A critical review of impairments in decision-making in Patients with Parkinson’s disease Agata Ryterska & Magda Osman Biological and Experimental Psychology, School of Biological and Chemical Sciences, Queen Mary University of London, Mile End Road, London, E1 4NS, UK Correspondence to: [email protected] Abstract Parkinson’s disease (PD) is a progressive neurodegenerative disorder which affects both motor and cognitive functioning. The focus of this review to consider the evidence concerning the deficits associated with a specific type of cognitive function: decision-making under uncertainty and under risk. Thus far, the extant evidence paints a complex and often conflicting picture of what types of decision-making deficits are associated with patients with PD. To explain the inconsistencies in the findings this review proposes that the deficits result from 1) the medication status of the patient (i.e. when they are on dopaminergic medication), 2) situations in which patients engage in a cost/benefit analysis of the decision situation, as well 3) when patients are asked to evaluate the outcomes of the choices they make. A critical review of impairments in decision-making behaviour in Patients with Parkinson’s disease To begin, we refer to decision-making as a process in which an individual selects on some basis of value (e.g. most rewarding, least painful, least effortful, most likely) the best option from a set of alternative options. This process also involves considering the costs associated with each option, such as uncertainty and risk (the probability of obtaining reward), time delay, and effort. The aim of this review is to discuss the associated deficits in decision-making under uncertainty and under risk in patients with Parkinson’s disease, and to speculate as to the reasons for these deficits. This review will briefly start by introducing the various psychological tools used to examine decision-making under uncertainty and risk, and then consider the factors that contribute most to deficits that are reported in the neuroscientific domain. As a final point of discussion the review will propose practical ways in which decision-making under uncertainty and risk can be facilitated in patients with Parkinson’s disease. Midbrain Dopamine Neurons and Decision-making To date, there is considerable work suggesting that neurotransmitter dopamine, alongside serotonine and noradrenaline, is heavily implicated in the process of making a decision in situations where the outcome is uncertain and difficult to predict based on the cues available in the environment (Doya,et al., 2008; Platt, et al., 2008; St Onge, et al., 2008; Tom, et al., 2007; see Trepel et al. 2005 for a review),. Midbrain dopamine neurons have been implicated in a catalogue of operations that are thought to be involved in decision-making under uncertainty and risk. For instance, people are often required to make predictions about what they expect will happen once they make a decision; this is thought to be mediated by mesencephalic dopamine neurons (Bayer, et al., 2005; Pessiglione, et al., 2006; Steinberg, et al., 2013). There is a large body of work suggesting that midbrain dopaminergic neurons play an active role when people engage in thinking about the values associated with outcome they expect to occur (Enomoto, et al., 2011; Nomoto, et al., 2010; Parush, et al., 2011; Pasquereau, et al., 2013). Follow this, people must also pay attention to the consequences of their actions once they make a decision; the evidence from human behavioural and imaging studies suggest that midbrain dopamine neurons are active when this happens (Palminteri, et al., 2009; Poldrack et al., 2001; Seger & Cincotta, 2005). Decision-making in Patients with Parkinson’s Disease Parkinson’s disease (PD) is a progressive neurodegenerative disorder affecting dopaminergic cells in substantia nigra, which is located in the midbrain region. As a result, the disorder effects the functioning of the midbrain dopaminergic system including the functioning of other basal ganglia nuclei, such as the striatum. At the behavioral level, what this means is that patients with PD show impairments to their motor (bradyknesia (slowness of movement), akinesia (poverty of action), tremor and rigidity) and cognitive functioning. As might be predicted from work examining associations between midbrain dopaminergic neurons and decision-making under risk and uncertainty, the loss of dopamine producing cells typically found in patients with PD has negative consequences for their decision-making (Brand et al., 2004; Czernecki et al., 2002; Delazer et al., 2009; Euteneuer et al., 2009; Ibarretxe-Bilbao et al., 2009; Kobayakawa et al., 2008; Mimura et al., 2006; Pagonabarraga et al., 2007). More to the point, there are a variety of decision-making tasks, which form a test battery of tools used to uncover impairments that patients with PD show when making decisions in uncertain and risky environment (e.g., weather prediction task [Knowlton, et al., 1996; Jahanshahi et al, 2010; Shohamy et al, 2006; Wilkinson, et al., 2011], Iowa gambling task [Mimura et al, 2006; Poletti, et al, 2010], Game of Dice [Mimura et al., 2006; Pagonabarraga et al., 2007]). One of the key features of the tasks is that people are required to make decisions based on information that does not reliably predict the outcome all the time (i.e. it is probabilistic). Also, the event generated from a decision made is usually associated with information that helps people to learn to make better decisions over time; that is, people are told whether their decisions was correct (positive feedback/positive reward) or incorrect (negative feedback/negative reward). Crucially though, the major problem with research employing these tasks to examine decision-making under uncertainty and risk in PD is that the profile of deficits in decision-making in these specific circumstances is unclear, and in some studies PD patients have been shown to be as good in performance as healthy age-matched controls (HCs). Why might this be? The next section considers the three tasks more in depth before speculating as to the reason behind the mixed findings. Weather prediction task (WPT): The WPT (Knowlton et al., 1994) was originally developed to look at learning of probabilistic information in uncertain environments in amnesic patients. A double dissociation study (Knowlton, et al., 1996) comparing performance of amnesic patients and patients with Parkinson’s disease showed that while amnesic patients had problems remembering the training episode on the task, they still learned about the cue-outcome relationships within the task. This was in contrast to PD patients’ performance, who had problems learning about the underlying structure of the task, even though they had a very good recollection of the training episode. Considering the dysfunction of the striatum in PD, this was taken as evidence for the importance of this structure for learning and decision-making in probabilistic and uncertain environments. Imaging studies that followed confirmed the important role of the striatum during execution of the WPT (e.g. Moody, et al., 2004; Poldrack, et al., 1999; Poldrack, et al., 2001; Wilkinson, et al., 2014). Performance on this task has generally been found to be impaired in clinical populations suffering from dopamine imbalance, such as Parkinson’s Disease and Huntington Disease patients (e.g. Jahanshahi, et al., 2010; Knowlton, et al. 1996; Holl, et al., 2012; Poldrack, et al., 2001; Shohamy, et al., 2004; Witt, et al., 2002). Insert Figure 1 about here In the WPT participants are presented with 100 or so trials. On every trial they see a combination of tarot cards (maximum number is four) and from this configuration of cards they are asked to predict an outcome (i.e. whether it will be rainy or sunny) (see Figure 1). The actual outcome is determined by a probabilistic rule, and in actual fact each card is only partially an accurate predictor of the outcome (Gluck et al., 2002). Usually participants are told whether or not their predictions were correct (i.e. outcome feedback) on a trial-by-trial basis, along with whether or not they won or lost most (i.e. reward information). In general when PD patients on dopaminergic medication (e.g. LDopa) perform the WPT, they show impair performance. That is, they are unable to accurately learn to use the probabilistic information to predict the outcome on each trial (e.g. Knowlton et al., 1996; Wilkinson et al., 2008). However there is conflicting evidence from Shohamy et al. (2004) suggesting that PD patients can perform the as well as HCs under conditions under which they observed the associations between the probabilistic information and the outcomes during training. IOWA Gambling task (IGT): The IGT has been initially designed to examine real-life decision-making in the laboratory setting (Bechara, et al., 1994). It was first developed to examine risky decisionmaking in patients with orbitofrontal damage (e.g. Bechara, et al., 1996), but its’ use was soon extended to other clinical populations, such as pathological gamblers (e.g. Brand, et al., 2005), substance abusers (e.g. Barry, et al., 2008; Bolla, et al., 2003; Verdejo-Garcia, et al., 2007), patients with obsessive-compulsive disorders (Buelow, et al., 2009; Lawrence, et al., 2006) and PD and HD patients (e.g.: Kobayakawa, et al., 2008; Mimura, et al., 2006; Pagonabarraga, et al., 2007; Perretta, et al., 2005; Stout, et al., 2001, Thiel, et al., 2003;). Although, according to fMRI studies, the task primarily activates areas such as dorsolateral prefrontal cortex, mesial orbitofrontal and ventromedial prefrontal cortex, striatal activation during the task has been observed as well (Gescheidt, et al., 2013; Li, et al., 2010; Linnet, et al., 2011; Linnet, et al., 2012; Power, et al., 2012; Yamamoto, et al., 2014). The IGT is a task made popular because it thought to be a reliable way to measure risky decision-making (though actually see Ryterska et al, in press for alternative conceptualisation of the task). On each trial in the IGT participants are told to choose between four decks of cards (see Figure 2). Insert Figure 2 about here What participants don’t know is that two of the decks are advantageous (small gains, and small losses- consistent selection from this deck over 100 trials leading to net a profit) and two are disadvantageous (large gains, and larger losses- consistent selection from this deck over 100 trials leading to net a loss). Here again, the pattern of findings is mixed. In general, PD patients tend to select the disadvantageous decks more often than the HCs (Czernecki et al., 2002; Delazer et al., 2009; Mimura et al., 2006; Pagonabarraga et al., 2007; Perretta et al., 2005), which has been interpreted as indicating that PDs are risk seeking. Again conflicting findings suggest that when the task is modified, in this case the disadvantageous deck was associated with small frequent losses, but even smaller and infrequent gains, PD patients performed just as well as HCs, choosing from the advantageous deck as often as HCs (Euteneuer et al. 2009; Kobayakawa et al. 2008; Poletti et al. 2010; Thiel et al., 2003). Game of Dice (GDT): GDT was first developed by Brand et al. (2005) to examine the relationship between executive functions and risk-taking behavior in an explicit decision-making situation in patients with frontal lobe dysfunction. Since executive functions in patients with PD are also thought to be impaired, Brand et al. (2004) examined performance on the task in this population as well. They showed that PD patients are impaired on this task and that performance of patients was correlated with both executive functions and feedback processing, relying on fronto-striatal loops. The importance of the fronto-striatal loops for successful performance on the task was also demonstrated using brain imaging techniques (e.g. Labudda, et al., 2010; Wilbertz, et al., 2012). In the GDT task, on each trial, participants need to predict which number will finish face upwards after a dice is rolled. Participants can nominate up to 4 numbers that they expect will likely occur on a dice roll (see Figure 3). Insert Figure 3 about here The amount that can be won or lost depends on the choice made on each trial (i.e. the riskiest but most highly rewarding option is to make a single prediction, the least riskiest and least rewarding is to predict 4 possible numbers). Studies examining PD patients report that they consistently choose the riskier and higher reward option (i.e. choosing one or two numbers) more often than HCs (e.g. Brand et al., 2004; Euteneuer et al., 2009). Nevertheless, there is also conflicting evidence suggesting that PD patients can perform as well as healthy controls in a modified version in which on every trial participants were not told about their wins and losses (Labudda et al., 2010). In this variation PD patients showed a preference for the less risky less rewarding option, consistent with HCs. Why is there such variability in the findings? One clue to understanding why there is such variability in the findings concerning deficits in decision-making performance under uncertainty and risk in patients with PD is the precise manipulations which are introduced into the experimental studies. It is important to locate the source of possible variation because to date it isn’t clear whether the deficits are driven by neurological insult or methodological factors concerning the tools examining decision-making behaviour under uncertainty and risk. We know from various reviews (Osman, 2011; Ryterska et al, in press) and a recent meta-analysis (Ryterska et al, 2013) conducted on studies of decision-making in PD that decrements in performance are the result of: 1) patients with PD performing decisionmaking tasks while medicated, 2) using a set up in which outcome feedback (i.e. correct/incorrect) is present on a trial by trial basis, and 3) the presentation of information that requires patients to process the negative outcomes (i.e. loss of reward, delay of reward, effort in obtaining reward) associated with the options. Let’s consider the first factor – medication status. Dopamine replacement therapy through dopaminergic medication Levadopa (L-dopa) is often prescribed to patients with PD to alleviate the motor symptoms. One might predict that increasing dopamine levels in areas of the brain in which they are depleted, and which have been associated with decision-making, would in turn lead to improved performance in decision-making tasks. However, while L-dopa successfully attenuates motor dysfunction, it has reliably been shown to impair cognitive functions including decisionmaking (Gotham et al, 1988; Jahanshahi et al, 2010; Shohamy et al, 2006). The reason that increasing dopamine levels through medication adversely affects decision-making has been explained by the dopamine ‘overdosing’ hypothesis (Cools, et al., 2001; Gotham et al., 1988; Jahanshahi et al, 2010; Swainson et al., 2000; Torta, et al., 2009). Patients with PD show improved cognitive functioning associated with brain areas which have depleted levels of dopamine (e.g., putamen and dorsal caudate). But, L-dopa also increases levels of dopamine in less affected brain areas (e.g., ventral striatum), hence overdosing them with dopamine which leads to dysfunction of cognitive processes (e.g., Cools et al, 2001; Gotham et al, 1988). As discussed earlier, the midbrain dopaminergic system is thought to play a crucial role in a number of aspects of decision making behaviour (e.g. Schultz, 2002; Shohamy, et al., 2004); therefore disruption to levels of dopamine in relatively intact brain regions, such as the ventral striatum, are likely to impair decision behaviour. However, given that not all studies of decision-making in PD while patients are medicated (Czernecki et al., 2002; Wilkinson et al., 2008) show impairments in performance, medication alone can’t account all the conflicting findings. To understand the impact of feedback and processing the costs associated with decision-making, we first need to consider the various stages associated with decision-making. According to Rangel, et al., (2008) and others (Osman, 2014; Ryterska et al, in press) there are at least four core stages involved in the decision-making process. First of all, people need to encode the decision problem in terms of the choices they have and actions that they need to take to achieve a desirable outcome from one of the choices (stage 1). This is followed by a valuation stage in which people assign personal (subjective) values and consider the costs of the options they face (stage 2). If they follow the operations rationally, they will then select the option which they have assigned the highest subjective value to (Stage 3). Once the choice has been made the action associated with the choice is taken, and the outcome of the choice is evaluated for future possible decisions faced in similar types of decision problems (stage 4). If we return to the literature that we have reviewed here, what is clear is that when frequent discreet feedback was presented in the tasks in which the outcome was difficult to predict, patients with PD showed impairments in decision-making performance (e.g., Foerde, et al., 2013; Seo, et al., 2010; Knowlton et al., 1996). When outcome feedback in the tasks was removed, or different forms of feedback were presented then patients with PD perform as well as HCs (Minati et al., 2011; Shohamy et al., 2008; Schmitt-Eliassen et al, 2007). When tasks are devised in such a way that patients no longer need to process outcome feedback, this seems to bypass a stage in the decisionmaking process which appears to be impaired, which is why performance in particular variants of decision-making tasks is equivalent to HCs. In addition, the reviewed evidence also suggests that patients with PD show a greater tendency to opt for risky over non-risky choices which in often is not considered to be rational (e.g., Djamshidian et al., 2010; Kapogiannis, et al., 2011; Simioni et al.2012). The implication here is that when the decision-making task is set up so that risky options are made available, then they prefer to opt for the risky option. In turn this suggests that the stage of the decision-making process in which the cost of the choice alternatives (i.e. the risk associated with each option) is evaluated is impaired in PD. As a result, this affects the cost/benefit analysis stage in which the valuation of options is weighed up, and this is why PD patients show preferences for risky returns. Overall, based on the speculations we have made, the deficits in decision-making under uncertainty and risk in patients with PD appear to be located in the latter stages of the decision-making process. Moreover, the findings here also suggest that cost, values and feedback are factors in the decisionmaking problem that can be manipulated to facilitate performance, but if they are an integral part of performing the task, then deficits in performance in PDs will be found. Future directions There is amassing evidence showing that neurodegeneration in the basal ganglia structures of the brain can impair decision-making performance of PD patients on various decision-making tasks in which the outcome of the decision-making scenario is difficult to predict. The pattern of results from the studies reviewed here suggests that the source of this impairment lies in the medication status of the patient, as well as the way in which feedback information is presented, and also whether highly risky options are presented. 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