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Articles- Part XV
On Narcissism: An Introduction
Sigmund Freud (1914)
The term narcissism is derived from clinical description and was
chosen by Paul Nacke in 1899 to denote the attitude of a person who
treats his own body in the same way in which the body of a sexual
object is ordinarily treated-who looks at it, that is to say, strokes
it and fondles it till he obtains complete satisfaction through these
activities. Developed to this degree, narcissism has the significance
of a perversion that has absorbed the whole of the subject's sexual
life, and it will consequently exhibit the characteristics which we
expect to meet with in the study of all perversions.
Psychoanalytic observers were subsequently
struck by the fact that individual features of the narcissistic attitude
are found in many people who suffer from other disorders-for instance,
as Sadger has pointed out, in homosexuals--and finally it seemed probable
that an allocation of the libido such as deserved to be described
as narcissism might he present far more extensively, and that it might
claim a place in the regular course of human sexual development. Difficulties
in psychoanalytic work upon neurotics led to the same supposition,
for it seemed as though this kind of narcissistic attitude in them
constituted one of the limits to their susceptibility to influence.
Narcissism in this sense would not be a perversion, but the libidinal
complement to the egoism of the instinct of self-perservation, a measure
of which may justifiably be attributed to every living creature.
A pressing motive for occupying ourselves
with the conception of a primary and normal narcissism arose when
the attempt was made to subsume what we know of dementia praecox (Kraepelin)
or schizophrenia (Bleuler) under the hypothesis of the libido theory.
Patients of this kind, whom I have proposed to term paraphrenics,
display two fundamental characteristics: megalomania and diversion
of their interest from the external world-from people and things.
In consequence of the latter change, they become inaccessible to the
influence of psychoanalysis and cannot be cured by our efforts. But
the paraphrenic's turning away from the external world needs to be
more precisely characterized. A patient suffering from hysteria or
obsessional neurosis has also, as far as his illness extends, given
up his relation to reality. But analysis shows that he has by no means
broken off his erotic relations to people and things. He still retains
them in phantasy; i.e. he has, on the one hand, substituted for real
objects imaginary ones from his memory, or has mixed the latter with
the former; and on the other hand, lie has renounced the initiation
of motor activities for the attainment of his aims in connection with
those objects. It is otherwise with the paraphrenic. He seems really
to have withdrawn his libido from people and things in the external
world, without replacing them by others in phantasy. When he does
so replace them, the process seems to be a secondary one and to be
part of an attempt at recovery, designed to lead the libido back to
objects.
The question arises: What happens to
the libido which has been withdrawn from external objects in schizophrenia?
The megalomania characteristic of these states points the way. This
megalomania has no doubt come into being at the expense of object-libido.
The libido that has been withdrawn from the external world has been
directed to the ego and thus gives rise to an attitude which may be
called narcissism. But the megalomania itself is no new creation;
on the contrary, it is, as we know., a magnification and plainer manifestation
of a condition which had already existed previously. This leads us
to look upon the narcissism which arises through the drawing in of
object-cathexes as a secondary one, superimposed upon a primary narcissism
that is obscured by a number of different influences.
* * *
This extension of the libido theory--in my opinion, a legitimate
one--receives reinforcement from a third quarter, namely, from our
observations and views on the mental life of children and primitive
peoples. In the latter we find characteristics which, if they occurred
singly, might be put down to megalomania: an over-estimation of the
power of their wishes and mental acts, the 'omnipotence of thoughts',
a belief in the thaumaturgic force of words, and a technique for dealing
with the external world-'magic'-which appears to be a logical application
of these grandiose premises. In the children of to-day, whose development
is much more obscure to us, we expect to find an exactly analogous
attitude towards the external world. Thus we form the idea of there
being an original libidinal cathexis of the ego, from which some is
later given off to objects, but which fundamentally persists and is
related to the objectcathexes much as the body of an amoeba is related
to the pseudopodia which it puts out. In our researches, taking, as
they did, neurotic symptoms for their starting-point, this part of
the allocation of libido necessarily remained hidden from us at the
outset. All that we noticed were the emanations of this libido--the
object-cathexes, which can be sent out and drawn back again. We see
also, broadly speaking, an antithesis between ego-libido and object-libido.
The more of the one is employed, the more the other becomes depleted.
The highest phase of development of which object-libido is capable
is seen in the state of being in love, when the subject seems to give
up his own personality in favour of an object-cathexis; while we have
the opposite condition in the paranoic's phantasy (or self-perception)
of the `end of the world'. Finally, as regards the differentiation
of psychical energies, we are led to the conclusion that to begin
with, during the state of narcissism, they exist together and that
our analysis is too coarse to distinguish between them; not until
there is object-cathexis is it possible to discriminate a sexual energy--the
libido--from an energy of the ego-instincts.
What is the relation of the narcissism
of which we are now speaking to auto-erotism, which we have described
as an early state of the libido? Secondly, if we grant the ego a primary
cathexis of libido, why is there any necessity for further distinguishing
a sexual libido from a non-sexual energy of the ego-instincts? Would
not the postulation of a single kind of psychical energy save us all
the difficulties of differentiating an energy of the ego-instincts
from ego-libido, and ego-libido from object-libido?
As regards the first question, I may
point out that we are bound to suppose that a unity comparable to
the ego cannot exist in the individual from the start; the ego has
to be developed, The auto-erotic instincts, however, are there from
the very first; so there must be something added to auto-erotism--a
new psychical action--in order to bring about narcissism.
To be asked to give a definite answer
to the second question must occasion perceptible uneasiness in every
psychoanalyst. One dislikes the thought of abandoning observation
for barren theoretical controversy, but nevertheless one must not
shirk an attempt at clarification. It is true that notions such as
that of an ego-libido, an energy of the ego-instincts, and so on,
are neither particularly easy to grasp, nor sufficiently rich in content;
a speculative theory of the relations in question would begin by seeking
to obtain a sharply defined concept as its basis. But I am of opinion
that that is just the difference between a speculative theory and
a science erected on empirical interpretation. The latter will not
envy speculation its privilege of having a smooth, logically unassailable
foundation, but will gladly content itself with nebulous, scarcely
imaginable basic concepts, which it hopes to apprehend more clearly
in the course of its development, or which it is even prepared to
replace by others. For these ideas are not the foundation of science,
upon which everything rests: that foundation is observation alone.
They are not the bottom but the top of the whole structure, and they
can be replaced and discarded without damaging it. The same thing
is happening in our day in the science of physics, the basic notions
of which as regards matter, centres of force, attraction, etc., are
scarcely less debatable than the corresponding notions in psychoanalysis.
The value of the concepts 'ego-libido'
and 'object-libido' lies in the fact that they are derived from the
study of the intimate characteristics of neurotic and psychotic processes.
A differentiation of libido into a kind which is proper to the ego
and one which is attached to objects is an unavoidable corollary to
an original hypothesis which distinguished between sexual instincts
and ego-instincts. At any rate, analysis of the pure transference
neuroses (hysteria and obsessional neurosis) compelled me to make
this distinction and I only know that all attempts to account for
these phenomena by other means have been completely unsuccessful.
In the total absence of any theory of
the instincts which would help us to find our bearings, we may be
permitted, or rather, it is incumbent upon us, to start off by working
out some hypothesis to its logical conclusion, until it either breaks
down or is confirmed. There are various points in favour of the hypothesis
of there having been from the first a separation between sexual instincts
and others, ego-instincts, besides the serviceability of such a hypothesis
in the analysis of the transference neuroses. I admit that this latter
consideration alone would not be unambiguous, for it might be a question
of an indifferent psychical energy which only becomes libido through
the act of cathecting an object. But, in the first place, the distinction
made in this concept corresponds to the common popular distinction
between hunger and love. In the second place, there are biological
considerations in its favour. The individual does actually carry on
a twofold existence: one to serve his own purposes and the other as
a link in a chain, which he serves against his will, or at least involuntarily.
The individual himself regards sexuality as one of his own ends; whereas
from another point of view he is an appendage to his germ-plasm, at
whose disposal he puts his energies in return for a bonus of pleasure.
He is the mortal vehicle of a (possibly) immortal substance--like
the inheritor of an entailed property, who is only the temporary holder
of an estate which survives him. The separation of the sexual instincts
from the ego-instincts would simply reflect this twofold function
of the individual. Thirdly, we must recollect that all our provisional
ideas in psychology will presumably some day be based on an organic
substructure. This makes it probable that it is special substances
and chemical processes which perform the operations of sexuality and
provide for the extension of individual life into that of the species.
We are taking this probability into account in replacing the special
chemical substances by special psychical forces.
I try in general to keep psychology
clear from everything that is different in nature from it, even biological
lines of thought. For that very reason I should like at this point
expressly to admit that the hypothesis of separate ego-instincts and
sexual instincts (that is to say, the libido theory) rests scarcely
at all upon a psychological basis, but derives its principal support
from biology. But I shall be consistent enough [with my general rule]
to drop this hypothesis if psychoanalytic work should itself produce
some other, more serviceable hypothesis about the instincts. So far,
this has not happened. It may turn out that, most basically and on
the longest view, sexual energy-libido-is only the product of a differentiation
in the energy at work generally in the mind. But such an assertion
has no relevance. It relates to matters which are so remote from the
problems of our observation, and of which we have so little cognizance,
that it is as idle to dispute it as to affirm it; this primal identity
may well have as little to do with our analytic interests as the primal
kinship of all the races of mankind has to do with the proof of kinship
required in order to establish a legal right of inheritance. All these
speculations take us nowhere. Since we cannot wait for another science
to present us with the final conclusions on the theory of the instincts,
it is far more to the purpose that we should try to see what light
may be thrown upon this basic problem of biology by a synthesis of
the psychological phenomena. Let us face the possibility of error;
but do not let us be deterred from pursuing the logical implications
of the hypothesis we first adopted of an antithesis between ego-instincts
and sexual instincts (a hypothesis to which we were forcibly led by
analysis of the transference neuroses), and from seeing whether it
turns out to be without contradictions and fruitful, and whether it
can be applied to other disorders as well, such as schizophrenia.
It would, of course, be a different
matter if it were proved that the libido theory has already come to
grief in the attempt to explain the latter disease. This has been
asserted by C. G. Jung (1912) and it is on that account that I have
been obliged to enter upon this last discussion, which I would gladly
have been spared. I should have preferred to follow to its end the
course embarked upon in the analysis of the Schreber case without
any discussion of its premises. But Jung's assertion is, to say the
least of it, premature. The grounds he gives for it are scanty. In
the first place, he appeals to an admission of my own that I myself
have been obliged, owing to the difficulties of the Schreber analysis,
to extend the concept of libido (that is, to give up its sexual content)
and to identify libido with psychical interest in general. Ferenczi,
in an exhaustive criticism of Jung's work, has already said all that
is necessary is correction of this erroneous interpretation. I can
only corroborate his criticism and repeat that I have never made any
such retraction of the libido theory. Another argument of Jung's,
namely, that we cannot suppose that the withdrawal of the libido is
in itself enough to bring about the loss of the normal function of
reality, is no argument but a dictum. It `begs the question', and
saves discussion; for whether and how this is possible was precisely
the point that should have been under investigation.
How little this inapt analogy can help
us to decide the question may be learnt from the consideration that
an anchorite of this kind, who `tries to eradicate every trace of
sexual interest' (but only in the popular sense of the word `sexual'),
does not even necessarily display any pathogenic allocation of libido.
He may have diverted his sexual interest from human beings entirely,
and yet may have sublimated it into a heightened interest in the divine,
in nature, or in the animal kingdom, with his libido having undergone
an introversion on to his phantasies or a return to his ego. This
analogy would seem to rule out in advance the possibility of differentiating
between interest emanating from erotic sources and from others. We
may repudiate Jung's assertion, then, that the libido theory has come
to grief in the attempt explain dementia praecox, and that it is therefore
disposed of for the other neuroses as well.
II
In estimating the influence of organic disease upon the distribution
of libido, I follow a suggestion made to me orally by Sandor Ferenczi.
It is universally known, and we take it as a matter of course, that
a person who is tormented by organic pain and discomfort gives up
his interest in the things of the external world, in so far as they
do not concern his suffering. Closer observation teaches us that he
also withdraws libidinal interest from his love-objects: so long as
he suffers, he ceases to love. The commonplace nature of this fact
is no reason why we should be deterred from translating it into terms
of the libido theory. We should then say: the sick man withdraws his
libidinal cathexes back upon his own ego, and sends them out again
when he recovers. "Concentrated is his soul', says Wilhelm Busch
of the poet suffering from toothache, 'in his molar's narrow hole'."
Here libido and ego-interest share the same fate and are once more
indistinguishable from each other. The familiar egoism of the sick
person covers both. We find it so natural because we are certain that
in the same situation we should behave in just the same way. The way
in which a lover's feelings, however strong, are banished by bodily
ailments, and suddenly replaced by complete indifference, is a theme
which has been exploited by comic writers to an appropriate extent.
The condition of sleep, too, resembles
illness in implying a narcissistic withdrawal of the positions of
the libido on to the subject's own self, or, more precisely, on to
the single wish to sleep. The egoism of dreams fits very well into
this context. In both states we have, if nothing else, examples of
changes in the distribution of libido that are consequent upon a change
in the ego.
* * *
Hypochondria, like organic disease, manifests itself in distressing
and painful bodily sensations, and it has the same effect as organic
disease on the distribution of libido. The hypochondriac withdraws
both interest and libido--the latter specially markedly--from the
objects of the external world and concentrates both of them upon the
organ that is engaging his attention. A difference between hypochondria
and organic disease now becomes evident: in the latter, the distressing
sensations are based upon demonstrable [organic] changes; in the former,
this is not so. But it would be entirely in keeping with our general
conception of the processes of neurosis if we decided to say that
hypochondria must be right: organic changes must be supposed to be
present in it, too.
But what could these changes be? We
will let ourselves be guided at this point by our experience, which
shows that bodily sensations of an unpleasurable nature, comparable
to those of hypochondria, occur in the other neuroses as well. I have
said before that I am inclined to class hypochondria with neurasthenia
and anxiety-neurosis as a third `actual' neurosis. It would probably
not be going too far to suppose that in the case of the other neuroses
a small amount of hypochondria was regularly formed at the same time
as well. We have the best example of this, I think, in anxiety neurosis
with its superstructure of hysteria. Now the familiar prototype of
an organ that is painfully tender, that is in some way changed and
that is yet not diseased in the ordinary sense, is the genital organ
in its states of excitation. In that condition it becomes congested
with blood, swollen and humected, and is the seat of a multiplicity
of sensations. Let us now, taking any part of the body, describe its
activity of sending sexually exciting stimuli to the mind as its `erotogenicity',
and let us further reflect that the considerations on which our theory
of sexuality was based have long accustomed us to the notion that
certain other parts of the body--the 'erotogenic' zones--may act as
substitutes for the genitals and behave analogously to them. We have
then only one more step to take. We can decide to regard erotogenicity
as a general characteristic of all organs and may then speak of an
increase or decrease of it in a particular part of the body. For every
such change in the erotogenicity of the organs there might then be
a parallel change of libidinal cathexis in the ego. Such factors would
constitute what we believe to underlie hypochondria and what may have
the same effect upon the distribution of libido as is produced by
a material illness of the organs.
We see that, if we follow up this line
of thought, we come up against the problem not only of hypochondria,
but of the other `actual' neuroses--neurasthenia and anxiety neurosis.
Let us therefore stop at this point. We may suspect that the relation
of hypochondria to paraphrenia is similar to that of the other `actual'
neuroses to hysteria and obsessional neurosis: we may suspect, that
is, that it is dependent on ego-libido just as the others are on object-libido,
and that hypochondriacal anxiety is the counterpart, as coming from
ego-libido, to neurotic anxiety. Further, since we are already familiar
with the idea that the mechanism of falling ill and of the formation
of symptoms in the transference neuroses--the path from introversion
to regression--is to be linked to a damming-up of object-libido, we
may come to closer quarters with the idea of a damming-up of ego-libido
as well and may bring this idea into relation with the phenomena of
hypochondria and paraphrenia.
At this point, our curiosity will of
course raise the question why this damming-up of libido in the ego
should have to be experienced as unpleasurable. I shall content myself
with the answer that unpleasure is always the expression of a higher
degree of tension, and that therefore what is happening is that a
quantity in the field of material events is being transformed here
as elsewhere into the psychical quality of unpleasure. Nevertheless
it may be that what is decisive for the generation of unpleasure is
not the absolute magnitude of the material event, but rather some
particular function of that absolute magnitude. Here we may even venture
to touch on the question of what makes it necessary at all for our
mental life to pass beyond the limits of narcissism and to attach
the libido to objects. The answer which would follow from our line
of thought would once more be that this necessity arises when the
cathexis of the ego with libido exceeds a certain amount. A strong
egoism is a protection against falling ill, but in the last resort
we must begin to love in order not to fall ill, and we are bound to
fall ill if, in consequence of frustration, we are unable to love.
This follows somewhat on the lines of Heine's picture of the psychogenesis
of the Creation, "God is imagined as saying: 'Illness was no
doubt the final cause of the whole urge to create. By creating, I
could recover; by creating I became healthy'"- Heinrich Heine.
We have recognized our mental apparatus
as being first and foremost a device designed for mastering excitations
which would otherwise be felt as distressing or would have pathogenic
effects. Working them over in the mind helps remarkably towards an
internal draining away of excitations which are incapable of direct
discharge outwards, or for which such a discharge is for the moment
undesirable. In the first instance, however, it is a matter of indifference
whether this internal process of working-over is carried out upon
real or imaginary objects. The difference does not appear till later-if
the turning of the libido on to unreal objects (introversion) has
led to its being dammed up. In paraphrenics, megalomania allows of
a similar internal working-over of libido which has returned to the
ego; perhaps it is only when the megalomania fails that the damming-up
of libido in the ego becomes pathogenic and starts the process of
recovery which gives us the impression of being a disease.
* * *
A third way in which we may approach the study of narcissism is by
observing the erotic life of human beings, with its many kinds of
differentiation in man and woman. Just as object-libido at first concealed
ego-libido from our observation, so too in connection with the objectchoice
of infants (and of growing children) what we first noticed was that
they derived their sexual objects from their experiences of satisfaction.
The first autoerotic sexual satisfactions are experienced in connection
with vital functions which serve the purpose of self-preservation.
The sexual instincts are at the outset attached to the satisfaction
of the ego-instincts; only later do they become independent of these,
and even then we have an indication of that original attachment in
the fact that the persons who are concerned with a child's feeding,
care, and protection become his earliest sexual objects: that is to
say, in the first instance his mother or a substitute for her. Side
by side, however, with this type and source of object-choice, which
may be called the anaclitic' or `attachment` type, psychoanalytic
research has revealed a second type, which we were not prepared for
finding. We have discovered, especially clearly in people whose libidinal
development has suffered some disturbance, such as perverts and homosexuals,
that in their later choice of love-objects they have taken as a model
not their mother but their own selves. They are plainly seeking themselves
as a loveobject, and exhibiting a type of object-choice which must
be termed narcissistic'. In this observation we have the strongest
of the reasons which have led us to adopt the hypothesis of narcissism.
We have, however, not concluded that
human beings are divided into two sharply differentiated groups, according
as their object-choice conforms to the anaclitic or to the narcissistic
type; we assume rather that both kinds of object-choice are open to
each individual, though he may show a preference for one or the other.
We say that a human being has originally two sexual objects--himself
and the woman who nurses him--and in doing so we are postulating a
primary narcissism in everyone, which may in some cases manifest itself
in a dominating fashion in his object-choice.
A comparison of the male and female
sexes then shows that there are fundamental differences between them
in respect of their type of objectchoice, although these differences
are of course not universal. Complete object-love of the attachment
type is, properly speaking, characteristic of the male. It displays
the marked sexual overvaluation which is doubtless derived from the
child's original narcissism and thus corresponds to a transference
of that narcissism to the sexual object. This sexual overvaluation
is the origin of the peculiar state of being in love, a state suggestive
of a neurotic compulsion, which is thus traceable to an impoverishment
of the ego as regards libido in favour of the love-object. A different
course is followed in the type of female most frequently met with,
which is probably the purest and truest one. With the onset of puberty
the maturing of the female sexual organs, which up till then have
been in a condition of latency, seems to bring about an intensification
of the original narcissism, and this is unfavourable to the development
of a true object-choice with its accompanying sexual overvaluation.
Women, especially if they grow up with good looks, develop a certain
self-contentment which compensates them for the social restrictions
that are imposed upon them in their choice of object. Strictly speaking,
it is only themselves that such women love with an intensity comparable
to that of the man's love for them. Nor does their need lie in the
direction of loving, but of being loved; and the man who fulfils this
condition is the one who finds favour with them. The importance of
this type of woman for the erotic life of mankind is to be rated very
high. Such women have the greatest fascination for men, not only for
aesthetic reasons, since as a rule they are the most beautiful, but
also because of a combination of interesting psychological factors.
For it seems very evident that another person's narcissism has a great
attraction for those who have renounced part of their own narcissism
and are in search of object-love. The charm of a child lies to a great
extent in his narcissism, his self-contentment and inaccessibility,
just as does the charm of certain animals which seem not to concern
themselves about us, such as cats and the large beasts of prey. Indeed,
even great criminals and humorists, as they are represented in literature,
compel our interest by the narcissistic consistency with which they
manage to keep away from their ego anything that would diminish it.
It is as if we envied them for maintaining a blissful state of mind-an
unassailable libidinal position which we ourselves have since abandoned.
The great charm of narcissistic women has, however, its reverse side;
a large part of the lover's dissatisfaction, of his doubts of the
woman's love, of his complaints of her enigmatic nature, has its root
in this incongruity between the types of object-choice.
Perhaps it is not out of place here
to give an assurance that this description of the feminine form of
erotic life is not due to any tendentious desire on my part to depreciate
women. Apart from the fact that tendentiousness is quite alien to
me, I know that these different lines of development correspond to
the differentiation of functions in a highly complicated biological
whole; further, I am ready to admit that there are quite a number
of women who love according to the masculine type and who also develop
the sexual overvaluation proper to that type.
Even for narcissistic women, whose attitude
towards men remains cool, there is a road which leads to complete
object-love. In the child which they bear, a part of their own body
confronts them like an extraneous object, to which, starting out from
their narcissism, they can then give complete object-love. There are
other women, again, who do not have to wait for a child in order to
take the step in development from (secondary) narcissism to object-love.
Before puberty they feel masculine and develop some way along masculine
lines; after this trend has been cut short on their reaching female
maturity, they still retain the capacity of longing for a masculine
ideal--an ideal which is in fact a survival of the boyish nature that
they themselves once possessed.
What I have so far said by way of indication
may be concluded by a short summary of the paths leading to the choice
of an object. A person may love:
I) According to the narcissistic type:
(a) what he himself is (i.e. himself),
(b) what he himself was,
(c) what he himself would like to be,
(d) someone who was once part of himself.
(2) According to the anaclitic (attachment) type:
(a) the woman who feeds him,
(b) the man who protects him,
and the succession of substitutes who take their place. The inclusion
of case (c) of the first type cannot be justified till a later stage
of this discussion.
* * *
The primary narcissism of children which we have assumed and which
forms one of the postulates of our theories of the libido, is less
easy to grasp by direct observation than to confirm by inference from
elsewhere. If we look at the attitude of affectionate parents towards
their children, we have to recognize that it is a revival and reproduction
of their own narcissism, which they have long since abandoned. The
trustworthy pointer constituted by overvaluation, which we have already
recognized as a narcissistic stigma in the case of object-choice,
dominates, as we all know, their emotional attitude. Thus they are
under a compulsion to ascribe every perfection to the child--which
sober observation would find no occasion to do--and to conceal and
forget all his shortcomings. (Incidentally, the denial of sexuality
in children is connected with this. Moreover, they are inclined to
suspend in the child's favour the operation of all the cultural acquisitions
which their own narcissism has been forced to respect, and to renew
on his behalf the claims to privileges which were long ago given up
by themselves. The child shall have a better time than his parents;
he shall not be subject to the necessities which they have recognized
as paramount in life. Illness, death, renunciation of enjoyment, restrictions
on his own will, shall not touch him; the laws of nature and of society
shall be abrogated in his favour: he shall once more really be the
centre and core of creation--'His Majesty the Baby', as we once fancied
ourselves. The child shall fulfil those wishful dreams of the parents
which they never carried out--the boy shall become a great man and
a hero in his father's place, and the girl shall marry a prince as
a tardy compensation for her mother. At the most touchy point in the
narcissistic system, the immortality of the ego, which is so hard
pressed by reality, security is achieved by taking refuge in the child.
Parental love, which is so moving and at bottom so childish, is nothing
but the parents' narcissism born again, which, transformed into object-love,
unmistakably reveals its former nature.
III
Psychoanalytic research ordinarily enables us to trace the vicissitudes
undergone by the libidinal instincts when these, isolated from the
ego-instincts, are placed in opposition to them; but in the particular
field of the castration complex, it allows us to infer the existence
of an epoch and a psychical situation in which the two groups of instincts,
still operating in unison and inseparably mingled, make their appearance
as narcissistic interests. It is from this context that Adler [1910]
has derived his concept of the 'masculine protest', which he has elevated
almost to the position of the sole motive force in the formation of
character and neurosis alike and which he bases not on a narcissistic,
and therefore still a libidinal, trend, but on a social valuation.
Psychoanalytic research has from the very beginning recognized the
existence and importance of the 'masculine protest', but it has regarded
it, in opposition to Adler, as narcissistic in nature and derived
from the castration complex. The 'masculine protest' is concerned
in the formation of character, into the genesis of which it enters
along with many other factors, but it is completely unsuited for explaining
the problems of the neuroses, with regard to which Adler takes account
of nothing but the manner in which they serve the ego-instincts. I
find it quite impossible to place the genesis of neurosis upon the
narrow basis of the castration complex, however powerfully it may
come to the fore in men among their resistances to the cure of a neurosis.
* * *
Observation of normal adults shows that their former megalomania
has been damped down and that the psychical characteristics from which
we inferred their infantile narcissism have been effaced. What has
become of their ego-libido? Are we to suppose that the whole amount
of it has passed into object-cathexes? Such a possibility is plainly
contrary to the whole trend of our argument; but we may find a hint
at another answer to the question in the psychology of repression.
We have learnt that libidinal instinctual impulses
undergo the vicissitude of pathogenic repression if they come into
conflict with the subiect's cultural and ethical ideas. By this we
never mean that the individual in question has a merely intellectual
knowledge of the existence of such ideas; we always mean that he recognizes
them as a standard for himself and submits to the claims they make
on him. Repression, we have said, proceeds from the ego; we might
say with greater precision that it proceeds from the self-respect
of the ego. The same impressions, experiences, impulses and desires
that one man indulges or at least works over consciously will be rejected
with the utmost indignation by another, or even stifled before they
enter consciousness. The difference between the two, which contains
the conditioning factor of repression, can easily be expressed in
terms which enable it to be explained by the libido theory. We can
say that the one man has set up an ideal in himself by which he measures
his actual ego, while the other has formed no such ideal. For the
ego the formation of an ideal would be the conditioning factor of
repression.
This ideal ego is now the target of
the self-love which was enjoyed in childhood by the actual ego. The
subject's narcissism makes its appearance displaced on to this new
ideal ego, which, like the infantile ego, finds itself possessed of
every perfection that is of value. As always where the libido is concerned,
man has here again shown himself incapable of giving up a satisfaction
he had once enjoyed. He is not willing to forgo the narcissistic perfection
of his childhood; and when, as he grows up, he is disturbed by the
admonitions of others and by the awakening of his own critical judgement,
so that he can no longer retain that perfection, he seeks to recover
it in the new form of an ego ideal. What he projects before him as
his ideal is the substitute for the lost narcissism of his childhood
in which he was his own ideal.
We are naturally led to examine the
relation between this forming of an ideal and sublimation. Sublimation
is a process that concerns objectlibido and consists in the instinct's
directing itself towards an aim other than, and remote from, that
of sexual satisfaction; in this process the accent falls upon deflection
from sexuality. Idealization is a process that concerns the object;
by it that object, without any alteration in its nature, is aggrandized
and exalted in the subject's mind. Idealization is possible in the
sphere of ego-libido as well as in that of object-libido. For example,
the sexual overvaluation of an object is an idealization of it. In
so far as sublimation describes something that has to do with the
instinct and idealization something to do with the object, the two
concepts are to be distinguished from each other.
The formation of an ego ideal is often
confused with the sublimation of instinct, to the detriment of our
understanding of the facts. A man who has exchanged his narcissism
for homage to a high ego ideal has not necessarily on that account
succeeded in sublimating his libidinal instincts. It is true that
the ego ideal demands such sublimation, but it cannot enforce it;
sublimation remains a special process which may be prompted by the
ideal but the execution of which is entirely independent of any such
prompting. It is precisely in neurotics that we find the highest differences
of potential between the development of their ego ideal and the amount
of sublimation of their primitive libidinal instincts; and in general
it is far harder to convince an idealist of the inexpedient location
of his libido than a plain man whose pretensions have remained more
moderate. Further, the formation of an ego ideal and sublimation are
quite differently related to the causation of neurosis. As we have
learnt, the formation of an ideal heightens the demands of the ego
and is the most powerful factor favouring repression; sublimation
is a way out, a way by which those demands can be met without involving
repression.
It would not surprise us if we were
to find a special psychical agency which performs the task of seeing
that narcissistic satisfaction from the ego ideal is ensured and which,
with this end in view, constantly watches the actual ego and measures
it by that ideal. If such an agency does exist, we cannot possibly
come upon it as a discovery-we can only recognize it; for we may reflect
that what we call our 'conscience' has the required characteristics.
Recognition of this agency enables us to understand the so-called
'delusions of being noticed' or more correctly, of being watched,
which are such striking symptoms in the paranoid diseases and which
may also occur as an isolated form of illness, or intercalated in
a transference neurosis. Patients of this sort complain that all their
thoughts are known and their actions watched and supervised; they
are informed of the functioning of this agency by voices which characteristically
speak to them in the third person ('Now she's thinking of that again',
'now he's going out'). This complaint is justified; it describes the
truth. A power of this kind, watching, discovering and criticizing
all our intentions, does really exist. Indeed, it exists in every
one of us in normal life.
Delusions of being watched present this
power in a regressive form, thus revealing its genesis and the reason
why the patient is in revolt against it. For what prompted the subject
to form an ego ideal, on whose behalf his conscience acts as watchman,
arose from the critical influence of his parents (conveyed to him
by the medium of the voice), to whom were added, as time went on,
those who trained and taught him and the innumerable and indefinable
host of all the other people in his environment-his fellow-men-and
public opinion.
In this way large amounts of libido
of an essentially homosexual kind are drawn into the formation of
the narcissistic ego ideal and find outlet and satisfaction in maintaining
it. The institution of conscience was at bottom an embodiment, first
of parental criticism, and subsequently of that of society-a process
which is repeated in what takes place when a tendency towards repression
develops out of a prohibition or obstacle that came in the first instance
from without. The voices, as well as the undefined multitude, are
brought into the foreground again by the disease, and so the evolution
of conscience is reproduced regressively. But the revolt against this
'censoring agency' arises out of the subject's desire in accordance
with the fundamental character of his illness) to liberate himself
from all these influences, beginning with the parental one, and out
of his withdrawal of homosexual libido from them. His conscience then
confronts him in a regressive form as a hostile influence from without.
The complaints made by paranoics also
show that at bottom the selfcriticism of conscience coincides with
the self-observation on which it is based. Thus the activity of the
mind which has taken over the function of conscience has also placed
itself at the service of internal research, which furnishes philosophy
with the material for its intellectual operations. This may have some
bearing on the characteristic tendency of paranoics to construct speculative
systems.
* * *
We may here recall that we have found that the formation of dreams
takes place under the dominance of a censorship which compels distortion
of the dream-thoughts. We did not, however, picture this censorship
as a special power, but chose the term to designate one side of the
repressive trends that govern the ego, namely the side which is turned
towards the dream-thoughts. If we enter further into the structure
of the ego, we may recognize in the ego ideal and in the dynamic utterances
of conscience the dream-censor as well. If this censor is to some
extent on the alert even during sleep, we can understand how it is
that its suggested activity of self-observation and self-criticism-with
such thoughts as, `now he is too sleepy to think', `now he is waking
up'--makes a contribution to the content of the dream.
At this point we may attempt some discussion
of the self-regarding attitude in normal people and in neurotics.
In the first place self-regard appears to us to be an expression of
the size of the ego; what the various elements are which go to determine
that size is irrelevant. Everything a person possesses or achieves,
every remnant of the primitive feeling of omnipotence which his experience
has confirmed, helps to increase his self-regard.
Applying our distinction between sexual
and ego-instincts, we must recognize that self-regard has a specially
intimate dependence on narcissistic libido. Here we are supported
by two fundamental facts; that in paraphrenics self-regard is increased,
while in the transference neuroses it is diminished; and that in love-relations
not being loved lowers the self-regarding feelings, while being loved
raises them. As we have indicated, the aim and the satisfaction in
a narcissistic object-choice is to be loved.
Further, it is easy to observe that
libidinal object-cathexis does not raise self-regard. The effect of
dependence upon the loved object is to lower that feeling: a person
in love is humble. A person who loves has, so to speak, forfeited
a part of his narcissism, and it can only be replaced by his being
loved. In all these respects self-regard seems to remain related to
the narcissistic element in love.
The realization of impotence, of one's
own inability to love, in consequence of mental or physical disorder,
has an exceedingly lowering effect upon self-regard. Here, in my judgement,
we must look for one of the sources of the feelings of inferiority
which are experienced by patients suffering from the transference
neuroses and which they are so ready to report. The main source of
these feelings is, however, the impoverishment of the ego, due to
the extraordinarily large libidinal cathexes which have been withdrawn
from it-due, that is to say, to the injury sustained by the ego through
sexual trends which are no longer subject to control.
Adler is right in maintaining that when
a person with an active mental life recognizes an inferiority in one
of his organs, it acts as a spur and calls out a higher level of performance
in him through overcompensation. But it would be altogether an exaggeration
if, following Adler's example, we sought to attribute every successful
achievement to this factor of an original inferiority of an organ.
Not all artists are handicapped with bad eyesight, nor were all orators
originally stammerers. And there are plenty of instances of excellent
achievements springing from superior organic endowment. In the aetiology
of neuroses organic inferiority and imperfect development play an
insignificant part-much the same as that played by currently active
perceptual material in the formation of dreams. Neuroses make use
of such inferiorities as a pretext, just as they do of every other
suitable factor. We may be tempted to believe a neurotic woman patient
when she tells us that it was inevitable she should fall ill, since
she is ugly, deformed or lacking in charm, so that no one could love
her; but the very next neurotic will teach us better-for she persists
in her neurosis and in her aversion to sexuality, although she seems
more desirable, and is more desired, than the average woman. The majority
of hysterical women are among the attractive and even beautiful representatives
of their sex, while, on the other hand, the frequency of ugliness,
organic defects and infirmities in the lower classes of society does
not increase the incidence of neurotic illness among them.
The relations of self-regard to erotism--that
is, to libidinal object-cathexes--may be expressed concisely in the
following way. Two cases must be distinguished, according to whether
the erotic cathexes are egosyntonic, or, on the contrary, have suffered
repression. In the former case (where the use made of the libido is
ego-syntonic), love is assessed like any other activity of the ego.
Loving in itself, in so far as it involves longing and deprivation,
lowers self-regard; whereas being loved, having one's love returned,
and possessing the loved object, raises it once more. When libido
is repressed, the erotic cathexis is felt as a severe depletion of
the ego, the satisfaction of love is impossible, and the re-enrichment
of the ego can be effected only by a withdrawal of libido from its
objects. The return of the object-libido to the ego and its transformation
into narcissism represents, as it were, a happy love once more; and,
on the other hand, it is also true that a real happy love corresponds
to the primal condition in which object-libido and ego-libido cannot
be distinguished.
* * *
The importance and extensiveness of the topic must be my justification
for adding a few more remarks which are somewhat loosely strung together.
The development of the ego consists
in a departure from primary narcissism and gives rise to a vigorous
attempt to recover that state. This departure is brought about by
means of the displacement of libido on to an ego ideal imposed from
without; and satisfaction is brought about from fulfilling this ideal.
At the same time the ego has sent out
the libidinal objectcathexes. It becomes impoverished in favour of
these cathexes, just as it does in favour of the ego ideal, and it
enriches itself once more from its satisfactions in respect of the
object, just as it does by fulfilling its ideal.
One part of self-regard is primary--the
residue of infantile narcissism; another part arises out of the omnipotence
which is corroborated by experience (the fulfilment of the ego ideal),
whilst a third part proceeds from the satisfaction of object-libido.
The ego ideal has imposed severe conditions
upon the satisfaction of libido through objects; for it causes some
of them to be rejected by means of its censor, as being incompatible.
Where no such ideal has been formed, the sexual trend in question
makes its appearance unchanged in the personality in the form of a
perversion. To be their own ideal once more, in regard to sexual no
less than other trends, as they were in childhood--this is what people
strive to attain as their happiness.
Being in love consists in a flowing-over
of ego-libido on to the object. It has the power to remove repressions
and re-instate perversions. It exalts the sexual object into a sexual
ideal. Since, with the object type (or attachment type), being in
love occurs in virtue of the fulfilment of infantile conditions for
loving, we may say that whatever fulfils that condition is idealized.
The sexual ideal may enter into an interesting
auxiliary relation to the ego ideal. It may be used for substitutive
satisfaction where narcissistic satisfaction encounters real hindrances.
In that case a person will love in conformity with the narcissistic
type of object-choice, will love what he once was and no longer is,
or else what possesses the excellences which lie never had at all
(cf. (c) [p. 90]). The formula parallel to the one there stated runs
thus: what possesses the excellence which the ego lacks for making
it an ideal, is loved. This expedient is of special importance for
the neurotic, who, on account of his excessive object-cathexes, is
impoverished in his ego and is incapable of fulfilling his ego ideal.
He then seeks a way back to narcissism from his prodigal expenditure
of libido upon objects, by choosing a sexual ideal after the narcissistic
type which possesses the excellences to which he cannot attain. This
is the cure by love, which he generally prefers to cure by analysis.
Indeed, he cannot believe in any other mechanism of cure; he usually
brings expectations of this sort with him to the treatment and directs
them towards the person of the physician. The patient's incapacity
for love, resulting from his extensive repressions, naturally stands
in the way of a therapeutic plan of this kind. An unintended result
is often met with when, by means of the treatment, he has been partially
freed from his repressions: he withdraws from further treatment in
order to choose a loveobject, leaving his cure to be continued by
a life with someone he loves. We might be satisfied with this result,
if it did not bring with it all the dangers of a crippling dependence
upon his helper in need.
The ego ideal opens up an important
avenue for the understanding of group psychology. In addition to its
individual side, this ideal has a social side; it is also the common
ideal of a family, a class or a nation. It binds not only a person's
narcissistic libido, but also a considerable amount of his homosexual
libido,' which is in this way turned back into the ego. The want of
satisfaction which arises from the non-fulfilment of this ideal liberates
homosexual libido, and this is transformed into a sense of guilt (social
anxiety). Originally this sense of guilt was a fear of punishment
by the parents, or, more correctly, the fear of losing their love;
later the parents are replaced by an indefinite number of fellow-men.
The frequent causation of paranoia by an injury to the ego, by a frustration
of satisfaction within the sphere of the ego ideal, is thus made more
intelligible, as is the convergence of ideal-formation and sublimation
in the ego ideal, as well as the involution of sublimations and the
possible transformation of ideals in paraphrenic disorders.
Decoding Schizophrenia
Daniel C. Javitt and Joseph T. Coyle, Scientific American, January 2004
Today the word "schizophrenia" brings to mind such names
as John Nash and Andrea Yates. Nash, the subject of the Oscar-winning
film A Beautiful Mind, emerged as a mathematical prodigy and eventually
won a Nobel Prize for his early work, but he became so profoundly
disturbed by the brain disorder in young adulthood that he lost his
academic career and floundered for years before recovering. Yates,
a mother of five who suffers from both depression and schizophrenia,
infamously drowned her young children in a bathtub to "save them
from the devil" and is now in prison.
The experiences of Nash and Yates are
typical in some ways but atypical in others. Of the roughly 1 percent
of the world's population stricken with schizophrenia, most remain
largely disabled throughout adulthood. Rather than being geniuses
like Nash, many show below- average intelligence even before they
become symptomatic and then undergo a further decline in IQ when the
illness sets in, typically during young adulthood. Unfortunately,
only a minority ever achieve gainful employment. In contrast to Yates,
fewer than half marry or raise families. Some 15 percent reside for
long periods in state or county mental health facilities, and another
15 percent end up incarcerated for petty crimes and vagrancy. Roughly
60 percent live in poverty, with one in 20 ending up homeless. Because
of poor social support, more individuals with schizophrenia become
victims than perpetrators of violent crime.
Medications exist but are problematic.
The major options today, called antipsychotics, stop all symptoms
in only about 20 percent of patients. (Those lucky enough to respond
in this way tend to function well as long as they continue treatment;
too many, however, abandon their medicines over time, usually because
of side effects, a desire to be "normal" or a loss of access
to mental health care). Two thirds gain some relief from antipsychotics
yet remain symptomatic throughout life, and the remainder show no
significant response.
An inadequate arsenal of medications
is only one of the obstacles to treating this tragic disorder effectively.
Another is the theories guiding drug therapy. Brain cells (neurons)
communicate by releasing chemicals called neurotransmitters that either
excite or inhibit other neurons. For decades, theories of schizophrenia
have focused on a single neurotransmitter: dopamine. In the past few
years, though, it has become clear that a disturbance in dopamine
levels is just a part of the story and that, for many, the main abnormalities
lie elsewhere. In particular, suspicion has fallen on deficiencies
in the neurotransmitter glutamate. Scientists now realize that schizophrenia
affects virtually all parts of the brain and that, unlike dopamine,
which plays an important role only in isolated regions, glutamate
is critical virtually everywhere. As a result, investigators are searching
for treatments that can reverse the underlying glutamate deficit.
Multiple Symptoms
To develop better treatments, investigators need to understand how
schizophrenia arises--which means they need to account for all its
myriad symptoms. Most of these fall into categories termed "positive,"
"negative" and "cognitive." Positive symptoms
generally imply occurrences beyond normal experience; negative symptoms
generally connote diminished experience. Cognitive, or "disorganized,"
symptoms refer to difficulty maintaining a logical, coherent flow
of conversation, maintaining attention, and thinking on an abstract
level.
The public is most familiar with the
positive symptoms, particularly agitation, paranoid delusions (in
which people feel conspired against) and hallucinations, commonly
in the form of spoken voices. Command hallucinations, where voices
tell people to hurt themselves or others, are an especially ominous
sign: they can be difficult to resist and may precipitate violent
actions.
The negative and cognitive symptoms
are less dramatic but more pernicious. These can include a cluster
called the 4 A's: autism (loss of interest in other people or the
surroundings), ambivalence (emotional withdrawal), blunted affect
(manifested by a bland and unchanging facial expression), and the
cognitive problem of loose association (in which people join thoughts
without clear logic, frequently jumbling words together into a meaningless
word salad). Other common symptoms include a lack of spontaneity,
impoverished speech, difficulty establishing rapport and a slowing
of movement. Apathy and disinterest especially can cause friction
between patients and their families, who may view these attributes
as signs of laziness rather than manifestations of the illness.
When individuals with schizophrenia
are evaluated with pencil-and-paper tests designed to detect brain
injury, they show a pattern suggestive of widespread dysfunction.
Virtually all aspects of brain operation, from the most basic sensory
processes to the most complex aspects of thought are affected to some
extent. Certain functions, such as the ability to form new memories
either temporarily or permanently or to solve complex problems, may
be particularly impaired. Patients also display difficulty solving
the types of problems encountered in daily living, such as describing
what friends are for or what to do if all the lights in the house
go out at once. The inability to handle these common problems, more
than anything else, accounts for the difficulty such individuals have
in living independently. Overall, then, schizophrenia conspires to
rob people of the very qualities they need to thrive in society: personality,
social skills and wit.
Beyond Dopamine
The emphasis on dopamine-related abnormalities as a cause of schizophrenia
emerged in the 1950s, as a result of the fortuitous discovery that
a class of medication called the phenothiazines was able to control
the positive symptoms of the disorder. Subsequent studies demonstrated
that these substances work by blocking the functioning of a specific
group of chemical-sensing molecules called dopamine D2 receptors,
which sit on the surface of certain nerve cells and convey dopamine's
signals to the cells' interior. At the same time, research led by
the recent Nobel laureate Arvid Carlsson revealed that amphetamine,
which was known to induce hallucinations and delusions in habitual
abusers, stimulated dopamine release in the brain. Together these
two findings led to the "dopamine theory," which proposes
that most symptoms of schizophrenia stem from excess dopamine release
in important brain regions, such as the limbic system (thought to
regulate emotion) and the frontal lobes (thought to regulate abstract
reasoning).
Over the past 40 years, both the strengths
and limitations of the theory have become apparent. For some patients,
especially those with prominent positive symptoms, the theory has
proved robust, fitting symptoms and guiding treatment well. The minority
of those who display only positive manifestations frequently function
quite well--holding jobs, having families and suffering relatively
little cognitive decline over time--if they stick with their medicines.
Yet for many, the hypothesis fits poorly.
These are the people whose symptoms come on gradually, not dramatically,
and in whom negative symptoms overshadow the positive. The sufferers
grow withdrawn, often isolating themselves for years. Cognitive functioning
is poor, and patients improve slowly, if at all, when treated with
even the best existing medications on the market.
Such observations have prompted some researchers to modify the dopamine
hypothesis. One revision suggests, for example, that the negative
and cognitive symptoms may stem from reduced dopamine levels in certain
parts of the brain, such as the frontal lobes, and increased dopamine
in other parts of the brain, such as the limbic system. Because dopamine
receptors in the frontal lobe are primarily of the D1 (rather than
D2) variety, investigators have begun to search, so far unsuccessfully,
for medications that stimulate D1 receptors while inhibiting D2s.
In the late 1980s researchers began
to recognize that some pharmaceuticals, such as clozapine (Clozaril),
were less likely to cause stiffness and other neurologic side effects
than older treatments, such as chlorpromazine (Thorazine) or haloperidol
(Haldol), and were more effective in treating persistent positive
and negative symptoms. Clozapine, known as an atypical antipsychotic,
inhibits dopamine receptors less than the older medications and affects
the activity of various other neurotransmitters more strongly. Such
discoveries led to the development and wide adoption of several newer
atypical antipsychotics based on the actions of clozapine (certain
of which, unfortunately, now turn out to be capable of causing diabetes
and other unexpected side effects). The discoveries also led to the
proposal that dopamine was not the only neurotransmitter disturbed
in schizophrenia; others were involved as well.
Theories focusing largely on dopamine
are problematic on additional grounds. Improper dopamine balance cannot
account for why one individual with schizophrenia responds almost
completely to treatment, whereas someone else shows no apparent response.
Nor can it explain why positive symptoms respond so much better than
negative or cognitive ones do. Finally, despite decades of research,
investigations of dopamine have yet to uncover a smoking gun. Neither
the enzymes that produce this neurotransmitter nor the receptors to
which it binds appear sufficiently altered to account for the panoply
of observed symptoms.
The Angel Dust Connection
If dopamine cannot account well for schizophrenia, what is the missing
link? A critical clue came from the effects of another abused drug:
PCP (phencyclidine), also known as angel dust. In contrast to amphetamine,
which mimics only the positive symptoms of the disease, PCP induces
symptoms that resemble the full range of schizophrenia's manifestations:
negative and cognitive and, at times, positive. These effects are
seen not just in abusers of PCP but also in individuals given brief,
low doses of PCP or ketamine (an anesthetic with similar effects)
in controlled drug-challenge trials.
Such studies first drew parallels between the effects of PCP and the
symptoms of schizophrenia in the 1960s. They showed, for example,
that individuals receiving PCP exhibited the same type of disturbances
in interpreting proverbs as those with schizophrenia. More recent
studies with ketamine have produced even more compelling similarities.
Notably, during ketamine challenge, normal individuals develop difficulty
thinking abstractly, learning new information, shifting strategies
or placing information in temporary storage. They show a general motor
slowing and reduction in speech output just like that seen in schizophrenia.
Individuals given PCP or ketamine also grow withdrawn, sometimes even
mute; when they talk, they speak tangentially and concretely. PCP
and ketamine rarely induce schizophrenialike hallucinations in normal
volunteers, but they exacerbate these disturbances in those who already
have schizophrenia.
The ability of PCP and ketamine to induce
a broad spectrum of schizophrenia-like symptoms suggests that these
drugs replicate some key molecular disturbance in the brain of schizophrenic
patients. At the molecular level the drugs impair the functioning
of the brain signaling systems that rely on glutamate, the main excitatory
neurotransmitter in the brain. More precisely, they block the action
of a form of glutamate receptor known as the NMDA receptor, which
plays a critical role in brain development, learning, memory and neural
processing in general. This receptor also participates in regulating
dopamine release, and blockade of NMDA receptors produces the same
disturbances of dopamine function typically seen in schizophrenia.
Thus, NMDA receptor dysfunction, by itself, can explain both negative
and cognitive symptoms of schizophrenia as well as the dopamine abnormalities
at the root of the positive symptoms.
One example of the research implicating
NMDA receptors in schizophrenia relates to the way the brain normally
processes information. Beyond strengthening connections between neurons,
NMDA receptors amplify neural signals, much as transistors in old-style
radios boosted weak radio signals into strong sounds. By selectively
amplifying key neural signals, these receptors help the brain respond
to some messages and ignore others, thereby facilitating mental focus
and attention. Ordinarily, people respond more intensely to sounds
presented infrequently than to those presented frequently and to sounds
heard while listening than to sounds they make themselves while speaking.
But people with schizophrenia do not respond this way, which implies
that their brain circuits reliant on NMDA receptors are out of kilter.
If reduced NMDA receptor activity prompts
schizophrenia's symptoms, what then causes this reduction? The answer
remains unclear. Some reports show that people with schizophrenia
have fewer NMDA receptors, although the genes that give rise to the
receptors appear unaffected. If NMDA receptors are intact and present
in proper amounts, perhaps the problem lies with a flaw in glutamate
release or with a buildup of compounds that disrupt NMDA activity.
Some evidence supports each of these
ideas. For instance, postmortem studies of schizophrenic patients
reveal not only lower levels of glutamate but also higher levels of
two compounds (NAAG and kynurenic acid) that impair the activity of
NMDA receptors. Moreover, blood levels of the amino acid homocysteine
are elevated; homocysteine, like kynurenic acid, blocks NMDA receptors
in the brain. Overall, schizophrenia's pattern of onset and symptoms
suggests that chemicals disrupting NMDA receptors may accumulate in
sufferers' brains, although the research verdict is not yet in. Entirely
different mechanisms may end up explaining why NMDA receptor transmission
becomes attenuated.
New Treatment Possibilities
Regardless of what causes NMDA signaling to go awry in schizophrenia,
the new understanding--and preliminary studies in patients--offers
hope that drug therapy can correct the problem. Support for this idea
comes from studies showing that clozapine, one of the most effective
medications for schizophrenia identified to date, can reverse the
behavioral effects of PCP in animals, something that older antipsychotics
cannot do. Further, short-term trials with agents known to stimulate
NMDA receptors have produced encouraging results. Beyond adding support
to the glutamate hypothesis, these results have enabled long-term
clinical trials to begin. If proved effective in large-scale tests,
agents that activate NMDA receptors will become the first entirely
new class of medicines developed specifically to target the negative
and cognitive symptoms of the disorder.
The two of us have conducted some of
those studies. When we and our colleagues administered the amino acids
glycine and D-serine to patients with their standard medications,
the subjects showed a 30 to 40 percent decline in cognitive and negative
symptoms and some improvement in positive symptoms. Delivery of a
medication, D-cycloserine, that is primarily used for treating tuberculosis
but happens to cross-react with the NMDA receptor, produced similar
results. Based on such findings, the National Institute of Mental
Health has organized multicenter clinical trials at four hospitals
to determine the effectiveness of D-cycloserine and glycine as therapies
for schizophrenia; results should be available this year. Trials of
D-serine, which is not yet approved for use in the U.S., are ongoing
elsewhere with encouraging preliminary results as well. These agents
have also been helpful when taken with the newest generation of atypical
antipsychotics, which raises the hope that therapy can be developed
to control all three major classes of symptoms at once.
None of the agents tested to date may
have the properties needed for commercialization; for instance, the
doses required may be too high. We and others are therefore exploring
alternative avenues. Molecules that slow glycine's removal from brain
synapses--known as glycine transport inhibitors--might enable glycine
to stick around longer than usual, thereby increasing stimulation
of NMDA receptors. Agents that directly activate "AMPA-type"
glutamate receptors, which work in concert with NMDA receptors, are
also under active investigation. And agents that prevent the breakdown
of glycine or D-serine in the brain have been proposed.
Many Avenues of Attack
Scientists interested in easing schizophrenia are also looking beyond
signaling systems in the brain to other factors that might contribute
to, or protect against, the disorder. For example, investigators have
applied so-called gene chips to study brain tissue from people who
have died, simultaneously comparing the activity of tens of thousands
of genes in individuals with and without schizophrenia. So far they
have determined that many genes important to signal transmission across
synapses are less active in those with schizophrenia--but exactly
what this information says about how the disorder develops or how
to treat it is unclear.
Genetic studies in schizophrenia have
nonetheless yielded intriguing findings recently. The contribution
of heredity to schizophrenia has long been controversial. If the illness
were dictated solely by genetic inheritance, the identical twin of
a schizophrenic person would always be schizophrenic as well, because
the two have the same genetic makeup. In reality, however, when one
twin has schizophrenia, the identical twin has about a 50 percent
chance of also being afflicted. Moreover, only about 10 percent of
first-degree family members (parents, children or siblings) share
the illness even though they have on average 50 percent of genes in
common with the affected individual. This disparity suggests that
genetic inheritance can strongly predispose people to schizophrenia
but that environmental factors can nudge susceptible individuals into
illness or perhaps shield them from it. Prenatal infections, malnutrition,
birth complications and brain injuries are all among the influences
suspected of promoting the disorder in genetically predisposed individuals.
Over the past few years, several genes
have been identified that appear to increase susceptibility to schizophrenia.
Interestingly, one of these genes codes for an enzyme (catechol-O-methyltransferase)
involved in the metabolism of dopamine, particularly in the prefrontal
cortex. Genes coding for proteins called dysbindin and neuregulin
seem to affect the number of NMDA receptors in brain. The gene for
an enzyme involved in the breakdown of D-serine (D-amino acid oxidase)
may exist in multiple forms, with the most active form producing an
approximately fivefold increase in risk for schizophrenia. Other genes
may give rise to traits associated with schizophrenia but not the
disease itself. Because each gene involved in schizophrenia produces
only a small increase in risk, genetic studies must include large
numbers of subjects to detect an effect and often generate conflicting
results. On the other hand, the existence of multiple genes predisposing
for schizophrenia may help explain the variability of symptoms across
individuals, with some people perhaps showing the greatest effect
in dopamine pathways and others evincing significant involvement of
other neurotransmitter pathways.
Finally, scientists are looking for
clues by imaging living brains and by comparing brains of people who
have died. In general, individuals with schizophrenia have smaller
brains than unaffected individuals of similar age and sex. Whereas
the deficits were once thought to be restricted to areas such as the
brain's frontal lobe, more recent studies have revealed similar abnormalities
in many brain regions: those with schizophrenia have abnormal levels
of brain response while performing tasks that activate not only the
frontal lobes but also other areas of the brain, such as those that
control auditory and visual processing. Perhaps the most important
finding to come out of recent research is that no one area of the
brain is "responsible" for schizophrenia. Just as normal
behavior requires the concerted action of the entire brain, the disruption
of function in schizophrenia must be seen as a breakdown in the sometimes
subtle interactions both within and between different brain regions.
Because schizophrenia's symptoms vary
so greatly, many investigators believe that multiple factors probably
cause the syndrome. What physicians diagnose as schizophrenia today
may prove to be a cluster of different illnesses, with similar and
overlapping symptoms. Nevertheless, as researchers more accurately
discern the syndrome's neurological bases, they should become increasingly
skilled at developing treatments that adjust brain signaling in the
specific ways needed by each individual.
DANIEL C. JAVITT and JOSEPH T. COYLE have studied schizophrenia for
many years. Javitt is director of the Program in Cognitive Neuroscience
and Schizophrenia at the Nathan Kline Institute for Psychiatric Research
in Orangeburg, N.Y., and professor of psychiatry at the New York University
School of Medicine. His paper demonstrating that the glutamate-blocking
drug PCP reproduces the symptoms of schizophrenia was the second-most
cited schizophrenia publication of the 1990s. Coyle is Eben S. Draper
Professor of Psychiatry and Neuroscience at Harvard Medical School
and also editor in chief of the Archives of General Psychiatry. Both
authors have won numerous awards for their research. Javitt and Coyle
hold independent patents for use of NMDA modulators in the treatment
of schizophrenia, and Javitt has significant financial interests in
Medifoods and Glytech, companies attempting to develop glycine and
D-serine as treatments for schizophrenia.
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