Deep Brain Stimulation for Psychiatric Disorders



Fig. 13.1
Clinical trials in deep brain stimulation, according to the National Institute of Health (NIH) clinical trials registry (From Lozano and Lipsman (2013) with permission)





13.2 MDD



13.2.1 Epidemiology and Phenomenology


MDD is among the most common psychiatric conditions, with a lifetime prevalence of up to 16 % in the general adult population (Kessler et al. 2003). The condition is highly heterogeneous, and encompasses much more than just depressed mood. Patients often endorse varying degrees of amotivation, apathy, and anhedonia, as well as lack of energy, and sleep and appetite disturbances. The involvement of multiple ‘systems’ including mood, cognitive, perceptual and vegetative functions suggests broad circuit dysfunction involving several, primarily limbic, networks. It is not possible, therefore, to ascribe MDD to dysfunction of a specific structure, but instead MDD should be viewed as a network disorder, much like Parkinson’s disease. Similarly, it is not possible to link MDD to dysfunction in one neurotransmitter system, such as serotonin. Indeed, neurobiological models suggest that dopaminergic and noradrenergic dysfunction contribute in important ways to MDD, as evidenced, in part, by the successful use of anti-depressants that target these systems (Lam et al. 2009). An improved understanding of MDD aetiology, and the development of novel therapies, would therefore need to account for its heterogeneous clinical and neurobiological picture.


13.2.2 Neurocircuitry


Much of the progress in elucidating MDD circuitry has been driven by advances in neuroimaging, and particularly functional imaging which permits a real-time view of the active brain. These studies have identified critical ‘nodes’ in primarily limbic circuits that are dysfunctional in the pathologically depressed state. For example, metabolic imaging with fluorodeoxyglucose (FDG)-PET has shown that the subcallosal cingulate (SCC) region is hyperactive in unmedicated depressed patients as well as in healthy subjects experiencing sadness (Kennedy et al. 2007; Mayberg 1997; Mayberg et al. 1999). This hyperactivity normalizes with remission of the depression following medical, psychotherapeutic or DBS treatment (Kennedy et al. 2001, 2007; Mayberg et al. 2005). Other regions implicated in depression include those involved in reward- and decision-making pathways, such as the nucleus accumbens and dorsolateral prefrontal cortex (DLPFC) (Price and Drevets 2010). Anhedonia, or the lack of pleasure in typically pleasurable activities, is a major component of depression, and has been linked to dysfunction in the nucleus accumbens (NAcc) in patients and pre-clinical models (Bewernick et al. 2010; Price and Drevets 2010). The DLPFC participates in decision-making and has reciprocal projections with both anterior cingulate and medial prefrontal cortical regions, which participate in affect- or reward-guided decisions, both dysfunctional in MDD. The DLPFC is also a TMS target in depression, where its modulation is linked to improvements in mood (Lipsman et al. 2013a). All of these structures, and the SCC in particular, project widely in the brain, along pathways subserving many of MDD’s cardinal symptoms. The SCC, for example, projects to amygdala and the insula, which participate in vegetative and homeostatic control, as well as to the medial prefrontal and anterior cingulate region, which participate in decision-making (Hamani et al. 2011). In this way, dysfunction in SCC can be linked to several key MDD symptoms. More broadly, such work can identify specific regions for DBS targeting, which can further be tailored according to the predominant clinical picture.


13.2.3 DBS Targets


Several brain targets for the management of treatment-refractory MDD with DBS are currently under investigation. These include SCC, NAcc, ventral caudate/ventral striatum (VC/VS), inferior thalamic peduncle (ITP), lateral habenula (Hab), and medial forebrain bundle (MFB) (Table 13.1). Below we review the targets that have accumulated the most experience to date.


Table 13.1
DBS studies for major depressive disorder
































































Study

Target

Number/type of patients

Outcome

Mayberg et al. (2005)

SCC

5 (MDD, one patient with bipolar II)

Follow-up 6 months. 4/6 responders, 2/6 remission as measured by HDRS

Jimenez et al. (2012)

ITP

1 (MDD with comorbid bulimia nervosa and borderline personality disorder)

Double-blind assessment protocol following initial period of 8 months with ‘on’ stimulation. No relapse of depressive symptoms with DBS turned off for 12 months. Sustained remission at 24 months with DBS on

Schlaepfer et al. (2008)

NAcc

3 (MDD)

Double-blind changes to stimulation parameters and assessment. HDRS scores decreased with stimulation and increased with stimulation off

Malone et al. (2009)

VC/VS

15 (MDD)

Follow-up from 6 to 51 months. 8/15 responders and 6/15 in remission at last follow-up measured by Montgomery-Asberg Depression Scale (MADRS)

Bewernick et al. (2010)

NAcc

10 (MDD)

At 12 months, 5/10 had achieved >50 % reduction in HDRS scores (i.e. responders). Antidepressant, antianhedonic, and antianxiety effects observed

Kennedy et al. (2011)

SCC

20 (MDD, one patients with bipolar II)

At last follow-up (3–6 years following implantation, mean = 3.5), response rate = 64.3 % and remission rate = 42.9 % (by HDRS). Considerable improvement in social functioning: 65 % of patients engaged in work-related activity at last follow-up compared to 10 % prior to DBS

Puigdemont et al. (2011)

SCC

8 (MDD)

Response and remission at 1 year, 62.5 and 50 %, respectively

Holtzheimer et al. (2012)

SCC

17 (10 MDD, 7 with bipolar II)

At 1 year follow-up, remission and response rate of 36 %. At 2 years, remission rate of 58 % and response rate of 92 %. Remission and response rates based on Hamilton Depression Rating Scale (HDRS). Efficacy similar for MDD and bipolar patients

Lozano et al. (2012)

SCC

21 (MDD)

At 6 months follow-up, response rate of 48 %; at 1-year follow-up, response rate of 29 %. Response measured by HDRS

Schlaepfer et al. (2013)

MFB

7 (MDD)

>50 % reduction in depression scores in most patients by day 7 post-op, at 12–33 weeks 6/7 responders, 4/7 in remission


SCC subcallosal cingulate, MDD major depressive disorder, HDRS Hamilton Depression Rating Scale, ITP inferior thalamic peduncle, DBS deep brain stimulation, NAcc nucleus accumbens, VC/VS ventral caudate/ventral striatum, MFB medial forebrain bundle


13.2.3.1 SCC


SCC (aka subgenual cingulate gyrus, ‘Area 25’) is a region below the genu of the corpus callosum that sits at the confluence of at least three white matter pathways. These pathways, projecting to orbitofrontal cortex (OFC), medial prefrontal cortex (mPFC) and cingulate connect higher order, ‘top-down’ cortical structures with subcortical modulatory regions. As described above, the SCC has been functionally linked to a depressed state, and more broadly to the regulation of negative emotions. Currently, the most experience with MDD DBS worldwide is with the SCC target. The SCC DBS experience started in 2003 and published in 2005 in six patients with chronic, resistant disease (Mayberg et al. 2005). Four of these patients experienced a greater than 50 % reduction in depression scores (HAMD: Hamilton Depression Rating Scale), with two patients achieving a clinical remission. This patient group has since been expanded and data on 20 patients and followed for between 3 and 6 years have been presented (Kennedy et al. 2011). Response and remission rates at last follow-up were 64 and 43 %, respectively. Two other groups have reported their series with SCC DBS and found similar results. In one paper, eight patients were followed to 1 year with the authors finding response and remission rates of 63 and 50 % (Puigdemont et al. 2011). Another group followed 17 patients (10 with MDD and 7 with bipolar depression), and found that at 2 years following surgery, 92 % were responders and 58 % were in remission (Holtzheimer et al. 2012). An additional multi-centre trial of SCC DBS found response rates of 48 % at 6 months and 29 % at 12 months (Lozano et al. 2012). Such results, in the context of severe, unremitting chronic depression, are promising and have led to the design of phase III, randomized controlled trials. The results of these trials will help establish whether DBS at this target should be an accepted treatment for this specific patient population.


13.2.3.2 NAcc and VC/VS


The prominence of anhedonia in MDD motivated the investigation of targets along reward pathways with DBS. NAcc is a grey matter region comprised of an anatomic core and shell and which exists at the ventral confluence of the caudate and putamen (hence, ventral striatum). Neurophysiological studies in animal and human models have directly linked neuronal firing in the NAcc to the receipt and expectation of reward, and imaging studies using both PET and fMRI have linked NAcc striatal dysfunction to MDD (Patel et al. 2012).

Several studies have investigated NAcc and VC/VS with DBS in open-label, prospective trials. Malone et al. (2009) operated on 15 patients using the VC/VS target and at between 6 and 51 months follow-up found that eight patients were treatment responders, and six were in remission. Bewernick et al. (2010, 2012) targeted the NAcc in ten patients and at 1 year had a 50 % response rate, with further significant effects on anhedonia, as well as on comorbid anxiety. The similar results in these studies, from different centres and employing slightly different targets is encouraging, suggesting that DBS of reward pathways can have relatively stereotypic and reproducible response rates. VC/VS has also been investigated in refractory OCD (see below) and the experience with depression arose from the observation of improved mood in OCD patients. Given the established role of NAcc in reward pathways, and the preclinical and imaging literature linking NAcc activity to reward, it may be that NAcc, and its afferent/efferent projections may be the preferred target for primarily anhedonic MDD.


13.2.3.3 MFB


Rather than targeting distinct nuclei, as is the case for motor-circuit conditions such as Parkinson’s disease, DBS in depression often targets axonal pathways in an effort to broadly modulate network wide activity. A recent example is MFB, an axon pathway that is part of the dopaminergic mesolimbic system connecting the ventral tegmental area (VTA) with NAcc and other key subcortical structures. Schlaepfer et al. (2013) described their experience of MFB DBS in seven patients with treatment-refractory MDD, and found that stimulation was associated with robust, and rapid, remission of depression. The rapidity of the response, which occurred within hours and days, contrast the typical time to response with SCC and NAcc DBS. In addition, the effect was seen in virtually every patient implanted, with six of seven patients classified as treatment responders at 12–33 weeks follow-up. These results, which require further investigation and validation in larger, blinded trials, are intriguing and suggest a more ‘direct’ route to mood change than previously observed. Coupling MFB stimulation with neuroimaging, and particularly dopamine or FDG PET, would provide additional insights into the mechanisms of the clinical response.


13.3 OCD



13.3.1 Epidemiology and Phenomenology


OCD is among the most common anxiety disorders, with a population prevalence of up to 2–3 % (Lipsman et al. 2007). The condition is marked by obtrusive, repetitive and anxiogenic thoughts (obsessions), as well as time-consuming, disproportionate, and anxiolytic behaviours (compulsions). Although obsessions and compulsions can occur in the same patient, some suffer only from obsessions or compulsions. For example, whereas some patients will have contamination obsessions and/or compulsions (i.e. ‘washers’) others will have compulsions to count (i.e. ‘checkers’). Heterogeneity in OCD is the rule, although it appears that activation of fear and anxiety circuitry is a common thread.

OCD exists at the interface between psychiatry and neurology given the prominence of physical behaviours that patients believe are ‘outside of their control’. Behaviours, or compulsions, that are meant to relieve anxiety become reinforcing, leading to a vicious cycle of thoughts and actions. Current treatment strategies include medications targeting primarily the serotonergic system, and psychotherapeutic treatments that attempt to break the cycle by altering pathological cognitions. As in depression, a substantial proportion of patients, often up to a third, remain significantly disabled, despite optimal guideline-concordant care. For these patients, novel treatment strategies, including neurosurgery, are being investigated.


13.3.2 Neurocircuitry


Similar to mood disorders, advances in neuroimaging have led to a better understanding of OCD circuitry. Such studies have implicated decision-making and fear circuitry, as well as pure motor pathways in the basal ganglia (Greenberg et al. 2010b). For example, among the most consistently activated structures is OFC that is known to participate heavily in judgement, executive functioning, impulse control and emotion-guided decision-making (Kent et al. 2003). Both fMRI and PET studies have further shown significant amygdalar activation in response to provocative, disease-relevant stimuli, as well as a failure of cortical structures, and OFC in particular, to downregulate activity within the amygdale (Saxena et al. 1999, 2004; Swedo et al. 1992). The argument for overlap between anxiety and motor circuitry is strengthened by the large number of patients with Tourette’s syndrome who are diagnosed with comorbid OCD (Cummings and Frankel 1985). It is further not uncommon for patients with striatal and other basal-ganglia pathology to develop tic- and OCD-like behaviours (Cummings and Frankel 1985). Indeed, the complex regionalization of neuroanatomy, particularly within motor circuitry is now being recognized. The subthalamic nucleus, for example, a traditionally ‘motor’ structure is now known to have distinct associative and limbic components, with unique efferent and afferent projections. The existence of parallel, yet overlapping, circuits within the same 5-mm structure, highlights the intimate relationship between these pathways, and how dysfunction in one ‘critical node’ can have network wide influence, and lead to a broad constellation of symptoms.


13.3.3 DBS Targets


OCD was the first psychiatric condition to be investigated with DBS, in a report published in 1999 that described the anterior limb of the internal capsule (ALIC) as the target (Nuttin et al. 1999). Since then, several structures have been investigated, including the subthalamic nucleus (STN), VC/VS and ITP. Below we review the targets that have accumulated the most experience to date (Table 13.2).


Table 13.2
DBS studies for OCD
































































































Study

Target

Patients

Outcomes

Nuttin et al. (1999)

ALIC

4

Three-quarters of patients had significant clinical benefit

Mallet et al. (2002)

STN

2

Comorbid PD and OCD; 58 and 64 % reduction in OCD scores after surgery

Anderson and Ahmed (2003)

ALIC

1

79 % reduction in YBOCS score at 3-month follow-up

Nuttin et al. (2003)

ALIC

6

Four patients had pre/post YBOCS assessments, and three-quarters showed >35 % reduction in YBOCS score

Sturm et al. (2003)

VC/VS

4

Three-quarters of patients had ‘near total recovery’ at 24–30 months follow-up

Aouizerate et al. (2004)

VC/VS

1

Comorbid OCD/MDD; remission of MDD at 6 months (HAM-D <7); remission of OCD after 12–15 months

Fontaine et al. (2004)

STN

1

Comorbid PD and OCD; YBOCS score reduced from 32 to 1 at 1-year follow-up

Abelson et al. (2005)

ALIC

4

Randomization to 3-week blocks of on- and off-stimulation. one patient had reduction >35 % in YBOCS score during the double-blind period

Greenberg et al. (2006)

VC/VS

10

Eight patients followed for 3 years; 50 % had >35 % reduction in YBOCS score

Mallet et al. (2008)

STN

16

Randomized, double-blind design; eight patients assigned to sham and eight to active stimulation. Twelve of 16 had >25 % reduction in YBOCS score

Plewnia et al. (2008)

VC/VS

1

YBOCS score reduced from 40 to 22 at 6-month and 1-year follow-up

Jimenez-Ponce et al. (2009)

ITP

5

49 % reduction in YBOCS at 12 months

Heterogeneous patient group (schizoid, addiction, etc.)

Denys et al. (2010)

VC/VS

16

46 % reduction in YBOCS score at 8 months in open-label phase and 25 % difference in YBOCS score between active and sham stimulated patients in blinded phase; nine patients classified as clinical responders

Franzini et al. (2010)

VC/VS

2

Clinically beneficial response in 2 of 2 patients, with YBOCS score decreasing to 22 (from 38) and 20 (from 30) at 12 and 22 months, respectively

Goodman et al. (2010)

VC/VS

6

Four of 6 patients had >35 % reduction in YBOCS score at 36 months

Tsai et al. (2012)

VC/VS

4

At 15 m follow-up, 33 % reduction in mean YBOCS score, 32 % reduction in HAMD, 31 % improvement in global assessment of functioning


ALIC anterior limb of internal capsule, OCD obsessive–compulsive disorder, STN subthalamic nucleus, YBOCS Yale-Brown Obsessive Compulsive Scale, VC/VS ventral caudate/ventral striatum, HAMD Hamilton Depression Rating Scale, MDD major depressive disorder, PD Parkinson’s disease, ITP inferior thalamic peduncle


13.3.3.1 ALIC


The ALIC is a projection pathway connecting cortical structures in the frontal and medial frontal lobe with subcortical structures and thalamus. The importance of the ALIC to disorders of mood and anxiety was recognized early, and severing this cortical–subcortical connection was the objective of initial attempts at psychiatric surgery with limbic leucotomy (Dax et al. 1948). Leucotomy has long been abandoned, replaced with stereotactic capsulotomy, a more precise and safe lesioning of the ALIC which for many years was the standard surgical approach for treatment-refractory anxiety and mood disorders. The development of DBS permitted implantation of electrodes at the capsulotomy target without causing a lesion. Nuttin et al. (1999) described their experience with ALIC DBS in OCD in two publications, their initial experience in 1999 in four patients and a subsequent publication in 2003 in six patients (Nuttin et al. 1999). Of the patients who had pre- and post-operative assessments with the Yale-Brown Obsessive Compulsive Scale (YBOCS), 75 % saw a reduction in scores of greater than 35 %, indicating a clinically meaningful response. Abelson et al. (2005) also performed a double-blind, sham stimulation study in four patients who underwent ALIC DBS and found that one patient saw a greater than 35 % YBOCS reduction during the double-blind period.


13.3.3.2 STN


The STN is an ovoid grey matter structure that is a component of the ‘indirect’ motor pathway. STN receives largely inhibitory input from the globus pallidus externus (GPe) and excitatory input directly from the motor cortex, and sends excitatory output to the globus pallidus internus (GPi) and substantia nigra reticulata (SNr).

The STN is a major DBS target for patients with disabling PD, and it was in the course of PD surgery that its putative role in OCD was hypothesized. Mallet et al. (2002) reported their experience of STN DBS in two patients with comorbid PD and OCD, and found that in addition to improvements in motor scores, patients experienced significant reductions in OCD scores post-operatively. This work led to a randomized, double-blind trial of STN DBS for OCD, wherein 16 patients underwent the procedure of which 12 saw at least a 25 % reduction in YBOCS scores (Mallet et al. 2008).


13.3.3.3 VC/VS


The DBS target with the most experience to date in OCD is the VC/VS. Anatomically, the VC/VS is closely related to the NAcc which exists at the ventral interface of caudate and putamen. Sturm et al. (2003) initially reported that three out of four patients who underwent VC/VS DBS for OCD saw ‘near total recovery’ at 24–30 months follow-up, although no YBOCS data were provided (Greenberg et al. 2010a; Greenberg et al. 2006) operated on ten patients with severe OCD using the same target, and found that of eight patients who were followed to 3 years, 50 % had a greater than 35 % reduction in YBOCS scores, indicating a treatment response. Such results are similar to those reported by Denys et al. (2010), who found 9 of 16 patients were responders at 8 months follow-up, with a mean YBOCS reduction of 46 % in open-label follow-up. Most recently, Tsai et al. (2012) reported their experience with VC/VS stimulation in four severe OCD patients and found that at 15-month follow-up, there was a mean 31 % reduction in YBOCS scores as well as 32 % reduction in depression ratings. Such results provide further support for the role of VC/VS in both mood and anxiety pathways.


13.3.3.4 ITP


The ITP consists of a relatively small bundle of projection fibres connecting OFC with the thalamus. ITP stimulation has been proposed for both refractory OCD and MDD, and a small experience with this target is accumulating. Jimenez-Ponce et al. reported the initial experience with ITP stimulation in five patients with OCD finding a mean 49 % reduction in YBOCS scores at 12-month follow-up (Jimenez-Ponce et al. 2009). The patient group, however, was highly heterogeneous and included some with comorbid schizophrenia and addiction. Larger studies, in more homogeneous cohorts will provide additional data about this target, but such results do to confirm earlier case reports that described the safety and efficacy of ITP stimulation (Jimenez et al. 2007).

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Sep 24, 2016 | Posted by in NEUROLOGY | Comments Off on Deep Brain Stimulation for Psychiatric Disorders

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