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ÍNDICE DE CONTENIDOS
1. TRASTORNOS DE ANSIEDAD O RELACIONADOS CON EL MIEDO 1
1.1. Trastorno de ansiedad generalizada 2
1.1.1. Diagnóstico taxonómico 2
1.1.2. Evaluación psicológica 2
1.2. Trastorno de pánico 17
1.2.1. Diagnóstico taxonómico 17
1.2.2. Evaluación psicológica 18
1.3. Agorafobia 22
1.3.1. Diagnóstico taxonómico 22
1.3.2. Evaluación psicológica 23
1.4. Fobia específica 28
1.4.1. Diagnóstico taxonómico 28
1.4.2. Evaluación psicológica 28
1.5. Trastorno de ansiedad social 36
1.5.1. Diagnóstico taxonómico 36
1.5.2. Evaluación psicológica 37
2. TRANSDIAGNÓSTICO EN LOS TRASTORNOS DE ANSIEDAD 54
REFERENCIAS 55
APÉNDICES
A1. Perceived control and vulnerability to anxiety disorders: A meta-analytic review
A2. Transdiagnostic models of anxiety disorders: Theoretical and empirical underpinnings
ÍNDICE DE TABLAS
Tabla 1. Trastornos de ansiedad o relacionados con el miedo 2
Tabla 2. Ejemplo de autorregistro para fobias específicas 36
ÍNDICE DE FIGURAS
Figura 1. Esquema de las funciones subyacentes comunes entre trastorno de pánico y fobia social 54
Figura 2. Representación heurística transdiagnóstica entre ansiedad y trastornos relacionados 55
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Entre los problemas de salud mental, los trastornos de ansiedad se asocian con
sustanciales niveles de incapacidad (Ormel et al, 1994). Esta disfuncionalidad tiene un
impacto considerable en el bienestar personal, en las relaciones sociales y en la
productividad en el trabajo, con el agravante de que su alta prevalencia y el curso
recurrente o incluso crónico de muchos de ellos, los puede hacer tan inhabilitantes como
cualquier otra enfermedad física crónica.
Los trastornos de ansiedad son, junto con los trastornos del ánimo, los que más
contribuyen a la morbimortalidad a través del sufrimiento que generan y los que más
repercuten en la economía (Demertzis y Craske, 2006; Kroenke et al., 2007). La
angustia-ansiedad patológica dificulta la funcionalidad del sujeto allí donde se
desenvuelve, limitándole su autonomía y dejándole atrapado y amenazado por la misma
angustia.
La ansiedad y la angustia son síntomas de consulta muy frecuentes, la mayoría de las
veces muy inespecíficos y que se pueden enmascarar somáticamente. El manejo de la
persona con trastorno de ansiedad resulta, por tanto, complejo, sobre todo si
consideramos la dificultad del diagnóstico diferencial, la necesidad de una terapéutica
específica y, en ocasiones, prolongada en el tiempo para cada forma de la enfermedad.
La ansiedad puede definirse como una anticipación de un daño o desgracia futuros,
acompañada de un sentimiento de disforia (desagradable) o de síntomas somáticos de
tensión. El objetivo del daño anticipado puede ser interno o externo. Es una señal de
alerta que advierte sobre un peligro inminente y permite a la persona que adopte las
medidas necesarias para enfrentarse a una amenaza.
Es importante entender la ansiedad como una sensación o un estado emocional normal
ante determinadas situaciones y que constituye una respuesta habitual a diferentes
situaciones cotidianas estresantes. Así, cierto grado de ansiedad es incluso deseable para
el manejo normal de las exigencias del día a día. Tan sólo cuando sobrepasa cierta
intensidad o supera la capacidad adaptativa de la persona, es cuando la ansiedad se
convierte en patológica, provocando malestar significativo con síntomas que afectan
tanto al plano físico, como al psicológico y conductual (Ministerio de Sanidad y
Consumo, 2008).
1 https://icd.who.int/browse11/l-m/es#/http%3a%2f%2fid.who.int%2ficd%2fentity%2f1336943699
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Entrevista
Un modelo de entrevista diagnóstica siguiendo los criterios del DSM-V es la Entrevista
para los Trastornos de Ansiedad según el DSM-V (ADIS-V) de Brown y Barlow (2014).
Con criterios CIE se recomienda el uso de la Entrevista Diagnóstica Internacional
Compuesta (CIDI 2) (Navarro-Mateu et al. 2013).
De alcance más limitado, la Escala de Gravedad del Trastorno de Ansiedad
Generalizada (Generalized Anxiety Disorder Severity Scale, GADSS; Shear et al., 2006)
es una entrevista breve dirigida a evaluar la gravedad del trastorno de ansiedad
generalizada. Comienza con una lista de áreas de preocupación para identificar las
situaciones que suscitan preocupación (p.ej., futuro, salud, familia, economía, trabajo).
El resto de la escala incluye seis ítems: frecuencia de la preocupación, malestar debido a
la preocupación, frecuencia de las reacciones asociadas, intensidad de las reacciones
asociadas y malestar debido a las mismas, deterioro laboral y deterioro social. Cada
ítem es valorado por el entrevistador en una escala de gravedad de 0 a 4. El instrumento
puede consultarse en la fuente original.
Preguntas que pueden ser útiles en una entrevista clínica son:
- ¿Diría usted que es una persona que se preocupa con facilidad?
- ¿Qué cosas disparan sus preocupaciones?: trabajo/escuela, familia, dinero,
amigos/conocidos, salud propia, salud de otros, pequeñas cosas (puntualidad,
2
CIDI: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=34
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reparaciones poco importantes), asuntos del país o del mundo, otras cosas sobre las
que la mayoría de la gente no se preocupa. ¿Qué cree que puede suceder respecto a
…… (mencionar cada área de preocupación reconocida por la persona)? (se trata de
identificar lo que la persona teme que ocurra).
- ¿Se manifiestan sus preocupaciones sólo en forma de pensamientos verbales o
aparecen también imágenes? Si es así, descríbame estas imágenes. ¿Cuál diría que
es su grado de viveza de 0 a 10?
- Para establecer en qué grado cada preocupación es excesiva e incontrolable, se
hacen, para cada área de preocupación identificada, las preguntas que sean
necesarias de las siguientes: ¿Qué porcentaje del día diría usted que se siente
ansioso o preocupado acerca de…? ¿Considera que sus preocupaciones acerca de…
son excesivamente frecuentes o duraderas?, esto es ¿considera que se preocupa
demasiado acerca de…? ¿Considera que otras personas se preocuparían tanto como
usted acerca de…? ¿Cuánta tensión o ansiedad le producen sus preocupaciones
acerca de…?
- ¿Encuentra muy difícil dejar de preocuparse acerca de…? ¿Cree que preocuparse es
incontrolable? Si necesita concentrarse en otra cosa, ¿es capaz de quitarse de la
cabeza la preocupación acerca de…? Si está intentando leer, ver la TV o trabajar,
¿su preocupación acerca de… le viene a la mente y le dificulta concentrarse en estas
tareas?
- Cuando las cosas van bien, ¿todavía encuentra cosas que le preocupan y le ponen
ansioso? ¿Se preocupa por no preocuparse o se preocupa cuando las cosas le van
bien en la vida?
- En los últimos 6 meses ¿cuántos días de cada cien se ha encontrado excesivamente
preocupado o ansioso? ¿Cuánto tiempo hace que dura este periodo actual de
preocupaciones y ansiedad excesivas y difíciles de controlar?
- Descríbame detalladamente qué sucedió y en qué estuvo pensando la última vez que
se preocupó en exceso. ¿Fue similar a otras veces? Si no es así, ¿en qué fue
diferente?
- ¿Qué síntomas nota usted habitualmente en las épocas en que se encuentra agobiado
por las preocupaciones? Durante los últimos 6 meses, ¿ha experimentado usted
frecuente-mente…… (mencionar uno a uno los seis aspectos enumerados más
adelante) al estar ansioso o preocupado? ¿Ha experimentado…… (aspecto) la
mayoría de los días durante los últimos 6 meses? ¿Cuán intenso ha sido……
(aspecto)? a) inquietud o tener los nervios de punta, b) cansarse o fatigarse
fácilmente, c) dificultades de concentración o quedarse en blanco, d) irritabilidad, e)
tensión muscular, f) perturbaciones del sueño (dificultad para conciliar o mantener
el sueño, o sueño insatisfactorio y no reparador)?
- ¿Cree que preocuparse puede serle útil de algún modo? ¿En qué medida su
preocupación le lleva a encontrar una solución para el problema sobre el que se está
preocupando? ¿Cree que puede pasar algo malo si deja de preocuparse?
- Cuando está preocupado y ansioso, ¿piensa que puede sucederle algo malo como
resultado de esa preocupación y ansiedad? ¿Qué es lo peor que le podría ocurrir si
continuara preocupándose?
- ¿Cree que preocuparse puede ser malo o dañino para usted? ¿De qué modo?
- ¿Qué hace para controlar sus preocupaciones? ¿Intenta suprimirlas o distraerse o
pensar en otras cosas cuando se siente preocupado?
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- ¿Le llevan sus preocupaciones a hacer algo para tranquilizarse o para reducir la
ansiedad que le producen? ¿Qué hace o deja de hacer con el fin de intentar evitar
que suceda lo que teme? (preguntar para cada tipo de preocupación identificado).
- ¿Qué cree que pasaría si no llevara a cabo estas conductas (dirigidas a controlar su
ansiedad o impedir que ocurra lo que teme)? ¿En qué medida cree que pasaría lo que
teme (pueden citarse las consecuencias temidas)?
Aparte de las preguntas tendentes a examinar los aspectos del trastorno de ansiedad
generalizada, otros aspectos que la entrevista debe cubrir son: a) condiciones que
agravan o reducen el problema, b) variables situacionales y personales que lo
mantienen, c) interferencia del problema en la vida, trabajo, estudios, familia y
actividades sociales de la persona, d) historia y fluctuaciones del problema, e) intentos
realizados para superar el problema y resultados logrados, f) motivación, expectativas
(de tratamiento y de resultados) y objetivos de la persona, g) recursos y limitaciones de
la persona, y h) otros problemas que pueda presentar la persona. Conviene tener en
cuenta que es el clínico y no la persona quien decide si la preocupación es excesiva.
Algunos clientes consideran que sus preocupaciones son adaptativas (ayudan a prevenir
eventos negativos) y no excesivas, aunque están asociadas con considerable tensión y
activación.
Es aconsejable recoger una breve historia médica para comprobar si ciertas condiciones
médicas, medicaciones o drogas pueden ser responsables de las características del
trastorno de ansiedad generalizada o estar contribuyendo a las mismas. Si han pasado
dos o más años desde la última revisión médica, conviene pedir a la persona que se haga
una.
Cuestionarios
Se comentarán a continuación los cuestionarios y escalas de valoración dirigidos a
evaluar la posible existencia de trastorno de ansiedad generalizada (cuestionarios de tipo
diagnóstico), la ansiedad general, la preocupación, los factores que se piensa
contribuyen a mantener el trastorno de ansiedad generalizada, otros aspectos
relacionados con este último y la interferencia o discapacidad producida por el mismo.
Conviene tener en cuenta que los cuestionarios de ansiedad no tienden a discriminar a
los pacientes con trastorno de ansiedad generalizada de los pacientes con otros
trastornos de ansiedad (salvo aquellos con fobia específica).
Una buena batería de cuestionarios para valorar los resultados podría incluir uno de
ansiedad (p.ej. las Escalas de Depresión, Ansiedad y Estrés [versión de 21 ítems] o el
Inventario de Estado-Rasgo para la Ansiedad Cognitiva y Somática), el Inventario de
Preocupación del Estado de Pensilvania, el Cuestionario de Áreas de Preocupación
(original o revisado), la Escala de Intolerancia hacia la Incertidumbre, el ¿Por Qué Me
Preocupo - II? y el Cuestionario de Meta-Preocupación (o el Cuestionario de Meta-
Cogniciones, versión breve, en sustitución de los dos últimos). Otros instrumentos que
pueden ser útiles para el tratamiento son el Cuestionario de Orientación Negativa hacia
los Problemas (o, con miras más amplias, el Inventario de Solución de Problemas
Sociales – Revisado), el Cuestionario de Evitación Cognitiva y algún cuestionario para
evaluar la interferencia producida por el trastorno.
También es aconsejable evaluar la presencia de depresión, dada la importancia del bajo
estado de ánimo en el trastorno de ansiedad generalizada, aunque el DASS-21 ya
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Cuestionarios de ansiedad
El término ansiedad no es un constructo unitario, sino que hace referencia a un número
diferente de dimensiones: emoción (p.ej., miedo no situacional), cognición (p.ej.,
preocupación sobre la ocurrencia de un evento adverso), conducta (p.ej., incapacidad de
estar quieto y relajado, movimientos repetitivos sin objeto), reacciones corporales (p.ej.,
taquicardia, sudoración), hiperactivación (p.ej., hipervigilancia, dificultad para dormir)
3
GAD-7: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=248
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4
Inventario de ansiedad estado-rasgo: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=246
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5
HARS: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=21
6
BAI: http://sosvics.eintegra.es/Documentacion/02-Psicosocial/02-03-Documentos_trabajo_prof/02-03-001-ES.pdf
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Cuestionarios de preocupaciones
Inventario de Preocupación del Estado de Pensilvania 8 (Penn State Worry
Questionnaire, PSWQ; Meyer et al., 1990). Consta de 16 ítems que miden la tendencia a
preocuparse en general (rasgo de preocupabilidad), aunque no evalúa áreas de
preocupación. La persona valora de 1 a 5 en qué medida el contenido de cada ítem es
característico de él. Once de los ítems están redactados de forma que indican
preocupación y cinco, falta de problemas de preocupación. Algunos estudios han
concluido en una solución unifactorial para este inventario, mientras que otros han
puesto de manifiesto la existencia de dos factores (tendencia a preocuparse y ausencia
de preocupación) que cargan en un factor de orden superior (preocupación). El factor
tendencia a preocuparse correlaciona en mayor grado con medidas de ansiedad y
depresión que el factor ausencia de preocupación, el cual no parece tener un significado
7
DASS-21 https://blogs.konradlorenz.edu.co/files/dass-21.pdf (cuestionario) y https://clinicadeansiedad.com/asistente/tengo-
ansiedad/escala-de-estres-del-cuestionario-dass-21/ (versión interactiva).
8
PSWQ:
http://eoepsabi.educa.aragon.es/descargas/H_Recursos/h_6_Psicol_Clinica/h.6.4.Intrumentos_evaluac/05.PSWQ_Invent_preocupaci
on_pensilvania.pdf
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sustantivo, sino obedecer a un factor de método (incluye todos los ítems redactados
inversamente). Por lo tanto, se aconseja emplear la puntuación de la escala total o la
correspondiente a los ítems directos. La validación española ha sido realizada por
Sandín et al. (2009), los cuales presentan también una versión reducida de 11 ítems en
la cual se han eliminado los cinco ítems formulados inversamente. El inventario puede
consultarse también en Comeche et al. (1995).
A partir de un análisis factorial confirmatorio, Hopko et al. (2003) han creado una
versión abreviada del PSWQ con sólo 8 ítems (el PSWQ-A), en la que se han eliminado
los cinco ítems redactados inversamente y tres de los once restantes. Esta versión
abreviada correlaciona muy alto con la original y tiene propiedades psicométricas
similares.
Cuestionario de Áreas de Preocupación (Worry Domains Questionnaire, WDQ; Tallis et
al., 1992). Consta de 25 ítems que reflejan cinco áreas de preocupación moderadamente
relacionadas entre sí: relaciones interpersonales, falta de confianza en sí mismo, futuro
sin objeto, incompetencia en el trabajo y cuestiones económicas. Se echa en falta el área
de salud. Para cada ítem la persona debe valorar en qué medida le preocupa según una
escala de 0 (nada en absoluto) a 4 (extremadamente). La puntuación total refleja la
intensidad de preocupación y las de las cinco áreas dan información sobre el contenido
de las preocupaciones. Su empleo en clínica debe hacerse con cuidado, ya que
puntuaciones elevadas pueden reflejar, al menos en parte, afrontamiento centrado en los
problemas. Por ello, conviene que vaya acompañado del Inventario de Preocupación. El
instrumento, en inglés, en Antony et al. (2001). Una versión breve (10 ítems, dos por
cada área) del WDQ ha sido elaborada por Stöber y Joorman (2001) y la versión
española correspondiente puede consultarse en Nuevo et al. (2009).
Cuestionario de Áreas de Preocupación – Revisado (Worry Domains Questionnai-re-
Revised, WDQ-R; van Rijsoort et al., 1999). Es una revisión del Cuestionario de Áreas
de Preocupación en el que se han añadido ítems sobre el área de salud y en el que el
análisis factorial ha llevado a la eliminación de un ítem y a la asignación de algunos
ítems a otras escalas diferentes de las que originalmente estaban. Consta de 29 ítems
que reflejan seis áreas de preocupación moderadamente relacionadas entre sí: relaciones
interpersonales, falta de confianza en sí mismo, futuro sin objeto, incompetencia en el
trabajo, cuestiones económicas y salud. Para cada ítem la persona debe valorar en qué
medida le preocupa según una escala de 0 (nada en absoluto) a 4 (extremadamente). La
puntuación total refleja la intensidad de preocupación y las puntuaciones de las seis
áreas dan información sobre el contenido de las preocupaciones.
Inventario de Pensamientos Ansiosos (Anxious Thought Inventory, AnTI; Wells, 1994).
Consta de 22 ítems, valorados en una escala de frecuencia de 1 a 4, que miden tres
dimensiones de preocupación: preocupación social (9 ítems), preocupación por la salud
(6 ítems) y metapreocupación (preocupación acerca de las preocupaciones, 7 ítems).
Todas las escalas miden contenido, pero la última evalúa también características de
proceso tales como la involuntariedad e incontrolabilidad de las preocupaciones. Puede
obtenerse una puntuación total además de las tres subpuntuaciones mencionadas.
Valores normativos de pacientes españoles pueden consultarse en Vázquez et al. (2007).
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9
IUS:
http://aprendeenlinea.udea.edu.co/lms/men_udea/pluginfile.php/27441/mod_resource/content/0/EVALUACION_ANSIEDAD_GE
NERALIZADA.pdf
10
Adaptación española:
https://www.researchgate.net/publication/6509371_Spanish_adaptation_of_the_Why_worry_questionnaire_Spanish
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presenta cinco subescalas con cinco ítems cada una: preocuparse ayuda a resolver
problemas, preocuparse motiva a actuar, preocuparse protege de las emociones
negativas caso de que se dé un resultado negativo, preocuparse previene los resultados
negativos (pensamiento mágico) y preocuparse es un rasgo positivo de personalidad.
Una limitación de esta prueba es que muchas personas pueden no ser conscientes de las
creencias evaluadas o que algunas personas pueden no querer reconocerlas. El WW-II
puede consultarse en inglés en la fuente original.
Cuestionario de Meta-Preocupación (Meta-Worry Questionnaire, MWQ; Wells, 2005).
Evalúa pensamientos sobre los peligros asociados con el hecho de preocuparse
(metacogniciones de peligro); por ejemplo, volverse loco, ponerse enfermo, dejar de
funcionar o ser anormal. Cada uno de los siete pensamientos es evaluado en primer
lugar según la frecuencia con la que ocurre (de 1 a 4) y en segundo lugar según el grado
en que se cree en él (de 0 a 100). El cuestionario no ha sido estudiado por el momento
en muestras clínicas, aunque ha discriminado entre tres grupos de universitarios que,
según un cuestionario, presentaban trastorno de ansiedad generalizada, tenían ansiedad
somática o no eran ansiosos. El instrumento puede consultarse en la fuente original.
Cuestionario de Meta-Cogniciones (Meta-Cognitions Questionnaire, MCQ; Cartwright-
Hatton y Wells, 1997). Sus 65 ítems, valorados de 1 a 4 según el grado en que se está de
acuerdo con ellos, tratan de medir creencias sobre las preocupaciones y actitudes y
procesos asociados con la cognición. El análisis factorial ha puesto de manifiesto cinco
subescalas: creencias positivas sobre las preocupaciones (19 ítems); creencias sobre la
incontrolabilidad y peligro de las preocupaciones (16 ítems); falta de confianza
cognitiva (en las propias capacidades de memoria y atención; 10 ítems); creencias
negativas sobre los pensamientos en general, incluyendo temas de necesidad de control,
superstición, castigo y responsabilidad; 13 ítems) y autoconciencia cognitiva (grado en
que uno se centra en sus procesos cognitivos; 7 ítems). Las tres primeras son las que
aparecen asociadas con la predisposición a preocuparse en general. Puede obtenerse una
puntuación total además de las cinco subpuntuaciones mencionadas. Los ítems pueden
consultarse en Wells (1997). Wells y Cartwright-Hatton (2004) han desarrollado una
versión abreviada de 30 ítems (MCQ-30) que presenta una estructura factorial casi
idéntica a la de la extensa y en la que la cuarta subescala ha sido denominada
“necesidad de controlar los pensamientos”. La versión abreviada puede consultarse en la
fuente original, y ha sido adaptada al español por Ramos-Cejudo et al. (2013).
Escala de las Consecuencias de Preocuparse (Consequences of Worryig Scale, CWS;
Davey et al., 1996). Sus 29 ítems evalúan las consecuencias negativas y positivas de
preocuparse y son valorados por la persona de 1 a 5 de acuerdo con el grado en que
piensa que le describen cuando se preocupa. Las consecuencias negativas vienen
representadas por tres factores: a) preocuparse perturba la actuación eficaz, b)
preocuparse exagera el problema y c) preocuparse causa malestar emocional. Estas
consecuencias no son tan extremas como las descritas en el Cuestionario de Meta-
Preocupación. Las consecuencias positivas vienen representadas por dos factores: a)
preocuparse motiva y b) preocuparse ayuda al pensamiento analítico. Esta escala no ha
sido validada con muestras clínicas. Los ítems pueden consultarse en Prados (2008) y el
instrumento, en inglés, en la fuente original.
Inventario de Consecuencias Percibidas de Preocupación (ICPP; Prados, 2007). Evalúa
las consecuencias positivas y negativas de preocuparse a través de 60 ítems que la
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11
TCQ: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=14
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través de 35 ítems que la persona valora en una escala de 1 a 5 según el grado en que
está de acuerdo con ellos. La escala tiene seis subescalas, de los cuales la primera es la
más importante: a) preocupación por los errores (9 ítems), b) normas personales
elevadas (7 ítems), c) percepción de elevadas expectativas de los padres respecto a uno
(5 ítems), d) percepción de padres críticos (4 ítems), e) dudas sobre si se han hecho bien
las cosas (4 ítems) y f) preferencia por el orden y la organización (6 ítems). Las
subescalas están correlacionadas entre sí, excepto la de organización que sólo
correlaciona con la de normas personales elevadas; por ello, no se utiliza para calcular
la puntuación total de perfeccionismo. La preocupación por los errores y las dudas sobre
las propias acciones son las escalas que más altamente correlacionan con medidas de
psicopatología, mientras que la de normas personales elevadas y la de organización
están relacionadas con características personales positivas (autoconcepto positivo,
hábitos de trabajo, decisión). No todos los estudios han identificado el mismo número
de factores y muchos han obtenido sólo cuatro (se fusionan las dimensiones
Preocupación por errores y Dudas sobre acciones, por un lado, y Expectativas y Críticas
paternas por otro). El instrumento ha sido adaptado al español por Carrasco et al. (2010)
y Gelabert et al. (2011) y puede consultarse en estas fuente12.
Escala Casi Perfecto - Revisada (Almost Perfect Scale-Revised 13, APR-R; Slaney et al.,
2001). La APS-R es una medida de perfeccionismo de 23 ítems con tres subescalas:
Normas elevadas (tendencia a fijarse normas elevadas; 7 ítems), Discrepancia (el grado
de preocupación e insatisfacción por no alcanzar las propias metas; 12 ítems) y Orden
(organización personal; 4 ítems). La persona valora cada ítem de 1 a 7 según el grado en
que está de acuerdo con ellos. Puesto que el orden y la organización constituyen un
factor separado de los dos anteriores y no representa una faceta nuclear del
perfeccionismo, Stoeber et al. (2007) han empleado una escala con sólo los dos
primeros factores. Puntuaciones altas en la primera escala (42 o más) y bajas en la
segunda (<42) indican un perfeccionismo sano, mientras que puntuaciones elevadas en
ambas escalas (42 o más) sugieren perfeccionismo disfuncional.
Inventario Multidimensional de Cogniciones Perfeccionistas (The Multidimensional
Perfectionism Cognitions Inventory-English, MPCI-E; Stoeber et al., 2010). Evalúa la
frecuencia durante la última semana de las cogniciones asociadas al perfeccionismo
orientado a sí mismo. Así pues, a diferencia de los anteriores cuestionarios de
perfeccionismo, el MPCI-E evalúa aspectos más transitorios del perfeccionismo, pero
complementa a las medidas de perfeccionismo más permanente; de hecho, explica
varianza en afecto positivo y negativo por encima de la explicada por estas últimas.
Consta de 15 ítems valorados en una escala de frecuencia de 1 a 4 y distribuidos en tres
escalas de 5 ítems cada una: normas personales, búsqueda de perfección y preocupación
por los errores. La primera correlaciona con afecto positivo y las otras dos,
especialmente la segunda, con afecto negativo. Los ítems pueden consultarse en la
fuente original.
12
MPS: http://rabida.uhu.es/dspace/bitstream/handle/10272/5609/La_evaluaci%C3%B3n_del_perfeccionismo.pdf?sequence=2
13
Almost perfect scale revised: instrumento y corrección (inglés): http://kennethwang.com/apsr/scales/APS-R_96.pdf
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Cuestionarios de interferencia
Autorregistros
Se han empleado diversos modelos de autorregistro durante la evaluación. En uno de
ellos la persona apunta al final del día según escalas 0-8 su nivel medio de ansiedad, su
nivel máximo de ansiedad, su nivel medio de depresión, su nivel medio de afecto
positivo y el porcentaje del día (0-100%) que pasó preocupado. En otro autorregistro
más inmediato, la persona apunta cada vez que se siente preocupado o ansioso (p.ej.,
cada vez que alcanza un nivel de 4 o más en la escala 0-8) los siguientes aspectos:
factores precipitantes (situacionales, cognitivos o emocionales), nivel de ansiedad y
preocupación, pensamientos tenidos y métodos o conductas empleados para reducir la
preocupación o la ansiedad. Otros aspectos interesantes a evaluar: número de
contratiempos diarios, grado de malestar asociado con la preocupación y el nivel de
interferencia en la vida diaria a través de calificaciones de concentración, toma de
decisiones, sueño, relajación, placer, etc., según lo que sea pertinente en cada persona.
Numerosos formatos son susceptibles de adaptarse a app para dispositivos portátiles.
Por ejemplo, si la persona registra cuatro veces al día (a las 8 h, 16 h, 20 h y al final del
día) el porcentaje del tiempo que ha pasado preocupado, el número de episodios de
ansiedad aguda (>50 sobre 100) y el nivel más alto de ansiedad (estos tres datos
referidos a la última hora), así como el nivel actual de ansiedad (0-10). Al final del día,
la persona registra su nivel de ansiedad durante el día (0-10), el porcentaje del tiempo
que ha pasado preocupado y el nivel de ansiedad más alto. Naturalmente, los aspectos a
registrar deben decidirse en función de las características de cada persona.
14
Cuestionario de discapacidad de Sheehan:
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Cuestionarios y autoinformes
16
Escala de severidad del trastorno de pánico
Ficha técnica: https://studylib.es/doc/6124184/identificaci%C3%ACn-nombre-escala-de-severidad-del-trastorno-de
Instrumento: https://studylib.es/doc/6574909/escala-de-severidad-del-trastorno-de-p%C3%A1nico
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cognitivos y conductuales) en vez de uno. Existe también una versión para niños y
adolescentes (PDSS-C; Elkins et al., 2014).
Índice de Susceptibilidad a la Ansiedad (Anxiety Sensitivity Index, ASI; Reiss et al.,
1986). Consiste de 16 ítems con una escala de respuesta 0-4 y pretende medir el miedo a
las reacciones y consecuencias de la ansiedad, aunque ha sido criticado por su falta
relativa de ítems referidos a las consecuencias sociales negativas de la ansiedad. Este
cuestionario presenta tres factores (preocupaciones físicas, preocupaciones sobre
incapacitación mental y preocupaciones sociales) que cargan en un factor general
(Zinbarg, Barlow y Brown, 1997). Es importante remarcar que las distintas versiones
del ASI evalúan el miedo a las reacciones de ansiedad, pero no evalúan directamente las
creencias sobre las consecuencias negativas de estas reacciones; simplemente, se
presupone que dichas creencias intervienen entre las reacciones y la respuesta de miedo.
Actualmente, existe la versión 3, la cual es preferible y se expone a continuación.
Índice de Susceptibilidad a la Ansiedad - 3 (Anxiety Sensitivity Index-3, ASI-3; Taylor et
al., 2007). La ASI-3 evalúa el miedo a las reacciones y consecuencias de la ansiedad
mediante 18 ítems, valorados en una escala de intensidad de 0 a 4. Presenta tres
dimensiones de 6 ítems cada una: física (miedo a las reacciones de tipo físico),
cognitiva (miedo a las reacciones de descontrol cognitivo) y social (miedo a las
reacciones de ansiedad públicamente observables). Análisis factoriales han confirmado
estos tres factores, los cuales cargan en un factor de orden superior. La escala puede
consultarse en Sandín et al. (2007), los cuales la han validado en España confirmado la
estructura factorial.
Cuestionario de Síntomas de los Ataques de Pánico y Cuestionario de Cogniciones
durante los Ataques de Pánico (Panic Attack Symptoms Questionnaire and Panic Attack
Cogni-tions Questionnaire, PASQ, PACQ; Clum et al., 1990). El primero de estos
cuestionarios está formado por 33 ítems que reflejan síntomas experimentados durante
un ataque de pánico; la persona califica cada ítem de 0 a 5 en función de la duración de
los síntomas. Además hay un ítem final abierto que pregunta por la frecuencia de los
ataques de pánico durante la última semana, mes, seis meses y doce meses. El segundo
cuestionario consta de 23 ítems sobre cogniciones negativas asociadas con ataques de
pánico; cada ítem es calificado de 1 a 4 según el grado en que cada cognición domina la
mente durante un ataque de pánico. Varias son las diferencias entre estos dos
cuestionarios y los Cuestionarios de Cogniciones Agorafóbicas y Sensaciones
Corporales de Chambless et al. (1984). Los dos primeros constan de mayor número de
ítems y miden síntomas y cogniciones asociadas con los ataques de pánico y no con la
ansiedad en general. Además, preguntan por la duración de los síntomas, en vez de por
el miedo a los mismos, y por la dominancia de las cogniciones, en vez de por su
frecuencia.
Cuestionario de Creencias Relacionadas con el Pánico (Panic Belief Inventory, PBQ;
Greenberg, 1989; Wenzel et al., 2006). Pretende evaluar creencias relacionadas con el
pánico, sus síntomas y sus consecuencias, creencias que ya existen fuera de estados
agudos de ansiedad y que aumentan la probabilidad de reacciones catastróficas a las
experiencias físicas y emocionales en el trastorno de pánico/agorafobia. Consta de 35
ítems valorados de 1 (totalmente en desacuerdo) a 6 (totalmente de acuerdo) y presenta
cuatro factores: ansiedad anticipatoria, catástrofes físicas, catástrofes emocionales y
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Autorregistros
Diario conductual de ansiedad y ataques de pánico 17. Cada vez que tiene un ataque de
pánico, la persona puede apuntar fecha, hora, duración, lugar, circunstancias y
pensamientos (verbales e imágenes) asociados con el ataque, si la situación era
estresante, si el ataque fue espontáneo o no, la intensidad de la ansiedad máxima
experimentada, y si tuvo o no cada una de las reacciones somáticas y cognitivas de los
ataques de pánico según el DSM-V. Además, al final del día apunta la ansiedad
promedio tenida, el miedo o preocupación acerca de la posibilidad de tener un ataque de
pánico y el tipo y dosis de todas las medicaciones tomadas. De Beurs et al. (1997) han
constatado también la utilidad de las tres siguientes medidas, una de las cuales ya ha
sido mencionada: miedo al pánico, expectativa de pánico y aversión esperada del
pánico.
Una gran ventaja de los diarios de ansiedad/pánico es que permiten que la persona se dé
cuenta de bajo qué circunstancias ocurren sus ataques, incluidos los espontáneos.
Conviene mencionar que los diarios utilizados durante la evaluación no tienen por qué
ser exactamente los mismos que los empleados durante el tratamiento. Así, el diario de
actividades puede incluir durante el tratamiento dos columnas en las que la persona
apunte las consecuencias catastróficas que cree que ocurrirán y las consecuencias
realmente experimentadas. En otros casos se han añadido otras dos columnas: ansiedad
al final de la tarea de exposición y estrategias de afrontamiento empleadas.
Una alternativa a los diarios de papel y lápiz la constituyen las apps. Muchas de las
limitaciones de los diarios de papel y lápiz –especialmente saber el momento de registro
y la dificultad del análisis de los datos– pueden soslayarse con las versiones
automatizadas. Los datos pueden ser transferidos automáticamente a un ordenador, con
el consiguiente ahorro de tiempo y ausencia de errores de codificación, y pueden ser
visualizados inmediatamente ya sea para revisarlos con la persona o para analizarlos.
Existen aplicaciones para los más diversos trastornos, pero se carece de estudios serios
sobre su validez y efectividad.
17
Diario de pánico https://studylib.es/doc/6853986/diario-de-p%C3%A1nico
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Examen médico
Dada la posibilidad de que existan problemas médicos que sean responsables de la
activación fisiológica de la persona o contribuyan a la misma, se recomienda la
realización de un examen médico. Según Jacob y Lilienfeld (1991) y Lesser y Rubin
(1986), este examen debe incluir, además de una historia personal y familiar y de una
entrevista a personas allegadas, un reconocimiento físico y pruebas de laboratorio que
incluyan análisis completo de sangre, test de la función tiroidea, electrocardiograma,
test de la función hepática, análisis de orina y examen radiológico del pecho. Si se
sospecha que algún sistema orgánico puede estar afectado, pueden realizarse otras
pruebas tales como test de tolerancia a la glucosa, análisis de catecolaminas en la orina,
tomografía axial computerizada, electroencefalograma y pruebas neurológicas.
Jacob y Rapport (1984), Jacob y Lilienfeld (1991) y Roca y Roca (1999) presentan una
lista de trastornos médicos que pueden presentarse con reacciones de ansiedad o pánico
y enumeran cuáles son los síntomas diferenciadores y las pruebas para confirmar el
diagnóstico de la enfermedad. Así, el pánico asociado con grandes dolores de cabeza y
elevaciones de la presión arterial sugiere feocromocitoma, mientras que la presencia de
falta de equilibrio, presión en los oídos e intolerancia de ciertos movimientos de la
cabeza sugiere disfunción vestibular.
Entre los trastornos médicos implicados pueden mencionarse los siguientes:
− Trastornos endocrinos: hipoglucemia, hipertiroidismo, hipoparatiroidismo, síndrome
de Cushing (por tumores suprarrenales o medicación) feocromocitoma (tumor de
células secretoras de catecolaminas), hipercalcemia, problemas hormonales
premenstruales o menopáusicos.
− Trastornos cardiovasculares: arritmias cardíacas, arteroesclerosis, taquicardia
paroxísmica, hipotensión ortostática, hipertensión, prolapso de la válvula mitral.
− Trastornos respiratorios: asma, enfermedad pulmonar obstructiva crónica.
− Trastornos neurológicos: disfunción vestibular, epilepsia del lóbulo temporal,
disfunción del lóbulo temporal, enfermedad de Huntington, esclerosis múltiple.
− Trastornos por intoxicación por sustancias: cocaína, anfetaminas, cafeína.
− Trastornos por retirada de sustancias: alcohol, barbitúricos, opiáceos.
Cualquiera de los problemas médicos anteriores puede ser una causa, un correlato o un
factor agravante en el trastorno de pánico o agorafobia. Es importante tener en cuenta
que la existencia de un problema médico no excluye necesariamente el diagnóstico de
trastorno de pánico o agorafobia, ya que puede no ser el único causante de los ataques
de pánico, sino interactuar con factores psicológicos que contribuyen a mantener el
problema.
En general, el comienzo de los ataques de pánico después de los 45 años o la presencia
de reacciones atípicas durante un ataque (vértigo, pérdida de conciencia, pérdida de
control de esfínteres, pérdida del equilibrio, dolor de cabeza, habla mal articulada,
amnesia) sugieren la posibilidad de que un problema médico o una sustancia (droga,
fármaco) estén causando las reacciones de los ataques.
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1.3. Agorafobia
Entrevista
Deben explorarse los siguientes aspectos específicos de la agorafobia:
− Identificación de las situaciones evitadas y frecuencia y gravedad de las conductas
de evitación.
− Descripción, frecuencia, duración e intensidad de la ansiedad y de los ataques de
pánico, incluyendo las situaciones en que ocurren y las reacciones somáticas
experimentadas. Debe evaluarse la existencia de ataques de pánico espontáneos.
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Modelos detallados de entrevista para la agorafobia pueden verse en Bados (2000). Por
supuesto es posible emplear el modelo de entrevista diagnóstica siguiendo los criterios
del DSM-V es la Entrevista para los Trastornos de Ansiedad según el DSM-V (ADIS-V)
de Brown y Barlow (2014) o la Entrevista Diagnóstica Internacional Compuesta
(CIDI) 18, que aunque fue diseñada con fines epidemiológicos y transculturales se
emplea también en la clínica.
18
Entrevista Diagnóstica Internacional Compuesta (CIDI): https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=34
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Cuestionarios y autoinformes
Además de los cuestionarios centrados en los problemas agorafóbicos, se recomienda,
como mínimo, emplear algún cuestionario que evalúe el grado de ansiedad general y de
depresión. En cuanto a los primeros, algunos de los más útiles, frecuentemente
utilizados y que pueden hallarse en castellano son: Inventario de Movilidad para la
Agorafobia, Índice de Susceptibilidad a la Ansiedad (o bien el Cuestionario de
Cogniciones Agorafóbicas y el Cuestionario de Sensaciones Corporales), Cuestionario
de Ataques de Pánico, Cuestionario de Interferencia y Escala de Autovaloración del
Cambio. Otro cuestionario útil que evalúa varios aspectos a la vez es la Escala de
Gravedad del Trastorno de Pánico - Versión de Autoinforme.
Para muchos de estos cuestionarios, Carlbring et al. (2007) han mostrado que sus
propiedades psicométricas son en gran medida equivalentes, ya sean aplicados en papel
o vía internet. Además, en contra de algunos estudios previos, este último método no
proporcionó puntuaciones consistentemente más altas y los tamaños del efecto de estas
diferencias fueron generalmente bajos.
19
Inventario de Movilidad para la Agorafobia https://es.scribd.com/document/152461338/Inventario-de-Movilidad-Para-Agorafobia
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Escala de Maniobras de Seguridad de Texas (The Texas Safety Maneuver Scale, TSMS;
Kamphuis y Telch, 1998). Evalúa la frecuencia de empleo de conductas defensivas, es
decir aquellas que pretenden prevenir o manejar las amenazas asociadas con el pánico o
ansiedad. Incluye tanto conductas defensivas activas (p.ej., salir acompañado de
alguien) como evitación de situaciones agorafóbicas típicas (p.ej., transportes públicos)
y de otro tipo (p.ej., consumo de café o de situaciones estresantes). Consta de 50 ítems
valorados en una escala de 0 a 4 según la frecuencia con la que se utilizan para manejar
la ansiedad o el pánico. Treinta y seis de estos ítems se agrupan en seis factores:
evitación agorafóbica, uso de técnicas de relajación, evitación del estrés psicológico,
evitación de la activación somática, empleo de técnicas de distracción y conductas
orientadas al escape. Sin embargo, la muestra empleada fue pequeña y la estructura
factorial no fue replicada por Helbig-Lang et al. (2014). Es un cuestionario que requiere
de mayor investigación, pero que es útil para identificar y jerarquizar las conductas
defensivas de los pacientes de cara a su eliminación progresiva.
Cuestionario de Miedos20 (Fear Questionnaire, FQ; Marks y Mathews, 1979). Es un
cuestionario de 22 ítems que proporciona cuatro medidas: 1) Nivel de evitación (0-8)
respecto a la fobia o miedo principal de la persona descrito con sus propias palabras. 2)
Puntuación total del nivel de evitación (0-8) de 15 situaciones, las cuales se dividen en
tres subescalas de cinco ítems cada una: agorafobia, fobia social y fobia a la
sangre/heridas. Así pues, hay tres puntuaciones parciales y una global. 3) Escala de
Ansiedad-Depresión; cinco ítems en los que la persona valora su nivel de preocupación
(0-8) respecto a cinco problemas no fóbicos comunes en las personas fóbicas. 4) Medida
global de los síntomas fóbicos; la persona valora (0-8) el grado de
perturbación/incapacitación producido por todos los síntomas fóbicos o miedos en
general. Además de los 22 ítems descritos, presenta dos más de tipo abierto: uno para
otras situaciones evitadas y otro para otros sentimientos en la escala de Ansiedad-
Depresión. SU uso está asimismo recomendado en el caso de fobias específicas.
Inventario de Conductas-Objetivo. Se trata de un cuestionario individualizado en el que
la persona especifica cinco conductas que le gustaría realizar normalmente y que
supondrían una mejora significativa en su vida cotidiana. Para cada conducta se califica
su grado de dificultad (1-10), la medida en que se evita (1-6) y el miedo que produce (1-
6). Es posible que alguna de estas calificaciones sea redundante. Puede consultarse en
Echeburúa y de Corral (1995). También en Botella y Ballester (1997), los cuales sólo
emplean las calificaciones de evitación y temor (de 0 a 10) y añaden una nueva de la
incapacidad global producida por el miedo en la vida cotidiana. Bados (2000) presenta
otra versión con calificaciones de autoeficacia, evitación y temor (de 0 a 8).
Jerarquía Individualizada de Situaciones Temidas. Se han utilizado jerarquías de 5 a 15
ítems –que deben estar específicamente definidos– y escalas de puntuación de 0-8, 0-10
o 0-100 para valorar la ansiedad producida por cada situación o el grado en que se evita
la misma. Ejemplos pueden verse en Barlow (2002, p. 348), Barlow y Wadell (1985, p.
33) y Rapee y Barlow (1991, p. 276). Es importante que los ítems elaborados sean
representativos de las diferentes situaciones temidas por la persona, sean pertinentes
para esta y cubran los diferentes niveles de ansiedad. Los mismos ítems de la jerarquía
individualizada pueden usarse para medir la autoeficacia percibida de la persona. Este
tendría que valorar cuán capaz (0-8) se cree de poder realizar él solo cada actividad si
20
Cuestionario de miedos https://www.docsity.com/es/cuestionario-de-miedos/4178251/
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Cuestionarios de interferencia
Pueden emplearse: Cuestionario de Discapacidad de Sheehan (Sheehan Disability
Inventory, SDI; Sheehan et al., 1996, Bobes et al., 1999) 22; Escala Autoevaluada de
Discapacidad de Liebowitz (Liebowitz, 1987, citado en Bobes et al., 1998); y el
Cuestionario de Interferencia.
21
Inventario de Agorafobia: https://www.cambiatuemocion.com/docs/files/15_ia-p.pdf
22
Cuestionario de discapacidad de Sheehan: https://biadmin.cibersam.es/Intranet/Ficheros/GetFichero.aspx?FileName=SDI.pdf
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Autorregistros
Diario conductual de actividades. La persona puede apuntar aspectos como fecha, hora
en que ha salido y ha regresado a casa, descripción de la actividad y destino de la salida,
distancia aproximada recorrida desde casa, tiempo pasado en el lugar de destino, si va
solo o acompañado, tiempo pasado solo, ansiedad media y/o máxima experimentada,
ocurrencia o no de ataque de pánico, uso de medicación y de otras estrategias defensivas
y si la salida es una sesión de práctica o sólo una parte de la rutina normal. Ejemplos de
diarios de actividades pueden verse en Bados (2000), Craske y Tsao (1999), o
Echeburúa y de Corral (1995).
Observación
Los test conductuales miden la competencia de la persona, lo que esta es capaz de hacer,
no lo que hace realmente cada día. Los test conductuales deben cumplir una serie de
condiciones (Himadi et al., 1986; Williams, 1985): a) deben muestrearse tareas
graduadas en dificultad, desde las muy fáciles a las más difíciles; es muy importante
incluir situaciones de máxima dificultad, ya que las personas tienden a hacer más de lo
que normalmente hacen; b) las ejecuciones de la persona en el test deben ser
discretamente observadas o verificadas a través de otros medios (p.ej., que la persona
tenga que dejar marcas en ciertos sitios o apuntar descripciones de algo presente en
estos); c) no deben imponerse límites sobre cuán ansioso una persona puede llegar a
ponerse antes de terminar su aproximación; d) deben minimizarse los elementos de
tratamiento (compañía de alguien, exposiciones prolongadas). Existen dos tipos básicos
de test conductuales de aproximación conductual, los estandarizados y los
individualizados.
Test estandarizados de aproximación conductual. Pueden distinguirse dos subtipos. El
primero es el paseo estandarizado, el cual consiste en hacer una caminata de 1-1,5
kilómetros dividida en 20 unidades o estaciones aproximadamente equidistantes; una
desventaja del paseo estandarizado es que sólo se evalúa una conducta que puede ser
poco problemática para algunas personas con agorafobia y poco sensible al tratamiento.
Una solución es emplear el segundo subtipo, el cual incluye una gama de actividades
temidas (conducir, caminar por la calle, comer en un restaurante, comprar en un
supermercado, subir a sitios altos), cada una de las cuales consta de una serie de tareas
progresivamente más intimidantes. Ejemplos de este segundo subtipo pueden verse en
Caballo (2005).
Test individualizados de aproximación conductual. Son aconsejables dada la
heterogeneidad de las personas con agorafobia respecto a las dificultades fóbicas que
presentan. Se construye para cada persona una jerarquía de situaciones fóbicas
compuesta de ítems correspondientes a diversas áreas de funcionamiento. Ejemplos
pueden verse en Bados (2000). Himadi et al. (1986) han propuesto desarrollar una
jerarquía de 10 ítems de los cuales se seleccionan 5 que representen una gama de
actividades graduadas en dificultad que la persona pueda intentar en su medio natural.
Se pide a la persona que intente cada uno de los cinco ítems en un orden de dificultad
creciente. La ejecución en cada ítem es valorada según una escala de 3 puntos en la que
0 significa ítem no intentado (evitado), 1, tarea intentada, pero completada sólo
parcialmente y 2, tarea realizada con éxito. Además, la persona puede calificar (0-8) la
ansiedad anticipatoria y la ansiedad máxima experimentada al realizar o intentar realizar
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cada ítem. Pueden explorarse también las sensaciones y cogniciones experimentadas por
la persona durante el mismo.
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Cuestionarios y autoinformes
Es frecuente emplear un inventario general de miedos, un cuestionario dirigido a la
fobia o fobia específica de la persona y un cuestionario de interferencia. Otros
cuestionarios particularmente útiles son aquellos individualizados para cada paciente,
tales como el Inventario de Conductas-Objetivo y la Jerarquía Individualizada de
Situaciones Temidas. Finalmente, en aquellos casos en que se desee evaluar la
susceptibilidad a la ansiedad y al asco, se dispone en castellano del Índice de
Sensibilidad a la Ansiedad – 3 (Sandín et al., 2007) y de la Escala de Propensión y
Sensibilidad al Asco Revisada (Sandín et al., 2008).
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Cuestionario de Miedos Médicos (Medical Fear Survey, MFS; Kleinknecht et al., 1996;
1999). En su versión final consta de 50 ítems valorados de 0 a 4 según el grado en que
se experimenta miedo a situaciones de tipo médico tales como dar sangre, ver heridas,
agujas hipodérmicas, ver operaciones o mutilaciones, etc. Tiene cinco factores de 10
ítems cada uno: miedo a los cuerpos mutilados, miedo a la sangre, miedo a las
inyecciones hipodérmicas y extracciones de sangre, miedo a los objetos cortantes y
miedo a los exámenes médicos y síntomas físicos. Una limitación de este inventario es
que no incluye ítems de asco o repugnancia. Tampoco ha sido validado por el momento
en muestras clínicas. El instrumento puede consultarse en McCabe et al. (2005).
Cuestionario de Miedos Médicos – Versión Breve (Medical Fear Survey–Short Version,
MFS-SV; Olatunji et al., 2012). Consta de 25 ítems del Cuestionario de Miedos Médicos
valorados de 0 a 3 según el grado en que se experimenta miedo a situaciones de tipo
médico tales como dar sangre, ver heridas, agujas hipodérmicas, ver operaciones o
mutilaciones, etc. Tiene cinco factores de 5 ítems cada uno: miedo a los cuerpos
mutilados, miedo a la sangre, miedo a las inyecciones hipodérmicas y extracciones de
sangre, miedo a los objetos cortantes y miedo a los exámenes médicos y síntomas
físicos. El instrumento puede consultarse en la fuente original.
Cuestionario de Evitación Médica (Medical Avoidance Survey, MAS; Kleinknecht et al.,
1996). Contiene 21 ítems valorados de 1 a 5 de acuerdo con la extensión en que se evita
el tratamiento médico debido al miedo a diversos procedimientos u otras razones. Los
tres factores identificados son evitación debida al miedo a que se encuentre una
enfermedad grave, al miedo a recibir inyecciones o extracciones de sangre y a razones
económicas o logísticas. El instrumento puede consultarse en Corcoran y Fischer
(2000).
Inventario de fobia a la Sangre e Inyecciones (BIPI; Borda et al., 2010). Para cada una
de 18 situaciones, la persona señala con qué frecuencia (0-3) presenta cada una de 10
respuestas cognitivas (p.ej., “creo que algo serio me va a pasar”), 12 respuestas
fisiológicas (p.ej., “se acelera el ritmo de mi corazón”) y 5 respuestas conductuales
(p.ej., “evito ir, lo evito”). El inventario es unifactorial y puede consultarse en la fuente
original.
Escala de Síntomas ante Sangre-Inyecciones (Blood-Injection Symptom Scale, BISS;
Page et al., 1997). Pretende medir los síntomas producidos por situaciones de sangre e
inyecciones. La persona contesta si ha experimentado o no cada uno de 17 síntomas
físicos durante una de sus peores experiencias de sangre/inyecciones. Se han establecido
tres factores: debilidad/sensación de desmayo, ansiedad y tensión; los dos últimos
pueden combinarse en una subescala de miedo. La consistencia interna de las escalas de
ansiedad y tensión es algo baja. Además las medias de ansiedad, tensión y miedo fueron
más elevadas en estudiantes universitarios que en personas con miedo a la sangre o a las
inyecciones. Finalmente, si siempre se pregunta por los síntomas durante una de las
peores experiencias de sangre/inyecciones, sin acotar un tiempo (p.ej., el último mes),
es posible que el cuestionario no sea sensible al cambio. Puede consultarse en Antony et
al. (2001).
Inventario Multidimensional de la Fobia a la Sangre/Heridas (Multidimensional
Blood/Injury Phobia Inventory, MBPI; Wenzel y Holt, 2003). Evalúa cinco tipos de
respuestas (miedo, evitación, preocupación, asco, desmayo) en cuatro contextos
diferentes (inyecciones, sangre, heridas, hospitales) y con dos focos diferentes (sí
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mismo y otros; p.ej., ver la propia sangre o la de otros). Consta de 40 ítems valorados de
0 a 4 según el grado en que la persona los considera típicos de ella. Se han identificado
seis factores: inyecciones (6 ítems), hospitales (6 ítems), desmayo (6 ítems), sangre-sí
mismo (4 ítems), heridas (4 ítems), sangre/heridas-otros (4 ítems). Los ítems pueden
consultarse en la fuente original.
Escala de Fobia a las Inyecciones (Injection Phobia Scale, IPS; Öst et al., 1992). Consta
de 18 ítems en los que la persona valora el grado de ansiedad (0-4) y de evitación (0-2)
respecto a diversas situaciones de inyección o pinchazo en vena. Considerando sólo las
respuestas de ansiedad, la escala presenta una estructura unifactorial (la más
parsimoniosa), aunque también ajusta una estructura de dos factores altamente
correlacionados: miedo distal (diez situaciones que implican ver u oír) y miedo al
contacto (ocho situaciones de contacto real). Este último podría servir como una versión
breve de la escala. Los ítems de esta pueden consultarse en Olatunji et al. (2010).
Inventario de Miedo Dental (Dental Fear Survey, DFS; Kleinknecht et al., 1973, citado
en Antony et al., 2001). Consta de 20 ítems relacionados con la evitación de citas con el
dentista, reacciones físicas tenidas durante el trabajo dental y miedo suscitado por
diversos aspectos de la situación dental (p.ej., estar en la sala de espera, ver la aguja
anestésica, oír el taladro). Los dos ítems de cita y los cinco de reacciones somáticas se
valoran de 1 a 5 según la frecuencia con que ocurren; el resto, también de 1 a 5 según el
miedo que producen. Se han identificado tres factores: a) estímulos dentales específicos
(vista y sonido del taladro); b) respuesta fisiológica al tratamiento dental (taquicardia,
náusea); y c) anticipación ansiosa del tratamiento dental (concertar una cita). El
instrumento puede consultarse en McCabe et al. (2005).
Inventario de Ansiedad Dental (Dental Anxiety Inventory, DAI; Stouhard et al., 1993).
Evalúa la gravedad de la ansiedad dental. La persona debe valorar de 1 a 5 en qué
medida es aplicable a ella cada una de 36 afirmaciones relacionadas con ir al dentista.
Existe una versión breve de nueve ítems (S-DAI) que puede consultarse en la fuente
original y en Antony et al. (2001).
Escala de Ansiedad Dental Modificada (Modified Dental Anxiety Scale, MDAS;
Humphris et al., 1995). Consta de 5 ítems valorados de 1 a 5 según el grado de ansiedad
que produce cada de una de cinco actividades relacionadas con ir al dentista. El
cuestionario puede consultarse en Humphris et al. (2013).
Índice de Miedo y Ansiedad Dental (Index of Dental Anxiety and Fear¸IDAF-4C+;
Armfield, 2010). Evalúa los componentes cognitivo, conductual, emocional y
fisiológico del miedo y ansiedad dental a través de 8 ítems valorados en una escala de 1
a 5 según el grado en que se está de acuerdo con ellos. Además, incluye dos módulos
complementarios: a) el de fobia, que evalúa a través de 5 ítems la posibilidad de que
exista una fobia dental según el DSM-IV; y b) el estimular, que evalúa el grado en que
producen ansiedad 10 estímulos.
Cuestionario Dental de Cogniciones (Dental Cognitions Questionnaire, DCQ; de Jongh
et al., 1995). Evalúa la frecuencia y grado de creencia en 38 cogniciones negativas
relacionadas con el tratamiento dental. El cuestionario tiene dos partes. En la primera, se
enumeran 14 pensamientos sobre los dentistas (“los dentistas no son comprensivos”) o
sobre uno mismo (“no puedo aguantar el dolor”) y la persona valora en qué medida de 0
a 100 cree en cada uno de ellos y si ocurren o no cuando se sabe que se recibirá pronto
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Tabla 2.
Ejemplo de autorregistro para fobias específicas.
Fecha y situación ¿Qué ¿Qué ¿Qué me ha pasado por la ¿Qué he hecho para
desencadenante emociones sensaciones cabeza (pensamientos, tranquilizarme?
he tenido? he tenido? imágenes? ¿Qué he temido
(0-10) que pudiera pasar?
El individuo se preocupa por actuar de una manera, o por mostrar síntomas de ansiedad,
que serán evaluados negativamente por otros. Las situaciones sociales son evitadas
sistemáticamente o soportadas con un temor o ansiedad intensos.
Los síntomas persisten durante al menos varios meses y son lo suficientemente graves
como para ocasionar un malestar o deterioro significativos a nivel personal, familiar,
social, educativo, laboral o en otras áreas importantes del funcionamiento.
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Entrevista
La entrevista es uno de los procedimientos fundamentales a utilizar con los clientes que
solicitan ayuda clínica. Sin embargo, conviene tener en cuenta que la situación de
entrevista puede ser muy ansiógena para una persona con fobia social, la cual puede no
acudir o tomar alcohol o tranquilizantes para animarse a ello. Durante la entrevista
puede darse evitación del contacto visual, rubor, dificultad para expresar ciertas
opiniones, etc. Por todo ello, es importante enfatizar más de lo habitual el logro de una
buena relación terapéutica, logro que debe predominar sobre la obtención de
información. Aspectos que pueden ayudar son no tener prisa a la hora de hacer
preguntas o pedir respuestas, intervenir si se nota que la persona se siente mal durante
un silencio, reducir la proximidad física, adaptar el empleo de otras conductas no
verbales (mirada, gestos...) a la persona, y, si esta se siente muy incómoda, cambiar de
preguntas abiertas a cerradas o cambiar las preguntas directas por frases que reflejen
(“debe usted pasarlo muy mal cuando...”) o soliciten información de forma no
interrogativa (“me gustaría saber más sobre esto”). Todo esto es más importante al
principio de la terapia, pero no conviene que esta sea “completamente segura”, ya que
se impide así la observación y exploración de los miedos de la persona.
En la entrevista conviene atender a información sobre los apartados que se mencionan a
continuación. Ejemplos de preguntas para los seis primeros pueden consultarse en
Bados (2001a).
− Situaciones temidas y evitadas. Conviene emplear una estrategia de reconocimiento,
ya que si no, muchas no serán identificadas. Por ejemplo, una persona puede
consultar simplemente por fobia a hablar en público y una buena entrevista revelar
que teme y evita también otras situaciones sociales. Incluso algunos pacientes
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Cuestionarios y autoinformes
Se comentarán a continuación aquellos más útiles y con mejores propiedades
psicométricas. Primero, se presentarán los cuestionarios generales relacionados con el
trastorno de ansiedad social. Luego, los centrados en situaciones sociales determinadas.
En tercer lugar, los autoinformes referidos al miedo y actuación justo antes o durante
una situación social temida. Y por último, los inventarios de interferencia producida por
el trastorno de ansiedad social. Hay que tener en cuenta que si los cuestionarios de
ansiedad social se aplican por internet, tienen buenas propiedades psicométricas, pero
sus puntuaciones pueden no ser comparables a las obtenidas presencialmente (Hirai et
al., 2011). Puede consultarse asimismo al Apéndice 2, con un artículo de revisión de los
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SPIN: http://espectroautista.info/SPIN-es.html
23
Evitacion-Social-SAD
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GELOPH-15 (Ruch y Proyer, 2008). Es una escala para evaluar la gelotofobia o miedo
a que se rían de uno, haciendo especial hincapié en sus componentes cognitivos y de
evitación. Consta de 15 ítems valorados de 1 a 4 en función del grado de desacuerdo o
acuerdo con los mismos. La escala es unifactorial. Carretero-Dios et al. (2010) han
adaptado la escala al español y la presentan en su artículo.
Índice de Cambio de la Ansiedad Social Sesión por Sesión (Social Anxiety Session
Change Index, SASCI; Hayes et al., 2008). Es un autoinforme de 4 ítems que se
administra antes de cada sesión y en el que la persona evalúa, en comparación al inicio
del tratamiento, cómo se encuentra en cuatro aspectos: ansiedad social, evitación social,
preocupación por decir/hacer cosas embarazosas o humillantes o por ser evaluado
negativamente e interferencia de la ansiedad social en la vida laboral/académica y
social. Cada ítem es valorado en una escala de siete puntos (1 = mucho menos que al
comienzo del tratamiento, 4 = igual, 7 = mucho más). Es una medida breve, fácil de
administrar y corregir, que permite evaluar los cambios producidos de sesión a sesión
(y, por tanto, adoptar las medidas oportunas en caso necesario) y que correlaciona de
forma moderada o alta con otras medidas de ansiedad. El SASCI informa sobre el
progreso logrado, pero no sobre el estado final de funcionamiento. Una variante de este
cuestionario, aún no investigada, es pedir a la persona que evalúe cómo se ha
encontrado durante la semana pasada (o alternativamente, cómo se encuentra
actualmente) en cuanto al grado en que han ocurrido cinco aspectos: ansiedad social,
evitación social, preocupación por decir/hacer cosas embarazosas o humillantes o por
ser evaluado negativamente, interferencia de la ansiedad social en la vida
laboral/académica y social, y malestar producido por el problema de ansiedad social. Se
emplea una escala de siete puntos (1 = nada, 4 = moderadamente, 7 = muchísimo). Las
calificaciones no son tan retrospectivas al no tener que recordar cómo se hallaba uno
antes del tratamiento.
Por lo que respecta a las medidas individualizadas, pueden comentarse las siguientes:
Cuestionario de Conductas-Objetivo (Echeburúa, 1995). Se trata de un cuestionario
individualizado en el que la persona especifica cinco conductas que le gustaría realizar
normalmente y que supondrían una mejora significativa en su vida cotidiana. Para cada
conducta, califica su grado de dificultad (1-10), la medida en que la evita (1-6) y el
miedo que le produce (1-6). Bados (2000) presenta otra versión con calificaciones de
autoeficacia, evitación y temor (de 0 a 8). Las conductas objetivo no tienen por qué
constituir una jerarquía.
Jerarquía Individualizada de Situaciones Temidas. Se han utilizado jerarquías de 5, 10 o
15 ítems –que deben estar específicamente definidos– y escalas de puntuación de 0-8, 0-
10 o 0-100 para valorar la ansiedad producida por cada situación y el grado en que se
evita la misma. Es importante que los ítems elaborados sean representativos de las
diferentes situaciones temidas por la persona, sean pertinentes para este y cubran los
diferentes niveles de ansiedad.
Cuestionario del Estado de la Ansiedad Social (CEAS; Bados, 2001a). Está inspirado en
la Escala de Calificación de la Fobia Social de Wells (1997), pero a diferencia de esta,
se concibe como un instrumento individualizado en el que las situaciones, conductas
defensivas y pensamientos que figuran son aquellos pertinentes a cada paciente en
particular. Es un cuestionario muy útil de cara a guiar el tratamiento, ya que proporciona
información semanal de lo perturbadora que es la ansiedad social de la persona, del
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grado en que evita las situaciones temidas, de dónde dirige la atención en dichas
situaciones, de la frecuencia de uso de las conductas defensivas y del grado en que sigue
creyendo en sus pensamientos negativos cuando está ansioso. Puede consultarse en
Bados (2001a). Un cuestionario similar es presentado por Botella et al. (2003).
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a gente en general en vez de a una persona del sexo opuesto y b) una modificación del
cuestionario para ser contestado tras dar una charla.
Cuestionario de Autoverbalizaciones Asertivas (Assertiveness Self-Statement Test,
ASST; Schwartz y Gottman, 1976, citado en Corcovan y Fischer, 2000). Evalúa la
frecuencia de pensamientos positivos y negativos en situaciones sociales recientes de
rechazo de peticiones. Consta de 32 ítems en los que hay que valorar con una escala de
1 a 5 la frecuencia con que se ha tenido cada pensamiento. Posteriormente se presentó el
Cuestionario Revisado de Autoverbalizaciones Asertivas (Assertion Self-Statement
Test–Revised, ASST–R; Heimberg et al., 1983, citado en Corcoran y Fischer, 2000).
Evalúa la frecuencia de pensamientos positivos y negativos tenidos en situaciones
sociales recientes. Consta de 24 ítems en los que hay que valorar con una escala de 1 a 5
la frecuencia con que se ha tenido cada pensamiento. Ambos instrumentos pueden
consultarse en Corcoran y Fischer (2000).
Cuestionario de Autoverbalizaciones al Hablar en Público (Self-Statement During
Public Speaking Scale, SSPSS; Hofmann y DiBartolo, 2000). Aunque concebido como
una medida tipo rasgo, tal como se explicó antes, pueden modificarse sus instrucciones
para que hagan referencia a una charla que se acaba de dar.
Cuestionarios de interferencia
Cuestionario de Incapacidad de Sheehan28 (Sheehan Disability Inventory, SDI; Sheehan
et al., 1996, Bobes et al., 1999). Consta de 5 ítems valorados de 0 a 10, excepto el
último que lo es de 0 a 100. Los tres primeros evalúan respectivamente la disfunción
producida por los síntomas en el trabajo, vida social y vida familiar/responsabilidades
domésticas. El cuarto valora el estrés percibido (las dificultades en la vida producidas
por eventos estresantes y problemas personales), y el quinto, el apoyo social percibido o
el grado de apoyo recibido de personas allegadas con relación al apoyo necesitado. Este
cuestionario ha sido validado en castellano por Bobes et al. (1999).
Escala Autoevaluada de Discapacidad de Liebowitz (Liebowitz, 1987, citado en Bobes
et al., 1998). Sus 11 ítems, valorados de 0 a 3, evalúan el grado en que los problemas
emocionales impiden realizar determinadas acciones: beber con moderación, evitar
medicamentos no prescritos, estar de buen humor, avanzar en los estudios, mantener un
trabajo, tener buenas relaciones con la familia, tener relaciones románticas/íntimas
satisfactorias, tener amigos y conocidos, dedicarse a aficiones, cuidado de personas y de
la casa, y desear vivir y no pensar en el suicidio. La persona debe contestar cada ítem en
referencia primero a las dos últimas semanas y segundo a lo largo de la vida o la vez
que peor estuvo. Puede consultarse en Bobes et al. (1998).
Cuestionario de Interferencia. Pueden emplearse escalas de 0-5, 0-8 o 0-10 puntos para
que la persona valore el grado de interferencia producido por sus problemas en su vida
en general y en áreas más específicas tales como trabajo/estudios, amistades, relación de
pareja, vida familiar, manejo de la casa, tiempo libre pasado con otros, tiempo libre
pasado solo, economía y salud. Ejemplos de este cuestionario pueden verse en Bados
(2000), Botella y Ballester (1997) y Echeburúa (1995). Echeburúa et al. (2000)
presentan datos normativos para su Escala de Inadaptación, en la cual la persona valora
28
SDI: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=31
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Autorregistro
Es útil que los autorregistros incluyan, además del día y la hora, aspectos como los
siguientes: a) situación, b) ansiedad (0-100), c) pensamientos tenidos (verbales o
imágenes), d) conducta realizada, e) respuestas de los demás, y f) satisfacción con la
propia actuación (0-100) y lo que gustaría haber hecho. El autorregistro puede limitarse
sólo a cierto tipo de situaciones. Asimismo, puede ser simplificado en función del nivel
de comprensión y motivación de la persona. Así, según los casos, pueden emplearse
sólo las dos o tres primeras columnas.
Otro modelo de autorregistro es el de Clark (1989), el cual incluye seis columnas
además de la fecha: a) situación que lleva a la emoción desagradable (qué se estaba
haciendo o que se estaba pensando en general); b) emoción/es experimentada/s e
intensidad de la/s misma/s (0-100); c) pensamientos específicos que preceden a la
emoción [una alternativa es preguntar también por los pensamientos que generan o
intensifican la emoción] y grado de creencia (0-100) en los mismos; y –durante el
tratamiento– d) pensamientos alternativos y grado de creencia en los mismos; e)
creencia en los pensamientos negativos originales y tipo y grado de las emociónes
subsecuentes; y f) acciones emprendidas o a emprender. El autorregistro propuesto por
Wells (1997) es similar. Las tres primeras columnas son iguales, en la cuarta se apuntan
los pensamientos alternativos y se valora la creencia en los pensamientos automáticos
29
LSAS: https://bi.cibersam.es/busqueda-de-instrumentos/ficha?Id=59
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Observación
La observación puede realizarse en situaciones naturales, artificiales y simuladas. La
primera tiene lugar en el medio natural de la persona. En la segunda, se recrea en la
consulta de un modo real, aunque artificial, una situación similar a la que se da en el
medio natural (p.ej., dar una charla). En la tercera, se pide a la persona que actúe en
situaciones que simulan a aquellas que se dan en su medio natural (p.ej., mantener una
discusión con un colaborador que hace el papel de encargado de la empresa donde
trabaja). Las dos últimas serían las más fáciles de emplear en la clínica habitual, aunque
hay que reconocer la dificultad de hacerlo. A continuación, se expondrán estos tres tipos
de observación y luego las medidas que pueden obtenerse de la misma.
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de la clínica, con otras personas que estén esperando y, una vez comenzado el
tratamiento, con el resto del grupo, si la intervención es grupal.
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agresividad al responder como querría hacerlo. En este caso, no está claro si posee o no
las correspondientes conductas asertivas.
- Pedirle que responda tan apropiadamente como él cree que lo haría una persona
competente o del modo que él considera más adecuado, teniendo en cuenta el objetivo a
conseguir, el cual se especifica. Esto permite saber realmente lo que la persona es capaz
de hacer, independientemente de que lo haga o no en la vida real. Es la forma de evaluar
habilidades y no sólo ejecución, suponiendo que la simulación ha suscitado sólo una
ansiedad mínima.
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Registros psicofisiológicos
Finalmente, y aunque no se emplean habitualmente en la práctica clínica, puede ser útil
la obtención de registros psicofisiológicos antes o durante la exposición a las
situaciones temidas (p.ej., intervención en público). El ritmo cardíaco, el nivel de
conductividad de la piel y la sudoración digital han sido las medidas más empleadas,
aunque el nivel de tensión muscular, la tasa y profundidad respiratoria y las
fluctuaciones espontáneas de la conductividad de la piel pueden ser también medidas
interesantes en función del patrón fisiológico de respuesta de cada persona. Una medida
que se puede tomar discretamente en el medio natural antes y durante la situación
temida es el electrocardiograma registrado en cinta mediante un pequeño aparato que la
persona lleva discretamente consigo. Otra medida fácil de tomar en el medio natural
antes de la situación temida es el índice de sudoración digital, el cual se obtiene
mediante una pequeña banda colocada alrededor del dedo índice.
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Norton y Paulus (2017) plantean que las diferencias pueden estar presentes en el
contenido observable pero con una función subyacente similar. Por ejemplo, los miedos
en el trastorno de pánico son ampliamente vistos como desencadenados por estímulos
de sensaciones corporales internas (p.ej., frecuencia cardíaca elevada) que se
malinterpretan catastróficamente como evidencia de una posible catástrofe biológica
(p.ej., un ataque cardíaco), que resulta en una activación simpática, la experiencia
emocional del miedo e impulsos motivacionales para mitigar la amenaza percibida a
través de estrategias cognitivas o conductuales (p.ej., evitar el arousal mediante alguna
actividad, buscar asistencia médica). Del mismo modo, se considera que los miedos en
la fobia social son provocados por estímulos sociales (p.ej., una audiencia) que se
malinterpretan como evidencia de una catástrofe interpersonal (p.ej., rechazo social) que
resulta en una activación simpática, la experiencia emocional del miedo e impulsos
motivacionales para mitigar la amenaza percibida a través de estrategias cognitivas o
conductuales (p.ej., evitación de actividades de evaluación, estrategias como evitar el
contacto visual).
Aunque los trastornos de ansiedad tienen varios componentes en los que difieren,
incluidos los estímulos que los provocan, las interpretaciones catastróficas y la
aproximación motivacional y comportamental diseñada para mitigar la amenaza y
reducir la experiencia emocional, el esquema del proceso se mantiene,
consistentemente, a través de cada trastorno de ansiedad (Figura 1).
Figura 1. Esquema de las funciones subyacentes comunes entre el trastorno de pánico y la fobia social
(Norton y Paulus, 2017).
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Ahora bien, aunque los modelos transdiagnósticos den mayor peso a las similitudes
entre los trastornos de ansiedad en comparación con sus diferencias, evidentemente no
se trata de manifestaciones idénticas. Desde el modelo transdiagnóstico más bien se
reconoce que las diferencias en uno o más niveles de análisis ha de existir entre distintos
miedos, incluso aunque esos miedos no estén reconocidos como diagnósticos
específicos por los manuales categoriales. Sin embargo, sí se plantea que puede ser más
útil centrarse en las comunalidades (Figura 2).
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DOI 10.1007/s10608-014-9624-x
ORIGINAL ARTICLE
David H. Barlow
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572 Cogn Ther Res (2014) 38:571–584
analytic techniques to examine the associations of per- control is broadly defined as perceptions of control over the
ceived control with DSM-IV-TR (APA 2000) anxiety dis- nature of situational factors and events. The perceived
orders, thereby addressing an important gap in the control construct is generally conceptualized as a proto-
literature. typical agent-ends relation; when individuals (i.e., agents)
believe they can produce desired outcomes (i.e., ends), they
Related Theories of Control demonstrate perceived control (Skinner 1995). Skinner
(1996) previously suggested that the most fundamental
The interrelatedness across extant definitions of control distinction in control-related literature is between per-
makes differentiating between control-related theories ceived control (i.e., beliefs regarding how much control is
difficult. More than 100 terms to describe control exist available) and actual control (i.e., more objective condi-
(Skinner 1996); a detailed discussion of other control- tions of control).
related theories is outside the scope of this article. How- It has also been argued that perceived control more
ever, it is important that we briefly establish heterogeneity strongly predicts functioning than actual control (Averill
between perceived control and three control-related theo- 1973; Burger 1989). An emphasis on perceived control, as
ries that also demonstrate theoretical and empirical rele- opposed to actual control, is also consistent with an
vance to anxiety. increased focus on cognition in both control-related
First, according to the internal-external locus of control research and psychology as a discipline (Haidt and Rodin
construct (Rotter 1954, 1966), an external locus of control 1999). While perceived control has often been regarded as
represents the perception that control over reinforcement is an integrative term that subsumes aspects of other defini-
due to outside forces (e.g., fate, luck), while an internal tions of control (Skinner 1996), recent models have pro-
locus of control refers to the perception that control over posed that perceived control be considered as an
reinforcement is contingent on one’s own behavior (e.g., independent construct (Weems and Silverman 2006).
personal skills). Recent arguments point to the internal-
external locus of control construct as more generalized, and Relations Between Perceived Control and Anxiety
less directly relevant to the experience of anxiety than
other control-related theories (e.g., perceived control; Ra- Theorists have widely emphasized the importance of low
pee et al. 1996). Second, Bandura’s self-efficacy theory perceived control in the etiology and maintenance of
(Bandura 1977, 1982) describes one’s belief in their ability anxiety disorders. In Chorpita and Barlow’s (1998) dis-
to exercise control over life events. Self-efficacy is a cussion of control and anxiety, the authors draw from
cognitive-affective process that suggests feeling incompe- diverse areas of research to suggest that deficits in per-
tent in executing desired behaviors may lead to anxiety ceived control are critical in the experience of anxiety. In
(Weems and Silverman 2006). The self-efficacy concept is particular, low perceptions of control contribute to both
theoretically distinct from other theories of control due to immediate anxiety (i.e., undifferentiated somatic outputs)
its emphasis on competence or skill of the self, rather than and long-term anxiety (i.e., intensified activity of the
the degree to which outcomes are contingent on behavior behavioral inhibition system; Gray 1987). Further, the
(Weems and Silverman 2006; Weisz 1983). interpretation of stressful events as either controllable or
Finally, in a classical learned helplessness model uncontrollable is posited to influence biological contribu-
(Abramson et al. 1978; Seligman 1975), organisms learn to tions to chronic anxiety.
be helpless in situations where noxious stimuli are ines- According to Chorpita and Barlow (1998), the rela-
capable. While prolific findings support learned helpless- tionship between perceived control and anxiety changes
ness as a direct or indirect risk factor for anxiety (Chorpita over one’s lifetime. A diminished sense of perceived
and Barlow 1998), this theory implies a distinct discrepancy control first develops as a function of early experiences
between perceived and actual control that revolves around with uncontrollable events, provided by family structure
either contingencies (i.e., universal helplessness) or com- and relevant parenting dimensions (i.e., over-protective-
petence (i.e., self-efficacy, personal helplessness; Weems ness and intrusive parenting). During early development,
and Silverman 2006). In contrast, perceived control may or perceived control mediates the relation between stressful
may not correspond with actual control in terms of com- experience and anxiety. Over time, perceived control
petence or contingencies (Weems and Silverman 2006). becomes a more fixed trait and assumes some tempera-
mental stability. During later development, perceived
Perceived Control control operates as a moderator of anxiety by intensifying
the activity of related systems (e.g., behavioral inhibition
While theorists have proposed numerous narrower defini- system; Gray 1987). For example, there is evidence that
tions (Burger 1989; Rodin 1990; Skinner 1995), perceived perceived control predicts physiological indicators of
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Cogn Ther Res (2014) 38:571–584 573
emotion regulation that are associated with decreased (PTSD; e.g., Vujanovic et al. 2010), social phobia (SOC;
anxiety (i.e., vagal tone; Scott and Weems in press) e.g., Hofmann 2005), and generalized anxiety disorder
Chorpita and Barlow’s model provides a sound theoretical (GAD; e.g., Stapinski et al. 2010). Additionally, prior
base for the importance of limited perceived control in investigations have demonstrated an association between
susceptibility to anxiety across different developmental perceived control and trait anxiety in both adult (e.g.,
stages (Brown et al. 2004). Brown et al. 2004) and youth populations (e.g., Weems
Chorpita and Barlow’s (1998) conceptual foundation et al. 2003). It is clear that ample empirical and theoretical
helps set the stage for a triple vulnerabilities model of support exists for the notion that diminished perceived
psychopathology (Barlow 2000, 2002), in which three control, and in particular, perceived control over salient
interacting diatheses contribute to the etiology of emotional events and emotional experiences, functions as a critical
disorders (Payne et al. in press). In addition to a general- vulnerability factor for the development of anxiety and its
ized biological vulnerability (i.e., dimensions of tempera- disorders.
ment such as neuroticism) and a disorder-specific
psychological vulnerability (e.g., anxiety sensitivity for The Current Study and Rationale for Meta-analysis
panic disorder), Barlow proposes that diminished perceived
control is a generalized psychological vulnerability factor Our aim in the current study was to meta-analytically
that develops during childhood, promotes the development review the relations of perceived control to trait and dis-
of a neurotic temperament, and ultimately increases the order-specific indicators of anxiety in children and adults.
risk of developing an anxiety disorder (Barlow 2002, Because our goal in performing this meta-analysis was to
Barlow et al. in press). In this model, the experience of focus on the perceived control domain that is most directly
anxiety is conceptualized as a cognitive-affective process relevant to the anxiety disorders, we focused our review on
in which an individual perceives uncontrollability over perceived control over anxiety-related events, as measured
potentially negative events and emotions. For individuals by the Anxiety Control Questionnaire (ACQ, Rapee et al.
with anxiety disorders, beliefs that anxiety-related sensa- 1996), ACQ-Revised (ACQ-R, Brown et al. 2004), or
tions and events are uncontrollable contributes to the ACQ-Children1 (Weems et al. 2003; Weems 2005). The
maintenance and exacerbation of symptoms (Barlow original ACQ is a 30-item scale that identifies two domains
2002). of perceived emotional control (internal emotional reac-
Evidence suggests that perceived control varies within tions, external threats) and was developed to provide an
an individual across different domains, contexts, and assessment of perceptions of control that would be more
events (Rapee et al. 1996; Weems and Silverman 2006). relevant to anxiety disorders than existing control measures
The triple vulnerabilities model posits that perceived con- (e.g., Nowicki-Strickland Locus of Control Scale; Nowicki
trol over aversive events and emotional experiences is most and Strickland 1973) that focused on more global percep-
directly relevant to the development of anxiety disorders. tions of control. The ACQ-Children was developed by
When an unexpected burst of emotion occurs, susceptible adapting the 30 items of the ACQ to be more develop-
individuals may experience increased anxiety due to a mentally appropriate and easier to comprehend for children
perception that their emotions or bodily reactions are out of and also identifies internal reactions and external threats as
their control. It follows that additional anxiety over the two domains of perceived emotional control (Weems et al.
possible reoccurrence of such experiences may result. The 2003). The ACQ-R was developed by using exploratory
vulnerability of low perceived control may not always and confirmatory factor analysis to refine the original ACQ
fulfill a direct etiological role in the development of anx- by examining the latent structure of perceived emotional
iety disorders, but in some cases, may serve as part of the control. The ACQ-R contains fifteen items and identifies
phenomenology, or even an outcome, of anxiety disorders; three domains of perceived emotional control (stress,
regardless, it may still impact the maintenance or trajectory threat, emotion). Although more global perceptions of
of anxious symptomatology (Weems and Silverman 2006). control are also likely associated with anxiety, the three
Previous findings that demonstrate the predictive role of
diminished perceived control over aversive events and 1
A short form of the ACQ-C was subsequently developed that
emotions in higher anxiety levels across DSM-IV anxiety
consists of the ten items found to be most representative of the full
disorders support the triple vulnerabilities model. Past ACQ-C and that correlates with the ACQ-C at r = 0.95 (Weems
research in children and adult samples has shown that 2005). We chose not to distinguish between the ACQ-C and the short
deficits in perceived control predict higher levels of panic form of the ACQ-C in our analyses as there were an insufficient
number of studies to adequately test the short form of the ACQ-C as a
disorder with or without agoraphobia (PDA; e.g., White
moderator and, unlike the ACQ-R that identifies different facets of
et al. 2006), obsessive–compulsive disorder (OCD; e.g., perceived control than the ACQ, both forms of the ACQ-C identify
Moulding and Kyrios 2007), posttraumatic stress disorder the same two facets of perceived control.
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574 Cogn Ther Res (2014) 38:571–584
versions of the ACQ focus on perceptions of control that multidisciplinary psychology, substance abuse, psychol-
are most consistent with how perceived control is con- ogy, interdisciplinary social sciences, applied psychology,
ceptualized in the triple vulnerabilities model (Barlow social work, and behavioral sciences. When appropriate
2002). articles were identified, the reference sections of those
Considerable theoretical and empirical evidence sup- articles were examined for additional relevant articles. The
ports the notion that perceived control plays an integral role reference sections of the ACQ, ACQ-R and ACQ-C vali-
in the development of anxiety disorders; however, no meta- dation articles were also searched. All manuscripts that
analysis exists to quantitatively demonstrate the transdi- were identified in PsycInfo as having cited the ACQ, ACQ-
agnostic role of perceived control in conferring vulnera- R, or ACQ-C validation papers were also reviewed. Arti-
bility to anxiety. Thus, it is important to determine the cles generated by the literature search were then assessed to
specificity and magnitude of relations between perceived determine their eligibility for inclusion in the meta-
control and anxiety within a meta-analytic framework. We analysis.
chose to focus our meta-analytic review on the associations
of perceived control with trait measures of anxiety and the Inclusion and Exclusion Criteria
five disorders for which perceived control may be most
relevant: GAD, PDA, OCD, SOC, and PTSD.2 Our primary Studies had to meet the following inclusion criteria: (a) the
goal in conducting this review was to quantify the relative study included a measure of perceived emotional control
magnitude of the effect sizes among perceived control, trait (i.e., ACQ, ACQ-R, or ACQ-C), (b) the study included a
anxiety, and the five specific anxiety disorders examined. measure of anxiety or a comparison between clinical and
We hypothesized that the meta-analytic findings would non-clinical samples, (c) the article was written in English,
indicate moderate to large associations between perceived (d) an effect size was reported or sufficient information was
control and both trait and disorder specific measures of included to calculate an effect size, (e) the article presented
anxiety. original data that were not reported in full or part in another
published study. Figure 1 presents a flow diagram of the
literature search process. Based on titles and abstract, our
Method search identified 90 studies that were eligible for further
review. Of these, 51 met inclusion criteria for the meta-
Literature Search analysis.
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Cogn Ther Res (2014) 38:571–584 575
Identification
Articles initially identified Records excluded (n = 3788):
through database Duplicates or irrelevant content
searching (n = 3961)
Fig. 1 Flow diagram of literature search process. Ten studies included both trait and disorder specific outcome measures of anxiety. Two studies
included multiple disorder specific effect sizes
Fisher Z transformation prior to conducting the meta-ana- effect sizes the following moderators were examined:
lytic calculations in order to control for the distributional (a) age of sample (adult vs. children), (b) publication type
problems of r. The results of the meta-analytic calculations (peer reviewed journal article vs. dissertation), (c) gender
were then transformed back to r. All meta-analytic calcu- (majority male vs. majority female), (d) race (majority
lations were conducted using random-effects models (Field Caucasian vs. majority non-Caucasian), and (e) perceived
2001; Hedges and Olkin 1985; Hedges and Vevea 1998). control measure used (i.e., ACQ vs. ACQ-Revised vs.
The MeanES SPSS macro developed by Lipsey and Wilson ACQ-Children). Method of assessment (clinician rated vs.
(2001) was used to calculate the weighted mean effect sizes self-report) was also examined for generalized anxiety
as well as the 95 % confidence intervals of the weighted disorder and panic disorder. Moderator analyses were not
mean effect sizes. In order to assess for potential publica- calculated for the SOC, OCD, and PTSD effects due to the
tion bias, we calculated Rosenthal’s (1979) fail-safe N, smaller number of effect sizes identified for these disor-
which provides an estimate of the number of studies with a ders. All moderator analyses were conducted using the
nonsignficant effect size that would be needed to reduce the MetaF SPSS Macro developed by Lipsey and Wilson
observed effect to a nonsignificant effect. The alternative (2001).
effect size was set at 0.01 for all fail-safe N calculations.
The heterogeneity of effect sizes was examined using
the Q statistic to determine whether the characteristics of Results
individual studies moderated the observed effect sizes
between perceived control and anxiety. A significant Perceived Control and Trait Anxiety
Q statistic indicates significant variance in the observed
effect sizes, which suggests that potential moderators Table 1 presents a summary of the characteristics of the 51
should be examined. For the trait anxiety, GAD, and PDA studies included in the meta-analysis. Table 2 presents the
123
Table 1 Summary of study characteristics
576
Citation N Sample Female Caucasian Perceived control Trait anxiety Disorder specific Anxiety disorder
age (%) (%) measure measure anxiety measure(s) prevalence
123
Allen (2007) 7 Adult 85.7 86.0 ACQ-R – PDSS PDA 100 %
Ballash et al. (2006) 364 Adult 64.0 71.5 ACQ BAI – NR
Bentley et al. (2013) 379 Adult 65.0 87.5 ACQ-R – PDSS PDA 100 %
Bonin (2009) 332 Adult 64.8 85.5 ACQ – SIAS NR
Brown et al. (2004) 700 Adult 60.4 NR ACQ-R BAI/DASS-A/DASS-S – NR
Brown and Naragon-Gainey (2013) 700 Adult 60.6 90.9 ACQ-R – GAD, OCD, and SOC SOC 48.6 %, GAD 33.0 %,
latent variables PD/A 25.3 %, OCD
16.0 %, SPEC 14.6 %
Cannon and Weems (2010) 72 Child 54.2 58.3 ACQ-C – ADIS GAD diagnosis GAD 26.4 %
Chapman et al. (2009) 221 Adult 67.9 55.0 ACQ STAI PSWQ NR
Feldner and Hekmat (2001) 80 Adult 41.3 96.2 ACQ STAI PSWQ NR
Frala et al. (2010) 140 Child 42.9 86.4 ACQ-C – ADIS GAD diagnosis GAD 12.1 %
Furr (2008) 111 Adult 73.0 23.4 ACQ-R STAI PSWQ NR
Gallagher (2011) 137 Adult 59.9 83.9 ACQ-R STAI PSWQ NR
Gallagher et al. (2014) 606 Adult 63.0 89.0 ACQ-R – GAD, OCD, PDA, and SOC 42 %, PDA 38 %,
SOC latent variables GAD 34 %, OCD 12 %,
SPEC 20 %
Glick and Orsillo (2011) 109 Adult 71.6 73.6 ACQ – SIAS NR
Gould and Edelstein (2010) 103 Adult 64.1 96.1 ACQ – PSWQ NR
Graham (2013) 119 Adult 83.2 0 ACQ-R DASS-A – NR
Gregor and Zvolensky (2008) 229 Adult 54.1 92.6 ACQ – DSQ NR
Harris et al. (2005) 85 Adult 57.6 87.1 ACQ STAI – NR
Hofmann (2005) 144 Adult 44.4 85.0 ACQ – SPAI SOC 100 %
Hogendoorn et al. (2008) 33 Child 66.7 NR ACQ-C STAI - Children – NR
Hogendoorn et al. (2013) 689 Child 52 NR ACQ-C RCADS – SOC 7.0 %, SAD 2.5 %,
GAD 6.6 %, PD/A 2.1 %,
SPEC 4.5 %
Karekla et al. (2004) 54 Adult 55.6 NR ACQ-R – DSQ NR
Kashdan et al. (2006) 382 Adult 47.1 64.9 ACQ-R STAI BSQ NR
Lang and McNeil (2006) 89 Adult 51.7 62 ACQ STAI – NR
Magaro (2008) 154 Child 76.0 49.0 ACQ-C MASQ-AA – NR
Marin et al. (2008) 333 Child 48.6 26.7 ACQ-C RCMAS – SAD 25.8 %, SPEC
23.3 %, GAD 17.0 %,
SOC 16.3 %
McGinn and Jerome (2010) 147 Child 56.5 NR ACQ-C RCMAS – NR
Meuret et al. (2010) 41 Adult 82.9 87.8 ACQ – PDSS PDA 100 %
Moore and Zebb (1999) 28 Adult 57.1 67.9 ACQ – PDA diagnosis PDA 32.1 %
Cogn Ther Res (2014) 38:571–584
Table 1 continued
Citation N Sample Female Caucasian Perceived control Trait anxiety Disorder specific Anxiety disorder
age (%) (%) measure measure anxiety measure(s) prevalence
Moulding and Kyrios (2007) 109 Adult 67.9 67.0 ACQ-R DASS-21-A PI-R NR
Moulding et al. (2009) 134 Adult 79.1 NR ACQ-R – OBQ-R NR
Muris et al. (2009) 178 Child 51.7 NR ACQ-C SCARED-R SCARED-R-social NR
Nelson and Shankman (2011) 69 Adult 76.8 37.7 ACQ – PSWQ NR
Olatunji et al. (2008) 144 Adult 68.1 NR ACQ STAI – NR
Pereira et al. (2012) 283 Child 56.9 NR ACQ-C SCARED-R – NR
Cogn Ther Res (2014) 38:571–584
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578 Cogn Ther Res (2014) 38:571–584
effect sizes and 95 % confidence intervals for individual (Q = 236.68, df = 28, p \ .001). Moderator analyses
studies examining the association between perceived con- indicated that the age of the sample and the perceived
trol and trait anxiety. The associations (r) between per- control measure used both moderated the association
ceived control and trait measures of anxiety ranged from between perceived control and trait measures of anxiety.
-0.32 to -0.78. Based on 29 studies with a combined The association between perceived control and trait mea-
sample size of n = 7,204, the weighted mean effect size sures of anxiety was significantly larger in adult samples
for the association between perceived control and trait (ESr = -0.579; 95 % CI -0.530: -0.624) than in chil-
measures of anxiety was -0.524 (95 % CI -0.470: dren samples (ESr = -0.401; 95 % CI -0.315: -0.481).
-0.574). The magnitude of this effect size indicates a The association between perceived control and trait mea-
strong relationship between perceived control and trait sures of anxiety was also significantly larger in studies that
anxiety, such that greater deficits in perceived control are used the original ACQ (ESr = -0.572; 95 % CI -0.503:
associated with higher levels of trait anxiety. The fail-safe -0.633) or ACQ-R (ESr = -0.563; 95 % CI -0.478:
n for this effect was 1,548, which suggests a robust finding -0.637) than studies that used the ACQ-C (ESr = -0.410;
that is unlikely to be due to spurious findings. 95 % CI -0.313: -0.499). There was no evidence that
The heterogeneity analysis indicated significant variance gender, race, or publication type moderated the association
in the perceived control and trait anxiety effect sizes between perceived control and trait measures of anxiety.
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Table 3 Perceived control and disorder specific anxiety outcome effect sizes
Citation Disorder Disorder specific outcome ESr 95 % CI
Perceived Control and Disorder Specific Measures of anxiety. Table 4 presents a summary of the meta-ana-
of Anxiety lytic calculations of the effect sizes between perceived
control and GAD, SOC, OCD, PDA, and PTSD. Results
Table 3 presents the effect sizes and 95 % confidence indicated moderate to large effects for perceived control
intervals for individual studies examining the association and each of the anxiety disorders examined. An examina-
between perceived control and disorder-specific measures tion of the confidence intervals of the effect sizes reveals
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580 Cogn Ther Res (2014) 38:571–584
Table 4 Mean effect sizes, 95 % confidence intervals, and fail-safe N’s for perceived control and disorder specific measures
Disorder k N ESr 95 % CI Fail-safe N
that the effect of perceived control was larger for GAD conceptualizations of GAD as the ‘‘basic’’ emotional dis-
than for any of the other disorders examined. The confi- order (Barlow 2002; Brown et al. 1994). Individuals suf-
dence intervals of the effect sizes indicated that the effects fering from GAD by definition experience uncontrollable
of perceived control on SOC and OCD were not signifi- anxiety regarding multiple life domains, and diminished
cantly different from one another, but were greater than the perceptions of control regarding emotional experiences are
effects of perceived control on PDA and PTSD. The effects therefore likely to have more wide-ranging consequences
of perceived control on PDA and PTSD were not signifi- in individuals with GAD than individuals for whom the
cantly different from one another based on the confidence focus of anxiety is more circumscribed. It would be
intervals. Together, these results suggest that perceived interesting for future research to extend the results of the
control is a strong predictor of each of the five disorders present meta-analysis by examining whether different
examined, but that the effect of perceived control may clinical presentations within anxiety disorders are associ-
differ across the disorders. The large fail-safe N values for ated with greater deficits in perceived control. There is
each disorder suggest that these are robust effects that are preliminary evidence that perceived control interacts with
not likely to be due to spurious findings. Although there anxiety sensitivity to predict more severe symptoms of
was evidence of significant heterogeneity both for studies PDA (Bentley et al. 2013; White et al. 2006), but the role
examining GAD (Q = 147.33, df = 14, p \ .001) and of perceived control in different subtypes of other anxiety
PDA (Q = 38.16, df = 9, p \ .001), there was no evi- disorders remains uncertain. For example, individuals with
dence of moderation with any of the moderators we generalized SOC may exhibit greater deficits in perceived
examined. Moderator analyses were not conducted for control, albeit more focused on interpersonal interactions,
SOC, OCD, or PTSD due to the insufficient number of than individuals with more circumscribed SOC that is
studies for these analyses. limited to public speaking or other discrete situations. More
detailed examinations of the influence of perceived control
on different manifestations of anxiety disorders could
Discussion improve our understanding of the varying ways in which
perceived control functions as a general psychological
The purpose of this meta-analysis was to determine whe- vulnerability factor.
ther the existing research literature examining the rela- Although the effects of treatment on perceived control
tionship between perceived control and anxiety is were not the focus of the current meta-analysis, multiple
consistent with the triple vulnerabilities model (Barlow articles included in this meta-analysis examined the impact
2002), which posits perceived control as a transdiagnostic of CBT on perceived control with results suggesting that
vulnerability factor in the development of anxiety disor- CBT can produce significant increases in perceived control
ders. As hypothesized, the results of our meta-analytic in both adults (Gallagher et al. 2014; Meuret et al. 2010)
review were generally consistent with the triple vulnera- and children (Hogendoorn et al. in press; Muris et al.
bilities model. Specifically, perceived control was found to 2009). These examinations of the impact of treatment on
evidence strong associations with trait measures of anxiety perceived control have also provided promising evidence
and to have moderate to strong associations with each of that perceived control may function as a mechanism of
the anxiety disorders examined such that greater deficits in change of CBT for anxiety disorders, with some evidence
perceived control were associated with more severe that the indirect effect of treatment on changes in anxiety
symptoms of anxiety. via changes in perceived control is consistent across OCD,
The finding that perceived control has the strongest PDA, SOC, and GAD (Gallagher et al. 2014). These
associations with measures of GAD is consistent with findings provide further evidence of the transdiagnostic
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Cogn Ther Res (2014) 38:571–584 581
relevance of perceived control in understanding individu- effect sizes for SOC, OCD and PTSD may also be less
als’ resilience to and recovery from anxiety disorders. precise due to the smaller number of studies included in
these analyses.
Limitations and Future Directions Our findings are also limited by a reliance on cross-
sectional studies. The vast majority of studies included in
Although the results of the present meta-analysis provide this meta-analysis did not include longitudinal examina-
strong evidence that perceived control is consistently tions of the relationships between perceived control and
associated with elevated levels of anxiety in both children anxiety, which precludes more definitive conclusions about
and adults, our findings provide limited information about whether perceived control is truly an important causal
the unique effects that perceived control may have on determinant of anxiety rather than merely a correlate or
anxiety beyond other vulnerability factors identified within consequence of anxiety. It also possible that, as with any
the triple vulnerabilities model (e.g., neuroticism). One of meta-analysis, the particular methods of searching the lit-
the only studies to simultaneously examine the unique erature that we used led to not including certain articles
contributions of perceived control while controlling for the that may have been relevant and that in the future new
effects of neuroticism and disorder specific vulnerabilities articles will be published that could lead to the meta-ana-
was Brown and Naragon-Gainey (2013), which found that lytic calculations changing to some degree. The finding
perceived control uniquely predicted GAD and OCD, but that age and the perceived control measure used moderate
did not have a unique effect on SOC or depression. Simi- the influence of perceived control on trait measures of
larly, there is evidence that perceived control predicts anxiety should also be interpreted with caution as these
levels of anxiety in the absence of actual control (e.g., factors were confounded with one another, and it is
Sanderson et al. 1989), and evidence that levels of per- therefore unclear whether the differential effects are truly
ceived control and actual control both uniquely predict due to developmental differences in the impact of per-
levels of anxiety in children (Scott and Weems 2010), but ceived control as suggested by Chorpita and Barlow (1998)
additional research is needed to improve our understanding or merely represent a methodological artifact due to dif-
of the relative contributions of perceived and actual control ferences between the perceived control measures.
on anxiety in different contexts. More research is also
needed to determine what psychological factors may con-
tribute to the development or maintenance of more adap- Conclusions
tive perceptions of emotional control. For example,
resilience factors such as hope (Snyder 2002) and optimism The triple vulnerabilities model of psychopathology sug-
(Carver et al. 2010) that reflect more generalized positive gests that perceived control regarding negative emotions
expectations for the future and evaluations of personal and events is a generalized psychological vulnerability for
agency might contribute to the development of more anxiety disorders (Barlow 2002). The results of the present
adaptive perceptions of emotional control. meta-analytic review are generally consistent with this
Another important limitation of this meta-analysis is the model, but suggest that the influence of perceived control
focus on trait anxiety and five specific disorders. We chose may vary across the anxiety disorders and across different
to focus on five disorders for which perceived control may developmental periods. It will be important for future
be particularly relevant, but there is evidence that per- research to extend our understanding of the role of per-
ceived emotional control may also be relevant to other ceived control by longitudinally examining how perceived
disorders such as depression (e.g., Brown and Naragon- control may influence the development of anxiety, as well
Gainey 2013), specific phobias (e.g., Pearson 2010), and as whether perceived control changes during treatment for
hypochondriasis (Gerolimatos and Edelstein 2012). Further anxiety disorders. Perceived control represents a promising
examination of the impact of perceived emotional control target for mechanisms of change research, as the promotion
on these disorders and other disorders in which emotion of more adaptive perceptions of control could represent a
dysregulation is prominent will be an important topic for transdiagnostic process that could promote recovery across
future research. The varying number of studies identified the anxiety disorders. There is promising preliminary evi-
for each anxiety disorder also limits conclusions. Studies dence that change in perceived control may mediate the
examining the relationship between perceived control and effects of CBT on PDA (Meuret et al. 2010), as well as
SOC, OCD and PTSD were less prevalent than studies other anxiety disorders (Gallagher et al. 2014), but more
examining the relationship between perceived control and research is needed to elucidate the role that promoting
GAD or PDA. This prevented the examination of potential adaptive perceptions of control may play in the prevention
moderators for certain disorders, and the estimates of the of and recovery from anxiety disorders.
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582 Cogn Ther Res (2014) 38:571–584
Conflict of Interest Matthew W. Gallagher, Kate H. Bentley, and *Bonin, M. F. (2009). Vulnerability factors low control and high
David H. Barlow declare that they have no conflict of interest. negative affect in the development of social anxiety and the use
of safety behaviors. Retrieved from ProQuest dissertations &
Informed Consent All procedures followed were in accordance theses. (AAT 3358954).
with the ethical standards of the responsible committee on human Brown, T. A., Barlow, D. H., & Liebowitz, M. R. (1994). The
experimentation (national and institutional). Informed consent was empirical basis of generalized anxiety disorder. American
obtained from all individual subjects participating in the study. Journal of Psychiatry, 151, 1272–1280.
Brown, T. A., & Naragon-Gainey, K. (2013). Evaluation of the
Animal Rights No animal studies were carried out by the authors unique and specific contribution of dimensions of the triple
for this article. vulnerability model to the prediction of DSM-IV anxiety and
mood disorder constructs. Behavior Therapy, 44, 277–292.
doi:10.1016/j.beth.2012.11.002.
Brown, T. A., White, K. S., Forsyth, J. P., & Barlow, D. H. (2004).
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Clinical Psychology Review 56 (2017) 122–137
Review
A B S T R A C T
Despite the increasing development, evaluation, and adoption of transdiagnostic cognitive behavioral therapies,
relatively little has been written to detail the conceptual and empirical psychopathology framework underlying
transdiagnostic models of anxiety and related disorders. In this review, the diagnostic, genetic, neurobiological,
developmental, behavioral, cognitive, and interventional data underlying the model are described, with an
emphasis on highlighting elements that both support and contradict transdiagnostic conceptualizations. Finally,
a transdiagnostic model of anxiety disorder is presented and key areas of future evaluation and refinement are
discussed.
1. Introduction Smith, & Norton, 2014; D. A. Clark, 2009; Craske, 2012; McEvoy,
Nathan, & Norton, 2009; McManus, Shafran, & Cooper, 2010;
Transdiagnostic cognitive-behavioral therapies (tCBT) for anxiety Norton & Paulus, 2016; Rector, Man, & Lerman, 2014) and meta-ana-
disorders have seen growing interest and adoption, particularly, over lyses (Anderson, Toner, Bland, & McMillan, 2016; Newby, McKinnon,
the past decade (Norton & Paulus, 2016). At their core, tCBTs are Kuyken, Gilbody, & Dalgleish, 2015; Norton & Philipp, 2008;
similar to traditional diagnosis-specific CBT in that cognitive challen- Pearl & Norton, 2016; Reinholt & Krogh, 2014). In short, tCBT has
ging and situational or emotional exposure are seen as the active demonstrated significant reductions in anxiety symptoms, anxiety
ingredients (Barlow & Lehman, 1996), but differ in that common disorder diagnoses, depressive symptoms, and depressive diagnoses.
transdiagnostic mechanisms (e.g., negative affect, intolerance of un- Importantly, tCBT has shown similar treatment effects across different
certainty, anxiety sensitivity; Paulus, Talkovsky, Heggeness, & Norton, primary anxiety or depressive diagnoses (Norton, 2008a, 2008b;
2015) across the anxiety disorders – and possibly depressive disorders – Farchione et al., 2012), statistically equivalent efficacy in comparison
are targeted over diagnosis-specific mechanisms (Talkovsky & Norton, to diagnosis-specific CBT for primary anxiety disorder diagnoses
2014). As such, whether delivered in group (Norton, 2012a) or (Newby, Mewton, & Andrews, 2017; Norton & Barrera, 2012; also see
individual formats (Barlow et al., 2011), transdiagnostic treatments Pearl & Norton, 2016), and potentially superior efficacy for reducing
are intended to be applicable across principal anxiety (and depressive) comorbid anxiety and negative emotional diagnoses (Ellard et al., 2010;
diagnoses, as well as with comorbid anxiety (including obsessive- Norton et al., 2013) and comorbid depression (Norton, Hayes, & Hope,
compulsive disorder [OCD] and post-traumatic stress disorder [PTSD]), 2004; Talkovsky, Green, Osegueda, & Norton, 2016). Such efficacy data
depressive, and related diagnoses (Norton et al., 2013). has been demonstrated across multiple delivery formats, including
The efficacy of tCBT has been demonstrated across a number of individual (Ellard et al., 2010), group (Norton & Barrera, 2012), and
open (Dear et al., 2011; Dwyer, Olsen, & Oei, 2013; Ellard, Fairholme, internet-delivered approaches (Titov et al., 2010), and has been
Boisseau, Farchione, & Barlow, 2010; Gros, 2014; McEvoy & Nathan, replicated by research teams independent from the treatment protocol
2007; Norton, 2008a; Oei & Boschen, 2009) and randomized controlled developers (e.g., Espejo et al., 2016; Osma, Castellano,
trials (Erickson, Janeck, & Tallman, 2007; Farchione et al., 2012; Crespo, & García-Palacios, 2015). Further, treatment of heterogeneous
Norton, 2012b; Norton & Barrera, 2012; Norton & Hope, 2005; anxiety disorders in group format adds convincing evidence that a
Schmidt et al., 2012; Titov, Andrews, Johnston, Robinson, & Spence, common problem is targeted, as the same treatment is effective across a
2010), and supported by multiple comprehensive reviews (Barrera, range of anxiety presentations (Norton et al., 2013) with heterogeneity
⁎
Corresponding author.
E-mail address: peter.norton@monash.edu (P.J. Norton).
http://dx.doi.org/10.1016/j.cpr.2017.03.004
Received 6 November 2016; Received in revised form 7 February 2017; Accepted 21 March 2017
Available online 27 March 2017
0272-7358/ © 2017 Elsevier Ltd. All rights reserved.
P.J. Norton, D.J. Paulus Clinical Psychology Review 56 (2017) 122–137
of group not impacting outcome (Chamberlain & Norton, 2013; Paulus, are a function of the eliciting stimuli, the key differentiating factor
Hayes-Skelton, & Norton, 2015). between diagnoses is external to the individual (e.g., contaminants,
Despite this surge in adoption and research examining tCBT audiences, flying), making anxiety disorders the only class of mental
efficacy, however, published descriptions of the underpinning of disorders that are discriminated primarily based on extra-personal
transdiagnostic models of anxiety disorder have been relatively cursory factors.
and limited. The purpose of the current paper is, therefore, to Indeed, the variations observed between some anxiety disorder
comprehensively review the theoretical and empirical foundations of diagnoses such as agoraphobia (fear of public places because of beliefs
transdiagnostic models of anxiety disorder. In general, the evidence that they make provoke a panic attack, which could result in embar-
used to buttress transdiagnostic models and interventions includes rassment) and social anxiety disorder (fear of social situations because
diagnostic/epidemiological, genetic, neurobiological, developmental, of beliefs that they could be embarrassed, which could result in a panic
cognitive, behavioral, and treatment response evidence highlighting the attack) are very similar to variations seen within some anxiety disorder
similarity, or at least non-differentiation, across multiple levels of diagnoses. Moreover, DSM-5 now recognizes that panic attacks are not
analysis (e.g., Barlow, Allen, & Choate, 2004; Norton, 2006). Although unique to panic disorder, and allows for the specifier of “with panic
the evidence presented at any single level of analysis may be equivocal attacks” to be added to any anxiety diagnosis, highlighting further the
and could support multiple models, it is argued here that in sum the overlap of presenting features. Within the broad diagnosis of specific
body of evidence favors a transdiagnostic conceptualization of anxiety phobia, fear of heights and fear of vomiting may vary considerably in
disorders in contrast to the expanding distinct-but-related framework of the specific eliciting stimuli (heights vs. nausea), the origin of the
diagnoses presented in current and past editions of the Diagnostic and eliciting stimuli (environmental vs. interoceptive), the typical cata-
Statistical Manual of Mental Disorders (DSM1; see Fig. 1). strophic misinterpretations (falling and death vs. loss of control), and
the compensatory safety strategies (avoidance of heights vs. food
2. Overview of transdiagnostic model of anxiety disorder restriction), but are seen as subtypes of a single diagnosis. Similar
diversity exists within other anxiety-related diagnoses such as OCD,
Fundamentally, existing transdiagnostic models (Barlow et al., where intrusive blasphemous images with compensatory prayer com-
2004; Norton, 2006) hold that different anxiety disorders and related prise the same diagnosis as contamination fears with repeated hand
diagnoses (e.g., OCD, PTSD) predominantly reflect morphological washing. This within-diagnosis variability, while clearly present and
variations rather than ontological differences. Transdiagnostic models acknowledged, is given less focus in service of focusing on the overall
of anxiety (e.g., Norton, 2006) view variations between diagnoses as function and degree of fit with the ‘disorder’. A transdiagnostic anxiety
existing primarily in differences across the eliciting stimuli (e.g., public approach operates on the same bases of prioritizing similarity and
speaking, contaminants), and in some cases the coping responses function over observable differences in form.
serving to control the threat from those stimuli (e.g., avoidance, overt It should be noted, however, that although transdiagnostic models
or covert rituals), rather than differences in the cognitive, behavioral, consider the similarities among anxiety disorder diagnoses to outweigh
etiological, or neurobiological aspects central to the emotional disorder. their differences, this is not necessarily synonymous with “identical”.
That is, differences may be present in observable content but with Rather, the transdiagnostic model recognizes that differences at one or
similar underlying function. For example, fears in panic disorder are more levels of analysis may exist across different fears – whether or not
widely viewed as being triggered by internal bodily sensation stimuli those fears are recognized as distinct diagnoses in DSM – but that there
(e.g., elevated heart rate) that are catastrophically misinterpreted as is greater utility in focusing on the commonalities (see Fig. 2). For
evidence of potential biological catastrophe (e.g., heart attack), result- example, features such as dissociative symptoms are seldom observed in
ing in sympathetic activation, the emotional experience of fear, and most anxiety-related diagnoses (Warshaw et al., 1993) but are present
motivational impulses to mitigate the perceived threat through cogni- in approximately 14.4% of individuals with PTSD (Stein et al., 2013)
tive or behavioral strategies (e.g., avoidance of arousal producing and may suggest that PTSD has some unique non-transdiagnostic
activities and/or seeking of medical assistance; e.g., D. M. Clark, characteristics; however, this does not discount the possibility that
1986). Similarly, fears in social phobia are seen as being triggered by PTSD may otherwise share the same core transdiagnostic elements as
social stimuli (e.g., an audience) that are misinterpreted as evidence of other anxiety-related disorders. Indeed, recent fMRI work concludes
an interpersonal catastrophe (e.g., social rejection) resulting in sympa- that those with the dissociative subtype of PTSD (as per DSM-5
thetic activation, the emotional experience of fear, and motivational definition; APA, 2013) have neurological underpinnings and biological
impulses to mitigate the perceived threat through cognitive or beha- markers unique from PTSD without the dissociative subtype (Nicholson
vioral strategies (e.g., avoidance of evaluative activities, compensatory et al., 2015). Taken together, it is possible that there is an underlying
strategies such as avoiding eye-contact; e.g., Rapee & Heimberg, 1997). transdiagnostic scaffolding in anxiety and related disorders, which may
Although panic disorder and social phobia, for example, have then have additional features specific to certain complications, comor-
several differing components including the eliciting stimuli, the specific bidities, subtypes or even idiosyncratic differences (i.e., individual
catastrophic cognitive misinterpretations, and the motivation-behavior- difference factors).
al approaches designed to mitigate threat and reduce the emotional
experience, the process of Eliciting Stimulus → Catastrophic 3. Diagnostic reliability, comorbidity, and diagnostic stability
Misinterpretation → Sympathetic Activation/Emotional Experience → evidence
Escape/Avoidance, holds consistent across each of the anxiety diag-
noses. As the specific cognitive misinterpretations and safety behaviors 3.1. Reliability of diagnoses
1
Concerns over the reliability of psychiatric diagnoses in general is
We refer to the various versions of DSM throughout. Yet, we note here that the issues
acknowledged to be a principal factor in the development of DSM-III
surrounding the nosology of anxiety in the ICD mirror those in the DSM. As noted in DSM-
5 (APA, 2013, pp. xli, 11–12), diagnoses were designed to be “harmonized” across DSM-5 (APA, 1980) and its successive editions, as it has been correctly noted
and ICD versions 9 and 10. In both diagnostic symptoms, the phenomenon of anxiety is that “without reliability, there can be no validity of a diagnosis” (Regier
parsed into various disorders. The DSM-5 separates anxiety disorders from obsessive- et al., 2013; p. 60). Prior to DSM-III, diagnostic reliability was
compulsive and related disorders and trauma- and stressor-related disorders whereas ICD
unsatisfactory, with one large study of experienced psychiatrists
separates “phobic” anxiety disorders from “other” anxiety disorders as well as OCD, and
reactions to stress. Thus, although they may have slightly different subcategorizations,
reporting only 54% agreement across 153 patients (Beck, Ward,
both DSM and ICD focus on discriminating between forms of anxiety rather than the Mendelson, Mock, & Erbaugh, 1962). In response, improving diagnostic
transdiagnostic approach detailed in this review. reliability was a cornerstone in the development of DSM-III, placing an
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P.J. Norton, D.J. Paulus Clinical Psychology Review 56 (2017) 122–137
Fig. 1. Evolution of DSM Anxiety and Related Disorders. Notes: Diagnoses include those previously classified as Psychoneurotic Disorders (DSM-I; APA, 1952), Neuroses (DSM-II; APA,
1968), Anxiety Disorders (DSM-III, -IIIR, -IV, -IV-TR, and -5; APA, 1980, 1987, 1994, 2000, 2013), Disorders Usually First Diagnosed in Infancy, Childhood, or Adolescence (DSM-),
Obsessive-Compulsive and Related Disorders (DSM-5) or Trauma- and Stressor-Related Disorders (DSM-5) if they have been classified as an Anxiety Disorder in at least one edition of
DSM. PD = panic disorder, Ag = agoraphobia, GAD = generalized anxiety disorder, OAD = overanxious disorder, SocPh = social phobia, SAD = social anxiety disorder, OC =
obsessive-compulsive, OCD = obsessive-compulsive disorder, PTSD = posttraumatic stress disorder, NOS = not otherwise specified.
emphasis on the use of Cohen's kappa (κ) statistic. Kappa represents an rather than any descriptor used by the author(s) of each reviewed
improvement on percent agreement approaches by accounting for study.
chance agreement, although specific definitions of acceptable agree- Although the subsequent DSM-III field trials reported adequate to
ment have varied considerably across studies (Kirk & Kutchins, 1992). excellent diagnostic reliability among clinicians performing unstruc-
For the purpose our review of the diagnostic reliability literature, the tured diagnostic assessments, the data were presented at a broad
definitions of none (κ = 0.00–0.20), minimal (κ = 0.21–0.39), weak diagnostic grouping level (e.g., anxiety disorders, schizophrenic dis-
(κ = 0.40–0.59), moderate (κ = 0.60–0.79), strong (κ = 0.80–0.90), orders) rather than at the specific diagnosis level (APA, 1980). Thus,
and excellent (κ = 0.90–1.00) provided by McHugh (2012) will be used while reliability coefficients for anxiety disorders were moderate at the
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broad level (κ = 0.72), such a clustering would consider diagnoses of the experience level of the interviewers (Tolin et al., 2016).
simple phobia (assessor #1) and OCD (assessor #2) to constitute Together, the diagnostic data indicate that inter-assessor reliability
diagnostic agreement (see Kirk & Kutchins, 1992). To our knowledge, of anxiety disorder diagnoses is historically limited and highly variable
no diagnostic reliability field trials were conducted during the devel- in general, but improves to at least moderate levels with diagnosticians
opment of DSM-III-R (APA, 1987) or DSM-IV (APA, 1994). More using semi-structured interviews with which they have received
recently, reported data from the DSM-5 Field Trials (Regier et al., extensive reliability training. This may suggest that, despite attempts
2013) had sufficient data to calculate inter-rater reliability coefficients to improve diagnostic reliability using the criteria-based approach
for only three anxiety and anxiety-related disorder diagnoses: PTSD adopted in DSM-III and later editions, accurate and reliable identifica-
showed moderate reliability (κ = 0.67), although generalized anxiety tion of specific diagnoses remains difficult without the use of diagnostic
disorder (GAD; κ = 0.20) and mixed anxiety-depressive disorder interviewing tools developed to directly align with the specific criteria
(κ < − 0.01) showed no reliability. for each DSM diagnosis. Thus, although diagnoses derived from
Specific to anxiety disorders, Di Nardo, Moras, Barlow, Rapee, and structured diagnostic interviews appear moderately replicable across
Brown (1993) assessed diagnostic reliability of specific DSM-III-R different assessors, the DSM Field Trials show that anxiety and related
anxiety disorder diagnoses of 276 treatment-seeking patients made by diagnoses may not be readily distinguishable, even by clinicians who
psychologists, psychiatrists, or advanced doctoral students using a semi- “identified their main professional activity as evaluation or care of
structured diagnostic interview. Results suggested moderate to strong patients” (APA, 1980; p. 467), calling into question the distinctiveness
(κ = 0.79–0.82) reliability for principal diagnoses of simple phobia, of the different anxiety disorder diagnoses. Furthermore, these findings
social phobia and OCD, moderate reliability (κ = 0.60–0.74) for panic signify major challenges with regard to dissemination, as they suggest
disorder with agoraphobia, and weak reliability (κ = 0.40–0.59) for that practitioners may need to utilize lengthy semi-structured inter-
GAD, panic disorder without agoraphobia and PTSD. Reliability views to establish reasonably reliable diagnoses, which may be
coefficients were similar, albeit slightly suppressed, when considering unrealistic in practice settings.
either principal or comorbid diagnoses. In a follow-up study using
similar methods but DSM-IV criteria (Brown, Di Nardo, 3.2. Anxiety disorder NOS
Lehman, & Campbell, 2001), diagnostic reliability showed some im-
provements. Strong inter-rater reliability was observed for principal In the development of DSM-III and subsequent editions, specific
diagnoses of specific phobia (κ = 0.86) and OCD (κ = 0.85), and diagnoses were conceived based on “the best judgment of the Task
moderate reliability for panic disorder (κ = 0.72), panic disorder with Force and its Advisory Committees that such subdivision will be useful”
agoraphobia (κ = 0.77), social phobia (κ = 0.77), GAD (κ = 0.67), and (APA, 1980; p. 7). It was also recognized that some individuals may
major depressive disorder (κ = 0.67), but was minimal for dysthymic have unique or unusual presentations that, although still meeting
disorder (κ = 0.22). No principal diagnoses of PTSD were assigned in definitional criteria for a mental disorder (e.g., interference and
this sample. distress), do not map specifically to the codified diagnoses. Within
Using DSM-5 anxiety disorder, mood disorder, and obsessive- anxiety disorders, these would be classified as atypical anxiety disorder
compulsive and related disorders criteria, Tolin et al. (2016) examined in DSM-III, anxiety disorder not otherwise specified (ADNOS) in DSM-
inter-rater reliability of diagnoses made using a structured interview. III-R, and DSM-IV, or unspecified/other-specified anxiety disorder in
Data from 362 patients suggested moderate inter-rater reliability for DSM-5. The DSM-5 designates other-specified anxiety disorder for cases
diagnoses of any anxiety disorder (κ = 0.73), and specific diagnoses of that may not meet full criteria for an anxiety disorder (e.g., GAD
social anxiety disorder (κ = 0.70), panic disorder (κ = 0.88), agora- occurring more days than not) or culturally-specific forms of distress
phobia (κ = 0.87), and GAD (κ = 0.71) were in the moderate to strong (e.g., ataque de nervious) that are, nevertheless, deemed clinically
ranges. Diagnoses of specific phobia did not yield a sufficiently stable significant. Additionally, unspecified anxiety disorder is available for
estimate. Depressive disorders showed moderate interrater reliability clinicians to not identify why the presentation does not meet criteria for
overall (κ = 0.68), with both major depressive disorder (κ = 0.62) and a designated anxiety disorder or when insufficient information is
persistent depressive disorder (κ = 0.65) showing moderate reliability present. For the ease of communication, the term ADNOS will be used
(premenstrual dysphoric disorder did not yield a stable estimate). here to represent all of these residual diagnostic categories.
Finally, obsessive-compulsive and related disorders showed excellent Prevalence estimates for ADNOS are difficult to obtain given the
interrater reliability overall (κ = 0.90), and interrater reliability coeffi- diversity of presentations that would be classified as such, and potential
cients for specific diagnoses ranged from excellent (trichotillomania variability in the degree of rigidity with which diagnosticians adhere to
κ = 1.00; body dysmorphic disorder κ = 0.95), to strong (hoarding specific DSM criteria such as the number and type of experienced
disorder κ = 0.86), to adequate (excoriation disorder κ = 0.78; OCD symptoms. Health care setting may also impact rates of ADNOS with
κ = 0.62). Interrater reliability estimates did not vary as a function of factors such as time or resources affecting the level of diagnostic
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precision employed. For example, it has been noted elsewhere that 3.4. Stability of diagnoses
assessments taking as little as 30 min are not feasible in certain practice
settings (e.g., Kroenke & Spitzer, 2002). Without adequate time to Although comorbidity alone may be evidence supporting the
perform detailed differential diagnosis, use of ADNOS may be more common core pathology conceptualization, it is also possible that high
likely and practical. If supported by a transdiagnostic anxiety model, rates of comorbidity may be a function of a common etiological risk
shorter assessments to determine presence of anxiety disorder may be factor. For example, although hypertension and knee problems may co-
used, allowing for standardized implementation across settings and occur frequently due to a common cause (obesity), it would be far-
potentially better reliability at the broad ‘anxiety disorder’ class level. fetched to consider such orthopedic and cardiovascular diseases to be
As an illustrative example of the use of ADNOS, McLaughlin, Geissler, similar or identical illnesses. Indeed, an obesity-related orthopedic
and Wan (2003), conducted a review of diagnostic data from a injury would not be expected to shift over time to become a cardio-
managed care plan claims database. Data from 6647 patients recorded vascular illness, although such heterotypic shifts are common across
between 1998 and 2001 indicated that 67% received a diagnosis of anxiety diagnoses (Hovenkamp-Hermelink et al., 2016).
ADNOS, far exceeding that of the next most prevalent diagnoses (14% Evidence is emerging that suggests limited diagnostic continuity
panic disorder, 13% GAD). The extent to which diagnoses formally (whether an individual continues to meet criteria for a diagnosis over
adhered to diagnostic criteria is uncertain, as the practitioners assigning time without intervention) and diagnostic stability (whether an in-
diagnoses may have opted for a simple code for administrative and dividual meets criteria for the same diagnosis over time without
reimbursement purposes rather than fidelity to diagnostic criteria. intervention). One recent analysis (Hovenkamp-Hermelink et al.,
Taken together, the promotion of a single anxiety disorder diagnosis 2016) of multi-year data from the Netherlands Study of Depression
could facilitate care and potentially help increase reliability and and Anxiety examined the stability of DSM-IV anxiety disorder diag-
consistency in these settings. noses over a 6-year period. Data from 447 adults with a “pure”
Relatedly, mixed anxiety-depressive disorder, a criteria set listed in diagnosis (i.e., no comorbidity) of panic disorder, agoraphobia, social
both DSM-IV and DSM-5 as “for further study,” is described in both anxiety disorder, and GAD at the initial time point were assessed for
editions as appropriately being diagnosed as ADNOS. Prevalence chronicity, remission, relapse, and stability/transition across the 2-, 4-,
estimates of mixed anxiety-depressive disorder have varied consider- and 6-year follow-up periods. Results showed moderately high rates of
ably, ranging from a 12-month prevalence of 0.8% in the Netherlands transition among all diagnoses, suggesting that individuals with various
(Spijker, Batelaan, de Graaf, & Cuijpers, 2008) and a one-month pre- anxiety disorder diagnoses at any time point may show transition to
valence of 8.8% in a British national survey (Das-Munshi et al., 2008), alternate anxiety disorder diagnoses over periods as short as two years.
with a likely prevalence rate of from 0.8% to 2.5% (Boulenger, Similar instability of childhood and adolescent anxiety disorders has
Fournier, Rosales, & Lavallee, 1997). Although comprising only one been reported by Pine, Cohen, Gurley, Brook, and Ma (1998). However,
aspect of ADNOS, mixed anxiety-depressive disorder may alone have a it must also be considered that the high rates of diagnostic transition
prevalence similar to formal anxiety-related diagnoses such as OCD and may also be a function, at least in part, of the poor diagnostic reliability
GAD (Kessler et al., 2005a; Kessler, Chiu, Demler, & Walters, 2005b). reported earlier.
Even though more precise ADNOS prevalence estimates are not
available, it is acknowledged that “it is relatively common to encounter 3.5. Summary
patients who exhibit impairment from anxiety but who do not meet
criteria for any of the disorders… these patients are appropriately Overall, the data indicate that (1) DSM-based anxiety disorder
classified as suffering from Anxiety Disorder NOS” (McClure- diagnoses tend to show only moderate inter-rater diagnostic reliability
Tone & Pine, 2009; p. 1855). even with highly trained diagnosticians using semi-structured diagnos-
tic interviews, (2) a majority of individuals with anxiety disorders tend
to meet diagnostic criteria for multiple comorbid anxiety diagnoses or
3.3. Comorbidity between diagnoses anxiety-depression comorbidity rather than a single diagnosis, (3)
although estimates may not be reliable, a considerable number of
Rates of comorbidity among anxiety disorder diagnoses are reported individuals with anxiety disorders are diagnosed as ADNOS, (4) the
to be approximately 55%, and comorbidity between anxiety and difference between primary and comorbid anxiety diagnoses may be
depressive disorders as high as 76% (Brown, Campbell, Lehman, overstated and (5) diagnoses tend to be temporally unstable, as
Grisham, & Mancill, 2001). Together, according to a recent analysis of remission and relapse rates are high, as are rates of transitions from
national survey data (Goldstein-Piekarski, Williams, & Humphreys, one anxiety diagnosis to another. Future work is needed to evaluate the
2016), 60% of individuals with one anxiety disorder had at least one reliability and utility of transdiagnostic diagnostic criteria such as
other anxiety or depressive diagnosis. Consistent results across studies Anxiety Disorder (Norton, 2006) or Negative Affect Syndrome (Barlow
have helped to confirm that anxiety disorders are more likely to be et al., 2004) in contrast to DSM-defined syndromes, but assumptions of
accompanied by another anxiety or depressive disorder than they are to improved reliability, and the triviality of both NOS and anxiety-anxiety
occur in isolation (Brown, Campbell, Lehman, Grisham & Mancill, 2001; comorbidity seem apparent.
Brown, Di Nardo, Lehman, & Campbell, 2001; Kessler et al., 2005a,
2005b). Furthermore, work examining comorbid diagnoses has found 4. Genetic and heritability evidence
little evidence for the differentiation of primary/secondary anxiety
diagnoses. For example, when comparing individuals with multiple Although it has long been clear that anxiety disorders have a
anxiety diagnoses (e.g., primary social anxiety with secondary panic familial component (Skre, Onstad, Torgersen, Lygren, & Kringlen,
disorder) to those with the same diagnoses in ‘flipped’ order (e.g., 1993), understandings of the exact nature of the familial transmission
primary panic disorder with secondary social anxiety) revealed a have been evolving.
tremendous amount of overlap (Norton & Chase, 2015), calling further
into question the nature of ‘primary’ vs. comorbid anxiety diagnoses. 4.1. Familial concordance
Such findings further strengthen the argument of either a common
pathology underlying the anxiety disorders or at least a common Early studies suggested that specific anxiety disorders may have a
etiology. diagnosis-specific familial concordance (e.g., children or probands of
individuals with diagnosis X are at increased likelihood of also having
diagnosis X). For example, Crowe (1985) reported an incidence of panic
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disorder among first-degree relatives of individuals with panic disorder Otowa, & Hettema, 2015). Individual studies have identified a diverse
as high as 20%. Similar disorder-specific risk has been noted among range of genomic regions of interest across nearly half of the chromo-
first-degree relatives of individuals diagnosed with OCD (Pauls, somes when examining samples with specific anxiety diagnoses (parti-
Alsobrook, Goodman, Rasmussen, & Leckman, 1995), generalized anxi- cularly panic disorder), although few cross-study replications have been
ety disorder (Weissman, 1990) and specific phobias (Fyer et al., 1990). observed suggesting consistent genetic targets aligned with specific
One familial study of OCD, however, reported no specific proband risk diagnoses (Shimada-Sugimoto et al., 2015). Indeed, Webb et al. (2012)
for OCD, but an increased risk for any anxiety disorder, particularly conducted a meta-analysis of eight independent samples, and identified
GAD (Black, Noyes, Goldstein, & Blum, 1992). significant linkage evidence for anxiety disorders on several chromo-
somes but, interestingly, when examining neuroticism rather than
4.2. Genetic epidemiological studies anxiety disorders, significant linkages were observed on a different
set of chromosomes. The chromosomes showing significant linkage
Later genetic epidemiological studies, with their ability to disen- evidence differed; however, moderate but significant correlation be-
tangle familial, shared environmental, and genetic variability, have tween anxiety disorder and neuroticism linkages were noted, providing
generally found little or no evidence for a diagnosis-specific genetic support for the claim that “evidence from twin studies that NEU
influence; rather, the evidence suggests genetic transmission of any [neuroticism] and ANX [anxiety disorders] share genetic factors” (p.
anxiety or depressive disorder (Andrews, 1991; Andrews, Stewart, 1082; clarification ours).
Allen, & Henderson, 1990; Andrews, Stewart, Morris-Yates, Candidate gene-association studies and genome-wide association
Holt, & Henderson, 1990; Kendler, Heath, Martin, & Eaves, 1987; studies (GWAS) have similarly investigated and identified a plethora of
Kendler, Neale, Kessler, Heath, & Eaves, 1992; Torgerson, 1983), with potentially associated genes although, again, few cross-study replica-
developmental and learning factors being largely responsible for tions have been noted (Shimada-Sugimoto et al., 2015). McGrath,
determining the manifestation of specific disorders (Kendler et al., Weill, Robinson, Macrae, and Smoller (2012) conducted a review of
1987, 1992). Further, much of the non-specific genetic influence 65 at-least-minimally powered candidate gene studies and found no
appears to be common with the personality trait of neuroticism evidence of consistently observed candidate genes for either specific
(Andrews, Stewart, Morris-Yates, Holt, & Henderson, 1990; Andrews, anxiety diagnoses or broad anxiety phenotypes. Further, one GWAS
Stewart, Allen, & Henderson 1990; Jardin, Martin, & Henderson, 1984). (Otowa et al., 2014) has examined anxiety as a transdiagnostic
In contrast, Hettema, Prescott, Myers, Neale, and Kendler (2005) construct rather than diagnostic phenotypes. Although Otowa and
conducted an analysis of 5000 twin pairs from the Virginia Adult Twin colleagues failed to find any significant single nucleotide polymorph-
Study of Psychiatric and Substance Use Disorders, and found strong isms, potential susceptibility loci were identified, suggesting that a
evidence for a two-factor genetic influence on anxiety disorders. broad transdiagnostic phenotypic model of anxiety disorders may be
Generalized anxiety disorder, panic disorder, and agoraphobia were advantageous in detecting potential genetic loci rather than distinguish-
linked with the first factor, while situational phobias and animal ing specific diagnoses. However, a subsequent meta-analysis (Otowa
phobias loaded exclusively with the second factor. Social anxiety et al., 2016) of nine GWAS samples containing anxiety disorder
disorder appeared to associate with both factors, although more phenotypes for GAD, panic disorder, social anxiety disorder, agorapho-
strongly with the first. This partially replicates a previous analysis of bia, and specific phobias identified a differing set of susceptibility loci
the same data (Kendler, Prescott, Myers, & Neale, 2003), which found from those Otowa et al. (2014) identified in their transdiagnostic
support for a two-factor genetic model wherein major depressive sample. Given the likelihood that complex psychological phenomena
disorder and generalized anxiety disorder were associated with the like anxiety are highly polygenic with potentially small contributions
first genetic factor, and situational and animal phobias with the second. from any specific genes, combined with both the fact that GWAS and
Interestingly, in this previous analysis, panic disorder failed to sig- linkage studies often underpowered (Savage, Sawyers, Roberson-
nificantly load on either genetic factor although path loadings sug- Nay, & Hettema, 2016) and meta-analyses or combined sample studies
gested greater association with the first factor, possibly indicating a may be obfuscated by between-sample heterogeneity (Otowa et al.,
closer genetic relationship of panic disorder with GAD, and agorapho- 2016), the lack of any clearly identified diagnosis-specific or transdiag-
bia than with specific phobias. nostic candidate genes is not surprising. Highly-powered GWAS studies
Overall, the recent twin studies strongly suggest a common genetic will be needed to clarify the potential transdiagnostic and diagnosis-
vulnerability underlying anxiety and mood disorders, with environ- specific genetic contributions.
mental factors interacting with the genetic vulnerability to generate the
specific manifestations of anxiety or depressed mood. Further, there is 4.4. Summary
no evidence, to date, of diagnosis-specific genetic factors. The extent to
which a single transdiagnostic genetic influence, a two-factor model, or Although early familial studies pointed to an increased diagnosis-
some hierarchical combination of global and semi-specific heritability specific concordance of anxiety diagnoses within families, multivariate
best accounts for the genetic influence is unresolved; nevertheless, it is genetic concordance research has failed to identify significant herit-
clear from the genetic epidemiological literature that heritability of ability of specific anxiety diagnoses. Rather, transmission of anxiety,
anxiety disorders transcends current diagnostic categories. with a heritability of roughly 30–40% (Hettema, Neale, & Kendler,
2001), appears to be transdiagnostic across anxiety and depressive
4.3. Linkage and candidate gene-association studies disorders although some evidence supports a two-factor model. Further,
several studies have provided evidence that the heritable component is
Although a genetic aspect of anxiety disorders is indisputable, and more closely tied to neuroticism rather than any specific pathology or
the preponderance of the evidence suggests either a common, or a diagnosis. These conclusions are generally in line with linkage evidence
possible two-factor, heritable component across disorders, the identifi- that suggests a significant correlation between linkages associated with
cation of either diagnosis-specific or transdiagnostic candidate genes for both anxiety disorders and neuroticism. Despite the clear heritable
either anxiety or neuroticism-like personality traits has been elusive. component of anxiety, and the evidence suggesting that this heritable
For example, studies using genetic linkage analysis – a method to relate component is transdiagnostic in nature, candidate gene-association and
gene functionality to their chromosomal location – have been con- GWAS have thus far been unable to identify consistent specific genetic
ducted examining either anxiety disorders generally, or specific anxiety candidates that are either common or potentially specific to one or
diagnoses independently, but few chromosomal loci have been con- more anxiety diagnoses. Still, McGrath et al. (2012) suggest that latent
sistently identified as potential genetic targets (Shimada-Sugimoto, modeling of anxiety disorder more broadly, as opposed to specific
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anxiety phenotypes or diagnoses, may help clarify the heterogeneity. the patient group showed increased activation in the amygdala and
The available evidence from heritability and linkage studies more decreased activation in the ventral medial prefrontal cortex compared
closely align with a transdiagnostic association (e.g., via neuroticism) to healthy controls, and no differential patterns of activation/hypoacti-
across anxiety disorders and major depression (Hettema, 2008) than a vation were observed across the three diagnostic groups. Feldker et al.
diagnosis-specific genetic model, such that “evidence from a range of (2016) employed a similar approach as Fonzo et al. (2015) and Killgore
studies suggests that genetic influences transcend the boundaries of the et al. (2014), but employed threat-related visual stimuli that were
DSM categories” (Smoller, Gardner-Schuster, & Covino, 2008, p. 121), tailored to participants with either panic disorder, social anxiety
although some evidence highlights the possibility of two heritability disorder, dental phobia, or PTSD, in contrast to the emotional face
factors that may differentiate phobias from other anxiety diagnoses. stimuli employed by Fonzo et al. (2015). Compared with healthy
Even so, although the data point to common (or potentially two-factor) control matches to participants in each diagnostic group, all partici-
genetic influences, much of the variability cannot be accounted for by pants with an anxiety disorder showed increased bilateral amygdala
genetic factors and is thus attributed to environmental or learning activation which did not differ across diagnostic groups. Further, whole
factors. brain analysis showed elevated activation, compared to controls, which
did not differ across diagnostic groups in the frontal regions (middle,
5. Neurobiological evidence medial, and superior), the insula and thalamus, the brainstem, and the
occipital regions. Although these studies employed relative small
The neurobiological substrates of anxiety disorders are understand- samples (ns from 11 to 20 per diagnosis) and thus many not have been
ably complex; myriad neurological structures and pathways have been sufficiently powered to detect subtle cross-diagnosis differences in
implicated in anxiety disorders, whether globally or specific to single activation patterns, their generally consistent findings align with the
diagnoses. Given the complexity of defensive systems, this is not notion of a common core transdiagnostic pathology that is potentially
surprising. Anxiety disorders have triggering stimuli that can exist (Fonzo et al., 2015) but not necessarily (Feldker et al., 2016; Killgore
external to the individual (e.g., social and specific phobias), internal- et al., 2014), supplemented by diagnosis-specific functional abnormal-
somatic (e.g., panic disorder), or internal-cognitive (e.g., GAD, PTSD), ities.
and therefore different circuitry may be engaged in anxious scanning Interestingly, evidence points to involvement of the cortico-striatal-
during periods of hypervigilance and threat scanning/detection. thalamic system for OCD (Britton & Rauch, 2009), although involve-
Similarly, motivational response systems arising from different eliciting ment of the amygdala is clear as well (Breiter et al., 1996). Using a
stimuli, such as physical escape (e.g., social or specific phobia), focused meta-analytic approach, Etkins and Wager (2007) examined fMRI and
behavior patterns (e.g., washing/grooming behaviors in some OCD positron emission tomography studies of PTSD, social anxiety disorder,
subtypes), worry (e.g., GAD), or cognitive avoidance (e.g., PTSD) may and specific phobia. Results suggested that amygdalar activation was
also involve different neurological systems. Further, as noted by Fonzo elevated in all three diagnostic groups, albeit more so in social anxiety
et al. (2015), much of the neuroanatomical and neurofunctional disorder and specific phobia compared to PTSD, but PTSD-specific
research on anxiety disorders has compared individuals with a single hypoactivation was observed in dorsal and rostral anterior cingulate
diagnosis to non-clinical or non-anxious controls, and different studies cortices, and in the ventromedial prefrontal cortex (Etkins & Wager,
often use widely different experimental paradigms, thus limiting the 2007). Such differences between OCD, PTSD, and the DSM-5 anxiety
extent to which cross-diagnosis or global anxiety conclusions can be disorders may be suggestive of the removal of OCD (Stein et al., 2010)
made. Even so, although a multitude of structures and pathways have and PTSD (Friedman et al., 2011) from the general diagnostic classi-
been implicated in one or more diagnoses, several regions have shown fication of “anxiety disorders” as was done in DSM-5, or at least a
consistent relationships across disorders. The most consistently robust peripheralization of these diagnoses within transdiagnostic models of
findings implicate the involvement of amygdalo-cortical circuitry anxiety disorder (see Fig. 2). Clearly, further cross-diagnosis imaging
(Britton & Rauch, 2009), including the central nucleus of the amygdala. research akin to that of Fonzo et al. (2015), Killgore et al. (2014);
The dorsolateral and medial prefrontal cortices, anterior cingulate Feldker et al. (2016), and Etkins and Wager (2007) are necessary to
cortex, hippocampus, and the insula (Mathew, Price, & Charney, further elucidate the common and distinct neurofunctional character-
2008) are also commonly implicated across diagnoses, although istics of OCD and PSTD in comparison to anxiety disorders to help
diagnostic differences may exist in the extent to which these regions determine the distinctness or overlap among these diagnoses.
are involved (Britton & Rauch, 2009).
Recently, several studies have directly compared common and
distinct functional differences between individuals with a range of 5.1. Summary
different anxiety disorder diagnoses using a consistent experimental
methodology. Using a sample of participants with GAD, panic disorder, Given that much of the research on the neurological substrates of
social anxiety disorder, and healthy controls, Fonzo et al. (2015) anxiety, to date, has examined specific diagnoses in comparison to
employed functional MRI during a facial emotion matching task. controls, and that different studies have employed a diverse range of
Results showed elevated (compared to healthy controls) amygdalar experimental methodologies, definitive conclusions regarding whether
activation to fearful faces among anxiety disordered participants, but data support a transdiagnostic or DSM-like structure of anxiety
no differences in this activation across the three specific diagnostic disorders are tenuous at best. The clear transdiagnostic role of
groups. However, in planned and exploratory analyses of other specific amygdalo-cortical circuitry is counterbalanced by some evidence of
regions of interest, some cross-diagnosis differences emerged. In diagnosis-specific difference regarding involvement of certain regions
particular, activity in the posterior insula was observed among parti- and circuitry, such as the cortico-striatal circuity in OCD
cipants with panic disorder but not those with GAD or social anxiety (Britton & Rauch, 2009) or anterior cingulate hypoactivation in PTSD
disorder, while left posterior temporal regions showed elevated activa- (Etkins & Wager, 2007). The extent to which the potential diagnosis-
tion among participants with panic disorder and social anxiety disorder specific neurological involvement relates to core pathological differ-
compared to participants with GAD and healthy controls. Interestingly, ences requires further study. However, as noted by Britton and Rauch
no hypothesized regions appeared to show specific activation for GAD (2009), “given the similarities in some symptoms across anxiety
(Fonzo et al., 2015). Killgore et al. (2014), using a sample of healthy disorders, a common underlying neural correlate is expected to
controls and patients with either PTSD, panic disorder, or animal subserve the shared symptom profile of anxiety” (p. 97).
phobia, examined and compared cortico-limbic responses during a
masked affective face task. When presented with a face expressing fear,
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6. Developmental evidence adults, greater heterotypic continuity (meeting criteria for any anxiety
or depressive disorder) than homotypic continuity (meeting criteria for
Developmental models of anxiety can also be seen as generally the same previous diagnosis) was observed (Wittchen, Lieb,
supporting a transdiagnostic model of anxiety disorders. Heterogeneity Pfister, & Schuster, 2000), replicating previous longitudinal findings
in typical age of onset of different anxiety disorders is apparent (e.g., Pine et al., 1998). Similar temporal instability of anxiety disorder
however, and may be initially suggestive of a diagnosis-specific model diagnoses has been reported among adult participants in the Nether-
of anxiety development. Kessler et al. (2005a, 2005b), for example, lands Study of Depression and Anxiety (Hovenkamp-Hermelink et al.,
reported data from the National Comorbidity Survey Replication 2016).
indicating that substantial variability exists in both diagnosis-specific
age of onset and age-range of onset. Specific phobias and separation 6.1. Summary
anxiety disorder were associated with younger and narrower ranges of
onset age, social anxiety disorder was associated with an early Together, the majority of the literature examining developmental
adolescent age of onset but a similarly small range, while panic risks and pathways to developing an anxiety disorder fail to suggest
disorder, agoraphobia, GAD, PTSD, and OCD showed much later factors that differentially mediate the development of one anxiety
median, and greater variability in, age of onset. Although differences disorder over another. Further, throughout development, high hetero-
in age of onset may be reflective of different pathologies, they may typic stability is observed indicating frequent fluctuation in specific
instead be a function of differences in the evolving importance of diagnoses within individuals across time. The extent to which typical
differing stimuli across developmental periods. For example, simple age-of-onset differences across diagnoses are reflective of actual
threatening stimuli (e.g., animals) or separation from a primary ontological differences or simply cognitive developmental differences
caregiver would be of primary importance to, and cognitively accessible in the ability to perceive various stimuli as threatening is unclear, but
for younger children, while other concerns (e.g., social evaluation) may could signal a plausible avenue for future nosological investigation. Yet,
require cognitive capabilities (e.g., self-consciousness) that formalize at some equivocal data based on retrospective recall may suggest that
later ages (see Hudson & Rapee, 2000). As such, heterogeneity in age of parental overprotectiveness may be more pronounced among indivi-
onset may simply reflect developmental variations in the ability to duals later diagnosed with social anxiety disorder. Although studies
construct threat-related schemas around differing classes of potentially using more rigorous methodologies are needed to determine if this
feared stimuli within a homogeneous anxiety disorder syndrome. effect is reliable and, if so, the extent to which parental overprotec-
Although evidence exists that atypical (i.e., earlier or later) onset of tiveness may be a causal risk variable or a consequence of a socially
specific diagnoses (e.g., OCD; Taylor, 2011) may be associated with anxious individual's emerging social reticence and avoidance.
differential syndromal, comorbidity, or familial concordance profiles,
no evidence exists suggesting that difference in the observed median 7. Behavioral evidence
age of onset across anxiety diagnoses is associated with diagnostic
differences in etiology or phenomenology. Behavioral/learning theory models of fear acquisition, mainte-
Beyond age of onset, the most promising developmental factors nance, and treatment have historically held a transdiagnostic frame-
underlying anxiety disorders do not appear to hold diagnosis-specific work in that any unconditioned stimulus (UCS) paired with a fear-
associations. Temperamental characteristics (e.g., behavioral inhibi- evoking conditioned stimulus (CS) could elicit a conditioned fear
tion, neuroticism), parenting styles (e.g., controllingness, overprotec- response (CR), often referred to as the equipotentiality premise (see
tiveness), parental characteristics (e.g., lack of emotional warmth, Seligman & Hager, 1972). Indeed, models of fear acquisition and
childhood adversity, and the parent-child attachment), have all shown maintenance based on classical conditioning (e.g., Watson & Rayner,
associations with later anxiety disorders across multiple studies, but 1920) and the combination of classical and operant conditioning
little to no association with specific childhood or adult anxiety disorder principals (e.g., Mowrer, 1947), have traditionally minimized the
diagnoses (Beesdo, Knappe, & Pine, 2009). As would be expected based inherent qualities of the stimulus and emphasized the associative
on learning theory models (discussed below), parental modeling of relationships with the reinforcing elements. As such, in classical
anxious behaviors appears to promote similar anxiety in children. Fisak conditioning paradigms for example, the UCS is of less importance
and Grills-Taquechel (2007), in reviewing the literature on the impact than the pairing (and the nature of the pairing) of the UCS with the CS.
of parental behaviors on anxious children, noted that these positive Similarly, in operant conditioning models of fear maintenance, the
associations between parental modeling and child anxiety were con- specific nature of the conditioned stimulus (SC) and response (R) are
sistent across a range of anxiety presentations including panic, social secondary to their associative pairing with the reinforcing stimulus (Sr).
fears, worry, and global anxiety, in clinical and non-clinical populations Thus, the pairing of the UCS and CS (e.g., an audience and a humiliating
and using prospective and retrospective designs. As such, though the experience) as well as the pairing of the R and the Sr (e.g., escape/
content of the displays of parental anxiety (e.g., displaying fear in avoidance behavior and proximal reductions in anxiety) are seen as the
response to social situations) may be associated with a diagnosis- critical elements, rather than the specific characteristics of the UCS and
specific increase in child anxiety, no evidence suggests that the the R. In theory at least, any UCS could acquire fear-eliciting properties
mechanisms or processes of parental modeling are differentially if paired with an aversive CS, and any R could serve to maintain
implicated across diagnoses. Some evidence exists, albeit mostly based conditioned fears if the Sr is a reduction in the unpleasant emotional
on retrospective recall, that parental overprotectiveness may have been experience. Perhaps the most striking example of this occurs within
more pronounced among individuals later diagnosed with social phobia OCD wherein compulsive behaviors can become paired with seemingly
than among individuals later diagnosed with panic disorder or agor- unrelated obsessions due to the anxiety-reductive function of the
aphobia (Hudson & Rapee, 2000). Similarly, some evidence suggests compulsions. Over time, the obsessions and compulsions become linked
that parental control may be more associated with later anxiety and form a behavioral contingency making them inseparable for the
whereas parental rejection may be associated with later depression individual. As such, learning theory models have historically held a
(see Rapee, 1997) although, again, data have typically been retro- transdiagnostic perspective in that neither the eliciting UCS nor the
spective and may be subject to multiple biases in recall. anxiety-reducing R are central to fear acquisition beyond their pairing
Finally, when examining the developmental stability of anxiety in with an aversive state (UCS-CS) or maintenance of the fears through
youth, little temporal specificity of specific diagnoses is found across pairing of safety behaviors with negative reinforcement (R-Sr).
multiple longitudinal studies. In the Early Developmental Stages of Indeed, use of safety behaviors is an important behavioral con-
Psychopathology study, a longitudinal study of adolescents and young sideration to the maintenance of anxiety disorders (Salkovskis, 1991;
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Telch, 1991). As illustrated by others (e.g., Barlow et al., 2004; Powers, is more characteristic of states such as panic disorder or specific
Smits, & Telch, 2004; Helbig-Lang & Petermann, 2010), safety beha- phobias, whereas anxiety appears to be more characteristic of GAD.
viors are ubiquitous across various anxiety presentations. Safety Through this lens, fear states appear to be more related to an identified
behaviors can range from more overt (e.g., someone with panic threat/stimulus (e.g., physiological distress, spiders) whereas anxiety
concerns carrying a water bottle or anxiolytics) to covert (e.g., someone states are tied to more anticipated, albeit uncertain, threats/outcomes
with presentation anxiety engaging in mental rehearsal). Ostensibly, (e.g., “something bad will happen”). However, it must be recognized
the most common safety behavior consists of escape/avoidance beha- that diagnosis of panic disorder requires the presence of anticipatory
viors (Owens, Asmundson, Hadjistavroloulos, & Owens, 2004). Again, anxiety (APA, 2013) and GAD is frequently associated with the
these can be observable (e.g., physically avoiding proximity to a experience of panic attacks (Van Ameringen, Simpson,
physical trigger) or cognitive/experiential (e.g., unwillingness to ex- Patetrson, & Mancini, 2013). As such, both anxiety disorders may
perience a triggering thought/memory). Thus, although safety beha- exhibit features of both fear and anxiety states, albeit in differing
viors can take on many unique forms, they are a common feature of proportions, reflecting a common core regardless of which feature is
anxiety disorders and serve the same function regardless of their form – ‘primary’ or ‘secondary’ (e.g., Norton & Chase, 2015). As reviewed by
reducing anxiety in the moment albeit at the risk of attributing the Mineka and Oehlberg (2008), evidence exists linking predictability or
safety of the anxiety trigger to the behavior rather than the innocuous contextualization during classical fear conditioning to the differentia-
nature of the trigger, thus reinforcing the appraisal of threat for the tion between disorders of fear and anxiety. Grillon (2002), for example,
trigger (e.g., Salkovskis, 1991). utilized a conditioned shock paradigm with 133 healthy volunteers over
The premise of equipotentiality has received considerable criticism two sessions wherein roughly half self-reported awareness of the US-CS
(e.g., Garcia, McGowan, & Green, 1972; Ohman, Fredrikson, relationship at the end of the first session. Those not reporting such
Hugdahl, & Rimmo, 1976). Although several parameters underlying awareness (unpredictable CS) were significantly more likely to avoid
this non-equipotentiality have been offered, one of the more commonly the second session. Further, those who reported unawareness of the US-
cited factors is the fear-relevance versus fear-irrelevance of the UCS CS relationship but attended the second session showed elevated startle
(Ohman et al., 1976) and the possibility that the acquisition of fears to responses prior to the initiation of the conditioning paradigm. These
certain stimuli are “prepared,” or phylogenically predisposed results replicated previous studies in which shocks were randomly
(Seligman, 1971). Consistent with work by Garcia and Koelling paired or unpaired with a CS (Grillon & Davis, 1997), suggesting that
(1966), and in recognition of discordance in the distribution of phobias the perception of unpredictability during conditioned fear acquisition
toward stimuli that held an evolutionary threat significance (e.g., leads to more robust anticipatory anxiety relative to the acquisition of a
snakes, spiders) rather than a contemporary threat significance (e.g., predictable conditioned fear response. Interestingly, such a distinction
firearms) or no threat significance (e.g., flowers; see Agras, resembles a dichotomous sub-classification of anxiety and mood
Sylvester, & Oliveau, 1969), Seligman (1971) proposed that certain disorders into “Fear Disorders” and “Distress Disorders” proposed by
stimuli, or perhaps classes of stimuli, may be more readily acquired Watson (2005), although Watson's model further dissected these sub-
and show greater resistance to extinction based on evolutionary classifications into specific anxiety and depressive diagnoses similar to
biological survival. It is therefore possible that different fear-eliciting those presented in DSM-IV. Importantly, such sub-classifications do not
stimuli, or classes of fear eliciting stimuli, could be appropriately conflict with transdiagnostic models of anxiety; rather, they provide
categorized based on differences in their ease or speed of acquisition, additional specification of certain diagnosis-specific or semi-specific
their resistance to extinction, and conceivably, their ease of reacquisi- features, adding detail to the transdiagnostic anxiety foundation.
tion. As noted by McNally (2016), however, many elements of the
preparedness hypothesis have either not been borne out by experi- 7.1. Summary
mental fear-conditioning studies in humans, or have at best equivocal
empirical support. The literature on behavioral and learning models generally supports
In addition to the acquisition of fear, there is evidence for common a transdiagnostic framework of fear acquisition, maintenance, and
generalization (or overgeneralization; Dymond, Dunsmoor, Vervliet, generalization. Inherently, these models were developed and refined
Roche, & Hermans, 2015) of fear across anxiety diagnoses. For example, with a common behavioral mechanism at play. As a whole, the
Rabinak, Mori, Lyons, Milad, and Phan (2017) recently demonstrated literature emphasizes the associations that are generated from the
that patients with PTSD and social phobia similarly generalized fear pairing of stimuli and aversive outcomes with little to no importance
from a CS that predicted an aversive US to a second CS that was not placed on the nature of the stimulus itself. Although oft-challenged by a
predictive of the US (i.e., no observed pairing of CS/US) whereas notion of being more prepared to learn certain associations rather than
control participants did not. These results point to a common fear others, support for ‘preparedness’ over equipotentiality is lacking.
generalization across anxiety disorders. Interestingly, the PTSD group, Further, research supports not only common learning of these associa-
but not the social phobia group, displayed an over-expectation that tions, but similar generalization processes from one stimulus to another
threat would occur. Taken together, this study shows the common (i.e., across disorders. Finally, despite a growing body of work in multiple
transdiagnostic) fear generalization process across different patient domains examining potential differentiations of ‘fear’ and ‘anxiety’
groups, with subtle diagnosis-specific differences among PTSD relative states or clusters of ‘fear’ and ‘distress’ disorders, it appears that each
to social phobia. specific disorder is defined by features of both fear/anxiety and has
One behavioral distinction upon which potential differentiation of qualities of both fear/distress. Thus, although differences certainly
anxiety disorder could be made relates to emotional states of fear and exist, and sub-groups/clusters of anxiety, specific anxiety disorders, and
anxiety (Blanchard & Blanchard, 1990). Although the terms are often even sub-types of anxiety disorders can be identified, there is still a
used interchangeably (Kleinknecht, 1986), fear is typically understood great deal of evidence to suggest at least some degree of commonality.
as resulting from perceived imminent threat and is characterized by
high sympathetic activation, narrowing of attentional resources toward 8. Cognitive evidence
the threat, and motivational urges to escape or defend
(Blanchard & Blanchard, 1990). Anxiety, in contrast, reflects perceived As with behavioral models, cognitive models of anxiety disorders
distal threat – whether physically or temporally – and is characterized were initially developed under a diagnosis-independent framework
by lower levels of sympathetic activation, broadening of attentional (Beck, 1976; Beck & Emery, 1985; Wells, 1997); that is, they proposed
resources to scan for potential threat, and motivational urges to prepare that individuals with anxiety disorders (1) make dysfunctional apprai-
for or avoid the perceived distal threat (Fanselow & Lester, 1988). Fear sals of perceived threatening stimuli or situations based on beliefs or
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schemas about the dangerousness of situations and the individual's 2013; Mansell & McEvoy, 2017). More specifically, the work of Mansell
ability to cope, (2) show hypervigilance and cognitive biases toward and McEvoy suggests that the underlying transdiagnostic process may
detection and confirmation of threat, (3) engage in avoidance/safety encompass not only cognitive, but also behavioral (e.g., avoidance) and
behaviors to manage the perceived threat, and (4) demonstrate positive affect-regulatory factors. Indeed, a meta-analysis (Hong & Cheung,
feedback cycles among the cognitions, behaviors, and symptoms of 2015) of several transdiagnostic cognitive vulnerability factors con-
anxiety (Wells, 1997). The positive feedback cycles serve to reinforce cluded that a one-factor model encompasses them and that a common
the beliefs or schemas, thereby inhibiting disconfirmation and con- etiological factor may account for them. Hong and Cheung did note
tributing to the maintenance of the disorder. some heterogeneity in effect sizes among some vulnerability factors,
Despite the generality of the cognitive model of anxiety disorder, perhaps reflecting small diagnosis-specific or vulnerability-specific/
specific cognitive models of most anxiety diagnoses have been offered semi-specific (e.g., Paulus, Talkovsky et al., 2015) differentiation. These
(e.g., Rapee & Heimberg, 1997; D. M. Clark, 1986; Wells, 1997), and differences appear small relative to the overall findings, with no
each has shown good theoretical and empirical support. D. M. Clark evidence that they should be used to reject a transdiagnostic concep-
(1986), for example, describes a cognitive model of panic within which tualization. This is consistent with our contention that the similarities in
innocuous bodily sensations are perceived and misinterpreted as anxiety disorders outweigh the differences.
potentially dangerous or threatening. The perception of threat activates There is also a wealth of evidence linking attentional biases to threat
a sympathetic response, resulting in new or amplified bodily sensations to each anxiety diagnosis (Cisler & Koster, 2010). Evidence of atten-
and thereby furthering the threatening interpretations of the sensations. tional biases toward processing of threat information using the emo-
The cycle escalates quickly and culminates in an uncued panic attack, tional Stroop task has been demonstrated among individuals with panic
which reinforces the belief that unusual or unexpected bodily sensa- disorder (Ehlers, Magraf, Davies, & Roth, 1988), social anxiety disorder
tions are potentially dangerous or threatening. Rapee and Heimberg (Hope, Rapee, Heimberg, & Dombeck, 1990), GAD
(1997) similarly developed a cognitive model of social phobia (social (Mathews & MacLeod, 1985), health anxiety (Owens et al., 2004),
anxiety disorder). Social interactions, particularly those of a potentially specific phobias (Watts, McKenna, Sharock, & Trezise, 1986), OCD
evaluative nature, are perceived and evaluated internally based on (Foa, Ilai, McCarthy, Shoyer, & Murdock, 1993), and PTSD (McNally,
preexisting representations of the self as seen by others. Attentional Kaspi, Riemann, & Zeitlin, 1990; for a review, see McNally & Reese,
resources are allocated to evaluate evidence of threat, thereby increas- 2009). Many studies have also found similar patterns of vigilance
ing the likelihood that evidence of social threat is perceived, and a state toward initial threat followed by later avoidance of threat using other
of anxiety is triggered. Cognitive, behavioral, and physiological symp- experimental paradigms (e.g., probe detection tasks): social anxiety
toms of anxiety are experienced and may, in turn, be perceived as (Garner, Mogg, & Bradley, 2006), GAD (Weinberg & Hajcak, 2011),
further evidence supporting the evaluative threat and reinforcing initial separation anxiety (In-Albon, Kossowsky, & Schneider, 2010), spider
beliefs or negative representations of the self as perceived by others. phobia (Mogg & Bradley, 2006), illness anxiety (Jasper & Witthöft,
Although cognitive models of specific anxiety diagnoses are well 2011) and high ‘trait anxiety’ (Mogg, Bradley, Miles, & Dixon, 2004).
established, they generally share transdiagnostic elements that have Interestingly, evidence of a selective bias for threat-related memories in
been adapted to accommodate the beliefs, eliciting stimuli, and free and cued recall has been repeatedly demonstrated among indivi-
responses characteristic of each fear. Pre-existing beliefs regarding duals with panic disorder (Lim & Kim, 2005) and possibly Veterans with
threat, likely arise as a function of genetic and developmental factors PTSD (Vrana, Roodman, & Beckman, 1995), but typically not in other
and focused toward specific stimuli based on individual learning anxiety disorders (McNally & Reese, 2009). The extent to which these
histories. Such pre-existing beliefs promote attentional resource alloca- differences by diagnosis are related to methodology across studies or
tion toward scanning for evidence of threat, such that when actual or are actual cognitive variations across diagnoses is unclear and direct
potential threatening stimuli are perceived, defensive sympathetic cross-diagnosis comparison studies are needed.
systems are activated and cognitive, physiological, and behavioral/ Cognitive biases may also interact with behavioral factors to
motivational aspects of anxiety are experienced. The subsequent lack of maintain anxiety. Considerable work has examined illusory correla-
threat outcome resulting from safety behaviors, therefore, do not tions, defined as the overestimation of the association between fear-
disconfirm the threat beliefs, thereby perpetuating the beliefs and relevant stimuli and associated feared outcomes, across various anxiety
reinforcing the fears. domains/diagnostic categories (for review, see Wiemer & Pauli, 2016).
Examining specific cognitive elements across anxiety disorders has This work has repeatedly found individuals with anxiety to exhibit
typically yielded similar results. Following specific cognitive models of illusory correlations related to aversive events following fearful stimuli.
anxiety disorders, independent lines of research have examined cogni- Taken together with the behavioral evidence presented earlier, not only
tive mechanisms underlying each anxiety disorder. For example, in a do individuals learn to pair stimuli with aversive outcomes, but these
cognitive model of GAD (Koerner & Dugas, 2006), intolerance of conditioned associations are also strengthened by a biased belief that
uncertainty is hypothesized to be the “cornerstone” (p. 201) maintain- the negative outcomes occur more often with the feared stimulus. Given
ing worry symptoms and contributing to the pathology of GAD. Yet, that the correlation is not accurate, it is possible for any stimulus/
growing work has demonstrated that intolerance of uncertainty may outcome to be paired together (as is seen in seemingly unrelated
operate transdiagnostically, sharing relations with other forms of obsessions/compulsions of OCD). Indeed, additional work in this area
anxiety (Gentes & Ruscio, 2011; Paulus, Talkovsky et al., 2015). Like- suggests that it is the feared negative outcome (or salience of the
wise, anxiety sensitivity, often considered a central feature of panic outcome) itself, which drives illusory correlations and serves to
(Maller & Reiss, 1992), is now widely accepted as a transdiagnostic maintain fear contingencies (Wiemer, Mühlberger, & Pauli, 2014).
anxiety vulnerability factor (Olatunji & Wolitzky-Taylor, 2009). Emo-
tion regulation deficits, too, have been documented across anxiety, 8.1. Summary
depression, and other emotional syndromes (Aldao, Nolen-
Hoeksema, & Schweizer, 2010) with existing transdiagnostic models of Although cognitive models have been explicated and widely used
anxiety/depression centered upon the etiological role of emotion for each anxiety disorder separately, early work was done on the
dysregulation (e.g., Hofmann, Sawyer, Fang, & Asnaani, 2012). general phenomenon of anxiety (i.e., transdiagnostically). Further,
Although there are many other cognitive (and emotional-cognitive) despite the presence of unique facets in each model (e.g., mechanisms,
vulnerability factors that may be considered transdiagnostic maintaining factors), the underlying commonalities are apparent: a
(Norton & Paulus, 2016) recent work suggests that these processes tap trigger is perceived as threatening, cognitive resources attend to the
into a core latent transdiagnostic process (Bird, Mansell, Dickens, & Tai, threat, and an anxiety state is generated/maintained. The evidence for a
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possible selective threat memory bias in panic disorder (Lim & Kim, same conclusion that CBT generally shows similar or equal efficacy
2005) and PTSD (Vrana et al., 1995), but not other anxiety disorders, when targeted at different anxiety disorder diagnoses (Norton, 2008b).
does suggest a possible area for further investigation. However, Specifically, meta-analytic evidence suggests that the exposure element
growing work has shown that despite the wealth of mechanisms (e.g., in CBT appears to be particularly efficacious across anxiety disorders
cognitive biases) underlying various anxiety states, many of them apply (Norton & Price, 2007; Olatunji, Cisler, & Deacon, 2010) with Deacon
to other forms of anxiety, and there may be a core cognitive-behavioral- and Abramowitz (2004) concluding that exposure is the “critical
affective process undergirding the range of specific mechanisms, ingredient” in CBT for various anxiety disorders.
pointing to a common process underlying a unitary anxiety construct. In addition to the direct effect of CBT for anxiety diagnoses,
evidence has emerged that CBT specifically targeted at a principal
9. Treatment response evidence diagnosis has a significant, albeit moderate, effect on untargeted
comorbid anxiety diagnoses (e.g., Allen et al., 2010; Borkovec,
Perhaps the most commonly cited empirical bases supporting Abel, & Newman, 1995; Brown, Antony, & Barlow, 1995; Tsao,
transdiagnostic approaches are the data suggesting similar response Lewin, & Craske, 1998; Tsao, Mystkowski, Zucker, & Craske, 2002;
to similar or identical treatments across diagnoses, although treatment Tsao, Mystkowski, Zucker, & Craske, 2005). Compiling these results
response is, by itself, a poor criterion for differentiating or amalgamat- together, Norton et al. (2013) noted an average remission rate across
ing diagnoses. Acetylsalicylic acid, for example, has antipyretic, studies of untargeted comorbid anxiety diagnoses of 41.4% following
analgesic, anti-coagulant, and anti-inflammatory effects, and may have CBT for a primary anxiety disorder diagnosis. The extent to which the
benefits in treating some forms of cancer (Rothwell et al., 2012), but it remission of untargeted comorbid anxiety diagnoses is due to diffusion
would be difficult to argue that fever, pain, blood clots, inflammation, of treatment effects across diagnoses, reductions in common symptoms
and possibly cancer are manifestations of the same disease state. that comprise part of the diagnostic criteria for multiple anxiety
However, when viewed in light of the aforementioned diagnostic, diagnoses, or treatment impacting a common transdiagnostic pathol-
genetic, neurobiological, developmental, behavioral, and cognitive ogy, is yet to be established. However, tCBT, which aims to target
data, anxiety disorder treatment response does provide additional anxiety globally (via negative affect; Talkovsky & Norton, 2014) rather
support to transdiagnostic models. The two primary treatment mod- than specific diagnostic features, has resulted in comorbid diagnosis
alities for anxiety disorders are cognitive-behavioral therapies (CBT) remission rates of 67–71% (Ellard et al., 2010; Norton et al., 2013).
and pharmacological interventions impacting the serotonergic system
(e.g., SSRIs). 9.2. Serotonergic medication
GAD 1.80 OCD 1.37 Given the corpus of data suggesting a high degree of pathological
PD/A 1.53 SAD 0.62 and etiological similarity among the anxiety disorders, it would there-
fore be expected that functionally identical interventions should show
OCD 1.50 PTSD 0.62 similar efficacy across each of the anxiety disorder diagnoses. Indeed,
SAD 1.27 GAD 0.51 for the two gold-standard classes of interventions – cognitive-behavior-
al therapy and serotonergic medication – the available evidence
PD 0.35
supports this. Within CBT outcome studies, two independent meta-
PD = panic disorder, PD/A = panic disorder with or without agoraphobia, analyses show generally non-differing treatment effects across diag-
GAD = generalized anxiety disorder, ASD = acute stress disorder, SAD = social anxiety noses. Similarly, for two of the most commonly prescribed serotonergic
disorder, OCD = obsessive-compulsive disorder, PTSD = posttraumatic stress disorder. agents, recommended optimal dose ranges for each medication are
Values within the same brackets do not differ significantly.
nearly identical across diagnoses. Further, although not evaluated for
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Table 2 difference among the anxiety disorders, thereby calling into question
Recommended dosage ranges for paroxetine and sertraline across anxiety disorder the validity, utility, and purpose of retaining a diagnostic substructure
diagnoses.
within the anxiety disorders. Thus, a transdiagnostic model of anxiety
Paroxetine Dose Range Sertraline Dose Range appears not only to be best supported by most (though not all) data at
multiple levels of analysis, but also better aligned with the pursuits of
Panic Disorder 20–60 mg 50–200 mg our field at the current stage of development.
Social Phobia 10–60 mg 50–200 mg
GAD 20–50 mg 50–200 mga
OCD 40–60 mg 50–200 mg 11. A transdiagnostic model of anxiety
PTSD 20–40 mga 50–100 mg
Regardless of the specific objects, situations, or phenomena that are
Data reported in Melton and Kirkwood (2014) for panic disorder, social phobia, and GAD,
feared, anxiety disorder represents recurring irrational experiences of
and Kirkwood et al. (2014) for PTSD and OCD.
a
Represents dosages that are not FDA approved but used in clinical trials. fear and/or anxiety resulting from excessive estimations of threat. The
promotion of risk for developing anxiety disorder results from the
combination of common genetic predisposition toward the develop-
pharmacological agents, CBT shows transdiagnostic effects, as non- ment of a high personality dimension of neuroticism and early
targeted comorbid anxiety diagnoses have a high remittance rate after developmental influences such as parenting style and attachment,
treatment for a specific primary anxiety diagnosis. which may be then focused around specific threat-related beliefs based
on learning experiences such as traumatic conditioning, vicarious
10. Conclusion observation, or information transmission (Rachman, 1978). The anxiety
disorder is maintained by the use of situational, cognitive, or emotional
Overall, the data presented herein offer some compelling support for avoidance strategies which reinforce the threat related beliefs by
a transdiagnostic model of anxiety. Although several key areas of preventing the assimilation of disconfirming evidence (see Fig. 3). At
diagnostic or syndromal differentiation or uniqueness are apparent, this the neurological level, anxiety disorder is reflected as hyperactivation
should not be unexpected as dichotomous same/different or lumping/ in the amygdalo-cortical circuitry.
splitting arguments seldom reach consensus, nor perhaps should they. A Although presented as a guiding model of the development and
previous discussion of the classification of anxiety disorders (Norton, maintenance of anxiety disorder, the transdiagnostic model also has
2006) offered the analogy of an Adirondack deck chair and a black implications for diagnostic systems such as DSM. Given the evidence
leather lounge chair; the question of similarity or divergence of the two presented here suggesting common etiological and maintenance path-
is inherently dependent on the purpose of the question. The common ways, coupled with the fact that the different diagnoses as presented in
“chair-ness” of the two would be most relevant if trying to find seating DSM respond similarly to the same psychosocial and pharmacological
for guests at a party, while their differences would likely be paramount interventions, differentiation of fears into separate diagnoses based on
if one was looking for a place to sunbathe poolside on a hot day. Two the target of the fears (e.g., animals, social interaction, bodily sensa-
things can be simultaneously similar or different depending on the tions, cognitive events) appears superfluous and better captured by a
characteristics being examined. Given current objectives (e.g., NIMH's single Anxiety Disorder diagnosis which may be modified with specifiers
RDoC), a streamlined classification focused on commonalities under- to capture syndrome-specific elements (e.g., with dissociative symptoms).
lying problems is desired over one which attempts to ‘carve nature at its Yet, one burning question may remain – “what about depression?”
joints’ and categorize into increasingly specified categories. Perhaps Although similar arguments put forth in this review could quite
most importantly, the preponderance of the epidemiological, diagnos- reasonably be made to further extend this transdiagnostic model to
tic, genetic, neurological, developmental, cognitive, and behavioral encompass anxiety and depressive (e.g., Brown, Chorpita, & Barlow,
evidence reviewed here suggest far higher degrees of similarity than 1998) and potentially other ‘emotional disorders’ such as borderline
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