Across Continuuum Consciousness
Across Continuuum Consciousness
Across Continuuum Consciousness
HUMAN NEUROSCIENCE
published: 10 March 2015
doi: 10.3389/fnhum.2015.00105
Edited by: Advances in the development of new paradigms as well as in neuroimaging techniques
Marta Olivetti, Sapienza University
nowadays enable us to make inferences about the level of consciousness patients with
of Rome, Italy
disorders of consciousness (DOC) retain. They, moreover, allow to predict their probable
Reviewed by:
Srivas Chennu, University of development. Today, we know that certain brain responses (e.g., event-related potentials
Cambridge, UK or oscillatory changes) to stimulation, circadian rhythmicity, the presence or absence of
Andrew A. Fingelkurts, sleep patterns as well as measures of resting state brain activity can serve the diagnostic
BM-Science - Brain & Mind
and prognostic evaluation process. Still, the paradigms we are using nowadays do not
Technologies Research Centre,
Finland allow to disentangle VS/UWS and minimally conscious state (MCS) patients with the
Rita Formisano, desired reliability and validity. Furthermore, even rather well-established methods have,
Santa Lucia Foundation, Italy unfortunately, not found their way into clinical routine yet. We here review current literature
Caroline Schnakers, University of
California, Los Angeles, USA
as well as recent findings from our group and discuss how neuroimaging methods (fMRI,
PET) and particularly electroencephalography (EEG) can be used to investigate cognition
*Correspondence:
Manuel Schabus, Laboratory for in DOC or even to assess the degree of residual awareness. We, moreover, propose that
Sleep, Cognition and circadian rhythmicity and sleep in brain-injured patients are promising fields of research in
Consciousness Research, this context.
Department of Psychology and
Centre for Cognitive Neuroscience Keywords: disorders of consciousness (DOC), electroencephalography (EEG), resting state, sleep, circadian
Salzburg (CCNS), University of rhythms
Salzburg, Hellbrunner Straße 34,
5020 Salzburg, Austria
e-mail: [email protected]
†
These authors have contributed
equally to this work.
INTRODUCTION emerge and neither of them is sufficient on its own (cf. Figure 1).
In recent years, we have seen a rising number of patients who This conceptualization forms the basis for behavioral as well
survive even severe brain injuries due to advances in intensive as neuroscientific approaches to “assessing” consciousness in
medical care. This process has been paralleled by a rising number patients with severe brain injuries. In healthy individuals, arousal
of patients in altered states of consciousness. Usually, patients and awareness covary (with the exception of rapid eye movement
first enter a comatose state following severe brain injury, which (REM) sleep) whereas DOC states are characterized by a
is an acute and transitory state that only lasts for a limited dissociation of the two: patients do recover periods of wakefulness
amount of time. While some patients emerging from coma do following coma whereas awareness remains absent (VS/UWS) or
immediately regain full consciousness, others progress through impaired (MCS).
several states characterized by different levels of consciousness, The question whether awareness or consciousness is an all-
the so-called disorders of consciousness (DOC). The amount of or-none phenomenon or rather a continuum is a matter of
time that is spent in each of these states as well as the final ongoing debate (see e.g., Overgaard et al., 2006; Overgaard
outcome strongly varies across patients and etiologies. Traumatic and Overgaard, 2010; Fingelkurts et al., 2014). Studies using
incidents are usually related to a better prognosis with regard subjective introspection, that is studies asking participants to
to recovery of awareness than non-traumatic (e.g., anoxic or indicate whether they consciously perceived a stimulus or not,
ischemic damage) injuries (Working Party of the Royal College rather support the former view. However, neuroscientific studies
of Physicians, 2003). suggest that when looking at brain responses, awareness can in
Commonly, consciousness is thought to require awareness of fact be conceptualized as a continuum with different “levels of
the self and the environment (i.e., contents of consciousness) awareness” that have been suggested to correspond to a hierarchy
as well as arousal at brain level. Both factors, awareness and of representational levels (Grill-Spector et al., 2000; Bar et al.,
arousal, are thought to be necessary for a conscious experience to 2001; Kouider et al., 2010). This idea is well in line with the
FIGURE 1 | Two factors contributing to consciousness: arousal and minimally conscious state (MCS), both dimensions are present and
awareness. In healthy sleep, arousal and awareness covary with the behavioral evidence of awareness is reproducible albeit inconsistent. In the
exception of rapid-eye movement (REM) sleep while in brain death and locked-in syndrome (LIS), both dimensions are more or less fully preserved
coma, arousal and awareness are not detectable. In the vegetative state (VS) despite complete loss motor functions (adapted with permission from
arousal is preserved in the absence of evidence for awareness. In the Giacino et al. (2009)).
notion that this hierarchy is reflected by the extent of activation in the presence of eye-opening and sleep-wake cycles. In 2002,
in the neuronal network or “workspace” (Dehaene et al., 2006; a new group of DOC patients was introduced to denote a
Del Cul et al., 2007). Importantly, these studies also propose group of patients who are neither continuously consciously
that there is a threshold, which has to be crossed for an awake nor in VS/UWS (Giacino et al., 2002). In contrast to
experience to become accessible by introspection (Sergent and VS/UWS, patients in the so-called minimally conscious state
Dehaene, 2004a,b; Del Cul et al., 2007). Below this threshold, (MCS) do display inconsistent, but reproducible and discernible
an experience may be subliminal or preconscious. However, signs of awareness (i.e., command-following, yes-no responses
although these experiences cannot be reported (verbally), we and intelligible verbal expression). By definition, these patients
should not conclude that they do not contribute to a conscious are characterized by wakefulness and cyclic arousal as well as
experience, wherefore they may be considered “lower levels of awareness of the self and/or the environment. Patients emerging
consciousness” (Dehaene et al., 2006; Kouider et al., 2010). As this from MCS can communicate reliably or use objects in a functional
review focuses on the neuronal processes underlying awareness, way. To do justice to the high interindividual variability among
we hereafter understand both dimensions arousal and awareness the group of MCS patients, it recently has been proposed to
as a continuum. further subcategorize this clinical population in MCS minus
The transition from coma to vegetative state (VS) is (MCS−) and MCS plus (MCS+). Here, MCS− patients show e.g.,
accompanied by a recovery of autonomic functions and the sustained visual pursuit, localization of noxious stimulation or
reemergence of arousal patterns or so called “sleep-wake cycles”. affective behavior contingent to relevant stimuli, whereas MCS+
Although patients do have periods of eye-opening, they are by patients show inconsistent but discernible command–following
definition unaware of themselves and/or the environment and and thus evidence for “higher levels” of awareness (Bruno et al.,
show no purposeful interaction with their environment (Giacino 2011).
et al., 2009). Because arousal levels fluctuate and patients suffer In a nutshell, coma and VS/UWS are both considered
from perceptual, attentional and motor deficits, the detection of “unconscious” states as determined by conventional clinical
signs of awareness is extremely challenging in this population. assessment. They are—by definition—unresponsive to
The term “vegetative state” was originally chosen by Jennett environmental stimulation (except for reflexive behavior) and fail
and Plum (1972) to indicate that these patients have preserved to show purposeful behavior. MCS patients on the other hand
vegetative nervous system functioning. To emphasize that these show reproducible, but inconsistent signs of awareness of the self
patients should be fully regarded as human beings and not or environment (Giacino et al., 2002).
“vegetating vegetables”, a new name for this neurological Patients in the locked-in syndrome (LIS) form yet another
condition was recently presented by Laureys et al. (2010): the group that is behaviorally unresponsive to external stimulation.
unresponsive wakefulness syndrome (UWS). This name, which These patients are also unable to speak or move extremities, but in
is rather neutral and descriptive, refers to a clinical syndrome, contrast to VS/UWS and MCS they are considered fully conscious
which can be transitory or irreversible and includes patients who and have more or less completely preserved cognitive functions.
are not able to show voluntary and targeted motor behavior This condition often arises from neurological injuries or illnesses
such as amyotrophic lateral sclerosis (ALS) that selectively comprehending language, being able to “execute” an action in
disrupt motor pathways or reduce motor neuron functioning, some way) necessary for putting task instructions into action. The
respectively. The LIS is not a disorder of consciousness in the underlying idea is that indicators independent from the patient’s
strictest sense (because awareness and arousal are retained), ability to follow instructions can also be used to assess the level of
but can be mistaken for VS/UWS because of the behavioral consciousness and make predictions about future developments.
similarities. The first studies of this kind mainly employed PET or fMRI.
Until today, the gold standard for the clinical assessment They were able to show for instance that unresponsive patients
of DOC patients remains the use of standardized behavioral exhibit a global reduction of metabolism by 40–50% in VS/UWS
methods such as the Glasgow Coma Scale (GCS; Teasdale compared to the range of values in healthy individuals and
and Jennett, 1974) or Coma Recovery Scale-Revised (CRS- slightly higher, but comparable, in MCS (Laureys et al., 2004).
R; Kalmar and Giacino, 2005). The crux of these methods, Permanent VS (PVS; the term denotes patients who have been
however, is, that they inherently rely on the patients’ ability in VS for three or twelve months following non-traumatic or
to demonstrate their awareness to the examiner. From the traumatic brain injury, respectively; Multi-Society Task Force on
absence of this ability it is concluded that a patient is not PVS, 1994), which is characterized by progressive trans-synaptic
conscious. As severely brain injured patients are often not and Wallerian neuronal degeneration, was associated with even
able to perform voluntary movements and motor responses lower values of global brain metabolism (Laureys et al., 2004).
to command (e.g., because of quadriplegia), the more or Another PET study revealed that VS/UWS patients show
less exclusive use of these behavioral measures gives rise to impairments in a network encompassing midline and associative
an unacceptably high rate of misdiagnoses of up to 43% regions (Laureys et al., 1999). Interestingly, the restoration
(Andrews et al., 1996; Schnakers et al., 2008b; Giacino et al., of connectivity in PVS patients within exactly those regions
2009). During the last decade, researchers have, therefore, tried (thalamic and associative regions) has been associated with
to complement these classical methods with neuroscientific later recovery of consciousness (Laureys et al., 2000). A
paradigms. With these paradigms, they hoped to find brain-based study by Vanhaudenhuyse et al. (2011), moreover, suggests
evidence of consciousness, i.e., evidence, which does circumvent the presence of two distinct neuronal systems involved in
the drawbacks of behavioral methods. Still, until today these mediating external (environmental) and internal (self-related)
new approaches have not been integrated in the conventional awareness. More precisely, two different systems have been
clinical assessment of DOC patients. Yet, interestingly science identified: an extrinsic and an intrinsic system. The extrinsic
demonstrated that methods such as functional magnetic system includes the lateral parietal and dorsolateral prefrontal
resonance imaging (fMRI), allow—in some cases—to assess cortices and is mainly involved in mediating external awareness
the degree to which cerebral activity differs from healthy (i.e., consciousness of external stimuli as well as awareness
participants more objectively or even allow estimating the extent of the environment) while the intrinsic network comprises
to which (higher) cognitive functions and even instruction- midline precuneus/posterior cingulate and mesiofrontal/anterior
following is preserved in the absence of overt behavior (Monti cingulate cortices and mediates internal awareness (i.e., stimulus-
et al., 2010). Bedside electroencephalography (EEG) is another independent and self-related thoughts). Interestingly, other
assessment tool, which could be introduced more easily into studies did not only confirm the existence of these two networks,
clinical routine, is less stressful for patients and less costly. but were also able to show that their integrity is related to varying
Current experiments using event-related potentials (ERPs) or levels of consciousness (Thibaut et al., 2012). In particular,
time-frequency analyses as well as advanced methods such as EEG VS/UWS patients showed dysfunctions in both the external and
complexity measures investigate indicators of cognitive processing the internal network, while MCS patients showed impairments
that may provide more precise information about the patient’s only in the internal network and thalamic regions when compared
level of consciousness. The influence of neuroscientific advances to healthy subjects.
becomes increasingly evident in the study of consciousness. Following these findings, other imaging studies further
We will, therefore, review current literature as well as recent investigated resting-state networks with the aim of identifying
findings from our group and discuss how classical neuroimaging specific consciousness networks. In this context, the default mode
methods (fMRI, positron emission tomography (PET)) and network (DMN), which includes the posterior cingulate and the
in particular EEG can shed light on preserved cognition medial prefrontal cortex as well as the posterior parietal cortices,
and consciousness in DOC patients. Furthermore, we will gained particular attention. It has been linked to consciousness
review literature on sleep and circadian rhythmicity in severely and awareness (Boly et al., 2008) in many studies and in
brain injured patients and suggest new intervention methods particular to the processing of self-relevant information (for
to support rehabilitation as well as clinical assessment of meta analysis see Qin and Northoff, 2011). The DMN seems
awareness. to be functionally disconnected in brain death (Boly et al.,
2009) and connectivity within the network has been suggested
RESTING-STATE ACTIVITY AND CONSCIOUSNESS to decrease with the level of consciousness (Vanhaudenhuyse
Investigation of resting-state brain activity in the absence of task et al., 2010). Other studies validate the idea that functional
instructions has been used in the hope of finding correlates connectivity between the areas constituting the DMN support
of consciousness especially in those patients who lack the consciousness by showing that connectivity of exactly those
cognitive abilities (e.g., keeping information in working memory, areas is drastically diminished in DOC (Cauda et al., 2009;
Fernández-Espejo et al., 2012; Soddu et al., 2012). Another study recovery one year later (Schnakers et al., 2005). Recently, also
using methods based on the functional architectonics theory of connectivity measures have been applied to resting state EEG
brain-mind functioning proposed by Fingelkurts et al. (2010), data. Chennu et al. (2014) applied graph-theoretic measures
supports this view finding functional connectivity (termed to high-density EEG data from DOC patients and healthy
“synchrony” in this theory) among neuronal modules including controls. Looking at connectivity in canonical frequency bands,
the DMN to be markedly decreased or even absent in VS/UWS they found differences between patient networks and control
and highest in conscious healthy individuals while patients in participants. More precisely, patients’ alpha network modules
MCS exhibited intermediate synchrony (Fingelkurts et al., 2012). were spatially limited and long-distance connections commonly
From a theoretical perspective, these findings are well in line with observed in healthy networks were absent. Although these
the global neuronal workspace model of consciousness (Dehaene characteristics were reversed in the theta and delta bands,
and Naccache, 2001; Sergent and Dehaene, 2004b) as well as connectivity patterns were found to be robust across patients,
the information integration theory of consciousness (Tononi, which could be deemed the result of reorganization processes.
2004, 2008). The former theory proposes that the neural basis Besides this, network metrics in the alpha band were found
of consciousness is a “sudden self-amplifying process leading to to correlate with patients’ behavioral CRS-R scores. Another
a global brain-scale pattern of activity” that occurs once ignited, class of measures that can be used to discriminate between
i.e., when a certain threshold has been crossed (Sergent and different entities in DOC is entropy measures. The common
Dehaene, 2004b). The latter proposes that conscious experiences idea behind EEG entropy measures is to describe the irregularity
crucially depend on the brain’s ability to integrate information, and complexity of an EEG signal and in the case of e.g.,
which is reflected by functional connectivity among different symbolic transfer entropy (STE) even to determine the direction
brain modules. Interestingly, regions constituting the DMN have of information flow. The underlying logic is that a regular EEG
been found to be among the most well-connected regions in signal, such as the signal recorded in slow wave sleep or deep
the brain (Cole et al., 2010). Besides this, the amount of DMN anesthesia, has a low level of entropy or complexity while the
deactivation is inversely related to the probability of subsequent one recorded from awake subjects has a higher entropy level.
awakening from coma and has been found to correlate with Gosseries et al. (2011) were for example able to show that it is
the behaviorally assessed level of consciousness (Crone et al., possible to define an entropy cut-off value that can be used to
2011). differentiate between unconscious states and MCS with a high
Until now it is evident that imaging studies of resting level of specificity even though not being valid for prognostic
state data can provide insight into the level of consciousness purposes. Another interesting approach employs high-density
in DOC patients. However, PET requires a special scanner EEG in combination with transcranial magnetic stimulation
only available in selected clinics as well as the injection of a (TMS) to assess effective connectivity in DOC patients (Rosanova
radioactive glucose analogue. Moreover, although fMRI scanners et al., 2012). This approach can be used to calculate the so-
are readily available nowadays, it is a costly method not all called perturbational complexity index (PCI; Casali et al., 2013),
patients can be tested with (exclusion criteria are e.g., a cardiac which provides a numerical quantification of the brain’s ability to
pacemakers or metal pins and plates remaining in the patient’s support complex activity patterns. VS/UWS patients were found
body after surgical treatment). Different research groups thus to show a simple localized response to the TMS stimulation pulse,
investigated the suitability of the EEG for the exploration and which was reflected by low PCI values indicating low effective
interpretation of resting state activity. In one study, Lehembre connectivity. In MCS, TMS was able to trigger more complex
et al. (2012) reordered 15 min of resting EEG in several DOC activations involving cortical areas distant from the site of
patients. They were able to show that resting state EEG of stimulation, which was mirrored by intermediate PCI values. This
VS/UWS and MCS patients differs in the amount of delta and suggests a more efficient interaction between different and distant
alpha power. VS/UWS patients were found to have more delta brain regions, which is linked to a higher level of consciousness.
and less alpha power and, additionally, significantly decreased Conscious wakefulness was associated with highest PCI values.
connectivity in the theta and alpha bands compared to MCS The TMS-EEG approach is remarkably well-researched in healthy
patients. A similar approach was used to determine whether individuals across the consciousness continuum as well as in
different frequency bands and spectral analyses of the EEG can DOC patients (Casali et al., 2013; Sarasso et al., 2014). It
predict the behavioral outcome in DOC patients by Lechinger moreover seems to be one of the very few measures that allow
et al. (2013). This study demonstrated that the alpha/theta ratio differentiating between different levels of consciousness on an
as well as the resting EEG’s spectral peak was strongly correlated individual level.
with the behavioral CRS-R score in DOC patients. The bispectral In summary, much effort has been undertaken in order to
(BIS) index, a physiological index calculated from the weighted find reliable and valid measures for the assessment of residual
sum of several electroencephalographic subparameters (high- resting state brain activity, which could serve as an indicator of
frequency (14–30 Hz) power, low-frequency synchronization awareness in DOC patients. Despite these advances, we still lack a
and the presence of periods of nearly of completely suppressed clear and comprehensive understanding of human consciousness,
EEG activity (i.e., isoelectric phases)) used to measure the which would allow for a better differentiation of DOC states.
depth of anesthesia, has also been used to differentiate between Moreover, most of the advances and developments of the last
VS/UWS and MCS (Schnakers et al., 2008a). Additionally, the 20 years, have unfortunately not found their way into clinical
BIS during early stages of recovery has been related to good routine. In the future, the development of new EEG paradigms
should allow for a better differentiation of VS/UWS and MCS longer and more variable latencies as compared to healthy
and enable a more reliable assessment and quantification of individuals suggest overall impaired information processing (e.g.,
consciousness along its continuum. Finally, these efforts should Perrin et al., 2006). In a meta-analysis Daltrozzo et al. (2007)
flow into better rehabilitation guidelines in terms of appropriate compared the prognostic value of several ERP components.
treatments individually attuned to the patient’s needs and They concluded that the presence of the N100, MMN and P300
abilities. Moreover, developments in EEG methodology and components is a highly significant predictor of awakening with
analysis should aim at developing more sensitive and effective the later components (i.e., MMN and P300) having significantly
brain-computer interfaces (BCIs) allowing MCS patients with more predictive power than the early N100. Another prognostic
sufficient, but rather limited cognitive abilities to communicate factor, which has to be taken into account, is the etiology of brain
with the outside world. injury, where the probability of regaining awareness following
VS is higher in traumatic and post-operative etiologies than
STUDYING CONSCIOUSNESS USING PASSIVE STIMULATION in anoxia and metabolic pathologies (Working Party of the
AND ACTIVE ELECTROENCEPHALOGRAPHY PARADIGMS Royal College of Physicians, 2003). This is probably due to the
Besides resting-state brain activity in the absence of stimulation former rather leading to localized injuries, which can often be
or task instructions, ERPs, that is, responses in the EEG evoked compensated for by other brain regions, while the latter usually
by and time-locked to the presentation of a stimulus, have leads to widespread and more diffuse damage.
been used to assess cognitive processing and predict outcome Besides a valid prognosis of a patient’s future development,
in DOC patients. They depend to a varying degree on the it is also important to discriminate between different levels of
physical properties (e.g., pitch, volume or font size) of the consciousness and to further discern DOC patients on the basis
stimuli presented as well as top-down cognitive processes such of their residual cognitive functions. This may have important
as selective attention (for a review see Herrmann and Knight, implications for rehabilitation efforts and sometimes even guide
2001). Early components of the ERP usually occur within the decisions about life or death of a patient. To this end, Fischer et al.
first 100 ms after stimulus onset and are known to persist (2010) investigated several ERP components in PVS and MCS
even in unconscious states such as sleep or anesthesia. On the patients. In MCS patients somatosensory N20-P24 components
contrary, later components such as the P300 as well as indexes and the auditory N1 generally had a higher prevalence than in
of verbal semantic processing (N400, late positive component PVS patients, whereas the presence of later components was not
(LPC)) have been proposed to be more strongly related to statistically different between the two groups. In another study,
conscious information processing (Kotchoubey, 2005; Rohaut Perrin et al. (2006) reported that in all LIS and MCS and 60% of
et al., 2015). the VS/UWS patients, the P300 was elicited by the passive (i.e.,
Among the earliest components of the ERP, somatosensory without further task instructions) auditory presentation of the
evoked potentials (SEPs) have been used to predict outcome patient’s first name (SON; subject’s own name). The P300 latency
in DOC. It was found that for example bilateral absence of was significantly delayed in MCS and VS/UWS compared to LIS
SEPs elicited by median nerve stimulation within 8 days after patients and controls. The authors conclude that, especially for
traumatic brain injury (TBI), is predictive of a negative outcome, salient stimuli such as the own first name, semantic processing is
that is VS/UWS or death. Furthermore, it has been shown that at least partially preserved in non-communicative brain-damaged
abnormalities of brainstem auditory evoked potentials (BAEPs) patients, although this process seems to be delayed in MCS
or short-latency SEPs indicate a high probability of a negative and VS/UWS. The electrophysiological responses in this study
outcome. For example, Amantini and colleagues were able to did, however, not allow for a discrimination between the two
quantify the deterioration of brain functions in patients suffering groups of DOC patients. More recently, several studies also
from severe brain injuries using SEPs and also demonstrated a investigated the diagnostic usefulness of indexes of semantic
close relationship between SEPs and the evolution of the patients’ processing in severely brain-injured patients (see e.g., Kotchoubey
clinical state (Amantini et al., 1992). Besides these very early et al., 2005; Schabus et al., 2011; Steppacher et al., 2013). Of
components, also later ERP components have been used to special interest in these studies was the N400, an ERP indexing
investigate cognitive processing and make predictions about violations of semantic congruity (Kutas and Hillyard, 1980) in
recovery from coma. The presence of the mismatch negativity word pair paradigms. Since the N400 has been shown to occur
(MMN) for example has a strong positive prognostic value in even in the absence of consciousness (Sergent et al., 2005), a
severely brain injured patients (Naccache et al., 2005). The MMN study by Rohaut et al. (2015) also investigated a later ERP, the
is an ERP component, which can be elicited by the presentation late positive component (LPC, also termed P600), as an index
of a deviant stimulus (e.g., a higher pitched tone) in a sequence of conscious semantic processing. However, although several
of identical stimuli. In one study, Luauté et al. (2005) showed that studies found group differences between VS/UWS and MCS
when an MMN could be detected during early stages of coma, the patients, on a single-subject level, neither N400 nor LPC do
estimated probability for a good functional outcome was around seem to be a valid index of the level of awareness for even in
70%. Also, the presence of a P300 has been linked to preserved conscious controls they often cannot be observed (Rohaut et al.,
attentional as well as working memory capacities and hence is 2015).
frequently used in the assessment of DOC patients. The presence Another approach to analyzing EEG data obtained during
of both early and late components (e.g., N100 and P300) in DOC passive auditory stimulation are entropy measures, which have
patients has also been linked to a good clinical outcome, although also been applied to resting state data (see section resting-state
activity and consciousness). For example, King et al. (2013) patients. In a study by Schnakers et al. (2008b), patients in
investigated the amount of information shared between brain altered states of consciousness were instructed to count the
regions during passive auditory stimulation with tones as SON or another target name or listen passively to the stimuli.
quantified by weighted symbolic mutual information (wSMI). A higher P300 amplitude was found in response to the to
They were able to show that wSMI is related to the level of be counted target stimuli in MCS patients, but not in VS.
consciousness in DOC being even able to differentiate MCS from Interestingly, this pattern was even found in MCS patients
VS/UWS. In our own research, we were able to show that, in a at the lower end of the MCS spectrum, i.e., patients only
passive SON task, both permutation entropy (PE) as a measure showing low behavioral responses such as visual fixation and
of local information processing as well as STE as a measure of pursuit. This suggests that the P300 in paradigms including
directional information transfer are suitable indicators for the passive and active conditions may support the detection of
level of consciousness in DOC (Lechinger et al., 2014). voluntary information processing in DOC. A more recent
Recently, it has been argued that passive paradigms (i.e., study, however, advises a cautious interpretation of these findings
paradigms investigating patients’ brain activity at rest or as volitional top-down attention can be impaired in patients
during presentation of stimuli that do not require active with covert cognition (Schnakers et al., 2014). This questions
collaboration) are not useful for differentiating between MCS the specificity of the task as it could lead to false negative
and VS/UWS patients. This is because passive paradigms often results.
use stimuli (i.e., SON or odd stimuli in a sequence of identical Following results of studies of attention in healthy individuals,
ones) that might well elicit automatic or even conditioned other authors investigated two subcomponents of the P300,
responses (i.e., automatic semantic processing or a conditioned namely P3a and P3b. While the frontal novelty P3a is thought
orienting response to one’s own name). Thus, evoked brain to index exogenous “bottom-up” attention, the posterior P3b is
responses in passive paradigms do not allow for unambiguous thought to reflect endogenous “top-down” attentional processes
conclusions regarding the level of consciousness. To counteract (e.g., Squires et al., 1975; Polich, 1988, 2007). Following this
this methodological issue and to better disentangle automatic idea, the investigation of the two subcomponents could allow
or unconscious from voluntary or conscious brain activity, for a more exact evaluation of the patients’ cognitive abilities.
it has been proposed to always combine passive and active tasks A recent study by Chennu et al. (2013), however, does not
(Schnakers et al., 2008b). In the latter task, patients are asked fully support advantages of this differentiation. In a task, which
to actively follow an instruction, e.g., to count how often a asked patients to count the number of times a specific word
stimulus is presented. If a patient successfully follows such an (YES vs. NO) was presented, only 3/12 MCS and 1/9 VS
instruction, different cognitive functions such as sustained and patients showed a P3a to the target word. Although the same
selective attention and inhibition of interfering processes as well VS patient, who exhibited a P3a, also showed a P3b response
as working memory need to be involved. This suggests that if suggesting volitional control and hence challenging the VS
a patient is able to follow instructions, this is a very strong diagnosis, no single MCS patient exhibited a P3b. This was
indicator of preserved higher cognitive functioning and thus despite some of the MCS patients even showing command-
conscious awareness. One way to assess instruction-following in following behavior on other tasks. In conclusion, these findings
non-communicative patients is by means of electrophysiological rather question the usefulness of the distinction between P3a
(EEG) responses. The P300 is for example very sensitive to and P3b for the assessment of cognitive processing in DOC
top-down selective attention with its amplitude varying as a patients.
function of task instruction. Thus, it can be used to detect Fellinger et al. (2011) did not focus on ERPs, but investigated
instruction-following and hence conscious processing in DOC the oscillatory activity by means of time-frequency analyses in
FIGURE 2 | Frontal theta event-related (de-)synchronization (names) and the rectangles the area with the highest difference in the
(ERD/ERS) to counted own names. Time–frequency difference plots theta-range. Note the increasing processing delay in theta power over
[targets (SON)-passively listened other names] for the “count own groups as well as the alpha ERD in controls only (adapted with
name”-condition. The dashed lines mark the presentation of the stimuli permission from Fellinger et al., 2011).
the lower frequency range (i.e., theta and alpha oscillations, pattern. Altogether, results from the two studies support the
which have been linked to attention and memory processes notion that adding emotional content to stimuli increases their
(Klimesch, 1999)). This method is thought to be advantageous salience and thus benefits the detection of residual cognitive
for investigating brain processes in DOC patients as it does not functioning in DOC patients.
require brain responses to be strictly time-locked to an event (cf. A recent study by Sitt et al. (2014) systematically compared
Figure 2). 14 electroencephalography markers in a large cohort of DOC
Results indicate that MCS as well as VS/UWS patients patients. They found that theta and alpha band power as
respond with an increase in theta event related synchronization well as measures of EEG complexity (permutation entropy
(ERS) when they are asked to focus and count the SON, and Kolmogorov-Chaitin complexity) and information
but not when they are asked to listen passively to the exchange (phase locking index and wSMI) constitute the
stimuli. Thus, also time-frequency analyses allow for conclusions most reliable measures of the state of consciousness. The
regarding the patients’ ability to follow instructions. Höller combination of several of these markers allowed for an
et al. (2011) moreover proposed the use of time-frequency even more accurate discrimination between consciousness
analyses in combination with a single-subject approach for levels.
a more sensitive and reliable analysis of EEG responses in A different class of active EEG paradigms makes use of
patients. More generally, time-frequency analyses allow to the effects imagining motor actions has in the brain, which
focus on distinct cognitive processes reflected by the behavior can be visualized using EEG and fMRI. Owen et al. (2006)
of oscillations in different frequency bands and to thereby were able to show in an fMRI study that even a patient
refine the understanding of residual cognitive processing in behaviorally diagnosed with VS/UWS was able to imagine to
DOC. “play tennis” or “navigate through a house” at will and that
Recent studies have demonstrated that emotionally and this method can even be used by patients to communicate
self-relevant stimuli can better engage attentional resources with their environment in the fashion of yes/no answers (Monti
and consequently also induce stronger “higher-order” neuronal et al., 2010). In the EEG domain, it has similarly been shown
responses in DOC patients (Jones et al., 1994; Di et al., 2007; that some DOC patients are able to respond to motor imagery
Di Stefano et al., 2012). We propose that this could be beneficial instructions such as to imagine swimming or walking around
for the detection of retained cognitive functioning in this patient their home (Goldfine et al., 2011), to move hands and toes
population. In a study from our group (del Giudice et al., (Cruse et al., 2011) or to grasp a cup (Lechinger et al., 2013)
2014a), we investigated whether the use of a familiar voice in with changes in EEG activity. Some of these findings have
the traditional own name paradigm boosts the engagement of already been investigated regarding the suitability for BCIs (e.g.,
attentional resources. Results from healthy controls indicate that Monti et al., 2010). In a study from our group (Körner et al.,
the passive presentation of self-relevant stimuli (SON and stimuli 2014), we investigated EEG activation patterns in response to
uttered by familiar voices) induces stronger alpha ERD than watching or imagining a fist or tongue movement in healthy
the presentation of non-self-relevant ones. This suggests that individuals. Preliminary analyses revealed alpha and beta ERD
self-relevant stimuli are able to attract attention and possibly above left sensorimotor areas during fist movement observation
also trigger processes involved in recognizing and accessing self- as well as weaker, yet observable alpha ERD during imagery.
referential information. Furthermore, in the active condition Observing and imagining tongue movements led to bilateral
we were able to differentiate between targets and non-targets synchronization in the alpha band above the same areas. These
on the basis of delta and theta ERS as well as alpha ERD findings underline the potential suitability of EEG-based motor
irrespective of the familiarity of the voice. Thus, also in imagery paradigms for bedside communication with patients. In
this version of the paradigm, time-frequency analyses allow summary, we can conclude that ERPs and oscillatory patterns,
to reliably assess instruction-following. Preliminary analyses of especially in combination with active paradigms, seem to be
data from a VS patient revealed higher theta ERS for the promising tools for disentangling voluntary or conscious from
familiar voice as well as for the SON (Schabus et al., 2014). automatic or unconscious brain responses in DOC patients. They
These findings indicate that self-relevant information was able are thus helpful in assessing preserved brain functioning and
to attract the patient’s attention–at least on a bottom-up in differentiating MCS and VS/UWS patients. These paradigms
level. In the active condition, theta synchronization following do, however, have drawbacks that decrease the reliability and
stimulus presentation was evident and even specific for target validity of their results with regard to the assessment of
stimuli. consciousness. Although active paradigms do provide a promising
In a similar study, we contrasted angry and neutral voices approach for the detection of consciousness in brain-damaged
in order to understand whether emotional prosody is also able patients, there may be patients, who are not able to follow
to engage attention and hence to facilitate top-down cognitive instructions. This is because understanding and eventually
processes (del Giudice et al., 2014b). Preliminary results from executing an instruction is extremely demanding with regard
a healthy sample indicated that in the passive condition, stronger to (higher) cognitive processes. Consequently, patients with
alpha ERD to angry than to neutral voice was evident irrespective compromised cognitive abilities may have moments of wakeful
of the stimulus (SON vs. unfamiliar name) presented. This is awareness, but are still not able to give “proof ” of their
well in line with the results obtained using familiar voices. Again, awareness when tested with complex paradigms such as motor
instruction-following gave rise to a differential EEG response imagery.
CIRCADIAN RHYTHMICITY AND SLEEP IN DISORDERS OF recent investigation by Cruse et al. (2013) recorded the motor
CONSCIOUSNESS activity of a large sample of 55 DOC patients (18 VS/UWS
CIRCADIAN RHYTHMICITY and 37 MCS) and found significant circadian changes of motor
Another approach to investigating the integrity of brain behavior in 83% and 84% of VS/UWS and MCS patients,
functioning is to observe naturally occurring circadian rhythms. respectively. Yet, the authors stated that VS/UWS patients
There are circadian variations of e.g., the level of arousal, exhibited significantly less pronounced circadian rhythmicity
temperature, blood pressure, hormone secretion, attention and than MCS patients.
cognitive abilities. These variations are endogenously controlled Generally, these findings demonstrate the need to further
by a biological “Zeitgeber” located in the suprachiasmatic nucleus investigate the presence of circadian rhythmicity in DOC patients,
of the hypothalamus (SCN). In case the SCN is destroyed, not only to gain insight into brain functioning, but also to
circadian rhythmicity vanishes. In rats, for example, the total validate the amount of circadian rhythmicity as an indicator of
amount of sleep time remains stable, but length and timing of the level of consciousness. Future studies should also investigate
sleep episodes becomes instable (Ibuka and Kawamura, 1975). In changes in plasma hormone levels (e.g., melatonin, cortisol) and
DOC patients, reinstatement of circadian rhythmicity (i.e., sleep- temperature and also include the assessment of blood pressure
wake cycles) is by definition characteristic for the emergence from and heart-rate (variability) as indicators of circadian variations
coma to VS/UWS. Although re-emergence of circadian rhythms in DOC. Moreover, interventions aiming at reinstating circadian
in DOC has generally been related to an improvement of the rhythmicity may be a promising tool to support assessment as well
patient’s state, studies suggest that some rhythms recover while as rehabilitation in DOC patients.
others do not. Studies have for example reported significant
circadian changes in body temperature as well as urinary excretion SLEEP
of hormones and sodium in (P)VS/UWS patients, but no changes The most readily observable circadian rhythm, which all
in blood pressure or pulse rate were observed (Fukudome mammals show, is the sleep-wake cycle. In DOC and here
et al., 1996; Pattoneri et al., 2005). A more recent study by especially for the purpose of differentiating VS/UWS from coma,
Bekinschtein et al. (2009) emphasizes that the etiology of the brain its presence is often assessed on the basis of prolonged periods
injury has to be taken into account when investigating circadian of eye opening and closing. However, conclusions regarding
rhythms. They found that VS/UWS patients with TBI, but not circadian rhythmicity drawn exclusively from these behavioral
with anoxic-hypoxic origin exhibited circadian cycling of body observations or actigraphy might be misleading and often little
temperature. reliable. We therefore propose to use polysomnography (PSG),
Besides these parameters, also arousal levels vary across a method combining EEG as well as eye movement, muscle
the 24 hours of the day. A study by De Weer et al. (2011) activity and respiration measurements, for a reliable and valid
investigated circadian arousal rhythms monitoring changes in assessment of sleep in patients. PSG recorded over 12 or
the frequency and amplitude of hand movements by means 24 hours provides insight into the rhythmicity of sleep/wake
of videography and wrist-actigraphy. They found circadian patterns as well as sleep abnormalities. Moreover, PSG allows
rhythmicity of arousal to be preserved in two MCS patients with for a more fine-grained analysis of different sleep stages,
TBI, but not in an MCS patient who suffered from anoxic- and their characteristics, especially in clinical populations, and
ischaemic brain damage and neither in a comatose patient. A thus provides additional measures that might be helpful in
FIGURE 3 | Sleep pattern from a healthy human. An exemplary hypnogram EEG (alpha-beta) and blinks; during light N1—eye rolling and vertex sharp
depicting the different sleep stages over 8 h of nocturnal sleep. On the right waves; during light N2—sleep spindles and k-complexes; during deep
side of the figure, typical EEG graphoelements of every sleep stage have N3—slow oscillations; and during R—rapid eye movements, PGO waves,
been listed. In addition to certain EEG patterns, some of the sleep stages saw-tooth waves and muscle atonia with concurring rare muscle twitches.
also have characteristic EMG and EOG activity patterns. Early sleep is Abbreviations: EEG, Electroencephalography; EMG, Electromyography; EOG,
predominated by N3, whereas later sleep is characterized by a relatively high Electrooculography; R, Rapid Eye Movement Sleep; REMs—Rapid Eye
amount of R. One observes during wake—high muscle tone, high frequency Movements; PGO, Ponto-Geniculo-Occipital Waves.
characterizing a patient’s state and predicting the outcome (Van these reasons render the classical determination of sleep stages
de Water et al., 2011). according to the standard criteria (Iber, 2007) very challenging
While healthy human sleep has been well-described, sleep or even impossible.
complexity in DOC patients and its mere presence is still being In line with this, the literature does not draw an entirely
debated within the research community. In healthy individuals conclusive pattern of the PSG graphoelements and their
with normal brain functioning, sleep consists of three non-REM association with the patient’s state of consciousness (see Table 1).
(N1, N2 and N3) sleep stages and REM (R) sleep. Each of In one study, Cologan et al. (2013) observed slow oscillations
these stages is characterized by a typical PSG pattern and EEG (although often below 75 µV) in all, REM only in three and
graphoelements, i.e., characteristic sleep-associated brain activity sleep spindles (although often below 10 Hz) in seven out of
micro-structures (cf. Figure 3). ten VS/UWS patients. Additionally, they observed sleep spindles
Following severe brain injury, sleep-wake cycling is (again, in some patients below 10 Hz), slow oscillations and REM
often highly altered (Giubilei et al., 1995; Ouellet et al., 2004; in all MCS and MCS+ patients. Landsness et al. (2011) found slow
for review see Cologan et al., 2010). One important aspect that oscillations and sleep spindles in all of six and REM in five of
must be kept in mind is that some of the sleep abnormalities six MCS patients, but neither sleep spindles nor slow oscillations
observed in critically ill patients have their origin not only nor REM in any of the five VS/UWS patients examined. Finally,
in brain damage. Another important factor is also the with de Biase et al. (2014) investigated sleep in 27 VS/UWS patients
regard to circadian rhythmicity rather unfriendly environment and observed sleep spindles in fifteen (56%), REM sleep in four
of intensive care units (ICUs), where medical procedures are (15%) and K-complexes in 22 (81%) of them. In all five MCS
performed at all hours, noise levels are constantly high and patients they examined they found sleep spindles, REM and K-
ambient light of high intensity is present even during the night complexes.
(Parthasarathy and Tobin, 2004; Seifman et al., 2014). Acute In summary, these findings, although not being entirely
illness, mechanical ventilation, discomfort, pain, exposure to conclusive, suggest that sleep in DOC patients has many facets.
(sometimes constant) light and hence the loss of light as a Generally, the results support the notion of a relationship between
“Zeitgeber” as well as noise or nursing activities around the the presence of sleep and (partly) preserved brain functioning
clock might trigger awakenings, enhanced arousals and thus as well as higher levels of awareness. On the other hand, sleep
sleep fragmentation (Cologan et al., 2010). De Weer et al. does also have beneficial effects on brain plasticity and therefore
(2011) were for example able to show that motor activity and supports the recovery process. Regarding sleep in LIS patients,
arousal in DOC patients correlated significantly with changes the literature is especially scarce. Besides almost normal sleep
in light irradiation suggesting that light on its own is able patterns in some patients, there are also LIS patients who do
to transiently increase patients’ arousal levels across all DOC exhibit hyposomnia, disorganized NREM sleep or complete REM
states. This is especially problematic when considering the absence (Cummings and Greenberg, 1977). This rather broad
negative effects of sleep deprivation on, for example, activity spectrum most likely arises from differences in the exact location
of the immune and endocrine systems, catabolic rate and and extent of brain lesions underlying the patient’s state. More
cell division (Bryant et al., 2004; Seifman et al., 2014), which specifically, it seems that the more widespread the pontine lesion,
may also impair recovery from brain injury. As we will argue which is one of the possible causes of LIS, the more pronounced
below, stimulation with bright light during the day could the sleep disturbances, especially regarding REM. Severity of
serve the re-establishment of circadian rhythms by boosting sleep disturbances also increases in case of bilateral or dorsal
arousal during the day and promoting sleep during the night. extensions of pontine lesions, when the pontine tegmentum is
This could hence support rehabilitation and recovery in these involved and especially if the serotonin-releasing brainstem raphe
patients. nuclei are affected (for review see: Cologan et al., 2010).
Fine-grained analyses of sleep using PSG could also serve the Still, assessment of sleep and its characteristics seems to be
diagnostic and prognostic process. However, determining sleep a promising approach with regard to diagnosis and prognosis.
and distinguishing different sleep phases in DOC patients is most A more systematic description of PSG patterns in DOC could
challenging since they seldom show signs of sleep in EEG, EMG furthermore benefit the establishment of DOC-specific sleep
and EOG, which are used for sleep scoring in healthy individuals. scoring criteria, which could help circumventing the limitations
Due to damages in specific brain areas and disruptions in described above. However, even without such criteria, the
neuronal pathways, characteristic EEG graphoelements may differ mere presence of certain sleep elements and sleep stages
significantly in terms of frequency, length, or intensity, if they resembling healthy sleep holds valuable information. It can
occur at all. Additionally, recording PSG signals of acceptable allow for inferences regarding the preservation of specific brain
quality in DOC is extremely challenging because of artifacts areas and consequently brain integrity. It has, for example,
caused by e.g., sweating due to dysregulations of the vegetative been suggested that the presence of slow oscillations during
nervous system, spasms causing muscle artifacts, uncontrolled eye sleep suggests intact functioning of certain brainstem nuclei
movements or electrical artifacts caused by medical equipment. and thalamo-cortical loops (Dang-Vu et al., 2008) and that
Generally, these patients experience more frequent awakenings the presence of REM may indicate integrity and preserved
and arousals than healthy individuals and have a decreased functioning of the brainstem pontine tegmentum (for review see:
amount of rapid eye movement (REM) as well as deep N3 Cologan et al., 2010). Furthermore, the intensity or the amount
NREM sleep as far as assessable (Ouellet et al., 2004). All of sleep spindles observed in the EEG of DOC patients is an
indicator of intact and efficiently connected thalamo-cortical light has a modulatory effect on arousal and activity in
networks (for review see: Cologan et al., 2010). The authors even cerebral attention networks (Cajochen et al., 2000). On a
suggested that the shape of slow oscillations or the frequency of cellular level, this regulatory mechanism involves melanopsin-
sleep spindles in DOC patients might reflect the preservation expressing retinal ganglion cells (mRGCs), so-called non-image
of the thalamo-cortical system as a whole and might thus be forming photoreceptors in the mammalian retina, which detect
informative regarding the state of consciousness (Cologan changes in environmental light irradiance. Exposure to bright
et al., 2013). Also signal complexity during sleep seems to hold light has previously been shown to promote alertness in healthy
information about brain integrity. Valente et al. (2002) classified participants (Cajochen et al., 2008). Moreover, it has been found
DOC patients’ sleep EEG patterns into five categories based on to improve concentration and working memory (Kretschmer
signal complexity and related these to the eventual outcome. et al., 2012) as well as general cognitive functioning (Royer et al.,
The categories were defined as follows with higher numbers 2012) in elderly individuals. De Weer et al. (2011) suggested in
denoting higher signal complexity: (i) monophasic; (ii) cycling a recent study that light therapy may also transiently promote
alternating pattern; (iii) rudimentary sleep; (iv) NREM sleep; and arousal in all states of unconsciousness. In summary, we believe
(v) REM sleep. Afterwards, the authors related these categories to that bright light therapy could be a low-cost and non-invasive
the outcomes of 24 patients: five of the six patients who belonged therapeutic approach to boost arousal and activate remaining
to the fifth and most complex category showed good recovery; cognitive resources in DOC patients that could, moreover, be
three patients from the fourth category improved, but were still integrated easily into clinical routine. It could, additionally,
severely disabled. Patients from the three least complex categories also increase the reliability of clinical assessments. For this
(seven patients) had an unfavorable outcome. They remained in purpose, bright light stimulation should take place right before
coma, did not emerge from VS/UWS, or died. the assessment of consciousness levels with behavioral scales or
The literature reviewed here shows that the results do not neuroscientific paradigms.
allow drawing a clear picture regarding sleep in DOC so far, Besides the effects on cognition, in patients suffering from
neither do they allow distinguishing different DOC states taking dementia, bright light therapy has been shown to have a positive
into account the presence or absence of sleep stages and/or sleep effect on sleep (Campbell et al., 1995; Ancoli-Israel et al., 2003).
elements. This probably results from the heterogeneity of the This could be the result of the re-establishment of circadian
group of DOC (VS/UWS and MCS) patients: etiology (traumatic rhythmicity, which is often impaired in dementia (Volicer et al.,
vs. non-traumatic), location and extent of brain lesions, time 2001), by attuning melatonin excretion. We propose that also
since brain injury, received medication and rehabilitation granted DOC patients could benefit from bright light therapy during
to a patient. Last but not least, this probably is—at least partly— the day in combination with low light levels during the night.
also due to problems regarding the applicability of the available This will, according to our reasoning, benefit the restoration of
scoring criteria to sleep in DOC patients. However, it seems circadian rhythmicity and normalize sleep, both of which have
that more complex sleep patterns are related to preserved brain been shown to be related to a positive outcome.
functioning and therefore also to a better diagnosis and prognosis,
wherefore we believe it is worth investigating sleep in DOC in
CONCLUSIONS
more detail. During the last years, an increasing amount of studies have
investigated cognition in DOC patients from various perspectives
INTERVENTIONS—TRANSLATION OF CURRENT KNOWLEDGE INTO and tried to find traces of consciousness. Patients who emerge
CLINICAL APPLICATIONS from coma following severe brain injury and who do present
Taking into account the literature reviewed so far, we propose that with periods of eye-opening are considered to be in VS/UWS.
bright light stimulation might be a promising tool to be utilized By definition, they are, however, not aware of themselves and/or
in DOC states. Bright light therapy could promote arousal, their environment. When patients exhibit more complex behavior
especially during assessment of potentially retained cognitive such as visual pursuit or instruction-following, they are thought
abilities. Furthermore, it may also help re-establish circadian to be minimally conscious and to have regained some level of
rhythmicity and sleep in DOC. awareness. The challenge clinicians as well as scientists, however,
It is well known that, besides synchronizing the circadian face is how awareness can be detected and in a next step
clock and regulating melatonin secretion (Thapan et al., 2001), quantified. Despite considerable progress in this field, until now,
researchers have not been able to develop a method or test battery Bekinschtein, T. A., Golombek, D. A., Simonetta, S. H., Coleman, M. R., and Manes,
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CB is supported by the Doctoral College “Imaging the Mind” consciousness. Neuroimage Clin. 3, 450–461. doi: 10.1016/j.nicl.2013.10.008
(FWF; W1233), the FWF project Y777-B24 and the Konrad- Cole, M. W., Pathak, S., and Schneider, W. (2010). Identifying the brain’s
Adenauer-Stiftung e.V. RdG is supported by the Doctoral College most globally connected regions. Neuroimage 49, 3132–3148. doi: 10.1016/j.
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“Imaging the Mind” (FWF; W1233). MW is supported by the Cologan, V., Drouot, X., Parapatics, S., Delorme, A., Gruber, G., Moonen, G.,
FWF project I-934-B23. JL is supported by the Doctoral College et al. (2013). Sleep in the unresponsive wakefulness syndrome and minimally
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