City University of New York (CUNY) City University of New York (CUNY) CUNY Academic Works CUNY Academic Works Publications and Research City College of New York 2017 Combined mnemonic strategy training and high-definition Combined mnemonic strategy training and high-definition transcranial direct current stimulation for memory deficits in mild transcranial direct current stimulation for memory deficits in mild cognitive impairment cognitive impairment Benjamin M. Hampstead University of Michigan Krishnankutty Sathian Emory University Marom Bikson CUNY City College Anthony Y. Stringer Emory University How does access to this work benefit you? Let us know! More information about this work at: https://academicworks.cuny.edu/cc_pubs/518 Discover additional works at: https://academicworks.cuny.edu This work is made publicly available by the City University of New York (CUNY). Contact: [email protected]
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City University of New York (CUNY) City University of New York (CUNY)
CUNY Academic Works CUNY Academic Works
Publications and Research City College of New York
2017
Combined mnemonic strategy training and high-definition Combined mnemonic strategy training and high-definition
transcranial direct current stimulation for memory deficits in mild transcranial direct current stimulation for memory deficits in mild
cognitive impairment cognitive impairment
Benjamin M. Hampstead University of Michigan
Krishnankutty Sathian Emory University
Marom Bikson CUNY City College
Anthony Y. Stringer Emory University
How does access to this work benefit you? Let us know!
More information about this work at: https://academicworks.cuny.edu/cc_pubs/518
Discover additional works at: https://academicworks.cuny.edu
This work is made publicly available by the City University of New York (CUNY). Contact: [email protected]
Combined mnemonic strategy training and high-definition transcranialdirect current stimulation for memory deficits in mild cognitive
impairment
Benjamin M. Hampsteada,b,c,d,*, Krishnankutty Sathiand,e,f,g, Marom Biksonh,Anthony Y. Stringerd,g
aMental Health Service, VA Ann Arbor Healthcare System, Ann Arbor, MI, USAbNeuropsychology Program, Department of Psychiatry, University of Michigan, Ann Arbor, MI, USA
cMichigan Alzheimer’s Disease Core Center, University of Michigan, Ann Arbor, MI, USAdDepartment of Rehabilitation Medicine, Emory University, Atlanta, GA, USA
eDepartment of Neurology, Emory University, Atlanta, GA, USAfCenter of Excellence for Visual and Neurocognitive Rehabilitation, Atlanta VAMC, Decatur, GA, USA
gDepartment of Psychology, Emory University, Atlanta, GA, USAhDepartment of Biomedical Engineering, The City College of New York, New York, NY, USA
Abstract Introduction: Memory deficits characterize Alzheimer’s dementia and the clinical precursor stageknown as mild cognitive impairment. Nonpharmacologic interventions hold promise for enhancingfunctioning in these patients, potentially delaying functional impairment that denotes transition todementia. Previous findings revealed that mnemonic strategy training (MST) enhances long-termretention of trained stimuli and is accompanied by increased blood oxygen level–dependent signalin the lateral frontal and parietal cortices as well as in the hippocampus. The present study wasdesigned to enhance MST generalization, and the range of patients who benefit, via concurrentdelivery of transcranial direct current stimulation (tDCS).Methods: This protocol describes a prospective, randomized controlled, four-arm, double-blindstudy targeting memory deficits in those with mild cognitive impairment. Once randomized, partic-ipants complete five consecutive daily sessions in which they receive either active or sham high defi-nition tDCS over the left lateral prefrontal cortex, a region known to be important for successfulmemory encoding and that has been engaged by MST. High definition tDCS (active or sham) willbe combined with either MST or autobiographical memory recall (comparable to reminiscencetherapy). Participants undergo memory testing using ecologically relevant measures and functionalmagnetic resonance imaging before and after these treatment sessions as well as at a 3-monthfollow-up. Primary outcome measures include face-name and object-location association tasks.Secondary outcome measures include self-report of memory abilities as well as a spatial navigationtask (near transfer) and prose memory (medication instructions; far transfer). Changes in functionalmagnetic resonance imaging will be evaluated during both task performance and the resting-stateusing activation and connectivity analyses.Discussion: The results will provide important information about the efficacy of cognitive andneuromodulatory techniques as well as the synergistic interaction between these promisingapproaches. Exploratory results will examine patient characteristics that affect treatment efficacy,thereby identifying those most appropriate for intervention.Published by Elsevier Inc. on behalf of the Alzheimer’s Association. This is an open access articleunder the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
Trial status: The study is actively enrolling participants.
It is well known that the proportion of older adults isincreasing within both the United States and globally.Alzheimer’s disease is the most common cause of dementia(i.e., Alzheimer’s dementia—AD) with a rate of about 9.5%in those for more than age 70 years; this rate is expected toincrease twofold to threefold in the coming decades [1,2].Delaying conversion to AD will not only improve patientquality of life but may also reduce the financial costs ofthe disease. The diagnosis of mild cognitive impairment(MCI) captures those who are cognitively symptomaticand at high risk of conversion to AD, yet demonstraterelatively preserved everyday functioning [3–5]. Learningand memory deficits are the most common presentingproblem [3,5] and are associated with medial temporallobe atrophy and dysfunction [5–7]. Associative memoryparadigms may be especially sensitive to early declinegiven their reliance on medial temporal lobe structures[8]. In fact, patients with MCI demonstrate deficits onecologically relevant associative tasks such as face-name[9] and object-location associations [10], which are accom-panied by hypoactivation of key lateral frontoparietal andmedial temporal regions relative to control subjects [10].The lateral frontoparietal network (i.e., middle and inferiorfrontal gyri, inferior frontal sulcus, and intraparietal sulcus)is known to be important in successful memory formation[11], possibly because of its role in mediating workingmemory [12–14]. We further supported the importance ofthis network using effective connectivity analyses, whichrevealed that cognitively intact older adults engaged theleft frontoparietal network during the successful encodingof new object-location associations [15]. In contrast, MCIpatients engaged the right frontal eye field, a region knownto mediate basic attentional saccades. Together, these find-ings suggest that memory deficits in patients with MCI mayemerge through a combined “loss” of medial temporal andfrontoparietal functioning.
The critical question is how to enhance or otherwisemaximize memory in those with MCI, especially consid-ering the limited cognitive effects of existing pharmacologicagents [16–18]. The current, ongoing, double-blind,randomized controlled trial addresses this question usingtwo promising nonpharmacologic approaches: mnemonicstrategy training (MST) and transcranial direct currentstimulation (tDCS).
As we previously described [19,20], MST teachesparticipants to use cognitive “tools” that enhance theorganization of information while also requiring patientsto process information more deeply, factors known toenhance memory [21,22]. We demonstrated that MST
enhances memory for face-name [23] and object-locationassociations [19] and others have found comparable bene-fits for tasks such as word lists [24]. These behavioral im-provements were accompanied by increased activation inregions of the lateral frontoparietal network [24,25] andthe hippocampus [26]. Together, these findings suggestthat MST may enhance memory by re-engaging these pre-viously dysfunctional brain regions/networks. However,our prior data indicate two potential limitations. First,MST appears less effective in patients with “late” MCI(i.e., those closer to developing AD) than “early” MCI(i.e., those closer to “normal”) [19,23]. Second, patientshave difficulty spontaneously transferring MST to noveltypes of information, a common problem in this area ofresearch.
We selected tDCS as a potential method for overcomingthese limitations. tDCS modulates neuronal excitability bypassing a weak electric current between electrodes that areplaced on the scalp. Traditionally, tDCS uses two elec-trodes (usually 25–35 cm2): an anode that “introduces”the electrical current and a cathode that “collects” thecurrent. Evidence suggests that neuronal somata underthe anode become depolarized [27]. Thus, tDCS does notdirectly induce neuronal firing but, rather, produces condi-tions that make firing more or less likely to occur. Toenhance focality, we are using high definition (HD)tDCS. This method uses a 4 ! 1 ring configuration inwhich the central electrode is surrounded by four electrodesof the opposite polarity [28,29]. Practically, this means thatthe “ring” electrodes each use about ¼ of the electricalcurrent, whereas the central electrode uses the fullamount. This approach limits the cortical modulationeffects to the area of the four-electrode ring (see [29])and presumably minimizes the confounding physiologicaleffects of the ring electrodes. Applied to the motor cortex,HD-tDCS induces greater and more persistent neuromodu-latory effects than the traditional approach [30] whileremaining well tolerated and without significant sideeffects (see [28,31]).
We believe the combined use of MST and HD-tDCS isespecially appropriate because there is evidence that concur-rent tDCS and training enhances consolidation of the trainedskill (see [32]). We target the left lateral prefrontal cortex(PFC) given its importance in successful learning and inmnemonic strategy use (as described previously). Thus, weare particularly interested in the synergistic effects ofcombined MST and HD-tDCS. The current trial randomizesparticipants to one of four treatment groups that consist ofMST or an autobiographical memory recall (ABR) incombination with active or sham HD-tDCS.
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The primary objectives of the study are as follows:
(1) Examine the cognitive benefits of the interventionsusing ecologically relevant outcome measures. Wepredict main effects of group where MST is moreeffective than ABR and active HD-tDCS is moreeffective than sham HD-tDCS. Our primary interest,however, is in the cognitive by stimulation groupinteraction where we expect the greatest benefits ofcombined MST 1 active HD-tDCS and least (ifany) improvement in ABR 1 sham HD-tDCS.Persistent gains are predicted to be most likely inthe combined MST 1 active HD-tDCS group.
(2) Use functional magnetic resonance imaging (fMRI) toevaluate the neuroplastic/neurophysiological changesassociated with intervention. We predict main effectsof group where the MST and active HD-tDCS groupswill demonstrate greater (ventro)lateral PFC activa-tion than the ABR and sham HD-tDCS groups. Thecognitive by stimulation group interaction is again ofparticular interest and should mirror the behavioralchanges in Aim 1. An intriguing alternative outcomeof reduced activation within the context of improvedbehavioral performance (analogous to a repetitionsuppression fMRI effect) would suggest increasedprocessing efficiency.
Exploratory analyses will examine treatment effects onworking memory and semantic processing. The targetedleft ventrolateral PFC plays an important role in workingmemory, semantic processing, and successful memoryencoding, all of which may be enhanced by active HD-tDCS over this region. These effects will be evaluated viabehavioral performance and fMRI with the expectation ofa main effect of stimulation (active . sham) but not neces-sarily a cognitive training group (given the targeted nature ofMST) or interaction effect.
2. Methods
This is a double-blind, randomized controlled trial withparallel groups allocated 1:1:1:1 using a superiority frame-work. After an initial consent/screening session, participantscomplete seven sessions within approximately 2 weeks andan eighth session at the 3-month time point. Participantsundergo fMRI during sessions 1, 7, and 8 as well as inter-vening training during five consecutive daily sessions (Ses-sions 2–6). Behavioral outcome measures are evaluated atbaseline/Session 1, Session 6 (after training), and Session8. The study timeline is shown in Fig. 1.
2.1. Participants
We intend to recruit 100 right-handed participants, age50 years and older, who hold a diagnosis of MCI. Participantsare drawn from the VA Ann Arbor Healthcare System, theUniversity of Michigan Alzheimer’s Disease Core Center
and associated participant registries, and the surroundingcommunity. Inclusion criteria: patients will have a diagnosisof MCI based on the Albert et al. [5] criteria. Specifically,patients will (1) report a subjective decline in memory (reportcan also be provided by an informant or clinician), (2) demon-strate objective impairment in memory (based on neuropsy-chological testing), and (3) remain generally independent inactivities of daily living. All patients will be stable on medi-cations for at least 1 month before study initiation. Exclusioncriteria: a history of (1) other neurologic (e.g., epilepsy, mod-erate to severe traumatic brain injury) or medical conditionsthat are known to affect cognitive functioning and that areconsidered primary to cognitive decline; (2) significantpsychiatric conditions (e.g., moderate to severe depression,bipolar disorder, schizophrenia); (3) sensory impairmentsthat limit the ability to take part in the study; and (4) currentalcohol or other drug abuse/dependence. Participants are alsoscreened to ensureMRI and HD-tDCS compatibility. Eligibleparticipants who cannot undergo MRI will be enrolled in thestudy and will complete only the stimulation and behavioralportions of the study (including outcome evaluations) withina quiet office setting. Enrollment is open to participantsregardless of race, gender, or social status.
2.2. Baseline evaluations
After providing informed, written consent obtained by astudy team member, participants undergo a brief neuropsy-chological protocol that includes the Montreal CognitiveAssessment [33], Wechsler Test of Adult Reading [34],Repeatable Battery for the Assessment of Neuropsycholog-ical Status [35], Emory short version of the Wisconsin CardSorting Test [36], Trail Making Test [37], Geriatric Depres-sion Scale [38], and Functional Activities Questionnaire[39]. This protocol ensures patients continue to meet criteriafor MCI and also characterizes their cognitive functioning atthe time of enrollment, which are important given the lagthat may occur between diagnosis and study entry. Primaryand secondary outcome measures are collected during thisinitial session but are not used to determine inclusion.
2.3. Primary outcome measures
Primary outcome measures include two internally devel-oped memory tests that are meant to emulate real-worlddifficulties that patients with MCI experience. We designedthese measures to adhere to common parameters used inclinically based tests to facilitate comparison with the widerarea of research. Both these tasks have three versions that arecomparable based on a number of critical features.Mnemonic strategies require time to implement (see discus-sion of important methodological factors in [22]), so bothtasks provide 15-second exposures for each of 15 associa-tions. Memory for these stimuli is evaluated after a 15-minute delay. Recognition foils are actual target stimuli(i.e., targets that were incorrectly paired with the face or
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object), thereby reducing reliance on familiarity andincreasing reliance on recollection of the actual association.Key features and dependent variables for these tasks arelisted subsequently. These measures are collected duringthe baseline/screening session, Session 6 (w60minutes afterthe end of training), and Session 8.
2.3.1. Face-name generalization taskMemory for each association is first assessed using cued
recall where the patient sees a face and is asked to recall thename. Participants then complete the recognition phase inwhich they select the correct name from three options. Thedependent variable is the number of correctly recalled orselected names and analyses will focus on change from base-line.
2.3.2. Object-location touch screen test (see [40])Memory is assessed under three unique conditions. Free
recall: First, participants see a target object followed by ablank screen and are instructed to touch the location of theobject on a 19 in. ELO touch screen monitor (ELOTouch So-lutions, Milpitas, CA, USA). Cued recall: Next, participants
see the object and then its associated room (without the objectpresent) and are instructed to touch its location. The primarydependent variable for both of these conditions is the distance(in centimeters) between the selected and target location. Thisapproach allows us to quantify the severity of memory failureas opposed to relying on the traditional dichotomous view ofmemory as correct or incorrect. Recognition: Finally, partici-pants complete a recognition trial in which they select thelocation of the object from three potential locations. Includingthis trial allows us to place the results within the context oftraditional dichotomousviewsofmemory.Thedependent var-iable is the number of correctly selected locations. Analyseswill focus on change frombaseline for each of thesemeasures.
2.4. Secondary outcome measures
2.4.1. Multifactorial Memory Questionnaire [41]This questionnaire is a self-report measure that was
developed to specifically assess dimensions of memorythat are applicable to clinical assessment and intervention.Participants indicate the degree to which they agree with a
STUDY PERIOD
Post-allocation
Baseline S1 S2 S3-5 S6 S7 S8 (3-month f/u)
ENROLLMENT: X
Eligibility screen X
Informed consent X
Neuropsychological Testing X
fMRI Scanning & associated tests X X X
Primary outcome measuresFNGTOLTT
X X X
Secondary outcome measuresMMQEMS-Route RecallEMS Medical Instructions
X X X
Allocation/Randomization X
MST+ active HD-tDCS X X X
MST + sham HD-tDCS X X X
ABR + active HD-tDCS X X X
ABR + sham HD-tDCS X X X
Fig. 1. Schedule of enrollment, interventions, and assessments. Abbreviations: ABR, autobiographical memory recall; EMS, ecological memory simulations;
fMRI, functional magnetic resonance imaging; FNGT, face-name generalization task; OLTT, Object Location Touchscreen Test; HD-tDCS, high definition
transcranial direct current stimulation; MMQ, Multifactorial Memory Questionnaire; MST, mnemonic strategy training.
B.M. Hampstead et al. / Alzheimer’s & Dementia: Translational Research & Clinical Interventions 3 (2017) 459-470462
statement along a 5-point scale. Three scales are provided:(1) the Ability scale (20 items), which assesses self-reportof difficulty with everyday memory situations; (2) theContentment scale (18 items), which assesses the emotionsand perceptions that individuals have about their currentmemory ability; and (3) the Strategy scale (19 items), whichexamines the respondent’s use of memory aids and strate-gies. The Multifactorial Memory Questionnaire has strongpsychometric properties (see [41] for a full description)and has been used in several intervention studies in bothhealthy older adults [42] and MCI patients [43,44].Dependent variables are the number of items endorsed oneach scale. Analyses will evaluate change from baseline.
2.4.2. Ecological memory simulationsTwo subtests from the ecological memory simulations
[45,46] will be used to evaluate transfer effects. There aretwo versions of each subtest, and we are using Form 1 atbaseline, Form 2 during the post-training evaluation (Ses-sion 6), and repeating Form 1 during the 3-month evaluation(Session 8).
2.4.2.1. Route Recall SimulationThis simulation asks patients to learn and remember an
indoor route presented as a series of two- and three-choiceintersections where a model chooses to go left, right, orstraight an equal number of times. Memory for this routeis assessed immediately and after a 15-minute delay byshowing participants an intersection and asking them torecall the direction in which the model traveled. Recall ofthe route is assessed in both serial and random order. Thedependent variable is the number of turns correctly recalled.Analyses will evaluate change from baseline. We includedthis task as a measure of near transfer because the designis amenable to mnemonic strategy use (e.g., identifying asalient feature at each intersection, developing a reason link-ing that feature with the targeted direction—see descriptionof MST mentioned previously).
2.4.2.2. Medical instructions simulationThis simulation is a prose memory task in which the
patient is read medication instructions and then asked torecall this information immediately, after a second presenta-
tion of the instructions, and after a 15-minute delay. Weincluded this task as a measure of far transfer because thetask measures memory, yet the particular mnemonic strate-gies we teach are unlikely to help the patient process suchinformation. Thus, task improvement would be expectedbecause of general “strengthening” of the key frontoparietalnetwork as a result HD-tDCS. The dependent variable is theamount of information recalled. Analyses will evaluatechange from baseline.
2.5. Session 1: fMRI scanning
Activation will be assessed using memory encoding,working memory, and semantic processing paradigms.Participants will complete scanning during Sessions 1, 7,and 8. Although the study focuses on task-based fMRI,resting-state data are collected at the start of each of thesesessions and will be interrogated for exploratory purposes.
2.5.1. Memory encodingBecause we are interested in the general network under-
lying successful MST use, participants complete functionalruns during which they encode novel stimuli from both theface-name and object-location association paradigms.Importantly, these stimuli are independent of those usedfor our primary outcome measures. Two repeated stimuliwithin each paradigm are presented multiple times andwill serve as the control condition. We reconfigured ourexisting paradigms [10,25] to create three lists (Lists A, B,and C) of 30 stimuli. As shown in Tables 1 and 2, theselists are comparable on a number of key features. Adifferent list is used in Sessions 1, 7, and 8, therebymitigating stimulus-specific effects. We elected to hold thelist constant (i.e., List A in Session 1; List B in Session 7;and List C in Session 8) so that only the treatment conditiondiffers between the groups.
Participants complete a total of four functional runs,two in each condition (each 6 minutes, 20 seconds in dura-tion). We selected a mixed event-related block designbased on simulation data because it maximized powerand provided optimal flexibility (e.g., retrospectively cod-ing each stimulus as remembered vs. forgotten for an
Table 1
Properties of the face-name task used in fMRI
SETA SET B SET C F2,87
Popularity x (SD)* 90.06 (129.63) 87.34 (107.09) 87.22 (86.91) 0.007, P 5 .993
Letters x (SD)y 5.50 (0.51) 5.50 (0.51) 5.53 (0.51) 0.040, P 5 .960
Ethnicity c2(2)
Minority n 5 16 n 5 11 n 5 11 2.155, P 5 .34
Mean rank 53.5 46 46
Gender
Male n 5 14 n 5 15 n 5 16 0.248, P 5 .88
Mean rank 50 48.5 47
*Popularity of ranking is based on Social Security data and assessed by approximate age (by decade) of face.yNumber of letters in each name.
B.M. Hampstead et al. / Alzheimer’s & Dementia: Translational Research & Clinical Interventions 3 (2017) 459-470 463
event-related analysis). Each run consists of six activeblocks (three novel and three repeated stimuli) and sevenrest blocks (20 seconds each). During active blocks, fivestimuli are presented for 5 seconds each and are separatedby an interstimulus interval (ISI) of 1, 2, 3, 4, or 5 seconds.The ISI was randomized so that the across-block averagewithin a given run was 15 seconds, which led to variabilityin the length of individual active blocks (from 34 to 46 sec-onds). Participants are instructed to push a button withtheir right index finger each time a new stimulus appears,a requirement meant to ensure they are attending to thetask at hand. Run order is randomized for each patient.The interaction contrast of list and time is of primary inter-est (Novel [post-training. pretraining].Repeated [post-training . pretraining]). We refer to this as the encodingcontrast hereafter. Exploratory analyses will evaluate acti-vation changes within each paradigm individually (i.e.,face-name or object-location). Participants complete amemory test using these stimuli outside of the scanner.
2.5.2. Working memory and semantic processingParticipants complete a standard n-back workingmemory
paradigm. In the 0-back (control) condition, participantspush a button on an fMRI compatible response padusing their right index finger when a target stimulusappears. The 2-back condition requires participants to pushthe button when a given stimulus was also seen two stimuliago. The primary contrast of interest examines the inter-action between condition and time: (post-training [2-back. 0-back]. pretraining [2-back. 0-back]). We referto this as the contrast for item working memory hereafter.
To evaluate whether MST or HD-tDCS also affectssemantic processing, we developed a semantic 2-back taskthat requires participants to determine if a given stimulusis of the same semantic category (e.g., an animal) as theone presented two stimuli ago. Similar paradigms haveeffectively engaged the left lateral PFC [47]. Using thesame n-back design holds all task demands constant exceptfor the addition of semantic processing. Thus, the primarycontrast of interest will subtract out blood oxygen leveldependent (BOLD) signal associated with working memoryfrom the semantic task via the interaction contrast of taskand time: (semantic [2-back post-training . 2-backpretraining]. item [2-back post-training. 2-back pretrain-
ing]). We refer to this as the contrast for semantic processinghereafter.
These paradigms allow us to directly examine the cognitiveprocesses and associated brain regions underlying mnemonicstrategy use (Aim 2) as well as any HD-tDCS–relatedimprovements in other cognitive abilities (Aim 3). In devel-oping these tasks, we selected a total of 45 stimuli using colorversions of the classic Snodgrass andVanderwart set (obtainedat http://spell.psychology.wustl.edu/Rossion_stimuli/) and,specifically, five stimuli from each of nine semantic cate-gories. We created three groups of 15 stimuli (three semanticcategories with five stimuli per category in each list) (Group 1:body parts, animals, and furniture; Group 2: tools, fruits, andclothing; Group 3: musical instruments, vegetables, and vehi-cles). These same three groups of stimuli are used in each scansession to mitigate any stimulus-specific effects; however, thestimuli used for a given cognitive task (0-back, 2-back, seman-tic 2-back) are rotated for each session. For example, group 1could be used for 0-back during Session 1, 2-back for Session7, and semantic 2-back for Session 8. Stimuli are presentedusing a block design (4 minutes, 30 seconds) that consists offive active and six (20 second) rest blocks. Within each 3000
active block, 15 stimuli are presented for 100 and separatedby a 100 ISI. Four to six target stimuli are shown in each activeblock, a design meant to reduce predictability. Participantsrespond by pushing a button with the right index finger.
2.5.3. MRI image acquisitionAll imaging is performed using a 3 T GE SignaMRI with a
32-channel head coil. Stimuli are presented on a rear-mountedliquid crystal display screen. High-resolution anatomic imagesare acquired using a three-dimensional BRAVO sequence withrepetition time (TR) 12.2 ms, echo time (TE) 5.2 ms, inversiontime 500 ms, flip angle (FA) 15�, 160 sagittal slices of 1 mmthickness, in-plane resolution (IPR) 1! 1mm, in-planematrix(IPM) 256 ! 256, and field of view (FOV) 256 mm. AllfMRI data are collected using T2*-weighted functional imagesacquired with a multiband slice accelerated gradient-recalledecho planar imaging sequence with BOLD contrastand the following parameters: resting-state scans: TR,900 ms; TE, 30 ms; FOV, 240 mm; FA, 70�; 45 axial slicesof 3 mm thickness; IPR, 3.0 ! 3.0 mm; IPM, 74 ! 74;3.24 ! 3.24 ! 3 mm voxels. All task-related scans use thefollowing parameters: TR, 1200 ms; TE, 30 ms; FOV,
Table 2
Properties of the object-location task used in fMRI
List A x (SD) List B x (SD) List C (3) x (SD) F2,87
220 mm; FA, 70�; 51 axial slices of 2.5 mm thickness; IPR,2.5 ! 2.5 mm; IPM, 88 ! 88; voxel size, 2.5 mm isotropic.
2.6. Interventions
Administered in Sessions 2 to 6.
2.6.1. RandomizationDuring the consent process, participants are informed
that the study evaluates cognitively based interventions;however, participants are not given specific informationabout the interventions to keep them blinded to the alterna-tive cognitive condition. Participants are also informed thatsham HD-tDCS may be used but are not told the differencebetween active and sham parameters. All participantsreceive a study ID that is used on all study materials (i.e.,no personal identifiers are used). All data are double scoredand entered into a secure database to which only study teamhas access.
A series of random 6-digit computer-generated codeswere created and preprogrammed into the Soterix Medical,Inc Clinical Trial tDCS unit. We use the sealed envelopemethod in which group assignment (i.e., the cognitivetraining condition and the numeric code for the tDCS unit)is placed within a sealed envelope at the beginning of thestudy. This numeric code is participant unique and allowsfor double blinding of HD-tDCS condition. A blockedrandomization schedule is used with 1:1:1:1 allocation toeach of the four groups that are run in parallel (i.e., activeHD-tDCS 1 MST, sham HD-tDCS 1 MST, active HD-tDCS1 ABR, or sham HD-tDCS1 ABR). Soterix MedicalInc generated the codes. The study principal investigator(B.M.H.) generated the allocation sequence and shuffledthe sealed envelopes. Study staff enroll participants andassign study conditions.
At the beginning of Session 2 (i.e., the first trainingsession), a study staff member opens the envelope, therebyrevealing the participant’s cognitive training group andunique HD-tDCS code. Thus, participants are double-blinded (i.e., to the other cognitive intervention and toHD-tDCS status) and study staff are single-blinded (i.e., toHD-tDCS status). A study teammember who did not admin-ister the intervention(s) performs the outcome evaluations. Aseparate study teammember who is double-blinded analyzesfirst level fMRI data. Second-level fMRI analyses will beperformed at the end of the study after breaking the blind.Unblinding will occur during the study period only if apatient experiences an unexpected adverse event.
2.6.2. Intervention by groupAll groups undergo five training sessions on consecutive
days. Each session lasts approximately 80 to 120 minutesdepending on the speed with which the patient completesthe training. The first 10 to 15 minutes of each session areused to measure and place the HD-tDCS electrodes. Thecognitive intervention (i.e., MST or ABR) occurs during
the next 60 to 110 minutes (the first 30 minutes are concur-rent with HD-tDCS) and the final 10 minutes are used toanswer any questions and remove the HD-tDCS electrodes.Participants are allowed to miss up to two training sessionsand still remain active in the study.
2.6.2.1. Mnemonic Strategy TrainingA brief didactic period is provided during the first ses-
sion in which the rationale and methods are explained.MST begins at the same time as HD-tDCS stimulationand persists for approximately 30 to 90 minutes after stim-ulation has ended. This approach intends to capitalize onthe neuroplastic changes induced by HD-tDCS and toadaptively shape them using MST, thereby reinforcingthe interactions necessary for successful strategy use. Pa-tients will use the same three-step process as in our priorstudies [19,23]. We refer to this process as “FRI”, forfeature (F), reason (R), and image (I). In the first step, asalient feature is identified. Participants are encouragedto select something that is especially unique or unusualabout the stimulus. Next, a verbally based reason forselecting that specific feature is developed. This reasonshould integrate the feature with the targeted information(e.g., the name). Finally, participants imagine andintegrate these previous steps using mental imagery (i.e.,by creating a mental “picture” or “movie”). On eachsubsequent trial, we require participants to recall thefeature, the reason, the image, and then the targetedinformation (e.g., the name) in that specific order. Toreinforce the use of the FRI approach, patients are givennine trials per stimulus. This process is designed topromote a specific series of steps that participants willuse when encountering information in the future, therebyaltering the manner in which they learn and recallinformation. We previously discussed the benefits of atrial-based format [20], which ensures comparableexposure to the study methods relative to a session ortime-based design where individual sessions may differsubstantially both within and between participants. Partic-ipants are required to independently develop the feature,reason, and image cues for each stimulus. A member ofour research team monitors and records each step of theprocess to ensure compliance. We provide assistance andmodel appropriate cues as needed to promote successfulstrategy use. Participants practice this MST approach usinga total of 12 stimuli (six faces and names; six objects andlocations) in each session (108 trials per session; 540 totaltrials across all sessions).
2.6.2.2. Autobiographical memory recallWe selected ABR as an active control condition for MST
because it focuses on memory and engages patients in gen-eral conversation with our research team, thereby matchingnonspecific factors and total session time. This approach issimilar to reminiscence therapy, which has shown some pos-itive effects in patients with AD [48] and, as a result, can beconsidered an active comparator.
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This condition begins at the same time as HD-tDCS andpersists for approximately 30 to 90 minutes after stimulationhas ended. During each session, participants are asked toidentify and write a brief description of five emotionally pos-itive memories from each of five distinct periods of life (Ses-sion 1, 0–15 years old; Session 2, 16–30 years old; Session 3,31–45 years old; Session 4, 45 years old to 5 years ago; Ses-sion 5, last 5 years). Participants are then asked to describeeach memory in their own words. The entire session is audiorecorded for later transcription and analysis. After this freerecall period, our staff asks the participant to rate howpleasant, significant, intense, novel, and vivid each memoryis using a 7-point scale (with anchored values; 1 beinglowest/worst and 7 being highest/best). Participants are alsoasked how frequently they think about or recall the memory.We then ask a series of questions that are meant to furtherprobe the episodic aspects of each memory including howthe participant felt during the event, what sights were aroundthem, what kind of smells they experienced, and why theparticipant thinks they still recall the particular memory.These questions are meant to ensure comparable engagementand experience as with the MST group. In addition, however,we intend to analyze the transcribed data for linguistic quali-ties by Linguistic Inquiry and Word Count or other relatedmethods. This approach may be especially informative giventhat HD-tDCS is being performed over the left lateral PFC(including “Broca’s area”), which is known to be vital forspeech production. Thus, it is possible that active HD-tDCSversus sham HD-tDCS could facilitate speech output overthe course of the five sessions (this possibility will be evalu-ated in exploratory analyses). Such findingsmay be especiallypowerful given evidence that MCI patients recall fewerepisodic details and use less complex language relative tocontrol subjects [49,50].
2.6.2.3. High definition transcranial direct currentstimulation
Stimulation is performed using a Soterix Medical InctDCS unit (Clinical Trial system and connected 4 ! 1 HDstimulation unit) within a quiet room. Fig. 2 shows ourHD-tDCS montage and finite element models of electricalcurrent flow (comparable results can be obtained usingHD-Explore software from Soterix Medical, Inc). As canbe seen, our montage selectively targets the left lateralPFC, especially the inferior frontal sulcus and gyrus.
Participant-specific codes are entered and the unit automat-ically discontinues stimulation after the specified time haselapsed, which is based on active versus sham grouping.At the end of the session, participants complete a brief ques-tionnaire about the nature and severity of any side effects, asrecommended by Brunoni et al. [51]. An independent tDCSexpert reviews safety and tolerability data on a biannual ba-sis and submits findings to the institutional review board.
2.6.2.3.1. Active tDCS protocolThis protocol provides a 30-second ramp-up period in
which the electrical current is gradually increased, followedby 29 minutes of stimulation at 2 mA, and finally a 30-second ramp down period during which the electrical currentis gradually removed. This “dose” was based on two previ-ous tDCS studies in patients with AD [52,53].
2.6.2.3.2. Sham tDCS protocolThis protocol follows standard designs [54] and provides a
30-second ramp-up period to the full 2 mA, followed immedi-ately by a 30-second ramp down. We repeat this process dur-ing the final minute of the session to provide patients with both“primacy” and “recency” experiences of stimulation. This isan appropriate comparator for active HD-tDCS because it pro-vides comparable sensory experiences absent the physiolog-ical effect, thereby resulting in effective blinding [28,31,51].
2.7. Session 7
Approximately 2 to 4 days after the final training session(depending on participant and scanner availability), partici-pants complete fMRI scanning using a novel list of stimulifor each task (List B). Memory for the face-name andobject-locations is assessed outside the scanner as describedpreviously.
2.8. Session 8
Approximately 3 months after Session 7 (typically67 days), participants return for a follow-up session. Pri-mary and secondary outcome measures are collected. Partic-ipants are then escorted to the MRI scanner, where theycomplete scanning using a novel list of stimuli for eachtask (List C).
Fig. 2. Finite element models of electric current flow using our HD-tDCS montage. Abbreviation: HD-tDCS, high definition transcranial direct current stim-
ulation.
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2.9. Power and statistical analysis
Previously published results [55] of neurostimulationstudies suggest mean cognitive effect sizes (in Cohen’s d)of 0.42 for single sessions and 0.89 for multiple sessionsin healthy older adults and even larger effects in patientswith AD, ranges generally consonant with those recentlysuggested for tDCS studies [56]. Our prior studies withMST indicated large effect sizes (ph2 5 0.16) relative totightly matched active control conditions [21]. fMRI poweranalysis is complex owing to the large number of potentialvariables (and brain regions). Two independent studieshave recommended group sizes of 20 to 25 assuming a0.5% BOLD signal change, 80% power, and a of 0.05 to0.002 [57,58]. Fig. 3 (via G*Power 3.1, power 5 0.8,a 5 0.05) shows the within-between interaction sensitivityto effect sizes based on total sample size and indicates thatthe present study will be sensitive to medium (f(V) w 0.4)to large (f(V) w 0.5) effect size even with 20% attrition.These same parameters yield sensitivity to mediumbetween-groups (f(V) 5 0.336) and within-groups(f(V) 5 0.348) effect sizes.
To protect confidentiality, participants are assigned asubject ID that is used for all materials. Only select teammembers have access to the code. No identifiers are includedin study folders or digital files. Digital data are stored on asecure server to which only select study team membershave access. Neuropsychological and outcome data arecollected by trained study team members, double scored,and then entered into a secure database. Range checks anddouble entry will be used to ensure data accuracy. MRI dataare transferred to a secure server and analyzed using an“attached” virtual machine. The primary analytic techniquefor behavioral data will be regression using the SAS mixedprocedure (PROCMIXED or another comparable approach),which allows the interdependence of observations to bemodeled directly and can include subjects with missing dataat one of the follow-up periods. PROC MIXED has the cap-acity to handle unbalanced data when the data are missingat random (skipped visits, patient dropout, and so forth),although a large amount of missing data is considered
unlikely because of the nature of the study and the effortsthat will bemade to ensure consistent follow-up participation.Each mixed linear model equation will model the changefrom baseline for one of the outcome measures as a functionof intervention group, post-training session (i.e., Session 7 or8), and group! post-training session interaction. In addition,all models may include potential confounders that differ atbaseline between the groups (at P 5 .05) even despiterandomization (there should be few, if any, given the samplesize). Results of primary and secondary outcome measureswill be considered significant if P � .05.
2.9.1. fMRI analysesGiven the anatomic specificity of our hypothesis, our
primary fMRI analyses will use a region of interest (ROI)approach following the anatomic boundaries of the leftventrolateral PFC. After single-session preprocessing, wewill calculate voxelwise area under the curve in which thehemodynamic response is averaged across all voxels andtime points for the previously described contrasts duringeach of the fMRI session (Sessions 1, 7, and 8). This hasthe benefit of providing a single value for each group ineach session, thereby substantially reducing the number ofcontrasts and increasing power. We will examine the ROI-based data using the same PROC MIXED (or related)procedures. Exploratory whole brain analyses will also beperformed to evaluate treatment-induced changes that wouldsuggest compensatory and/or restorative mechanisms. Con-nectivity analyses will be performed using the ROI as theseed area. We will then correlate the change in activationfor both the immediate and long-term effects with the corre-sponding average change in behavioral performance on ourprimary outcome measures of the object-location touchscreen test and face-name generalization task. These behav-ioral measures are completely independent of the fMRI dataand, therefore, will provide an unbiased measure of the rela-tionship between these variables. Exploratory behavioraland fMRI analyses for the working memory and semanticprocessing tasks will follow the aforementioned analyticplan.
Fig. 3. Sensitivity (80% power) to effect size (y-axis) by total sample size (x-axis) for the present study (figure provided by G*Power 3.1).
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3. Discussion
This ongoing double-blind, randomized controlled trialwith four parallel groups evaluates the behavioral and neuro-physiological changes associated with MST and HD-tDCSin patients with MCI. As discussed previously, prior researchindicated that MST enhanced long-term retention of new in-formation but that these benefits were attenuated in moreadvanced patients. In addition, patients have difficulty sponta-neously transferringMST to new types of information—a lim-itation thatmakes this type of training task-specific. HD-tDCSwas included a method that may enhance functioning on itsown, facilitate the acquisition and long-term use of MST,and, perhaps, increase the range of patients who benefit fromMST. This approach builds on prior evidence from the motorliterature that stimulation may enhance and/or prolong effectsof behavioral training [32]. Thus, the difference in outcomemeasures in Session 6/7 (post-treatment) relative to baselinewill provide evidence of near-term efficacy, whereas the dif-ference between post-training and the 3-month follow-upwill providevital information about the persistence of changesand inform the timing of any necessary booster sessions.
Several methodological challenges exist with this type ofstudy and we have adopted a number of procedures to proac-tively dealwith such issues. First, we use a range ofmethods toenhance retention including didactics about why dropout is sodetrimental to longitudinal research, encouraging participantsto take part only if they are certain they will complete thestudy, and providing session reminders (via participant’spreferred method of contact). Second, scheduling is tailoredto the participants’ availability, thereby minimizing conflicts.Third, additional travel funds were allocated to ensure equalaccess for all interested and eligible participants. Fourth, par-ticipants are allowed to take part in all standard clinical careactivities. Importantly, however, there are no cognitive orphysically based clinical programs for those with MCI thatcould confound results in the geographical region. Partici-pants are required to be stable on medications for at least4 weeks before the study and are asked not to alter their med-ications, unless recommended by their physician, until the endof the study. Any changes in medications or other health con-ditions are recorded at the time of the next study visit.
Our outcome measures were designed to be ecologicallyrelevant to enhance participant motivation and transfer toeveryday life. Although group-level effects are important,the study will yield rich clinical and neuroanatomic datathat will be used to identify individual patient factors thataffect treatment response. Such factors include cognitivefunctioning (e.g., scores on standardized neuropsychologi-cal testing) as well as the structural (e.g., brain volume/cortical thickness) and functional integrity of the brain atbaseline (e.g., resting-state functional connectivity).Together, we expect our findings will provide critical infor-mation about these nonpharmacologic approaches that willguide future research and, ideally, meaningfully inform clin-ical practice in this growing population.
Acknowledgments
The authors wish to thank Mr Oliver Calhoun for his assis-tance with manuscript preparation. The contents of thismanuscript do not represent the views of the Departmentof Veterans Affairs or the United States Government.Funding: Primary funding was provided by Merit ReviewAward (IRX001534 to BMH), Rehabilitation Research &Development, Office of Research and Development, Depart-ment of Veteran’s Affairs. Partial support from MichiganAlzheimer’s Disease Core Center (5P30AG053760-5), Na-tional Institute on Aging, National Institutes of Health isalso acknowledged.Author contributions: All authors played a role in studydesign. B.M.H. drafted and finalized the manuscript withinput of all authors.Conflicts of Interest: The authors have no conflicts of interestto disclose.Ethics approval and consent to participate: The VA Ann Ar-bor Healthcare System’s Institutional Research Boardapproved this study. All participants provided informedand written consent. Any protocol amendments will beapproved by the VAAAHS IRB and necessary modificationsmade to www.clinicaltrials.gov.
RESEARCH IN CONTEXT
1. Systematic review: Previous studies have demon-strated that mnemonic strategy training can (re)engage key lateral frontoparietal and medial tempo-ral regions thereby enhancing learning and memory,at least under some conditions. It is unclear whetherforms of noninvasive brain stimulation can enhanceand prolong this effect, thereby improving subjectiveand objective memory performance in those withmemory impairment.
2. Interpretation: The results of the intervention(s)described in this protocol will (1) extend our un-derstanding of the conditions under which cogni-tively oriented treatments are effective, especiallyin respect to the transfer of trained skills and (2)evaluate the independent and synergistic effectsof noninvasive brain stimulation on learning andmemory.
3. Future directions: Study results will identify theextent, magnitude, and persistence of change inmemory-related abilities as well as participant-specific predictors of response, thereby enhancingfuture trial design and facilitating the clinical trans-lation of such methods.
B.M. Hampstead et al. / Alzheimer’s & Dementia: Translational Research & Clinical Interventions 3 (2017) 459-470468