Neurophysiologie clinique 33 (2003) 23–30 www.elsevier.com/locate/neucli Original article Event-related brain potentials in a patient with akinetic mutism Potentiels cérébraux cognitifs au cours du mutisme akinétique. À propos d’un cas Boris Kotchoubey a,*, Manfred Schneck b, Simone Lang a, Niels Birbaumer a,c a Institute of Medical Psychology and Behavioral Neurobiology, University of Tübingen, Gartenstr. 29, 72074 Tübingen, Germany b Section of Neurorehabilitation, Münster Clinics, Zwiefalten, Germany c Center for Cognitive Neuroscience, University of Trento, Italy Received 12 June 2002; accepted 26 November 2002 Abstract The clinical pattern of complete akinetic mutism (AM) was observed in a patient with a bilateral infarction of the anterior cerebral arteries extending to the rostral cingulate cortex and the supplementary motor areas. Since the patient was unable to produce any overt response, event-related brain potentials (ERPs) were used to obtain information about cortical processing of stimuli. Oddball tasks with simple acoustical stimuli and semantic categories were used. Verbal processing was further assessed by comparing event-related potentials to words compatible versus incompatible to the semantic context. Although the pattern of cortical responses was abnormal, differential responses were clearly obtained to semantically different word classes. Thus, the hypothesis about cortical non-responsivity of AM patients, drawn from several previous reports, was not supported. An ERP examination in AM patients can deliver information about their mental state, provided that the stimuli and tasks possess a wide range of informational complexity and motivational value. © 2003 Éditions scientifiques et médicales Elsevier SAS. All rights reserved. Résumé Le tableau clinique du mutisme akinétique (MA) complet a été observé chez un patient présentant un infarctus bilatéral des artères cérébrales antérieures se prolongeant au cortex cingulaire antérieur et aux aires motrices supplémentaires. Puisque le patient ne pouvait pas produire une réponse manifeste, les potentiels cérébraux liés aux événements (ERP) ont été utilisés comme moyen d’obtenir des informations sur le traitement cortical des stimuli. Nous avons employé des tâches « oddball » en utilisant des stimuli acoustiques simples et des catégories sémantiques. Le traitement verbal a été encore évalué en comparant les potentiels cérébraux liés aux événements selon que les mots sont compatibles ou incompatibles par rapport au contexte sémantique. Bien que le tableau des réponses corticales fût anormal, des réponses différentielles furent obtenues en réponse à des catégories sémantiques différentes ; en conséquence, l’hypothèse que le cortex des patients avec MA ne réagit pas aux informations de l’environnement, tirée de plusieurs rapports précédents, n’a pas été confirmée. L’étude des ERP chez des patients peut fournir des informations sur leur état mental, à condition que les stimuli et les tâches possèdent un haut degré de complexité informationnelle et de valeur motivationnelle. © 2003 Éditions scientifiques et médicales Elsevier SAS. Tous droits réservés. Keywords: Akinetic mutism; Cognitive processes; Event-related potentials Mots clés : Les potentiels liés aux événements ; Mutisme akinétique ; Processus cognitifs * Corresponding author. E-mail address: boris.kotchoubey@uni-tuebingen.de (B. Kotchoubey). © 2003 Éditions scientifiques et médicales Elsevier SAS. All rights reserved. DOI: 1 0 . 1 0 1 6 / S 0 9 8 7 - 7 0 5 3 ( 0 3 ) 0 0 0 0 3 - 0 24 B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 Akinetic mutism (AM) is a rare syndrome characterized by (i) complete or almost complete immobility (akinesia) without paralysis and (ii) a lack of verbal contact. Most frequently, AM results from a bilateral damage of the anterior cingulate gyri and the supplementary motor area (SMA), which is usually caused by a stroke in the domain of the arteria cerebri anterior [1,34]. The clinical pattern of AM has also been described following lesions of the thalamus (e.g., [17,36]), globus pallidus (e.g., [31,51]), and mesencephalic brain stem structures (e.g., [6,14,37,38]). There is a considerable controversy concerning the homogeneity of the AM syndrome. On the one hand, there seem to be clinical differences between the fronto-thalamic and the mesencephalic form [47], and some authors suggest that only the former is the “true” AM [1], while patients with more caudal lesions represent a variety of the so-called apallic syndrome or “vegetative state”. On the other hand, there appear to be common pathophysiological mechanisms of all forms of AM [19,38], the most probable candidate being injury to corticostriatopallidal–thalamocortical loops [31,46]. The homogeneity of the AM syndrome is rarely warranted. Nemeth et al. [38] reported several AM patients whose state fluctuated from coma through AM to the locked-in syndrome. In some cases, AM was caused by toxical lesions and infections of the central nervous system [22,24,51], whose diffuse effects may substantially differ from those of the relatively circumscribed vascular lesions. Very little, if anything, is known about cognitive functions in AM. In typical cases, the lack of overt responses makes the use of standard neuropsychological tests impossible. The sensory and association cortices are, as a rule, spared in these patients. Thalamic lesions, which can lead to sensory disorders, constitute a minority of the reported cases. Accordingly, early cortical evoked potentials are normal, suggesting that the primary analysis of sensory signals is intact [22]. Some consider AM as a primary disorder of motivational or drive functions with relatively intact cognition (e.g., [1,19]). In fact, the term “mutism” presupposes the lack of expressive speech but intact language comprehension. In contrast, other authors regard this condition as a form of severe cognitive impairment close to a vegetative state [37]. The view of AM as the complete loss of consciousness was presented in a well-known and authoritative book of Damasio [15]. This view is consistent with a well-replicated finding that EEG rhythmic activity in AM patients does not respond to stimulation [6,22,36,37]. Thus, even though sensory signals do successfully arrive at the cortex, nothing is known about their further processing there. Given that the measured EEG responses to simple visual stimuli are mainly mediated by the intact occipital cortex, it remains unclear as to what may constitute the basis of this non-responsivity. It appears reasonable to employ a more precise technique for the assessment of cortical functions in AM. This is the technique of event-related brain potentials (ERPs), which allows a highly differentiated evaluation of different aspects of information processing in the cortex. In healthy subjects, this method is used for study of cognitive processing independent of the overt response [13,32]. In clinical neurology, ERPs were used to reveal cognitive functions in several conditions in which patients are unable to perform motor responses, such as coma [18], vegetative state [27], and the locked-in syndrome [40]. On the basis of the (more traditional) view reflected in the term AM, one might expect that ERP waves related to perceptual processes, memory updating, semantic analysis, etc. would be close to normal, with possibly decreased amplitudes over the region of the lesion. The opposite account, which places AM in the vicinity of vegetative state and coma, would lead to the other prediction, i.e., that brain waves reflecting cortical information processing would be lacking or, at least, would not vary as a function of stimulus features. Given that the most simple and usual ERP paradigms have been shown to heavily involve the damaged anterior cingulate (e.g., [11,49]), the former (i.e., most optimistic) prediction does not seem very probable. However, any option between the two extremes cannot be ruled out a priori. 1. Materials and methods 1.1. Patient S.V., female, 44 years old, right-handed, never seriously ill before, was hospitalized due to a sudden series of seizures with disoriented consciousness. Neurological and angiographic examination revealed a subarachnoidal hemorrhage from an aneurysm of the ramus communicans anterior with severe brain swelling. Later on, the same day, the patient became completely non-responsive and had to be artificially ventilated. The liquor pressure remained uncontrollable despite massive anti-edema therapy, and on day 52 after disease onset, a ventriculoperitoneal shunt was installed. After this operation, her state improved substantially: her reactions to pain and other simple stimuli as well as her ability to track moving objects with the gaze stabilized. Her sleep–wakefulness cycle also normalized. Then, the tracheostoma was removed. CT (an example on day 95 is presented in Fig. 1) showed large hypodense areas in both frontal lobes in the basin of the anterior cerebral arteries, which extended over the motor cortex up to the Rolandic fissure. Necrotic areas were also found in the right temporal lobe. The lateral and the third ventricles, and the fourth ventricle to a lesser degree, were enlarged. No considerable changes were found in subsequent CT examinations. On day 90 (the day of the first ERP recording), the patient appeared to be oriented in the environment, with vivid reflexes. Her gaze followed moving objects, she was able to swallow but was not able to chew. No verbal contact was possible and no motor response on request was produced. Slight spastic tetraparesis was more pronounced in the legs than in the arms. An EEG demonstrated a general slowing of B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 25 Fig. 1. CT of patient S.V. shows a nearly complete destruction of the brain tissue in the domain of the anterior cerebral arteries on both sides. A further lesion in the right temporal lobe can be seen. rhythmic activity with fronto-central delta-waves. A comparison between rest and stimulation conditions did not reveal any difference in the EEG power spectrum. Two months later, on the day of the second ERP recording, there was an alleviation of the tetraparesis with reduced spasticity as compared with the previously described state. S.V. was able to wipe off the saliva at her mouth using a towel placed in her hand. More complex movement patterns, such as giving a hand in response to somebody else’s hand, or playing back a thrown ball, appeared from time to time, but were inconsistent. During ERP recording, the patient actively responded with head and eye movements to every change in the environment, watching cables and connections of devices. As compared with the previous measurement, the EEG revealed a substantial increase of alpha (8–13 s–1) activity and decrease of theta and delta oscillations. Stimulation led to a decrease of alpha and an increase of faster EEG activity, as compared with rest. 1.2. Procedure The ERP examinations were approved by the ethical committee of the University of Tübingen. Two measurements were conducted during which the patient was sitting in a wheelchair. Due to the unreliable eye fixation, only acoustic (binaural) stimuli were used. The following stimulation paradigms were used: (i) Habituation. Ten trains each of which entailed ten 1000-Hz 50-ms tones were presented with 2 s pauses between the trains. Interstimulus intervals (ISIs, i.e., the intervals between the onset of two consecutive stimuli) within a train were 300 ms. ERPs in this condition were averaged, first, over each train (indicating the between-train habituation), and second, across all first, all second, ..., all 10th stimuli (indicating the within-train habituation). (ii) Oddball. This condition consisted of the presentation of two sine tones (800 and 1300 Hz) with ISIs of 850 ms. The former tone had a probability of occurrence of 15% and served as a rare target, i.e., the patient was told to count it, although we were unable, due to the lack of behavioral responses, to control whether this instruction was followed. The other stimulus had a probability of 85% (standard). A total of 300 tones was administered (i.e., 45 targets and 255 standards). In controls, this paradigm results in a parietal positive ERP component P3 (e.g., [44]). (iii) Semantic oddball [26]. In this condition, animal names were used as a target stimulus category, and other frequent nouns (jobs, body parts, household objects, and plants) served as standards. A total of 75 words was used (15 words in each semantic category), each of which was presented four times. The order of presentation was randomized, except that the same word was never presented twice in a row. The patient was instructed to count animal names ignoring all other words. ISIs were 1 s. (iv) Word pair [23]. Fifty pairs of strongly associated one-syllable very frequent words (e.g., day–night) and 50 pairs of unrelated words (e.g., man–table) were presented in a random order. The associative strength for each word pair had previously been assessed by a group of healthy subjects. ISIs were 500 ms, and interpair intervals were 1.2 s. 26 B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 (v) Sentences [28]. Fifty simple sentences with an expected end word (e.g., we live on the planet earth) were interspersed with 50 similar sentences with an incongruent end word (e.g., the waiter brought ice cream with earth). ISIs between words varied from 300 to 600 ms and the intervals between sentences were 2 s. 1.3. Data acquisition and analysis The EEG was recorded using Ag/AgCl electrodes placed at F3, Fz, F4, C3, Cz, C4, P3, Pz, and P4 leads according to the international 10–20 system, referred to the two mastoid electrodes linked via a 10-kΩ shunt. The low-pass filter was set at 70 Hz (with a further digital filtering at 30 Hz), and the time constant was 0.3 s. The vertical and horizontal EOG were recorded by means of electrodes attached above and below the right eye, and at the outer canthi of the eyes, respectively. The signal was digitized with the rate of 250 s–1. Trials containing EEG amplitudes >100 µV were discarded. Eye movement artifacts were corrected using regression technique. ERPs were averaged off-line over an epoch of 1100 ms (400 ms in the habituation condition), including a 100-ms pre-stimulus baseline. Two methods were used to assess the reliability of S.V.’s ERP responses. In the univariate approach, the mean area under the ERP curve was measured in each single trial within a selected time window corresponding to the sought wave. These data were analyzed by means of an analysis of variance with factors condition (e.g., frequent versus rare stimuli in oddball tasks; appropriate versus inappropriate words in the sentence task) and topography (i.e., electrode sites). In the multivariate approach, all data points between 300 and 812 ms were presented as two vectors (according to the two conditions characterizing a given task), which were wavelettransformed (in order to reduce the number of interrelated variables) and compared by means of the Hotelling T2-test [27]. The two techniques have different advantages and disadvantages. The univariate method is prone to test only those waves which are similar to those obtained in healthy subjects, ignoring possible latency differences. On the other hand, the multivariate method takes into consideration too many irrelevant variables, which do not contribute to the difference between conditions and thus diminish the test power. It should be noted, however, that in most cases, the two approaches led to the same result indicating that this result was not produced by the particular features of each statistical technique. Moreover, these two analyses were also applied to the data recorded in the two EOG channels in order to control the condition that a significant ERP difference did not result from any eye movement artifact that might have remained uncorrected. In no task, significant differences were found in the EOG channels. Fig. 2. ERPs of S.V. in oddball conditions (top and middle panels). Thick line: rare targets; thin line: frequent standards. For simplicity, only four electrode sites are presented in this and the following figure. A distinct cortical response P1–N1–P2 at Cz can be seen. At C4, late positive waves differentiate between tagets and standards, this differentiation being highly significant on the 1st but not on the 2nd examination. The vertical indicates the similar shape and the identical peak latency (390 ms) of the target C4 waveform in both examinations. For comparison, the average response of six healthy subjects in shown in the bottom panel. The longer latency of the late positivity in S.V. than kn controls is a non-specific finding which occurs in various neurological and psychiatric diseases [3,25]. More surprising is the lack of this positivity at Pz, where it is the largest in healthy subjects. Negativity in Figs. 2 and 3 is plotted upwards. B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 27 2. Results 2.1. Primary cortical responses During the first examination, all non-verbal stimuli elicited a distinct primary complex of cortical waves N1–P2 with latencies of around 120 and 210 ms, respectively (Fig. 2). This complex habituated both between trials and between trains. When averaged across the first versus the last trials in all the trains, the peak-to-peak N1–P2 amplitude decreased from 16 to 8 µV. In the comparison between the first and the last train, the corresponding figures were 19 and 9 µV. During the second examination, the N1–P2 complex was also clearly expressed in response to verbal stimuli, suggesting better synchronization of neural generators responsible for cortical auditory responses. Both between-trial and between-train habituation effects were obtained. 2.2. Oddball The late P3-like wave distinguishing between targets and standards had an atypical scalp distribution reaching a maximum amplitude of about 8 µV at the right fronto-central locations (Fig. 2). In the first examination, this positivity to rare stimuli in the interval 300–500 ms was highly significant (univariate P < 0.005; multivariate P < 0.001). Although a very similar positive wave was recorded in the second examination as well (Fig. 2), it did not reach significance (P > 0.20). Earlier ERP components such as P1, N1 and P2, did not discriminate between targets and standards. 2.3. Semantic tasks In the semantic oddball paradigm, which required understanding the experimenter’s instruction and the ability for semantic classification, a late positive wave quite similar to that in the non-verbal oddball was obtained (Fig. 3). Importantly, this wave measured over the 500–700 ms interval was significant on both first (univariate P < 0.05; multivariate P < 0.02) and second examinations (univariate P < 0.05; multivariate P < 0.05). No differential response was found in the word pairs and sentences paradigms. 3. Discussion Although AM is often discussed under the general rubric “disorders of consciousness” [2,10,21,47,48], there are no empirical data as to what is happening in the minds of those patients and how far the higher cortical functions underlying their consciousness are disturbed. The typical general impression from AM patients, precisely depicted as “appearance of vigilance” (see [46], p. 1214; [47], p. 441) cannot substitute objective data, notwithstanding possible methodological difficulties discussed in the following paragraphs. The present study is the first one in which the sensitive technique of event-related potentials was employed to obtain Fig. 3. ERPs in the semantic oddball task during the first (top panel) and second examinations (middle panel). The average ERPs of six healthy subjects are presented in the bottom panel for comparison. For the legend, see Fig. 2. the data of whether the abilities to differentiate between the stimuli according to their physical and semantic qualities are still preserved in an AM patient. 3.1. Patient The low incidence of AM makes it virtually impossible to conduct studies with a homogenous and statistically sound 28 B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 patient sample. The maximum information about this syndrome, therefore, is and will be obtained from single-case studies. This should not, however, be said in an apologizing tone, taking into consideration that single-case observations have built a firm basis of modern neuropsychology [7,8]. S.V. possessed many “classical” AM features: large bilateral lesion of the medial frontal cortex involving the cingulate cortex and the SMA, without damage of the brain stem structures responsible for vigilance; complete loss of voluntary motor activity and active communication; EEG slowing with fronto-central delta-waves. Her gaze followed moving objects and persons in her environment but she was unable to perform any instruction. At the second examination, behavioral and physiological (a-rhythm) data indicated the beginning of recovery. On the other hand, the patient became more distractable. Other features were rather atypical, such as the large lesion in the right temporal lobe and mild pyramidal signs, which, however, cannot explain her total immobility. To summarize, although AM clearly prevailed in S.V.’s condition, we cannot rule out that some portion of her abnormalities should be attributed to additional lesions, not directly related to the AM syndrome. 3.2. Reliability Given the relatively small number of valid trials, a question of the reliability of the present ERP data may be posed. For instance, some of the observed waves might be regarded as non-averaged delta oscillations rather than the true stimulus-evoked activity. These oscillations might eventually have led to a statistically significant result simply by chance. However, this supposition is at odds, first, with the similarity of most data obtained in the two examinations, and second, with the identity of the results obtained with univariate and multivariate tests. The interpretation of positive and negative findings should be distinguished. As regards the former (i.e., clear differences between conditions), the stability of the S.V.’s N1–P2 wave complex and its habituation with stimulus repetition suggests that the primary signal analysis in the auditory cortex and the most elementary learning processes were preserved. The oddball paradigm with simple tones yielded two very similar positivities having exactly the same latency (both peaking at about 390 ms, see Fig. 2). Although in the second examination the difference did not reach the conventional significance level, this exact temporal coincidence seems unlikely to have appeared due to a random overlap of stimulus-unrelated EEG-waves. In the semantic oddball, both examinations led to statistically significant results. The first time, the late positive wave discriminating between standards and targets might eventually be attributed to a shift of the whole target waveform (Fig. 3); however, that shift was not significant while the late positivity to targets was. In the second examination, there was no such shift at all, yet the positive component was significant again. Given the abnormal morphology and topography (see below), we do not assert that the obtained ERP components are indeed those described in general psychophysiology as P300 or P600. What can be said is that there were differentiated cortical responses to semantically different word classes, which indicates that at least some cortical mechanisms underlying language comprehension were preserved. The low signal–noise ratio usually decreases the probability of obtaining a reliable ERP difference. This fact underscores the value of the above-mentioned consistent positive findings, but it also stresses the caution required for the interpretation of negative findings. For instance, the P300 wave is often abnormal in many patients with much milder morphological and behavioral changes than those observed in S.V. (for review, see [3,25]). Moreover, each of the expected ERP phenomena can occasionally be lacking in a completely healthy individual as well (e.g., [44]). These factors cannot, however, explain the clearly abnormal scalp distribution of oddball responses, as well as the fact that both semantic mismatch paradigms led to zero results in both examinations. In sum, the present data show that the idea of cortical non-reactivity in AM [15,37,38] was obviously based on the insufficient sensitivity of the recording of EEG rhythmic responses. An AM patient can be able to process stimulus information at different levels of complexity. On the other hand, our data also do not provide support for the more traditional view, namely that AM is mainly a disorder of motivation and action control [1,19] consisting of the interruption of the pathway between the “central executive” and the motor system. Such a view implies that the information processing would be intact up to the point where a decision about the response is made. This was not the case in S.V. Although the present data do not allow us to describe the exact nature of her cognitive deficit, there is no doubt that some kind of cognitive impairment was present, which cannot be explained by purely motivational factors. 3.3. Damaged brain areas and cognitive dysfunctions Two brain structures were completely destroyed by the stroke in S.V.: the SMA and the anterior cingulate gyrus (ACG). Both are critically involved in the organization of voluntary movements [16,45,50]. However, some data indicate the activity of SMA and pre-SMA during tasks which do not require overt responding, such as time perception [29] or memory recall [5]. The main function of the ACG is presently conceived of as the monitoring of conflicts between incompatible responses (see [4,12,20,30]). On the other hand, evidence is being accumulated that the dorsal part of the ACG may exert attentional control of stimulus processing, even independent of motor action [9,11,35], although it remains unclear as to whether the same ACG region is involved in both perception- and action-related attentional control [33,39], or whether these processes are topographically distributed within the anterior cingulate [41]. It should be noted that relatively circumscribed ACG lesions (e.g., cingulotomy to cure intractable pain, see [42] for review) never result in massive cognitive deficits comparable with AM. Similar to S.V., most AM patients have much larger B. Kotchoubey et al. / Neurophysiologie clinique 33 (2003) 23–30 lesions, which exceed SMA and ACG. These lesions have been suggested to affect the so-called gating systems [47] through which the frontal cortex exerts its control over the thalamic mechanisms of attentional tuning of sensory signals [52]. Interestingly, despite the enormous importance of these structures in warranting normal cognitive functioning, they may not be directly involved in the maintenance of vigilance, since patients in a permanent vegetative state may possess a high degree of intactness of these circuits [46]. It may be speculated that, whereas the disruption of these corticostriatopallidal–thalamocortical loops leads to the clinical pattern of AM, the preserved function of these loops may underlie fragmented cortical processing in vegetative patients [43]. In line with this idea is the fact that the most clear positive result in S.V. was obtained in the semantic oddball demanding active following of the experimental instruction, whereas the two semantic mismatch tasks in which passive listening is required yielded no response; exactly the opposite is typical for patients in a vegetative state and minimal consciousness state [27]. This pattern may be explained by the inability to sustain attention spontaneously, but it also indicates the importance of such factors as the salience or motivational value of stimuli. Acknowledgements This study was supported by the German Research Society (DFG). The technical assistance of V. Bostanov and M. Riess is appreciated. 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