipolar disorder, withcomplete remissions and a better prognosis and outcome(Nuller and Mykhalenko 1988). Figure 1 represents the

Figure 1. The Schlzophrenla-"spectrum" disorders of the DSM-IV and the Russian-Sovietclassification.

Sdazotypal PD/^dMOphrepia--SchJzophreuform —Scfrizoaflective—Atypical Bipolar Disorder /

Borderline PD disoitler disorder psychosis Mtjor Depression with

psycbobc festnres

Rnasfea- Staggish Continuous Shift-

Soviet without affective

with affective

PD •> personality disorder; DSM-IV •> Diagnostic and Statistical Manual of Mental Disorders, 4th ed. (American Psychiatric Association1994).

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relationships of these various subtypes of the spectrum asthey relate to the DSM-FV diagnostic entities.

More detailed discussion of nomenclature and classi-fication is presented elsewhere (Reich 1975; Holland andSchakhmatova-Pavlova 1977). Ideally, clinicians usingthis diagnostic system should be able to make a diagnosisand accurately predict the prognosis.

In the Russian diagnostic classification the disorga-nized schizophrenia of DSM-FV would be diagnosed asthe continuous (malignant) type. At the same time,schizoaffective disorder would be diagnosed as eithershift-like or periodic and could be present in the mild,moderate, or severe degree of severity.

Syndromes. One of the main questions raised byRussian clinical psychiatry concerns the natural course ofschizophrenia. A long-term followup study of a cohort of5,000 patients lasted for four decades (Shchirina andVartanyan 1968) and resulted in the delineation of ninemain syndromes, defined as a constellation of symptoms,occurring in schizophrenia regardless of type or severity:(1) asthenic (e.g., low energy, impaired volition); (2)affective; (3) pseudoneurotic; (4) paranoid; (5) hallucina-tory; (6) hallucinatory-paranoid; (7) paraphrenic; (8) cata-tonic; and (9) residual, polymorphic. Each of these syn-dromes represents a stage of the disease progression inthis sequence.

Age-specific syndromes. Some symptoms withinthe nine syndromes described above are more typical of aparticular age group. Another large cross-sectional study,involving 3,500 schizophrenic patients, addressed theinfluence of the age at onset on the clinical syndromes(Nadzharov and Sternberg 1975). The authors studiedeight age-specific schizophrenic syndromes: (1) the para-noid syndrome of "Kandinsky-Clerambault"; (2)oneiroid—dream-like fantastic delusional state; (3) para-phrenic; (4) "reduced paranoid"-non-bizarre hallucina-tory-paranoid state; (5) "delusional" depression; (6)hebephrenic; (7) anorectic; and (8) metaphysic intoxica-tion or overintellectuallization. It was shown that the mostcommon first-rank Schneiderian symptoms (Schneider1959) were more frequent in adult-onset (i.e., onset at age25—45), than in childhood- and late-onset schizophrenia.However, less typical syndromes tend to occur either inchildhood and adolescence (hebephrenic, metaphysicintoxication, anorexia, simple or negative) (Vrono 1983)or late in life (reduced paranoid, paraphrenia)(Shachmatov 1976; Sternberg 1981, 1983£; Molchanova1985; Staritsyn 1986).

It was also noted that, in combination, gender and ageat onset influenced the type, course, and outcome of ill-ness. Women had an older mean age at onset, more benigncourse, and better outcome (Sternberg 1981), which isconsistent with the data reported by Western psychiatrists

(Goldstein et al. 1990; McGlashan and Bardenstein 1990;Ring 1992).

Deficit syndromes. Another relevant concept is ofthe defect or deficit syndrome, first described in 1838 byEsquirol as a condition of "incomplete recovery" withdeterioration of the social functioning and premorbid abil-ities (see Snezhnevsky 1983). This idea received closeattention from Russian scientists, who studied it usingphenomenological, neuropsychological, electrophysiolog-ical, and, recently, neuroimaging approaches (Smulevichand Vorobiev 1988; Vovin \99\b; Smulevich 1996). Thedefinition of "defect" is somewhat obscure because of itsoverlap with other related concepts, such as negativesymptoms, residual states, or any changes in functioningthat remain stable (Suchareva 1933; Medvedev 1984).The main characteristics of defect symptomatology arefixation without progression, relative treatment resistance,and association with structural changes in the brain onneuroimaging or autopsy. A very similar concept of deficitsyndrome was described by Carpenter et al. (1988). Themain difference between negative and deficit symptoms isthat negative symptoms can be transient, while deficitsymptoms remain unchanged (Melekhov 1933).

Two different approaches to understanding this prob-lem have emerged: a rather traditional phenomenologicdescription (Smulevich and Vorobiev 1988; Lukyanova1989) that explains defect as a combination of schizoidand pseudo-organic changes at all levels of mental func-tioning ("pseudo" meaning functional, nonorganic in rela-tion to psychoses). Two extreme forms of this continuumpresent either predominant personality changes (e.g.,autism, emotional changes, bizarre behavior, motor pecu-liarities, oddities of interest and inclination) and decline inthe level of social functioning, which is called "ver-schroben" (odd, eccentric) type; or with decreased mentalfunctioning (e.g., bradyphrenia, alogia, impoverishedspeech and thought processes) and is called "pseudo-organic." Another approach to understanding defect inves-tigates inhibition of mental activity by the disease processwith associated impairment in information processing(Kostandov et al. 1990, 1995; Vovin 1991*), somewhatsimilar to the Western neuropsychological research orien-tation (Oltmans and Neale 1978; Green 1993).

Three separate aspects of deficit syndrome as de-scribed in Russian literature reflect changes in personality,energy level or volition, and intellectual functioning.Many authors have described "pseudopsychopathicdefect" (personality changes) resulting from the diseaseprocess. Recognized subtypes of this defect are "ver-schroben"-rype (Vorobiev and Nefediev 1987), dependent(Maximov and Zverkova 1986), and deficit and expansiveschizoid (Smulevich and Vorobiev 1988). Subtypes of thedeficit syndrome with energetic and volitional impairment

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were described as asthenic, apathetic, apatho-abulic, andatonic (Suchareva 1933). Intellectual functioning deficitwas described as pseudo-organic (Melekhov 1963),organic (Nadzharov and Smulevich 1983; Smulevich1996); "pfropf-schizophrenia" ("pfropf' means a stopperor plug in German) or "oligophrenic" defect for child-hood-onset schizophrenia (Vrono 1983). The third aspectalso includes impairment of attention, memory, and lan-guage and total personality disintegration (Vovin 1991i»).

Deficit syndrome develops during the first fewepisodes of schizophrenia (episodes 1-3) (Druzhinina etal. 1981; Medvedev 1984) and remains unchanged duringthe course of schizophrenia. In the final stages of schizo-phrenia, deficit syndrome becomes the main componentof the clinical picture, free of previously florid psychoticsymptomatology.

Clinical Features and the Course of Schizophrenia.Clinical features of schizophrenia, its course, and out-comes are described as polymorphous. Many factors con-tribute to the heterogeneity of the clinical symptomatol-ogy; some of them include age, gender, social and culturalfactors, medical comorbidity, subtype of schizophrenia,and a stage of the illness.

Stages. A large retrospective study of a cohort (n =1,064) of elderly schizophrenia patients affected theRussian concept of the natural course of schizophreniaand emphasized the heterogeneity of types, courses,stages, and outcomes of the schizophrenic process(Sternberg 1981, 1983b). The results of that study indi-cated that the disease progression is limited in time(Nadzharov 1983). In the majority of cases, the coursefollowed six progressive stages: (1) initial; (2) active—manifest psychosis; (3) stabilization; (4) reduction ofsymptoms; (5) residual; (6) final—equivocal stage of con-solidation of the deficit symptoms with a reduction in thepositive symptoms. The length of each phase was relatedto the type of schizophrenia. For example, the active stagewas shorter than 10 years in malignant (undifferentiated)schizophrenia and longer than 20 years in the paranoidtype. The mean age at onset of the stabilization stage wasless than 39 years for undifferentiated and more than 50years for paranoid schizophrenia (Sternberg 1983a,1983/?).

The type of schizophrenia determines differentsymptom patterns. Various schizophrenia types mayhave a preponderance of a particular pattern of symptoms.For example, continuous type may include pseudoneu-rotic and pseudopsychopathic, delusional, hallucinatory,and catatonic syndromes in combination with negativeand deficit symptoms, which would have a progressivewavelike course without remissions, but with occasionalfluctuations in the intensity of symptomatology. Division

into various forms by severity further specifies character-istic features of the illness. For example, the malignanttype usually has an onset in adolescence and starts withthe negative symptoms of increasing apathy, social with-drawal, personality changes, fragmented delusions, andhallucinations, often with themes of dysmorphophobiaand depersonalizations. The active stage of the manifest-psychosis is characterized by polymorphous and frag-mented affective, delusional, hallucinatory, hebephrenic,and catatonic syndromes. Remissions occur at the begin-ning of the disease process, but residual states developabout 4 years after onset (Nadzharov and Smulevich1983).

Continuous paranoid schizophrenia usually followsanother pattern: initial obsessive-compulsive, anxious, orhypochondriacal features and nonsystematized paranoiddelusions. Personality changes include increased suspi-ciousness, rigidity, and restriction in affect and level ofinterests. The initial stage may take 5 to 20 years. Sub-sequently, delusional and hallucinatory delusional syn-dromes develop into a florid psychosis. A particularsequence of paranoia transforming into hallucinatory-paranoid and paraphrenic states has been described. Thesyndrome of Kandinsky-Clerambault ("syndrome of thepsychic automatism") (Kandinsky 1890; Nadzharov andSmulevich 1983) is considered to be a typical feature ofparanoid schizophrenia and is characterized by delusionsof control, thought insertion and broadcasting, and"pseudohallucinations." The last term means that patientsconsider hallucinations as subjective and unreal, unlike"true" hallucinations, which are considered real by thepatients (Nadzharov and Smulevich 1983).

Shift-like schizophrenia differs from the continuoustype by more acute onset, fewer systematized delusions,presence of full or partial remissions, less prominent neg-ative symptoms, and an affective component, which mayor may not be present.

Recurrent schizophrenia is considered a schizoaffec-tive disorder that may overlap atypical bipolar disorder ormajor depression with psychotic features. It has an onset inadolescence often with mixed or atypical affective, vegeta-tive symptoms and sometimes depersonalization(Nadzharov and Smulevich 1983). Later in the course,affective and paranoid syndrome occur. They may trans-form into paraphrenic pictures with an acute fantastic hal-lucinatory-paranoid syndrome that may end with an acute"oneiroid catatonia" (a dreamlike fantastic delusional statewith either catatonic stupor or excitement). Negativesymptoms are less pronounced than in the continuous type,but may occur after a few episodes. In the residual stage ofthe recurrent type, transformation of the symptomatologyoccurs with decreased severity of psychosis, delusionalsystems, and rapid cycling. It is believed that single-

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episode recurrent schizophrenia may occur. Women have ahigher prevalence of recurrent schizophrenia.

Etiology: Neurobiologic Studies of Schizophrenia.Vigorous differentiation between numerous clinical sub-types of schizophrenia remained the guiding principle ofSoviet psychiatry, although the ultimate goal of this com-plex disease model was to find correlations between bio-logical markers and particular clinical syndromes(Shchirina and Vartanyan 1968). Historically, specialemphasis has been placed on five different researchapproaches to schizophrenia: neurophysiological(Monachov 1983); genetic (Gindilis 1979; Vartanyan1983*); psychoneuroimmunological, histochemical, andhistopathological (Vartanyan 1983a); and neuropsycho-logical (Polakov 1983).

Neurophysiological studies. Traditionally, Russianpsychiatrists were interested in neurophysiological corre-lations of psychiatric symptoms. Nonspecific electroen-cephalogram (EEG) findings such as bilateral frontalslowing of the oc-rhythm have been investigated throughthe use of photo and phonostimulation, evoked potentials,and, recently, quantitative EEG. Monachov (1983)reported that in 1948, Dzidzishvili found a lack of reactiv-ity to photostimulation in patients with acute paranoidschizophrenia. In 1952, Roitback and Savanelly studiedcorrelations between photostimulation-induced depressionof the a-rhythm and various illness parameters and foundchanges in EEG to be correlated with the stage of the ill-ness but not with the present symptoms (see Monachov1983). In 1959, Lunz and Feigenberg studied 43 patientswith schizophrenic deficit syndrome and found decreasein a-rhythm depression after photostimulation in patientswith apatho-abulic syndrome compared with patients withparanoid type without deficit syndrome (see Monachov1983). Several authors have used the method of intermit-tent photostimulation with increasing luminescence (seeMonachov 1983). They found a general decrease in reac-tive threshold and paradoxic reaction with maximalresponse to lower luminescence, inadequate reaction infronto-parietal areas, and lack of reaction in the occipitalarea. For the past 20 years quantitative EEG (QEEG) hasbeen applied to the studies of schizophrenia. Monachov(1983) reported, that they were able to diagnose subtypesof schizophrenia in 83 percent of cases by using QEEGdata. Kostandov et al. (1995) reported differences in pat-terns of the auditory-evoked potentials (P300 componentlatency and amplitude) response in patients with late-onset paranoia compared with the patients with early-onset paranoid schizophrenia.

Neuroimaging studies of schizophrenia are limited todate. They focus mainly on CT (Vovin 1989), primarilybecause of availability of the technology. Findings of

some widening of cerebral ventricles, cisterns, Sylvianfissures, and retropineal space and atrophy of the lateralconvexial surface were associated with higher scores on"anergia" and "thought disorder" Brief Psychiatric RatingScale (BPRS; Overall and Gorham 1962) subscales,impaired higher cognitive functions, poor attention andlearning, perseverative tendencies, movement disorders,and a history of perinatal injuries and severe somatic ill-nesses before age 12 (Vovin 1991b).

Genetics. Genetic studies of schizophrenia haveemployed various research methods including twin, fam-ily (genealogic), population or epidemiological, pharma-cogenetic, and cytogenetic studies. Such studies arewidely used to support the Russian concept of schizophre-nia (Vartanyan 1983Z?). According to these studies, theprevalence of schizophrenia was estimated as 5 to 7 per1,000 population (World Health Organization 1973). Therisk of schizophrenia for first- and second-degree relativesof the schizophrenia probands was estimated as follows:parents, 14 percent; siblings, 15 to 16 percent; children,10 to 12 percent; aunts and uncles, 5 to 6 percent(Vartanyan 1983i>). Similar risks were reported fromabout 40 European family and twin studies conductedbetween 1920 and 1987, except for lower risk (6%) forparents (Prescott and Gottesman 1993).

These data could support the idea that the recurrentand the continuous types of schizophrenia may have a dif-ferent genotype. Soviet geneticists address the issue of theclinical continuum within schizophrenia spectrum disor-ders by using genetic-correlational analysis (Gindilis1979). They obtained estimates of the influence of geneticfactors on the development of specific forms of schizo-phrenia. The heritability index for "endogenous psy-choses" is estimated to be 50 to 74 percent. This methodalso allows for analyzing the genetic correlation betweenvarious forms in relatives. For example, the correlationcoefficient (r) between the continuous and the recurrenttypes of schizophrenia is 0.13, suggesting minimal or nogenetic relationship. At the same time, r = 0.78 for therecurrent type and bipolar disorder, suggesting a very closerelationship between those two genotypes. Family studiesof schizophrenia (Vartanyan 1983b) also described an"anticipation" phenomenon, that is, a decrease in the age atonset in children and grandchildren of probands with late-and early-onset schizophrenia. It was hypothesized thatthis effect may be the result of the increase in homozygos-ity in the schizophrenia families throughout three genera-tions. Anticipation, as a genetic phenomenon wherein ageof disease onset decreases and severity increases in succes-sive generations, has been described in the Western litera-ture for schizophrenia and other neuropsychiatric disorders(Ross et al. 1993) and explained by the underlying molec-ular mechanism of expanding trinucleotide repeats.

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Gindilis (1979) analyzed genetic correlationsbetween the early- and late-onset "functional psychosis"(i.e., schizophrenia, major depression, and bipolar disor-der). They found that despite a high genetic correlationbetween the early- and late-onset forms of each disorder,genetic influence was more pronounced in early onset: anolder age at onset was associated with less risk for theparticular disorder.

More recent reports of genetic and family studies ofschizophrenia focus on characteristics of the prevalentfamilial personality and cognitive traits (Trubnikov et al.1995; Alfimova and Trubnikov 1996), structural brainchanges on CT (Orlova et al. 1994), and moleculargenetic analysis of the deoxyribonucleic acid (DNA) col-lected from the families and twins of patients with schizo-phrenia (Golimbet et al. 1995).

Psychoneuroimmunology. This field is relativelywell developed in Russia and has been applied to thestudy of schizophrenia. Various hypotheses concerningthe immunological origins of the schizophrenic processhave been tested, starting from the infectious hypothesisand continuing with viral and autoimmune, but no signifi-cant differences between different types of schizophreniaand patient immunological status were found (Vartanyan1983a). Those who studied the histocompatibility leuko-cyte system (HLA)-antigen system (Vartanyan 1983a)commented on the association of the HLA-A10 type withthe continuous subtype, and the HLA-B1 type with theshift-like type of schizophrenia. Vasil'ieva et al. (\996b)reported improvement in the functional activity of naturalkillers (NK) and T-helper cells (TH) in response to treat-ment with neuroleptics in 25 patients with schizophrenia.At the 10th World Congress of Psychiatry (1996), Russianresearchers were overrepresented in the section on psy-choneuroimmunology focusing on immunologicalchanges as an indicator of treatment response(Domashneva et al. 1996; Ismailov 1996), HLA-antigensas markers for various types of treatment resistance(Govorin et al. 1996), and immunological changes in dif-ferent types and stages of schizophrenia (Ismailov 1996;Sekirina et al. 1996).

Histochemical-histopathological studies. Neuro-morphologic description of the schizophrenic braindefines schizophrenia as an encephalopathy with diffusedystrophic and toxic-hypoxic processes determined bymetabolic changes in the brain (Orlovskaya 1983).Various histopathological changes in the neurocytes andglial cells have been described. These include atrophy;lipoid sclerosis; synaptic degeneration; polymorphism ofthe multiple involved areas; greatest involvement of cor-tex layers IE and V, especially in the frontal and temporalareas; and decreased reactivity of glial cells (Orlovskaya1983). It was observed that in the continuous forms of

schizophrenia the pathological findings include evidenceof chronic atrophy, lipoid sclerosis of the neurons, anddecreased reaction of glial cells. The neuropathologicalfindings in those suffering from the recurrent or shift-likesubtypes of schizophrenia were heterogeneous withischemic, degenerative, edematous changes of the neuronsand both proliferative and degenerative changes of theneuroglia (Orlovskaya 1983).

Neuropsychological studies. Neuropsychologicaland psychological studies of schizophrenia are ratherextensive in the Russian literature (Polakov 1983).Applications include studies of the psychopathology anddifferential diagnosis of psychiatric illnesses; psychologi-cal testing as applied to the determination of disabilities,forensic practice, and treatment efficacy; and psychiatricand neurorehabilitation. Interestingly, there have been rel-atively fewer studies addressing cognitive deficits inschizophrenia (Vovin 19916) until recently (Kostandov etal. 1995; Yurieva and Yuriev 1996). Its review remainsbeyond the scope of this discussion.

TreatmentBiological treatments. In brief, treatment options

available to Russian psychiatrists are comparable to theones used by Western psychiatrists (medications, electro-convulsive therapy [ECT], psychotherapy, etc.).Neuroleptics are used for the standard pharmacologicaltreatment of schizophrenia. Chemical classes of neurolep-tics include phenothiazines, butyrophenones, thioxan-thines, and the atypical neuroleptics clozapine andsulpiride (Mashkovsky 1980; Avrutsky and Neduva1981). However, the difference in treatment approaches isin the use of medications based on nosological diagnosistypical of Western psychiatry, and for certain syndromescharacteristic of the Russian psychiatry. Medications ofthe same class are considered equally effective but differ-ent in side-effect profile. Many Russian psychiatrists, onthe other hand, believe in target symptoms and differentialuse of psychotropic medications (Nuller 1996; Vovin1991a). For example, positive symptoms schizophreniaand delusional disorder are likely to be treated with chlor-promazine or haloperidol, while such medications as thio-properazine or pimozide are prescribed for negativesymptoms schizophrenia (similar to atypical neurolepticsused for the negative symptoms schizophrenia).Clozapine is used for acute treatment of shift-like andrecurrent types of schizophrenia or for mood disorderwith psychotic features. Periciazine is thought to be usefulin personality disorders and personality changes sec-ondary to the disease process. Dosages are similar to theones used in the West. In treatment-resistant cases thetrend is to use neuroleptics in high doses. Some standardrecommended daily doses are 300 to 600 mg for chlorpro-

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mazine, 10 to 20 mg up to 80 mg for trifluoperazine, 10 to40 mg for haloperidol, 50 to 70 mg for thioproperazine,150 to 200 mg for etaperazine, and up to 600 mg forclozapine (Mashkovsky 1980; Avrutsky and Neduva1981; Smulevich 1983; Calloway 1993). Blood and urinedrug levels are available for research purposes.Snezhnevsky (1983) stressed that the choice of drugshould be determined by the stage of the disorder. In thestable phase, the aim of treatment should be to loweremotional tone and to treat any vegetative symptoms aswell as symptoms such as tension, anxiety, and obses-sional or hysterical features. The use of prophylactic neu-roleptics, such as depot preparations, during periods ofremission is less common than in the West (Calloway1993).

Treatment resistance may be handled by changing thedose, medication, or route of administration; drug holi-days; ECT; or augmentation with other psychotropicagents. Some augmentation strategies include otherclasses of psychotropic medications. Lithium or carba-mazepine may be used when some affective componentsare present. Antidepressants and benzodiazepines are usedon the basis of presenting syndromes, rather than noso-logic diagnosis, when affective features are prominent.Smulevich (1983) commented on their use as primary oraugmenting agents for the treatment of phobic, obsessive-compulsive, and depressive symptoms. Antidepressantsare similar to the ones prescribed in the West (tricyclics,heterocyclics, and monoamine oxidase inhibitors) andmay be used for the schizoaffective syndromes or deficitsyndromes (Vovin et al. 1988; Vovin 1991a). Nootropes(piracetam) and various metabolic enhancers (gamma-aminobutyric acid and vitamin B6 derivatives) areobserved to stimulate mental functioning, memory, andperception in patients with defect states, febrile catatonia,and organic affective disorders, and also for the prophy-laxis of the cognitive impairment in ECT (Mashkovsky1980). Psychostimulants are used to treat apathy andasthenia (Mashkovsky 1980). The immunomodulator lev-amisole has been used to stimulate immune function inpatients with schizophrenia; in vitro it improved thephagocytic properties of lymphocytes from schizophreniapatients (Calloway 1993).

The routes of administration of the psychotropicmedication include oral, intramuscular, intravenous (i.v.),and i.v. drip infusion (Smulevich 1983). The i.v. route isused for treatment-resistant psychosis and in potentiallylife-threatening acute catatonic states and febrile schizo-phrenia.

ECT is a last resort treatment. It is not widelyaccepted as an effective treatment for schizophrenia.Nuller and Mykhalenko (1988) consider ECT to be aneffective and relatively safe form of treatment in severe

depression. The indications are narrower for ECT use thanin Western psychiatry. Insulin comas are rarely used fortreatment-resistant cases. Atropine comas, previouslyused to treat obsessive-compulsive syndrome in schizo-phrenia, are now banned from clinical practice.

A very controversial and politically compromisedpyrogenic therapy with sulphazine that has been used toinduce fever and associated immunological changes andwas hypothesized to be helpful in agitation and violentbehaviors is no longer used by the clinicians. Sulphazinehas been used to "enhance treatment response to neuro-leptic medications" (Roth et al. 1989). The severe pain,immobility, fever, and muscle necrosis served as punitivetreatment and is associated with abuse of psychiatry. Theefficacy of sulphazine has never been established.

Some treatment strategies are unique to Russian-Soviet psychiatry and based on theoretical differences.For example, toxic theories of schizophrenia emphasizean improvement in symptoms through hyperbaric oxy-genation and antioxidant use (e.g., vitamin E) (Kut'ko etal. 1996*), and fasting diets (Boehme 1977; Polishchuk1990). Experimental treatments with hyperbaric oxygena-tion and endovascular laser therapy that improves patientimmunological status have been suggested (Kut'ko et al.1996a). Hemabsorption used in schizophrenia is claimedto improve cognition (Calloway 1993). Other miscella-neous treatments include exercise, massage, baths, oxy-gen therapy, drinking koumiss (fermented mare's milk),acupuncture, hypnosis, herbal preparations (ginseng, pan-tokrin, lemon, aloe) and vitamins, electrosleep, sleepdeprivation, and physiotherapy (Calloway 1993). Theseapproaches are most often used for the nonpsychoticpatients.

Psychosocial treatments. Current psychosocialapproaches to treatment include psychotherapy, occupa-tional and work therapy, family therapy, and group ther-apy. They are used for secondary and tertiary preventionof relapse and for related issues of rehabilitation andreadaptation (Babayan 1985; Kabanov et al. 1991;Dogvinovich et al. 1994). Treatment is administered on aninpatient and outpatient basis. Psychotherapy in thebroadest sense is widely practiced through the establishedrelationships between the regional psychiatrists andnurses and their patients. It is mostly supportive in nature(Calloway 1993). The most frequently used psychothera-peutic techniques include short-term and directive psy-chotherapy. Collective or group therapy has been usedsince the second half of the 19th century. Its goals includeproviding support and education about the illness andimproving social and relationship skills. Groups are usu-ally heterogeneous by age, sex, and diagnosis (Semke1996). Family therapy in the rehabilitation of psychoticpatients is used to create a better emotional atmosphere

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and understanding of the disease process. Exploratorypsychotherapy is available to some patients.

A long-standing tradition of work therapy has beenmaintained, especially in rehabilitation of patients withschizophrenia (Babayan 1985). As early as the "Zemsky"period (the second half of the 19th century, beginning ofthe 20th), the network of day hospitals, outpatient clinics,neuropsychiatric sanatoria, psychiatric hospitals for theacutely and chronically ill, farm colonies for the chroni-cally ill, and therapeutic workshops in hospital and outpa-tient clinics were created. They continued to existthroughout the Soviet period, leading to the reorganiza-tion of psychiatric care with the establishment of the psy-chiatric registry and transitional therapeutic settings.Work therapy has become an essential part of this networkat the different levels (Melekhov 1933). The ability towork while in remission is determined during evaluationsperformed by the special commissions assigning patientsto the different levels of disability (i.e., grades of invalid-ity 1, 2, and 3). Only individuals with grade 3 invalidityare eligible for partial employment (Babayan 1985;Goncharov 1993).

Organization of care for severely mentally ill.Because of the well-developed network of communitymental health institutions serving catchment areas—including psychoneurological dispensaries, day and nighthospitals, workshops, rehabilitation units, training centers,prophylactic workshops in the factories, and social treat-ments—rehabilitation and tertiary prevention of schizo-phrenia are widely available and used (Hein 1968; Wing1974). The continuity of care and the individual approachto schizophrenia patients have been the main principles oforganization of psychiatric care in Russia (Babayan 1985;Yastrebov 1991). A patient with a severe mental illnesslike schizophrenia is assigned to the "primary care" psy-chiatrist at the workplace or in the psychoneurologicaldispensary serving the district where the patient lives.This psychiatrist becomes responsible for diagnosis, bio-logical and psychosocial treatment, and a regular fol-lowup, which is directed toward early detection and pre-vention of relapse. If a new exacerbation of mental illnessoccurs, patients are hospitalized at the local psychiatrichospital or a psychiatric unit of a general hospital. Attimes partial hospitalization programs for the treatment ofsubacute psychosis are utilized. After stabilization, thepatient returns to his primary psychiatrist for followupand rehabilitative programs at the local institution.Tertiary referral centers based in medical schools andresearch institutes treat "resistant cases." The continuityof care throughout the healthcare system and lower ratesof migration in the general population allowed the long-term retrospective and prospective studies of schizophre-nia discussed above to be conducted.

Comparison of the Russian ConceptWith the European and AmericanConcepts of Schizophrenia

Historical development of the European and Russian con-cepts of schizophrenia was approximately parallel in the19th and the first half of the 20th century (Bleuler 1911).Schizophrenia had a clear description as an early demen-tia in the 19th century (Peters 1991b; Marx 1994).European psychiatry was influenced by the Kraepelinianconcept (Kraepelin 1909-1915), but Bleuler's theorybecame more popular in the United States until the 1970s.Russian psychiatry has embraced both hypotheses sincethe 1940s.

The American concept of schizophrenia between1920 and 1970 was influenced by the theories of AlfredMeyer, who emphasized the impact of the individual his-tory of each particular patient on the schizophrenia syn-drome, rather than pathognomonic symptoms and thelongitudinal course (Peters 1991a; Mora 1994). TheAmerican concept was further broadened by the introduc-tion of several concepts of schizoaffective psychosis(Kasanin 1933), "ambulatory schizophrenia" (Zilboorg1956), and "pseudoneurotic schizophrenia" (Hoch andPolatin 1949; Peters 1991a; Mora 1994). DSM-II(American Psychiatric Association 1968) presented theconcept of schizophrenia in its broadest interpretation.This marked the point of greatest divergence from theEuropean classification of schizophrenia (Peters 1991&)and remarkable similarity to the Russian concept.

The World Health Organization sponsored theInternational Pilot Study of Schizophrenia in 1966 (TPSS;World Health Organization 1973). This led to a criticalrevision of American diagnosis of schizophrenia duringthe 1970s, with narrowing of its definition and developingof the core symptom criteria (Robins and Guze 1970;Peters 1991a; Calloway 1993; Andreasen 1994). TheDSM-III became a turning point for American psychiatryin the development of the schizophrenia concept. It rein-troduced a neo-Kraepelinian approach to diagnosis andclassification of schizophrenia that brought the Americanand European concepts closer. Further revisions of bothDSM and ICD systems tended to occur almost simultane-ously, reflecting changes in each other. The recent modernclassificatory systems, DSM-IV and ICD-10, group thesyndromes of schizoaffective psychoses differently. TheAmerican diagnostic system subsumes affective psychosiswith so-called "mood-incongruent psychotic features"under the affective disorders, while ICD-10 includesthem, in accord with tradition, with the group of schizo-phrenias. Both diagnostic systems take into account onlythe cross-sectional status within one illness phase(Calloway 1993).

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Contrary to the dramatic change in the U.S. classifi-cation brought on by DSM-III, post-war Russian-Sovietpsychiatry has never changed its adherence to the broadlydefined spectrum-schizophrenia concept with emphasis onthe longitudinal course. It continues to consider schizoaf-fective disorders as schizophrenia "continuum" disordersand, until recently, remained very rigid in its classificationof schizophrenia. This reflects the discipline's historicaldevelopment and the inflexibility of the political system.The two major features that differentiate the Americanconcept from the Soviet one are the former's requirementsof psychotic symptoms and exclusion of patients withprominent affective features (Andreasen 1989). An obvi-ous point of divergence between Soviet and Western psy-chiatry involves the "boundary disorders" between schiz-ophrenia and affective psychosis, personality changes ordefect states in remission, nonpsychotic conditions (e.g.,latent or simple schizophrenia), and personality disorders(Andreasen 1989). The Soviet classification permits com-plete remissions in schizophrenia and nonpsychotic formsof illness. Treatment implications include neuroleptic usefor the nonpsychotic forms potentially causing additionalside effects and neuroleptic-induced movement disorders.

Some advocates of the continuum concept of schizo-phrenia in different parts of the world are not satisfiedwith the current state of affairs in the classification ofschizophrenia. They are trying to attract the attention ofthe international psychiatric community to the continuumof affective disorders and schizophrenia (Crow 1991; Kay1991; Stromgren 1991; Angst 1993) and the continuum ofpersonality disorders and schizophrenia (Siever et al.1993). Others are working on alternative classifications ofschizophrenia that would encompass well-recognized pat-terns of negative- and positive-symptoms schizophrenia(Crow 1985; Carpenter et al. 1988; McGlashan andFenton 1992) and new models of the disease process(Murray et al. 1992; Lindenmayer et al. 1995).

Is classification necessary in psychiatry?Classification is a part of human thinking. The Frenchanthropologist Claude Levy-Strauss (1973) proved in histreatise "La pensee sauvage" that there is no culture thatdoes not classify (see Angst 1993). The history of theSoviet and, in part, the American diagnostic systems ofschizophrenia demonstrates controversies involving theconceptual understanding of the disease. The imprecisionof the existing classifications made the concept of schizo-phrenia particularly vulnerable to abuse. The history ofthe Soviet concept of schizophrenia teaches us a morallesson about scientists' personal responsibility to developa concept in the context of a particular political system.Unfortunately, history shows many examples of psychi-atric abuses by repressive regimes in both the distant pastand modem times. The history of the Russian-Soviet psy-chiatry is just one of them.

The Soviet Concept of Schizophreniaand "Abuse of Psychiatry"

The causes of abuse of psychiatry are complex. In addi-tion to corruption, they include social and political pres-sures, poor standards of clinical training and practice,inadequate procedural quality assurance, and a weak leg-islature. Inadequate scientific precision of the diseasemodel and diagnostic criteria may also play a role.However, the list of factors examined by Fulford and col-leagues (1993) "fail to explain the essential vulnerabilityof psychiatry to abuse."

Some issues involved in the discussion of abuse ofpsychiatry include patients' rights violations, criminalconcepts of social dangerousness, "urgent hospitalization"(civil commitment), special hospitals, nonimputability(i.e., "not guilty by reason of insanity") of persons withmental illness, the practice of hospitalizing people whoare not mentally ill for their expression of political andreligious beliefs, and punitive use of psychotropic med-ications. These issues were covered in the Report of theU.S. Delegation, co-chaired by Drs. Roth and Farrand, toassess recent changes in Soviet psychiatry published in aspecial issue of the Schizophrenia Bulletin in 1989 (Rothet al. 1989). The broad Soviet concept of mental disorderdiagnoses in general, and for schizophrenia in particular,has led to the overdiagnosis of schizophrenia. In particu-lar, diagnostic criteria for mild "sluggish schizophrenia"and "delusions of reformism" abuse in cases of politicaldissenters, were unacceptable to the American psychiatriccommunity (Keith and Regier 1989; Shostakovich 1989;Smulevich 1989). At present, Russian psychiatrists admitthe reality of abuses and are trying to analyze their causesand consequences (Kabanov 1991; Savenko 1996).

Why abuse of psychiatry in Russia became possibleand lasted for decades without any significant correctionby the medical community is a very difficult question toanswer, particularly to someone who was not born andraised in Russia. This article has attempted to addresssome historical and cultural factors leading to the devel-opment of a broad diagnostic system of schizophrenia andits abuse. Another issue that contributed to this processwas the lack of a democratic tradition in Russia. The pres-ence of such a tradition helped U.S. psychiatrists resolvesimilar difficulties with diagnostic classification in transi-tioning from die DSM-II to the DSM-III. The tradition of"a great man" (Brown 1994) or a parental figure, a singlepolitical figure worshiped as a parent with a "great powerand knowledge" by the masses, is still embedded inRussian life. Traditionally, Russian tsars or communistdictators were referred to as father, daddy, uncle, orgrandfather. Children of many generations have beenbrought up with the notion that there exists this "wisest,

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kindest, all-knowing grandfather" who will protect themfrom any misfortune. Astonishingly, some preferred thiswarm image to their own relatives. Amazingly, millions ofpeople whose relatives had been killed or sent to prisonsor labor camps by the KGB were devastated, cried, andinjured each other at Stalin's funeral in 1954.

Certainly, this is not a complete picture. Political dis-senters existed in Russia in all times. They survived manyyears of abuse and struggle and enriched Russian intellec-tual life by providing their alternative views. Russiansociety has never fully recovered from the exterminationand oppression of intellectuals and scientists that tookplace in the 1930s through 1950s. The result was several"politically passive" generations of people and scientistswho followed orders from the authorities and never askedany questions simply because they were not interested inbeing killed or ostracized like those who dared to dissent

Russian psychiatrists now have to overcome all thedifficulties of joining the international psychiatric com-munity. It is a tremendous struggle, complicated by theprocess of decentralization, financial difficulties, and thelongstanding professional traditions outlined in this arti-cle. The introduction of the ICD-10 may facilitate thisprocess, but it will not be simple or straightforward.Belozzubova (19%) indicated that some Russian diseaseentities will be added to the ICD-10 and proposed the useof the Russian-English and English-Russian Glossary forimproving mutual understanding. It will take some time tolearn that the role of the mental health profession in ademocratic society is to be technical advisers on thedegree of disorder and risk to the legal system (Monahanand Shah 1989), not an "instrument" of abuse guardingthis political system.

This is a highly condensed overview of the politically andscientifically controversial Russian-Soviet concepts ofschizophrenia. It is not intended to describe in detail all ofthe research data in the field. It presents historical per-spective on the formation and development of the con-cepts and research approaches. Russian psychiatrists havegathered considerable clinical material and have carefullydescribed psychopathology and classified longitudinalempirical observations of patients with schizophrenia. Afew similar examples of the longitudinal followup studiesof schizophrenia existed in Western psychiatry, but on asmaller number of patients (Kraepelin 1909-1915;Bleuler 1974; Ciompi and Muller 1976; Carpenter andKirkpatrick 1991). Russian psychiatrists traditionally paidspecial attention to the influence of age and gender on thecourse and outcome of schizophrenia, and they attempted

to substantiate the classification of schizophrenia withsome biological correlates. Unfortunately, the diagnosticsystem is unique and complicated, the diagnostic criteriafor schizophrenia are descriptive and imprecise, andresearch methodology employed in the studies of schizo-phrenia is different All these points make it difficult forthe international psychiatric community to interpret andcompare the results of Russian-Soviet studies with theirown. However, a few lessons can be learned from theRussian experience with the schizophrenia concept. TheRussian concept implies that schizophrenia represents aheterogeneous group of "spectrum" disorders. The generallongitudinal approach to the study of schizophrenia andthe exploration of the impact of gender and age at onsetcould further clarify its course, trends in disease progres-sion, and outcomes. Studies of the "boundary zone"between diagnostic categories like schizophrenia andaffective disorders, and schizophrenia and personality dis-orders may enrich our understanding of the relationshipsbetween disorders. The remarkable impact of the politicalsystem on the classification of schizophrenia and viceversa, and its potential recurrence, should not be forgottenby the international psychiatric community. GeorgeSantayana (1951) reminded us all that a society thatignores history is vulnerable to repeating it.

Alfimova, M., and Trubnikov, V. "Parental Traits and aCourse of Schizophrenia in an Offspring." [Abstract]Presented at the 10th World Congress of Psychiatry,Madrid, Spain, August, 1996.

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The author thanks Drs. Lissy Jarvik, Dilip Jeste, and IraLesser for their helpful suggestions. This study was sup-ported by a Veterans Affairs Neuroscience Fellowship toDr. Lavretsky.

Helen Lavretsky, M.D., is a Fellow in Geriatric Psychiatryand Neuroscience, University of California, Los Angeles,West Los Angeles Veterans Affairs Medical Center, LosAngeles, CA.

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