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European Psychiatry 37 (2016) 8–13

Contents lists available at ScienceDirect

European Psychiatry
journal homepage: http://www.europsy-journal.com

Review

Shall we really say goodbye to first rank symptoms?


A. Heinz a, M. Voss a,*, S.M. Lawrie b, A. Mishara c, M. Bauer d, J. Gallinat e, G. Juckel f,
U. Lang g, M. Rapp h, P. Falkai i, W. Strik j, J. Krystal k, A. Abi-Dargham l, S. Galderisi m
a
Department of Psychiatry and Psychotherapy, Charité University Medicine, Saint-Hedwig Hospital, Humboldt University, Berlin, Germany
b
Division of Psychiatry, University of Edinburgh, Kennedy Tower, Royal Edinburgh Hospital, Edinburgh EH10 5HF, UK
c
Department of Clinical Psychology, Chicago School of Professional Psychology, Los Angeles, USA
d
University Hospital Carl Gustav Carus, Department of Psychiatry and Psychotherapy, Technische Universität Dresden, Dresden, Germany
e
University Clinic Hamburg-Eppendorf, Clinic and Policlinic for Psychiatry and Psychotherapy, Hamburg, Germany
f
Department of Psychiatry, Psychotherapy, and Psychosomatic Medicine, Ruhr-University, Bochum, Germany
g
Psychiatric University Clinics (UPK), Basel, Switzerland
h
Social and Preventive Medicine, University of Potsdam, Potsdam, Germany
i
Department of Psychiatry and Psychotherapy, Ludwig-Maximilians University, Munich, Germany
j
University Hospital of Psychiatry, University of Bern, Bern, Switzerland
k
Department of Psychiatry, Yale University School of Medicine, New Haven, CT, USA
l
Department of Psychiatry, Columbia University, New York, NY, USA
m
Department of Psychiatry, University of Naples SUN, Naples, Italy

A R T I C L E I N F O A B S T R A C T

Article history: Background: First rank symptoms (FRS) of schizophrenia have been used for decades for diagnostic
Received 13 January 2016 purposes. In the new version of the DSM-5, the American Psychiatric Association (APA) has abolished any
Received in revised form 18 April 2016 further reference to FRS of schizophrenia and treats them like any other ‘‘criterion A’’ symptom (e.g. any
Accepted 19 April 2016
kind of hallucination or delusion) with regard to their diagnostic implication. The ICD-10 is currently
Available online 16 July 2016
under revision and may follow suit. In this review, we discuss central points of criticism that are directed
against the continuous use of first rank symptoms (FRS) to diagnose schizophrenia.
Keywords:
Methods: We describe the specific circumstances in which Schneider articulated his approach to
First rank symptoms
Schizophrenia
schizophrenia diagnosis and discuss the relevance of his approach today. Further, we discuss anthropological
ICD and phenomenological aspects of FRS and highlight the importance of self-disorder (as part of FRS) for the
DSM diagnosis of schizophrenia. Finally, we will conclude by suggesting that the theory and rationale behind the
Self-disorder definition of FRS is still important for psychopathological as well as neurobiological approaches today.
Results: Results of a pivotal meta-analysis and other studies show relatively poor sensitivity, yet
relatively high specificity for FRS as diagnostic marker for schizophrenia. Several methodological issues
impede a systematic assessment of the usefulness of FRS in the diagnosis of schizophrenia. However,
there is good evidence that FRS may still be useful to differentiate schizophrenia from somatic causes of
psychotic states. This may be particularly important in countries or situations with little access to other
diagnostic tests. FRS may thus still represent a useful aid for clinicians in the diagnostic process.
Conclusion: In conclusion, we suggest to continue a tradition of careful clinical observation and fine-
grained psychopathological assessment, including a focus on symptoms regarding self-disorders, which
reflects a key aspect of psychosis. We suggest that the importance of FRS may indeed be scaled down to a
degree that the occurrence of a single FRS alone should not suffice to diagnose schizophrenia, but, on the
other hand, absence of FRS should be regarded as a warning sign that the diagnosis of schizophrenia or
schizoaffective disorder is not warranted and requires specific care to rule out other causes, particularly
neurological and other somatic disorders. With respect to the current stage of the development of ICD-
11, we appreciate the fact that self-disorders are explicitly mentioned (and distinguished from
delusions) in the list of mandatory symptoms but still feel that delusional perceptions and complex
hallucinations as defined by Schneider should be distinguished from delusions or hallucinations of ‘‘any
kind’’. Finally, we encourage future research to explore the psychopathological context and the
neurobiological correlates of self-disorders as a potential phenotypic trait marker of schizophrenia.
ß 2016 Elsevier Masson SAS. All rights reserved.

* Corresponding author. Department of Psychiatry and Psychotherapy, Charité University Medicine, Saint-Hedwig Hospital, Große Hamburger Str. 5-11, 10115 Berlin, Germany.
E-mail address: martin.voss@charite.de (M. Voss).

http://dx.doi.org/10.1016/j.eurpsy.2016.04.010
0924-9338/ß 2016 Elsevier Masson SAS. All rights reserved.
A. Heinz et al. / European Psychiatry 37 (2016) 8–13 9

1. Introduction Schneider and listed in ICD-10 to diagnose schizophrenia, then we


will focus on the specific circumstances in which Schneider
In the new version of the DSM-5, the American Psychiatric articulated his approach to schizophrenia diagnosis and discuss
Association (APA) has abolished any further reference to first rank the relevance of his approach today. Finally, we will conclude by
symptoms (FRS) of schizophrenia and treats them like any other suggesting that the theory and rationale behind the definition of
‘‘criterion A’’ symptom (e.g. any kind of hallucination or delusion) FRS is still important for psychopathological as well as neurobio-
with regard to their diagnostic implication [1,2]. As a consequence, logical approaches today. We suggest that the importance of FRS
any two criteria A symptoms are required for a diagnosis of may indeed be scaled down to a degree that the occurrence of a
schizophrenia. The ICD-10 [3] is currently under revision and may single first rank symptom should not suffice to diagnose
follow suit, based on the suggestion that FRSs are unhelpful for schizophrenia, but, on the other hand, we point out that absence
differentiating schizophrenia from other psychoses, as they occur of FRS can be regarded as a warning sign that the diagnosis of
frequently in other mental disorders [4,5]. schizophrenia or schizoaffective disorder is not warranted and
FRS have been conceptualized by Schneider [6,7] and have since requires an in-depth search for other causes, particularly
been used in several variations to inform diagnosis of schizophre- neurological and other somatic disorders. In conclusion, we
nia and schizoaffective disorder [8–10]. In this article, we will refer suggest to:
to FRS as they are summarized in Schneider’s Clinical Psychopa-
thology [7] and listed in the AMDP system (‘‘Arbeitsgemeinschaft  continue a tradition of careful clinical observation and fine-
für Dokumentation und Methodik in der Psychiatrie’’, [10]), which grained psychopathological assessment;
offers clinical examples of each FRS for regular training of  to further explore the neurobiological correlates of self-
psychiatrists and psychologists. disorders on;
In ICD-10, the following FRS are listed [3]:  to continue to teach and use ‘‘FRS’’ to inform diagnosis in
schizophrenia.
 audible thoughts;
 voices arguing;
 voices commenting on one’s action; 2. Criticism of FRS – why the occurrence of specific psychotic
 influence playing on the body-somatic passivity; experiences is not enough to diagnose schizophrenia but
 thought withdrawal; absence of FRS should be a warning sign
 thought insertion;
 thought broadcasting; Arguments against FRS can be divided in three sections: first, it
 made feelings; has been argued that FRS are not specific for schizophrenia and
 made impulses; occur in other mental disorders [15,16]. Second, it has been
 made volitional acts; suggested that the occurrence of psychotic symptoms per se,
 delusional perception. including first rank symptoms, is rather frequent even in subjects
who do not suffer from any classifiable mental disorder [17–
Importantly, seven out of these eleven FRS refer to the concept 19]. Thirdly, the use of FRS has been questioned within a
of so-called ‘‘ego disorders’’ or ‘‘self-disorders’’ (SD), commonly worldwide context and it has been suggested that the functions
also termed ‘‘passivity symptoms’’ (and referred to as ‘‘bizarre impaired in such FRS refer to specific European traditions of self-
delusions’’ in DSM) in the Anglo-American tradition, that include reflection rather than to a general anthropological trait [20,21].
thought insertion, but also thought broadcasting, thought blockade With respect to the first argument, a series of studies has shown
and all feelings of alien control of body parts, etc. In the German, that when applying DSM criteria to diagnose schizophrenia, FRS
but not the Anglo-American psychopathological tradition, such may occur in subjects who, according to DSM, are diagnosed with
‘‘self-disorders’’ have been distinguished from delusions, because affective disorders and do not show other symptoms suggesting
they concern experiences to which the psychotic subject has presence of schizophrenia [4,15,22]. This argument aims at the
privileged access (i.e. the experience that thoughts have been core of the current distinction between affective and schizophrenic
inserted in the person’s mind by an alien power), while delusions disorders; it can be traced back to Kraepelin’s dichotomous
are concerned with external events to which the psychotic person classification of the then so-called ‘‘endogenous psychosis’’ with
and the therapist have equal access [11]. dementia praecox (later schizophrenia) as an increasingly debili-
With respect to delusions, Schneider had suggested that only tating disorder on the one hand and affective disorders that alter
attributing a delusional meaning to a perception of altered events or between severe impairment and recovery on the other [23]. How-
constellations constitutes a first rank symptom of schizophrenia, ever, a series of current genetic studies suggest that genetic
because it can be directly checked by the doctor and the patient. The disposition overlaps considerably between schizophrenia and
concept of delusional perception dates back to a term coined by bipolar disorder as well as between bipolar disorder and unipolar
Schneider’s mentor, Karl Jaspers, ‘‘abnormes Bedeutungsbewusst- depression [24–26]. In this respect, one has to keep in mind that
sein’’ [abnormal consciousness of meaning] [12]. Schneider warned Schneider [6] did not suggest that his symptoms constitute a
that the diagnosis of other delusional experiences, such as disease entity; instead, he claimed that in case FRS are present, ‘‘in
delusional ideation or systematic delusions could be distorted by all modesty we call it schizophrenia’’ [6]. Accordingly, in ICD-10,
insufficient knowledge or prejudices on the side of the therapist the presence of FRS (with the exception of delusional perception)
[6]. This important notion later received some empirical support: in conjunction with a severe affective disorder is sufficient to
studies investigating inter-rater variability showed limited reliabil- diagnose a so-called schizoaffective disorder. The implicit assump-
ity for detecting ‘bizarre delusions’ [13], which were not confined to tion behind this approach is that FRS such as complex auditory
classical self-disorders, such as thought insertion but included hallucinations and thought insertion point to a dysfunction of
culturally highly unusual explanations of external events [8], while central aspects of the self, which suffices to clinically diagnose a
FRS – and SD in particular – were listed among those symptoms schizophrenia [3]. Some proponents of the DSM may argue that
with a high inter-rater reliability [14]. presence of such single symptoms is not enough to alter the
In this review, we will discuss central points of criticism that are fundamental nature of an affective disorder. In contrast, we
directed against the continuous use of FRS as described by suggest that self-disorders reflect key aspects of psychotic
10 A. Heinz et al. / European Psychiatry 37 (2016) 8–13

experience and that FRS describe clinically relevant alterations of assessing the diagnostic value of FRS and therefore several
personhood that require careful assessment and a search for their methodological problems have to be taken into account when
neurobiological correlates [27] [28]. We refer to the dimensional interpreting the data. In accordance with that, the Soares-Weiser
approach in psychiatry and suggest to further explore the et al. [37] conclude: ‘‘Empathetic, considerate use of FRS as a
neurobiological correlates of self-disorders in schizophrenia diagnostic aid – with known limitations – should avoid a good
[29–31]. Regarding the second argument, we suggest that proportion of these errors’’.
particularly those FRS that refer to self-disorders are clinically In the light of these limitations, one aspect remains particularly
highly relevant, because their presence indicates that a person can important for practical reasons: as psychiatrists also trained in
act on intentions which are experienced to be under alien control, neurology, we are specifically concerned that failing to assess FRS
thus severely interfering with personal accountability for such may increase false classification of somatic disorders as schizo-
actions [21,32]. Therefore, we suggest to continue to carefully phrenia. While it seems less clear that FRS are useful to demarcate
assess FRS, particularly self-disorders, and to recognize their psychotic symptoms in schizophrenia from those occurring in
importance in current classifications of mental disorders based on severe personality disorders, there is good evidence that lack of FRS
clinical relevance. We are also concerned that eliminating FRS from can be regarded as a warning sign that points to somatic disorders
diagnostic manuals will promote the loss of important phenome- other than schizophrenia: FRS (particularly self-disorders) are
nological, anthropological and neurobiological research traditions, virtually absent in a wide variety of somatic disorders with
which we will address in more detail below. psychotic features including infections and unwanted medication
A potentially even more important blow to FRS is given by the effects [38,39].
observation that such psychotic symptoms occur in isolation in Finally, it has been questioned whether FRS can be diagnosed
otherwise apparently healthy individuals [17,19]. Such findings and are clinically relevant on a worldwide level. Some authors have
support a view of mental maladies that suggests to only diagnose a argued that FRS result from specific practices of self-exploration
clinically relevant disorder in case there are not only symptoms of and control, e.g. developed within European context [40]. Indeed,
a disease, i.e. an impairment of a function generally relevant for Lambo [20] observed that FRS occur in Yoruba from Nigeria mainly
human survival, such as a hallucination (which is apparently a when they experienced and education oriented at Western
disruption of normal perception), but also an indication of European traditions, while more traditionally raised Yoruba
individual harm caused by this dysfunction [33], either in the experienced stronger degrees of confusion and affective involve-
form of individual suffering (the illness experience) or of a severe ment when becoming psychotic. On the other hand, FRS have
impairment in social participation (the sickness aspect of any successfully been used in the international WHO study [35] and
clinically relevant disorder) [34,35]. Independent of such consid- have since been observed in a multitude of interethnic compa-
erations, observing self-disorders in apparently healthy subjects risons (e.g. [41–44]). With respect to the use of FRS on a worldwide
questions the relevance of such alterations for personal account- level, we feel that a renewed attempt is warranted to initiate an in-
ability and hence their status as a core symptom of mental depth assessment of the phenomenology of schizophrenia in
dysfunction. However, a recent epidemiological study in over different cultures [45].
31,000 participants revealed that psychotic experiences (PE) in the
general population are less frequent than previously assumed
(5,8%, SE 0,2) and FRS amongst these are extremely rare (e.g. 0,4% 3. The case for first rank symptoms: anthropological traditions
for thought insertion/or withdrawal, 0,3% for mind control/ and specific mechanisms
passivity); 72% of those with PE reported only one particular type
of psychotic experience and one third (32,2%) just one a single Schneider developed his FRS in a time when diagnosis of
occurrence of a lifetime PE [17]. These observations suggest that schizophrenia in Germany would mean that the person was
single brief occurrences of thought insertion and other self- sterilized against his or her will and may even have been murdered;
disorders do not constitute a clinically relevant disorder, while indeed, more than one hundred forty thousand psychiatric patients
persistent presence of such alterations causing individual suffering were murdered in this time [46] (and survivors were at a modest yet
or impaired social participation may well do. significant risk of developing schizophrenia [47]).
A review of all FRS-related studies published between 1970 and Retrospectively, thus, Schneider’s approach seems cautious:
2005 addresses several methodological problems that impede the instead of relying on the expression of psychotic patients, including
systematic investigation of the clinical usefulness of FRS, in criteria such as ‘‘flat affect’’ or ‘‘incoherence’’ (the key symptom of
particular heterogenic inclusion of patients with respect to Bleuler’s understanding of schizophrenia; see [48]), Schneider
diagnoses as well as severity, stages of illness evolution and relied on symptoms directly reported by the patients [9]. Indeed, all
the lack of phenomenological assessment and description of the FRS are based on statements of patients: bizarre delusions such as
symptoms [36]. The authors conclude that ‘‘the reviewed studies do passivity phenomena have to be reported, as is the case for complex
not allow for either a reconfirmation or a rejection of Schneider’s hallucinations or delusional perceptions. Diagnosis of schizophre-
claims about FRS’’, and demand that future research should ‘‘apply a nia, in this tradition, is not based on expressive behavior (e.g.
phenomenological perspective and include a homogenous group of affective flattening or coherence of speech), as Schneider warned
patients across a wide spectrum of diagnoses’’. that every expression is an impression on the side of the examiner
Regarding the sensitivity and specificity of FRS to differentiate and hence can be distorted by prejudices including the inhuman
schizophrenia from other mental disorders, a recent Cochrane attitude towards schizophrenia of his time. Given that WHO
review [37] sums up the research since 1974. Twenty-one studies classifications have to be used worldwide, this concern in our view
with a total of 6253 participants were included in the review. FRS is still valid today. With respect to the specificity of first rank
differentiated schizophrenia from all other diagnoses with a symptoms, two points have to be distinguished: the occurrence of
sensitivity ranging between 57–61,8% and a specificity between FRS in affective disorders, which, as we feel, is sufficient to diagnose
74,7–94,1%, with a wide range of sensitivities and specificities a schizoaffective disorder as currently suggested in ICD-10, and the
altogether. Thus, as the authors put it: ‘‘FRS performs better at occurrence of FRS in isolation or in psychological stress situations of
‘ruling out’ rather than ‘ruling in’ schizophrenia’’ [37]. The authors otherwise healthy individuals.
point out that most of the studies included in the analysis were In DSM-IV, FRS were addressed as follows: ‘‘Only one Criterion A
more than 20 years old and were not conducted for the purpose of is required if delusions are bizarre or hallucinations consist of a voice
A. Heinz et al. / European Psychiatry 37 (2016) 8–13 11

keeping up a running commentary on the person’s behavior or we would also like to emphasize the practical utility of assessing
thoughts, or two voices conversing with each other’’ [1]. While FRS in differential diagnosis. As stated above, we warn that while
Schneider strictly distinguished between delusions that concern FRS do not occur in every patient with schizophrenia, they hardly
outside events and phenomena such as inserted thoughts, to which ever occur in hallucinatory or delusional states due to a variety of
the patient has privileged access (‘‘Ichstörungen’’ or self-disorders), somatic disorders, where the occurrence of any kind of hallucina-
the term ‘‘bizarre delusions’’ [1] includes both kinds of phenomena. tion or delusion is frequent, while complex, ‘‘Schneiderian’’
We agree that it can be difficult to distinguish between common and hallucinations, delusional perceptions and self-disturbances are
highly unusual delusions, which therefore is not a well-defined almost absent [38,39]. Given that ICD is used worldwide, an
term. However, we argue that it is clinically feasible to reliably exclusion of organic disorders, which is feasibly in the more
assess patients reports on phenomena such as thought insertion or wealthy industrialized countries, will not be performed in a
broadcasting, passivity phenomena and other ‘‘made’’ experiences, majority of countries worldwide. In accordance with [36], we
which constitute a rather profound alteration of personal experience would like to point out the usefulness of FRS in the differential
as they interfere with self-agency and authorship of one’s own diagnosis of schizophrenia in low-income countries with little
thoughts [32,49] and actions [50,51]. We are worried that access to other diagnostic tests. Using DSM-5 in such circums-
eliminating the assessment of FRS may promote the neglect of this tances and not demanding to base schizophrenia diagnosis on the
clinically highly relevant aspect of psychotic behavior, i.e. impaired occurrence of more specific forms of hallucinations or self-
‘‘mineness’’ of one’s own intentions and actions, which is an disorders can, as we caution, increase misdiagnosis of somatic
important topic in juridical contexts, in philosophical anthropology disorders as schizophrenia.
[52] as well as in research traditions aiming to explain psychotic We appreciate that some aspects of the schizophrenia
experiences [28,53]. These research traditions suggest that a description reported in ICD-10, such as ‘‘[. . .] the disturbance
disturbance in the ‘‘mineness of experience’’ is at the heart of the involves the most basic functions that give the normal person a
schizophrenia experience and indicates an alteration of the so-called feeling of individuality, uniqueness, and self-direction [. . .]’’ are
‘‘core self’’, ‘‘basic sense of self’’, ‘‘minimum self’’ or ‘‘ipseity’’ (e.g. likely to be kept in ICD-11, because they may represent a useful aid
[28,53,54]). While specific accounts vary, we agree with a for clinicians in the diagnostic process.
philosophical and psychopathological tradition, which suggests With respect to the occurrence of FRS in otherwise seemingly
that impaired access to one’s own beliefs and thoughts impairs key healthy individuals, we suggest to adopt the view that a clinically
aspects of personhood and constitute an important aspect of relevant mental malady should only be diagnosed if disease
psychosis [11]. symptoms occur in conjunction with individual suffering or
Indeed, there is increasing evidence that a disturbance of the impaired social participation [34], but we also caution that even
‘‘basic self’’ is a phenotypic trait marker of schizophrenia and that outside of the field of psychiatry, any key symptom can occur in
its assessment could be used for the detection of early stages of the seemingly healthy individuals. For example, the presence of
disease (e.g. [28], without suggesting that the prodromal stage functional seizures in the absence of EEG alterations on a
should be included in the diagnostic category of schizophrenia). syndromic level does not exclude the use of specific descriptions
Some studies suggest that the vast majority with patients with of seizures for the clinical classification of epilepsy. Likewise,
dissociative personality disorder (DPD) have first rank symptoms, occurrence of stroke-like symptoms under stress or other forms of
even thought DPD and schizophrenia may have different etiologies paresis in dissociative disorders does not preclude a classification
[55]. We agree with this latter consideration, and suggest that of paralysis in neurology based on clinical symptoms. Instead,
findings in schizophrenia and schizoaffective disorder can be these findings remind us of Bonhoeffer’s warning that comparable
distinguished from the disordered self in personality disorders, such clinical syndromes can have diverse causes [64].
as borderline or narcissistic disorder when the complex phenome-
nological ‘‘Gestalt’’ or characteristic pattern of all symptoms is taken
into account [36]. Some theoretical accounts, which place FRS at the 5. Conclusion
core of their explanation of schizophrenia, may argue that absence
of FRS indicates a psychotic state of a different kind or cause Current criticisms of FRS appear valid in that they caution not to
[54,56]. Parnas et al. indeed suggested that in personality disorders, base schizophrenia diagnosis on the occurrence of any single
the self is disturbed on the higher level of the so-called narrative symptom. Furthermore, the occurrence of such symptoms per se
self, while the more basic sense of self remains intact [57]. The idea does not even constitute presence of a clinically relevant malady
of a disturbed minimal self as a marker for schizophrenia is [33,34]: subjects hearing voices who neither suffer from them nor
corroborated by an increasing number of studies in schizophrenia are impaired in their daily functioning should, in our view, not be
patients, which point to specific neurobiological correlates of such diagnosed with a mental disorder at all. On the other hand, FRS
phenomena (e.g. [58]; for an overview see [59,60]). Interestingly, represent a valid approach by focusing on the articulations rather
several studies suggest a common neurocognitive mechanism than on the impression that doctors and other therapists have with
underlying disturbances of self-agency in schizophrenia by linking respect to the behavior including the degree of organization and
them to an impairment of internal monitoring and a deficit in coherence of speech or adequateness of affect. In anthropological,
predicting the consequences of one’s own actions in schizophrenia psychopathological and neurobiological research contexts, FRS and
[50,51,61] (for a review see [62]), as well as in its prodromal stages particularly self-disorders provide access to basic mechanisms
[63]. We feel that a more systematic assessment of SD in required for functioning as an active person [27,51]. In transcul-
schizophrenia and other causes and syndromes (e.g. NDMA- tural contexts, Schneider’s warning to rely on delusional per-
receptor encephalitis, severe personality disorders, etc.) is still ceptions for diagnosis of schizophrenia, i.e. on outside events and
warranted and remains a promising research field. circumstances that can be checked by both the patient and
examiner on eye level, is particularly important in intercultural
contact situations, when unusual descriptions of patients may
4. Practical aspects of retaining a focus on first rank symptoms cause examiners to wrongly diagnose a delusion when in fact the
patient is merely articulating a traditional or religious world view.
Having argued for the continued importance of the assessment In Schneider’s times, Schneider innumerate several incidences of
of self-disorders due to their clinical and theoretical importance, such misdiagnosis, and current discussions about the reliability of
12 A. Heinz et al. / European Psychiatry 37 (2016) 8–13

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