Scenario 3
Kathy, a young psychiatrist, is asked by a distressed parent to consult with her about her son, Brian, who has decided to leave a career in science to enter the priesthood. The upset parent insists that Kathy order a brain scan to find a way to change his decision. “There must be something the matter with his brain, doctor. How could he throw away such a promising scientific career?” Kathy sees the young man, who appears thoughtful and mature, and he describes the deep satisfaction and inspiration he feels in the Catholic religion. He understands the possible hardships ahead of him but feels he is making the right decision. Kathy tells the parent that she is not going to order a magnetic resonance imaging scan. There is no evidence, she states, that there is anything the matter with his brain, and no interventions that would act directly on his brain are indicated in this situation. She feels that he has reached his decision in a reasonable way, but the mother should feel free, if she wants, to try to argue her son out of his decision.
What is going on in these three scenarios? In each case, we have a higher-order system that is completely constituted from lower-order elements. That is, Jackie’s macromolecules are made up of subatomic particles. Bill’s computer is made up of circuits and electrons. Brian’s mental processes are expressed in the biology of his brain. However, in each of these scenarios, an intervention at the level of the lower-order elements is likely to be, at best, inefficient and, at worst, ineffective and possibly harmful.
The Limits of Biological Reductionism
There is no such thing as a psychiatry that is too biological.
The last several decades have seen a rise to prominence within psychiatry of a biological reductionist perspective. Advocates of this point of view argue that the only valid approach to understanding psychiatric disorders or, more broadly, psychological functioning is in terms of basic neurobiological processes
(10). Multilevel models, especially those including mental and social explanatory perspectives, are typically rejected (sometimes with the epithet of being nonscientific or “soft-headed”) or accepted only with the caveat that all the “real” causal effects occur at the level of basic biology.
This position might be seen as a logical consequence of the rejection of Cartesian dualism. After all, if we agree that there are no mental processes that are independent of brain function, then should not all the causes of psychiatric disorders be reduced to brain processes? Although this reductionist perspective is understandable in sociological terms as a reaction to prior radical mentalistic programs within psychiatry (e.g., some forms of dynamic psychiatry) and is appealing because of the ease with which it fits into a medical model, this approach is too narrow to encompass the range of causal processes that are operative in psychiatric disorders.
The limits of biological reductionism are well illustrated by the three scenarios just outlined. Contrary to Guze’s assertion, psychiatry can be too biological in the same sense that it would be an error for Jackie to focus on subatomic particles in her physiological research, for Bill to try to fix his problem with statistical analysis by using a soldering iron, or for Kathy to employ psychopharmacology to reverse Brian’s career decision. Note that I do not contest that ultimately (in the sense of “weak biology”) all psychiatric illness is biological. What is at issue here is the optimal level in the causal processes underlying psychiatric illness at which intervention can be best focused and understanding most easily achieved.
Explanatory Pluralism
In the tradition of other thoughtful commentators (especially Engel
[11] and McHugh and Slavney
[12]), in place of biological reductionism, I advocate
explanatory pluralism (13–
17) as the approach best suited to understanding the nature of psychiatric illness. Explanatory pluralism hypothesizes multiple mutually informative perspectives with which to approach natural phenomena. Typically, these perspectives differ in their levels of abstraction, use divergent scientific tools, and provide different and complementary kinds of understanding. Explanatory pluralism is especially appropriate for psychiatry because psychiatric disorders are typically influenced by causal processes operating at several levels of abstraction.
A clear example of explanatory pluralism comes from biology, where it is useful to distinguish between “how” questions and “why” questions
(18). For example, in examining the large and colorful tail of the male peacock, we could study its developmental biology to clarify physiologically how such a tail develops. Alternatively, we could seek, in the evolutionary history of the peacock, an answer about why the tail develops, presumably through mechanisms of sexual selection. Neither the how/physiological nor the why/evolutionary explanatory perspective can easily replace or invalidate the other. It is simply in the nature of the phenomenon that it can be usefully approached scientifically from two different perspectives.
(The pluralistic explanatory approach outlined in this essay assumes the natural science perspective that Jaspers termed “explanation”
[1]. I do not here address another highly relevant question—how does the information acquired from this perspective relate to knowledge obtained, through empathy, from human relationships, through the process termed “understanding” by Jaspers
[1]?)
Arguments for Explanatory Pluralism and Against Biological Reductionism
I will now review eight arguments in favor of explanatory pluralism and against biological reductionism or other unimodal perspectives on psychiatric illness (including radical mentalistic accounts). These arguments assume the conclusive demonstration that specific biological processes that are manifest, for example, at the level of genetic risk factors or neurochemical alterations play a significant causal role in all psychiatric disorders.
First, a long clinical tradition and much empirical evidence of increasing methodological rigor point to the importance of first-person mental processes in the etiology of psychiatric disorders. Of the many possible studies, one recent investigation will illustrate this point
(19). In a large epidemiological sample of twins, severely stressful life events and onsets of major depression and generalized anxiety were studied. Descriptions of the severely stressful life events were blindly reviewed by trained raters and scored for their level of loss, humiliation, entrapment, and danger. Even though only highly threatening life events were studied, these ratings further predicted the risk of depression and anxiety.
Humiliation and loss are classical, subjective, first-person experiences that humans can recognize in themselves and in others. Although humiliation is ultimately expressed in the brain, this does not mean that the basic neurobiological level is necessarily the most efficient level at which to observe humiliation. Trying to understand humiliation by looking at basic brain biology may be like Bill trying to fix his statistical analyses with his soldering iron. It may be the wrong explanatory level.
Second, a large body of descriptive literature shows convincingly that cultural processes affect psychiatric illness. For example, a recent meta-analysis
(20) concluded that rates of bulimia have meaningfully increased in Western countries in recent years. Furthermore, in non-Western countries, the prevalence of bulimia is strongly related to the degree of contact with Western culture
(20). One study in Fiji
(21) has shown a substantial rise in eating disorder pathology in adolescent girls after the introduction of television and the associated intense exposure to Western ideals about body image. These results suggest that the risk for bulimia is related to cultural models of ideal body size. While culture ultimately exists as belief systems in the brains of individual members of a cultural group, it is unlikely that cultural forces that shape psychopathology can be efficiently understood at the level of basic brain biology.
Third, our first two examples illustrate that, in addition to neurobiological and genetic risk factors, a full etiological understanding of at least some psychiatric disorders will require consideration of psychological and cultural factors. We have, however, been naively assuming a model in which biological, psychological, and cultural factors each independently affect risk. However, the reality is more complex, thereby posing further difficulties for the reductionist biological model. The impact of genetic factors on the risk for psychiatric disorders or drug use can be modified by the rearing environment
(22,
23), stressful life experiences
(24,
25), and exposure to cultural forces
(26). Recent work in bulimia suggests that this disorder arises given a combination of a biological/genetic predisposition and cultural factors encouraging slim body ideals. The actions of basic biological risk factors for psychiatric illness are modified by forces acting at higher levels of abstraction.
Furthermore, gene expression is extensively modified by both simple (e.g., light-dark cycle) and complex (e.g., learning tasks, maternal separation) environmental stimuli
(27), and even relatively gross aspects of neuronal and brain anatomy can be modified by experience
(28). A bottom-up hard reductionist approach to psychiatric illness will be futile if basic neurobiological risk factors are frequently modified by higher-order processes, including environmental, psychological, and cultural experiences.
Fourth, biological reductionists assume that neurobiological risk factors for psychiatric disorders operate through physiological “inside-the-skin” pathways. However, an emerging body of research suggests that this assumption is false. Part of the way in which genetic risk factors influence the liability to psychiatric disorders is through “outside-the-skin” pathways that alter the probability of exposure to high-risk environments. For example, genetic risk factors for major depression increase the probability of interpersonal and marital difficulties, which are known risk factors for depression
(29). This is not a theoretical issue. If the impact of genetic risk factors is mediated through environmental processes, this opens up new possible modes of prevention.
Fifth, hard reductive models in science strive for clear “one-to-one” relationships between basic processes and outcome variables. Such simple relationships are not plausible for psychiatric illnesses. For example, individual genetic risk factors probably predispose to a range of different psychiatric disorders, depending on other genetic, developmental, and environmental factors
(30), and many different DNA variants probably predispose to one disorder
(31). This pattern of many-to-many causal links between basic etiological processes and outcomes is more compatible with pluralistic than with monistic reductive etiological models.
Sixth, a series of important questions in psychiatry are historical in nature and not plausibly subject to reductive biological explanations. Why are humans prone to develop depression when exposed to social adversity? Why do genetic risk factors for schizophrenia persist in human populations? Like the puzzle of the peacock’s tail, these questions are best answered at historical/evolutionary and not physiological levels.
Seventh, how, using a hard reductive biological approach toward psychiatry, can we define dysfunction
(14)? While certain psychiatric symptoms may be pathological at a basic biological level (e.g., hallucinations), many symptoms are dysfunctional only in certain contexts. At a physiological level, a panic attack during a near-fatal climbing accident in a psychiatrically healthy individual or in a crowded shopping mall in a patient with agoraphobia are probably the same. Since many psychiatric disorders include, by definition, some degree of psychosocial dysfunction
(32), explanation at the level of biology alone is unlikely to be sufficient.
Eighth, biological systems generally and mind-body systems more specifically have goals and generate processes to address these goals, such as the maintenance of blood pressure or self-esteem and the acquisition of food, sexual partners, or status. As argued persuasively by Bolton and Hill
(7), these information-based systems cannot be reduced to their molecular constituents without a loss of explanatory power. After all, the biology of a neural impulse—the influx and efflux of sodium, potassium, and calcium ions—is essentially the same all over the brain. These impulses have specific causal efficacy only through the particular neuronal system in which they are imbedded. Critical causal processes in the mind-brain system can only be captured though an understanding of the higher organizational levels of these goal-directed systems.
What Kind of Explanatory Pluralism Do We Need?
As outlined in an illuminating chapter by Mitchell et al.
(33), explanatory pluralism can come in several “flavors,” two of which interest us here.
Compatible pluralism recognizes the existence of distinct and independently meaningful levels of analysis. However, for scientific and/or sociological reasons, research in these distinct levels occurs largely in isolation. In
integrative pluralism, by contrast, active efforts are made to incorporate divergent levels of analysis. This approach assumes that, for most problems, single-level analyses will lead to only partial answers. However, rather than building large theoretical structures, integrative pluralism establishes small “local” integrations across levels of analysis.
Our field may be in particular need of integrative pluralism, where scientists, without abandoning conceptual rigor, cross borders between different etiological frameworks or levels of explanation. Such efforts may be unusually scientifically fruitful and work bit by bit toward broader integrative paradigms. Recent examples of integrative pluralism in psychiatric research would include the incorporation by Gutman and Nemeroff
(34) of early traumatic events into neurobiological models for depression and the efforts by Caspi and colleagues to include specific genotypes in an epidemiological study examining the development of antisocial behavior
(35) and depression (25) after exposure to environmental adversity.