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Alcohol’s Effects on

Brain and Behavior

Edith V. Sullivan, Ph.D.; R. Adron Harris, Ph.D.; and Adolf Pfefferbaum, M.D.

Over the past 40 years, rigorous examination of brain function, structure, and attending factors
through multidisciplinary research has helped identify the substrates of alcohol­related damage in the
brain. One main area of this research has focused on the neuropsychological sequelae of alcoholism,
which has resulted in the description of a pattern of sparing and impairment that provided an
essential understanding of the functional deficits as well as of spared capabilities that could be useful
in recovery. These studies have elucidated the component processes of memory, problem solving, and
cognitive control, as well as visuospatial, and motor processes and their interactions with cognitive
control processes. Another large area of research has focused on observable brain pathology, using
increasingly sophisticated imaging technologies—progressing from pneumoencephalography to
computed tomography, magnetic resonance imaging (MRI), diffusion tensor imaging, and functional
MRI—that have enabled ever more detailed insight into brain structure and function. These
advancements also have allowed analysis of the course of brain structural changes through periods of
drinking, abstinence, and relapse. KEY WORDS: Alcohol dependence; alcohol use disorders; alcoholism; alcohol
and other drug effects and consequences; brain; brain function; brain structure; brain imaging; neuroimaging;
neuroscience; cognition; cognitive process; magnetic resonance imaging

tion has required numerous innova­ Neuropsychological


L
ingering and accruing untoward
consequences of alcohol use dis­ tions on many levels of neuroscience Sequelae of Alcoholism
orders (also referred to as chronic investigation. These have included the
alcoholism and alcohol dependence development of quantitative neuro­ Cognitive psychology in the early
1970s was ripe with newly evolving
and abuse) on cognitive and motor imaging approaches for safe, in vivo
theories about the complexities of
functions, recognized for centuries, interrogation of brain structure, tissue cognition, and scientists had developed
commonly have been attributed to quality, and neurochemistry, as well as
generalized toxic effects of alcohol on of assessment tools for characterizing 1
For a definition of this and other technical terms, see the
the brain. (For more information, see the patterns of sparing and impairment Glossary, pp. 161–164..
the sidebar “History of Neurobiological of the constellation of functions and
Studies in Alcohol Research.”) This their component processes affected by EDITH V. SULLIVAN, PH.D., is a professor
depiction has the patina of a complete alcoholism. This brief history recounts in the Department of Psychiatry &
understanding of alcohol­induced the state of knowledge in the early days Behavioral Sciences, Stanford University
problems but actually has required of alcoholism research and highlights School of Medicine, Stanford, California.
rigorous examination of brain func­
progress achieved in the application and
tion, structure, and attending factors R. ADRON HARRIS, PH.D., is director of
through multidisciplinary experimenta­ development of neuroscience methods
directed toward an empirical and the Waggoner Center for Alcohol and
tion to determine the substrates of Addiction Research, University of Texas,
alcohol­related damage to the brain. mechanistic understanding of the effects
Austin, Texas.
Advancement of this knowledge has of the “alcohol dependence syndrome”
been underwritten by 40 years of intra­ on human brain and behavior. The ADOLF PFEFFERBAUM, M.D., is a professor
mural and extramural funding by the focus of this review is on human studies emeritus in the Department of Psychiatry
National Institute on Alcohol Abuse and of brain structure and function, and & Behavioral Sciences, Stanford University
Alcoholism (NIAAA). Achievement the imaging approaches are limited School of Medicine, Stanford, California,
of a mechanistic understanding of this to structural and magnetic resonance and director of the Neuroscience Program,
complex behavioral and medical condi­ (MR)1­based functional methods. SRI International, Menlo Park, California.

Vol. 33, Nos. 1 and 2, 2010 127


History of Neurobiological Studies in Alcohol Research

L
ooking at publications from and that acetaldehyde is the effec­ enhanced neurotransmission using
the early 1970s, one is struck tive agent has a boomerang quality the neurotransmitter γ­aminobutyric
by the lack of research on because it is discarded every few acid (GABA) in the spinal cord.
alcohol’s actions on the brain. How­ years, only to return later. In fact, This was ignored until the mid­
ever, closer consideration shows that evidence continues to accumulate 1980s (e.g., Allan and Harris 1986),
there also was a lack of neurobiology that alcohol consumption can result but since then, GABA receptors
research in general; moreover, most in brain acetaldehyde levels that have emerged as a major target of
of the techniques critical to modern may be pharmacologically impor­ ethanol’s actions and continue to
neuroscience were not available in tant (Deng and Deitrich 2008). be an area of intense research
1970. Behavioral genetics and elec­ However, the role of acetaldehyde interest (Kumar et al. 2009).
trophysiological recording from as a precursor of alkaloid conden­ Another receptor now recognized
slices of brain tissue were in their sation products is less compelling. as central to alcohol’s actions is the
infancy, and other tools (e.g., Lee and colleagues (2010) con­ N­methyl­D­aspartic acid (NMDA)
recombinant receptors, patch­clamp cluded that alcohol consumption subtype of glutamate receptors. This
recording, single­channel analysis, does not result in production of receptor forms a channel through the
microdialysis, gene expression mea­ salsolinol; however, initial studies cell membrane that upon activation
surement, and recombinant inbred by other researchers have provided allows the flow of positively charged
mice) that commonly are used some evidence that another alka­ ions (e.g., Na+, K+, or Ca2+ into and
today simply did not exist. What loid, tetrahydropapavroline, may out of the cell). Remarkably, the
research areas were emerging in be formed in the brain from inhibitory action of alcohol on these
the 1970s and how have they con­ ethanol and has important phar­ key receptors was not identified until
tributed to the success of alcohol macological properties—bringing 1989 (Lovinger et al. 1989). Another
research over the past 40 years? the discussion full circle to Davis’ type of channel affected by alcohol
proposal of 40 years ago. is known as calcium­activated potas­
The Role of Acetaldehyde sium channels. These channels now
Alcohol’s Actions on are known to be very sensitive to
One prescient idea was that the ethanol and important for alcohol’s
primary breakdown product of Neurotransmitters
actions in animal models, such as
alcohol, acetaldehyde, rather than Alcohol’s actions on synaptic the fruit fly Drosophila and round
the alcohol itself (i.e., ethanol), transmission essentially were worm Caenorhabditis, as well as in
may have a key role in brain changes unknown in 1970 and only have the mammalian nervous system
produced by chronic alcohol con­ been slowly (and sometimes painfully) (Treistman and Martin 2009). This
sumption. The observation that established during the past decades. was first noted by Yamamoto and
opiates in the poppy plant are pro­ One of the first studies showed Harris (1983) using biochemical
duced in a chemical reaction called that ethanol inhibited the release measurements, but further progress
condensation from dopamine and of the signaling molecule (i.e., required development of electro­
acetaldehyde led to the hypothesis neurotransmitter) acetylcholine physiological techniques to measure
that excessive alcohol consumption from the cortex (Phillis and currents from these channels as well
might generate sufficient acetalde­ Jhamandas 1970); these studies as cloning of the cDNAs encoding
hyde in the brain to allow conden­ subsequently were extended to a family of channels known as big­
sation with biogenic amines show ethanol­related inhibition of conductance K+ (BK) channels.
including dopamine, serotonin, release of other neurotransmitters. Ethanol’s actions on these channels
and norepinephrine to produce One of the mechanisms responsible were not defined until the mid
psychoactive alkaloids such as sal­ was an inhibition of voltage­ 1990s (e.g., Dopico et al. 1996).
solinol. These ideas first were devel­ dependent ion channels (Harris and The neurotransmitter dopamine
oped in a series of articles from the Hood 1980). These studies initiated now occupies a place of prominence
laboratory of Virginia Davis, includ­ exploration of ethanol’s actions on in the neurobiology of alcoholism
ing articles published in Science and ion channels, which has become because acute alcohol exposure acti­
Nature (Davis and Walsh 1970; central to the neurobiology of vates dopaminergic reward pathways
Yamanaka et al. 1970). The idea alcohol. One prescient study by and chronic treatment produces a
that alcohol is only a “pro­drug” Davidoff (1973) found that ethanol hypodopaminergic state associated

128 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

with dysphoria and, perhaps, relapse that alcohol can alter these lipid– HARRIS, R.A., AND ALLAN, A.M. Functional
(Koob and Volkow 2010). coupling of gamma­aminobutyric acid receptors
protein interactions and thus alter to chloride channels in brain membranes. Science
However, dopamine is a relative protein function (Yuan et al. 2008). 228:1108–1110, 1985. PMID: 2581319
newcomer to neuropharmacology,
and interest in alcohol’s actions on HARRIS, R.A., AND HOOD, W.F. Inhibition of
Conclusions synaptosomal calcium uptake by ethanol. The
dopaminergic systems developed Journal of Pharmacology and Experimental
slowly. A pioneering study (Black et In summary, the technology for neu­ Therapeutics 213:562–568, 1980. PMID: 7193727
al. 1980) noted decreased dopamin­ robiological studies was remarkably
HARRIS, R.A.; TRUDELL, J.R.; AND MIHIC, S.J.
ergic function during alcohol with­ primitive in 1970, and few laborato­ Ethanol’s molecular targets. Science Signaling
drawal in mice. Only much later ries were applying even these limited 1:re7, 2008. PMID:18632551
(e.g., Samson et al. 1992) was alco­ approaches to understanding neu­
KOOB, G.F., AND VOLKOW, N.D. Neurocircuitry
hol self­administration linked to ronal actions of ethanol. However, of addiction. Neuropsychopharmacology 35:217–
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hyde and its condensation products The role of GABA(A) receptors in the acute and
Other Research Directions in alcohol’s action, as well as the chronic effects of ethanol: A decade of progress.
identification of GABAergic synapses Psychopharmacology 205:529–564, 2009. PMID:
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and ion channels as sensitive targets
of alcohol in the brain. ■
that have not contributed markedly
LEE, J.; RAMCHANDANI, V.A.; HAMAZAKI, K.; ET
to current science. One research theme AL. A critical evaluation of influence of ethanol
of the 1970s was ethanol interactions —R. Adron Harris, Ph.D. and diet on salsolinol enantiomers in humans
with membrane lipids. The rationale and rats. Alcoholism: Clinical and Experimental
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centrations of alcohol were required DAVIS, V.E., AND WALSH, M.J. Alcohol, amines,
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S.N. Ethanol increases the activity of large con­ Salsolinol, an alkaloid derivative of dopamine
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Vol. 33, Nos. 1 and 2, 2010 129


paradigms useful for testing hypotheses of memory applicable to alcoholism port a distinction between behavioral
about the new theories. These model­ complicated with KS and to milder types and neural causes of amnesia
driven tests provided the basis for forms of memory impairment found in and provide further evidence for the
recognizing that 33 to 50 percent of uncomplicated alcoholism. These theo­ nonunitary concept of memory.2
people with alcohol use disorders rists found that memory comprises Moreover, the retrieval deficit founda­
exhibit detectable cognitive or motor multiple, dissociable functions sup­ tion of KS led memory theorists to
impairments (Arciniegas and Beresford ported by different brain regions and seek nonmnemonic bases for fragile
2001). Many of the early theorists ini­ systems (Squire and Butters 1992). KS memory performance and in doing so
tiated application of test paradigms in amnesia is characterized by severe and to place KS amnesia in the context of
acute alcohol consumption (Tamerin relatively circumscribed deficits in the additional cognitive deficits char­
et al. 1971; Weingartner and Faillace remembering new information (i.e., acteristic of uncomplicated alcoholism.
1971), blackouts (Goodwin et al. 1969), forming new memories), regardless of
alcoholism detoxification (Eckardt et type of memoranda material (e.g., Problem Solving and Cognitive
al. 1978; Parsons 1983; Ryan and words, pictures, odors, touches). The Control Processes: Then and Now
Butters 1983; Ryback 1971; Tarter capacity for “remembering” can be
1975), and alcoholism complicated tested with paradigms for explicit A striking feature of alcoholics is their
by the amnesia marking Korsakoff’s memory and implicit memory. Paradigms continued drinking despite their
syndrome (KS), a result of Wernicke’s for explicit memory include approaches knowledge of the untoward physiological
encephalopathy (WE) (Lishman 1990; such as free or cued recall tests (e.g., or psychological consequences of their
Talland 1965; Victor et al. 1971). asking people to repeat elements of a behavior. This characteristic became
Application of information processing story they heard an hour ago) or recog­ one of the diagnostic criteria for alcohol
theories, cognitive models, and nition tests (e.g., asking people to select dependence specified in the Diagnostic
paradigms useful in testing selective from a series of items the ones that were and Statistical Manual of Mental Disorders,
components of complex functions presented on a test). Implicit memory 4th Edition (DSM–IV) (American
ultimately provided adequate tools for tests assess, for example, improved Psychiatric Association 1994). It also
examination and detection of the mild performance on a motor skill or ability fits the description of people with
to severe impairments that alcoholics to select a word infrequently used to lesions of the frontal lobes, who are
without KS (i.e., “uncomplicated” complete a word stem (e.g., when characterized as “impulsive, inconsider­
alcoholics) sustain. Taken together, this asked to complete “STR _ _ _,” answer ate, uninhibited, inflexible, or ill­
extensive body of literature resulted in “STRAIT” instead of the more com­ mannered....” (Brewer 1974, p. 41).
the careful description of the pattern of monly used “STREET”). Alcoholic As a group, alcoholics share this con­
sparing and impairment characteristic KS patients show notable impairment stellation of behaviors characteristic
of the typical recovering chronic on tests of explicit memory, especially of frontal lobe dysfunction, which
alcoholic, thus providing an essential those requiring open­ended recall also can include impaired judgment,
understanding of the functional deficits without cues, but are relatively spared blunted affect, poor insight, dis­
suffered in the context of those spared on verbal (i.e., word stem completion tractibility, cognitive rigidity, and
and useful in recovery. On a basic [Verfaellie and Keane 2002]) and non­ reduced motivation.
science level, these patterns directed verbal (i.e., picture completion [Fama Originally described clinically, most
neuroimaging, neuropathology, cell et al. 2006]) tests of implicit memory. of these behaviors now have received
physiology, and neurochemistry efforts That cueing can enhance remembering empirical support through creative
in seeking neural substrates of the iden­ of new explicitly learned information behavioral testing and currently
tified deficits. (For more information by KS patients suggested that retrieval through functional imaging studies.
on the development of these technologies, processes are more affected than encod­ A subgroup of these behaviors are
see the sidebar “History of Neurobiological ing or consolidation processes. considered “executive functions”
Studies in Alcohol Research.”) On a practical level, this depiction (Oscar­Berman et al. 2004). These
of memory abilities could mean that include processes such as working
when provided with adequate aids, memory (i.e., the ability to keep a
Component Processes of Memory:
patients with KS may be able to number of items in a short­term
Then and Now enhance their otherwise fragile memory. memory store for evaluation or
Alcoholics with KS were of special Combined with evidence that alcoholic modification, such as remembering a
value to memory theorists (Butters and KS amnesia can range from mild to
Cermak 1980; Oscar­Berman and Ellis profound (Pitel et al. 2008), this pos­ 2
The nonunitary concept of memory posits that different types
1987; Squire et al. 1993; Warrington sibility suggested that the brain sub­ of memory exist (e.g., short term versus long term; episodic
and Weiskrantz 1970). Their innova­ strate for amnesia could be different versus implicit) that represent either different mnemonic systems
tive test paradigms resulted in data from another type of amnesia resis­ or different component processes of a system. Each system and
component requires different brain regions for processing, and
contributing substantially to current tant to memory enhancement cueing disruption of local brain regions or systems are the foundation
knowledge about component processes (Milner 2005). Such differences sup­ of different types of memory impairment or amnesia.

130 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

string of numbers to perform mental selective to specific components of cog­ Such disruption of information shar­
arithmetic), problem solving, atten­ nitive functions. Nonetheless, difficul­ ing between the hemispheres in alco­
tional focus (i.e., the ability to attend ties in performing tests of visuospatial holics was predicted by experiments
to one focus and exclude extraneous ability were commonly identified with predating quantitative brain­imaging
information from distracting from the Wechsler tests of intelligence (Victor methods that provided behavioral
focus), and sequencing and temporal et al. 1989). These tests were found to evidence for callosal dysfunction
ordering (i.e., putting items into a logical be reliably sensitive to alcoholism­ long before it was demonstrated
order or prioritizing tasks to accomplish related dysfunction, including the with behavior­neuroimaging studies
throughout the day) (Salmon et al. block design test, in which patients are (Oscar­Berman 1992). Similarly,
1986; Sullivan et al. 1997). timed while copying two­dimensional another brain region that had been
Vulnerability to distraction by irrel­ designs using three­dimensional blocks, implicated in visuospatial processing
evant information (Hada et al. 2000) and the object assembly test, in which deficits in alcoholics was the parietal
and engagement in risky behavior patients are timed while constructing a lobes, assumed from studies of focal
(Bjork et al. 2004; Fein et al. 2006) common object from puzzle pieces lesions; however, only recently was
each may contribute to difficulty in (Parsons and Nixon 1993). Longitudinal this association confirmed with MRI
establishing and maintaining mental assessment identified enduring impair­ and visuospatial testing in alcoholics
set (that is, a cognitive strategy) ments in visuospatial perception (e.g., (Fein et al. 2009).
when solving a problem (Fabian and seeing a figure embedded in a complex
Parsons 1983; Tarter and Parsons drawing) (Fama et al. 2004) and con­ Motor Systems, Speed of Movement,
1971). Therefore, rather than being struction (e.g., copying a complex line and Interaction with Cognitive
hampered by perseverative respond­ drawing) (Sullivan et al. 1992) in both Control Processes: Then and Now
ing—that is, giving the same response uncomplicated alcoholics (Beatty et al.
1996; Brandt et al. 1983) and alco­ Dramatic improvement occurs from
that was correct for a previous question
holics with KS (Victor et al. 1989). acute alcohol intoxication to sobriety
to a new question requiring a different
Recognizing the complexity of in eye–hand coordination, stability
response—alcoholics are more prone to
visuospatial processing, later studies in gait and balance, and speeded per­
failure in finding a theme when solv­
employed new paradigms to parse its formance. This clinically obvious
ing a problem (Sullivan et al. 1993).
components. An example demon­ improvement may have diminished the
It may be of little surprise that
strating the interaction of perceiving recognition of residual impairment in
alcoholics are particularly challenged
complex visual information and the upper­ and lower­limb motor control,
in reordering their everyday living
ability to focus attention without dis­ which alcoholics can sustain even with
and work activities considering these
traction comes from the global–local prolonged sobriety. Thus, relative to
deficits in working memory, mainte­
test. This test requires subjects to cognitive studies, this area may have
nance of mental set, distractibility,
attend and respond to either a large received short­shrift in formal testing.
and sequencing. Together, these diffi­
letter or tiny letters presented in the Nonetheless, a common theme did
culties could result in “learned help­
form of the large letter. A large letter emerge when formal studies of motor
lessness” and dampened motivation
is a considered a global stimulus, which performance were included in neuro­
to face the challenge of change. Not
usually is processed by the right cere­ psychological assessment—namely,
all alcoholics, however, exhibit impair­
bral hemisphere; conversely, a tiny that alcoholics can perform eye­hand–
ment in all of these functions, there­
letter is considered a local stimulus, coordinated tasks at normal levels but
by adding to the heterogeneity of the
which usually is processed by the left do so at slower speed (Johnson­Greene
expression of the alcohol dependence
cerebral hemisphere. When the large et al. 1997; Sullivan et al. 2002). This
syndrome. Recognition of which of
(global stimulus) and tiny (local stimu­ speed–accuracy trade off may underlie
these processes are spared and which
lus) letters both contain target letters, performance deficits noted on timed
are impaired in a given patient could
responses are fast. However, when tests, whether of a cognitive or motor
provide an empirical basis for target­
global and local information are con­ nature.
ed behavioral therapy during periods
tradictory, alcoholics find it difficult Caricatures depict “drunkards” as
of recovery.
to disengage from one level of pro­ stumbling and uncoordinated, yet
cessing to the other. Moreover, the these motor signs are, for the most
Visuospatial Processes: degree of difficulty in disengaging part, quelled with sobriety. More
Then and Now correlates with the integrity of the detailed quantitative assessment of
Early neuropsychological studies of corpus callosum, the brain structure gait and balance using walk­a­line
alcoholism often focused on KS and that connects the two cerebral hemi­ testing or force platform technology,
used test batteries (e.g., the Wechsler­ spheres and enables transfer and inte­ however, has revealed an enduring
Bellevue, Halstead­Reitan, Luria­ gration of information (like global instability in alcoholic men and
Nebraska tests) that were quantitative and local features) between the hemi­ women even after prolonged absti­
and standardized but not necessarily spheres (Müller­Oehring et al. 2009). nence. Thus, even with sobriety,

Vol. 33, Nos. 1 and 2, 2010 131


recovering alcoholics are at a height­ to have bread and rice products the New South Wales Tissue
ened risk of falling. Although the enriched with thiamine (for a person­ Resource Centre (Sheedy et al. 2008)
severity of this instability has been al recounting by Dr. Harper, go to at the University of Sydney, Australia,
found to relate to the condition of http://www.rsoa.org/profileharper.htm). funded in part by the NIAAA. More
the brain (especially the cerebellum, Later neuropathological studies than 2,000 cases of alcoholism and
which is a brain structural substrate reported a significant decrease of other neuropsychiatric conditions and
of gait and balance), alcoholics often WE lesions detectable postmortem controls are being obtained prospec­
are able to overcome this impairment (Harper 2006). Regardless of whether tively, with extensive antemortem
by use of simple aids from vision, the improved condition of the brains characterization. Postmortem brains
touch, and broad­based stance of chronic alcoholics was solely undergo standardized preservation
(Sullivan et al. 2006) (see figure 1). attributable to thiamine­enriched procedures, enabling studies, for
food, this public health precaution example, of neurochemical and
may well have saved lives and reduced genetic markers of alcoholism, by
Brain Pathology the debilitating effects of WE, whether researchers throughout the world.
related to alcoholism or other causes
of thiamine deficiency. 3
Postmortem Studies: Then and Now An outcome of this series of patho­
Shrinkage of the mammillary bodies is observed only after
chronic alcohol consumption, whereas swelling can be observed
Both postmortem and in vivo studies logical studies was the development with acute consumption (Sheedy et al. 1999).

of the brains of alcoholics have con­


tributed to understanding the perma­
nent central nervous system damage
inflicted by chronic alcoholism.
Evolving methods have enabled study
of brain tissue at different levels of
analysis. Initial studies focusing on
larger structures (i.e., gross morphol­
ogy) revealed shrinkage of total brain
size, with disproportionately greater
volume deficits in frontal superior
cortex in uncomplicated alcoholics
(Courville 1955; Kril et al. 1997).
Cases with medical comorbidities com­
mon to chronic alcoholism exhibited
additional focal pathology. For exam­
ple, alcoholics with WE, which is
caused by severe deficiency of thiamine
(vitamin B1) associated with poor eat­
ing habits of some chronic alcoholics,
typically showed shrinkage of the
mammillary bodies,3 thalamus, and
cerebellar vermis. Cases with Marchiafava­
Bignami disease showed thinning or
lesions of the corpus callosum; with
central pontine myelinolysis show
degradation of myelin sheathing of the
white matter in the central pons, and
alcoholic cerebellar degeneration is marked
by shrinkage of the cerebellar hemi­ Figure 1 Relationship between alcoholism, balance with and without use of stabilizing
spheres and vermis (Victor et al. 1989). aids, and the cerebellar vermis. Balance testing is conducted using a force
Because of the high prevalence of platform, which detects sway as people attempt to stand still. Study participants
WE pathology seen in autopsy cases try to maintain quiet balance for 30 seconds under different experimental condi­
in Australia (Harper et al. 1995)— tions. When no stabilizing aids can be used, the sway paths are quite long,
upwards of 80 percent of WE cases especially in alcoholics (see stabilograms on the left). With sensory (i.e., vision
or light touch) or stance (feet apart) aids, the sway paths are short, even in
had been overlooked in clinical neuro­
alcoholics. In alcoholics, longer sway path length correlated with smaller
pathology examination and about 90 volumes of the anterior vermis of the cerebellum, circled in turquoise on magnetic
percent of them were associated with resonance images (correlation plot).
alcoholism—Harper et al. campaigned

132 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

In Vivo Neuroimaging shrinkage rather than as irreversible ventricles than would be expected
Studies: Then and Now tissue loss (i.e., atrophy) (Ron et al. for their age (Jernigan et al. 1982;
1982). The distinction between perma­ Pfefferbaum et al. 1986, 1988).
Pneumoencephalography. Initial in nent and transient brain tissue damage
vivo studies of the brains of alcoholics was made in light of the landmark lon­ MRI. A quantum leap for in vivo
were conducted using pneumoencepha­ gitudinal imaging study of Carlen and image resolution and differentiation of
lography (PEG). To obtain images of colleagues (1978), who reported at tissue type and quality came with MRI
the brain, the ventricular system was least partial reversal of ventricular and (for a review of methods and findings,
drained of cerebrospinal fluid (CSF), sulcal enlargement in alcoholics who see Rosenbloom and Pfefferbaum
which was then replaced with air, usu­ had remained sober for about 1 month 2008). Some of the quantitative methods
ally resulting in severe headache. The to 2 years compared with an initial CT developed for CT also were applicable
images obtained with PEG were two taken a few weeks after detoxification. to MRI (see figure 2D), but additional
dimensional only and provided tissue Although imperfect (see Hill and ones needed to be developed to differ­
contrast of little use for quantification; Mikhael 1979), this seminal longitu­ entiate gray matter from white matter
however, they did provide initial in dinal study was an impetus for (Lim and Pfefferbaum 1989). Application
vivo evidence for ventricular enlarge­ developing quantitative methods for of semiautomated segmentation meth­
ment in detoxifying alcoholics (see fig­ deriving regional volumes of CSF in ods to measure volumes of gray matter
ure 2A) (Brewer and Perrett 1971). alcoholics and for employing adequate (which contains cell bodies of neurons)
Computed Tomography. With the control groups to adjust volume mea­ and white matter (which contain the
advent of computed tomography surements for variation attributable fiber bundles and extension of neurons
(CT), significant progress was made in to sex differences, normal aging, and that connect brain regions) revealed
indexing the severity of brain shrinkage measurement error (e.g., resulting profiles of regional differences between
in terms of enlargement of the ventri­ from differences in head placement in alcoholics and control subjects that
cles and regional cortical sulci (see fig­ the scanner). Later controlled studies were modulated by age. In particular,
ure 2B and C). The expansion of the generated objective evidence for an among adults, older, but not younger,
fluid­filled spaces of the brain was age–alcoholism interaction, in which alcoholics showed a disproportionate
interpreted as a sign of local tissue older alcoholics had more enlarged deficit in both gray matter and white
matter cortical volume when the
volumes were statistically adjusted
for brain tissue declines associated
with normal aging in adulthood
(Pfefferbaum et al. 1997). This age–
alcoholism interaction also was present
in other brain structures, including
the corpus callosum (Pfefferbaum et
al. 1996), hippocampus (Sullivan et al.
1995), and cerebellum (Sullivan et al.
2000a). Although it is likely that older
alcoholics could have consumed more
alcohol in their lifetimes than younger
ones, differences in amount drunk over
a lifetime was not the only reason for
the age–alcohol interaction.
In vivo neuroimaging using
conventional MRI has provided
convergent validity for the gross
white matter structural abnormalities
(i.e., dysmorphology) observed post­
Figure 2 Examples of different neuroimaging modalities. A) Pneumoencephalogram—the air mortem by showing evidence for
in the ventricles shows up white. Adapted from (Brewer 1974). B) Early­generation white matter volume shrinkage with
computed tomography (CT)—the cerebrospinal fluid (CSF) in the large sulci shows up chronic heavy drinking (Estruch et al.
black. C) Second­generation CT—bone shows up white, brain tissue is gray, CSF is 1997; Hommer et al. 1996, 2001;
black. D) T1­weighted magnetic resonance (MR)—gray matter shows up gray, white Pfefferbaum et al. 1992, 1996;
matter is white, CSF is black. E) Diffusion tensor fractional anisotropy image—white Symonds et al. 1999). Although post­
matter tracts show up white. F) Regions showing activation on functional MR imaging
mortem studies have been essential in
(fMRI) (yellow) are superimposed on a T1­weighted MRI.
identifying sources of microstructural
abnormalities in alcoholism, the process

Vol. 33, Nos. 1 and 2, 2010 133


of preparing brain samples for analysis structural MRI is detectable with DTI. ways to establish an association
(i.e., fixation) and postmortem collapse In alcoholics, such disruption of white between changes in brain structures
of fluid­filled spaces (e.g., ventricles, matter microstructure is especially and functional alterations, see the
sulci, and blood vessels) alter brain prominent in frontal brain regions, sidebar “Double Dissociation.”)
morphology from the living state; thus, such as the genu of the corpus callosum. One of the most appealing applica­
postmortem results do not necessarily The alcohol­related deficits in white tions of DTI is fiber tracking and the
reflect all of the alcohol­related effects matter anisotropy exceed those observed quantification of the exquisite visual
on the living brain (Pfefferbaum et al. in normal aging (Pfefferbaum et al. modeling of fiber systems (see figure
2004) (see figure 3). Therefore, depiction 2000b; Sullivan et al. 2001), cannot 4). Quantitative fiber tracking has
of the gross anatomy of the living be accounted for by shrinkage in the revealed degradation of selective fiber
alcoholic brain was a critical initial underlying tissue mass (Pfefferbaum systems in alcoholics that are greater
step for verifying alcoholism­associated and Sullivan 2003), and occur in both in anterior and superior than posterior
untoward effect on brain structure; men (Pfefferbaum et al. 2000a) and and inferior fiber bundles (Pfefferbaum
however, the characterization of the women (Pfefferbaum and Sullivan et al. 2009, 2010). Although the pat­
microstructural integrity of the residual 2002). These findings are functionally tern of disruption can be different in
white matter volume in vivo required meaningful because the degree of alcoholic men and women, both sexes
further innovations in neuroimaging. abnormality detected in certain fiber are affected (Pfefferbaum et al. 2009).
tracts correlated with compromised Analyses of individual components
MR Diffusion Tensor Imaging. The performance on tests of attention and of DTI metrics have provided novel
development of MR diffusion tensor working memory (Pfefferbaum et al. in vivo information about myelin
imaging (DTI) provided a noninvasive 2000a), cognitive flexibility (Chanraud integrity (measured as radial diffusivity)
approach for in vivo examination of et al. 2009), and speeded performance and axonal integrity (measured as
the microstructure of brain tissue, and postural stability (Pfefferbaum et axial diffusivity). In general, DTI
particularly white matter (for a review al. 2010). (For more information on findings in alcoholism indicate a
of the method, see Rosenbloom and
Pfefferbaum 2008). White matter
pathology is a consistent finding in the
brains of alcohol­dependent people.
Postmortem study of alcoholics had
identified pathology in white matter
constituents and noted demyelination
(Lewohl et al. 2000; Tarnowska­
Dziduszko et al. 1995), microtubule
disruption (Paula­Barbosa and Tavares
1985; Putzke et al. 1998), and axonal
deletion. Other studies detected mor­
phological distortion of cell extensions
(Harper et al. 1987; Pentney 1991)
and volume reduction arising from
shrinkage or deletion of cell bodies
(Alling and Bostrom 1980; Badsberg­
Jensen and Pakkenberg 1993; De la
Monte 1988; Harper and Kril 1991,
1993; Lancaster 1993).
DTI permits assessment of water
diffusion orientational coherence,
measured as anisotropy, by quantify­
ing the magnitude and orientation Figure 3 Comparison of magnetic resonance imaging (MRI) data obtained postmortem or in
of water mobility on a voxel­by­voxel vivo. Top, left: Views from the side and the top of a formalin­fixed whole­brain speci­
basis in a structure of interest. Tissue men. This brain was then set in a gel­like material (i.e., agar) for MRI studies (middle
with high anisotropy is indicative of top figure). All MRIs are coronal sections showing the lateral ventricles, which are
restricted diffusion that typically is seen as bright or light gray. In the living brain, the lateral ventricles expand with age,
as is evident when comparing the 25­year­old with the 60­ and 61­year­old brains.
found in a regularly organized region, With postmortem fixation, the ventricles of the brain collapse, making the fixed brain
such as a white matter fiber (see fig­ from a 61­year­old case look like the in vivo brain of a 25­year­old control subject.
ure 2E). Evidence for microstructural
degradation of white matter integrity SOURCE: Adapted from Pfefferbaum et al. 2004.

that evades detection with conventional

134 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

greater role for demyelination than performance differ from those activated new neural pathways taken can be
axonal degeneration in the compromise by control subjects. A theme emerging identified with fMRI. These analyses
of white matter integrity. This dis­ from these studies has been that alcoholics found that a change in processing
tinction provides convergent validity can show performance compensation strategy occurs, where alcoholics use
with postmortem findings, establishing at the price of cortical processing ineffi­ inefficient neural systems to complete
DTI metrics as in vivo markers of ciency. For instance, when engaging a task at hand because the preferred
white matter neuropathology. spatial working memory and attention, neural nodes or connecting fiber tracks
control subjects activate the dorsal neural are compromised. Such compensatory
Functional MRI. Whereas MRI and stream and dorsolateral prefrontal cortex. activation may be crucial for ade­
DTI provide visual and quantitative By contrast, alcoholics activate the quately completing a task but curtails
information about brain structure, ventral neural stream and ventrolateral available capacity to carry out multiple
functional MRI (fMRI) can detect prefrontal cortex (Pfefferbaum et al. activities in parallel. Ultimately,
changes in blood oxygenation that occur 2001). In a verbal working memory structural abnormalities impose a
when a subject performs cognitive or setting, alcoholics recruit more widely fundamental change in the choice of
motor tasks while in the scanner (see spread areas of frontal and cerebellar cognitive operations possible for the
figure 2F). In short, fMRI is a safe, brain regions than do control subjects to alcoholic (see figure 5). In this way,
noninvasive method that can detect achieve normal levels of performance alcohol­induced insult to the brain
the small but consistent changes in (Desmond et al. 2003). Finally, in a that limits higher­order cognitive
blood oxygenation when a specific task requiring resolution of proactive capacity may sustain the propensity
brain region is activated (i.e., the blood interference (that is, interference result­ to engage in harmful drinking and
oxygen level–dependent or BOLD ing from previously encountered infor­ enable the alcohol dependence syn­
response) (Adalsteinsson et al. 2002). mation), alcoholics activate a frontally drome. These compensatory brain
It has enabled detection of how alco­ based brain system associated with mechanisms identified with fMRI are
holics and control subjects may differ high­level executive function rather consistent with earlier theories about
in the brain systems that are recruited than the basal forebrain system that is processing inefficiency based on cog­
to perform a task. For example, fMRI activated in control subjects and which nitive testing only (Nixon et al. 1995;
studies performed in recovering alco­ is adequate for completing this low­ Ryback 1971).
holics have revealed that in test situa­ level function (De Rosa et al. 2004). Another theme of fMRI studies
tions in which alcoholics are adequately Degradation of brain structure appears has been the identification of reward,
practiced to perform cognitive tasks on to underlie alcoholism­related alter­ emotional control, and oversight systems
which they usually show impairment, ations in the selection of cognitive in recovering alcoholics; youth with
the brain systems activated during task strategies to execute a task, and the low versus high risk for developing
alcohol use disorders; or in craving
paradigms. In discerning emotional
information suggested by pictures
focusing on facial features, high­risk
youth displayed less brain activation
compared with low­risk youth, sug­
gesting a predisposition for attenuated
ability to interpret facial emotion
(Hill et al. 2007). Craving paradigms
use alcohol beverage stimuli (e.g.,
a chilled glass of foaming beer) to
examine differences between alco­
holics and control subjects in brain
activation in response to alcohol­
relevant stimuli (Myrick et al. 2004;
Tapert et al. 2003). These studies
have resulted in the identification of
alcohol reward brain systems (Makris
Figure 4 An example of fiber tracking. Midsagittal view of a diffusion tensor image (DTI) of fractional
et al. 2008) (see figure 6). Brain regions
anisotropy in gray tones, where brighter intensities in white matter reflect a more highly commonly invoked in rewarding
and linearly organized microstructure. Superimposed are three­dimensional, bilateral conditions are the nucleus accumbens
depictions of fiber bundles identified with fiber tracking of DTI data: mustard = superior and ventral tegmental area. As a
cingulate bundle; green = inferior cingulate bundle; blue = corticospinal tracts; point of translation, these brain
orange = fornix; red = pontocerebellar tracts. regions identified in humans also
are implicated in animal models of

Vol. 33, Nos. 1 and 2, 2010 135


The Double Dissociation Model

association between the two. This if compromised performance on test

O
ne benefit of the develop­
ment of technologies for can be done by demonstrating that 1 (i.e., matrix reasoning) occurs with
quantitative analysis of compromised performance on a a brain lesion in site 1 (i.e., parietal
brain structure and neuropsycholog­ test assessing the function (e.g., cortex) but not site 2 (i.e., prefrontal
ical test performance was the intro­ on the matrix reasoning test, which cortex), whereas compromised
duction of a new way to establish assesses nonverbal intelligence) occurs performance on test 2 (i.e., spatial
associations and dissociations between with a brain lesion in the hypothe­ working memory test) only occurs
brain structures and function using sized neural source (e.g., the parietal with a brain lesion in site 2 (i.e.,
a modified version of the “double cortex). Then, the next crucial step prefrontal cortex). However, uncom­
dissociation” model (Teuber 1955) is to demonstrate a double dissocia­ plicated alcoholics normally do not
(see figure 1). According to the clas­ tion using tests for two different endure discrete and complete struc­
sical double dissociation model, to functions (e.g., the matrix reasoning tural brain lesions, per se. Therefore,
be able to draw the conclusion that test and a test of spatial working the traditional double dissociation
a certain brain structure or network memory) and assessing lesions in approach would require identifica­
is the neural source of a particular two different brain regions (e.g., the tion of two subject groups—one
cognitive or motor function, it is parietal cortex and the prefrontal group with a brain lesion in one
essential to demonstrate first an cortex). Double dissociation exists location and another group with a

Discrete Brain Lesions


• Classical Lesion Model Hippocampus Parietal Cortex
– Permanent loss
Copy of Dra
Drawin
wings + –
– One locus, one deficit
– 2 groups, 2 lesion sites Recal
Recall of Dra
Drawin
wings – +

Continuous Measurements

• “Incomplete” Lesion Model


– Alcoholism sets stage for
Copy of Drawings
Recall of Drawings

dynamic lesions with


withdrawal, recovery,
and relapse
– Graded deficits
– Distributed networks

Hip
Hippocampal volum
lume Pari
arietal
etal cortica
ical vo
volum
lume

Figure 1 Overview of the double dissociation model. The “classical” approach assesses lesions in a specific brain region that are associated
with circumscribed deficits. The incomplete model allows assessment of associations between dynamic lesions (e.g., lesions that
may decrease and increase with sobriety and relapse) and deficits in performance that can vary in severity along a continuum.

136 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

lesion in a different location—and showed compromise (i.e., abnor­ quantification of the relationship
tests of two functions, one related to mally high diffusivity) of the genu on a continuum (see figure 1).
the brain lesion in one subject and the splenium of the corpus cal­ Establishment of double dissociation
group and the other function losum. Correlational analysis indi­ indicates that significant variability
related to the brain lesion in the cated a double dissociation: Poor is present in brain structural and
other subject group. working memory performance cor­ functional measures of alcoholics
Instead of two separate groups of related with greater diffusivity in the
alcoholics, however, Pefferbaum and genu but not the splenium, whereas and provides evidence that the
colleagues (2006) studied a group of poor matrix reasoning performance cognitive and motor deficits of
alcoholics who were heterogeneous correlated with greater diffusivity in alcoholics are not simply the result
with respect to both behavior and the splenium but not the genu. of generalized brain insult but rather
brain integrity. Some exhibited behav­ The development of quantitative are related to compromise of
ioral deficits on tests of spatial work­ measures of brain structure (e.g., specific brain systems. ■
ing memory and others on matrix regional tissue volume) joined with
reasoning testing (see figure 2). In quantitative measures of cognitive —Edith V. Sullivan, Ph.D., and
addition, some of the alcoholics or motor performance enabled Adolf Pfefferbaum, M.D

0.5 Controls

Alcoholics
0
Z- Scor e

-0. 5

2 2

-1
Matrix Reasoning Z-score

1
Working M emory Z-score

0
-1. 5
0
Working Matrix Atax ia
Memor y
-1 -2

-2
-4
-3

-4 -6
-2 0 2 4 6 -4 -2 0 2 4
Genu <D> Z-score Splenium <D>Z-score

• Poor working memory relates to high genu but not • Poor matrix reasoning relates to high splenium but
splenium diffusivity. not genu diffusivity.

Figure 2 Example of a demonstration of double dissociation establishing the association between lesions in different regions of the corpus
callosum and specific cognitive deficits. Thus, deficits in working memory were associated with compromised structure of the frontal
end (i.e., genu) of the corpus callosum, whereas deficits in matrix reasoning were associated with compromised structure of the
posterior end (i.e., splenium) of the corpus callosum.

Vol. 33, Nos. 1 and 2, 2010 137


alcohol dependence and craving
(Koob 2009).

Course of Brain
Structural Changes
in Alcoholism
Alcoholism follows a dynamic course,
with alternating periods of excessive
drinking and sobriety. Concomitant
with this course, measurable decline
and improvement occurs in selective
functions of cognitive and motor abili­
ties (Brandt et al. 1983; Parsons 1983).
But only with the advent of in vivo
longitudinal neuroimaging have
researchers been able to document Figure 5 Different patterns of brain activation exist in alcoholics and control subjects. The
changes in brain structure in parallel figure is a composite of images from several functional magnetic resonance imaging
with drinking behavior and functional (fMRI) studies. Brain regions showing greater activation in controls than alcoholics
changes (e.g., Rosenbloom et al. 2007; to accomplish a given task are highlighted in yellow and brain regions showing
Sullivan et al. 2000b). These studies greater activation in alcoholics than in controls are shown in turquoise. On a func­
began with the landmark study of tional level, the shift in functional anatomy (as determined by fMRI) combined with
Carlen and colleagues (1978), who incomplete brain lesions (indicated by diffusion tensor imaging) can result in
apparently normal performance, but at the price of usurping reserves that reduce
used CT to show recovery of brain
processing capacity for conducting multiple tasks simultaneously or efficiently.
tissue with sobriety.
Longitudinal MRI studies of alco­ SOURCE: Oscar­Berman and Marinkovic 2007.
holics have found that following about
1 month of abstinence from alcohol,
cortical gray matter (Pfefferbaum et
al. 1995), overall brain tissue (Gazdzinski
et al. 2005), and hippocampal tissue
(Gazdzinski et al. 2008) increase in
volume. With longer­term follow­up,
alcoholics who maintain sobriety may
show shrinkage of the third ventricu­
lar volume (Pfefferbaum et al. 1995)
or a general increase in brain volume
(Gazdzinski et al. 2005) notable in
frontal and temporal regions (Cardenas
et al. 2007). Alcoholics who relapse
into drinking, in contrast, show
expansion of the third ventricle and
shrinkage of white matter (Pfefferbaum
et al. 1995) or loss of overall brain
tissue relative to that seen at study entry
(Cardenas et al. 2007; Gazdzinski et
al. 2005). Cortical white matter vol­
ume may be particularly amenable to
recovery with prolonged sobriety Figure 6 The reward model developed by Oscar­Berman. Using evidence from structural
and functional magnetic resonance imaging (MRI), Oscar­Berman and colleagues
(Agartz et al. 2003; Meyerhoff 2005;
proposed this model of brain regions involved in what they termed is the extended
O’Neill et al. 2001; Shear et al. 1994) reward and oversight system. The arrows indicate known directional connections
or vulnerable to further decline with between brain structures of the extended reward and oversight system. SLEA,
continued drinking (Pfefferbaum et sublenticular extended amygdala.
al. 1995). Over a 5­year longitudinal
SOURCE: Adapted from Makris et al. 2008.
study, prolonged sobriety was associ­
ated with improvement or stabiliza­

138 Alcohol Research & Health


Alcohol’s Effects on Brain and Behavior

tion of measures of brain tissue volume.


By contrast, a return to drinking was
associated with ventricular enlargement
and cortical gray matter loss, especially
in the frontal lobes, and the extent
of cortical volume shrinkage correlated
with the amount drunk over the
5 years (Pfefferbaum et al. 1998).
Several factors can diminish the
likelihood of recovery of brain structure
with sobriety, including older age,
heavier alcohol consumption, concur­
rent hepatic disease, history of with­
drawal seizures, malnutrition, and
concurrent smoking (Yeh et al. 2007).
Inability to ethically enforce control
over drinking and other factors in
human alcoholism limits these studies
Figure 7 Ventricular size in alcoholic and nonalcoholic humans and in alcohol­exposed and
to naturalistic designs. By contrast,
nonexposed rats. A) A 61­year­old control man. B) A 51­year­old alcoholic man. animal studies afford control over
Note the markedly enlarged lateral ventricles and temporal horns in the alcoholic factors contributing to change for
man. C) Wistar rat before alcohol exposure. D) Wistar rat after 16 weeks of chronic the better or the worse with continued
exposure to alcohol vapor. Note the markedly enlarged lateral ventricles, similar to or discontinued alcohol exposure.
those seen in the alcoholic man. Animal models of alcoholism may
SOURCE: A and B were adapted from Rosenbloom and Pefferbaum 2008; C and D were adapted from Pfefferbaum et al. 2008.
also advance our understanding of the
brain volume changes documented in
the course of human alcoholism (see
figures 7 and 8).

Advances in Neuroscience
The advances made over these first 40
years have enriched understanding of
alcoholism from a neuroscience per­
spective and have expanded concepts
of neuroplasticity in the human brain.
The innovations enabling discoveries
also have generalized to other areas of
neuroscience, exemplified by our
understanding of neural degradation
with chronic alcoholism and repair
with sobriety. Original concepts of
brain structure modification were
unidirectional—that is, degradation
occurred with age or disease without
the chance of neuronal regeneration.
Now, evidence supports the possibility
Figure 8 Changes in ventricular size in humans and rats after resumption of drinking or contin­ of neurogenesis as part of a repair
ued sobriety. A) A 41­year­old alcoholic woman when sober (left) and 1 year later process (Nixon and Crews 2004) or at
after resuming drinking (right). Note the ventricular expansion (red circle). B) A 48­
year­old woman before (left) and after (right) 1 year’s continued sobriety. Note the
least for creating a milieu for repair of
ventricular contraction (red circle). C) Wistar rat before (left) and after (right) acute cell bodies and their processes. Repair
binge alcohol gavage for 4 days. Note the ventricular and pericollicular expansion of white matter constituents, including
of cerebrospinal fluid (CSF) (red arrows). D) The same animal after 1 week recovery myelin, also can transpire. A greater
(right), showing return to pre­exposure CSF­filled spaces. understanding of this process is emerg­
ing following the identification, for
example, of altered myelin repair gene

Vol. 33, Nos. 1 and 2, 2010 139


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impairments attendant to alcoholism 17127079
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