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                  <text>SOCIOPSYCHOLOGICAL CHARACTERISTICS OF PATIENTS WHO
REFUSE CONVULSIVE THERAPY

K

MAX POLLACK, PH.D.

Reprinted from THE

Vol. 132, N0.
L

2

Copyright ©

AND

MAX FINK, M.D.

JOURNAL OF NERVOUS AND MENTAL DISEASE

by The Williams
Printed in U.S.A.

1961

&amp;

February,

Wilkins C0.

1961

�JOURNAL or NERVOUS AND MENTAL DIsEAsE
Volume 132, No. 2, February 1961

Reprinted from THE

Printed in U.S.A.

SOCIOPSYCHOLOGICAL CHARACTERISTICS OF PATIENTS WHO
REFUSE CONVULSIVE THERAPY
MAX POLLACK, PH.D.1

The growing recognition of the relation of
social factors to referral for and response to
somatotherapy in psychiatric treatment has
stimulated increased study of “drop-outs”—
patients who refuse to start or to continue
treatment. Although the problem of “dropouts” is a major one in somatotherapy, it
has received little attention. In convulsive
therapy it is considered one of the most fre—
quent “complications” of treatment (1) yet
it is infrequently discussed (3, 7) and no
systematic studies have been devoted to it.
Systematic studies of “drop-outs” have
been limited for the most part to patients in
psychotherapy in out—patient facilities (4, 5,
9, 19, 20). These studies have consistently
shown marked differences in social and psychological characteristics of patients who remain in psychotherapy and those who fail to
continue. Those patients who remain in
therapy have more years of education and
who
those
class
social
than
of
higher
are
leave. In addition, their social attitudes, as
measured by the California F Scale, show
“less so—called conventionalism, stereotypy
and less of an uncompromising insistence
that ‘right’ and ‘wrong’ can be distinguished” (20).
In sociopsychologic studies of the patient
population of Hillside Hospital (12, 13) age,
education, place of birth and degree of
stereotypy, as measured by the F Scale, were
related to selection for, and response to,
convulsive therapy. Those patients who
were older, had fewer years of education,
were foreign-born and who manifested high
scores on the F Scale were most likely to receive convulsive therapy, be hospitalized for
Department of Experimental Psychiatry,
Hillside Hospital, Glen Oaks, L.I., New York.
1

and MY—2715, National
Institute of Mental Health, U. S. Public Health
Service.
Aided by grants

MY—2092

AND

MAX FINK, M.D.

a shorter period, and be rated as improved at
time of discharge. In contrast, patients who
were younger, better educated, native-born
and who obtained low scores on the F Scale,
most often received psychotherapy as their
sole form of treatment, were hospitalized for
a longer time, and were more likely to be
discharged with a rating of unimproved.
Thus, the determination of psychiatric treatment was viewed as an interactive process,
and related to the background, cultural
values and communicative pattern of both
therapist and patient.
In view of this relation of psychosocial
factors to selection for and response to treat—
ment, it was postulated that in a psychotherapeutically—oriented hospital patients who
refuse or fail to complete convulsive therapy
would be signiﬁcantly younger, better educated, and be less stereotyped and conventional than patients who completed a course
of therapy. This study was undertaken to
test this hypothesis.
PROCEDURE

The seventy-ﬁve consecutive iii-patients
(27 males and 48 females) referred for con—
vulsive therapy at Hillside Hospital during
the one year period from October 1, 1957 to
September 30, 1958 were included in this
study. Hillside Hospital is a non-proﬁt
institution for the treatment of voluntary
patients. Psychoanalytically-oriented psychotherapy is regarded as the primary
method of treatment, with various somatotherapies available when necessary. All pa—
tients are seen for individual psychotherapy
three times a week, with psychotherapy
continuing when other treatment, 6.9., convulsive therapy, is administered.
Three social (age, education and nativity)
and one psychological measure (the Cali153

�154

POLLACK A ND FINK

fornia F Scale), were employed. A ten-item
modiﬁcation of the F Scale (6, 14) was administered to 53 referrals prior to treatment.
In this task, the subject reads 10 statements
and indicates whether he agrees or disagrees
with each statement, and to what extent.
The score given for each item ranges from
one to seven and the range of total scores is
ten to seventy. The greater the subject’s
agreement, with the statement, the higher
the score obtained. The statements themselves are extreme, conventional and stereotyped expressions. lr‘or example, one statement is, “If people would talk less and work
more, everybody would be better off.”
Patients were referred for convulsive therapy by the psychiatric resident with the ap—
proval, frequently at the suggestion, of his
supervisor. The referral form requesting
treatment was sent to the psychiatrist in
charge of the convulsive therapy unit for
medical examination and the institution of
treatment. Thus, it was possible to determine those patients who were referred for
treatment but who refused to start. Convulsive therapy was generally administered
three times a week, and grand mal convulsions were induced with the standard Medcraft alternating current instrument.
RESULTS

Of the 75 referrals for convulsive therapy,
13 refused treatment. Of these, seven failed
to start and six refused to continue treatment. In the latter group, the number of

treatments ranged from three to eight—
short of the generally prescribed course of at
least twelve treatments.
TABLE 1
Mean Age, Education and F Score by Group
N

Group

'

Acceptance
Refusal
Mean Difference
(One—tailed t
p&lt;

test)

62
13

(ﬁgs)

Educa-

0:325)

40.3 11.6
29.7 13.7
— 10.6 +2.1
2.5
1.9
.01

.025

F Score

48.7
37.7
— 10.0

2.2

.025

Social and Psychologic Factors: The group
of patients who accepted a full course of
convulsive therapy was signiﬁcantly older,
less educated and manifested a higher mean
F score than the group that refused treat—

ment (Table 1). Furthermore, 37 per cent of
the acceptance group were foreign-born as
compared to eight per cent of the refusal
group. While there was considerable overlap
between groups with respect to these factors,
the refusal group was more homogeneous
than the acceptance group. Thus, there were
no patients in the refusal group who had less
than ten years of education (69 per cent of
the group had attended college) and none
were over ﬁfty years of age. In contrast, 27
per cent of the acceptance group never went
beyond grade school (eight years or less)
and 31 per cent were ﬁfty years or older.
Differences in occupation between groups
paralleled the differences in education. Thus,
none of the patients in the refusal group were
unskilled or manual workers. They were in
clerical, professional and business vocations,
Whereas ten subjects in the acceptance
group were unskilled workers. Housewives
were excluded from this tabulation.
Relation to Diagnosis: The discharge diagnoses of seventy-three patients fell into four
major categories: psychoneurosis, schizophrenia, manic-depressive, or involutional
psychoses. Two patients were classiﬁed as
“psychotic depression” without further
speciﬁcation. Although there was no statistically signiﬁcant difference in diagnostic
composition between the group accepting
and those refusing treatment, the groups
were dissimilar with respect to the incidence
of the involutional psychoses (Table 2). No
patient in the refusal group was discharged
with a diagnosis of involutional psychosis,
whereas 24 per cent of the acceptance group
were so diagnosed. There was also a high
positive correlation between this diagnosis
and the sociopsychological factors studied.
Thus, the mean age (56.7 years) and F score
(61.4) were higher while the years of educa-

�155

REFUSAL OF CONVULSIVE THERAPY

tion (9.2 years) was lower than that for the
total refusal group (Table 1).
Relation to Improvement Ratings: At the
discharge conference held by the Medical
Director each patient is assigned one of four
improvement ratings: recovered, much improved, improved or unimproved. The incidence of recovered and much improved
ratings was signiﬁcantly lower in the refusal
group (Table 3). Six patients, all in the ac—
ceptance group, were rated as recovered.
The hospital discharges were more closely
associated with refusal or discontinuation of
treatment in the refusal group.
DISCUSSION

The present study conﬁrms and extends
previous ﬁndings in this laboratory (2, 12,
13) in demonstrating the importance of social
factors and their psychological correlates in
the selection for and response to psychiatric
treatment. It supports the hypothesis that in
a psychoanalytically-oriented hospital patients who refuse convulsive therapy would
more closely resemble those who remain in
psychotherapy and differ from those who
are selected for and treated with convulsive
therapy.
The lower 1“ scores in the refusal group
than in the acceptance group are correlated
with a less compliant attitude toward authority and a more analytic approach in interpersonal activities. Review of the patients’ hospital records revealed that negativism, belligerence, uncooperativeness and
attempts to manipulate the staff were more
common in the refusal group. For example,
38 per cent of the refusal group as compared
with only 17 per cent of the acceptance group
formally petitioned the Medical Director for
discharge from the hospital. (Almost all
these patients withdrew their request for
discharge shortly after the initial request).
Referral for convulsive treatment was more
often associated with problems of management, e.g., disturbing the ward or eloping
from the hospital, than for depressive or
confused thinking. In contrast, a higher

TABLE 2
Discharge Diagnosis by Group
Group

Manic.
Depressrve
Psychosis

Schizo.
-

Psychoneurosls

phrenla

Acceptance7 (11%)25 (40%)
2 (15%) 7 (54%)
Refusal
X2

13
4

Involu.
tlonal
Psychosis

(21%) 15 (24%)
(31%) 0 (0)

= 2.28, p = n.s.
TABLE

3

Discharge Improvement Ratings by Group
Group

Acceptance
Refusal
X2

Recoveredﬁ
Much

Improved

34 (55%)
3

(23%)

Improved

Unimproved

(31%)
5 (38%)

(15%)
5 (38%)

19

9

= 6.41, p = .05

percentage of the acceptance group were
referred for convulsive therapy for alleviation of depressive symptoms.
There is increasing evidence that accept—
ance or rejection of psychiatric treatment is
related to learned attitudes toward treatment by both patients and therapist (8, 9,
16, 17, 21). Most often these attitudes which
correlate with socio-economic status are
formed far in advance of treatment, and are
most likely an intrinsic part of the person’s
repertoire of behavior. Thus, patients from
lower class backgrounds more frequently
view psychiatric treatment as nonverbal and
in physical terms whereas typically “the
middle class patient is predisposed toward
the acceptance of psychotherapy even before he arrives at the clinic” (9).
In the sample studied there were many
expressions of a negative attitude toward
convulsive therapy long before the referral
for convulsive therapy had been made. One
patient, in treatment for several years prior
to her current hospital admission, terminated
treatment and transferred to another psy—
chiatrist on each occasion when convulsive
therapy was recommended. Another patient
asked to sign the voluntary certiﬁcation
form on admission, appended the following
note. “P.S., If I am given shock treatment

�156

POLLACK AND FINK

I’ll either kill myself or leave the hospital.”
Other patients, particularly those who have
been in individual psychotherapy prior to

hospital admission, state that their previous
therapists instructed them not to submit to
convulsive therapy in that it would be harm-

ful.

Perhaps more important than either attitude of the patient or the psychiatrist is the
factor of consistency of attitudes. Klerman
et al., (17) have reported that young resident
psychiatrists with psychoanalytic orientations frequently have unfavorable attitudes
toward somatic therapy and are ambivalent
about prescribing such treatment. In the
present study there were many indications
that referral for convulsive therapy was not
the “free” choice of the resident physician
but was made only after considerable pressure by administrative and nursing person-

nel.

A recent study by Kaplan and Lefkowits
(15) of staff and environmental factors

associated with referral for drug therapy in
this hospital demonstrated that the psychiatrist’s tolerance for disturbed behavior
was much higher than that of nurses and
other personnel. Frequently the resident
physician placed a premium on helping the
patient modify his behavior without resort
to somatotherapy. A similar observation was
made by Sabshin and Ramot (21) and by
Klerman (17) who found that “psychiatrists
treating a patient with psychotherapy were
unusually reluctant to add drug therapy.”
Such attitudes may be conveyed to patients
either overtly or covertly. Such observations
reinforce the ﬁndings of Pasamanick, Dinitz
and Lefton (18) that “despite protestations
by clinicians that their reference is always
the individual patient, clinicians, in fact
may be so overly committed to a particular
psychiatric school of thought, that the pa—
tient’s diagnosis and treatment is largely
predetermined.”
The studies here would suggest that the
psychiatrist’s ambivalent attitude toward

treatment is not a general attitude but is
related to the “social distance” of the patient
to himself. The psychiatric resident frequently has less difﬁculty in recommending
somatotherapy for a lower class patient but
is indecisive when it comes to making a
similar treatment referral for a patient who
is culturally more like himself.
The ﬁndings that objectors to convulsive
therapy were more often discharged from
the hospital as clinically unimproved is
consistent with previous observations (7).
Gordon (7) classiﬁed objectors into two
categories—poorly oriented catatonic subjects who offered resistance to the treatment
and responded with clinical improvement;
and a better oriented group who objected to
treatment on an attitudinal basis claiming
they were “not in need of them.” This latter
group were refractory to the clinical beneﬁts
of the treatment. Almost all of the patients
in the refusal group of the present study
could be classiﬁed in the latter group.
It is of interest that most of the patients
who refused convulsive treatment were
prognostically poor selectees for convulsive
treatment. In previous studies (2, 10, 11)
we have shown that the incidence of ratings
of improvement at discharge in young, welleducated, low F score patients was signiﬁeantly lower than in the older, less educated,
more stereotyped patients. The refusal group
is part of that group of patients who are
neither “ideal” patients for convulsive
treatment nor are they very responsive to
milieu treatment and psychotherapy.
While referral for convulsive therapy in
this and other hospitals has been markedly
reduced within the past few years, the problems associated with attitude toward treatment, of which treatment refusal is but one
aspect, are of persistent importance. In the
absence of speciﬁc therapies for the majority
of psychiatric disorders the further study of
decision-making in psychiatric treatment
may help delineate the forces associated with
selection of therapy.

�157

REFUSAL OF CONVULSIVE THERAPY
SUMMARY

8. HAEFNER, D. 1’., SACKs,

REFERENCES
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Psychological factors affecting individual
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1. ALEXANDER, L.

248, 1959.
3. FLESCHER, J. The “discharging

function” of
electric shock and the anxiety problem.
Psychoanal. Rev., 37: 277-280, 1960.
4. FRANK, J. D., GLIEDMAN, L. H., IMBER, S. 1).,
NASH, E. H., JR. AND STONE, A. R. Why
patients leave psychotherapy. A.M.A. Arch.
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5. FREEDMAN, N., ENGELHARDT, D. M., HAN—
KOFF, L. B., GLICK, B. S., KAYE, H., BUCHWALD, J. AND STARK, P. Drop-out from outpatient psychiatric treatment. A.M.A. Arch.
Neurol. Psychiat., 80: 657—666, 1958.
6. GALLAGER, E. B., LEVINSON, D. J. AND ERLICH, I. Some sociopsychological charac—
teristics of patients and their relevance for
psychiatric treatment. In Greenblatt, M.,
Levinson, D. J. and Williams, R. W., eds.
The Patient and the Mental Hospital, pp.
263—285. Free Press, Glencoe, Ill., 1957.
7. GoRDON, H. L. ()bjectors to electric shock
treatment are refractory to its therapy.
New York J. Med., 46: 407—410, 1946.

AND

MAsoN,

A. S. Physicians’ attitudes toward chemotherapy as a factor in psychiatric patients’

As part of a continuing investigation of
the relation of sociopsychological factors to

psychiatric treatment, the present study
was concerned with the sociopsychological
characteristics of patients who refused to
start or to continue convulsive therapy.
Thirteen of the 75 consecutive voluntary patients referred for convulsive therapy refused treatment during a one year period in
a psychoanalytically-oriented institution.
These patients were younger, better edu—
cated and had lower scores on the CaliforniaF Scale than the group that accepted convulsive therapy. The diagnosis of involutional psychosis was absent in the refusal
group, and patients in the refusal group were
more often discharged as unimproved.
The acceptance or rejection of psychiatric
treatment is discussed in terms of learned
attitudes toward psychiatric treatment by
both patient and doctor.

J. M.

.

responses to medication. J. Nerv. Ment.
Dis., 131: 64—69, 1960.
IMBER, S. D., FRANK, J. 1)., (,iLIEl)MAN, L. H
NASH, E. H. AND SToNE, A. R. Suggesti—
bility, social class and the acceptance of
psychotherapy. J. Clin. Psychol., 12: 341—

344, 1956.
10. KAHN, R. L. AND FINK, M. Personality factors

in behavioral response to electroshock

11.

therapy. J. Neuropsychiat., 1: 45—49, 1959.
KAHN, R. L. AND POLLACK, M. Prognostic
application of psychological techniques in
convulsive therapy. Dis. Nerv. Syst., supp.

20, pp. 180—184, 1959.
12. KAHN, R. L., POLLACK, M. AND FINK, M. Social
factors in the selection of therapy in a

voluntary mental hospital. J. Hillside Hosp,
6: 216—228, 1957.

R. L., POLLACK, M. AND FINK, M.
Sociopsychologic aspects of psychiatric
treatment. A.M.A. Arch. Gen. Psychiat.,

13. KAHN,

1: 565—574, 1959.

L., POLLACK, M. AND FINK, M.
Social attitude (California F Scale) and
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14. KAHN, R.

130: 187—192, 1960.
15. KAPLAN, A. AND LEFKOWITS, H. J. Inﬂuence
of staff attitudes and environmental factors

on treatment selection. J. Hillside Hosp.

In press.

Staff attitudes, decisionmaking and the use of drug therapy in the
mental hospital. In Denber, H. C. B. Research Conference on the Therapeutic Community, pp. 191—214. Thomas, Springﬁeld,

16. KLERMAN, G. L.

111., 1959.

17. KLERMAN, G. L., SHARAF,
AND LEVINSON, D. J.

M., HOLZMAN, M.
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chiat., 117:

111—117, 1960.

B., DINITZ, S. AND LEFTON, M.
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19. ROSENTHAL, D. AND FRANK, J. D. The fate
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330—343, 1958.

20. RUBENSTEIN, E. A. AND LORR, M. A. A com-

parison of terminators and remainers in
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J. Pharmacotherapeutic evaluation and the psychiatric
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21. SABSHIN, M. AND RAMROT,

75: 362—370, 1956.

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