emotion perception 2
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Neurobiology of Emotion Perception II: Implicationsfor Major Psychiatric Disorders
Mary L. Phillips, Wayne C. Drevets, Scott L. Rauch, and Richard Lane
To date, there has been little investigation of the neuro-biological basis of emotion processing abnormalities in
psychiatric populations. We have previously discussed twoneural systems: 1) a ventral system, including the amyg-dala, insula, ventral striatum, ventral anterior cingulategyrus, and prefrontal cortex, for identification of theemotional significance of a stimulus, production of affec-tive states, and automatic regulation of emotional re-
sponses; and 2) a dorsal system, including the hippocam-pus, dorsal anterior cingulate gyrus, and prefrontalcortex, for the effortful regulation of affective states andsubsequent behavior. In this critical review, we haveexamined evidence from studies employing a variety oftechniques for distinct patterns of structural and func-tional abnormalities in these neural systems in schizophre-nia, bipolar disorder, and major depressive disorder. Ineach psychiatric disorder, the pattern of abnormalitiesmay be associated with specific symptoms, includingemotional flattening, anhedonia, and persecutory delu-sions in schizophrenia, prominent mood swings, emotionallability, and distractibility in bipolar disorder duringdepression and mania, and with depressed mood and
anhedonia in major depressive disorder. We suggest thatdistinct patterns of structural and functional abnormalitiesin neural systems important for emotion processing areassociated with specific symptoms of schizophrenia andbipolar and major depressive disorder. Biol Psychiatry2003;54:515528 2003 Society of Biological Psychiatry
Key Words: Emotion, neuroanatomy, schizophrenia, bi-polar disorder, depression
Introduction
Until recently, there has been little investigation of theneurobiological basis of the abnormalities in emotionprocessing present in different psychiatric populations.
Furthermore, there has been little attempt to compare the
severity and nature of these abnormalities across different
psychiatric disorders. In a previous review (Phillips et al
2003), we examined the findings from recent animal,
human lesion, and functional neuroimaging studies to
identify the neural bases of the different neuropsycholog-
ical processes important to the understanding of normal
human emotional behavior. Findings suggest that these
processes may be dependent upon the functioning of twoneural systems: a ventral system important for the identi-
fication of the emotional significance of a stimulus, the
production of affective states; and a dorsal system impor-
tant for executive function, including selective attention,
planning, and effortful regulation of affective states (Fig-
ure 1). Abnormalities in emotion perception may be
associated with abnormal triggering of emotional re-
sponses that lead to clinical phenomena unrelated to
exteroceptive perception (e.g., depressed or manic mood)
that dominate the clinical picture. In this critical review,
we have examined the evidence from studies employing a
variety of techniques for the presence of specific abnor-malities in these systems in major psychiatric illnesses,
including schizophrenia, bipolar disorder, and major de-
pressive disorder.
Schizophrenia
Evidence for Impaired Cognitive and EmotionProcessing in Schizophrenia
Bleuler (1950) defined schizophrenia as essentially a
splitting of thoughts (cognition) from feelings (emotion),
and a flattening of affect and anhedonia have beenrecognized as core features of the disorder since its first
description. Furthermore, schizophrenic patients often ap-
pear to misinterpret social cues and exhibit poor social
skills, with symptoms such as persecutory delusions often
emerging as misinterpretations of social interactions and
events, frequently revolving around a persons relationship
to others and role in society rather than neutral or
impersonal themes (Young and Bentall 1995).
One of the most commonly reported neuropsychologi-
cal impairments in patients with schizophrenia is impaired
From the Division of Psychological Medicine (MLP), Institute of Psychiatry,London, United Kingdom; Mood and Anxiety Disorders Program (WCD),National Institute of Mental Health, Bethesda, Maryland; MassachusettsGeneral Hospital (SLR), Charlestown, Massachusetts; and Department ofPsychiatry (RL), University of Arizona College of Medicine, Tucson, Arizona.
Address reprint requests to Mary L. Phillips, Institute of Psychiatry, Division ofPsychological Medicine, De Crespigny Park, Denmark Hill, London SE5 8AF,United Kingdom.
Received July 8, 2002; revised December 26, 2002; accepted January 10, 2003.
2003 Society of Biological Psychiatry 0006-3223/03/$30.00doi:10.1016/S0006-3223(03)00171-9
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executive function, including deficits in performance on
tasks of selective attention and working memory (Gold-
man-Rakic 1994). There is accumulating evidence toindicate that specific abnormalities in emotion identifica-
tion and emotional behavior are also associated with the
poor social function observed in patients with schizophre-
nia. Impaired recognition of facial (Edwards et al 2001;
Feinberg et al 1986; Whittaker et al 2001) and prosodic
(Edwards et al 2001) emotion, dysfunctional emotional
experience (Flack et al 1998), and a positive correlation
between emotion recognition and negative and positive
symptomatology (Kohler et al 2000) have been demon-
strated in these patients. In one study, however, no
impairment in facial expression identification was re-
ported (Flack et al 1997). Other studies have demonstratedan association between emotion identification and more
generalized task performance deficits (Kerr and Neale
1993) and between emotion identification deficits and
chronicity of illness (Mueser et al 1997).
Other findings have suggested a greater differential
impairment in negative affect recognition (Bell et al 1997),
the superior ability of paranoid compared with nonpara-
noid patients in negative affect identification (Kline et al
1992), and a positive association between the severity of
psychotic symptoms and the ability to recognize unpleas-
ant odors (Crespo-Facorro et al 2001). Furthermore, when
examined case by case, although no universal emotional
identification deficits were demonstrated in schizophrenic
patients (Evangeli and Broks 2000), emotions thought to
rely on intact amygdala function (particularly fear) were
most consistently affected. Additionally, schizophrenic
patients with persecutory delusions were reported as dem-
onstrating specific abnormalities in their viewing strate-
gies for social scenes depicting ambiguous rather than
overtly threatening information (Phillips et al 2000). It istherefore possible that schizophrenic patients identify
stimuli that are ambiguous in their emotional content as
more emotive and threatening than stimuli that depict
overt fear or threat.
A strong association has been reported in schizophrenia
between social outcome and the ability to accurately
recognize emotions displayed by others (Green et al 2000).
Impairments in the ability to monitor the source of willed
intentions, so that self- and nonself-originated intentions
become indistinguishable, and deficient understanding of
the behavior and intentions of others (theory of mind;
Figure 1. Schematic diagram depicting neural structures impor-
tant for the three processes underlying emotion perception. A
predominantly ventral system is important for the identification
of the emotional significance of a stimulus, the production of anaffective state, which may be associated with autonomic re-
sponse regulation (depicted in pale gray), whereas a predomi-
nantly dorsal system (depicted in dark gray) is important for the
effortful regulation of the resulting affective states. A reciprocal
functional relationship may exist between these two neural
systems (depicted by the curved arrows). DLPFC, dorsolateral
prefrontal cortex; DMPFC, dorsomedial prefrontal cortex; ACG,
anterior cingulate gyrus; VLPFC, ventrolateral prefrontal cortex.
Figure 2. Schematic model for the neural basis of the observed
deficits in emotion perception and behavior in schizophrenia.
The color coding for the ventral and dorsal neural systems is as
in Figure 1. Structural and functional abnormalities within theventral system, including the amygdala, anterior insula, and
ventral striatum, may result in a restriction of the range of
emotions identifiable, a decreased range of subsequent affective
states and behaviors, and a misinterpretation as threatening of
nonthreatening and ambiguous stimuli. These phenomena may
be perpetuated by impairments in reasoning, contextual process-
ing, and effortful regulation of affective states (reduced size of
the curved arrow representing the regulation of the ventral by the
dorsal system), resulting from structural and functional abnor-
malities within the hippocampus and dorsal prefrontal cortical
regions. This pattern of abnormalities may be associated with
specific symptoms, including emotional flattening, anhedonia,
and persecutory delusions. DLPFC, dorsolateral prefrontal cor-tex; DMPFC, dorsomedial prefrontal cortex; ACG, anterior
cingulate gyrus; VLPFC, ventrolateral prefrontal cortex.
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Premack and Woodruff 1978), have been postulated as
possible causes for psychotic symptoms and the social
dysfunction of patients with schizophrenia (Corcoran et al
1997; Frith 1992). Other studies have demonstrated that
schizophrenic patients with prominent delusions have
abnormal reasoning styles, appearing unable to resist theirabnormal beliefs and unable to re-evaluate the evidence
for their conclusions (Garety et al 1991).
Taken together, these findings suggest that specific
abnormalities in the identification of emotionally salient
information, together with misinterpretation of the inten-
tions of others and impaired evaluation or regulation of the
resulting belief systems and emotional behavior, may
underlie some of the symptoms and poor social perfor-
mance reported in patients with schizophrenia.
Evidence for Structural and Functional
Neuroanatomic Abnormalities in Regions Importantfor Emotion Processing in Patients withSchizophrenia
Abnormal neural circuitry in schizophrenia, involving
dysfunctional prefrontalthalamic and temporolimbic or
cerebellar connections, has been emphasized by previous
authors (Andreasen et al 1998; Weinberger 1997). A
disruption in connectivity between nodes in prefrontal
cortex, the thalamus, and the cerebellum has been associ-
ated with cognitive dysmetria, a difficulty in prioritiz-
ing, processing, coordinating, and responding to informa-
tion, which may account for many of the diverse
symptoms of schizophrenia (Andreasen et al 1998).Many studies have reported in schizophrenic patients
structural and functional abnormalities in dorsolateral
prefrontal cortex and dorsal anterior cingulate gyrus,
regions important for selective attention and planning and
implicated in the previous review (Phillips et al 2003) in
the effortful regulation of affective states and emotional
behavior. Neuropathologic findings indicate reduced cor-
tical neuronal size and reduced glial cell density in frontal
cortex (Benes et al 1991; Rajkowska et al 1998). Although
there are inconsistent findings regarding the presence of
volume reductions within the prefrontal (Goldman-Rakic
and Selemon 1997; Lawrie and Abukmeil 1998; Pearlsonand Marsh 1999; Wright et al 2000) and, more specifi-
cally, dorsolateral prefrontal cortex in patients with
schizophrenia (Zuffante et al 2001), several studies have
demonstrated reduced blood flow and reduced activation
of dorsal prefrontal cortex and dorsal anterior cingulate
gyrus in these patients during the performance of tasks of
executive function (Andreasen et al 1997; Carter et al
1998; Goldman-Rakic and Selemon 1997; Hazlett et al
2000; Haznedar et al 1997).
These neuropsychological and structural and functional
neuroanatomic abnormalities within dorsal prefrontal cor-
tical regions have been associated in particular with
psychomotor poverty syndrome and negative symptoms
(Heckers et al 1999; Liddle and Morris 1991). Interest-
ingly, the reduced activation within the dorsal anterior
cingulate gyrus observed during performance of a paced
verbal fluency task in unmedicated schizophrenic patientshas been demonstrated to be reversed after challenge with
apomorphine, a dopamine agonist (Fletcher et al 1996).
This finding suggests that the pattern of hypofrontal
activity observed in schizophrenic patients during perfor-
mance of executive tasks may be a result of dysfunctional
dopaminergic activity, although this matter requires fur-
ther clarification.
With regard to medial temporal lobe structures, includ-
ing the amygdala and hippocampus, there have been
several reports of abnormal neuronal cell integrity (Falkai
and Bogerts 1986; Nasrallah et al 1994) and volume
reductions (Altshuler et al 2000; Heckers 2001; Lawrieand Abukmeil 1998; Nelson et al 1998; Shenton et al
1992; Wright et al 2000) in these regions, an association
between amygdalar lesions and psychotic symptoms
(Fudge et al 1998), and an inverse correlation between left
amygdalar volumes and thought disorder and between left
anterior and posterior hippocam-pal volumes and positive
and negative symptom scores, respectively (Rajarethinam
et al 2002). Although there have been inconsistent findings
of no differences in amygdalar (e.g., Altshuler et al 2000;
Chance et al 2002) or hippocampal (Laasko et al 2001)
volumes between patients and control subjects, volumetric
abnormalities in these regions have been demonstrated in
first-degree relatives (Seidman et al 1999). Although there
have been inconsistent findings regarding thalamic size in
patients with schizophrenia (Andreasen et al 1990; Gur et
al 1998), in a recent meta-analysis, a significant, small-to-
moderate effect size was demonstrated for thalamic size
reduction in these patients compared with nonpsychiatric
and nonneurologic control subjects (Konick and Friedman
2001). Other studies have reported decreased insular size
in schizophrenic patients (Crespo-Facorro et al 2000;
Wright et al 2000). The relative contribution of medication
to these structural neural abnormalities in schizophrenicpatients remains to be clarified.
Hippocampal dysfunction has been reported in schizo-
phrenic patients, with increased activity at rest (e.g.,
Medoff et al 2001) but decreased hippocampal activity
during memory task performance (e.g., Benes and Berretta
2000; Heckers and Konrad 2002). There have been few
studies examining neural responses to emotional stimuli in
these patients, however. The delusions and hallucinations
of reality distortion syndrome have been associated with a
specific pattern of abnormal cerebral flow involving over-
activity of the left medial temporal lobe (Liddle et al
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1992). Studies have demonstrated, however, that schizo-
phrenic patients fail to activate the amygdala in response
to fearful facial expressions (Phillips et al 1999), aversive
scenes (Taylor et al 2002), and during sad mood induction
(Schneider et al 1998). Schizophrenic patients also show
decreased amygdalar activation during facial emotiondiscrimination (Gur et al 2002), although they may show
amygdalar activation in response to happy faces (Kosaka
et al 2002).
Additionally, regional cerebral blood flow to the ante-
rior insula, nucleus accumbens, and parahippocampal
gyrus failed to increase in response to unpleasant odors in
a group of schizophrenic patients, despite their subjective
experience of these stimuli as unpleasant (Crespo-Facorro
et al 2001). In schizophrenic patients with prominent
persecutory delusions, however, amygdalar activation has
been reported in response to ambiguous emotive stimuli
comprising fearful faces and neutral sounds, but not toovertly fearful stimuli, comprising fearful faces and fearful
sounds (Parker et al, unpublished data).
These findings suggest an impaired response of the
amygdala, anterior insula, and ventral striatum, regions
important for the identification of the emotional signifi-
cance of a stimulus, to overt displays of emotions, and
particularly fear, in schizophrenic patients. Findings also
suggest an enhanced amygdalar response to ambiguous
stimuli, however. One possibility is that there is a lowering
of the threshold at which these regions respond to ambig-
uous stimuli but an attenuation of their responses to overt
displays of emotion, although this requires further study.
Is There an Abnormal Functional Neuroanatomy ofEmotion Processing in Schizophrenia?
Findings indicate that the misinterpretation of others
intentions and positive symptoms, such as persecutory
delusions, emotional flattening or anhedonia, and the poor
social functioning evident in patients with schizophrenia,
may be related to impaired recognition of emotion. Addi-
tionally, there may be a tendency for ambiguous stimuli to
be misinterpreted as threatening, particularly in patients
with prominent persecutory delusions. Studies employingneuroimaging techniques have demonstrated in schizo-
phrenic patients structural and functional abnormalities
within ventral and dorsal neural systems important for
emotion processing, although inconsistent findings have
been noted.
How are these emotion processing and structural and
functional neurobiological abnormalities associated with
symptoms in schizophrenic patients? Structural and func-
tional abnormalities in regions important for the appraisal
and identification of positive and negative emotional
stimuli and production of affective states, including the
amygdala, anterior insula, and ventral striatum, may result
in a restriction of the range of positive and negative
emotions identifiable. They may also be associated with a
misinterpretation as threatening of nonthreatening and
ambiguous stimuli and with a decreased range of subse-
quent affective states and behaviors. Specific negativesymptoms, including emotional flattening and anhedonia,
positive symptoms, including persecutory delusions, and
impaired social function could arise from these abnormal-
ities in emotion processing. Structural and functional
abnormalities in the hippocampus and dorsal prefrontal
cortical regions, resulting in impairments in reasoning,
contextual processing, and effortful regulation of affective
states, may then perpetuate these abnormalities and symp-
toms (Figure 2).
Bipolar Disorder
Evidence for Impaired Cognitive and EmotionProcessing in Bipolar Disorder
Many of the symptoms experienced by patients with
bipolar disorder, including irritability, distractibility, and
emotional lability, would appear to be associated with
abnormalities in emotion processing, including the expe-
rience of emotions of inappropriately high intensity in
relation to the context in which they occur, and an inability
to regulate mood. Impaired performance on cognitive
tasks, including those of selective attention and working
memory, has been demonstrated in manic (Bulbena andBerrios 1993; Bearden et al 2001) and depressed bipolar
patients (Borkowska and Rybakowski 2001) and also
within remitted patients (Wilder-Willis et al 2001). Other
studies have reported relatively spared (Clark et al 2002;
Paradiso et al 1997; van Gorp et al 1998) or little
generalized impairment (Sapin et al 1987) in remitted
patients on these tasks.
Studies have reported in bipolar patients impaired rec-
ognition of happy and sad facial expressions (Rubinow
and Post 1992), increased biases toward the identification
of stimuli as emotional rather than neutral, and particularly
negative, in depressed bipolar patients (Gur et al 1992;Lyon et al 1999; Murphy et al 1999), and in manic
patients, increased negative and positive biases (Lyon et al
1999; Murphy et al 1999). In euthymic bipolar patents,
enhanced disgust (Harmer et al 2002), and impaired
fearful facial expression identification (Yurgelun-Todd et
al 2000) have been demonstrated. Other studies have
indicated that the performance of schizophrenic patients
on these tasks is more impaired than that of bipolar
patients (Addington and Addington 1998). Despite these
findings, there has been little examination of performance
on these tasks at different phases of illness in bipolar
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disorder. It has therefore been difficult to determine
whether the cognitive and emotional processing abnormal-
ities demonstrated by bipolar patients represent state or
trait effects.
Evidence for Structural and FunctionalNeuroanatomic Abnormalities in Regions Importantfor Emotion Processing in Patients with BipolarDisorder
Findings from neuropathologic studies have indicated
decreased glial cell number and density and reduced
neuronal cell density in prefrontal cortex (Rajkowska et al
2001), reduced glial cell number and density in the
subgenual anterior cingulate gyrus (Ongur et al 1998;
Rajkowska 2002), and entorhinal and hippocampal
changes, including a reduction and dysgenesis of various
neuronal cell lines (Benes et al 1998) in bipolar disorder.Studies employing structural neuroimaging techniques
have demonstrated reductions in prefrontal and subgenual
cingulate cortical volumes (Drevets et al 1997; Hirayasu et
al 1999; Lopez-Larson et al 2002), reductions asymmetry,
and increases in right and left temporal lobe volumes
(Altshuler et al 2000; Harvey et al 1994), and, predomi-
nantly, increases in amygdalar volumes (Altshuler et al
1998; Strakowski et al 1999).There have been additional
reports of increased caudate volume (Aylward et al 1994)
but inconsistent findings regarding thalamic volumes
(Caetano et al 2001; Dasari et al 1999; Strakowski et al
1999). These studies have been unable to distinguish be-tween abnormalities caused by and/or associated with the
depressive, euthymic, and manic phases of the disorder.
Although long-term use of lithium has been associated
with increase in volume of the subgenual cingulate gyrus
(Harrison 2002; Manji et al 2000), the effect of medication
on the development of these structural neural abnormali-
ties remains unclear.
In depressed bipolar patients, compared with healthy
volunteers, executive task performance and at-rest studies
have demonstrated reduced metabolism in dorsolateral and
dorsomedial prefrontal cortical regions (Baxter et al 1989;
Ketter et al 2001) but increased metabolism within theright amygdala and thalamus (Ketter et al 2001). Reduced
prefrontal and caudate metabolism to aversive stimulation
(Buchsbaum et al 1986) and inconsistent findings of
decreased (Drevets et al 1997) but also increased (Kruger
et al, unpublished data) blood flow in rostral/ventral and
subgenual anterior cingulate gyrus have been demon-
strated during rest and sad mood induction, respectively.
In manic patients compared with healthy volunteers,
studies have demonstrated decreases in prefrontal
(OConnell et al 1995) and ventromedial prefrontal (or-
bitofrontal) cortical activity (Blumberg et al 1999) and
increases in dorsal anterior cingulate gyral (Blumberg et al
2000; Goodwin et al 1997; Rubinsztein et al 2001) and
ventral striatal (Blumberg et al 2000; OConnell et al
1995) activity during performance of executive tasks,
gambling, and at rest, with dorsal anterior cingulate gyral
activity correlating positively with mania ratings (Good-win et al 1997; Rubinsztein et al 2001) but also increasing
more during easy versus difficult decision making (Rubin-
sztein et al 2001). The latter suggests that dorsal anterior
cingulate gyral activation in manic patients is negatively
correlated with task difficulty, although this requires
clarification. Overall, this pattern of results may reflect a
tendency in patients who are able to perform these tasks
successfully to attempt to regulate in an effortful manner
inappropriate affective states and behaviors resulting from
increased sensitivity to emotionally salient environmental
information. Future studies examining neural responses
both to emotional stimuli and during cognitive task per-formance in a single group of manic patients may help to
clarify the neural basis of the impairment in the regulation
of emotional behavior and mood, and the relationship
between this and cognitive task performance in these
patients.
There have been conflicting findings regarding baso-
temporal regions, including the amygdala, in manic pa-
tients at rest (Gyulai et al 1997; OConnell et al 1995). No
study has examined neural responses to emotional stimuli
in these patients. Neuroleptic medication levels have been
positively correlated with mean regional cerebral blood
flow at rest (Silfverskiold and Risberg 1989) and prefron-tal cortical activation during decision-making in manic
patients (Rubinsztein et al 2001), although the effect of
medication on cerebral activity in these patients requires
further study.
In the few studies examining neural correlates of task
performance in euthymic patients, findings indicate fewer
functional neuroanatomic abnormalities compared with
symptomatic patients during executive task performance
(Baxter et al 1989; Blumberg et al 1999, 2000). Addition-
ally, increased amygdalar and reduced prefrontal cortical
activation has been reported to facial expressions of fear
(Yurgelun-Todd et al 2000).Differences in functional neuroimaging techniques,
medication status, and in the type of cognitive task
performed by patients during scanning procedures may
have contributed to the discrepancies in some of the
findings from these studies. The results indicate, however,
that structural and functional abnormalities in prefrontal
cortex, the subgenual anterior cingulate gyrus, the amyg-
dala, and ventral striatum are present in patients with
bipolar disorder, and functional abnormalities exist in
these structures in manic and depressed phases of
illness.
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Is There an Abnormal Functional Neuroanatomy ofEmotion Processing in Bipolar Disorder?
The evidence to date indicates that although bipolar
patients demonstrate abnormalities in executive function,
they are less impaired than schizophrenic patients in the
identification of emotional stimuli. In bipolar patients,
there are reports of structural abnormalities in neural
regions important for emotion processing: within the
amygdala, important for the identification of the emotional
significance of a stimulus; within the subgenual region of
the anterior cingulate gyrus and orbitofrontal cortex,
important for the production of affective states; and within
dorsolateral prefrontal cortical regions, important for the
performance of non-emotional, cognitive tasks and impli-
cated in the effortful regulation of affective states and
emotional behavior.
How are these emotion processing and structural and
functional neurobiological abnormalities associated withsymptoms in bipolar patients? It may be speculated that
the findings in bipolar patients of enlarged rather than
decreased amygdalar volumes and enhanced rather than
reduced activity within the amygdala, subgenual cingulate
gyrus, and ventral striatum, together with reduced prefron-
tal cortical volumes and metabolism, indicate an oversen-
sitive but dysfunctional neural system for identification of
emotional significance and production of affective states,
and an impaired system for the effortful regulation of
the subsequent emotional behavior. Specific symptoms
of both the depressed and manic phases of illness in
bipolar disorder, including prominent mood swings,emotional lability, and distractibility, may then be
associated with these abnormalities in emotion process-
ing (Figure 3). To date, however, no information is
available regarding the functional neuroanatomy of the
switch process to and from euthymia or between mania
and depression.
Major Depressive Disorder
Evidence for Impaired Cognitive and Emotion
Processing in Major Depressive DisorderStudies have reported impaired executive function in
patients with major depressive disorder (Elliott 1998;
Murphy et al 2001), with positive correlations with de-
pression severity (Smith 1994) and illness duration
(Borkowska and Rybakowski 2001), and studies have
suggested either no difference (Goldberg et al 1993;
Sweeney et al 2000) or fewer impairments in these
compared with depressed bipolar patients (Borkowska and
Rybakowski 2001; Wolfe et al 1987). Studies have also
demonstrated a persistence of impairments in euthymic
patients with major depressive disorder (Austin et al 2001)
and more severe impairment in these than in euthymic
bipolar patients (Paradiso et al 1997).
Other studies have reported in patients with major
depressive disorder generalized and specific impairments
in the identification of emotional stimuli (Rubinow and
Post 1992), negative emotional biases (Bradley et al 1996;Murphy et al 1999; Williams et al 1996), and negative or
reduced positive attentional biases during facial expres-
sion identification (David and Cutting 1990; Gur et al
1992; Surguladze et al, in press).
Evidence for Structural and FunctionalNeuroanatomic Abnormalities in Regions Importantfor Emotion Processing in Patients with MajorDepressive Disorder
Similar neuropathologic abnormalities have been demon-
strated in patients with major depressive disorder andthose with bipolar disorder. Findings from postmortem
studies have indicated reduced density and number of glial
cells in the amygdala (Bowley et al 2002), the subgenual
anterior cingulate gyrus and orbitofrontal cortex (Cotter et
al 2001; Drevets et al 1998; Ongur et al 1998), and the
dorsolateral prefrontal cortex (Rajkowska et al 1999,
2001), and reduced neuronal cell density in the ventrolat-
eral and dorsolateral prefrontal cortex (Rajkowska et al
1999, 2001), in patients with major depression. Neuro-
pathologic abnormalities have also been reported in these
patients in the entorhinal cortex (Bernstein et al 1998).
Studies employing structural neuroimaging methodshave demonstrated in patients with major depressive
disorder volume reductions in the prefrontal cortex (Cof-
fey et al 1993; Goodwin et al 1997), including the
orbitofrontal cortex (Bremner et al 2002), and the sub-
genual region of the anterior cingulate gyrus (Botteron et
al 2002; Drevets et al 1997), as well as the hippocampus
(Bremner et al 2000; Sheline et al 1999), the putamen
(Husain et al 1991), the caudate nucleus (Krishnan et al
1992), and the amygdala (Sheline et al 1998). Discrepant
findings of no significant volume reductions in the hip-
pocampus and amygdala (Ashtari et al 1999; Pantel et al
1997) and striatal structures (Lenze and Sheline 1999)may be due to differences in medication status of patients,
acquisition paradigms, and image resolution (Sheline
2000).
Studies employing functional neuroimaging techniques
have consistently demonstrated in patients during a major
depressive episode reductions in metabolism and blood
flow within dorsomedial and dorsolateral prefrontal corti-
ces (Baxter et al 1989; Bench et al 1993; Buchsbaum et al
1997; Soares and Mann 1997) but increased metabolism
and blood flow within the ventrolateral prefrontal cortex
(Drevets et al 1992). Reduced ventromedial prefrontal
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cortical activity to feedback on planning and guessing
tasks (Elliot et al 1998) but no functional impairment in
this region during gambling (Rubinsztein et al 2001) have
also been reported. Increased activity within rostral ante-
rior cingulate gyrus and orbitofrontal cortical activity to
negative emotional stimuli during an affective go-no-gotask(Elliot et al 2002), and decreased activity within these
regions (Buchsbaum et al 1997; Drevets et al 1997) has
been demonstrated. Subsequent reports, however, have
demonstrated that if the reduction in subgenual cingulate
gyral volumes in patients with major depressive disorder is
corrected, then the effect is a relative increase rather than
decrease in activity within this region (Drevets 1999,
2000).
Increased blood flow within the amygdala (Drevets et al
1992), thalamus (Drevets et al 1992), and ventral limbic
regions, including the anterior insula and ventral striatum
(Mayberg et al 1999), and a positive correlation betweenamygdalar metabolism and the severity of depressed mood
(Abercrombie et al 1998; Drevets et al 1992) have been
reported in patients with major depressive disorder. Addi-
tionally in these patients, studies have reported to masked
presentation of fearful faces increased activation within
the left amygdala, which then normalizes after treatment
with antidepressant medication (Sheline et al 2001), and
decreased attenuation of the amygdalar response to nega-
tive words (Siegle et al 2002). Interestingly, there are
compatible findings in healthy volunteers during the in-
duction of sad mood of increased regional cerebral blood
flow within the insula and subgenual anterior cingulategyrus, and decreased regional cerebral blood flow within
the dorsomedial prefrontal cortex (Mayberg et al 1999).
Recovery from a major depressive episode after suc-
cessful treatment has been associated predominantly with
increased metabolism and blood flow within dorsomedial
and dorsolateral prefrontal cortices (Baxter et al 1989;
Brody et al 1999; Buchsbaum et al 1997; Kennedy et al
2001; Mayberg et al 1999, 2000) and the dorsal anterior
cingulate gyrus (Kennedy et al 2001). Studies examining
the effect of pharmacologic and interpersonal therapies on
prefrontal activity in patients with major depressive dis-
order have either failed to demonstrate increased prefron-tal blood flow (Martin et al 2001) or have reported
decreased prefrontal metabolism (Brody et al 2001) after
these treatments.
Other changes reported after treatment include reduced
metabolism in the ventral/subgenual cingulate gyrus (Dre-
vets et al 2002; Mayberg et al 1999, 2000) and in other
regions important for the generation of emotional states,
including the thalamus, ventral striatum, and insula (May-
berg et al 1999, 2000; Nobler et al 1994; Smith et al 1999).
Within the hippocampus, increased metabolism has been
associated with 1-week treatment with fluoxetine, whereas
decreased metabolism has been associated with a response
to 6 weeks of treatment with this medication (Mayberg et
al 2000).
There are discrepant findings regarding the role of the
pregenual/rostral anterior cingulate gyrus in major depres-
sion. Although there are reports of increased activity inthis region during depressive episodes (Drevets 1999),
metabolism has been demonstrated to be abnormally
decreased in this region in depressed patients who had
poor responses to treatment (Mayberg et al 1997). Fur-
thermore, although a response to medication at 6 weeks of
treatment with selective serotonin reuptake inhibitor med-
ication is associated with decreased regional cerebral
blood flow in the subgenual anterior cingulate gyrus
(Mayberg et al 1999, 2000), this is also associated with
increased regional cerebral blood flow in the pregenual
anterior cingulate gyrus (rostral region of Brodmann Area
24; Mayberg et al 1999, 2000). Decreased regional cere-bral blood flow within this region has also been demon-
strated in healthy volunteers during the induction of sad
mood (Mayberg et al 1999).
There are also inconsistent findings regarding changes in
activity within the ventrolateral prefrontal cortex on recovery
from a major depressive episode (Brody et al 1999, 2001;
Drevets et al 1992; Nobler et al 1994). It has been
suggested that whereas pharmacologic interventions may
have a direct effect in reducing activity within regions
important for the generation of emotional states, including
the limbic structures described above, resulting in a
relaxation of activity within the ventrolateral prefrontalcortex, nonpharmacologic interventions may serve to in-
crease activity within the ventrolateral prefrontal cortex to
enhance the role of this structure in the regulation of
emotional behavior (Drevets 2000).
Despite some of the inconsistencies in these findings,
taken together they suggest a reciprocal functional rela-
tionship between a ventral neural system, implicated in the
production of both normal and abnormal affective states,
and a dorsal neural system, implicated in the performance
of cognitive tasks and the effortful regulation of affective
states (Mayberg et al 1999). The specific nature of the
roles of the pregenual anterior cingulate gyrus and ventro-lateral prefrontal cortex in the induction of sad mood, as
well as in the generation of and recovery from depression,
requires further clarification.
Conclusion: Is There an Abnormal FunctionalNeuroanatomy Underlying Major DepressiveDisorder?
Findings indicate impaired executive and emotional pro-
cessing in patients with major depression. These impair-
ments appear to be less severe than those observed in
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bipolar patients and may involve a bias toward the
identification of emotional information as negative or sad.
Studies have demonstrated structural abnormalities, and
predominantly volume reductions, within many of the
regions implicated in emotion processing: within the
amygdala and ventral striatum, important for the identifi-
cation of the emotional significance of stimuli; within the
subgenual cingulate gyrus, important for the production ofaffective states and behavior; and within prefrontal corti-
cal regions and hippocampus, implicated in the effortful
regulation of this behavior. Studies have also demon-
strated in patients during a major depressive episode
increased activity within regions important for the identi-
fication of emotional stimuli and generation of emotional
behavior, including the subgenual cingulate gyrus, ventro-
lateral prefrontal cortex, the amygdala, anterior insula,
ventral striatum, and thalamus, and decreased activity
within regions implicated in the effortful regulation of
emotional behavior, including dorsomedial and dorsolat-
eral prefrontal cortices. This pattern of activity reverses
after recovery from a depressive episode, with increased
activity within dorsomedial and dorsolateral prefrontal
cortices and decreased activity within the subgenual cin-
gulate gyrus, hippocampus, thalamus, ventral striatum,
and insula.
How are these structural and functional neurobiological
abnormalities associated with the symptoms of patients with
major depression? In these patients, volume reductions
within regions such as the amygdala, important for theidentification of the emotional significance of a stimulus and
production of affective states, may result in a restriction of the
range of emotions identifiable and experienced, as in patients
with schizophrenia. In patients with major depression, how-
ever, reports suggest increased rather than decreased function
within these regions during episodes of illness. The combi-
nation of these structural and functional abnormalities may
therefore result in a restricted emotional range, but with a bias
toward the predominant role of the amygdala in the identifi-
cation of negative rather than positive emotions. Thus, rather
than identify and experience a reduced range of emotions
Figure 3. Schematic model for the neural basis of the observed
deficits in emotion perception and behavior, and the relationship
between these and the symptoms of bipolar disorder. The color
coding and relative sizes of the figure components of the figure
define features described for Figure 2. Enlarged rather than
decreased amygdalar volumes and enhanced rather than reduced
activity within the ventral system suggest a dysfunctional in-
crease in the sensitivity of this system to identify emotional
significance and produce affective states. Impaired effortful
regulation of subsequent emotional behaviors (reduced size of
the curved arrow representing the regulation of the ventral by the
dorsal system) might result from decreases in prefrontal cortical
volumes and activity within the dorsal system. Specific symp-
toms of both depressed and manic phases of illness in bipolar
disorder, including prominent mood swings, emotional lability,
and distractibility may be associated with these abnormalities.DLPFC, dorsolateral prefrontal cortex; DMPFC, dorsomedial
prefrontal cortex; ACG, anterior cingulate gyrus; VLPFC, ven-
trolateral prefrontal cortex.
Figure 4. Schematic model for the neural basis of the observed
deficits in emotion perception and behavior, and the relationship
between these and the symptoms of patients with major depres-sion. The color coding is as in Figure 2. Volume reductions
within the amygdala and other components of the ventral neural
system, together with increased rather than decreased activity
within these regions during illness, may result in a restricted
emotional range, biased toward the predominant role of the
amygdala in the perception of negative rather than positive
emotions. Structural and functional impairments within regions
of the dorsal system, associated with impairments in executive
function and effortful regulation of emotional behavior (reduced
size of the curved arrow representing the regulation of the ventral
by the dorsal system), may perpetuate these phenomena, result-
ing in depressed mood and anhedonia. DLPFC, dorsolateral
prefrontal cortex; DMPFC, dorsomedial prefrontal cortex; ACG,anterior cingulate gyrus; VLPFC, ventrolateral prefrontal cortex.
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together with a bias toward the identification of all emotion-
ally salient stimuli as threatening, as in patients with schizo-
phrenia, or rather than demonstrate a lowered threshold for
the identification of emotional significance and production of
affective states, as in patients with bipolar disorder, patients
with major depression may experience an increased tendencyto identify stimuli as emotional and experience affective
states, but within a predominantly negative context. This may
then result in the production of depressed mood and anhedo-
nia. The structural and functional impairments in dorsolateral
and dorsomedial prefrontal cortices apparent in these pa-
tients, and associated impairments in executive function and
effortful regulation of affective states and behavior, may then
perpetuate the depressed mood and anhedonia (Figure 4).
A Neuroanatomic Explanation ofAbnormalities in Emotion Perception inSchizophrenia and Affective Disorders
To date, few studies have aimed to examine the nature of
the functional and structural neuroanatomic abnormalities
associated with the presence of symptoms in psychiatric
disorders. In this critical review, we have examined the
evidence for the presence of specific abnormalities in
ventral and dorsal neural systems implicated in emotion
processing in schizophrenia, bipolar disorder, and major
depressive disorder. We have suggested that different
patterns of structural and functional abnormalities, partic-
ularly within the ventral system, exist within these disor-ders and are responsible for the generation of specific
symptoms (Table 1). In particular, we have speculated that
in schizophrenia, the pattern of structural and functional
neural abnormalities in ventral and dorsal systems is
associated with a restriction of the range of positive and
negative emotions identifiable and a misinterpretation of
all emotional stimuli as threatening, which may, in turn,
result in specific negative and positive symptoms charac-
teristic of the disorder, including emotional flattening,
anhedonia, and persecutory delusions, and impaired social
function. In bipolar disorder, we suggest that the pattern of
abnormalities is associated with an oversensitive butdysfunctional neural system for identification of emotional
significance and production of affective states, together
with impaired regulation of subsequent emotional behav-
iors, resulting in prominent mood swings, emotional labil-
ity, and distractibility. In major depressive disorder, we
suggest that the pattern of reduced volume but increased
rather than decreased function within components of the
ventral system during depressed episodes indicates a bias
of this system toward the identification specifically of
negative rather than emotional material per se, resulting in
depressed mood and anhedonia, rather than the restricted
range of affective states observed in schizophrenia or the
emotional lability in bipolar disorder.
Future studies should aim to examine more closely the
effects of different treatments on functional and structural
neuroanatomic abnormalities in these and other psychiat-
ric populations. Studies employing imaging paradigms andmethods of analysis examining more closely functional
relationships between neural regions important for emo-
tion processing, and those combining neuroimaging with
electrophysiologic, neurochemical, and genetic ap-
proaches, will help to clarify further the nature of the
distinguishing neurobiological features of each of these
disorders.
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