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The Prevalence Of Treated And Untreated Mental Disorders In Five CountriesPROLOGUE: The U.S. surgeon general and the World Health Organization (WHO) have both released studies in the past few years with alarming estimates of the prevalence of mental disorders, the burden these conditions create, and high rates of undertreatment. Assessing the policy implications of these findings is difficult, however, in part because the surveys on which prevalence estimates are based cannot capture degrees of severity with great precision. The following paper uses data from five countries to focus on the problem of undertreatment of severe mental illnesses. Serious cases are a relatively small proportion of all mental disorders, and "the probability of receiving treatment is strongly related to illness severity in each country," according to this multinational team of researchers. Rob Bijl is head of the Department of Crime Prevention and Sanctions in the Research and Documentation Center of the Ministry of Justice in the Netherlands. Ron de Graaf is a physician and a senior researcher at the Netherlands Institute of Mental Health and Addiction. Eva Hiripi is a statistician and a senior analyst in the Department of Health Care Policy, Harvard Medical School; Ron Kessler is a professor in that department; and Ellen Walters is a senior biostatistician there. Robert Kohn is a psychiatrist and an assistant professor in the Department of Psychiatry and Human Behavior at Brown University (U.S.). David Offord is a psychiatrist and professor emeritus of psychiatry at McMaster University in Toronto. He also directs the Canadian Centre for Studies of Children at Risk. Bedirhan Ustun is a psychiatrist and head of the WHO Classification, Assessment, Surveys, and Terminology Unit in Geneva. Benjamin Vicente is a psychiatrist and a professor in the Department of Psychiatry and Mental Health at the Universidad de Concepción in Chile. Wilma Vollebergh is a psychiatrist and head of the Research Program on Developmental Psychiatry at the National Institute on Mental Health and Addiction in the Netherlands. Hans-Ulrich Wittchen is a psychologist and a professor of psychology at the Technical University of Dresden, Germany, and professor of clinical psychology at the Max Planck Institute of Psychiatry in Munich.
We analyzed survey data from Canada, Chile, Germany, the Netherlands, and the United States to study the prevalence and treatment of mental and substance abuse disorders. Total past-year prevalence estimates range between 17.0 percent (Chile) and 29.1 percent (U.S.). Many cases are mild. Although disorder severity is strongly related to treatment, one- to two-thirds of serious cases receive no treatment each year. Most treatment goes to minor and mild cases. Undertreatment of serious cases is most pronounced among young, poorly educated males. Outreach is needed to reduce barriers to care among serious cases and young people at risk of serious disorders.
Although community surveys of mental disorders carried out in Western countries since the end of World War II, few systematic cross-national comparisons were made until recently, because there were no fully structured psychiatric research diagnostic interviews designed for use by lay interviewers.1 Such interviews were first used in the early 1980s in the U.S. Epidemiologic Catchment Area (ECA) study and subsequently in a number of similar surveys carried out in other countries.2 The results of these surveys were brought together in the early 1990s in a series of important cross-national comparative papers that found mental disorders to be highly prevalent.3 Indeed, the prevalence of having any mental disorder in these surveys was generally higher than the prevalence of any other class of chronic condition.4 This is important in light of the fact that mental disorders have been shown to affect role functioning and quality of life as much as or more than do serious chronic physical illnesses such as arthritis, diabetes, and hypertension.5 Three questions arise in evaluating these results. Are the high prevalence estimates in these surveys accurate? If so, is there a severity gradient among these cases such that only a small number are serious cases in need of treatment? Third, what is the relationship between disorder severity and treatment? Only the first of these three questions can be answered with available data. A number of methodological studies that reinterviewed survey respondents with state-of-the-art, clinician-administered diagnostic assessments have confirmed the prevalence estimates in epidemiological surveys.6 The second question cannot be answered because no data on severity have as yet been reported from cross-national mental health surveys. In this paper we present the first data of this sort. Preliminary results based on U.S. data suggest that only a minority of current mental disorders are severe and that a substantial proportion are mild, but it is not clear whether this pattern holds in the other countries considered here.7 The third question, whether treatment resources are allocated in relation to severity, has been studied in the United States and Canada.8 A significant relationship was found in that study between severity and treatment. It is not known, though, whether this pattern also holds in other countries. The data presented here come from five countries participating in the World Health Organization (WHO) International Consortium in Psychiatric Epidemiology (ICPE), a group established by WHO to coordinate the analysis of community surveys of mental disorders around the world.9 The five first-generation ICPE surveys that distinguish between recently treated and untreated mental disorders are included in the analysis.10 These surveys were administered between 1990 and 1999 and have a combined sample size of more than 23,000 respondents. Participating countries. The surveys were fielded in Canada, Chile, Germany, the Netherlands, and the United States. Chile is a higher-middle-income country, based on World Bank criteria, while the others are high-income countries. The five countries differ in their mental health care systems. All but the United States have universal health insurance coverage that includes coverage for mental health and substance abuse treatment services (with supplemental insurance required to cover the costs of medications in Canada).11 The Canadian system is the only single-payer system; Chile, Germany, and the Netherlands have dual systems in which consumers either have a choice between public and private coverage (Chile and Germany) or have a first tier of basic public coverage supplemented with a second tier of either public or private coverage depending on income (the Netherlands). The public-private distribution differs across the three countries with dual systems (60 percent public and 25 percent private in Chile, 90 percent public and 9 percent private in Germany, and 65 percent public and 35 percent private in the second tier of coverage in the Netherlands) and consistently overrepresents people with higher incomes in the private sector. All four countries with universal coverage use supply-side controls in the public sector, while the three with dual systems use demand-side controls in the public sector. The two most notable variations on these general cost control strategies are in Chile, where strict limits are placed on the number of mental health specialists (leading to the vast majority of mental health treatments being provided in the primary care sector), and in Germany, where supply-side controls are imposed on public budgets but not on health personnel or on restriction of direct access to mental health specialists. In the United States, by comparison, roughly 60 percent of the population had private health insurance at the time the U.S. survey was carried out, with provisions for mental health treatment varying widely in these plans.12 Low-income people were eligible for Medicaid or could receive free mental health care through state-funded community mental health clinics. Approximately 15 percent of the population had no health insurance, and another 10 percent had insurance that did not cover mental health treatment.
All five surveys were based on general population probability samples and administered in face-to-face interviews. The surveys in the United States, the Netherlands, and Germany are nationally representative, while the Canadian survey is representative of the province of Ontario and the Chile survey is representative of four provinces in geographically distinct regions of the country (Santiago, Concepción, Iquique, and Caulin).
The response rates vary widely (53.890.3 percent) across surveys, raising a concern that the accuracy of prevalence estimates might differ across surveys (Exhibit 1
The data were weighted to adjust for differences between the samples and the populations based on census data. Weighting was done within cells of cross-classification tables to reproduce the population distributions of age, sex, and education. The same weighting methods were used in all countries. The surveys all used versions of the WHO Composite International Diagnostic Interview (CIDI) to make diagnoses.14 The criteria of the American Psychiatric Associations Diagnostic and Statistical Manual of Mental Disorders, Third Edition, Revised (DSM-III-R) were used to make diagnoses in all countries except Germany, where DSM-IV criteria were used.15 The disorders considered are mood disorders (major depression, dysthymia, and mania), anxiety disorders (panic disorder, generalized anxiety disorder, phobias, and post-traumatic stress disorder), and substance abuse disorders (alcohol and drug abuse and dependence). CIDI organic exclusion rules were imposed in making all diagnoses. Because of the complex sample designs and weighting of the surveys, standard errors of the various descriptive statistics reported here were estimated using the Taylor Series method implemented in the SUDAAN software package.16 These estimates adjust for the clustering and weighting of cases. Results described below as being "significant" were evaluated using two-sided design-based statistical tests evaluated at the .05 level of significance.
Past-year prevalence. The overall prevalence estimates (Exhibit 2
These prevalence estimates should be interpreted with caution, because of limited data on the reliability and validity of the diagnostic assessments in Canada, Chile, and the Netherlands. In Germany and the United States, clinical reappraisal studies confirmed the CIDI prevalence estimates.17 In addition, some respondents almost certainly failed to disclose information about mental disorders both to the lay interviewers who administered the CIDI and to clinical reinterviewers. This means that the German and U.S. prevalence estimates are probably lower bounds on true prevalence. Between-country differences in prevalence estimates could also be influenced by differential bias due to stigma, public information about mental illness, familiarity with household surveys, and other cultural factors. In addition to the possible biases just mentioned, the higher prevalence estimates in the United States might be attributable to special procedures in the U.S. survey, which featured the use of commitment probes and a review of lifetime diagnostic stem questions at the beginning of the CIDI interview, in an effort to motivate complete and accurate reporting. A methodological experiment showed that these methods generated significantly higher prevalence estimates and improved validity compared with the standard version of the CIDI by decreasing the problem of false negatives.18 This cannot be the entire reason for the high U.S. prevalence estimates, though, as the same procedures were used in the Canadian survey, where the prevalence estimates are considerably lower than in the U.S. survey.
To assess severity, we classified respondents with disorders into mild, moderate, and serious cases based on their multivariate disorder profiles.19 This is only a rough classification because no direct data on severity were collected consistently across the surveys. Cases classified as mild made up a majority of all cases in Canada and the Netherlands and close to a majority in the other countries (Exhibit 2
Past-year treatment
Respondents were asked about receiving professional treatment in the past twelve months (six months in Chile) for problems with their emotions or substance use.20 Treatment rates varied significantly across countries (Exhibit 3
The probability of receiving treatment was strongly related to illness severity in each country (Exhibit 3 Even though the lowest treatment rate was consistently among respondents classified as noncases, the fact that some people in this category received treatment is noteworthy in light of the fact that noncases make up 70.983.0 percent of the respondents across surveys. Noncases in treatment presumably consist of people with mild disorders not assessed in the CIDI or with subthreshold psychological distress. Even though their treatment rates were low, noncases made up a large proportion of all people in treatment (from 24.2 percent in the Netherlands to 69.1 percent in Chile). Noncases play a critical role in explaining between-country differences in overall treatment rates. The low overall treatment rate in Canada would increase to a rate higher than in the United States and close to the rate in the Netherlands, for example, if the proportion of Canadian noncases in treatment increased to the average of the other countries. It is not clear whether the especially low treatment rate among Canadian noncases is attributable to greater reluctance to seek help for minor emotional problems, higher barriers to care of such problems in the Canadian health care system, or some combination of these factors. An earlier comparative analysis of treatment in the United States and Canada shed some light on this issue by showing that Canadians in the noncase segment of the population had a much lower perceived need for treatment than did their U.S. counterparts, presumably reflecting a lower predisposition to define minor emotional problems as sufficiently serious to seek medical attention.21 Importantly, the treatment rate among noncases who perceive themselves as needing health treatment was found to be the same in Canada as in the United States, implying that system barriers to seeking care for minor emotional problems do not differ in the two countries. The high overall treatment rates in Chile and Germany are also importantly influenced by the treatment of noncases. In Chile the conditional treatment rate among noncases was significantly higher than in Canada, the Netherlands, and the United States, while the conditional treatment rates for mild, moderate, and serious cases were generally not higher than in these other countries. The same general patterns holds in Germany, except that the elevated German treatment rate is found among both mild cases and noncases.
The high treatment rates of minor and mild cases in Chile and Germany might be related to their differences from other countries in sectors of mental health care. The majority of patients were seen in the general medical sector in Canada (65.4 percent), the Netherlands (74.0 percent), and Chile (80.3 percent), but not in the United States (33.9 percent) or Germany (39.0 percent). Specialty treatment, in comparison, was most common among patients in Germany (70.0 percent), least common among patients in Chile (36.5 percent), and intermediate in the other countries (48.550.6 percent). Chile and Germany, importantly, are the only countries in which severity was unrelated to the proportion of treatment delivered in the specialty sector (Exhibit 3 These differences in sectors of care might help explain the high treatment rates among noncases in Chile, because, unlike in the other counties, the primary care sector provides the vast majority of this treatment, and national health insurance allows easy access to the primary care sector. There is also low restraint on access to mental health care among noncases in Germany because the specialty sector provides the vast majority of this treatment, and the German health care system allows patients to go directly to these specialists without a primary care referral.
Consistent with this line of reasoning, Exhibit 3 Demographic correlates of treatment. In light of the fact that one- to two-thirds of people with serious disorders in the five countries received no treatment, the correlates of treatment among serious cases are of interest. As it turns out, we found that the demographic correlates of treatment did not vary depending on illness severity. Across all levels of severity, treatment was consistently and positively related to age (other than in Chile), education, and being female.23 Specialty treatment among people in treatment, in addition, was positively related to education in all countries.
The ICPE results are consistent with those of earlier surveys in showing that mental disorders are highly prevalent in a number of countries. However, we also presented evidence suggesting that many of these disorders are mild. Caution is needed in interpreting this second result, though, as the disorder severity gradient used here is crude. A much more refined severity classification scheme is being used in a new second generation of ICPE surveys that are now in progress. The tentative conclusion that many mental disorders are mild also should not be taken to suggest that these disorders have low need for treatment. On the contrary, longitudinal research shows that people with mild mental disorders, if left untreated, have a higher risk of future serious outcomes, such as attempted suicide, hospitalization, and work disability.24 Even though the severity measure is coarse, it is strongly related to probability of treatment in all countries. This is most reasonably interpreted to mean that demand for treatment was related to severity, presumably mediated by distress and impairment. There is also indirect evidence that the treatment system was responsive to severity in at least three of the countries, as indicated by proportional treatment in the specialty sector increasing with severity. The fact that these associations are not significant in Chile or Germany is part of a larger pattern: A much higher proportion of all mental health care was provided in a single sector in those countries than in the other countries. It would be interesting to see if more direct measures of treatment intensity, such as number of visits, are as strongly related to illness severity in Chile and Germany as in the other countries. The only available information of this sort is in the Canadian and U.S. surveys, in which severity was strongly related to number of visits.25 Despite the evidence of rationality in allocation of treatment resources, we found that most patients in each of the countries had either a minor or mild disorder, while one-third to two-thirds of people with serious disorders received no treatment. The low treatment rate among serious cases is most striking in the United States, where only about one-third of serious cases received treatment. Although there are disagreements among specialists about the relationship between severity and need for treatment, it is agreed that serious cases should be treated.26 The low treatment rate among serious cases is consequently a matter of concern. The serious cases least likely to receive treatment were young, poorly educated males. Outreach programs to increase their treatment are unlikely to succeed because the psychological barriers to treatment in this population are difficult to overcome. A more feasible approach might be to reach these young men in adolescence through school-based interventions. Consistent with this suggestion, retrospective ICPE data show that the vast majority of young, poorly educated males (and, for that matter, females) with serious mental illness reported that their disorders started in childhood or adolescence. Many of them also reported, though, that their disorders became serious only after they left school and became adults. As a result, adolescent treatment might best be conceptualized as early intervention aimed at preventing progression from mild to more serious disorders. Early intervention among adolescents with mental disorders could be of great value in reducing the documented adverse effects of adolescent mental disorders on such critical life-course transitions as educational attainment, teenage child-bearing, and timing of marriage.27 It is likely that the progression from mild adolescent disorders to serious young adult disorders is mediated by such effects. While focused treatment of adolescent disorders might be seen as leading to an increase in the already high proportion of treatment resources devoted to mild cases, this need not be so. The mild cases in treatment in all of the ICPE surveys include high proportions of older, well-educated females who are at low risk of progressing to serious mental illness. Reallocation of treatment resources from these cases to adolescents could have a substantial public health benefit by preventing future serious disorders in all of these countries without changing the current proportion of treatment resources allocated to mild cases. At the same time, efforts are needed to develop programs that reach a higher proportion of current severe cases.
Preparation of this paper was supported by grants from the U.S. Public Health Service (R01 DA11121) and the Pfizer Foundation. This report presents data from five countries. The MHS-OHS survey (Canada) was funded by the Ontario Ministry of Community and Social Services. The CPPS survey (Chile) was funded by FONDECYT (90-229, 92-233, 1971315, 1990325), Dirección de Investigación de la Universidad de Concepción (201.087.027-1.0), and the Pan American Health Organization/World Health Organization. The GHS-MHS survey (Germany) was funded by the German Federal Ministry of Research, Education, and Science; BMBF (01EH970/8). The NEMESIS survey (the Netherlands) was funded by the Netherlands Institute of Mental Health and Addiction (Trimbosinstituut); the Netherlands Ministry of Health, Welfare, and Sport (VWS); the Medical Sciences Department of the Netherlands Organization of Scientific Research (NWO); and the National Institute for Public Health and Environment (RIVM). The NCS survey (U.S.) was funded by the U.S. National Institute of Mental Health (R01 MH46376 and R01 MH 49098) and the W.T. Grant Foundation (90135190).
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