Vaillant1994 PDF
Vaillant1994 PDF
Vaillant1994 PDF
Neurotic (intermediate)
defenses
Mature defenses
Defense
Denial (of external reality)
Distortion (of external reality)"
Passive aggression
Acting out
Dissociation
Projection
Autistic fantasy
Devaluation, idealization, splitting15
Intellectualization, isolation
Repression
Reaction formation
Displacement, somatization
Undoing, rationalization
Suppression
Altruism'
Humor8
Sublimation8
Note. DSM-I1I-R = revised third edition of the Diagnostic and Statistical Manual of Mental Disorders.
' Altruism, humor, sublimation, and distortion are terms used in the text
of this article but not in the DSM-III-R. b Devaluation and to a lesser
degree splitting are included under my term hypochondriasis, a term
not included in the DSM-III-R glossary.
45
tion of both internal and external reality and often, as with hypnosis, the use of such mechanisms compromises other facets of
cognition. Like hypnosis, defense mechanisms involve far more
than a simple neglect or repression of reality. In short, defenses
reflect integrated dynamic psychological processes for coping
with reality rather than either a deficit state or a learned voluntary strategy.
Table 2 summarizes how the defenses most closely associated
with personality disorders allow an individual to deal with sudden stress by discrete styles of denial or self-deception. The table
offers brief operational definitions of defense and a means of
distinguishing them in a mutually exclusive manner. In real life,
individuals characteristically deploy several defenses, not always from the same level. Just as forests are not made up of just
one kind of tree, or rocks of just one element, of necessity, Table
2 oversimplifies. Nevertheless, the ability to identify trees, elements, and defenses helps us to classify our complex world.
As Table 2 suggests, defenses also alter the relationship between self and object and between idea and affect. In projection,
for example, "I hate him" becomes "He hates me." In addition,
defenses dampen awareness of and response to changes in
drives, in conscience, in relationships with people, and in reality. First, defenses allow individuals a period of respite to master
changes in self-image that cannot be immediately integrated, as
might result from puberty, an amputation, or a promotion (i.e.,
changes in reality). Second, defenses can deflect or deny sudden
increases in biological drives. Awareness of instinctual wishes
is usually diminished; alternatively, antithetical wishes may be
passionately adhered to. Third, defenses enable individuals to
mitigate unresolved conflicts with important people, living or
dead. Finally, ego mechanisms of defense can keep anxiety,
shame, and guilt within bearable limits during sudden conflicts
with conscience and culture.
Unlike psychosis and neurosis, personality disorders almost
always occur within a social context. It is difficult to imagine a
hypochondriac or paranoiac becoming symptomatic on a desert
island. Thus, if neurotic symptoms are a means of coping with
unbearable instincts, the symptoms of personality disorder are
a means of coping with reactions to unbearable peoplein past
or present time. Thus, the understanding of immature defenses
requires conceptual models that focus more on attachment theory, scripts, and role-relationship models (Horowitz, 1988)
than on drives and instinctual wishes.
The projection used by a paranoid person, by which unacknowledged feelings are attributed to others, is well known. So
is the capacity of schizoid individuals to relieve loneliness by
creating fantasized human relationships within their own
minds. The capacity of histrionic personalities to disassociate
themselves from painful emotion and to replace unpleasant
with pleasant affect, as if they were on stage, is familiar. So is the
fact that passive-aggressive and masochistic individuals turn
anger against themselves in a most annoying and provocative
manner.
The mechanisms of acting out and hypochondriasis are less
familiar. In the antisocial personality, acting out reflects a process through which the direct motor expression of an unconscious wish or conflict allows the individual to remain unaware
of either the idea or the affect that the action accompanies.
Thus, acting out produces the clinical illusion that all socio-
46
GEORGE E. VAILLANT
Table 2
Scheme for a Differential Identification of Immature Defenses
Source of conflict
Style of defense
Projection
Fantasy
Hypochondriasis
Passive
aggression
Acting out
Dissociation
Affect or drive
Conscience
or culture
Externalized
Relationships
or people
Distorted
Turned on self
Exaggerated
Distorted
Taken inside
Devalued
Exaggerated
Disinhibited
Altered
Ignored
Altered
Displaced
Exaggerated
Ignored
Expression of impulse
Reality
Exaggerated
Self or
subject
Idea
Affect
Altered
Diminished
Anger becomes pain
Made object
Omnipotent
Distorted
Made object
Omnipotent
Ignored
Ignored
Altered
Object
Made self
Within self
Displaced
Ignored
Generalized
Note. From The Wisdom of Ego (pp. 36-37) by G. E. Vaillant, 1993, Cambridge, MA: Harvard University Press. Copyright 1993 by Harvard
University Press. Adapted by permission.
Table 3
Congruence of Different Domains of Classification
of the Personality Disorders
Classification domain
DSM-IIIandlCD-9
diagnostic domain
Paranoid, schizoid,
schizotypal
Antisocial, narcissistic,
borderline,
histrionic, explosive
Avoidant, dependent,
compulsive,
passive-aggressive,
affective, anankastic
Genetic or
temperament
Psychodynamic or
adaptive
Schizophrenic
spectrum,
psychoticism
Psychopathic
spectrum,
extra version
Projection, schizoid
fantasy
Introversion,
neuroticism
Acting out,
splitting,
devaluation,
dissociation
Passive aggression,
hypochondriasis
Note. DSM-Iff = third edition of the Diagnostic and Statistical Manual of Mental Disorders; ICD-9 = ninth revision of the International
Classification of Diseases.
Empirical Evidence
Too often, different frames of reference or different nosologies are contrasted by studying them in different groups of individuals. This technique makes real comparison of vantage
points impossible. For this reason, I discuss a single sample
studied from multiple vantage points. A cohort of relatively unselected junior high school boys (Glueck & Glueck, 1950) were
followed for 35 years (Vaillant, 1983). The sample originally included 456 boys studied by the Gluecks between 1940 and 1963
as a control group for their well-known investigations of juvenile delinquency (Glueck & Glueck, 1968). The boys had been
carefully matched with a sample of Boston youths remanded to
reform school for age, IQ, ethnicity, and high crime neighborhood. Their mean age was 14 years (SD = 2), and their average
IQ was 95 (SD = 12). They attended inner-city schools. None of
the boys was African American, but 278 (61%) had at least one
parent who was foreign born.
Approximately 80% of the surviving subjects received semistructured interviews at age 25 (n = 360), age 31 ( = 349), and
age 47 (SD = 2,n= 369). Questions regarding alcohol use and
social and occupational functioning were specifically included
in these interviews. In addition to interview data, psychiatric,
medical, and arrest records were obtained over the 33-year follow-up period. In addition, estimates of both childhood social
class (Hollingshead & Redlich, 1958) and ratings of multiproblem family membership were made by raters unaware of adult
adjustment (Vaillant, 1983).
The entire sample of men was assessed by independent sets of
raters along three contrasting diagnostic axes. The first axis was
each man's global psychiatric impairment as measured by the
Health Sickness Rating Scale of Luborsky (1962), the prototype
of Axis V of the DSM-III-R. The second axis was the DSMHPs Axis II: Which diagnoses, if any, did each man meet? The
third axis was the maturity and nature of each man's predominant defense mechanisms as outlined in Tables 1-3. The assessors of each axis were kept unaware of both the men's ratings
on the other two axes and their childhoods (Drake & Vaillant,
1985; Vaillant & Drake, 1985).
Over the 33-year follow-up period, attrition was modest. Of
the original 456 subjects, 33 (7%) had died, 29 (6%) had withdrawn from the study, and 25(5%) were not interviewed directly
47
Category
Immature
defenses
predominate
No personality disorder
Personality disorder
Cluster A
Schizoid
Paranoid
Cluster B
Narcissistic
Antisocial
Cluster C
Avoidant
Passive-aggressive
Dependent
233
74
10
66
2
17
2
15
12
6
39
100
17
33
21
18
8
78
75
12
14
23
58
71
78
Acting
out
Projection
Passive
aggression
32
12
27
7
27
12
34
17
17
33
6
75
17
100
11
33
11
0
17
0
3.
63
61
25
39
39
33
25
17
0
26
8
7
17
25
43
56
17
21
30
17
14
26
25
61
30
Hypochondriasis
Fantasy
Dissociation
7
Note. Values presented are percentages. Numbers of Axis II diagnoses add up to 99, not 74, because in 25 cases men met criteria for two diagnoses.
Underlined cells highlight the association of Axis II categories with an individual's dominant use of the defense considered characteristic of that
category. Defense choice and Axis II diagnosis were determined by independent raters.
for a variety of reasons. The other 369 (87% of the survivors)
were evaluated for personality disorder. Blind estimates of maturity of defenses were available for 307 of the 369 interviewed
subjects.
Relative immaturity of defenses was assessed with a 9-point
scale (1 indicating mature and 9 immature). Examples of adaptive behavior at times of crisis and conflict were excerpted as
vignettes. On the basis of a glossary (Vaillant, 1977), each vignette was labeled as one.of 15 different defenses. These 15 defense headings were grouped into immature (schizoid fantasy,
projection, passive aggression, hypochondriasis, acting out, and
dissociation); intermediate (intellectualization or isolation, repression, displacement, and reaction formation); and mature
(sublimation, suppression, anticipation, altruism, and humor)
categories. Interrater reliability for scaling of the maturity of
the three groupings of defenses has ranged from .72 to .84.
Methods for identifying individual defenses, rationale, and reliability are described in detail elsewhere (Perry & Cooper, 1989;
Skodol & Perry, 1993; Vaillant, 1992b).
Although mature defenses are arguably more conscious and
certainly more successful as coping strategies than immature
defenses, to dichotomize defenses as either coping or defending
has proven both arbitrary and unhelpful. Both functions are
encompassed by each defense. The defense most highly associated with mental health is suppression, by which individuals
deal with emotional conflict or internal or external stressors
through stoicism, by postponing but not ignoring wishes, and
by subjectively minimizing but not ignoring disturbing problems, feelings, and experiences.
The ratings of personality disorder were made on the basis of
a 2-hr interview by two research psychiatrists when subjects
were 47 years old. Criteria from Axis II of the DSM-HI were
used exclusively. Interrater reliability for the presence or absence of personality disorder resulted in a kappa of .77, but for
individual diagnoses the average kappa was .41.
Table 4 shows the distribution of Axis II diagnoses. Seventyfour (24%) of the 307 men with available ratings for maturity of
defenses met DSM-HI criteria for personality disorder. Raters
48
GEORGE E. VAILLANT
Table 5
Percentage of Individuals at Different Levels of Global Mental
Health Using Selected Defenses
HSRS score
Major defense
0-65
(n = 53)
66-70
(n = 36)
71-84
(n=143)
85-99
(n = 74)
Projection
Fantasy
Hypochondriasis
Passive aggression
Dissociation
30
19
21
32
55
17
11
11
36
36
7
1
1
15
15
0
0
0
1
1
0
2
3
14
6
27
35
59
Altruism
Suppression
Note. Low scores on the HSRS indicate impaired mental health, and
high scores indicate good mental health. HSRS = Health Sickness Rating Scale.
Table 6
Percentage of Individuals in Each Category ofMidlife-Defensive
Selected Childhood and Midi ife Psychosocial Criteria
Maturity Manifesting
Criterion
Immature
(n = 73)
Neurotic or
intermediate
(n = 164)
Mature
(n = 70)
Midlife"
HSRS score
Healthy (85- 100)
Impaired (0-65)
5+ on Sociopathic Traits Scale (Robins, 1966)
4+ years unemployed
Social Class V
71
21
14
9
2
44
21
10
4
4
1
26
14
36
42
24
32
10
29
26
26
30
1
54
0
3
Childhood"
Social Class V
Multiproblem family membership
Emotional problems
Less than 10 grades of school
Note. HSRS = Health Sickness Rating Scale.
"Age 47. b Age 14.
12
Conclusions
Despite problems in reliability, the validity of defenses makes
them a valuable diagnostic axis for understanding psychopathology. There are several reasons why. First, clinicians now appreciate that the symptomatology of infectious disease is often
caused not so much by the bacteria as it is by the idiosyncratic
adaptive response of the host to the infectious agent. These same
pathophysiological principles hold true in psychology. It is often
not just life stress but also the patient's idiosyncratic response
to life stress that leads to psychopathology. By deciphering defenses, we can begin to understand the underlying pathophysiology of our patient's disorder. In contrast, by thoughtlessly
challenging irritating, but partly adaptive, immature defenses,
a clinician can evoke enormous anxiety and depression in a patient and rupture the alliance.
Second, sometimes phobia is a primary illness to be treated
with drugs or behavior therapy; sometimes it reflects a displacement of affect. Clinical medicine appreciates that almost half of
all visits to general physicians are made by patients with functional disordersin other words, by patients with psychological
illness or problems in living who have displaced, projected, repressed, or transformed these problems into serviceable medical complaints (Vaillant, Shapiro, & Schmitt, 1970; Von Korff
et al, 1987). Similarly, complaints of Axis I disorders should
often be treated as clues to lead the clinician to the primary
cause and not be mindlessly eradicated.
Third, attempts to mitigate the immature defenses of individuals with personality disorders are facilitated by strong social
supports. But empathic social support of such difficult individuals requires a clear understanding of the dynamics of their defenses (Vaillant, 1992a). We all display more mature defenses
when we feel understood.
A final reason for paying attention to defenses can be illustrated by the internist's understanding of referred pain. A pain
in the right shoulder may reflect an inflamed gall bladder; a pain
in the left shoulder may reflect coronary thrombosis. Proper diagnosis depends on the internist's seeing behind the symptom.
By understanding that a function of much psychopathology is
to distort and deny conflict, we learn not to take psychological
symptoms too literally. In short, defenses provide a diagnostic
template for understanding distress and for guiding the clinical
management of psychology's most baffling and frustrating clients.
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Received April 15, 1993
Revision received July 27, 1993
Accepted July 28, 1993