PUPILLARY RESPONSES, COGNITIVE PSYCHOPHYSIOLOGY AND PSYCHOPATHOLOGY
Stuart R. Steinhauer, Ph.D.
Research Associate Professor of Psychiatry, University of Pittsburgh School of
Medicine
Mailing Address: Biometrics Research, 151R
Department of Veterans Affairs Medical Center
7180 Highland Drive,
Pittsburgh, PA 15206 USA
Tel. 412-365-5251
FAX 412-365-5259 Email: sthauer@ pitt.edu
Contents
I.
Introduction
II. General Background and Historical Perspective
III.
Cognitive Psychophysiology and Pupillography:
Psychophysiological
Measurement of Processing Effort, Capacity, and Information.
IV. Psychopathology
and Pupillary Motility
V. References
I.
Introduction
This
section has two objectives: 1) to provide a brief overview of the pupillary
response in relation to cognitive processes in normal and abnormal populations,
and 2) to provide an update of papers during the past decade that have not been
reviewed in summary papers. The reference list includes papers published from 1990
onward; not all of these papers are summarized in the review.
The
following sections briefly review findings for components of information
processing as reflected in the human pupillary response, and the relation of
these measures to psychological phenomena in normal and neuropsychiatric patient
groups. Both the constriction of
the pupil to light (miosis), as well as the dilation (dilatation; mydriasis)
resulting from information delivery, have provided useful adjuncts in the study
of psychopathology, especially with reference to schizophrenia.
Following summaries of some of the seminal findings, more recent papers
are referenced. (Papers dealing
with sensory reactions, or neurological reactivity unrelated to cognitive
activation, are not usually included in this overview or the reference section).
Review Papers: Previous journal or book chapters which review pupillary
data in relation to psychology include a brief paper by Tryon (1975), Goldwater
(1982), Hakerem (1967), Hess (1972; 1975; 1987), and Beatty (1982 ;1986; Beatty
and Wagoner, 2000),.
Books:
Janisse (1974) published the proceedings of the Manitoba Pupil symposium of
1973, with relevant chapters by Hakerem, Peavler, Hess and Goodwin, Bernick, and
Rubin. Books dealing with the
psychology of the pupillary response have been published by Hess (1975), Janisse
(1977), and Loewenfeld (1993; see chapters 14 and 45, respectively, dealing with
psychology and psychiatry). A
particularly good recent overview has been provided by Andreassi (2000).
A
review of pupillary reactions in schizophrenia was provided by Zahn, Frith,
& Steinhauer (1991), following earlier reviews of psychophysiology and
psychopathology by Spohn and Patterson (1979) and Zahn (1986).
Much of the following review is adapted from Steinhauer and Hakerem
(1992). More recent findings
related to relatives of schizophrenic subjects have been summarized by
Steinhauer and Friedman (1995).
Integrative
findings on pupillography have been presented at the International Colloquia on
the Pupil, beginning in 1963. The
most recent meeting was held at Asilimar, California in September, 2001.
The next meeting will be held in Crete in 2003.
For details, and information on
Pupillary studies, see the Pupil page of Peter Howarth http://www.jiscmail.ac.uk/files/PUPIL/.
II. General Background and Historical Perspective
For centuries,
the pupillary aperture has been thought of as a figurative window to the mind;
with the advancement of medical sciences, the pupil began to serve as a literal
window on brain function. In her
1958 dissertation paper dealing primarily with pupillary dilatation, Loewenfeld
(1958) cited nearly 1600 references, including 114 dated prior to 1830; her 1993
book lists over 15,000 references, covering up to about 1985.
Incidental observations of pupillary dilation associated with increased
interest or arousal were well known, such as the use of belladonna to enlarge
the pupil artificially as a cosmetic effect, and wearing of eyeshades to obscure
any sudden dilatation for the poker player who might otherwise give away his
hand.
The
re-emergence of pupillary studies among psychologists is related to a series of
reports from several different laboratories in the early 1960s in the areas of
experimental psychology and experimental psychopathology.
The most polemic approach was generated by the initial papers of Eckhard
Hess claiming pupillary dilation to positive affect stimuli and constriction to
negative affect (Hess & Polt, 1960), which led to continuing controversies.
Sokolov (1963) emphasized the contributions of pupillary changes in
defining the orienting reaction to novel environmental stimuli.
Hess and Polt also began to report on pupillary dilation during mental
activities (Hess & Polt, 1964). More
carefully conducted studies began to appear involving threshold discrimination
(Hakerem & Sutton, 1966), and work by Kahneman and colleagues (e.g.,
Kahneman & Beatty, 1966) represented a much stronger commitment to the
developing concepts of cognitive psychology.
III. Cognitive
Psychophysiology and Pupillography:
Psychophysiological Measurement of Processing Effort,
Capacity, and Information. Among
those measures for which a correlate of both attentional effort and processing
activities have been studied, perhaps the most widely emphasized is the
pupillary dilation response (Beatty, 1982; Beatty, 1986; Goldwater, 1972;
Janisse, 1977). Pupil diameter enlarges with increasing effort during
performance. This can be observed
for purely mechanical effort, as when varying weights are picked up (Nunnally,
Knott, Duchnowski, & Parker, 1967) or even when a simple finger press
occurs, in which both response preparation and execution contribute to the
dilation (Richer, Silverman, & Beatty, 1983). Mental effort
has been manipulated by a number of means, including arithmetic problems of
varying difficulty (often a typical "mental stress" paradigm),
language-based tasks (including reading of material forward and backwards;
Metalis, Rhoades, Hess, & Petrovich, 1980), and especially the effect of
increasing memory load during the digit span task, in which pupil diameter
increases as the number of digits stored is increased (Kahneman & Beatty,
1966). Of special interest is that
as maximum effective storage (judged by performance) is reached, pupillary
dilation reaches a maximum (Peavler, 1974).
When memory is overloaded, the pupil may even decrease in diameter,
suggesting that it is sensitive to both the extent of processing capacity as
well as the breakdown of capacity (Poock, 1973; Granholm et al., 1996). Kahneman (1973) relied heavily on results from pupillary
experiments in the development of his treatise dealing with basic components of
attention and effort. More recent
approaches to information processing models such as neural networks have also
ustilized pupillary data (Siegle, 1999a).
Pupillary
dilation can also be evoked by tasks in which there is little effort employed in
recognizing a stimulus, but for which the "informational value" of the
stimulus is high. Thus, simple
click patterns show a quick habituation when the subject knows what each
subsequent stimulus will be, but a clear dilation occurs to the clicks when the
subject is asked to guess what stimulus pattern will occur (Hakerem, 1974).
Moreover, when the subject is not certain whether a click will actually
occur at a specific point in time, but the absence of a click indicates a
particular outcome (e.g., correct or incorrect, different amounts of monetary
payoff), the "absence" of the stimulus itself elicits a pupillary
dilation (Levine, 1969) which is related to the information conveyed by the
stimulus absence. Friedman et al.
(1973) observed that the amplitudes of pupillary dilation and the amplitude of
the P300 component of the event-related brain potential were inversely related
to the subjective probabilities (an interaction of the subject's guessing
behavior and the stimulus probabilities). Thus,
larger amplitudes were seen for the least likely events.
The same paradigm was employed by Bock (1976), who recorded pupillary and
ERP data from monozygotic and dizygotic twin pairs, and from non-twin siblings.
In dealing
with the complexities of stimulus qualities which affect pupil diameter, it is
worthwhile to take a brief look at one of the major controversies in pupillary
research -- the statements of Hess and colleagues (Hess & Polt, 1960; Hess,
1964) that positive affect is associated with dilation, while negative affect
results in constriction. Though the
notion of constriction to aversive stimuli has been widely rejected, responses
to arousing viusal stimuli continue to be studied (Aboyoun & Dabbs, 1998;
Dabbs, 1997). There have been many
critical reviews of this research (e.g., Janisse, 1977), as well as attempts by
Hess and his students to justify the work (Hess, Beaver, & Shrout, 1975).
Two of the problems involved in using complex visual stimuli, which have
usually been overlooked, will be mentioned.
The first
consideration involves so-called control slides, which are typically presented
before each stimulus slide. The notion in several studies was that the control
and stimulus slides should be matched for brightness, so that no differential
constriction to the slides could occur, and differences could only be
attributable to the content of the target stimulus slide. This approach,
however, takes a naive view of the physiology of the optic system, including the
afferent pathway even at the level of the retina.
When stimuli of either different wavelengths or different intensities
strike similar regions of the retina, they differentially stimulate receptors,
which evoke pupillary constrictions. This
was exquisitely demonstrated over two decades ago by Kohn and Clynes (1969):
even matching for overall brightness did not eliminate sensory-related
constrictions to the onset of different hues.
A second
source of confounding is related to the pupillary constriction produced by the
initial presentation of stimuli. This
portion of the response was usually ignored by researchers employing pictures,
who looked at average diameters over periods as long as ten seconds, rather than
the specific dynamic responses to the pictures used.
One exception to this was a study by Libby, Lacey and Lacey (1973), whose
data clearly showed the initial constriction resulting from stimulus
presentations. In their study,
pupillary dilation was most often seen to interesting pictures, and the
unpleasant stimuli overall yielded larger dilations than pleasant stimuli -- a
finding totally at odds with the Hess formulation.
Similarly, Steinhauer et al. (1983) examined the responses to a series of
pictures varying in emotional content, but covaried out effects of initial
diameter and the constriction produced by slide onset: the largest dilations
were evoked by stimuli reported as most aversive or most pleasant, with smaller
dilations to mildly unpleasant or pleasant stimuli, and the least dilation to
neutral pictures. Thus, the best controlled studies indicate that the level of
emotional stimulation or interest, regardless of valence, is related to the
pupillary dilation response, but the confounding effect of initial physiological
reactions to visual stimuli must be carefully eliminated.
Genetic
Contributions: One of the more intriguing aspects of psychophysiological data is
that there is clear evidence that familial similarity can be observed in tonic
activity as well as in time-varying measures of cognitive activity (Boomsma
& Gabrielli, 1985). Patterns of
pupillary dilation have been examined among twin pairs in two dissertations
conducted by students of Hakerem. Bock (1976) compared pupillary dilation in identical twins,
fraternal twins, and non-twin siblings during a guessing task.
Both objective numerical analyses of similarity, as well as judges' blind
matching of pairs, indicated greater similarity of the pupil and ERP data for
identical twins than for fraternal twins or non-twin siblings.
A more recent dissertation (Gaudreau, 1991) used a forced-choice
procedure for matching pupillary waveforms, demonstrating significantly high
rates of matching identical twin pairs across two different tasks.
Additional
work has been conducted to examine underlying substrates of cognitive
performance and pupillary reactions. Beatty
(1989) demonstrated that the pupil could respond with extremely small average
dilations (.001 mm) to stimuli occurring at up to a rate of 3/sec.
Matthews et al. (1991) found that blockade of the sphincter by
thymoxamine eliminated the dilation that was produced by an effortful task. Granholm
et al. (1996) reexamined the use of processing load, presenting subjects with 5,
9 or 13 digits during a digit span task. As
expected, processing load increased as demand increased, but more clearly showed
stabilization when nearing maximum processing capacity, but decrease in pupil
diameter once capacity was exceeded.
Language
function has been examined using the pupil in studies of syntactic anomaly (Schluroff,
1982), lexical ambiguity (Ben-Nun, 1986), and syntactic complexity (Just and
Carpenter, 1993).
Attempts to
model the contributions of different sources contributing to pupillary movements
have included bioengineering models (see the chapter by Stark in Loewenfeld's
book). Hoeks and Levelt (1992), and
Hoeks and Ellenbroek (1993) have proposed a quantitative neural model, although
they did not account for contributions of the sympathetic pathway to dilation
processes. Steinhauer has proposed
a model in which sympathetic and parasympathetic components contribute
differentially to dilation under varying task requirements, with different time
courses for the contributions of the sympathetic and parasympathetic pathways
(see Steinhauer and Hakerem, 1992).
IV.
Psychopathology and Pupillary Motility
During the
early years of this century, aberrations in pupillary responsivity were
carefully noted in psychotic patients (cf. Hakerem & Lidsky, 1975; Hess,
1972), especially by German psychiatrists such as Bumke (1904) and Bach (1908),
and were followed up with studies by Lowenstein and Westphal (1933), Levine and
Schilder (1942), and May (1948) in the third and fourth decades.
Leonard Rubin, at Eastern Psychiatric Research Institute in Philadelphia,
was employing pupillary measurement to develop hypotheses of autonomic imbalance
in psychiatric patients (for an overview, see Rubin 1974).
While his attempts to define a variety of disorders based on the notions
of central adrenergic and/or cholinergic activity as assessed by the pupil
attracted some interest for a number of years, this conceptualization has been
heavily criticized as being overly simplistic, and has been rejected by most
researchers (see discussion by Loewenfeld, 1993).
Hakerem and
colleagues at New York York State Psychiatric Institute conducted a number of
initial studies which indicated decreased light reactions and abnormal response
latencies in schizophrenics (Hakerem & Lidsky, 1969; Hakerem, Sutton, &
Zubin, 1964; Lidsky, Hakerem, & Sutton, 1971), as well as difficulties in
integrating irregular sequences of light pulses (Hakerem & Lidsky, 1975).
Decreased responsivity in schizophrenic patients for auditory and visual
pupillary responses during cognitive tasks was reported by Steinhauer, Hakerem,
and Spring (1979).
Steinhauer and
Zubin (1982) reported decreased dilation, as well as decreased P300 amplitudes
for schizophrenics compared to controls, during an auditory task in which
infrequent stimuli normally evoke substantial pupillary dilation and P300
amplitudes.
Steinhauer et
al. (1992) recorded the averaged light reaction in schizophrenic patients during
neuroleptic treatment and subsequent (double-blind) drug free withdrawal.
Stabilization on haloperidol resulted in a significant increase in extent
of constriction than during a subsequent drug-free period in patients. Thus, neuroleptic treatment appeared to normalize the
response slightly, but generally still kept the response measure below the mean
for normals. Data during the
treatment phase were also found to predict likelihood of subsequent relapse.
There have
been few additional studies of patients involving task-related dilation.
Straube (1982) reported that schizophrenics exhibited larger dilations
than controls during performance of the digit span task, which could be
interpreted as an indication that patients employed greater effort than did
controls. However, Granholm et al.
(1996) reported decreased dilation in schizophrenic patients during the digit
span task, a finding that appears to conflict with the report of Straube.
Morris et al. (1997) evaluated working memory using pupillary reactivity
in schizophrenics. Granholm et al.
(1999) have used the pupillary response to probe semantic incongruities during
verbal fluency in schizophrenic patients.
Several other
types of patient groups have been studied.
Patients with toxic exposure to organic solvents exhibit reduced
dilations during information processing tasks, but also show abnormal increases
in overall diameter when even slightly more complex tasks are presented that are
not difficult for normal subjects (Morrow & Steinhauer, 1995).
For alcoholic subjects, no differences between semantic and phonemic
tasks have been observed (O'Leary et al., 1980).
An interesting series of studies by Bitsios and colleagues (1996, 1998a,
1998b) has employed the pupillary light reaction to probe the effects of anxiety
and effectiveness of anxiolytics; the light reaction is reduced by anticipation
of a fear-evoking event (Bitsios et al, 1996).
Patients with anxiety disorders, who show reduced light reactions (Bakes
et al., 1990), show increasing light reaction amplitude when anxiolytics are
administered (Bitsios et al., 1998). Reduction
of dilation to fearful stimuli during desensitization treatment of phobic
patients has also been reported (Sturgeon et al, 1989).
Effects of rumination indicated by dilation have been examined among
depressed patients (Siegle, 1999b).
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