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332 South African Journal of Science 99, July/August 2003 Review Articles

Psychoneuroimmunology: from philosophy,


intuition, and folklore to a recognized science
M. Viljoen , A. Panzer , J.L. Roos and W. Bodemer

Mutwa’s Indaba My Children6 and other writings, and despite a


vague understanding of the role of people like the sangoma and
The link between physical well-being and emotions was always the inyanga, there is a dire need for accessible, well-researched
intuitively known and was recognized by the medical world for documentation of the mind–body approaches of Africa. In
hundreds of years. The last two centuries saw belief in integrated contrast to the traditional Western approach to medicine, where
mind–body functioning being replaced by the dualistic approach of the biomedical model became the norm, the concept of an
the biomedical model, partly as a result of lack of empirical integration of the mind, environmental factors and physical
evidence for the existence of pathways linking these processes. health had always been a consideration in Indian medicine.7
More recent approaches such as the biopsychosocial model and Intense interest in the influence of mind over body and vice
psychoneuroimmunology represent a revival in the bi-directional versa was a hallmark of certain circles over a period of about 100
interaction between mind and body. Psychoneuroimmunological years stretching from Franz Anton Mesmer (1734–1815) to
research has shown the immune system to be a super-system on a Joseph Breuer (1842–1925) and Sigmund Freud (1856–1939),
par with the neuroendocrine system for gathering and dispersing when psychophysiological studies were published claiming that
information throughout the body. This article briefly discusses the mental events such as suggestions, magnetism, mesmeric trance
interaction between the immune system and neuroendocrine- states, hypnosis, trauma, catharsis and submergence of part of
behavioural functions and shows that psychological disposition the consciousness into the subconsciousness can dramatically
can act as a biological response modifier and vice versa. It also influence the body.8 During this period the neurological system
argues that psychoneuroimmunology is providing the empirical was seen as the only messenger between physiological and
evidence for many associations, which were until recently seen as behavioural events. However, the link between mood, cognitive
mere folklore. events and health can only partially be explained by neuro-
psychology. Thus, the effects of peripheral trauma, infection and
inflammatory conditions on behaviour, as well as some of the
consequences of emotions and neurological changes on physical
Introduction health, remained speculative. This partially contributed to a
The link between psychological state and disease has dualistic approach to mind and body by psychologists and
intuitively been recognized for centuries. Written proof for physicians alike.
earlier acceptance of this kind of mind–body interaction can be
Several developments contributed to the eventual scientific
found throughout literature and it is clear that the concept of
recognition of the role of the immune system in the mind–body
a mutual influence between physiology and psychological
interaction. The first is surely the fact that immunology
functions was taken for granted by many — despite differences
advanced from simple bacteriology to the study of antibody
in their positions on the mind–body impasse. Ancient Greek
structure and antigen–antibody reactions, to the clonal selection
medicine, for instance, recognized the cause-and-effect associa-
theory, to the explosion in knowledge of cytokines and the even-
tion between state of mind and the body’s resistance to disease.1
tual realization that the immune system is not completely auton-
The belief that strong negative emotions can cause physical
omous and self-regulating. Another indispensable contribution
disorders persisted in the medical world throughout the
was the relentless reporting by a number of individuals of ob-
medieval period and early Renaissance.2 In fact, recognition of
served associations between mental states, personality and
the mind’s potential influence on the body prevailed in medi-
stressful experiences, on the one hand, and physical disease on
cine long before the existence of psychology as a subject. The
the other — despite adherence in general to the biomedical
Transylvanian physician Papai Pariz Ferenc (discussed by
model and scorn of the psychosomatic concept.
Solomon4) essentially reiterated Aristotle and anticipated
Despite resistance, a number of approaches by individuals
psychoneuroimmunology when, in 1680, he wrote:
from both the humanities and the biomedical sciences seriously
When the parts of the body and its humors are not in harmony, then the attempted to bring the psychosocial and biomedical aspects
mind is unbalanced and melancholy ensues, but on the other hand, a quiet
and happy mind makes the whole body healthy.3
together under the same rubric. The biopsychosocial model and
psychoneuroimmunology represent such approaches. The
This kind of approach, where the mind is seen as biological biopsychosocial model should be mentioned as it was the first of
response modifier, was and still is widely accepted cross-cultur- the two to be included in the curriculum of health psychology
ally and can be found in Buddhism, Huicol practices, and in certain medical courses. The biopsychosocial model, as
shamanism, the Ayurvedic approach, some Hindu-related proposed by Engel9,10 and modified by others, was intended as a
spiritual practices and many others. It can even be traced back to holistic model where social, biological and psychological factors
the traditions of ancient civilizations such as the Mayan and comprise a complex system of interactions which determines the
Aztec.5 Although glimpses of African considerations on the individual’s health and vulnerability, as well as reactions, to
mind–body paradox can be gleaned from books such as Credo disease. The biopsychosocial model challenged the single
domain approach of the biomedical paradigm.
a
Department of Physiology, University of Pretoria, P.O. Box 2034, Pretoria 0001, South
Africa.
The essence of the model is the premise that a disease does not
b
Department of Psychiatry, University of Pretoria. influence only one organ or system but that the organism as a
*Author for correspondence. E-mail: mviljoen@medic.up.ac.za whole is involved with multidirectional interactions among
Review Articles South African Journal of Science 99, July/August 2003 333

biological, psychological and social factors. Health, or for that system. The knowledge of these interactions went a long way to
matter disease, is therefore seen as the product of perpetual fostering understanding of the bi-directional influence between
interactions among biological, psychological and environmen- physiological and psychological functioning.
tal influences. The onslaught on health can therefore be from Although the term ‘psychoneuroimmunology’ was already
various entry points or even from various interactions. Interven- coined by Solomon et al.16 in 1964, very little progress was made
tions can similarly, within obvious limits, be performed at any of in the following twenty years. However, many scientists in a
the interacting domains or even from a combination of entry variety of sub-disciplines subsequently contributed to the rapid
points. The effectiveness of the interventions will vary from conversion of psychoneuroimmunology from a speculative field
person to person and even at different times for the same indi- to that of a recognized science. Robert Ader*, David L. Felten†
vidual. and Nicholas Cohen‡ should be mentioned in particular, not
The biopsychosocial model, which started out as a change in only for their research but also for publishing three editions of
perspective from the traditional biomedical model,11 rather than important books on PNI. A short chronological overview of
from a scientifically evidenced domain, evoked strong contro- some of the important scientific milestones in the development
versy when first introduced. From the medical perspective, the of psychoneuroimmunology into a recognized discipline can
implied influences of mental state, personality and emotions on be found in a paper by Ader,17 that describes events such as the
health outcome were openly condemned as mere folklore by realization that the immune system can be conditioned, the
eminent medical journals as recently as 1985.12 From a psycho- appearance of the first edition of the book Psychoneuroimmunol-
logical perspective, the reactions were equally restrictive. ogy in 1981, the effect of brain lesioning on the immune system,
Despite the inclusion of the biopsychosocial model in the that stress can change susceptibility to infections, the link
curriculum of health psychology, the practical acceptance of the between autoimmune diseases and psychological disposition,
biological mechanisms, underlying and modified by the holistic the influence of immunologically competent substances on the
interactions, was, and often still is, largely denounced as physi- brain, the effect of the autonomic nervous system on lymphoid
ology without integral value for the psychological disposition. tissue, the studies that subsequently confirmed that psychologi-
From the initial construct of the biopsychosocial model as a cal stress can influence the immune system of humans, as well as
change in perspective, several workers have subsequently the central role of the autonomic nervous system and hypo-
shown its practical applicability through systematic research. thalamo-pituitary-adrenocortical axis in the psychoneuro-
However, empirical evidence on the neuroimmunological immunological interaction.
mechanisms was required to give the proposed interactions Psychoneuroimmunology looks at behaviour as a biological
scientific credibility. response modifier and vice versa. The immune system, previ-
ously seen as an independent, closed, self-regulating system,
Psychoneuroimmunology (PNI) and neuroimmunomodu-
driven by antigenic stimulation and regulated by cytokines and
lation provided the necessary evidence. The realization that
other soluble immune cell-derived substances, is now known to
neural and immunological structures have receptors in common
be involved in bi-directional communications with the neuro-
and that the immune system can produce neuroendocrine trans-
endocrine system. It is becoming more and more clear that the
mitters and neural structures can secrete immunologically com-
immune system can in turn act as neuroendocrine modulator.
petent substances like cytokines, supported the idea of some
The immune system has been described by Blalock18 as a sixth
kind of interaction between the two systems.13,14 Initially, how-
sense organ informing the brain about peripheral events. The in-
ever, the identification of immunological cell surface molecules
fluence of the immune system on the brain is, however, much
on neural structures and the neuroendocrine receptors on im-
more than that of a sensory organ. It has, in addition to its short-
mune cells were, in some circles, seen as remnants of an evolu-
term effects on neuroendocrine function, been shown to induce
tionary process, a view articulated in the Darwinian approach to
long-term anatomical changes with subsequent behavioural
the psychoimmune interaction.15 effects. This bi-directional influence between the immune and
The Darwinian view of the psychoimmune relationship states neuroendocrine systems starts before birth when normal
that the immune system and the neural system, somewhere in neuroendocrine development is necessary for normal immuno-
distant phylogeny, used to be one and the same system. This logical development and vice versa.19–21 It speaks for itself that
approach could, in theory, explain the similarities in receptor interactions between the psychological functions and the two
expression, adhesion molecules and secretory ability between main physiological regulatory systems, the neuroendocrine and
immune and brain cells. It was, from this point of view, argued immune, would influence the total individual — mind as well as
that the immune-associated receptors on brain cells and the body.
neural receptors and secretions of immune cells are actually of a The idea of the psychoneuroimmunological interaction being
vestigial nature, and therefore of no functional significance. This a recent concept is wrong. All that is new is the name and the
concept was refuted, amongst others, by observations that scientific credibility afforded to the existence of the interactions
immune stimulation can alter central nervous system (CNS) — this as a result of the intense research by accredited scientists
neural activity and turnover of those neurotransmitters com- of recent times. From an academic point of view, it is obvious that
monly associated with behavioural functions and that cerebral psychoneuroimmunology evolved from observations that a
lesioning can modulate the immune response.13 Psychoneuro- connection exists between psychological stressful events and
immunological studies have since shown that the structures and
*Editor-in-chief of Brain, Behavior, and Immunity, editor/co-editor of all three editions of
secretions shared by the neurological and immunological sys- Psychoneuroimmunology, past president of the American Psychosomatic Society, the
tems are indeed of great importance for the regulation of International Society for Developmental Psychobiology and the Academy of Behavioral
neuropsychological and immunological function. Medicine Research, and founding member of the Psychoneuroimmunoloical Society.

Past director of the Neurosciences Graduate Program and associate director of the Center
PNI is the study of the interactions between behaviour, the for Psychoneuroimmunological Research at Rochester University, co-editor of Psycho-
brain, the endocrine system and the immune system. It is neuroimmunology 2nd and 3rd editions, associate editor of Brain, Behavior and Immunol-
therefore sometimes referred to as psychoneuroendocrino- ogy, and present director of the Center for Neuroimmunology at the Loma Linda University
School of Medicine.
immunology (PNEI). However, as the neurological system is ‡
Professor of Microbiology and Immunology, associate director for Psychoneuroimmuno-
largely in control of the endocrine system, the interactions can logical Research, past councilor of the Psychoneuroimmunological Research Society and
be seen as being among behaviour, the brain, and the immune co-editor of the 2nd and 3rd editions of Psychoneuroimmunology.
334 South African Journal of Science 99, July/August 2003 Review Articles

disease. Psychoneuroimmunology can rightfully be seen as an complications.23 Typical chronic stressors include work stress,
outflow of the stress paradigm. Direct empirical evidence in care giving of family and friends with chronic physical or mental
support of the psychoneuroimmunological interactions are, illness, unemployment, hostile environments, imprisonment,
however, also derived from a sub-discipline of the biological destructive close relationships and almost any factor that is
sciences, that is, neuroimmunomodulation. perceived as threatening or uncontrollable. It is important to
note that acute stressors can be the cause of chronic stress if they
Practical implications are followed by recurrent negative thoughts and feelings of a
In the psychoneuroimmunological interaction, the neuro- loss of control. Negative emotions such as anxiety, depression,
endocrine system, as would be expected, constitutes the link hostility and anger have been described as among the main risk
between psychological phenomena and the immune system. factors that contribute to deterioration of physical well-being,
This interaction is not merely present in isolated situations and including the development of osteoporosis, arthritis, type 2
disorders, but present as pervasive occurrences, influencing and diabetes, cardiovascular disease, periodontal disease, several
influenced by all other events — psychological as well physio- neurocognitive disorders, cancer, certain lymphoproliferative
logical. Published examples of conditions and phenomena disorders and delayed wound healing, as well as premature
where psychoimmunological interactions occur include condi- ageing and other debilitating conditions.2,23 Although some of
tioning, the stress response, infections and tumour develop- these effects are mediated through stress-induced alterations of
ment, autoimmune diseases, therapeutic interventions, bio- neuroendocrine systems like the HPA axis and the sympathetic
feedback mechanisms, the placebo effect, behavioural phenom- nervous system, negative emotions are also known to stimulate
ena, brain damage, neurological diseases and virtually all classes the production of pro-inflammatory cytokines, a phenomenon
of psychiatric disorders. What is important to realize is that the known to play a role in many chronic inflammatory and other
psychoneuroimmunological interaction is not merely a stress or conditions.2,25 Of interest is that the influence of the neuro-
pathology-related phenomenon, but that it also forms part of the endocrine system on the immune system varies, depending not
normal homeostatic regulatory processes. The bi-directional in- only on the duration and strength of the stressor, but also on
teractions between the immune system and neurobehavioural cognitive and emotional characteristics of the individual such as
functions have significant implications for health — physical as coping style and abilities, the perception about the stressor, the
well as psychological, in humans as well as in animals. ability to relax after a stressful experience and almost any factor
that can influence the rate at which the stress-induced changes
in neurohormonal activity will return to baseline values.2 It is,
Psychoneurological influence on immunity
for instance, known that the so-called ‘high stress responders’
Many of the effects of psychological stress on the immune
show more significant immunological changes than low stress
system are mediated via the so-called main stress axes, that is,
responders. A practical example can be found in socially inhib-
the hypothalamo-pituitary-adrenocortical axis (HPA axis) and
ited individuals, who are said to be physiologically hyper-
the sympatho-adrenomedullary axis (SAM axis). The limbic
responsive, where augmentation of the DTH skin response may
system plays an important central role in these neuroimmuno-
occur upon intense social interaction.24,26
modulatory interactions.22 It should, however, be remembered
that the role of these stress axes is primarily that of homeostatic As it is well established that the immune system, and by impli-
regulators and that psychologically induced alterations of cation health, is influenced by stressful life experiences, one
neuroendocrine function with subsequent immunological would intuitively expect positive experiences to have a benefi-
alterations therefore represent a new adapted homeostasis cial effect on the immune system, as well as the possibility that
intended to cope with the initial threatening stimulus. It is only psychological intervention could be of value. In general very
in the chronic form or with overwhelming responses that it few investigators concern themselves with the testing of positive
becomes a pathological phenomenon. experiences and health is commonly considered to be merely the
Although stress is generally seen as immune suppressive, there absence of disease or emotional distress.27 There are, however,
are indications that acute stress may in certain circumstances indications that laughter, optimism, positive coping styles and
enhance immune function.23 The raised immunoreactivity of other factors that contribute to positive emotions could have
acute stress forms part of the adaptational homeostasis in beneficial effects on neuroimmunological activity.2,28 Various
response to an acute stressor and can increase the resistance degrees of success in the manipulation of the immune system
against infections and the development of mutation-related have also been reported with psychological interventions
cancer. There are, however, also disadvantages in this acute such as hypnosis, self-hypnosis, relaxation therapy, condition-
increase in immune activity as it can predispose to the develop- ing procedures, self-disclosure, group psychotherapy, support-
ment of autoimmune disorders and exacerbate inflammatory ive group therapy, guided imagery, and biofeedback tech-
conditions such as rheumatoid arthritis.23 This hyperrespon- niques24,29–31 and it is known that in certain cases a sustained
siveness may, in addition, lead to intensification of delayed type period of months of intervention is needed to obtain the
hypersensitivity and contact allergies.24 Transient immune required effects.
suppression can, however, also occur with relatively mild to Further supporting evidence for the influence of the brain on
severe acute stressors such as examination stress, or emotional the immune system comes from observations in patients with
disabling experiences where it may suppress seroconversion cerebral damage. Brain injury, including surgery, ischaemic
upon vaccination, delay wound healing and increase the vulner- damage, stroke, cerebral tumours and chronic neurodegenerative
ability to infectious complications.23,24 This paradoxical situation, diseases can influence not only cerebral immune responses, but
where acute stress could lead to either immune enhancement or also systemic immune function. The injury-induced cerebral
suppression, probably depends on the basal reactivity of the immune stimulation may contribute to further brain damage,
immune regulatory neuroendocrine systems such as the HPA but it can also play an important role in processes such as the
axis and the SAM axis. development of post-injury plasticity.32–34 Cerebral injury often
The immune suppression associated with chronic stress is suppresses important systemic immune responses and may
known to increase the vulnerability of predisposed individuals render the individual more vulnerable to infections and the
to the development and progression of cancers and infectious development of sepsis.34
Review Articles South African Journal of Science 99, July/August 2003 335

Influence of the immune system on neurological function nature of the neurological, immunological and feedback
and on behaviour alterations, predispose, in later life, to either physical disease,
It is by now scientifically well accepted that mood and cogni- psychological disorders or to both.25,39 There are even indications
tion can change the immune system. The reverse is, however, that alterations of basal neuroimmunological function due to
also true. The immune system’s main messengers that influence adverse early life experiences, with subsequent non-termination
the brain are the immune-cell-derived cytokines. of the sickness-induced production of pro-inflammatory
The role of the immune system in psychopathology has been a cytokines, could trigger the development of mental disorders.25
subject of intense research for the last few years and examples of
immune involvement can be found in all classes of the DSM-IV Impact of psychoneuroimmunology
(4th edition of Diagnostic and Statistical Manual of Mental Disor- The impact of the knowledge that neither the immune system,
ders). Major depression is probably the best-investigated distur- nor any part of the nervous system, is autonomic and that the
bance associated with immune alterations. The immunological neuroendocrine system has a regulatory influence on the
changes that can exist in major depression were well reviewed immune system, and vice versa, is far-reaching. It is now well
by Maes.35 Direct evidence for the presence of an inflamma- established that immune changes are not, as previously thought,
tory response in mood disorders comprises findings such as specific correlates of individual mental disturbances.25,40 It is
increases in circulating monocytes and neutrophils, raised realized that there are flaws in our concept of the brain as
neopterin and prostaglandin levels, activation of the acute a so-called ‘immune privileged organ’, that peripherally
phase response, and increases in pro-inflammatory cytokines produced cytokines can influence the brain,41,42 that the brain can
such as IL-1$, IL-6 and IFN(.35 Pro-inflammatory cytokines produce its own cytokines,41,42 that an interplay exists between
would, not only in depression but in general, appear to be the central nervous system and peripheral immune responses43 and
main neuromodulatory factors through which the immune that cerebral function is influenced at many levels by the
system can influence neurobehavioural function, and pro- immune system, including normal memory processes and the
inflammatory cytokines such as IL-1, IL-2, IL-6 and TNF" have plasticity that develops after cerebral injury.32,33,41,42
repeatedly been shown to alter the functioning of the dopa- Scientific insight into the mechanisms that underlie the
minergic, serotonergic, cholinergic, noradrenergic, cortico- adverse effects of negative thoughts on health gives credence to
tropin-releasing factor and other CNS systems.36 what has long been intuitively suspected and a paradigm shift is
Strong support for the influence of cytokines on the brain is occurring in the biological sciences where the magnitude of the
also derived from human cytokine therapy and experimental influence of environment, lifestyle, perceptions, coping style,
work that demonstrates the ability of cytokines to cause positive as well as negative relationships and a host of other
neurobehavioural disturbances ranging from mild constitu- psychological vulnerability and resilience factors on physical
tional symptoms (fatigue, chills, headaches, fever, etc.) to serious health is being recognized.2,29,43 At the same time, the physiologi-
behavioural problems such as major depressive moods, anxiety, cal processes through which cognition and emotion can be
hallucinations, disorientation, delirium and psychosis.25 Of great influenced by peripheral infections, inflammation, trauma and
practical importance is the fact that pro-inflammatory cytokines almost any kind of tissue injury are becoming clear, and it is
produced anywhere in the body as a result of inflammation, realized that these behavioural symptoms cannot be seen as
infection or simply any form of tissue injury, can influence the reactive only in response to disability and pain.25 Consideration
central nervous system and behaviour. This can initiate the should be given to the possibility that such symptoms can reflect
condition known as ‘sickness behaviour’. a combination of the psychological response to disability and
Sickness behaviour can be defined as a combination of coordi- pain, and the effect of cytokines on the brain.
nated behavioural and physiological changes that develop in
response to infection, inflammatory conditions or any physical Discussion
trauma that initiates the inflammatory response. The symptoms Psychoneuroimmunology is a developing interdisciplinary
of sickness behaviour can include any combination of the field that deals with the interactions between behaviour, the
following: fever, fatigue, hyperalgesia, somnolence, anhedonia, interconnected neurological functions, and the related immuno-
loss of appetite, loss of interest in social and sexual interaction, logical processes.43 Unlike previous approaches to the mind–
decreased concentration and other cognitive abilities, decreased body paradox, it introduces the immune system into the equa-
locomotor and body-care activities, as well as feelings of depres- tion. Although initial papers on PNI were speculative, we have
sion, hopelessness, irritability, anxiety, worthlessness, guilt and now moved beyond the point of folklore, speculation and
the reorganization of perceptions and coping strategies.25,37 intuitive knowledge to where the convergence of many sub-dis-
Understanding that sickness behaviour, in contrast to illness ciplines from the biological sciences and humanities led to the
behaviour, is primarily physiologically induced and that the emergence of its present status, that is, an interdisciplinary field
mood disturbances seen with chronic inflammatory and long- where body and mind are seen as one functional unit.43
term infectious complications, or even just the common cold, Psychoneuroimmunology developed and scientifically supports
may partially result from the production of pro-inflammatory the concept of the immune system as major sense-cum-control
cytokines, rather than being merely reactive in nature, should organ — on a par and interacting with the neuroendocrine
change our attitude to behavioural disturbances such as depres- system.14,18,42 Psychoneuroimmunology, considered by some to
sive moods in the physically ill patient. Of interest is that there be a post-modernistic approach to the mind–body problem and
are indications that antidepressants could be of benefit by by the uninitiated as some form of a quasi-medical concept,
suppressing the production of pro-inflammatory cytokines and should surely be seen as a major contributor to a more integra-
by acting as analgesics.25,38 tive understanding of the way psychological and physical
An important aspect of the psychoneuroimmunological aspects operate in unison. In a sense psychoneuroimmuno-
interaction is that both the neurological and the immune system logical research provided the scientific credibility for certain
can be primed by early life experiences to a high stress vulnera- assumptions made by the biopsychosocial model, by earlier
bility, as well as to suppression of the regulatory negative feed- approaches of mind–body unity, and in general by intuitive
back mechanisms — traits which could, depending on the knowledge among the general public on the way our thoughts
336 South African Journal of Science 99, July/August 2003 Review Articles

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