Neuropsychologia: Elizabeth F. Chua, Rifat Ahmed

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Neuropsychologia 85 (2016) 74–79

Contents lists available at ScienceDirect

Neuropsychologia
journal homepage: www.elsevier.com/locate/neuropsychologia

Electrical stimulation of the dorsolateral prefrontal cortex improves


memory monitoring
Elizabeth F. Chua a,b,n, Rifat Ahmed a
a
Brooklyn College of the City University of New York, 2900 Bedford Ave, Brooklyn, NY 11210, United States
b
The Graduate Center of the City University of New York, 365 5th Ave, New York, NY 10016, United States

art ic l e i nf o a b s t r a c t

Article history: The ability to accurately monitor one's own memory is an important feature of normal memory function.
Received 17 December 2015 Converging evidence from neuroimaging and lesion studies have implicated the dorsolateral prefrontal
Received in revised form cortex (DLPFC) in memory monitoring. Here we used high definition transcranial direct stimulation (HD-
6 March 2016
tDCS), a non-invasive form of brain stimulation, to test whether the DLPFC has a causal role in memory
Accepted 7 March 2016
monitoring, and the nature of that role. We used a metamemory monitoring task, in which participants
Available online 9 March 2016
first attempted to recall the answer to a general knowledge question, then gave a feeling-of-knowing
Keywords: (FOK) judgment, followed by a forced choice recognition task. When participants received DLPFC sti-
tDCS mulation, their feeling-of-knowing judgments were better predictors of memory performance, i.e., they
HD-tDCS
had better memory monitoring accuracy, compared to stimulation of a control site, the anterior temporal
Prefrontal
lobe (ATL). Effects of DLPFC stimulation were specific to monitoring accuracy, as there was no significant
Memory
Metamemory increase in memory performance, and if anything, there was poorer memory performance with DLPFC
Feeling-of-knowing stimulation. Thus we have demonstrated a causal role for the DLPFC in memory monitoring, and showed
that electrically stimulating the left DLPFC led people to more accurately monitor and judge their own
memory.
& 2016 Elsevier Ltd. All rights reserved.

1. Introduction will remember the answer later (i.e., to make a feeling-of-knowing


judgment), followed by a recognition test for the target informa-
The ability to accurately monitor one's own memory, is one tion (Hart, 1965; Kikyo and Miyashita, 2004; Maril et al., 2003;
component of what is referred to as metamemory, and is an im- Metcalfe et al., 1993; Schwartz and Metcalfe, 1992). Monitoring
portant feature of normal memory function (Nelson and Narens, accuracy, also referred to as metamemory accuracy, is then as-
1990). For example, accurate memory monitoring can lead to sessed by determining how well the individual's subjective FOK
better regulation of learning and memory, thereby improving ratings relate to their objective memory performance (Benjamin
overall performance (Thied et al., 2003). Furthermore, certain and Diaz, 2008; Nelson, 1984; Pannu and Kaszniak, 2005).
clinical populations have shown impairments in memory mon- Monitoring accuracy depends on how well the information
used to make these metamemory judgments relates to memory
itoring, independent of memory impairments (Stepanie Cosentino
accuracy (Chua et al., 2012). FOK judgments have been shown to
et al., 2007). Despite the critical role of monitoring in the effective
be based on cue familiarity (Metcalfe et al., 1993; Reder, 1987),
use of memory, less is known about the neural mechanisms sub-
target accessibility (Koriat, 1993), and the combination of the two
serving memory monitoring accuracy, and whether it can be en-
(Chua and Solinger, 2015; Koriat and Levy-Sadot, 2001). FOKs can
hanced using non-invasive brain stimulation.
be based on a rapid evaluation of the cue, with more familiar cues
One common way to evaluate memory monitoring is by de-
leading to higher FOKs (Metcalfe et al., 1993; Reder, 1987). Suffi-
termining accuracy on metamemory tasks, such as the feeling-of- cient cue familiarity then leads to a memory retrieval search, and
knowing (FOK) task (Nelson and Narens, 1990). Typical FOK tasks higher FOKs are given when more partial information accessed,
ask participants to recall a target piece of information, and when regardless of whether this partial information is correct (Koriat,
they fail to do so, they are asked to predict the likelihood that they 1993). By this view, FOK accuracy (i.e., monitoring accuracy in the
FOK task) depends on the quality of the memory processes, in that
n
Corresponding author at: Department of Psychology, Brooklyn College, CUNY,
judgments are based on the outcomes of the search attempts for
2900 Bedford Avenue, Brooklyn, NY 11210, United States. the target (Koriat, 1993).
E-mail address: echua@brooklyn.cuny.edu (E.F. Chua). Indeed, there is some evidence that FOK and memory may not

http://dx.doi.org/10.1016/j.neuropsychologia.2016.03.008
0028-3932/& 2016 Elsevier Ltd. All rights reserved.
E.F. Chua, R. Ahmed / Neuropsychologia 85 (2016) 74–79 75

be completely independent processes. Memory impairments have semantic memory (Hodges et al., 1992; Mummery et al., 2000). If
been associated with reduced FOK accuracy (Bacon et al., 1998; the role of the DLPFC in FOKs is to index the subjective feeling
Perrotin, et al., 2007). However, other studies have shown that per se (Chua et al., 2009), excitation of the DLPFC should lead to
impaired memory does not have to be associated with reduced higher FOKs compared to ATL and sham stimulation. In contrast, if
FOK accuracy (Schacter, 1983; Shimamura and Squire, 1986). For the role of the DLPFC is in retrieval monitoring (Henson et al.,
example, comparisons of Korsakoff's patients and other amnesics, 2000, 1999), then excitation of the DLPFC should lead to increased
both of whom had reduced memory performance, showed that monitoring accuracy. Finally, if DLPFC activity relates to the
only Korsakoff's patients showed impaired FOK accuracy (Shima- amount of information accessed (Maril et al., 2005), then both
mura and Squire, 1986). This difference was attributed to the DLPFC and ATL stimulation should lead to higher FOK ratings
frontal lobe pathology seen in Korsakoff's patients, but not in the compared to sham, and potentially improved memory accuracy. In
other amnesics. summary, the goals of this study were to use HD-tDCS to examine
The role of the prefrontal cortex in FOKs may be related to its the role of the left DLPFC and left ATL in memory and meta-
role in executive functioning (Fernandez-Duque et al., 2000; memory for general knowledge questions.
Pannu and Kaszniak, 2005; Perrotin et al., 2008; Shimamura,
2000; Souchay et al., 2000). Recent work using neuropsychological
testing showed that executive functioning contributed to FOK ac- 2. Materials and methods
curacy, and that this effect was much larger than the contribution
of memory ability (Perrotin et al., 2008). Furthermore, several 2.1. Participants
neuroimaging studies have shown that activity in the DLPFC in-
creases with increasing demands on retrieval monitoring (Dobbins Thirty healthy, English speaking, right-handed, Brooklyn College students
participated in this 3-session, research study for course credit (1 credit per hour) or
et al., 2002; Gallo et al., 2010), with monitoring being one of the for pay ($15/h). Three participants failed to return for all three visits, and the data
executive functions. from the 27 participants (13F/14M, ages 18-25, Mean 7 SEM: 20.3 7 0.31 years)
Many fMRI studies have shown greater activation with in- who completed the study were analyzed. G*Power 3.1 (Faul et al., 2007) was used
creasing levels of FOKs in many PFC subregions (Chua et al., 2009; to determine that data from 27 subjects were needed for 80% power to detect a
medium-sized effect (η2 ¼ 0.06) for a repeated measures ANOVA with 1 group and
Elman et al., 2012; Kikyo, Ohki, and Miyashita, 2002; Maril et al.,
3 measurements. Participants were screened before each experiment to ensure
2005), and this tends to be most consistent in left lateral prefrontal they were suitable to participate. Participants were free from neurologic and psy-
cortex (Chua et al., 2009; Kikyo and Miyashita, 2004; Kikyo et al., chiatric illness, nor had any open wounds on the scalp and/or face. Each participant
2002; Maril et al., 2003). There are several possible explanations provided written consent in a manner approved by the Human Research Protection
for why activity in the PFC modulates with FOK: 1) activity in the Program at the City University of New York (CUNY).

PFC may provide an index of the subjective feeling per se (Chua


et al., 2009), 2) activity in the PFC increases with retrieval mon- 2.2. High definition transcranial direct current stimulation (HD-tDCS)

itoring demands (Henson et al., 2000; Henson et al., 1999), and


HD-tDCS was administered using the Soterix 4  1 adaptor for the Soterix 1  1
trials with higher FOKs tend to require weighing and monitoring
tDCS Low-Intensity Stimulator (Model 1224-B, Soterix Medical, New York, NY). For
of more information, or 3) the PFC may modulate based on the DLPFC and sham stimulation sessions, the anode was placed at the F3 position
amount of target information accessed and higher levels of FOKs (using the 10-20 system) and 4 return electrodes were placed at positions AF3, F1,
may be associated with increased target access and partial re- F5, and FC3. For ATL stimulation, the anode was placed at T7 and 4 return elec-
trieval (Maril et al., 2005). trodes were placed at FT7, FT9, C5, and TP7. The stimulation electrodes were sin-
tered Ag/AgCl ring electrodes (outer radius: 12 mm; inner radius 6 mm). The
The role of the PFC in FOKs has yet to be tested using non- electrodes were fixed on an EEG cap with HD Electrode holders (Soterix Medical,
invasive brain stimulation, which has become a useful tool in New York, NY) and filled with Signa Gel to ensure electroconductivity to the scalp.
cognitive neuroscience research and has potential use for devel- In each montage, the anode was set to deliver a total current of 2 mA, and the
opment as an intervention (Berryhill et al., 2014; Sparing and return electrodes shared the same current intensity (0.5 mA each). These montages
were chosen based on computational models that generated stimulated current
Mottaghy, 2008). Transcranial direct current stimulation (tDCS)
maps using HDExplore (Soterix Medical, New York, NY) that showed good current
involves passing a low level of current between stimulation and flow in the left DLPFC and left ATL, respectively (Fig. 1). During active stimulation,
reference electrodes placed on the scalp, with the stimulating participants received 2 mA of stimulation for 20 min, whereas during sham sti-
electrode typically being placed over the targeted brain region (for mulation, the current ramped up to 2 mA and then back down during the first
review, see Nitsche et al., 2008). Stimulation using a positively  30 s, remained at 0.1 mA for 19 min, and then ramped up to 2 mA and down
again at the end of the sham period for the last 30 s. Participants completed
charged electrode, typically referred to as anodal stimulation, has 3 sessions, approximately one week apart, and typically at the same time of day,
been shown to increase neural firing rates, with after effects that with separate DLPFC, ATL, and sham HD-tDCS sessions; sessions were counter-
last beyond the stimulation duration. Conventional tDCS typically balanced for stimulation and list order across subjects.
places large electrodes that are spaced relatively far apart on the
scalp, thereby stimulating both the targeted brain region and 2.3. Stimuli and procedure
surrounding and connected structures (Bai et al., 2014). More focal
methods of tDCS have been developed, termed High Definition Stimuli consisted of 300 general knowledge questions that had previously been
tDCS (HD-tDCS), which use a 4  1 ring electrode, and which normed using a CUNY sample (Mangels et al., 2015), and were presented using
Psychopy (Peirce, 2007). There were 4 additional practice questions used to fa-
better restricts the stimulation to the region of interest (Datta miliarize participants with the task.
et al., 2009; Kuo et al., 2013). HD-tDCS began at the start of the general knowledge task. After the instruc-
In this study, we use HD-tDCS to test the whether or not the tions, participants first viewed a general knowledge question on the screen and
DLPFC has a causal role in the feeling-of-knowing using a general were asked to recall the answer and type it in. If they did not know the answer,
they were instructed to type “idk” to indicate “I don’t know.” After 45 s, or a subject
knowledge task, and to examine the nature of that role. We tar-
response, the trial advanced. This was followed by a FOK judgment, in which they
geted the left DLPFC because it has modulated by level of FOK had a maximum of 30 s to indicate the likelihood that they would recognize the
across multiple kinds of tasks (Reggev et al., 2011). Paralleling le- correct answer on a 1–10 scale. This was then followed by a recognition judgment
sion studies that have compared patients with frontal and tem- in which they had a maximum of 15 s to choose which among 4 answers was the
poral lesions to examine metamemory versus memory contribu- correct answer to the general knowledge question. One of the answers was the
correct answer, and the three incorrect answers were the most frequently given
tions to FOK accuracy (Shimamura and Squire, 1986), we compared incorrect answers given by other CUNY students (Mangels et al., 2015). There were
left DLPFC stimulation to left anterior temporal lobe (ATL) stimu- 100 questions per session, and the three sets of questions were matched on diffi-
lation because the left ATL has been shown to be critical for culty based on previous norming with CUNY students. Stimulation condition and
76 E.F. Chua, R. Ahmed / Neuropsychologia 85 (2016) 74–79

Fig. 1. Model of brain current flow using HD-Explore™ during HD-tDCS for A) left DLPFC stimulation with the anode placed at the F3 position and 4 return electrodes at
positions AF3, F1, F5, and FC3, and B) left ATL stimulation with the anode placed at T7 and 4 return electrodes at FT7, FT9, C5, and TP7.

question set were counterbalanced for order across participants. across stimulation sessions. To further probe the accuracy x sti-
mulation interaction, we conducted two-way repeated measures
2.4. Data analysis ANOVAs to test for differences in FOK ratings for correct and in-
correct responses by stimulation condition. There were significant
FOK accuracy was assessed in a trial-by-trial manner by calculating da, a
accuracy by stimulation interactions when comparing DLPFC to
measure based in signal detection theory used to index relative metamemory ac-
curacy and is thought to be superior to other measures of monitoring resolution sham [F(1,26) ¼7.66, p o0.01], and DLPFC to ATL [F(1,26) ¼ 9.72,
(Benjamin and Diaz, 2008; Toth et al., 2011). To compute da, we used the procedure po 0.004], but not ATL to sham [F(1,26) ¼0.56, p 4 0.46]. Post-hoc
described by Benjamin and Diaz (2008), using the formula √2y0/(1 þ m2), where y0 paired t-tests, considered significant at p o0.017 to Bonferroni
is the y intercept and m2 is the slope of a normal deviate isosensitivity function.
correct for multiple comparisons, comparing FOK ratings for cor-
The relationships between memory, the level of FOK expressed, FOK accuracy,
and HD-tDCS were analyzed using repeated measures ANOVAs and post-hoc t-tests rect and incorrect recognition across stimulation sessions showed
in SPSS 22.0. Mauchly's test of sphericity was used to determine whether or not the a significant difference between FOK ratings for correct and in-
assumption of sphericity was met. If the assumption was violated, the Greenhouse- correct recognition for the frontal session [t(26) ¼3.94, p o0.001],
Geisser correction was applied and the epsilon (ε) is reported. Results were con-
whereas there was no difference in FOK ratings for correct and
sidered significant at p o 0.05. Post-hoc t-tests were Bonferroni corrected for
multiple comparisons, with the adjusted criterion reported in the text. incorrect recognition during sham [t(26) ¼ 2.04, p o0.053] and
temporal sessions [t(26) ¼1.10, p 40.28] (Fig. 2a). Thus, the sig-
nificant interaction was driven by a bigger difference in FOK rat-
3. Results ings for correct and incorrect recognition with DLPFC stimulation
compared to the other conditions.
There were moderate levels of correct recall of answers to We next examined relative FOK accuracy using da (Benjamin
general knowledge across stimulation sessions (Table 1), and the and Diaz, 2008) to index monitoring resolution in a trial-by-trial
effect of stimulation on the number of correctly recalled answers manner. As one might expect based on the significant recognition
approached significance [F(1.52, 39.64) ¼3.23, p o0.065, ε ¼0.76, accuracy x stimulation interaction effect on FOK ratings, there was
η2 ¼0.11]. For the recognition test, subjects performed well above a significant difference in da based on stimulation [F(2,52) ¼ 3.98,
the chance rate of 0.25 (Table 1). There were no differences in the po 0.03, η2 ¼0.13]. Post-hoc paired t-tests were considered sig-
overall proportion of correctly recognized answers [F(2, 52) ¼0.19, nificant at po 0.017 to Bonferroni correct for multiple compar-
p 40.80, η2 ¼0.007], or in the proportion of non-recalled answers isons, and showed better FOK accuracy in the DLPFC session
that were later recognized [F(1.62, 42.07)¼0.49, p 40.6, ε ¼0.81, compared to the ATL session [t(26) ¼ 2.55, p o0.017], but the dif-
η2 ¼0.015] between stimulation sessions. ferences between DLPFC and sham [t(26) ¼1.64, p o0.11] and ATL
To examine whether stimulation had an effect on the level of and sham [t(26) ¼1.26, p4 0.22] did not reach significance.
subjective FOK given, we next conducted a recognition accuracy
(using non-recalled items) x stimulation repeated measures AN-
OVA on FOK ratings. There was a significant main effect of re- 4. Discussion
cognition accuracy, with higher FOK ratings given for correctly
recognized answers compared to incorrectly recognized answers Excitation of the left DLPFC using HD-tDCS showed enhanced
[F(1,26)¼12.88, p o0.001, ηp 2 ¼0.35], which was qualified by a monitoring accuracy relative to an active control, namely excita-
significant accuracy x stimulation interaction [F(1.52,39.61) ¼7.52, tion of the left ATL. Moreover, HD-tDCS over the left DLPFC pro-
p o0.004, ε ¼0.76, ηp2 ¼ 0.22]. Follow up ANOVAs showed no dif- duced effects that were specific to metamemory accuracy, with no
ferences in FOK ratings for correct responses [F(1.59,41.39) ¼0.798, improvements in memory performance, indicating a specific and
p 40.4, ε ¼0.80] or incorrect responses [F(2,52) ¼2.64, p o0.081] causal role for the DLPFC in metamemory accuracy that cannot be
attributed to a global improvement in memory performance.
Table 1 These findings show that the DLPFC plays a causal role in memory
Memory performance (Mean 7 SEM) for recall (# of correct answers) and re- monitoring, independent from memory, and that electrical sti-
cognition (proportion correct) for each stimulation condition.
mulation to the DLPFC can improve monitoring accuracy.
Recall Overall recognition Recognition of non-recalled Our results showed a single dissociation, with improved me-
tamemory accuracy with HD-tDCS over the left DLPFC, and no
Sham 36.37 ( 7 2.47) 0.57 ( 7 0.021) 0.39 ( 7 0.022) significant effects on recall or recognition. Although the ANOVA
DLPFC 33.04 ( 72.06) 0.57 ( 7 0.023) 0.40 ( 7 0.027)
testing for effects of stimulation on recall of general knowledge
ATL 38.22 ( 72.47) 0.58 (7 0.019) 0.36 ( 7 0.029)
approached significance (p o0.065), there was no evidence that
DLPFC ¼ Dorsolateral Prefrontal Cortex; ATL ¼ Anterior Temporal Lobe excitation of the left DLPFC improved recall; the subthreshold
E.F. Chua, R. Ahmed / Neuropsychologia 85 (2016) 74–79 77

Fig. 2. DLPFC stimulation led to improved metamemory accuracy, as shown by A) a bigger difference in FOK ratings for correct and incorrect recognition, and B) da, a signal
detection-based, trial-by-trial measure of metamemory accuracy. Error bars represent within-subjects standard errors of the mean (Loftus and Masson, 1994).

difference between sessions was driven by greater recall under left improving more general, executive processes, possibly related to
ATL compared to left DLPFC stimulation [t(26) ¼2.314, p o0.03]. shifting.
This is consistent previous evidence for a role of the left ATL in One question is whether our finding that excitation of the left
semantic memory (Hodges et al., 1992; Mummery et al., 2000). DLPFC improves metamemory accuracy would extend to other
More importantly, the improvement in metamemory accuracy metamemory judgments. FOK judgments in semantic and episodic
seen with HD-tDCS over the left DLPFC was independent of memory tasks have been shown to have, at least in part, different
memory performance. neural bases (Reggev et al., 2011). However, the left DLPFC showed
It is worth noting that the improvement in metamemory ac- a similar role in episodic and semantic FOKS (Reggev et al., 2011),
curacy, as measured by da, was seen only when comparing HD- suggesting that our results would generalize across FOKs tasks.
tDCS over the DLPFC to HD-tDCS over the ATL, and not sham tDCS. Whether or not excitation of the left DLPFC would show similar
We believe an active control is a superior control than sham be- improvements in other, non-FOK, memory monitoring tasks is an
cause this was a within subjects design and it is more likely that open question. Different metamemory tasks are known to have
participants may have detected differences in active vs. sham sti- different cognitive (Chua and Solinger, 2015) and neural bases
mulation due to the physical sensations of HD-tDCS on the scalp. (Chua et al., 2009), and the excitation of the DLPFC may show
Nevertheless, the trial-by-trial measure of metamemory accuracy, different effects in these tasks (Ryals et al., 2015).
da, did not show differences between DLPFC and sham HD-tDCS Another issue worth noting is that HD-tDCS over other pre-
and this puts some limits on our conclusions. It is possible that our frontal regions could also lead to improvements in FOK accuracy.
effect comes from decreased metamemory accuracy with ATL sti- We chose the DLPFC because of its well known role in retrieval
mulation in combination with increased metamemory accuracy monitoring (Dobbins et al., 2002; Gallo et al., 2010; Henson et al.,
with DLPFC stimulation. However, examination of the FOK ratings 1999), correlation with FOK rating (Chua et al., 2009; Maril et al.,
for correct and incorrect responses did show a bigger difference in 2003), and because many conventional tDCS studies have targeted
FOK ratings for DLPFC compared to ATL stimulation and sham HD- the DLPFC (e.g., Gray et al., 2015; Javadi and Walsh, 2012; Keeser
tDCS, suggesting that the performance differences were indeed et al., 2011). However, given the rostrocaudal hierarchical organi-
driven by improved metamemory accuracy in the DLPFC. zation of the prefrontal cortex (Badre, 2008), stimulation over
The finding that excitation of the DLPFC improved meta- multiple prefrontal regions could show similar effects. Indeed,
memory accuracy, rather than increasing memory accuracy or the lesion and fMRI evidence have shown that the vmPFC is associated
level of FOK expressed, is consistent with a more general role for with FOK accuracy (Modirrousta and Fellows, 2008; Schnyer et al.,
the DLPFC in retrieval monitoring aspects of executive functioning 2004; Schnyer et al., 2005), making it a candidate target for future
(Dobbins et al., 2002; Gallo et al., 2010). Indeed, previous neu- work.
ropsychological work has shown that executive functioning ac- This is a single HD-tDCS study, and as with any single study,
counts for a relatively large amount of the variance in FOK accu- should be interpreted with some caution. This is especially re-
racy (Perrotin et al., 2008). When examining the contributions of levant given recent meta-analyses of tDCS research that have not
specific executive functions, namely shifting, updating, and in- found any consistent effects of tDCS on cognition in healthy, young
hibition, shifting ability was shown to be the main executive adults (Horvath et al., 2014, 2015; Tremblay et al., 2014). First, it is
function that predicted FOK accuracy (Perrotin et al., 2008). One worth noting, as the authors acknowledge, that the meta-analyses
possibility is that shifting relates to FOK accuracy because shifting are limited by the lack of comparable data, and there were often
ability may allow switching back and forth among multiple sour- 2–3 studies in each domain examined (Horvath et al., 2015). Sec-
ces of information used to make the FOK judgment (i.e., cue fa- ond, these analyses were based on conventional tDCS, not HD-
miliarity, target access, general ability) and this shifting leads to tDCS, and it is unknown whether the same findings would hold for
more accurate FOK judgments because multiple inputs are con- HD-tDCS, and there are not enough HD-tDCS papers to undertake
sidered. Further research will need to further unpack the me- such meta-analyses. Nevertheless, the results of the meta-analyses
chanism by which HD-tDCS over the DLPFC improved meta- raise the question of whether tDCS has any real effects on brain
memory accuracy, but is seems likely that it may be through function. Even if the effects on cognition are seemingly variable,
78 E.F. Chua, R. Ahmed / Neuropsychologia 85 (2016) 74–79

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Medical Sciences and the National Institute on Aging under award yond MEP amplitude modulation in healthy human subjects: a systematic re-
view. Neuropsychologia 66, 213–236. http://dx.doi.org/10.1016/j.
number SC2AG046910. The content is solely responsible of the neuropsychologia.2014.11.021.
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